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Item 21 - Construction Contract for the Santa Ana Zoo Hive Building
Public Works Agency www.santa-ana.org/pw Item # 21 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report September 16, 2025 TOPIC: Construction Contract for the Santa Ana Zoo Hive Building AGENDA TITLE Award a Construction Contract to Optima RPM, Inc. for the Santa Ana Zoo Education Hub Building A — Phase 1 Project (No. 23-2601) (Non -General Fund) RECOMMENDED ACTION Approve an appropriation adjustment recognizing $166,000 in donations from Friends of Santa Ana Zoo into the PRCSA Fees & Donations (02213002-57081) revenue account and appropriate the same amount into the PRCSA Fees & Donations (02213200-66200) building expenditure account for the Santa Ana Zoo Education Hub Building A — Phase 1. (Requires five affirmative votes) 2. Approve an appropriation adjustment recognizing $750,000 in revenue collected in prior years into the Acquisition & Development -District 3 (31313002-50001) revenue account and appropriate the same amount into the Acquisition & Development -District 3 (31313260-66200) building expenditure account for the Santa Ana Zoo Education Hub Building A — Phase 1. (Requires five affirmative votes) 3. Approve an amendment to the Fiscal Year 2025-2026 Capital Improvement Program to include an additional $916,000 in construction funds for the Santa Ana Zoo Education Hub Building A — Phase 1 Project (No. 23-2601). 4. Approve the Project Cost Analysis for a total estimated construction delivery cost of $4,454,082, which includes $3,563,265 for the construction contract, $534,490 for contract administration, inspection, and testing, and $356,327 for unanticipated or unforeseen work. 5. Award a construction contract to Optima RPM, Inc., the lowest responsible bidder, in accordance with the base bid in the amount of $3,563,265, subject to change orders, for construction of the Santa Ana Zoo Education Hub Building A — Phase 1 Project (No. 23-2601), for a term beginning September 16, 2025 and ending upon project completion, and authorize the City Manager to execute the contract. Construction Contract for the Santa Ana Zoo Hive Building September 16, 2025 Page 2 6. Approve an Agreement with Berg & Associates, Inc., for Construction Management and Inspection services for the Santa Ana Zoo Education Hub Building A — Phase 1 Project, in an amount not to exceed $374,315 for a three- year term beginning September 16, 2025 and expiring September 15, 2028, with an option for two, one-year extensions. (Agreement No. A-2025-XXX) 7. Determine that, pursuant to the California Environmental Quality Act, the recommended actions are exempt from further review. Categorical Exemption Environmental Review No. ER-2025-62 will be filed for Project No. 23-2601. GOVERNMENT CODE §84308 APPLIES: Yes DISCUSSION The Public Works Agency Engineering Services Division (PWA) is responsible for the administration and oversight of all Capital Improvement Projects in the City. The Santa Ana Zoo Education Hub Building A — Phase 1 (No. 23-2601) (Project) involves the construction of a new educational facility, known as the Hive, within the Santa Ana Zoo at Prentice Park. This Project is the first phase of a multi -phased initiative to expand and modernize the Zoo's educational infrastructure. The Project includes the construction of the Hive building, which will serve as a flexible space for educational programming, community workshops, public events, and after-hours rentals. The Project location is immediately adjacent to the Zoo's large event lawn and amphitheater space which will enhance the functionality of those spaces (Exhibit 1). The Hive building is designed to support both indoor and outdoor learning experiences and will incorporate sustainable building practices, Americans with Disabilities Act (ADA)-compliant access, and Zoo - compatible architectural elements. This project supports the goals outlined in the Santa Ana Zoo Master Plan and aligns with the broader City vision of enhancing public spaces, promoting environmental education, and improving community -serving amenities. The Hive will strengthen the Zoo's role as a regional attraction and a vital resource for students, families, and educators. The project is necessary to meet the growing demand for structured educational programming and to replace outdated facilities that no longer meet current or future needs. The educational reach of the Zoo is broad, with nearly 500 school visits in 2024, representing over 33,000 students. The education team has led over 600 programs for the public, including 29 park