2018 CDOT FMM 7-01-2017 Quality Assurance Procedures

Quality Assurance Procedures

for Construction and Materials Sampling & Testing - 18

1. PURPOSE 3. DEFINITIONS

1.1 To prescribe policies, procedures, and 3.1 Acceptance - The process whereby all
guidelines to assure the quality of materials on all factors used by the agency (i.e., sampling, testing,
Colorado Department of Transportation (CDOT) and inspection) are evaluated to determine the
construction projects are in accordance with 23 degree of compliance with contract requirements
CFR and the FHWA Stewardship Agreement. and to determine the corresponding value for a
given product. (AASHTO R 10)
1.2 The revision and / or development of
terminology in the Design – Build Quality 3.2 Acceptance Sampling and Testing –
Assurance Program from Project Materials to Final Sampling and testing performed by the agency, or
Materials has caused CDOT to redefine terms and its designated agent, to evaluate acceptability of
procedures that have been used by the the final product. Also called “verification sampling
Department for decades on CDOT projects. It is and testing” when specifically used to validate the
the intent of CDOT to provide as much clarity as contractor’s data. (AASHTO R 10)
possible.
3.3 Accredited Laboratories - Laboratories
that are recognized by a formal accrediting body
2. REFERENCES as meeting quality system requirements including
demonstrated competence to perform standard
2.1 AASHTO R 9 – Standard Practice for test procedures. (AASHTO R 10) For CDOT,
Acceptance Sampling Plans for Highway accredited means recognition by the AASHTO
Construction Accreditation Program (AAP).

2.2 AASHTO R 10 – Standard Practice for 3.4 Certified Technician – A technician

Definition of Terms Related to Quality and certified by a CDOT recognized agency as
Statistics as Used in Highway Construction proficient in performing certain duties. [A certified
technician is considered to be qualified. A qualified
2.3 AASHTO R 18 – Standard Recommended technician may or may not be certified.] (AASHTO
Practice for Establishing and Implementing a R 10) CDOT specifies ACI, LabCAT, and WAQTC
Quality Management System for Construction for the certification of technicians.
Materials Testing Laboratories (revised in 2016)
3.5 Central Laboratory Samples and Tests -
2.4 AASHTO R 25 – Standard Practice for Random representative samples submitted to
Technician Training and Qualification Programs CDOT’s Central Laboratory and/or Region
Laboratory to additionally evaluate quality of field
2.5 AASHTO R 38 – Standard Practice for produced products and materials, and to perform
Quality Assurance of Standard Manufactured tests not within the capabilities of the Field and/or
Materials Region Laboratories. (CDOT)

2.6 AASHTO R 44 – Standard Practice for 3.6 Designated Agent - An employee or

Independent Assurance (IA) Programs employees of a state, local agency, consultant, or
independent laboratory, which is employed, paid
2.7 ASTM D 3665 – Standard Practice for by, and/or directly accountable to CDOT, or a
Random Sampling of Construction Materials public agency, excludes the contractors’ or
vendors’ personnel. (CDOT)
2.8 ASTM E 177 – Standard Practice for Use
of the Terms Precision and Bias in ASTM Test 3.7 Dispute Resolution – Also called “conflict
Methods resolution.” The procedure used to resolve
conflicts resulting from discrepancies between the
2.9 Title 23 Code of Federal Regulations agency’s and contractor’s results of sufficient
(CFR), Part 637, Subpart B, Quality Assurance magnitude to impact payment. (AASHTO R 10)
Procedures for Construction

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3.8 Independent Assurance (IA) - Activities 3.15 Owner Verification Testing (OVT) - The
that are an unbiased and independent evaluation Department has the ultimate responsibility for
of all the sampling and testing (or inspection) verifying that the Project is designed and
procedures used in the quality assurance program. constructed in compliance with the Contract
[IA provides an independent verification of the Documents. As such, the Department or its
reliability of the acceptance (or verification) data representative will perform owner verification
obtained by the agency and the data obtained by sampling, testing and inspection, and conduct
the contractor. The results of IA testing or audits to verify the Design – Build’s (D-B’s)
inspection are not to be used as a basis of compliance with the approved Plan from the D-B
acceptance. IA provides information for quality firm. (CDOT)
system management.] (AASHTO R 10)
3.16 Process Control (PC) – Synonymous with
3.9 IA Project Basis – Based on quantity, may (and replaces the term) “Quality Control.” The
provide an easier way to monitor compliance and system used by a Contractor to monitor, assess,
ensure that all materials are covered on an and adjust its production or placement processes
individual project. This is the normal sampling and to ensure that the final product will meet the
testing frequency, per the IA Schedule, for Item specified level of quality. Process Control includes
403 [Hot Mix Asphalt (HMA)]. (CDOT) sampling, testing, inspection, and corrective action
(where required) to maintain continuous control of
3.10 IA System Basis – Typically administered a production or placement process. (AASHTO R
Region wide. It is personnel-related rather than 10) (and to fulfill contract requirements. CDOT)
project-related and therefore allows easier tracking
of individuals. This approach is usually applied on 3.17 Proficiency Samples - Homogeneous
a time-based, rather than on a quantity-based samples that are distributed and tested by two or
frequency. This is an alternate sampling and more laboratories. The test results are compared
testing frequency, per the IA Schedule, for Item to assure that the laboratories are obtaining the
403 [Hot Mix Asphalt (HMA)] where the minimum same results. (i.e. as part of laboratory
frequency is based on an expanded unit of accreditation or round robin testing). (CDOT)
material production and a unit of time. (CDOT)
3.18 Qualified Laboratories – Laboratories that
3.11 IA Combination Basis – To maximize the are capable as defined by appropriate programs
effectiveness of the IA program, the RME may established or recognized by each Agency.
choose to utilize both the Project and System [Accredited Laboratories are considered Qualified;
Basis within their Region. Based on the number, however, a Qualified Laboratory may or may not
size, location, or construction phasing of HMA be Accredited.] Laboratories that participate in a
projects, the RME will have the option of choosing qualification program, approved by CDOT, which
either the Project Basis or the System Basis for shall include provisions for checking testing
every project within their Region. If the equipment and maintaining records of all
Combination Basis is used, the RME will equipment calibrations and verification checks. All
document the field tester’s name(s) and the testing equipment used to conduct testing shall
quantity of HMA used for each project. (CDOT) conform to the standards specified in the testing
procedure. (CDOT)
3.12 Independent Contractor Quality Control
(ICQC) – This term was developed for Design – 3.19 Qualified Sampling &Testing Personnel -
Build projects whereby the contractor’s test results Personnel who are capable of performing
may be utilized in the acceptance decision. sampling and testing as defined by appropriate
(CDOT) programs approved by CDOT. (CDOT)

