Quality Control Manual For Hma Using SPF

Quality Control Manual for Hot Mix Asphalt
Using Statistical Pay Factors
DEPARTMENT OF
TRANSPORTATION
Division of
Construction
FEBRUARY 2020
QUALITY CONTROL MANUAL FOR HOT MIX ASPHALT USING STATISTICAL PAY FACTORS
Quality Control Manual for Hot Mix Asphalt

Using Statistical Pay Factors
FEBRUARY 2020
Please send comments or suggestions regarding this manual to:

State of California
Department of Transportation
Division of Construction
Office of Construction Engineering
P. O. Box 942874
Sacramento, CA 94271-0001
© Copyright 2020 California Department of Transportation

All Rights Reserved. (No part of this manual may be reproduced in any form or by any electronic or
mechanical means including information storage and retrieval systems without permission in writing
from the California Department of Transportation).
Contents
PREFACE........................................................................................................................................... 1
INTRODUCTION ............................................................................................................................... 2
QUALITY CONTROL PLAN ................................................................................................................. 3
General Requirements ...................................................................................................................................3
Elements ........................................................................................................................................................3
Certification ....................................................................................................................................................4
Organization ..................................................................................................................................................4
Distribution....................................................................................................................................................8
Inspection Plans .............................................................................................................................................8
Hot Mix Asphalt Production Inspection ..........................................................................................................8
Hot Mix Asphalt Placement Inspection .........................................................................................................15
Sampling and Testing Plan............................................................................................................................20
Random Sampling Plan.................................................................................................................................21
Laboratories and Equipment ........................................................................................................................21
Corrective-Action Plans ................................................................................................................................22
Documents...................................................................................................................................................24
Quality Control Plan Checklist.......................................................................................................................25
QUALITY CONTROL IMPLEMENTATION ......................................................................................... 27

Quality-Control Plan Submittal and Acceptance............................................................................................27
Independent Assurance................................................................................................................................27
Quality Control During Hot Mix Asphalt Production and Placement..............................................................28
Production Startup Evaluation......................................................................................................................29
Dispute Resolution.......................................................................................................................................30
HMA SPF Pay Program .................................................................................................................................31
REFERENCES AND RESOURCES ....................................................................................................... 33

FEEDBACK ...................................................................................................................................... 34
APPENDIXES................................................................................................................................... 35
Appendix A Sample Contractor Quality-Control Plan Submittal Letter ..........................................................36
Page i
Division of Construction November 2019
Appendix B SampleQCPCertification............................................................................................................37
Appendix C Sample Organizational Chart......................................................................................................38
Appendix D Sample Quality Control Manager’s Qualifications.......................................................................39
Appendix D Sample Quality Control Manager’s Qualifications (continued) ....................................................40
Appendix E TL-0111 Certification for Test Performance.................................................................................41
Appendix E TL-0113 Certification for Test Performance (continued)..............................................................42
Appendix F Sample Hot Mix Asphalt Production Inspection Plan ..................................................................43
Appendix F Sample Hot Mix Asphalt Production Inspection Plan (continued)................................................44
Appendix G Sample Hot Mix Asphalt Placement Inspection Plan.................................................... 46

Appendix G Sample Hot Mix Asphalt Placement Inspection Plan (continued)................................. 47
Appendix H Sample Quality Control Sampling and Testing Plan ..................................................... 48
Appendix H Sample Quality Control Sampling and Testing Plan (continued) .................................. 49
Appendix I Sample Quality Control Random Sampling Plan............................................................ 53
Appendix J Sample Corrective Action Plan—Hot Mix Asphalt Production ...................................... 54
Appendix J (continued) Sample Corrective Action Plan—Hot Mix Asphalt Placement .................... 55
Appendix K Quality-Control Plan Review Checklist for Hot Mix Asphalt ......................................... 56
Appendix K (continued) Quality-Control Plan Review Checklist for Hot Mix Asphalt....................... 57
Appendix K (continued) Quality Control Plan Review Checklist for Hot Mix Asphalt....................... 62
Page ii
Division of Construction FEBRUARY 2020
PREFACE
Caltrans implemented the Quality Control Quality Assurance (QCQA) specifications for hot mix
asphalt in 1995. The QCQA specifications provided incentives and disincentives based on a
statistical analysis of the contractor’s verified test data. In 2014, Caltrans made the switch from
the Hveem mix design process to the Superpave mix design process and temporarily removed
the incentive and disincentive specifications. In 2019, after five years of continuous
improvement to the Superpave mix design specifications, the incentive and disincentive
specifications were re-implemented as “Hot Mix Asphalt Using Statistical Pay Factors (SPF).”
The new specifications are similar to the previous QCQA specifications, except that a pay factor
for air voids replaces a pay factor of one of the aggregate gradation sieve sizes. Additionally, the
contractor performs quality-control testing using a density gauge (nuclear or non-nuclear),
followed by determining actual in-place density using cores. The California Department of
Transportation (Caltrans) continues to monitor and perform its own verification testing before
using the contractor’s test results for acceptance and payment. Caltrans testing is no longer
referred to as quality assurance testing, because the specifications define quality assurance as
covering both the contractor’s quality control testing and Caltrans’ acceptance and verification
testing.
The Statistical Pay Factor specifications, Section 39-2.09 “Type A Hot Mix Asphalt using
Statistical Pay Factors,” and 39-2.10, “Rubberized Hot Mix Asphalt Gap-Graded Using Statistical
Pay Factors,” will be added as a special provision in each contract prior to being incorporated
into the Standard Specifications. Like the old QCQA specifications, the new SPF specifications
have the following goals:
• Improve the quality of materials and processes used in the construction of highway projects
and reduce the life-cycle costs for the facilities involved
• Place responsibility for quality control on the contractor
• Reduce disputes between contractors and Caltrans
The hot mix asphalt using statistical pay factor specifications were developed to emphasize
quality control during the production and placement of material. Hot mix asphalt acceptance
and payment are based on:
• The contractor’s fulfillment of quality-control inspection, sampling, and testing.
• The resident engineer’s inspection, sampling, and testing to verify that the contractor’s
quality-control inspection, sampling, and testing comply with specifications.
• Statistical evaluation of specified quality characteristics.
The objective of the Quality Control Manual for Hot Mix Asphalt using Statistical Pay Factors is
to help the contractor fulfill the quality-control responsibilities for hot mix asphalt projects that
require the SPF construction process.
Page 1
INTRODUCTION
The contractor is responsible for quality throughout hot mix asphalt (HMA) production and
placement. Therefore, the contractor must verify that the materials provided and work
performed by subcontractors, suppliers, and producers comply with project specifications. The
contractor provides the necessary quality control so that materials comply with specifications.
Following are the major components of the SPF quality control program:
• Quality control
• Verification
• Independent assurance
• Dispute resolution
• Acceptance and payment
Figure 1 is a flowchart of the major components of the SPF quality-control program and their
relationships.
Independent Assurance
QUALITY CONTROL QUALITY ASSURANCE

HMA
Contractor QC Manager Production Resident Engineer
and Inspectors
QC Inspectors
Placement
QC Testers Verification Testers and
Laboratory
QC Laboratory
Dispute Resolution
HMA Pay Program
Acceptance and Payment Adjustment

Figure 1. SPF Program Components and Relationships
Page 2
QUALITY CONTROL PLAN

The contractor is responsible for developing and implementing a quality-control plan for
inspection, testing, and other specified actions so that all aspects of hot mix asphalt
production and placement meet specifications. A quality control plan must address contractor
process monitoring including inspection, sampling, and testing. Process monitoring has action
limits and specified steps to be taken if the action limits are breached. The specified steps are
taken for the following reasons:
• To keep the process in control
• To quickly determine when the process has gone out of control
• To respond adequately to correct the situation and bring the process back into control
General Requirements
The contractor must submit a project-specific quality-control plan to the resident engineer for
acceptance. The contractor’s quality-control plan submittal letter should briefly describe key
elements of the plan that have been developed to fulfill the contract requirements. The
submittal letter should identify the contractor, hot mix asphalt paving subcontractor, if
applicable, hot mix asphalt producer, and quality control manager. If hot mix asphalt
production and placement are subcontracted, the quality control manager may report to the
subcontractor if the contractor has so delegated in the letter of submittal for the quality-
control plan. Appendix A shows a sample quality control plan submittal letter.
The resident engineer uses the quality-control plan minimum requirements outlined in this
manual to evaluate the plan for acceptance. If the resident engineer does not accept the
quality-control plan, the contractor submits a revised plan. Each page of a revised plan
indicates the revision number and date. The resident engineer has five business days to review
each submitted quality-control plan. The contractor cannot begin hot mix asphalt production
and placement without the resident engineer’s acceptance of the quality-control plan.
During work progress, the contractor must submit in writing to the resident engineer quality-
control plan supplements for changes to quality-control procedures, personnel, tester
qualification status, or laboratory accreditation. The contractor must retain copies of all
documents for three years after final contract acceptance.
Elements
At a minimum, the quality control-plan must include the following elements:
• Quality control plan certification by the quality-control manager
• Quality-control organization
• Quality-control plan distribution list
• Quality-control inspection plans
• Sampling and testing plan
Page 3
• Random sampling plan

• Laboratories and equipment
• Action limits and corrective action plans
• Quality-control documents
Certification
The quality-control manager must certify that the plan developed for a project meets the
requirements of the contract specifications and this manual. The manager must review the
qualifications of proposed quality-control personnel and verify that proposed samplers,
testers, and laboratories meet the requirements of the Caltrans Independent Assurance
Program.
Tester certifications and laboratory accreditations can be verified through the Statewide
Independent Assurance Database:
https://sia.dot.ca.gov/
The quality -control plan cover must contain a signed statement by the quality-control
manager:
It is hereby certified that the information contained in this quality-control plan for
contract [insert contract number] meets the requirements of contract specifications
and the Quality Control Manual for Hot Mix Asphalt Using Statistical Pay Factors. This
quality-control plan identifies qualified testing personnel and accredited laboratories in
accordance with the Independent Assurance Manual.
Appendix B shows a sample quality-control plan cover letter with the quality-control manager
certification statement.
Organization
The quality-control plan must include the contractor’s quality-control organization for the
project. The organization must, at a minimum, identify the following: quality-control manager,
inspectors, samplers, testers, and laboratories. The organization section must provide the
following information:
• Quality-control organization chart
• Quality-control manager’s qualifications and experience
• Request for assignment of inspectors, samplers, and testers
• Quality-control inspector affidavit of proficiency
• Sampler and tester qualification certificates of proficiency
• Laboratory accreditation
The following table outlines minimum numbers of field quality-control staff for hot mix asphalt
production and placement:
Page 4
Quality Control Staffing Levels

Field Compaction
Requirement (excluding the manager) (see
Note 3)
Method Compaction 3 (see Note 1)