pop -ups, 421 animal presentations, and 90 story time programs. Construction is anticipated to begin in November 2025, with project completion expected by November 2026. The construction of this Project is coordinated with planned improvements at the Zoo including future development phases of the Education Construction Contract for the Santa Ana Zoo Hive Building September 16, 2025 Page 3 Hub. Upon completion, the Hive will provide a welcoming, functional, and modern space that enhances the Zoo's ability to deliver high -quality educational experiences. The final site will include supporting infrastructure improvements, with maintenance coordinated by PWA staff and Zoo management. The Project reflects the City's continued investment in public infrastructure, educational equity, and long-range community enrichment. It will directly benefit residents, visitors, and partner organizations by providing a dedicated space for lifelong learning and engagement. Funding History The City received funding from the State of California in the FY21-22 budget through the advocacy of Senator Tom Umberg, 34th District, in the amount of $2,000,000 towards the completion of this project. On May 3, 2022, Council adopted a resolution approving the acceptance of grant funds from the State of California Natural Resources Agency, and a contract for architectural services was advertised on February 22, 2023 and awarded on August 1, 2023 to LOC Architects. The original design concept proposed a single large building; however, site and subsurface investigations revealed the presence of mature trees and underground utilities, including a Southern California Edison easement, which conflicted with the initial design. As a result, a revised approach was necessary. On April 16, 2024, the City Council approved an amended agreement with LOC Architects, modifying the scope of work to include the design of two separate buildings and a layout compatible with the site constraints. To date, $350,000 of the grant funds have been spent on design and the deadline to expend the State funds is March 1, 2026. City staff has been in communication with the State throughout this process and provided updates as the project has moved along. Staff may need to request an extension to the spending deadline. Project Advertisement and Contractor Procurement To provide an opportunity for local vendors to submit bids, the City notified a total of 219 regional vendors via PlanetBids, many of which are Santa Ana based. Furthermore, staff specifically reached out to Santa Ana vendors to encourage their participation in bids. A total of 13 bids were received and deemed responsive. One bid was received from a Santa Ana contractor. As legally required, a Notice Inviting Bids was advertised in the Orange County Register newspaper on May 7, 2025 and May 14, 2025. The project was also advertised in PlanetBids from May 7, 2025 to July 2, 2025. Bids were received electronically via PlanetBids on July 2, 2025. No bid protest was submitted by any of the bidders during the bid protest period. A copy of construction plans, contracts, specifications, and all related reference materials (such as The Greenbook) are available for public review at the City's Public Works Agency, Central Files office located in City Hall. Construction Contract for the Santa Ana Zoo Hive Building September 16, 2025 Page 4 Construction Contract Bid Results RANK BIDDER'S NAME LOCATION BID 1 Optima RPM, Inc. Irvine, CA $3,563,265 2 New Dynasty Construction Co. Tustin, CA $4,678,650 3 Armstrong Cal Builders Inc. Stanton, CA $4,727,200 4 FEC Future Contractors and Engineers Inc. Irvine, CA $4,728,200 5 Newman Midland CorpLong Beach, CA $4,786,000 6 KYA Services LLC Santa Ana, CA $4,904,784 7 Loengreen, Inc. La Canada. CA $5,079,200 8 SS+K Construction Inc. Mission Viejo, CA $5,201,200 9 Pub Construction Inc. Diamond Bar, CA $5,322,200 10 Loghmani & Associates Design Group, Inc. Playa Del Rey, CA $5,489,000 11 PCN3, Inc. Los Alamitos, CA $5,594,200 12 Klassic Engineering & Construction Inc. Orange, CA $6,232,950 13 The Nazerian Group Encino, CA $6,614,123 Optima RPM, Inc. submitted the lowest responsive bid in the amount of $3,563,265 (Exhibit 2). Based on the bid analysis, reference checks, and evaluation against the bid criteria, staff finds Optima RPM, Inc. to be a responsible and qualified bidder and recommends awarding them the construction contract. Founded in 2011, Optima RPM, Inc. is a national general contractor with a proven track record of successfully completing projects across the country. The firm has completed multiple projects in both the private and