3.13 LIMS – Laboratory Information 3.20 Qualified Technician – A technician who

Management System. SiteManager includes has been determined to be qualified (i.e., meeting
LIMS, which manages and tracks progress some minimum standard) to perform specific
through each step of the sample lifecycle to duties. [A qualified technician may or may not be
expedite the overall testing process. See certified.] (AASHTO R 10)
SiteManager Materials. (CDOT)
3.21 Quality Assurance (QA) – (1) All those
3.14 Owner Acceptance (OA) – Synonymous planned and systematic actions necessary to
with Agency Acceptance; however, Owner provide confidence that a product or facility will
Acceptance will be CDOT’s preferred term. See perform satisfactorily in service; or (2) making sure
the term Acceptance Sampling and Testing. the quality of a product is what it should be. [QA

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addresses the overall process of obtaining the obtained by carrying out a specified test method.
quality of service, product, or facility in the most (AASHTO R 10)
efficient, economical, and satisfactory manner
possible. Within this broad context, QA includes 3.30 Vendor - A supplier of project-produced
the elements of process control, independent material that is not the contractor. A vendor may
assurance, acceptance, dispute resolution, etc. or may not be the Manufacturer, but the distributor
QA should be used to replace term “QA/QC or of a product. (CDOT)
QC/QA.” QA involves continued evaluation of the
activities of planning, design, development of plans 3.31 Verification Sampling and Testing -
and specifications, advertising and awarding of Synonymous with Acceptance Sampling and
contracts, construction, and maintenance, and the Testing, when specifically used to validate the
interaction of these activities.] (AASHTO R 10) contractor’s data. (AASHTO R 10) Use of
“Project Verification Sampling & Testing
3.22 Quality Control (QC) – Synonymous with Frequency” and “Point of Verification for Quality
Process Control (AASHTO R 10) in construction. Determination” in the OA Frequency Guide
Quality control is still a valid term with respect to Schedule for Minimum Materials Sampling,
Manufacturers. (CDOT) Testing, and Inspection is appropriate because the
OA Tester is attempting to validate the contractor’s
3.23 Random Locations – Sampling locations Process Control data. (CDOT)
determined by the use of random numbers.
(AASHTO R 10) NOTE 1: Additional relevant definitions are
located in the FMM Appendix.
3.24 Sample – Also called materials sample
when intended to mean: (1) a small physical
quantity of material or a measurement obtained in 4. POLICY
some manner so that the portion (i.e., sample) is
representative of the whole, or (2) a quantity of 4.1 Quality Assurance Plan (QAP) – It is the
material fabricated in a lab on which future tests policy of CDOT to have a Plan which will assure
can be run. (AASHTO R 10) that materials, products, and workmanship
incorporated in CDOT construction projects, and
3.25 SiteManager Materials – AASHTO Local Agency projects, are in conformity with the
developed SiteManager®, which integrates the requirements of the approved plans and
complete construction and materials management specifications, including any approved changes.
process. The SiteManager Materials Management The program must meet the criteria in 23 CFR,
component provides materials-related information Subsection 637.207 and the FHWA Stewardship
and assists materials laboratory operations for Agreement.
sampling, testing and reporting for all materials.
(CDOT) 4.2 CDOT Capabilities - CDOT shall maintain
an adequate, qualified staff to administer its
3.26 Stewardship Agreement, FHWA – The Quality Assurance Program. CDOT shall also
Federal Highway Administration (FHWA) has maintain a Central Laboratory. CDOT’s Central
stewardship and oversight responsibilities on Laboratory shall meet the requirements in Sub-
Federal-aid programs. CDOT has assumed all section 637.209 (a) (2) of 23 CFR.
project approval authority on National Highway
System (NHS) projects, excluding the Interstate. 4.3 Owner Acceptance (OA) Program - All
The agreement is established through mutual factors that comprise CDOT’s determination of the
consent and is reviewed annually. (CDOT) quality of the product as specified in the contract
requirements. These factors include verification
3.27 State Personnel - An employee or sampling, testing, and inspection and may include
employees of CDOT. (CDOT) results of process control sampling and testing. In
the previous terminology this was called CDOT’s
3.28 Stratified Random Sample - A sample in QA Program.
which each increment in the lot has an equal
probability of being chosen. [Samples are taken at 4.4 Independent Assurance (IA) Program -
times or locations chosen by a method not Independent Assurance samples and tests (and
influenced by opinion or judgment, thus eliminating observations) or other procedures shall be
any bias.] (AASHTO R 10) (CP 75) performed by qualified sampling and testing
personnel employed by CDOT or by contract its
3.29 Test Result – The value of a characteristic designated agent, which would be employed by an

