Construction Program Management and Inspection Guide

Appendix B (Part 3 continued)

5.0 Quality Control Sampling and Testing

The requirements and procedures to be used for QC sampling and testing of Earthwork are as indicated below.

5.1 - Lot and Sublot Sizes

Each Lot of material will represent material from the same source, be produced or obtained under the same controlled process, and will possess normally distributed specification properties. Each Lot will be divided into Sublots of equal size in order to assess the Quality Characteristics of the Lot. The Lot size and corresponding Sublot size for each Earthwork Item are identified in the following table.

5.2 - Random Sampling Plan

ABC Contractors will establish a Random Sampling Plan for QC sampling and testing for each Lot of Earthwork material prior to placement of the Lot. All Earthwork samples will be obtained randomly in accordance with ASTM D3665. The random sample location for each Sublot will be determined by Station, Offset, and Depth within the Sublot.

All random sample locations will be documented on NETTCP Standard Test Report Form D3665 or D3665RNG. A copy of the Random Sampling Forms is located in Appendix __ (see Note in "A Model Quality Control Plan"). ABC Contractors will provide Transportation Agency a copy of the Random Sampling locations (i.e. completed NETTCP Form D3665) for each Earthwork placement operation, during the start of the placement operation each day.

5.3 - Sample Identification System

All Earthwork material samples will be clearly identified as follows:

• Project Segment (i.e. 1, 2, 3)
• Material Type (i.e. Rock Excavate, Earth Excavate, Ordinary Borrow, etc.)
• Sample Type (QC, CIT) and Random/Non-Random
• Lot Number and Sublot Number
• Sample Location (i.e. Rte 99 Median, Borrow Subcontractor, etc.)
• Station, Offset, and Depth
• Sample Date
• Technician or Inspector

5.4 - QC Sampling and Testing Requirements

The specific requirements (Quality Characteristics, frequency, location, methods) for QC sampling and testing of each Earthwork item are outlined in the tables below.

5.4.1 - Backfill Material for Muck Excavation

5.4.2 - Roadway Embankment Material

5.4.3 - Embankment Material Under Bridge Foundations

5.4.4 - Backfill Material for Structures

5.4.5 - Backfill Material for Pipes*

(*) Backfill Material for Pipes will include Gravel Borrow and Ordinary Borrow to be placed as follows:

• Gravel Borrow - Gravel Borrow shall be used for bedding and backfilling of pipe to a point 600 mm above the top of pipe.
• Ordinary Borrow - Ordinary Borrow shall be used to backfill the remaining depth of trench from the top of the Gravel Borrow to the top of the finished subgrade.

5.5 - QC Test Result Reporting

All QC sampling and testing of In-Place Earthwork materials will be documented on the following Standard Test Report Forms (TRFs):

A copy of the Standard TRFs used for QC sampling and testing of Earthwork materials is located in Appendix __ (see Note in "A Model Quality Control Plan").

ABC Contractors will retain a complete record of all completed Earthwork testing and inspection in accessible files which will be labeled as the "QC Record System - Earthwork." The QC Record System will contain the following QC documents:

• The approved Earthwork QC Plan
• Original copies of all completed Earthwork QC Standard Test Report Forms (including Random Sampling Forms)
• Earthwork Control Charts
• Summaries of all Earthwork test results
• Records of Earthwork Daily Production quantity information

ABC Contractors will also submit copies of all completed QC sampling and testing Report Forms to Transportation Agency with each "Weekly QC Summary Report."

5.6 - QC Sample Storage and Retention Procedures

All physical QC samples of Earthwork material will be split prior to testing in accordance with relevant AASHTO and NETTCP procedures.

The split sample portion of Earthwork material not used for testing will be retained in the original sample bag with proper identification. The split sample will be stored in the Sample Storage Room at the Laboratory which performed the test for a minimum of 60 Days following testing.

6.0 Production Facility Management

The activities and procedures to be followed for QC during production of Earthwork materials are as indicated below.

6.1 - Schedule of Production Operations

ABC Contractors will provide Transportation Agency with a "Weekly Schedule of Earthwork Materials Production Operations" on each Friday prior to the week of production. A copy of the "Weekly Schedule of Earthwork Materials Production Operations" is located in Appendix __ (see Note in "A Model Quality Control Plan"). The weekly schedule of Production Operations will identify the following:

• Material Type
• Material Source
• Production Location
• Estimated Production Quantity

ABC Contractors will track the actual production quantities on a daily basis and maintain a "Record of Earthwork Production" for each week. Copies of the "Record of Earthwork Production" will be made available to Transportation Agency in the "Weekly QC Summary Report."