Density Testing 4 (see Note 2)
Note 1 One hot mix asphalt inspector at the plant, one at the site of
placement, a third where the contractor deems necessary.
Note 2 One hot mix asphalt inspector at the plant, one at the site of
placement performing density testing, one additional at the
site of placement, and a fourth where the contractor deems
necessary.
Note 3 The contractor must provide a qualified sampler to pull the
engineer’s verification samples of hot mix asphalt and
density cores. The contractor must split the hot mix asphalt
sample into four parts, provide three to the engineer, and
keep one. This person may be one of the three required for
method compaction, or one of the four required for projects
with density testing. The contractor’s portion of the splits may
not be used as quality-control sample.
The organizational chart must show the contractor and each subcontractor laboratory, and it
must identify all quality-control staff involved in hot mix asphalt production, placement, or
evaluation. The chart must show how these organizations and personnel will interconnect and
communicate. Appendix C shows a sample quality control organization chart. The chart must
show the following:
• Reporting hierarchy of quality-control organization, contractor, subcontractors, and hot
mix asphalt producers
• All quality-control staff by name and function
• The primary and secondary person for each function
• The contact phone numbers and email addresses for all quality-control staff
• The name, contact name, and telephone number of each quality-control laboratory
• When the contractor is using a testing laboratory independent of the quality-control
testing laboratory to confirm quality-control testing, the name, contact name, and
telephone number of the independent testing laboratory
• The roles and responsibilities for staff and laboratories
Success of the contractor’s quality-control program requires the quality-control manager,
inspectors, samplers, laboratories, and testers to act as a team to accomplish desired results.
Page 5
The contractor must assure that adequate communication exists among quality-control staff
and production and placement staff at all locations.
Quality-control manager—The quality-control manager must be an employee of the
contractor, the hot mix asphalt production or placement subcontractor, or a consultant
employed by the contractor. The manager must be at the job site within 3 hours of receiving
notice. The manager must not report to those responsible for the construction and production
operations and cannot perform other quality-control functions, such as hot mix asphalt
inspection, sampling, or testing. The manager provides training to the contractor,
subcontractor, producer, and quality-control personnel. The contractor may assign an
alternate quality-control manager. The alternate must be qualified and authorized to perform
quality-control manager functions as described in this manual.
The quality-control manager must have previous quality-control experience on a project of
comparable size and scope and previous statistical pay factor quality control program training.
The quality-control plan must include the manager’s name, qualifications, and experience. See
Appendix D for sample qualifications and experience.
The quality-control manager is responsible for administering the quality-control program,
including preparing the quality-control plan, and reviewing test results, inspection reports,
material certificates, and production processes to assure that all materials and completed hot
mix asphalt pavement conform to contract requirements. The quality-control manager must
indicate review of quality-control documents, including test reports and inspection reports, by
initialing each document. The quality-control manager must have full authority to institute
actions necessary for a successful quality-control program to assure that hot mix asphalt
complies with the specifications.
The manager must prepare and submit quality-control plan supplements to the contractor
when there are changes to quality-control procedures, personnel, tester qualification status,
or laboratory accreditation. The contractor submits the supplements to the resident engineer.
The manager must assure that quality-control plan supplements are immediately distributed.
Quality-control inspectors—The contractor is responsible for inspecting the production,
transportation, placement, and compacting operations of hot mix asphalt and the finished
roadway surface. As representatives of the contractor, the quality-control inspectors are
responsible for inspection of hot mix asphalt production and placement to assure compliance
with the specifications. Inspectors must be familiar with:
• Plans
• Standard Specifications
• Special provisions
• Hot mix asphalt production and placement operations
• Potential problem areas
Page 6
• Inspection documentation requirements

The hot mix asphalt quality-control inspectors should have inspection experience on projects
of similar type and size and have attended some hot mix asphalt training. The quality-control
manager certifies and submits the hot mix asphalt production and hot mix asphalt placement
inspectors’ qualifications on Form CEM-3802, “Quality Control Inspector Affidavit of
Proficiency.” The quality-control manager includes the names of proposed quality-control
inspectors on Form CEM-3801, “Request for Assignment of Inspectors, Samplers, and Testers.”
Forms can be found at:
http://cefs2.dot.ca.gov/
Hot mix asphalt production and placement inspectors, when qualified by the Caltrans
Independent Assurance Program (IAP) for California Test 125, “Methods of Test for Sampling
Highway Materials and Products Used in Roadway Structural Section,” may obtain aggregate
or hot mix asphalt samples at the hot mix asphalt production facility. Inspectors who may
perform sampling must have both the box for inspection and for sampling checked on Form
CEM-3801 with Form TL-0111, “Qualified Certificate of Proficiency,” attached. Both forms are
shown in Appendix E.
Quality-control samplers and testers—The contractor is responsible for sampling and testing
aggregates and hot mix asphalt mix. Samplers and testers must be familiar with sampling and
testing requirements of the quality-control plan, procedures for sampling and testing, proper
care of materials samples and testing equipment, and sampling and testing documentation
requirements.
The Caltrans IAP must qualify all samplers and testers who perform quality-control sampling
and testing. It is the contractor’s responsibility to verify that all samplers and testers maintain
a current qualification, as shown on Form TL-0111, for the test methods required for hot mix
asphalt.
The quality-control manager must include samplers’ and testers’ names on Form CEM-3801
with a copy of a current TL-0111 for each sampler and tester named. Tester certifications and
laboratory accreditations can be verified through the Statewide Independent Assurance
Database.
Quality control laboratories—The contractor is responsible for providing adequate laboratory
facilities to fulfill the specified testing requirements and quality-control needs for production
and placement of hot mix asphalt. Quality-control laboratory personnel must be qualified by
the Caltrans IAP and have in-depth knowledge of the project quality-control plan. Where
required, the Caltrans IAP must inspect and accredit quality-control laboratories. Copies of the
current Caltrans IAP accreditation, Appendix E, for each quality-control laboratory must be
included in the quality-control plan. See the “Laboratories and Equipment” section of this
manual for more information about quality-control laboratory requirements.
Page 7
Distribution
The contractor develops a quality-control plan distribution list that must include:
• Individuals and locations to receive the quality-control plan (quality-control manager,
resident engineer, paving foreperson, inspectors, samplers, testers, hot mix asphalt
production facility, laboratories, aggregate suppliers, and HMA transportation providers).
• The person responsible for distributing the quality control plan and its supplements.
Inspection Plans
The contractor is responsible for inspecting the production, transportation, placement, and
compaction of hot mix asphalt and the finished roadway surface. The quality-control plan
must include an outline of planned inspections and list HMA inspectors’ duties for the
production facility and roadway. A sample HMA production inspection plan is shown in
Appendix F, and a sample HMA placement inspection plan is shown in Appendix G.
All inspectors must be familiar with the reporting forms used to record their daily activities.
They must complete these records each day and submit them to the quality-control manager
for review. The manager must, in turn, compile all daily records of inspection and submit them
with a summary report to the resident engineer. The reporting form for HMA production
inspection is Form CEM-3501, “Hot Mix Asphalt Production Report,” and the reporting form
for HMA placement inspection is Form CEM-3502, “Hot Mix Asphalt Placement Report.”
The contractor’s quality-control inspection plans must address, at a minimum, the following
requirements for HMA production inspection and placement inspection.
Hot Mix Asphalt Production Inspection
Before the first day of HMA production, the production inspector must verify that the
requirements are met for plant qualification and moisture sensitivity treatment of aggregates.
Hot Mix Asphalt Plant Qualification
Hot mix asphalt plants must be qualified under the Caltrans Materials Plant Quality Program.
Before production begins, the HMA production inspector takes the following steps:
• Verify with the Caltrans district weights and measures coordinator that the proposed HMA
plant is Caltrans-qualified under the Material Plant Quality Program. Batch HMA plants
must be qualified annually, and continuous HMA plants are qualified at least every six
months, in accordance with “MPQP Frequency” of the Material Plan Quality Program
manual.
• If plant is not qualified, notify the quality control manager.
• If applicable, accept HMA from a non-qualified plant if a “Startup Approval” letter
(completion of dynamic testing not to exceed 14 days) has been granted by the district
weights and measures coordinator.
Page 8
Moisture Sensitivity Treatment

The HMA may be sensitive to moisture damage and require one of the following antistrip
treatments, to be identified on Form CEM-3511, “Contractor Job Mix Formula Proposal.”
HMA aggregate lime treatment—slurry method
HMA aggregate lime treatment—dry lime method
Liquid antistrip treatment
Lime Treatment of Aggregates
Lime treatment of aggregates has two processes:
• HMA aggregate lime treatment—slurry method
• HMA aggregate lime treatment—dry lime method
Quality-control test limits for aggregate properties were established without lime treatment,
so aggregate testing must be performed before lime treatment.
Before production begins, verify with the Caltrans district weights and measures coordinator
that the proposed lime plant is Caltrans-qualified under the Material Plant Quality Program.
During lime treatment of aggregates, verify that:
• Aggregate samples for sand equivalent, gradation, and moisture content are taken at the
frequency shown in the Quality Control Sampling and Testing Plan. Sample aggregate from
stockpiles in accordance with California Test 125, “Method of Test for Sampling Highway
Materials and Products Used in Roadway Structural Sections.”
• Aggregate samples for sand equivalent and gradation are tested at the frequency shown in
the Quality Control Sampling and Testing Plan. Combine aggregate from individual
stockpiles in the job mix formula (JMF) proportions as necessary for testing.
• Aggregate samples are tested for moisture content in accordance with AASHTO T 255,
“Method of Test for Total Evaporable Moisture Content of Aggregate by Drying.” Notify
the contractor of the test results, and confirm that any required plant adjustment has
been made.
• Aggregate samples for aggregate quality characteristic testing are obtained from stockpiles
in accordance with California Test 125 and at the frequency shown in the Quality Control
Sampling and Testing Plan. Verify that aggregate samples are tested for aggregate
properties including:
1. Los Angeles Rattler
2. Percent of crushed particles coarse aggregate (one-fractured face)
3. Percent of crushed particles coarse aggregate (two fractured faces)
4. Percent of crushed particles fine aggregate (one fractured face)
Page 9
5. Fine aggregate angularity

6. Flat and elongated particles
7. Other aggregate properties specified in the project special provisions, if applicable
• For slurry method and dry lime method, assure that aggregate treatment is adequate by
witnessing plant operation and verify that the data is entered by the contractor into the
treatment data log as required by the specifications.
For each day of aggregate lime treatment, obtain the treatment data log in tab-delimited
format on a data storage device. Provide the quality-control manager with the lime treatment
data for submittal to the resident engineer.
Liquid Antistrip Treatment
This treatment process requires the treatment of the asphalt binder with liquid antistrip.
Before production begins, the hot mix asphalt production inspector takes the following steps
related to liquid antistrip treatment:
• Verify with the Caltrans district weights and measures coordinator that the proposed
antistrip metering device and storage tank are Caltrans-qualified under the Material Plant
Quality Program.
• Verify that the liquid antistrip is the same type and brand as shown on the accepted JMF.
During antistrip treatment of aggregates, witness the contractor recording the liquid antistrip
treatment data into treatment data log as required by the specifications.
For each day of antistrip treatment, obtain the treatment data log in print and electronic
media in tab-delimited format. Provide the quality-control manager with the antistrip data for
submittal to resident engineer.
Inspection Requirements Before Daily Start of Production
The HMA production inspector must be familiar with the HMA production facility to be
inspected. The inspectors must document each day’s production information on Form CEM-
3501, “Hot Mix Asphalt Production Report.” CEM forms are available at:
http://cefs2.dot.ca.gov/
Before daily start of production, HMA production inspection requires:
• Recording plant inspection information on Form CEM-3501 to document compliance with
the specifications.
• Verifying that aggregate is stored separately according to the specified sizes. For proper
storage of specified sizes, compare the material from each bin with requirements in
“Aggregate Storage” of the Material Plant Quality Program manual. If any segregation,
degradation, or intermingling occurs, require the contractor to empty the storage facility
and to waste or re-screen the material.
Page 10
• Assuring that the supplemental fine aggregate remains dry and is stored separately as
specified in Material Plant Quality Program manual.
• Verifying that the security seal has not been tampered with.
• Checking that the proportioning equipment is interlocked as specified in the Material Plant
Quality Program manual.
• Verifying that the JMF, unmodified or modified in accordance with 39-2.01A(3)(b)(iii), “Job
Mix Formula Modification,” of the Standard Specifications, being used by the contractor
has been verified and authorized for the project and that no changes have been made to:
1. Target asphalt binder percentage.
2. Asphalt binder supplier.
3. Asphalt rubber binder supplier.
4. Component materials used in asphalt rubber binder or percentage of any component
material.
5. Combined aggregate gradation.
6. Aggregate sources.
7. Substitution rate for reclaimed asphalt pavement aggregate of more than 5 percent.
8. Any material in the JMF. Notify the quality-control manger if there has been any
change in the JMF.
Verifying that the asphalt binder supplier is on the Caltrans-approved supplier list or that
asphalt binder samples have been taken from each truckload and tested in accordance with
Section Q, “Requirements for Suppliers Supplying Asphalt Without a Certificate of
Compliance,” of the Certificate Program for Suppliers of Asphalt. Immediately notify the
contractor and quality-control manager if asphalt binder testing has not been completed for a
supplier not on the approved supplier list.
Inspection Requirements During Production
HMA production inspection during production requires the following:
• Recording daily production information on Form CEM-3501, “Hot Mix Asphalt Production
Report.” Document additional information about plant production, including instructions
from the contractor’s quality-control inspector to the contractor’s personnel.
• Observing the overall plant operation to verify that the contractor controls dust or smoke
as specified.
• During the production start-up evaluation, checking that samples of aggregate, asphalt
binder, reclaimed asphalt pavement, if applicable, and HMA are obtained within the first
750 tons of HMA production according to Section 39-2.01A(4)(h)(v), “Production Start-up
Evaluation,” of the Standard Specifications. Sample according to California Test 125 and
Page 11
provide 3 split samples to the resident engineer and keep 1 part.