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AASHTO Accredited Laboratory. 6. OWNER ACCEPTANCE (OA) PROGRAM

4.5 Sampling and Testing - All samples and 6.1 OA Frequency Guide Schedule for
tests used in the verification process are to be Minimum Materials Sampling, Testing, and
performed by qualified testing personnel employed Inspection provides general guidance to personnel
by CDOT or its designated agent (employed by a responsible for the program for each pay item.
Qualified Laboratory), contractor, and vendor.
Also referred to as Quality Assurance (QA) testing. 6.1.1 Identification of the specific location (the
point) in the construction or production operation at
4.5.1 Random Samples – All samples used for which verification sampling and testing are to be
verification sampling and testing shall be stratified accomplished.
random samples. Additional samples may be
taken at any point in the production for checking 6.1.2 Reference to the specific procedures for
quality, but these will not be used for statistical Project Verification Sampling and Project
evaluation. Verification Testing.

4.5.2 Test Results - The results of verification 6.2 Project verification sampling and testing
tests will be used in the acceptance decision as through the Owner Acceptance Program will be
specified in the contract requirements and all accomplished and documented on all CDOT
approved changes. construction projects according to the edition of
the CDOT Field Materials Manual (FMM) in effect
4.6 It will be the responsibility of the Region at the time of project advertisement.
Materials Engineer (RME), under the direction of
the Region Transportation Director (RTD), to 6.2.1 The Field Materials Manual contains
implement those portions of the Quality Assurance schedules, tables, nomographs, examples, etc.
Program applicable to CDOT Regions. that aid in completing project verification sampling,
testing, inspection, and proper documentation.

5. SCOPE OF THE QUALITY ASSURANCE (QA) 6.2.2 Subsections of the Field Materials Manual
PROGRAM contain guidelines for using the CDOT Statistical
Sampling and Acceptance Plan.
5.1 The Quality Assurance (QA) Program will
provide for: 6.3 The results of all project verification (OA)
tests will be made available to the FHWA
5.1.1 Owner Acceptance (OA) Program. Operations Engineer at the project or residency
office when requested.

5.1.2 Independent Assurance (IA) Program.

7. INDEPENDENT ASSURANCE (IA) PROGRAM
5.1.3 Project Materials Certification.
NOTE 2: The CAR Report Independent
5.1.3.1 Retention of sampling and testing records. Assurance Sampling & Testing Checklist is the
name of the document used for all SMM/LIMS
5.2 Quality Assurance (QA) Program projects. For a project not using SMM/LIMS, the
Evaluation Checks: CDOT Form #379 will be utilized. Within this
Chapter they are synonymous in intent.
5.2.1 Inspection and Accreditation of CDOT’s
Central Laboratory performed periodically (the 7.1 The CDOT Materials Engineer will act in
number of months per cycle varies) by the National an advisory capacity to the Region Materials
Reference Laboratory utilizing AASHTO R 18. Engineer in carrying out this program, and either
he or his designee will be the liaison with other
5.2.2 Independent Assurance Sampling & CDOT Divisions, other organizations, consultants,
Testing Program Review, Finals Materials designated accredited laboratories, and the
Documentation Review & Acceptance Process FHWA.
Audit, and the LA Finals Materials Documentation
Review & Acceptance Process Audit are 7.2 The IA Program is an internal program to
conducted biennially by the Central Laboratory and be administered and performed by CDOT
the FHWA (Subsections 7.11 and 11.12.3). personnel or by designated agents from an
AASHTO accredited laboratory. This program is

