The Source Inspection Guidelines for Local Agencies (SIGLA) has been prepared to aid California local agencies to create a satisfactory Quality Assurance (QA) Source Inspection program. The term “local agency” used throughout this document means any public entity (federal, state, regional transportation planning agency [RTPA], county, city, or other local government entity) that sponsors or administers a construction contract on the state highway system. In addition, any private entity that sponsors or administers construction contracts on the state highway system, unless otherwise noted, can be considered a local agency.
Local revenues for state highway projects may include local sales tax, other local funds, local federal-aid funds (Surface Transportation Program [STP], Congestion Mitigation Air Quality [CMAQ], Transportation Enhancement Activities [TEA], and other funds), and private funds. Local agencies may combine their local funds with state and federal funds (State Transportation Improvement Program [STIP], Interregional Improvement Program [IIP], State Highway Operation and Protection Program and Minor Projects [SHOPP and Minor]) to develop transportation improvements.
This guideline document provides information on QA Source Inspection definitions, processes, procedures, roles and responsibilities, and documentation which are required in order to receive federal-aid and/or state funds for many types of local transportation projects.
These guidelines are based on Caltrans’ own QA Source Inspection practices and procedures that were carefully developed to meet federal law. These practices and procedures are outlined in the Office of Structural Materials Quality Assurance and Source Inspection (QASI) Manual which can be viewed at: http://www.dot.ca.gov/hq/esc/Translab/OSM/agencyresources.htm
The passage of Senate Bill 45 in 1997 substantially changed the process by which state and federal transportation funds are allocated, placing the majority of responsibility for planning and prioritization of project funding in the hands of local and regional agencies.1 A result of these changes can be seen in the recent upward trend of projects within the State Highway System (SHS) that are Advertised, Awarded, and Administered (AAA) by external Implementing Agencies.
The California Department of Transportation (Department), as owner/operator of the State Highway System (SHS), has the statutory and inherent obligation to ensure that all modifications or additions to the SHS, regardless of project sponsor or funding source, are:
Projects on the SHS shall comply with applicable state and federal standards to ensure system-wide consistency with operational, safety, and maintenance needs. The Department may approve exceptions to this requirement that it determines to be appropriate per Government Code 65086.4.
Under Title 23, United States Code, and the Joint Stewardship and Oversight Agreement between FHWA and Caltrans, Caltrans is responsible for the administration of federal-aid (FHWA funded) transportation projects in California and cannot delegate this overall administrative responsibility.
Per the Joint Stewardship Agreement, Caltrans will exercise its FHWA assumed authority by further delegating federal authority to local agencies to the greatest extent possible and for those projects advertised, awarded, and administered by the local agencies on the State Highway System, Caltrans will ensure that state standards and project development procedures are followed. The act of ensuring is also referred to as oversight.
Although Caltrans has the overall administrative responsibility, many project functions such as quality assurance during the construction phase is typically delegated to the local agencies. The legal document that outlines this delegation is called the Cooperative Agreement. This is further outlined in Deputy Directive 23 Revision 1 (DD 23 1R), which states that when external Implementing Agencies administer a project on the SHS, they are responsible for implementing adequate quality assurance procedures to ensure project components comply with Caltrans policies, standards, procedures, and best practices.
Title 23 Code of Federal Regulations (CFR) Section 637.205 provided in Appendix 1 requires that each State Transportation Department (STD) develop a quality assurance program. Section 637.207 mandates that the quality assurance program has an acceptance program that includes verification sampling and testing. This testing is to be performed by qualified testing personnel employed by the STD or its designated agent, excluding the contractor and vendor.
Verification sampling and testing of materials manufactured or fabricated away from the jobsite is known as quality assurance source inspection. Section 10 of this document provides detailed information on material sampling and testing from the source.
Source inspection is an integral part of an effective QA Acceptance Program. Verification source inspection helps to ensure that structural materials incorporated into the SHS comply with contract requirements with regard to raw materials, fabrication processes, personnel certifications, and in-process QC testing. The purpose of verification source inspection is to:
Per Materials Engineering and Testing Services and Geotechnical Services (METS/GS) Directive - 03 provided in Appendix 2, METS does not provide laboratory testing or source inspection services for construction projects administered by external Implementing Agencies on the SHS. For projects that are advertised, awarded, and administered (AAA) by external implementing agencies, source inspection shall be performed by that agency and Caltrans serves in an oversight capacity.
Per Caltrans Construction Procedure Directive (CPD) 08-5 (Appendix 3), and Deputy Directives 23-R1 and 90 (Appendix 4), when an agency other than Caltrans is providing verification source inspection, the Implementing Agency is required to prepare a Source Inspection Quality Management Plan (SIQMP). Approval from the state materials engineer is required for each SIQMP, prior to issuance of the encroachment permit for construction.
The SIQMP Outline has been developed to help local agencies manage their source inspection efforts when administering construction projects within the SHS. If the implementing local agency proposes to perform its own source inspection, they are required to prepare a separate SIQMP.