• Ensuring that the production start-up evaluation aggregate sample for aggregate gradation
and sand equivalent are tested immediately. If reclaimed asphalt pavement is used,
determine aggregate gradation according to California Test 384, “Method of Test for
Combining Gradations for Hot Mix Asphalt (HMA) using Reclaimed Asphalt Pavement
(RAP) and/or Reclaimed Asphalt Shingles (RAS).”
• For continuous mixing plants, verifying that aggregate samples are obtained at least twice
a day for aggregate moisture content testing according to AASHTO T 255, “Standard
Method of Test for Total Evaporable Moisture Content of Aggregate by Drying.”
• Assuring that aggregate samples are tested for moisture content according to AASHTO T
255, notifying the contractor of the aggregate moisture test results, and confirming that
any required plant adjustment has been made.
• If applicable, obtaining reclaimed asphalt pavement samples for moisture content at least
twice a day using California Test 384.
• Ensuring that reclaimed asphalt pavement samples are tested for moisture content using
AASHTO T 255, notifying the contractor of the reclaimed asphalt pavement moisture test
results, and confirming that any required plant adjustment has been made.
• Ensuring that aggregate samples for aggregate grading and sand equivalent testing are
obtained at the frequency shown in the Quality Control Sampling and Testing Plan.
Sampling aggregate according to California Test 125, “Methods of Test for Sampling
Highway Materials and Products Used in the Roadway Pavement Structure Sections.” If
applicable, taking aggregate samples before lime treatment for testing sand equivalent.
Reclaimed asphalt pavement does not need to be sampled for aggregate gradation or sand
equivalent.
• Making sure that aggregate samples for aggregate gradation and sand equivalent are
tested at the frequency shown in the Quality Control Sampling and Testing Plan. If
reclaimed asphalt pavement is used, determine aggregate gradation using California Test
384. Notifying the contractor of aggregate gradation and sand equivalent test results, and
confirming that any required plant adjustment has been made to correct for out-of-action
limit aggregate gradation.
• Assuring that aggregate samples are obtained according to California Test 125 at the
frequency shown in the Quality Control Sampling and Testing Plan for testing aggregate
properties including:
1. Los Angeles Rattler
2. Percent of crushed particles coarse aggregate (one fractured face)
3. Percent of crushed particles coarse aggregate (two fractured faces)
4. Percent of crushed particles fine aggregate (one fractured face)
Page 12
5. Fine aggregate angularity

6. Flat and elongated particles
7. Other aggregate properties specified in the project special provisions. If applicable,
aggregate samples must be taken before lime treatment for testing aggregate
properties. Reclaimed asphalt pavement does not need to be sampled for aggregate
properties.
• Obtaining the required certificates of compliance; see Section 92-1.01D(2), “Certification,”
of the Standard Specifications, for all loads of asphalt binder and providing them to the
quality-control manager for submittal to the resident engineer.
• Ensuring that a sample of asphalt binder is obtained and submitted to the resident
engineer. Sampling the asphalt binder at the frequency shown in the Quality Control
Sampling and Testing Plan.
• Ensuring that asphalt rubber binder:
1. Complies with the specifications by witnessing the contractor measure asphalt rubber
binder viscosity using ASTM D7741, “Standard Test Method for Measurement of
Apparent Viscosity of Asphalt-Rubber or Other Asphalt Binders by Using a Rotational
Handheld Viscometer.”
2. Is not used during the first 45 minutes of the reaction period.
3. Is not reheated more than twice.
4. Is measured hourly by the contractor for temperature and viscosity and provided in
daily logs.
For asphalt rubber binder components:
1. Collect certificates of compliance for each truckload of crumb rubber modifier and
asphalt modifier.
2. Collect a “Buy America” certificate for each truckload of crumb rubber modifier.
3. Obtain samples of crumb rubber modifier using California Test 385, “Method of Test
for Crumb Rubber Modifier,” and at the frequency shown in the Quality Control
Sampling and Testing Plan. Provide the samples to the resident engineer.
4. Obtain samples of asphalt modifier and provide them to the resident engineer. Sample
asphalt modifier binder at the frequencies shown in the Quality Control Sampling and
Testing Plan.
• For HMA that uses asphalt binder containing crumb rubber modifier, verify that Form
CEM-4410, “Crumb Rubber Usage Report,” is submitted monthly and at the end of the
project.
• Except for smoothness, if two consecutive non-pay factor quality characteristic test results
or any 3 quality characteristics (pay factor or non-pay factor quality characteristics) for 1
Page 13
day’s production do not comply with the specifications, make sure the contractor stops
HMA production, notifies the resident engineer, takes corrective action, and demonstrates
compliance with the specifications before resuming production and placement of HMA on
the project.
• Check that the temperatures of the asphalt binder, aggregate, and HMA mixture are within
limits specified in Section 39-2.01B(8), “Hot Mix Asphalt Production,” of the Standard
Specifications. Record temperatures and times taken in the daily HMA production report.
• Verify that the batch size and feed rates do not exceed the mixing capacity range used
during plant dynamic testing conducted in accordance with the Material Plant Quality
Program manual.
• Check that samples of HMA mixture for mix moisture are obtained according to California
Test 125, “Methods of Test for Sampling Highway Materials and Products Used in the
Roadway Pavement Structure Sections,” at the frequency shown in the Quality Control
• Make sure that samples of HMA mixture are tested to determine HMA mix moisture in
accordance with AASHTO T 329, “Standard Method of Test for Moisture Content of
Asphalt Mixtures by Oven Method,” and at the frequency shown in the Quality Control
• For batch plants:
1. Observe production to assure that the mixing time and sequence of withdrawal from
the bins produce the specified homogeneous hot mix asphalt mixture.
2. Observe that the automatic batching equipment functions within limits specified in
“Hot Mix Asphalt Plant Equipment” of Material Plant Quality Program manual.
For continuous mixing plants (dryer drum or dryer drum pugmill), verify that the following are
operating properly:
1. Vibrating unit on the fine bins
2. Low-level and no-flow interlock systems for aggregate and reclaimed asphalt pavement
feeder bins
3. No-flow interlock system for asphalt binder storage and feed system
4. Automatic plant controller
5. Dust control systems
6. Segregation devices at hot mix asphalt storage
• Observe the operation of all weighing systems. Whenever scales and meters seem
inaccurate, contact the district weights and measures coordinator for further assistance.
Be aware of scale and meter security seals and set points.
• For batch plants, make sure that the equipment is operating properly:
Page 14
1. For the batching process, consider the weight of the material falling from the bin gates
to the weighing hopper after the gates are closed (in-air weight compensation).
2. Verify that the weigh box containing the total batch does not contact anything that
prevents a true indication of the batch weight.
3. When intermediate storage (silo) of hot mix asphalt does not occur, periodically check
the batching by comparing the total weight of the batches in a truckload with the
platform scale weight for the same load.
4. Check the asphalt binder scales frequently to verify that they return to within zero
tolerance limits and that the scale lever systems or load cells move freely.
• For HMA storage in silos that complies with “Hot Mix Asphalt Storage,” of Material Plant
Quality Program manual, verify that HMA storage:
1. Does not cause obvious segregation.
2. Maintains specified temperature.
3. Maintains the minimum silo level.
4. Does not exceed the maximum storage time.
• Before trucks are loaded, verify there are no pools of parting agents or other
contaminating materials inside. Diesel or other petroleum-based products are prohibited
from use as parting agents.
• After trucks are loaded with HMA mixture, check that aggregate is coated with asphalt
binder and the load is not segregated. Notify the contractor and quality-control manager if
loads need to be rejected based on non-homogeneous HMA mixture.
• Make sure loads in trucks are covered with tarpaulins if required by the specifications. If
trucks are being tarped, record data on Form CEM-3501, “Hot Mix Asphalt Production
Report.”
Hot Mix Asphalt Placement Inspection
For HMA placement operations, one or more inspectors must always be present at the site of
placement. The placement inspector documents the data on Form CEM-3502, “Hot Mix
Asphalt Placement Report.”
Before Hot Mix Asphalt Placement
To assure that the subgrade has been prepared for HMA placement, the subgrade must be
inspected by Caltrans as well as by the contractor’s quality-control placement inspector.
Inspect the subgrade before HMA placement to:
• Verify that the subgrade is dry, stable, compacted, and smooth. The subgrade to receive
HMA must comply with compaction and elevation tolerance specifications for the material
involved. Report any subgrade problems to the contractor and quality control manager.
Page 15
• Make sure the existing pavement surface is clean. The contractor may use any means,
including flushing and sweeping, to remove loose paving particles, dirt, and other
extraneous material.
• Make sure the pavement surface is dry and thawed before application of tack coat and
paving.
• Verify that the contractor submits calculations for the minimum tack spray rate required to
achieve the minimum residual rate required by 39-2.01A(3)(j), “Tack Coat” of the Standard
Specifications and the contractor’s proposed spray rate.
During Hot Mix Asphalt Placement
As guidance for best practices for HMA placement, refer to “Placing Hot-Mix Asphalt” in
Construction of Hot-Mix Asphalt Pavements published by the Asphalt Institute. Inspection
during HMA placement requires the following:
• Recording daily HMA placement information on Form CEM-3502, “Hot Mix Asphalt
Placement Record,” and documenting additional information about HMA placement,
including instructions from the contractor’s quality-control inspector to the contractor’s
personnel.
• Prior to applying tack coat, per 39-2.01A(3)(j), “Tack Coat” of the Standard Specifications,
verifying that the contractor submits calculations for the minimum spray rate required to
achieve the minimum residual rate.
• Ensuring that tack coat is applied to surfaces to be paved. For guidelines for inspecting tack
coat, including determining residual rates, refer to either Tack Coat Guidelines manual, or
use the “Minimum Tack Coat Spray Rates” table published by Caltrans at:
https://dot.ca.gov/programs/construction/publications
On the first day of production and during the first 750 tons of production, ensuring
that HMA mix is sampled according to Section 39-2.01A(4)(h)(v), “Production Start-Up
Evaluation,” of the Standard Specifications. Sample according to California Test 125,
“Methods of Test for Sampling Highway Materials and Products Used in the Roadway
Pavement Structure Sections,” and provide the resident engineer with three split
samples.
• Ensuring that the HMA production startup evaluation sample is tested for compliance with
the specifications for the quality characteristics specified in Sections 39-2.09A(4)(a)(i), “Job
Mix Formula and Production Start Up Evaluation” and 39-2.10A(4)(i), “Job Mix Formula
and Production Start Up Evaluation” of the Standard Specifications, which respectively
include the requirements for Type A HMA and RHMA-G. If applicable, assuring that an
adequate material sample is obtained for AASHTO T 324 (Modified) “Hamburg Wheel-
Track Testing of Compacted Hot-Mix Asphalt (HMA)” and AASHTO T 283 “Resistance of
Compacted Asphalt Mixture to Moisture-Induced Damage.”
• Verifying that when HMA compaction is done by method process, HMA placement occurs
Page 16
within the specified temperature ranges by taking sufficient measurements of the