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to be applied to all CDOT construction projects well as test procedures and the general
and Local Agency construction projects regardless organization of the field laboratory. This
of whether they are on the NHS or not. information will be documented on the CDOT
Independent Assurance Sampling & Testing
7.3 With respect to non-SMM/LIMS projects, Checklist, listed as Item 620.03, and will show the
follow the guidelines and instructions in the “IA date of the inspection(s). The inspection will be
Frequency Guide Schedule for Evaluation of OA guided by CP 10 and will utilize the Field Lab &
Sampling & Testing”. The Region Materials Personnel Qualification Checklist.
Engineer will assign an individual from the Region
Materials Laboratory to develop the CDOT Form 7.4 For Local Agency projects on the NHS,
#379, Project Independent Assurance Sampling & CDOT will administer the Independent Assurance
Testing Schedule. This person will determine the testing as if it was a CDOT project.
material items and the number of tests required on
every project. The Region Materials Engineer, or 7.4.1 For Local Agency projects not on the NHS,
his designee, will approve the CDOT Form #379 it is required that Independent Assurance testing
prior to distribution to the Project Engineer be performed as stipulated in the CDOT IA
(approval signature not required). Frequency Guide Schedule for Evaluation of OA
Sampling & Testing and within the Quality
7.3.1 Where more than one sampling location is Assurance Procedures Chapter of the FMM. The
permitted, the IA Tester reserves the right to Local Agency may use their established and
further designate the sampling location. documented procedures to independently verify
the adequacy of testing equipment and personnel
7.3.2 IA System Basis Sampling and Testing on if their program is approved by the FHWA.
Item 403, if used instead of the Project Basis,
should be indicated on Independent Assurance 7.5 State personnel, or designated agents
Sampling & Testing Checklist. (Additional employed by an AASHTO designated accredited
information can be obtained in the IA Frequency laboratory, performing IA Sampling and Testing
Guide Schedule for Evaluation of OA Sampling & will be limited to witnessing no more than 20% of
Testing, Item 403.) the QA tests performed. This is defined as no
more than 20% of each individual test element.
7.3.3 Sampling, witnessing, testing and Witnessing more then this limit has the potential of
equipment checks on a project will be performed involving the IA Tester in too much of the day-by-
by the IA Tester, whether CDOT personnel or day project level responsibilities and activities of
CDOT’s designated agent, who have no direct the OA Tester. The concept of witnessing testing
responsibility for project verification (OA) sampling performed by OA Testers instead of the IA Tester
and testing, using equipment other than that performing the required test is to be minimized as
assigned to the project. All Region IA testing of much as possible or eliminated.
OA samples are to be performed in the Region on
independent Region equipment by independent 7.5.1 Project inspections performed during
Region personnel. The only exception will be construction will check the project (OA) equipment
samples of binder or emulsion which will be tested to assure the equipment is adequate for the
at and by the CDOT Central Laboratory. The IA designated procedure. The equipment will also be
equipment should be independent of the OA checked at that time for the required calibration, if
process unless otherwise noted on the applicable, and that proper documentation of the
Independent Assurance Sampling & Testing verification checks are on file. The inspection will
Checklist. be guided by CP 10 and the Field Lab & Personnel
Qualification Checklist.
7.3.4 All personnel performing sampling,
observations, and testing on CDOT or Local 7.5.1.1 An appropriate statement on the
Agency projects will be qualified personnel as applicable report form used for tested or observed
noted in Section 8, Sampling and Testing IA samples will be made to this effect:
Personnel Qualifications, and/or CP 10, "Equipment used for the above sampling,
Qualification of Testing Personnel and testing, and evaluation was inspected by me
Laboratories. and found to essentially comply with the
requirements of the Procedure used."
7.3.5 Project Materials Lab (test trailer)
inspections performed prior to construction 7.5.1.2 If any discrepancies to the project
commencing will review the existence of required equipment are found by the IA Tester, they should
equipment and their calibrations or verifications, as be documented and reported to the Project

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Engineer at the earliest opportunity with a 7.9.2 Initial split-sample test results that agree
description of the repair or replacement needed. within the limits of the Comparison Precision
Appropriate notations should be made on the Guide from the IA Frequency Guide Schedule
applicable reporting test form or on a separate (Table One) will not require any comments on the
memo, if required. reporting form. Minor Differences do not need to
be investigated.
7.6 The IA System Basis for Sampling and
Testing may be used in a Region. The testing and 7.9.3 If the initial split-sample test results have
sampling frequency will be based on either a unit “Significant” Differences, the Region Materials
of production or on a unit of time. (Additional Engineer or his designee will conduct an
information can be obtained in the IA Frequency investigation to determine the probable cause of
Guide Schedule for Evaluation of OA Sampling & the difference.
Testing, Item 403.) If it is used throughout the
Region, it should last for the entire calendar year. 7.9.3.1 This investigation may be as simple as
If it is used for a project, it should be used for the having all testing personnel run their retained split
entire project and last for its duration. of the sample. The results of the Region Materials
Engineer's investigation must be documented on
7.6.1 The Annual Report on Program Wide the appropriate CDOT form listed in the Schedule.
Independent Assurance Testing of Hot Mix The statement must reference the exact
Asphalt Materials using the System Basis will "difference", the cause of this difference, and the
be developed by the Central Laboratory and sent corrective action taken to remedy the issue. If
to the FHWA summarizing the results of the IA necessary, the investigation may be attached to
System Based program, per CFR 23, Subsection the applicable form.
637.207 (2) (iv). The report for the previous
calendar year is distributed prior to March 31st of 7.9.3.2 Prompt and appropriate action will be
the subsequent year. taken by the Project Engineer to correct or
improve sampling and/or testing methods if the
7.6.1.1 Distribution List: need is indicated.
FHWA - Direct Recipient
Chief Engineer 7.9.4 The Project Engineer makes acceptance
Director of Staff Services decisions based on verification (OA) sampling and
Regional Transportation Director testing, and factors relating to the quality of the
Region Materials Engineer material or product. What should not be
incorporated into these statements is a
7.7 On CDOT projects the OA testing recommendation for an acceptance decision at full
equipment will be evaluated by using equipment price. IA testing is not for the purpose of verifying
verification checks, testing split samples of quality, but meant to evaluate personnel and to
verification or proficiency samples, or any check equipment. However, these test results
combination of methods. may be used by the Project Engineer to support
his decisions.
7.8 On CDOT projects the OA testing
personnel will be evaluated by observation of 7.10 When all IA sampling and testing on the
sampling and testing procedures, along with project is completed per the Independent
testing splits of verification or proficiency samples, Assurance Sampling & Testing Checklist, the
or any combination of the methods. Region Materials Engineer will certify through his
Final Approval that: “The Project Independent
7.9 A prompt comparison will be made Assurance Sampling & Testing Schedule
between the initial test results obtained from the developed for this project has been
OA Tester being evaluated and the Independent substantially followed and the test results of
Assurance (IA) Tester, using the guidelines the IA samples are within “Minor Differences”
enumerated in the CDOT Field Materials Manual’s of the project acceptance sample test results.”
IA Frequency Guide Schedule for Evaluation of OA
Sampling & Testing and Table One – Comparison 7.10.1 Exceptions to this statement, such as
Precision Guide; and then documented as “Significant Differences”, have been previously
required. commented on and documented when the test
results were reported or are explained on this form
7.9.1 Field reviews of IA samples will be or on an attached sheet. The Independent
documented by signing and dating entries on the Assurance Sampling & Testing Checklist may
applicable test reports by the IA Tester. include supplemental attachments.