6.2 - Production Facilities and Equipment

ABC Contractors and their Subcontractors and Suppliers will utilize conventional facilities and equipment for the production of all Earthwork materials. The major types of facilities and equipment to be utilized for On-Site and Off-Site production are summarized below.

6.3 - Production Quality Control Activities

Production Quality Control (PQC) personnel will perform the following inspection, sampling, and testing activities at the frequencies indicated:

6.3.1 - Pre-Production QC Activities

• Conduct a Pre-Production Quality Control Audit at each Earthwork Source facility or location in accordance with CQMP Part XIII prior to the start of Earthwork production.
• Maintain a reference grid system (Stations, Offsets) and boundaries for each Earthwork Source facility or location.
• Determine and document random sampling locations of Earthwork materials at Production Facility in accordance with Section 4.2.1 above.
• Obtain and properly label all Source Characterization (SC) samples of Earthwork materials at the frequencies indicated in Section 4.2.1 above.
• Transport Earthwork Source Characterization samples to the appropriate laboratory for testing.
• Ensure that Source Characterization sampling and testing is completed for each Source Quadrant prior to production/removal of material from the Source Quadrant.
• Inspect stockpiles to ensure that different Earthwork material types are not commingled or contaminated.

6.3.2 - Production QC Activities

• Visually monitor Earthwork materials production to ensure no change in material type within the Source Quadrant.
• Determine and document random sampling locations for each Sublot of Earthwork material produced.
• Obtain and properly label all PQC Field samples of Earthwork materials.
• Transport Earthwork PQC Field samples to the appropriate laboratory for testing.
• Perform PQC sampling and testing of Earthwork in accordance with the required test methods and frequencies outlined in Section 5.0 above.
• Prepare and sign standard Test Report Forms (TRFs) for each test completed.
• Maintain Production Facility Control Charts per Section 6.4 below.
• Monitor loading and transportation of Earthwork materials to ensure that the correct materials are being transported to the correct Project location.
• Ensure that all Borrow Pits are neatly trimmed and finished to the minimum grades and dimensions required under Section 150.21 of the Standard Specifications.
• Document Off-Site and On-Site Earthwork Production QC inspection activities and findings on standard QC Inspection Report Forms (IRFs) for each production location in accordance with Section 6.6 below.
• Identify Production Facility practices or materials which do not conform with the requirements of the relevant specifications and this QC Plan, and discuss appropriate corrective action with the Production Facility Superintendent and the QC Manager.

6.4 - Production Facility Control Charts

Control Charts may be used by ABC Contractors and their Earthwork material Producers to control production operations as described below.

6.4.1 - Off-Site Production Control Charts

Off-Site Earthwork material Producers will use Control Charts as needed to provide adequate control of their production operations. Prior to production, ABC Contractors will request each Earthwork material Producer to identify and submit examples of any Control Charts to be used. ABC Contractors will monitor and discuss the Control Charts with the Producer during Earthwork production.

6.4.2 - On-Site Production Control Charts

At this time, the application of Control Charts does not appear necessary for the production of On-Site Earthwork materials (i.e. Earth Excavate). However, in the event that Rock Crushing operations are established to produce Earthwork materials from On-Site Rock Excavate, Control Charts will be maintained to monitor control of the operation.

6.5 - Procedures for Corrective Action of Non-Conforming Materials

The following procedures will be followed for corrective action of non-specification materials encountered at the Source/Production facility:

• If contaminated materials are encountered, the limit of contaminated material will be identified. The contaminated material will be clearly marked off by signs labeled "No Use On Rte 99."
• If a change in material type is encountered within a Source Lot, additional sampling and testing will be performed to characterize the material. The disposition of such material will be as follows:
  • If the material meets specification requirements for another Project Material Type, then the material will be approved for use at an appropriate location for that Material Type.
  • If the material can be blended with other material and subsequently meet specification requirements for a Project Material Type, then the material will be approved for use at an appropriate location for that Material Type.
  • If the material does not meet specification requirements for a Project Material Type, the material will not be permitted for use on the Project. ABC Contractors will prepare a Non-Conformance Report (NCR) for such material in accordance with Part X of the CQMP. If the source of such material is On-Site (e.g. Rte 99 Median), ABC Contractors will dispose of the material Off-Site at an approved disposal site. If the source of such material is Off-Site (e.g. Borrow), the material will be clearly marked off by signs labeled "No Use On Rte 99."

6.6 - Production QC Inspection Reporting

All PQC inspection activities will be documented on the following standard QC Inspection Report Forms (IRFs):

A copy of the Standard IRFs used for Production QC inspection of Earthwork materials is located in Appendix __ (see Note in "A Model Quality Control Plan").