atmosphere, pavement, and HMA mixture, which is not to exceed 325 degrees Fahrenheit.
Refer to Section 39- 2.02C “Construction,” for Type A HMA or Section 39-2.03C
“Construction” for RHMA-G, of the Standard Specifications for atmospheric and surface
temperature minimum requirements. Record temperatures and the times taken on Form
CEM-3502, “Hot Mix Asphalt Placement Record.” When temperatures are below specified
limits, notify the contractor to stop HMA placement.
• Making sure that when HMA is placed against the edge of a longitudinal or transverse
construction joint that is damaged or not placed in a neat line, extraneous material is
removed by sawcutting or grinding the pavement straight and vertical along the joint.
• Verifying that longitudinal joints between layers are offset 0.5 foot and finished surfaces
correspond to the edge of traffic lanes.
• Checking that samples of hot mix asphalt mix are obtained in accordance with California
Test 125, “Methods of Test for Sampling Highway Materials and Products Used in the
Roadway Structural Sections” at the frequency shown in the Quality Control Sampling and
Testing Plan.
• Making sure that the contractor quality control samples and the engineer verification
samples are independent of each other.
• Making sure that aggregates samples are tested at the frequency shown in the Quality
Control Sampling and Testing Plan for:
1. Gradation (AASHTO T 27), “Sieve Analysis of Fine and Coarse Aggregate”
2. Sand equivalent (AASHTO T 176), “Plastic Fines in Graded Aggregates and Soils by Use
of the Sand Equivalent Test”
3. Moisture content (AASHTO T 255), “Total Evaporable Moisture Content of Aggregate
by Drying”
4. Crushed particles (AASHTO T 335), “Determining the Percentage of Fracture in Coarse
Aggregate”
5. Los Angeles Rattler (AASHTO T 96), “Resistance to Degradation of Small-Size Coarse
Aggregate by Abrasion and Impact in the Los Angeles Machine”
6. Flat and elongated particles (ASTM D4791), “Standard Test Method for Flat Particles,
Elongated Particles, or Flat and Elongated Particles in Coarse Aggregate”
7. Fine aggregate angularity (AASHTO T 304, Method A), “Uncompacted Void Content of
Fine Aggregate”
• Checking that reclaimed asphalt pavement (RAP) samples, if shown in the job mix formula,
are tested at the frequency shown in the Quality Control Sampling and Testing Plan for:
1. Asphalt binder content of RAP (AASHTO T 164), “Quantitative Extraction of Asphalt
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Binder from Hot Mix Asphalt (HMA)”

2. Aggregate gradation of RAP (California Test 384), “Method of Test for Combining
Gradations for Hot Mix Asphalt Using Reclaimed Asphalt Pavement (RAP) and/or
Reclaimed Asphalt Shingles (RAS)”
3. Moisture content of RAP
• Assuring that hot mix asphalt samples are tested at the frequency shown in Quality Control
Sampling and Testing Plan for:
1. Asphalt binder content (AASHTO T 308, Method A), “Determining the Asphalt Binder
Content of Hot Mix Asphalt (HMA) by the Ignition Method”
2. HMA moisture content (AASHTO T 329), “Moisture Content of Asphalt Mixtures by
Oven Method”
3. Air voids content (AASHTO T 269), “Percent Air Voids in Compacted Dense and Open
Asphalt Mixtures”
4. Dust proportion (Asphalt Institute MS-2), “Asphalt Mix Design Methods”
5. Density of Core (AASHTO T 275, Method A), “Bulk Specific Gravity (Gmb) of Compacted
Asphalt Mixtures Using Paraffin-Coated Specimens”
6. Theoretical maximum density (AASHTO T 209, Method A), “Theoretical Maximum
Specific Gravity (Gmm) and Density of Hot Mix Asphalt (HMA)”
7. Hamburg wheel track (AASHTO T 324 (Modified)), “Hamburg Wheel-Track Testing of
Compacted Asphalt Mixtures”
8. Moisture susceptibility (AASHTO T 283), “Resistance of Compacted Asphalt Mixtures to
Moisture-Induced Damage”
9. Any test specified in the project special provisions and included in the sampling and
testing plan.
10. Nuclear or non-nuclear gauge density as required to monitor in-place density of each
sublot during the compaction process. After the compaction is complete, the
contractor takes one core per 250 tons, three per sublot. The contractor’s payment
and acceptance is based on quality factor determined from the core densities.
If test results for any quality characteristic are beyond the action limits in the quality-control
plan, take corrective actions, and document corrective actions in the inspection records.
Except for smoothness, if a single quality characteristic quality-control test is not in
compliance with the specifications, make sure the contractor and quality contractor manager
are notified.
For quality characteristics with pay factors, once five tests are complete, verify that the
individual and composite quality factors are monitored using all tests in the current lot. If the
composite quality factor, or any single quality factor for any characteristic except the Number
Page 18
8 sieve falls below 0.90, or if the quality factor for the Number 8 sieve falls below 0.75, verify
that the contractor stops production and placement, notifies the resident engineer, takes
corrective action, and demonstrates compliance with the specifications before resuming
production and placement of the hot mix asphalt on the project.
Except for smoothness, if any 2 consecutive non-pay factor quality characteristic test results
are not in compliance with the specifications, verify that the contractor stops production and
placement, notifies the resident engineer, takes corrective action, and demonstrates
compliance with the specifications before resuming production and placement of HMA on the
project.
Except for smoothness, if any 3 quality characteristic test results are not in compliance in a
single day, verify that the contractor stops production and placement, notifies the resident
engineer, takes corrective action, and demonstrates compliance with the specifications before
resuming production and placement of HMA on the project. When multiple sieves are out of
compliance in the same AASHTO T 27 test, they are counted as one failed test. Also:
• Check that HMA delivery trucks have weighmaster certificates and collect them from
arriving trucks. If HMA loads are rejected before placement, note on the back of the
weighmaster certificate and on the daily Form CEM-3502 why the HMA was rejected, for
example: cold mix, segregation, or contamination.
• Verify that the paver performs HMA spreading at the required thickness and that layer
thickness does not exceed 0.25 feet when method compaction is required. Compare the
HMA spread rate with the theoretical rate, and, if necessary, order the contractor to make
adjustments. Check the daily theoretical spread rate against distance actually paved for
the day. Indicate the spread rate and layer thickness checks on Form CEM-3502.
• When HMA trucks are queuing, take action to avoid excessive cooling of HMA mixture. If
windrowing is used, prevent excessive length of windrow to avoid overcooling of the HMA.
Reject material in windrow if extended more than 250 feet in front of the loading
equipment or material transfer vehicle.
• Monitor windrow temperatures with an infrared heat gun. Be aware that when using a
heat gun, the instrument measures surface temperature only and the interior of the
windrow is hotter. When the HMA is run through the paver, the mat temperature may be
above the minimum specified.
• Confirm that the rolling pattern and compaction effort determined by the contractor are
being met. If the rolling pattern has changed, notify the quality control manager and make
a note on Form CEM-3502.
• Make sure that quality-control testing for compaction, the percent of maximum
theoretical density, is performed at the frequency shown in Quality Control Sampling and
Testing Plan.
• When the method process is used for HMA compaction, make sure compaction equipment
Page 19
complies with the specifications by verifying that:

1. Specified equipment performs the compaction in the specified order.
2. The required number of coverages is made for each compaction type: first coverage,
breakdown, and finish.
3. The HMA compaction is completed above the specified minimum temperature for each
compaction type.
4. When a vibratory roller is specified for compaction, its speed in miles per hour must
not exceed the vibrations per minute divided by 1,000. When the HMA layer thickness
is less than 0.08 foot, the vibrator must be in the off mode.
5. When a pneumatic-tired roller is specified for compaction, the speed does not exceed
5 miles per hour.
Refer to Sections 39-2.01C(2), “Spreading and Compacting Equipment,” and 39-2.01C(15)(b),
“Method Compaction” of the Standard Specifications for additional compaction equipment
requirements and for Type A HMA to Sections 39-2.02C, “Construction,” and for RHMA-G, 39-
2.03C, “Construction,” of the Standard Specifications, for detailed compaction temperature
and coverage requirements. Be sure to:
• Inspect the finished HMA surface for marks, tearing, and irregular texture that may be
caused by segregated mix. Notify the contractor of any defective areas.
• Where pavement smoothness using an inertial profiler is not required, obtain pavement
smoothness by daily use of a straightedge to determine whether the finished surface
complies with the tolerances specified in Section 36-3.01D(4), “Department Acceptance,”
of the Standard Specifications. Record such measurements on Form CEM-3502, “Hot Mix
Asphalt Placement Report,” and notify the contractor and quality-control manager of all
out-of-specification areas.
It is the inspector’s responsibility to verify that HMA placement and compaction are
conducted to meet specifications and HMA industry standards of practice.
Sampling and Testing Plan
The quality-control plan must contain a quality-control sampling and testing plan that details
the sampling and testing to be performed by quality-control personnel. The sampling and
testing plan should include each quality characteristic that requires quality control as specified
in the contract. The plan should be the basis of information used by the contractor to maintain
control of HMA production and placement.
The quality-control plan must also contain a detailed testing program that outlines the quality
characteristic to be tested, test method to be used, frequency, and sampling location. The
Quality Control Sampling and Testing Plan must meet the minimum quality-control
requirements of the specifications. Appendix H shows a sample plan. Samplers and testers
who perform quality-control sampling and testing must be qualified in accordance with
Page 20
Caltrans’ independent assurance program.

For HMA compaction, the contractor uses nuclear or non nuclear density gauges to monitor
in-place density of each sublot during the compaction process. After the compaction is
complete, the contractor takes one core per 250 tons, three per sublot. The contractor’s
payment and acceptance is based on quality factor determined from the core densities. The
density gauge should have a good correlation to the density cores. The density gauge operator
does not have to be qualified by Caltrans independent assurance.
If the contractor chooses to use nuclear devices, testers who operate nuclear gauges must be
trained and certified in nuclear gauge operation and transportation safety. Testers must be
provided with nuclear safety badges, and the contractor must maintain a record of the results
of the badge analyses as required. Testing certificates must be from qualified instructors as
defined by the California Department of Health.
Caltrans’ independent assurance program must qualify samplers and testers who perform
quality control, except quality control for compaction using density gauges. The contractor is
responsible for samplers and testers maintaining current Qualified Certificate of Proficiency.
Those who have not kept their qualifications current or who have been disqualified cannot
perform sampling and testing for statistical pay factor process contracts. Tests results after the
date of lapse of qualification or disqualification are considered invalid for the purpose of
quality-control testing, and associated test results cannot be used for acceptance or payment
adjustments.
Random Sampling Plan
The quality-control plan should include a random sampling plan for each quality characteristic
that requires quality-control testing as specified in the contract. The sampling plan must
address partial sublot, end-of-day tonnage, and the method used to determine random
sampling. The sampling plan must also contain a copy of the table of random numbers and
procedures for quality-control personnel to determine sampling times and locations. Appendix
I shows a random sampling plan.
Laboratories and Equipment
A quality-control testing laboratory includes the following laboratory types that participate in
quality control for a contract:
• Main quality-control laboratory
• Field laboratory
• Remote laboratory
• Mobile laboratory
The contractor must check that each quality-control testing laboratory performing AASHTO
tests has a current AASHTO-resource accreditation, and each quality-control lab performing
California Tests is accredited in accordance with the Caltrans Independent Assurance Manual.
Page 21
The manual is available from your district independent assurance representative:

IA.Service.Request@dot.ca.gov
For each quality-control laboratory, the quality-control plan must include:
• Laboratory name, address, phone, fax, and e-mail.
• Laboratory quality-control manager’s name and—if different from above—address, phone,
fax, and email.
• Tests to be performed.
• Form TL-0113, “Caltrans Accreditation Laboratory Inspection Report,” (Appendix E) for labs
performing California Tests. Laboratory accreditations can be verified through the
Statewide Independent Assurance Database:
• AASHTO resource certificates of accreditation are available on the web at:
http://www.aashtoresource.org/aap
Any quality-control laboratory that performs nuclear gauge operation and transportation must
be licensed by the California Department of Health, which requires that nuclear gauge
operators are certified for safety operation and transportation. Testing laboratories using
nuclear gauges on Caltrans projects must be licensed.
The resident engineer or a designee may visit the quality-control laboratories to review the
following:
• Facility safety manual
• Safety equipment
• Laboratory procedures manual
• Laboratory quality-control manual
• Copies of current applicable test procedures
• Proper test equipment
• Equipment calibration and service documentation
• Calibration and service decals on all testing equipment
• Availability of contract plans and specifications
• Availability of applicable Standard Specifications
• Availability of contract-specific quality control plan
Corrective-Action Plans
The contractor is responsible for understanding what is necessary to keep the process in
control, quickly determine when the process has gone out of control, correct the situation,
Page 22
and bring the process back into control.