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7.10.2 The Independent Assurance Sampling & or laboratories conducting IA testing be qualified.
Testing Checklist will be forwarded to the Project This includes CDOT and designated agent
Engineer for acknowledgment through his Project laboratories conducting verification tests plus
Review signature. contractor and vendor laboratories conducting PC
testing used in the acceptance decision. These
7.11 A review of each CDOT Region’s IA laboratories are inspected by the Region Materials
Sampling and Testing Program will be performed Laboratory or a designated agent selected by the
every two years, at a minimum, by Central Region Materials Laboratory before project testing
Laboratory Personnel and the FHWA. The begins. The procedures for conducting inspections
purpose of the review will be verification of are described in CP 10 of this manual.
compliance with 23 CFR, Part 637, Quality 9.2 23 CFR requires that the CDOT Central
Assurance Procedures for Construction, and the Laboratory be accredited by AASHTO.
applicable Sections of the CDOT Field Materials Designated agents conducting IA sampling,
Manual. testing, and inspections for CDOT must also be
accredited by AASHTO. The detailed accreditation
7.11.1 The Biennial Independent Assurance requirements are in CP 10 of this manual.
Sampling and Testing Program Review with the
Region Materials Engineer will be conducted to 9.2.1 Qualifications:
check IA program compliance, document
problems, document current inclusion of LA 9.2.1.1 Central Laboratory and designated agents:
projects into the program, and observe Region-by- The CDOT Central Laboratory and designated
Region uniformity. A minimum of two weeks agents shall be AASHTO accredited.
notice will be given to the Region Materials
Engineer. Information on inspections is located in 9.2.1.2 Annual Region Materials Laboratory
the Inspection (Central-to-Region) Chapter. Inspections: Central Laboratory personnel shall
perform an inspection of each CDOT Region
7.11.2 The findings and recommendations of the Materials Laboratory annually.
review will be discussed with the CDOT Materials
Engineer and will be reported to the FHWA. The CDOT Region Materials Laboratories are:
• Region 1: Denver & HMA Mobile Lab
7.11.3 Distribution List: • Region 2: Pueblo & HMA Mobile Lab
FHWA - Direct Recipient • Region 3: Grand Junction & HMA Mobile
Chief Engineer Lab
Director of Project Support • Region 4: Evans & HMA Mobile Lab
Regional Transportation Director • Region 5: Durango, Alamosa & HMA
Region Materials Engineer Mobile Lab

Other permanent laboratories within the Regions

8. SAMPLING and TESTING PERSONNEL are considered Project/Field Laboratories.
QUALIFICATIONS
9.2.1.3 The Annual Region Materials Laboratory
8.1 The Code of Federal Regulations (23 Inspections protocol is located in the Inspection
CFR) requires that persons conducting tests used (Central-to-Region) Chapter.
in the acceptance decision or in IA inspections be
qualified. This includes employees of CDOT and 9.2.2 Equipment Verification Checks: All
designated agents conducting verification (OA) laboratories performing IA testing shall conduct
testing, PC testing used in the acceptance verification checks at the minimum frequencies
decision (PC-For-Pay) by contractor and vendor required by the test procedure, equipment
employees, and IA testing by employees of CDOT operating guides, or Verification schedule included
or designated agents of CDOT. The requirements in the Field Materials Manual’s Inspections
that must be met for an employee to be qualified Chapter. The results of the equipment verification
are defined in CP 10 of this manual. checks shall be recorded on CDOT Form #520
and retained for a period of seven years. When
testing HMA, the appropriate calibration checks
9. LABORATORY QUALIFICATION PROGRAM specified in CP-L 5101 shall be used.

9.1 23 CFR requires that laboratories 9.3 Verification Testing: CDOT Laboratories
conducting tests used in the acceptance decision or their designated agent shall be allowed to

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perform verification testing if they meet the accredited. 23 CFR Part 637 requires that
following requirements. All requirements include designated agent laboratories conducting IA
the verification of testing equipment function, testing be accredited. Accreditation requirements
review of equipment maintenance, and review of are detailed in CP 10 of this manual.
the records of all equipment calibrations and
verifications. 10.2 Central Laboratory Inspection. The
CDOT’s Central Laboratory will be inspected
9.3.1 Annual Inspection: periodically by the AASHTO Accreditation Program
utilizing laboratory assessment and proficiency
9.3.1.1 CDOT Laboratories: The Region sample services provided by AMRL and CCRL.
Materials Laboratory shall conduct a check of 10.2.1 The AMRL and CCRL statistical reports
project testing Field Laboratory equipment. The and the report on Central Laboratory inspection will
Central Laboratory may also conduct random Field be reviewed by the CDOT Materials Engineer and
Laboratory equipment inspections during project Central Laboratory Program Managers, and copies
construction. The Resident Engineers, in will be furnished to the FHWA.
cooperation with the Region Materials Engineer,
shall be responsible for assuring that CDOT 10.2.2 Any deficiencies in Central Laboratory
owned project testing equipment is acceptable for procedures or equipment will be corrected at the
verification (OA) sampling and testing. earliest opportunity, and corrective actions
documented where directed and furnished to the
9.3.1.2 Designated Agent Laboratories: The appropriate National Standards Reference
Region Materials Laboratory or their designated Laboratory, and with copies furnished to the
agent shall conduct a check of project testing FHWA.
laboratory equipment. The Central Laboratory
may also conduct random Field Laboratory 10.2.3 Any AASHTO Proficiency Sample(s)
equipment inspections during project construction. which have a rating of less than 3 (>2.0 Standard
The Region Materials Engineer shall be Deviations), will be reviewed by the CDOT
responsible for assuring that project testing Materials Engineer and Central Laboratory
equipment is acceptable for verification (OA) Program Managers. The cause of the low ratings
sampling and testing. will be investigated and corrective action will be
taken to prevent future occurrences. These
9.3.2 Equipment Verification Checks: All actions will be reported, in writing, to AASHTO –
laboratories performing verification (OA) testing AMRL-CCRL, with copies furnished to the FHWA,
shall conduct equipment verification checks on all within 60 days of the date of AMRL-CCRL
testing equipment used. The results of the inspection.
verification checks shall be recorded on CDOT
Form #520 and retained for a period of seven
years. When testing HMA, the appropriate 11. PROJECT MATERIALS CERTIFICATION
verification checks specified in CP-L 5101 shall be
used. 11.1 A CDOT Owner Acceptance Sampling &
Testing Checklist (CAR Report 250) will be
9.3.3 If the actual laboratory in which the developed by the Documentation Unit of the
verification tests are performed holds current Materials and Geotechnical Branch for all projects
AASHTO accreditation, it shall be exempt from the regardless if they are administered by CDOT or by
requirements of Subsection 9.3.1 and 9.3.2. a local agency. On Design/Build projects the
Engineer shall send the list of pay items and
9.4 Round Robins are conducted every year approximate quantities furnished by the Contractor
during the winter season. It provides all to the Documentation Unit of CDOT Materials &
participating laboratories the opportunity to look at Geotechnical Branch as soon as it is received.
their test procedures and test results in relation to
other labs. 11.2 The CDOT CAR Report 250 will list the
minimum sampling and testing requirements for
9.4.1 The Round Robin protocol is located in the each product or material bid item, for both
Inspection (Central-to-Region) Chapter. Verification (OA) tests and laboratory check tests.
The original CAR Report 250 will remain in the
Staff Materials project file with duplicate copies
10. LABORATORY ACCREDITATION being distributed to the Region Materials Engineer,
Resident Engineer, Project Engineer, or the
10.1 CDOT’s Central Laboratory must be Region’s Local Agency Coordinator.