Corrective-action plans are not intended to cover all possible problems and their solutions.
They are a beginning point to document that the contractor has considered potential breach
of action limits and established procedures to correct them.
The contractor must determine and establish action limits for each quality characteristic,
based on process-control experience and the variability of test results expected between
quality control and acceptance testing. When specified minimum quality characteristics or
placement standards are used as action limits, the contractor’s risk for out-of-specification
material is increased.
The quality-control plan must include a list of anticipated corrective actions needed in the
event that production or construction processes do not meet the specified minimum quality
characteristics or minimum placement standards. Depending on the severity of the problem,
corrective actions may range from minor process adjustments to temporary termination of
HMA production.
The quality-control corrective action plan may be presented in table form as shown in
Appendix J. At a minimum, the plan should contain actions required to address the following
potential situations:
Page 23
Hot Mix Asphalt Production

• Asphalt content • Mix temperature
• Aggregate gradation • Sand equivalent
• Aggregate moisture • Mix segregation
• Mix moisture • Uncoated aggregate
• Asphalt binder temperature • Mixing time
• Aggregate temperature • Mix storage time
• Mixture volumetrics • RAP stockpile augmentation
Hot Mix Asphalt Placement

• Subgrade preparation • Placement yield
• Tack coat • Cross slope
• Ambient temperature • Joint offset
• Mix temperature • Mix segregation
• Joint construction • Compaction testing
• Thickness • Smoothness
If problems arise during HMA production and placement, the contractor must notify the
resident engineer, and identify the problems, the means undertaken to pinpoint the cause, and
anticipated corrections. The specifications contain requirements for notification and production
termination. Corrective actions must be documented in the records of inspection.
Documents
The quality-control plan identifies the forms to use to document the contractor’s quality-
control process, which are detailed enough to provide the contract-required information. The
following documentation must be provided to the resident engineer:
Hot Mix Asphalt Construction Daily Record of Inspection
Two daily inspection reports, Form CEM-3501, “Hot Mix Asphalt (HMA) Production Report,” and
Form CEM-3502, “Hot Mix Asphalt Placement Report,” must be submitted to the resident
engineer by noon the day following the inspection.
Hot Mix Asphalt Daily Summary of Quality Control Testing
Form CEM-3803, “Hot Mix Asphalt Daily Summary of Quality Control Testing,” required for each
day’s production and placement, summarizes the results of each quality characteristic tested.
Page 24
Individual test records showing all data collected and calculations performed must be attached
to Form CEM-3803, signed by the tester, and initialed by the quality-control manager. The test
result data shown on this form for each sublot should be the quality-control data entered into
the SPF Pay program and sent to the resident engineer. For more information on the SPF Pay
program, see “HMA SPF Pay Program” in this manual.
Test results outside action limits or specification limits must be circled on Form CEM-3803.
Initial submittal of the form is required within the maximum time for reporting 24-hour results,
usually by noon the next business day. Within 48 hours of sampling, submit a final Form CEM-
3803 with all test results specified to be reported within 48 hours of sampling.
Hot Mix Asphalt Inspection and Testing Summary
Form CEM-3804, “Hot Mix Asphalt Inspection and Testing Summary,” is required for each day’s
production and placement. This form includes a checklist showing the inspections and testing
conducted for the day.
For quality-control test results on the form that are outside the action limit or specification
limit, the contractor must take corrective action to bring the process back to control and
document the action on Form CEM-3804. If the contractor must stop production and placement
because of quality factors or two consecutive quality control tests or three quality control tests
in a single day out of action or specification limit, the contractor documents all steps taken on
Form CEM-3804 before resuming production and placement.
Form CEM-3804 contains the following statement:
It is hereby certified that the information contained in this record is accurate and that
information, tests, or calculations documented herein comply with contract
specifications and standards set forth in the testing procedures. Exceptions to this
certification are documented as part of this record.
The quality-control manager signs Form CEM-3804 for certification and submits it to the
resident engineer by noon the next business day following HMA production and placement. For
test results specified to be reported within 48 hours, the quality-control manager submits to
the resident engineer the final daily Form CEM-3804, showing all test results within 48 hours of
sampling.
For at least three years after final acceptance, the contractor must retain for inspection the
records generated as part of quality control, including the quality-control plan and its
supplements, inspection reports, daily summary of testing, test results, and HMA inspection
and testing summary.
Quality Control Plan Checklist
To assure that quality-control plans are complete and that resident engineers’ reviews of HMA
quality-control plans are consistent statewide, a “Quality Control Plan Review Checklist for Hot
Mix Asphalt” is available. Contractors should use the “Quality Control Plan Review Checklist for
Hot Mix Asphalt” (Appendix K) as a guide when reviewing quality control plans for
Page 25
completeness prior to submittal. The checklist has a column the contractor can check for
submittal completeness and columns for the resident engineer to use during review of the
quality-control plan to indicate whether each section of quality-control plan is complete or
incomplete.
Page 26
QUALITY CONTROL IMPLEMENTATION

Quality-Control Plan Submittal and Acceptance
The contractor should submit the quality-control plan to the resident engineer with the JMF
submittal. The resident engineer has five business days to review the quality-control plan and
either return the plan with comments or accept the submitted quality-control plan.
A supplemental quality-control plan needs to be submitted to the resident engineer when any
of the following occur:
1. Quality-control staff is added to a project.
2. A testing laboratory is changed, or a laboratory is added to a project.
3. The Qualified Certificate of Proficiency (Form TL-0111) expires and a revised Form TL-
0111 is submitted.
4. Testing laboratory receives an updated accreditation.
Independent Assurance
It is important for the contractor to use qualified testers and accredited laboratories so that the
quality-control test results can be used for HMA acceptance tests once verified by the engineer
and then be used to determine the applicable payment adjustment. The contractor needs to
perform periodic reviews of tester qualifications and laboratory accreditation that were
submitted as part of the quality-control plan. Tester certifications and laboratory accreditations
can be verified through the Statewide Independent Assurance Database
The Federal Highway Administration requires that each state transportation agency have a
quality assurance program for federal-aid highway construction projects. Each state highway
agency must develop sampling and testing programs to assure that materials and work quality
incorporated in federal-aid highway construction projects conform to requirements of
approved plans and specifications.
Caltrans independent assurance representatives qualify all testers, verify that equipment used
for required testing is properly calibrated and in good working condition, and verify that testers
are trained in the testing procedures and can demonstrate a level of proficiency. During
construction, it may be necessary for an independent assurance representative to verify the
reliability of any quality-control tester by witnessing sampling and testing and by splitting
samples and comparing results. A Caltrans independent assurance representative has the
authority to decertify testers who deviate from accepted sampling and testing procedures.
It is the responsibility of the contractor to keep the quality control tester’s Qualified Certificate
of Proficiency Form TL-0111 current. Testers whose qualification has lapsed or been revoked
may not provide materials test results for acceptance consideration.
Each quality-control testing laboratory must be accredited in accordance with the Caltrans
Independent Assurance Manual, Procedures for Accreditation of Laboratories and Qualification
Page 27
of Testers For a copy, send an email to:

IA.Service.Request@dot.ca.gov
Quality Control During Hot Mix Asphalt Production and Placement
The contractor must establish, maintain, and change, if necessary, a quality-control program to
provide assurance that the HMA complies with the specifications. The quality-control program
must be implemented early when lime treatment of HMA aggregates for moisture sensitivity is
required, so aggregate quality characteristics of untreated aggregates can be sampled and
tested.
For most projects, the HMA quality-control program is implemented on the first day of HMA
production. The contractor must provide daily reports of inspection for both production and
placement. For each 750 tons of production and placement, the contractor must provide
documented inspection, sampling, and testing in compliance with the specifications.
For any quality-control test result outside action limit or specification limit, the contractor must
take corrective action to bring the process back to control and document the action on Form
CEM-3804, “Hot Mix Asphalt Inspection and Testing Summary.” If the contractor must stop
production and placement because quality-control tests are out of action or specification limit,
the contractor documents all steps taken on Form CEM-3804 before resuming production and
placement.
When a quality-control test result is outside the action limit or specification limit, the
contractor must stop asphalt production and placement, notify the resident engineer in writing,
take corrective action to bring process back to control, document actions on Form CEM 3804,
and demonstrate compliance with specifications before resuming production and placement on
the State Highway System if:
• A lot’s composite quality factor is below 0.90
• The individual quality factor for numbers 2, 3, 4, or 5 is below 0.90
• The individual quality factor index number 1 is below 0.75
• A non-pay factor quality characteristic has two consecutive quality-control tests not in
compliance with the specifications.
• Any three quality characteristics are out of specification in a single day.
Before resuming production and placement, the contractor documents all steps taken on Form
CEM-3804.
As part of quality-control implementation, the contractor must enter quality-control test results
into the Caltrans-provided SPF Pay program. The SPF Pay program has a quality-control
subprogram that calculates a set of quality factors for the following quality requirements:
• Aggregate gradation on the Number 8 sieve
• Aggregate gradation on the Number 200 sieve
Page 28
• Asphalt binder content

• Percentage of maximum theoretical density
• Air voids
Documentation is an important part a quality-control program and can show clearly that a
contractor is in control of HMA production and placement processes. Documentation includes
the quality-control plan and its supplements. During the progress of the work, the contractor
must submit plan supplements in writing to the resident engineer for changes to quality-control
procedures, personnel, tester qualification status, or laboratory accreditation.
For each day of HMA production and placement, the following documents must be submitted
to the resident engineer:
• Form CEM-3501, “Hot Mix Asphalt Production Report”
• Form CEM-3502, “Hot Mix Asphalt Placement Report”
• Form CEM-3803, “Daily Summary of Quality Control Testing” (with attached forms showing
data calculations and test values)
• Form CEM-3804, “Hot Mix Asphalt Inspection and Testing Summary”
The contractor must maintain hard copies of all quality-control documents for three years after
final contract acceptance.
Production Startup Evaluation
The two main purposes of the production startup evaluation are to assure that the HMA
conforms to the verified job mix formula for the project and to verify that the contractor’s
quality-control test results agree with the resident engineer’s test results, and vice versa. Test-
result differences must be resolved early to prevent potential disputes.
On the first day of HMA production, the production startup evaluation must occur within the
first 750 tons of HMA produced. The contractor must take samples of aggregate, reclaimed
asphalt pavement, asphalt binder, and hot mix asphalt from the same production run and in the
resident engineer’s presence. The samples are split into four parts. Three parts are submitted
to the resident engineer, and one is tested by the contractor.
A new production start-up is required when production stops for more than 60 days. If
production stops for more than 30 and less than 60 days, a “reduced” production start-up
evaluation is required. A “reduced” production start-up evaluation is a production start-up
evaluation without the Hamburg wheel track (AASHTO T 324, Modified), “Hamburg Wheel-
Track Testing of Compacted Hot Mix Asphalt (HMA),” and the moisture susceptibility (AASHTO T
283), “Standard Method of Test for Resistance of Compacted Asphalt Mixtures to Moisture-
Induced Damage.”
Hamburg wheel track and moisture susceptibility during production start-up are not required if
the production start-up is within 45 days of the date the HMA verification Form CEM-3513,
Page 29
“Caltrans Hot Mix Asphalt Verification,” is signed.