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11.3 The Engineer will document actions taken 11.7.1 Final Materials Certification. The three
by project personnel concerning acceptance applicable Documentation Chapters of the Field
decisions based on verification (OA) sampling and Materials Manual provides specific guidelines for
testing. Acceptance decisions include price the completion of this aspect of the program.
reductions, corrective actions or removals, dispute
resolution, etc. 11.8 The Project Engineer reviews and signs
the developed CDOT Form # 473, Letter of Final
11.4 The results of laboratory check tests will Materials Certification, both Page 1 and 2.
be evaluated using the same criteria detailed in
Table One of the IA Frequency Guide Schedule. 11.9 The Resident Engineer certifies on the
They will be reported to the project personnel as CDOT Form #473, Letter of Final Materials
follows: Certification: The results of the tests on the
acceptance samples indicate that the material
11.4.1 Meets Acceptance Decision Criteria based incorporated in the construction work, and the
on verification (OA) sampling and testing. construction operations controlled by
sampling and testing, were in conformity with
11.4.2 Minor Difference from Acceptance the approved plans and specifications; and
Decision Requirements: No further action such results compare favorably with the
required. results of the Independent Assurance
sampling and testing. The signed Form #473
11.4.3 Significant Differences from Acceptance includes all of the following attachments:
Decision Requirements: Further action is required.
11.9.1 A copy of the Explanation of Exceptions,
11.4.3.1 When laboratory check test results do Form #473 Page 2.
not agree with the contract requirements, whether
the check tests are performed at the Central or 11.9.2 A copy of the Independent Assurance
Region Laboratory, project personnel will be Sampling & Testing Checklist.
notified, and the reports, by computer reporting,
will be forwarded as soon as possible. 11.9.3 A copy of the Final Materials
Documentation Checklist, (Project Closure), Form
11.4.3.2 The Project Engineer will investigate #1199 Page 1 (This is not required for
these Significant Differences and attempt to SiteManager projects).
determine why the verification tests did not
correlate with the check tests. The Engineer will 11.9.4 A copy of the Finals Materials
determine and document the reason for the Documentation Checklist, (Review or Audit), Form
deviation or difference, and any corrective action #1199 Page 2 (This is not required for
taken. SiteManager projects).
11.5 The Project Engineer will document all 11.9.5 A copy of the CP 16, Evaluation of
project materials sampling and testing through the Materials Testing, Form #1324 (when applicable).
completion of the CDOT SM Report 250 and by
signing and dating the last page. 11.10 The Letter of Final Materials Certification
(Form # 473) will be distributed per the instructions
11.6 The Region Materials Engineer will furnish in the Documentation Chapter of this Manual. If
the Project Engineer with a signed copy of the any part of the CDOT Form #250 is used to
CDOT Independent Assurance Sampling & explain exceptions or deviations of product or
Testing Checklist, Project Independent Assurance materials, that part must be attached to the
Sampling & Testing Schedule. The responsibility completed Form #473 Page 2, Explanation of
for the review and completion of the CDOT Exceptions. If any of the last five sections
Independent Assurance Sampling & Testing [Documentation for Added Materials Items,
Checklist through to the final approval will reside Documentation for Deleted Materials Items,
with the Region Materials Engineer, as per Summary of Laboratory Check Test Deviations,
Subsection 7.3 and 7.10. Summary of Sampling and Testing Deviations, and
Summary of Project Price Reduction
11.7 In order to make the Final Materials Documentation] contain information then these
Certification process more efficient it has been pages must also be attached.
decentralized; therefore, the Final Materials
Certification for each project is to be completed by 11.10.1 The Explanation of Exceptions will
Region personnel.

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address all materials deviations from the plans and out projects. A minimum of ten days will be
specifications and the subsequent action taken, as provided for the selected projects to be made
well as any comparison differences between available.
Quality Assurance test results and Independent
Assurance test results, and any missing tests. 11.12.3.1 The findings and recommendations of
the audit will be discussed with the CDOT
11.11 The Region review process for a Materials Engineer and will be reported to the
completed construction project’s materials FHWA.
documentation is that each Region will follow the
guidelines as defined in the Documentation 11.12.3.2 Distribution List:
Chapter. It is essential to follow both the FHWA - Direct Recipient
Residency-to-Residency Final Materials Chief Engineer
Documentation Review and the Region Final Director of Project Support
Materials Documentation Audit of the current Field Regional Transportation Director
Materials Manual. Program Engineer
Resident Engineer
11.12 The CDOT Materials Engineer will Region Materials Engineer
establish a Materials Documentation Quality
Review Team to audit each Region's Finals
Materials Review and Acceptance Process. 12. MAINTAIN QA PROGRAM REQUIREMENTS

11.12.1 The Materials Documentation Quality 12.1 It will be the responsibility of the CDOT
Review Team will consist of representatives from Materials & Geotechnical Branch to maintain and
the Central Materials Laboratory and the FHWA, if periodically update the QA program as required.
they choose to participate, meeting with the CDOT
Region Materials Engineer, the Region Finals 12.2 The CDOT Materials Advisory Committee
Administrator, the Region Finals Materials (MAC) will meet, as required, to review the Quality
Documentation Coordinator, and the Region LA Assurance Procedures and recommend revisions.
Coordinator. The Region may invite other
interested and knowledgeable individuals.
13. FIELD MATERIALS DOCUMENTATION
11.12.2 An audit of each CDOT Region’s Finals
Materials Documentation Process will be 13.1 It is the responsibility of the Project
performed every two years, at a minimum. The Engineer to accept or reject materials and/or
audit will utilize both a questionnaire and the audit products based on documentation submitted at the
of a minimum of two randomly selected completed project level. The Central Laboratory personnel
projects. This process will apply to both CDOT will act only in an advisory capacity to the project
and LA programs. personnel in determining the acceptability of a
product or material unless otherwise stated.
11.12.2.1 Additional reviews may be
scheduled as deficiencies are identified and to 13.2 All Materials Forms must have the
accommodate contract dollar volume per Region. appropriate Project Number and the Contract ID
easily identified on them:
11.12.3 The Biennial Finals Materials
Documentation Review and Acceptance 13.2.1 Project Number: The Alpha-Numeric
Process Audit with the Region Materials Engineer project identifier that incorporated the highway
is to ensure compliance with the requirements of number.
the Documentation Chapter of the Field Materials
Manual and to identify areas for potential 13.2.2 Contract ID: It is a five digit numeric
improvement. The Biennial Local Agency Finals designator. (Prior to SiteManager it was the
Materials Documentation Review and referred to as the Project Code.)
Acceptance Process Audit with the Region LA
Coordinator is to ensure compliance with the NOTE 3: As accounting processes change, the
requirements of the Documentation Chapter of the project information identifiers may also change.
Field Materials Manual and to identify areas for Personnel should be aware of the most current
potential improvement. A minimum of four weeks method.
of notice will be given to the Region Materials
Engineer, the Finals Administrator and LA 13.3 All document and reporting Forms must
Coordinator to provide a list of all applicable closed be dated and signed by the appropriate and

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specified personnel. materials that are stated in the OA Frequency

Guide Schedule or other applicable documents
NOTE 4: A Materials Bulletin will be issued with that state the Central Laboratory is directly
the revised text for Subsections 13.4 through involved.
13.4.4. The guiding document will be Procedural
Directive 21.1. 14.4.1 Do not send copies of product or materials
forms, or associated documentation to any Staff
13.4 In order to comply with adequate field Branch unless it is specified on the Form
documentation as stated in the CDOT distribution or specifically addressed to do such in
Construction Manual, project field work sheets the Field Materials Manual.
should be handled in the following manner:
14.5 Copies of product and/or materials reports
13.4.1 The first Form will have a printed name for acceptance decisions and IA reports will be
and signature. retained for all CDOT projects at the designated
Region office for the period specified in CDOT’s
13.4.2 Thereafter the Form can be initialed by the Records Retention Procedural Directive.
same person instead of applying a signature.

13.4.3 If at any time the project personnel are 15. TRAINING PROGRAMS and SEMINARS for
changed, the above process will be started over. CDOT PERSONNEL

13.4.4 The final worksheet in any series of testing 15.1 Region Materials Training Programs.
for any pay item will have the last Form signed, Formal training courses in materials sampling and
rather than initialed. testing will be conducted in each Region as
needed, by the Region Materials Engineer for new
13.5 Where predominately computer forms or state personnel assigned to construction projects.
worksheets are being used on a project, sufficient
information will be available in the project records 15.2 Annual refresher courses will be
to determine the responsible party performing the conducted on an as needed basis in each Region
sampling, testing, documentation, and record by the Region Materials Engineer for CDOT
keeping. personnel involved with construction products and
materials sampling and testing.

14. DISTRIBUTION OF MATERIALS RECORDS 15.3 Statewide Materials Training Programs:

and RETENTION OF SAMPLING and TESTING The Central Laboratory will conduct training
RECORDS programs on an as needed basis in specific areas
of materials engineering properties intended to
14.1 All originating materials (original address statewide concerns. This may include
document) records for construction projects are to sampling of materials and testing procedures.
be kept in the project file in the Region. These Central Laboratory personnel are also available to
include, but are not limited to, COCs, CTRs, and participate in Region training programs when
all Forms that document test results for requested.
acceptance of materials or products used on
construction projects. 15.4 Materials engineering conferences may be
scheduled by the Central Laboratory. Participants
14.2 These records may be made available to may include representatives from Region Materials
the public through a written request on CDOT and Region Construction Offices as well as
Form #1092, Request to Inspect Public Records. Central Laboratory Program Managers and
personnel from other Staff Branches. Each
14.3 The appropriate Forms that aid in the Region Materials Engineer may submit items
identification of samples and provide instructions during the construction year for the agenda.
for testing of samples will either be processed
electronically for a SiteManager applicable project 15.5 The Concrete Unit of the Central
or if it is a non-SiteManager project it will be Laboratory will define, coordinate, and support a
attached to each individual sample submittal form, program for CDOT personnel to assure the
addressed to the appropriate laboratory. accuracy and conformance of compressive
strength testing of concrete cylinders. The
14.4 The Central Laboratory personnel will program shall include equipment checks,
provide acceptance details on products and procedure checks, inter-lab testing, training, and

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ACI certification. The details of this program are in

Chapter 600 of the Field Materials Manual.

15.6 The Nuclear Unit of the Central Laboratory

will present the School of Radiological Safety and
Nuclear Gauge Operation on a biennial basis for
re-certification of materials testers, or annually as
needed for new employees.

16. TERMINOLOGY AND ABBREVIATIONS

16.1 Titles having a masculine gender, such as

he, his, him, are utilized for the sake of brevity and
are intended to refer to persons of either sex.

16.2 Whenever an abbreviation is used, it is to

be construed to be the same as the respective
expression.

16.3 Whenever an acronym is used, it is to be

construed to be the same as the respective
expression.

16.4 Whenever the title, the Engineer, is

mentioned it refers to the Chief Engineer of the
Department acting directly or through an
authorized representative, who is responsible for
engineering and administrative supervision of the
project.

16.5 The Staff Materials & Geotechnical

Branch, Staff Materials, the CDOT Materials Lab,
and the Central Laboratory are all synonymous
with respect to this publication; however, the
CDOT Central Laboratory is a national reference
and the Staff Materials & Geotechnical Branch is a
CDOT administrative reference.

17. EXAMPLES

17.1 Examples of the CDOT Form #250 (first

and last three pages only), #379, #473 (Page 1 &
2), and #1199 (Page 1 & 2) referenced in this
chapter can be found in the applicable
Documentation Chapter.

17.2 An example of CDOT Form #520

referenced in this chapter can be found in the
Inspections (Central-to-Region) Chapter.

17.3 An example of CDOT Form #1092 is not

provided in this Manual; however it may be
obtained through the CDOT Forms Catalog.

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