For percentage of maximum theoretical density, the contractor must take one 4-inch diameter
core for every 250 tons of production startup evaluation HMA at locations the resident
engineer designates. The resident engineer must perform and report the bulk specific gravity
using AASHTO T 275, Method A, “Bulk Specific Gravity of Compacted HMA Using Paraffin-
Coated Specimen” and the percent of maximum theoretical density. The contractor may test
for in-place density at the core locations and calibrate nuclear gauges based on production
startup evaluation test results.
The production startup evaluation test results are recorded on Form CEM 3703, “Caltrans
Production Start-up Evaluation.” All test results must be reported in writing within 3 business
days of sampling.
Both contractor and resident engineer test results should meet specification requirements for
all quality characteristics except those with quality factors. Results should be within the target
value tolerance for each quality characteristic with a quality factor, except density. The resident
engineer’s test results for density should be within specification acceptance limits.
Production startup evaluation test results are based on split-sampled material, eliminating the
variability in sampling from the test results. Since the resident engineer’s test results are used
to verify the contractor’s quality control test results, the contractor should pay special attention
to the differences between the contractor’s and resident engineer’s test results for split sample
results. If the contractor finds any testing differences unacceptable, the contractor may want to
resolve these testing differences with the resident engineer before proceeding with HMA
production and placement.
Dispute Resolution
Dispute resolution is an integral part of the hot mix asphalt SPF process. The aim of the dispute
resolution process is to resolve contractor and resident engineer disagreements regarding test
result comparisons.
Disputes related to quality characteristic tests that are evaluated with a quality factor (pay
factor) can only be resolved after the verification process is complete. This is because the
specifications do not allow the engineer to share test results until the testing on the lot being
verified is complete. The contractor can only dispute the verification process, and not individual
test results.
For quality characteristics tests that are not evaluated with a quality factor (pay factor), the
contractor can dispute individual test results.
When the resident engineer or contractor disputes a test result, the dispute should be resolved
at the lowest level possible. The resident engineer and contractor should review test results
and when possible, witness each party’s performance with a disputed test result to determine
the source of any testing error including sampling, testing, or testing equipment. If they are
unable to determine the source for a testing error, an independent third party (ITP) laboratory
Page 30
must act as witness and referee to resolve the dispute.

When an ITP laboratory is used to resolve testing disputes for quality characteristics without
quality factors, the laboratory must test the dispute resolution sample for the test result
contested. The laboratory must determine whether the test result for the dispute resolution
sample indicates that the resident engineer’s test result is beyond the expected test results of a
reasonable laboratory conducting the same test on the same sample. Only after the ITP testing
has shown that the resident engineer’s test result is unreasonable, is that test result replaced
by the ITP test result for acceptance of the quality characteristic.
When an ITP laboratory is used to resolve testing disputes involving quality characteristics
compliance determined by quality factors, the laboratory must examine all the test results for
the lot. If the verification result of a particular lot is disputed, the ITP selects and tests 5 random
engineer samples from the remaining sublots. The engineer and contractor must agree to the
representative samples to be tested by the ITP. The ITP tests only the disputed quality
characteristics that failed verification. The ITP conducts the verification of the contractors’
unverified test using the 5 ITP tests. If the verification concurs, the contractor’s quality control
test results are used for acceptance. If the verification does not concur with the contractor’s
results, the 5 ITP test results are used for acceptance.
HMA SPF Pay Program
The contractor must submit the quality-control test results by entering data into the
Caltransprovided SPF Pay program. The program has a subprogram that calculates individual
and composite quality factors based on quality-control test results input by the contractor. A
set of quality factors consists of the composite (QFc) and five individual quality factors (QFQCi
where i = 1 to 5). The quality-control subprogram starts the first set of quality factors
computation at the third sublot using quality-control test data from all first three sublots.
The pay program continues calculating the set of quality factors from the fourth to twentieth
sublots using quality-control test data from all previous sublots. The contractor must stop
production, notify the resident engineer in writing, take corrective action, and demonstrate
compliance with specifications before resuming production and placement on the State
Highway System if:
• The lot’s composite quality factor is less than 0.90
• The individual quality factor for index numbers 2, 3, 4, or 5 is below 0.90
• The individual quality factor for index number 1 is below 0.75
The contractor documents all steps taken before resuming production and placement on Form
CEM-3804, “Hot Mix Asphalt Inspection and Testing Summary.”
The composite quality factor used to determine the contractor’s final payment adjustment on
the lot is based on the contractors’ verified quality-control test data for binder content, air
voids, the Number 8 and Number 200 sieves, combined with the engineer’s percent of
maximum theoretical density determined from cores. During production, the contractor’s
Page 31
percent theoretical maximum density is used to calculate a quality factor. If this quality factor is
less than 0.90, the contractor must stop production, notify the resident engineer in writing,
take corrective action, and demonstrate compliance with the specifications before resuming
production.
The contractor must export the quality-control data entered into the SPF Pay program and
submit an exported file to the resident engineer daily. Contractors may use their own software
to monitor the quality factors developed each in each sublot but must demonstrate that when
imported to the HMA SPF program, the software actively monitors individual quality factor
values to alert the quality-control manager if values fall below 0.90, or 0.75 for the Number 8
sieve. Previously approved versions of vendor software will be listed on the Caltrans Division of
Construction Hot Mix Asphalt page at:
https://dot.ca.gov/programs/construction/hot-mix-asphalt-construction
The resident engineer enters verification test data into the HMA SPF Pay program that contains
the quality-control data provided daily by the quality-control manager. The engineer uses the
subprogram for verification and to determine acceptance and any final payment adjustments
for each lot.
The HMA SPF Pay program is online:
Page 32
REFERENCES AND RESOURCES

The following list provides contractor personnel with additional sources of information:
California Test Methods, Materials and Engineering Testing Services (METS), California
Department of Transportation (Caltrans)
https://dot.ca.gov/programs/engineering-services/california-test-methods
Certification Program for Suppliers of Asphalt, METS, Caltrans

https://dot.ca.gov/programs/engineering-services/asphalt-supplier-certification-program
Division of Construction Forms, Caltrans

https://dot.ca.gov/programs/construction/forms
Independent Assurance Manual, Caltrans

Email: IA.Service.Request@dot.ca.gov
Materials Plant Quality Program manual, Division of Construction, Caltrans

https://dot.ca.gov/programs/construction/material-plant-quality-program
Construction of Hot-Mix Asphalt Pavements, published by the Asphalt Institute

https://mx.asphaltinstitute.org/Shop/Product-Details?productid=F101BB34-2E1E-E811-80F4-
000D3A01109B
Standard Specifications, published by the Caltrans

https://dot.ca.gov/programs/design/ccs-standard-plans-and-standard-specifications
Tack Coat Guidelines, Division of Construction, Caltrans
Minimum Tack Coat Spray Rates, Division of Construction, Caltrans

Page 33
FEEDBACK
Contractors should contact the resident engineer for the project-specific questions and
comments about the hot mix asphalt SPF QC program. Caltrans invites feedback regarding this
manual and welcomes users’ suggestions for making the SPF QC program more effective. Please
contact:
Headquarters SPF QC Program Coordinator
California Department of Transportation, Division of Engineering Services
Materials Engineering and Testing Services, Office of Flexible Pavement, MS 5
5900 Folsom Boulevard
Sacramento, CA 95819-4612
Telephone: (916) 227-7306
Page 34
APPENDIXES
APPENDIX A Sample Contractor Quality-Control Plan Submittal Letter ................ 36
APPENDIX B Sample QCP Certification .................................................................... 37
APPENDIX C Sample Organizational Chart .............................................................. 38
APPENDIX D Sample Quality-Control Manager’s Qualifications ............................ 39
APPENDIX E Sample Form TL-0111 Certification for Test Performance ................ 41
Sample Form TL-0113 Certification for Test Performance ............... 42
APPENDIX F Sample Hot Mix Asphalt Production Inspection Pan ......................... 43
APPENDIX G Sample Hot Mix Asphalt Placement Inspection Plan ........................ 46
APPENDIX H Sample Quality Control Sampling and Testing Plan ......................... 48
APPENDIX I Sample Quality Control Random Sampling Plan ................................ 53
APPENDIX J Sample Corrective Action Plan —Hot Mix Asphalt Production......... 54
APPENDIX K Sample Corrective Action Plan —Hot Mix Asphalt Placement ......... 56
Page 35
Appendix A Sample Contractor Quality-Control Plan Submittal Letter

CONTRACT 00-111114
ABC-180-R97.1/R103.1
June 22, 2018
The purpose of this quality-control plan is to direct the activities of Big Orange Construction
Company to assure that the construction materials and construction meet or exceed the quality
requirements of the contract specifications.
The quality-control program includes personnel from the following organizations. Paraway
Refinery of Sacramento will provide the asphalt, Quality Aggregates of Grass Valley will provide
the coarse and fine aggregate, and Best Mixes of Elk Grove will provide hot mix asphalt design.
AC Producer Corporation of Auburn will provide and ship the hot mix asphalt, and the
Sacramento office of Big Orange Construction will place the hot mix asphalt. Materials Testers,
Inc. of Elk Grove will provide street and plant inspection and quality-control testing.
Quality-control personnel in all organizations involved in this contract are independent from
the pressures of production and have the organizational freedom to identify quality problems
and initiate action that will affect solutions, including action that precludes recurrence. All
quality-control personnel have been provided with a clearly defined level of authority.
The quality-control manager and the alternate quality-control manager are employees of
Materials Testers, Inc. of Elk Grove. The quality-control manager is given full responsibility and
authority to implement and maintain the quality-control plan.
Big Orange Construction management has approved and required implementation of this plan
by producers and suppliers and directs that compliance to this plan is mandatory.
BIG ORANGE CONSTRUCTION COMPANY
George B. Orange
President
Page 36
Appendix B Sample QCP Certification

Contractor Quality Control Plan
for Contract 00-111114
ABC-180-R97.1/R103.1
June 22, 2018
Prepared for
Big Orange Construction Company

P.O. Box 87
Sacramento, California 9958x
by
Material Testers LLC

215 West Main Street
Elk Grove, California 96000
It is hereby certified that the information contained in this quality-control plan for contract 00-111114
meets the requirements of contract specifications and the Quality Control Manual for Hot Mix Asphalt
Using Statistical Pay Factors dated February 2020. This quality-control plan identifies qualified testing
personnel and laboratories accredited in accordance with the Independent Assurance Manual.
Signature and date
_____________________________________________
Ira M. Quewcey, Quality Control Manager
Page 37
Appendix C Sample Organizational Chart
Project QC Manager’s Caltrans

Manager’s Name Name Resident
Engineer’s
Company’s Company’s
Name
Name Name
Phone Number
Phone Number Phone Number
Project
Primary HMA Primary HMA Laboratory Operations
Superintendent
Placement Sampler Name Manager Name Manager’s
Name Inspector’s Name
Company’s Name
Name Name Company’s
Name
Phone Number Name
Phone Number
Phone Number
Paving Crew Secondary Secondary

Leader’s Name Inspector’s Name Sampler’s Name
Company’s Company’s Company’s
Name Name Name
Phone Number Phone Number Phone Number
Plant Manager’s HMA Plant

Name Inspector’s Name
Name Name
Independent
Laboratory Caltrans Laboratory
Name Independent Name
Company’s Assurance Company’s
Name Name
Phone Number Phone Number Phone Number
Page 38
Appendix D Sample Quality Control Manager’s Qualifications
IRA M. QUEWCEY
24 Curved Bridge Road
Elverta, CA 95673
(916) 555-1234
Professional Registration: Civil Engineer, California # C XXXXX
Education: B.S.C.E. Sacramento State University, 2005
American River Community College, 1978
Background: More than 40 years’ experience with construction materials in various capacities.
Hot mix asphalt experience includes field sampling, testing, mix designs, and field inspection in
both public and private sectors.
Employment History:
2011-Present—Quality Control Manager

Materials Testers, Inc.
• Responsible for the operation of three material laboratories.
• Perform inspection of laboratory equipment to ensure calibration and operating conditions.
• Schedule technicians and inspectors for both field and laboratory assignments.
• Provide professional development and training for staff.
• Review test results and inspection reports for accuracy or deficiencies.
1995-2011—LaboratoryTechnician
Materials Testers, Inc.
• Performed aggregate, concrete, and hot mix asphalt sampling and testing.
• Performed portland cement concrete and asphalt concrete mix designs.
Page 39
Appendix D Sample Quality Control Manager’s Qualifications

(continued)
1970-1985—Plant Inspector
Napa County
• Performed portland cement concrete and asphalt concrete plant inspection.
• Sampled and tested aggregate for gradation and sand equivalent.
• Performed asphalt extraction tests.
1978-1980—Survey Technician
State of California
• Rear chain worker on a Division of Highways survey party.
Testing Qualifications: CTM-125 TL-0111 AASHTO T 176

(Attached) AASHTO T 27 AASHTO T 308 (Method A)
AASHTO T 176 AASHTO T 283
AASHTO T 324 (Mod) AASHTO T 308 (Modified)
AASHTO T 329 AASHTO T 335
Page 40
Appendix E TL-0111 Certification for Test Performance
Page 41
Appendix E TL-0113 Certification for Test Performance (continued)
Page 42
Appendix F Sample Hot Mix Asphalt Production Inspection Plan

Contract 00-111114 Hot Mix Asphalt Placement Inspection Plan
Quality Type of Frequency Location Responsibility Tolerance
Characteristic Inspection
HMA Designation Visual Daily Plant Plant Per Approved

Control Inspector JMF
Room
Aggregate Storage Visual Daily Bins and Plant Graded and
Cold Inspector Separated
Feeds
Aggregate Source Visual Daily Plant Plant Per Approved
Inspector JMF
Baghouse Fines Visual Daily Plant Plant Metering
Inspector
Scales and Meters Visual and Daily Plant Plant Sealed per
Certification Inspector MPQP
Controller Visual Daily Plant Plant Per MPQP
Interlocks Inspector
Temperature Visual Daily Plant Plant Verify
Devices Inspector Operational
Asphalt Binder Temperature Continuous Plant Plant Per
Temperature Equipment Inspector Specifications
Asphalt Binder Certificate Daily Plant Plant Per Approved
Grade Inspector JMF
Belts and Feeds Visual Daily Plant Plant Industry
Inspector Standards
Composite Test Report Hourly Plant Plant Per Approved
Aggregate Inspector JMF
Grading
Aggregate Temperature 3 per day Plant Plant Per
Temperature Equipment minimum Inspector Specifications
HMA Temperature Temperature 3 per day Plant Plant Per
Equipment minimum Inspector Specifications
Truck Beds Visual Daily Plant Plant No Petroleum
Inspector Based
Storage Silos Visual Daily Plant Plant Per MPQP
Inspector
Page 43
Appendix F Sample Hot Mix Asphalt Production Inspection Plan

(continued)
Contract 00-111114 Lime Treatment Inspection Plan
Plant
Lime Treatment Per Approved
Visual Daily Control Plant Inspector
Designation JMF
Room
Graded and
Aggregate Storage Visual Daily Stockpiles Plant Inspector
Separated
Per Approved
Aggregate Source Visual Daily Plant Plant Inspector
JMF
Visual and Sealed per
Scales and Meters Daily Plant Plant Inspector
Certification MPQP
Controller Interlocks Visual Daily Plant Plant Inspector Per MPQP
Treatment Data Per

Visual Daily Plant Plant Inspector
Collection Specifications
Contract 00-111114 Liquid Antistrip Inspection Plan

Liquid Antistrip Visual Daily Plant Plant Inspector Per Approved

Treatment Control JMF
Room
Antistrip Source Visual and Daily Plant Plant Inspector Per Approved
Certificate of JMF
Compliance
Scales and Meters Visual and Daily Plant Plant Inspector Sealed per
Certification MPQP
Controller Visual Daily Plant Plant Inspector Per MPQP
Interlocks
Treatment Data Visual Daily Plant Plant Inspector Per
Collection Specifications
Page 44
Appendix F (continued) Sample Hot Mix Asphalt Production

Inspection Plan
Contract 00-111114 Liquid Asphalt Pavement Inspection Plan
Reclaimed Visual Daily Plant Plant Per Approved

Asphalt Control Inspector JMF
Pavement Room
RAP Source Visual Daily Plant Plant Per MPQP
Inspector
Scales and Meters Visual and Daily Plant Plant Sealed per
Certification Inspector MPQP
Controller Interlocks Visual Daily Plant Plant Per MPQP
Inspector
RAP Moisture Test Report Twice a Plant Plant Per
Content Day Inspector Specifications
RAP Grading Test Report Daily Plant Plant Per Approved
Inspector JMF
Page 45
Appendix G Sample Hot Mix Asphalt Placement Inspection Plan

Inspection Item Type of Frequency Location Responsibility Attribute or
Inspection Tolerance
Placement
Subgrade Preparation Visual Daily Job Site Smooth and Clean
Inspector
Visual and
Weigh- Subgrade Placement Residual Rate
Tack Coat Per Load
master Surface Inspector and Cover
Certificates
Placement
Paving Fabric Visual Daily Job Site Per Specifications
Inspector
Temper
Placement
Windrow Temperature ature Hourly Job Site Per Specifications
Inspector
Equipment
Placement
Windrow Segregation Visual Hourly Job Site Industry Standard
Inspector
Placement Manufacturer
Pick-Up Machine Visual Daily Job Site
Inspector Standards
Asphalt Paver and Visual and Placement Manufacturer
Daily Job Site
Hopper Measure Inspector Standards
Placement
Paving Process Visual Continuous Job Site Industry Standards
Inspector
Compaction Visual and Placement Manufacturer
Daily Job Site
Equipment Measure Inspector Standards
Per Contractor
Placement
Compaction Process Visual Continuous Job Site Established
Inspector
Rolling Pattern
Industry
Measure
HMA Mat Temperature Behind Placement Standards or
Temper Hourly
at Breakdown Paver Inspector Specifications for
ature
Method
Industry
Measure Behind
HMA Mat Temperature Placement Standards or
Temper Hourly Finish
at Finish Inspector Specifications for
ature Roller
Method
HMA Mat Temper Measure
Prior to Finished Placement
ature Before Open to Temper Per Specifications
Opening Mat Inspector
Traffic ature
Page 46
Appendix G Sample Hot Mix Asphalt Placement Inspection Plan

(continued)
(continued)
Inspection Item Type of Frequency Location Responsibility Attribute or
Inspection Tolerance
Behind Placement
Lift Thickness Measure Hourly Per Specifications
Paver Inspector
Pave-
Longitudinal Placement Industry
Visual Continuous ment
Transverse Joints Inspector Standards
Joints
Inertial
profiler or
Pavement Finished Placement
12-foot Hourly Per Specifications
Smoothness Surface Inspector
Straight
edge
At Placement
Pavement Transitions Visual Daily Per Specifications
Transition Inspector
Page 47
Appendix H Sample Quality Control Sampling and Testing Plan

Quality Test Minimum Location of Maximum
Characteristic Method Sampling and Sampling Reporting
Testing Time
Frequency Allowance
AASHTO T 27 1 per 750 Plant 24 hours
Aggregate Gradation
tons
Reclaimed Asphalt
CT 384 Daily RAP System 24 hours
Pavement Gradation
Reclaimed Asphalt
Pavement Moisture AASHTO T 255 Daily RAP System 24 hours
Content
1 per 1,000 tons
with a minimum
of 6 samples per
Combined Reclaimed fractionated
AASHTO T 308 RAP stockpile 24 hours
Asphalt Pavement Asphalt stockpile. If RAP
(Method A)
Binder Content stockpile is
augmented, 1
per 500 tons of
augmented RAP
1 per 1,000 tons
with a minimum
of 6 samples per
Reclaimed Asphalt fractionated
Pavement Maximum AASHTO T 209 stockpile. If RAP RAP stockpile 24 hours
Specific Gravity stockpile is
augmented, 1
per 500 tons of
augmented RAP
Asphalt Binder Content AASHTO T 308 1 per 750 tons Loose Mix 24 hours
Method A and any Behind
remaining part Paver
AASHTO T 1 per 250 tons, Compacted
Density of Core 275, Method use average of mat 24 hours
A 3 per sublot
Page 48

(continued)
Testing Time
Frequency Allowance
Nuclear or non nuclear Not applicable As required to Compacted Instanta-
gauge density calibrated monitor the mat neous
to cores compaction
process.
3 on the first
day, 1 per
paving day
Theoretical Maximum AASHTO T 209 Loose Mix
thereafter. Use 24 hours
Density Method A Behind Paver
the running
average of 3
test results
Aggregate moisture
content at continuous
1 per 750
mixing plants Stockpiles
tons and any
and RAP moisture content AASHTO T 255 or Cold 24 hours
remaining
at continuous mixing Feed Belts
part
plants and batch mixing
plants
Sand Equivalent
AASHTO T 176 1 per 750 tons Plant 24 hours
(minimum)
1 per 2,500 tons
HMA Moisture Content but not less Loose Mix
AASHTO T 329 24 hours
(maximum) than 1 per Behind Paver
paving day
At JMF
Verification Within 15
AASHTO T 324 and
Hamburg Wheel Track Plant business days
(Modified) Production of sampling
Startup only,
Page 49

(continued)
Testing Time
Frequency Allowance
Moisture Susceptibility At JMF
Verification
and
Within 15
Production
AASHTO T 283 Plant business days
Startup only,
of sampling
not required
during
production
Air Voids Content 1 per 1,500
percent Loose Mix
and any
AASHTO T 269 Behind 48 hours
remaining
Paver
part
Percent of crushed
particles coarse aggregate
(percent minimum)
1 every 10,000
One fractured face
tons or 2 per
Two fractured faces
AASHTO T 335 project, Plant 48 hours
Fine aggregate (percent
whichever is
minimum) (Passing
greater
Number 4 sieve and
retained on Number 8
sieve)
Los Angeles Rattler 1 every 10,000
(percent maximum) Loss tons or 2 per
at 100 revolutions AASTHO T 96 project Plant 48 hours
Loss at 500 revolutions whichever is
greater
Fine aggregate angularity 1 every 10,000
(percent minimum) tons or 2 per
AASHTO T-304,
project Plant 48 hours
Method A
whichever is
greater
Page 50

(continued)
Testing Time
Frequency Allowance
1 every 10,000
tons or 2 per
Flat and elongated particle
ASTM D 4791 project Plant 48 hours
(percent maximum at 5:1)
whichever is
greater
1 every 10,000
tons or 2 per
Voids in mineral aggregate Loose Mix
MS-2 project 48 hours
(percent minimum) Behind Paver
whichever is
greater
Dust proportion 1 every 10,000
tons or 2 per
None
MS-2 project 48 hours
Calculation
whichever is
greater
Asphalt rubber binder 1 per lot
ASTM 1 every four
viscosity at 350°F in Feed Line to defined by the
D7741/D7741 hours of
centipoises HMA Plant Caltrans
M production
MPQP
Crumb Rubber Modifier
Scrape Tire Gradation 1 every 10,000
(percent passing Number CT 385 CRM Bag 48 hours
pounds
8 sieve)
Crumb Rubber Modifier
High Natural Gradation 1 every 3,400
(percent passing Number CT 385 CRM Bag 48 hours
pounds
10 sieve)
Page 51

(continued)
Testing Time
Frequency Allowance
Natural rubber content in 1 every 3,400
high natural crumb rubber ASTM D297 CRM Bag 48 hours
pounds
Wire in CRM (percent 1 every 10,000
maximum) CT 385 pounds for CRM Bag 48 hours
scrap tire
Fabric in CRM (percent 1 every 10,000
maximum) CT 385 pounds for CRM Bag 48 hours
scrap tire
Page 52
Appendix I Sample Quality Control Random Sampling Plan
Daily quality control samples will be obtained at milestones using a random sampling plan.
(Refer to ASTM D 3665 for random number tables.) Use the following procedure to
determine the sampling milestones before the start of each day’s production:
Random Sampling Procedure

1. Using the Random Number Table (attached), randomly select a block of numbers.
2. Multiply the random number by the sublot quantity.
3. Add this value to the sublot factor to determine the first sampling milestone
(tons of production at which a sample will be taken).
Example:
Planned Day’s Production = 3100 tons Sampling Frequency = 1 sample per 750
Lot Sublot Random Sublot Sublot Milestone

Number Number Number Quantity Factor (a) x (b) +
(a) (b) (c) (c)
1 1 31 750 0 233
1 2 12 750 750 840
1 3 29 750 1500 1718
1 4 86 750 2250 2895
Page 53
Appendix J Sample Corrective Action Plan—Hot Mix Asphalt

Production
Quality Action
Corrective Action
Characteristic Limit
If test results are outside tolerance, an immediate investigation will
Asphalt Binder JMF be conducted to determine the cause. Corrections will be made
Content Type A ±0.40 and material tested immediately to verify that the correction has
been effective.
Asphalt Binder
JMF ± be conducted to determine the cause. Corrections will be made
Content
0.45 and material tested immediately to verify that the correction has
RHMA-G
been effective.
JMF ±
Specifi-
Aggregate be conducted to determine the cause. Corrections will be made to
cation
Gradation piles, bins, belts, or scales; and material will be tested immediately
Toler-
to verify that the correction has been effective.
ance
When individual or composite aggregate moisture values differ
Aggregate None
from those of the plant computer, the plant computer will be
Moisture Adjust
adjusted to reflect the most recent aggregate moisture.
If the asphalt binder temperature exceeds the range allowed, the

Asphalt Binder 275°F– plant operator will immediately take corrective action to raise or
Temperature 375°F lower the temperature as needed. Temperature will be closely
monitored to verify that the correction was adequate.
If mix temperature exceeds 325°F, the plant operator will
immediately take corrective action to lower the temperature.
Mix Temperature 325°F Temperature will be closely monitored to verify that the
correction was adequate. HMA that exceeds 350°F will be disposed
of.
If the mix moisture exceeds 1 percent, the plant operator will be
Mix Moisture notified and corrective action taken to reduce the moisture in the
>1%
Content mix; for example, aggregate piles may be spread to dry, or
aggregate time in the heater may be increased.
Page 54
Appendix J (continued) Sample Corrective Action Plan—Hot Mix

Asphalt Placement
Placement Action
Corrective Action
Standard Limit
If inspection indicates that the subgrade is not prepared as
Subgrade Zero specified, immediate action will be taken. Subgrade problems will
Preparation Tolerance be corrected—dried, cleaned, compacted, graded. HMA will not be
placed until the corrections have been made and the QC manager
has inspected and approved them.
If contractor fails to submit documentation for the minimum spray
rate required to achieve the minimum residual rate and dilution
rate documentation (if any), the paving crew leader will be notified,
and placement will cease as soon as safety concerns have been
± .01 gal/sq provided for. If inspection indicates that the tack coat material or
Tack Coat
yd applications are not in accordance with the specifications,
immediate action will be taken; for example, tack coat may be re-
applied or changed, or time for “break” may be lengthened. HMA
will not be placed until the corrections have been made and the QC
manager has inspected and approved them.
If physical measurements indicate that the ambient temperature is
Ambient less than specified, the paving crew leader will be notified, and
<55°F
Temperature placement will cease as soon as safety concerns have been
provided for.
If physical measurements indicate that the mix temperature is
below the temperature the paving crew leader has requested for
Mix placement and breakdown, corrective action will be taken
<260°F
Temperature immediately. Cool mix will be returned to the plant, the operation
will be changed to correct the situation causing the problem, HMA
will be held in tarped trucks and not windrowed until necessary.
If field density determination indicates that the HMA is not being
placed within the density range, immediate action will be taken,
In-Place
93%–95% including Investigating and possibly changing roller operations,
Density examining the mix quality after the plant is notified, or measuring
temperature. Density will be tested immediately following the
corrective action to verify that the action has been effective.
Page 55
Appendix K Quality-Control Plan Review Checklist for Hot Mix Asphalt
Project Information
Resident Engineer
Contract Number
Description
County/Route/Post Mile
Quality Control Plan Submittal Letter
Complete Incomplete
Quality-Control Quality
Contractor (Yes) (No)
Assurance Comments
checks (engineer (engineer
Program Overview (Letter)
checks) checks)
SL.1 Identify prime

contractor
SL.2 Identify paving
subcontractor
SL.3 Identify hot mix
asphalt producer
(company and plant
location)
SL.4 Identify quality control
manager
SL.5 Prime contractor’s
signature (the same
person who signed
the contract)
Page 56
Appendix K (continued) Quality-Control Plan Review Checklist for Hot

Mix Asphalt
Element 1—Quality-Control Plan Certification
Complete Incomplete
Element Quality-Control Contractor (Yes) (No)
Comments
Number Organization checks (engineer (engineer
checks) checks)
1.1 Quality-control plan

certification
1.1.a Contract number
Quality-control plan
1.1.b
manager signature
Element 2—Quality Control Organization
Complete Incomplete
Comments
check) check)
2.1 Organizational chart

List all quality-control
managers, quality-control
2.1.a inspectors, quality-
control samplers and
testers, quality-control
laboratories
Show how they interact
2.1.b
and communicate
Identify all by name,
2.1.c function and contact
phone number
Identify number of staff
2.1.d
for each function
Page 57

Mix Asphalt
Complete Incomplete
Comments
check) check)
Show primary and

secondary person for
2.1.e
each area of
responsibility
2.2 Quality-control staff
Quality-control manager
2.2.a qualifications and
experience
Form CEM-3801,
2.2.b “Request for Assignment
of Inspectors, Samplers,
and Testers”
Form CEM-3802, “Quality
2.2.b.1 Control Inspector
Affidavit of Proficiency”
for each inspector
Form TL-0111, “Qualified
2.2.b.2 Certificate of Proficiency”
for each sampler and
tester
2.3 Laboratories
Main quality-control
laboratory—IAP
2.3.a accreditation Form TL-
0113, “Caltrans
Accredited Laboratory
Inspection Report”
Page 58

Mix Asphalt
Complete Incomplete
Comments
check) check)
Name, address, phone,

2.3.a.1
and email address
Laboratory manager
2.3.a.2 name and contact
information
2.3.a.3 Tests to be performed
Field quality-control
laboratory - IAP
2.3.b accreditation Form TL-
0113, “Caltrans
Accredited Laboratory
Inspection Report”
2.3.b.1 Name, address, phone,

and email address
Laboratory manager
2.3.b.2 name and contact
information
2.3.b.3 Tests to be performed
Provide nuclear gauge
radioactive license if
2.3.c
using nuclear gauges for
quality control
Page 59

Mix Asphalt
Element 3—Quality Control Plan Distribution
Complete Incomplete
Comments
check) check)
3.1 Distribution list

Locations of quality-control
3.1.a
plans
Name of person
responsible for
3.1.b distributing quality-
control plan
supplements
Element 4—Quality-Control Inspection Plans
Complete Incomplete
Comments
check) check)
4.1 Submit quality-control

inspection plan for
plant operations
4.2 Submit quality-control
inspection plan for
placement operations
Page 60

Mix Asphalt
Element 5— Quality Control Sampling and Testing Plan
Complete Incomplete
Comments
check) check)
Quality-control plan for

5.2 sampling and testing (list
quality characteristic, test
method, frequency,
sample location)
Element 6— Quality Control Random Sampling Plan
Complete Incomplete
Comments
check) check)
6.1 Submit random

sampling plan,
including table of
random numbers
6.2 Submit an example of the
random sampling plan
Page 61
Appendix K (continued) Quality Control Plan Review Checklist for Hot

Mix Asphalt
Element 7—Corrective Action Plans
Complete Incomplete
Comments
check) check)
Include list of
anticipated corrective
7.1
actions. At a minimum
include:
At production site:
Asphalt content,
aggregate gradation,
aggregate moisture, mix
moisture, asphalt binder
7.1.a temperature, aggregate
temperature, mix
temperature, sand
equivalent, mix
segregation, uncoated
aggregate, mixing time,
and mix storage time
At placement site:
Subgrade preparation,
tack coat, ambient
temperature, mix
temperature, joint
7.1.b
construction, thickness,
placement yield, cross
slope, joint offset, mix
segregation, compaction
testing, and smoothness.
Page 62

Mix Asphalt
Element 8—Quality Control Documents
Complete Incomplete
Comments
check) check)
8.1 Identify forms to be used

Hot mix asphalt daily
record of inspection Form
8.1.a CEM-3501, “Hot Mix
Asphalt Production
Report”
record of inspection Form
8.1.b CEM-3502, “Hot Mix
Asphalt Placement
Report”
summary of testing Form
8.1.c CEM-3803, “Hot Mix
Asphalt Daily Summary of
Testing”
Hot mix asphalt inspection
and testing summary Form
8.1.d CEM-3804, “Hot Mix
Asphalt Inspection and
Testing Summary”
Page 63

Mix Asphalt
Quality-Control Plan Review Checklist for Hot Mix Asphalt
Page 64

Quality Control Manual For Hma Using SPF

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Quality Control Manual for Hot Mix Asphalt

Using Statistical Pay Factors

Quality Control Manual for Hot Mix Asphalt

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© Copyright 2020 California Department of Transportation

QUALITY CONTROL IMPLEMENTATION ......................................................................................... 27

REFERENCES AND RESOURCES ....................................................................................................... 33

Appendix G Sample Hot Mix Asphalt Placement Inspection Plan.................................................... 46

QUALITY CONTROL QUALITY ASSURANCE

HMA Pay Program

Acceptance and Payment Adjustment

QUALITY CONTROL PLAN

• Random sampling plan

Quality Control Stafﬁng Levels

Method Compaction 3 (see Note 1)

• Inspection documentation requirements

Moisture Sensitivity Treatment

5. Fine aggregate angularity

provide 3 split samples to the resident engineer and keep 1 part.

5. Fine aggregate angularity

within the specified temperature ranges by taking sufficient measurements of the

Binder from Hot Mix Asphalt (HMA)”

complies with the specifications by verifying that:

Caltrans’ independent assurance program.

The manual is available from your district independent assurance representative:

and bring the process back into control.

Hot Mix Asphalt Production

Hot Mix Asphalt Placement

QUALITY CONTROL IMPLEMENTATION

of Testers For a copy, send an email to:

• Asphalt binder content

“Caltrans Hot Mix Asphalt Verification,” is signed.

must act as witness and referee to resolve the dispute.

REFERENCES AND RESOURCES

Certification Program for Suppliers of Asphalt, METS, Caltrans

Division of Construction Forms, Caltrans

Independent Assurance Manual, Caltrans

Materials Plant Quality Program manual, Division of Construction, Caltrans

Construction of Hot-Mix Asphalt Pavements, published by the Asphalt Institute

Standard Speciﬁcations, published by the Caltrans

Minimum Tack Coat Spray Rates, Division of Construction, Caltrans

Appendix A Sample Contractor Quality-Control Plan Submittal Letter

June 22, 2018

Appendix B Sample QCP Certification

June 22, 2018

Big Orange Construction Company

Material Testers LLC

Signature and date

Appendix C Sample Organizational Chart

Project QC Manager’s Caltrans

Paving Crew Secondary Secondary

Plant Manager’s HMA Plant

Appendix D Sample Quality Control Manager’s Qualifications

Professional Registration: Civil Engineer, California # C XXXXX

Education: B.S.C.E. Sacramento State University, 2005

American River Community College, 1978

2011-Present—Quality Control Manager

Appendix D Sample Quality Control Manager’s Qualifications

Testing Qualifications: CTM-125 TL-0111 AASHTO T 176