public sectors, including city halls, park centers, gymnasiums, administration buildings, and tenant improvements throughout Orange County. Optima RPM, Inc. has demonstrated that they possess the stability and experience necessary to successfully complete this project in accordance with the City's plans, specifications, and expectations. (Exhibit 3). This will be the first project Optima RPM, Inc. will build in Santa Ana. Optima RPM, Inc. has done similar projects in the past for other public agencies. Most recently they completed construction of the Central Park Amphitheater for the City of Menifee and modernization of an existing motel for the City of Ontario. Based on a contractor's reference check, staff was informed that Optima RPM, Inc. performed quality work for those agencies. Based on the bid analysis, staff recommends awarding the construction contract to Optima RPM, Inc. Construction Management Bid Results The RFP for Construction Management services was advertised on the City's online procurement management and publication system, with Proposals due on July 3, Construction Contract for the Santa Ana Zoo Hive Building September 16, 2025 Page 5 2025. Seven proposals were received and evaluated by a selection committee. Based on criteria outlined in the RFP, the following summarizes the seven responding firms and their ranking. Firm City Rank Berg & Associates, Inc. San Pedro, CA 1 T nanGroup, Inc. Newport Beach, CA 2 Transtech Engineers, Inc. Chino, CA 3 JS Held New ort Beach, CA 4 APSI Construction Management Santa Ana, CA 5 P2S, Inc. Long Beach, CA 6 Willdan Anaheim, CA 7 Staff recommends awarding an agreement to Berg & Associates, Inc. to provide the Construction Management and Inspection Services based upon the scope of work and selection criteria outlined in RFP 25-077 (Exhibit 4). Their proposal demonstrated the firm has the necessary capacity and expertise to complete the required services. The firm's rates are reasonable and within industry standard, the team qualifications are appropriate for this project, and the proposal was determined to provide the best value for the city. This will be the second time Berg & Associates has worked with the City. They have been the primary consultant on Projects Nos. 19-6438, 19-6439, 19-6440 SR- 55/Ritchey Street Water Improvements, where they demonstrated their ability to deliver quality results. They have consistently provided satisfactory work and shown a strong understanding of the City's processes and expectations. Project Delivery To deliver a complete project, in addition to the construction contract, the estimated total project delivery cost includes a budget allocation for construction administration, inspection, and testing. Construction administration and inspection may be performed by either Staff or consultants and includes construction management, inspection of the Contractor's work to ensure contract compliance, workmanship and quality, materials testing, and implementation of the labor requirements. Any of the allocated construction administration funds not spent are considered project savings and are returned to the respective fund balances upon close out of the project. As indicated in the Cost Analysis and as summarized in the table below, the estimated total construction delivery cost of the project is $4,454,082. Construction Contract for the Santa Ana Zoo Hive Building September 16, 2025 Page 6 Project Item Total Construction Contract Bid Amount $3,563,265 Construction Administration $285,062 Inspection $178,163 Testing $71,265 Unforeseen Conditions $356,327 TOTAL ESTIMATED CONSTRUCTION DELIVERY COST $4,454,082 Project Schedule and Contract Time The project completion is scheduled for November 2026, barring unforeseeable conditions such as rain, natural disasters, or other delays beyond the control of the City and of the Contractor. The contract time for this project is 250 working days, as specified in the bid documents. Working days are counted in accordance with the City's Standard Specifications, which exclude weekends, City -observed holidays, and inclement weather days that prevent work. The actual completion date will depend on the contractor's schedule, material procurement timelines, and any unforeseen delays. Based on a typical project timeline, the estimated project completion is provided below: Project Milestones Milestone Estimated Completion Date Notes Administrative Startup October 2025 Contract execution, bonds, insurance Material Procurement October 2025 Procurement may take place concurrently with construction. Contractor Mobilization November 2025 Start of construction activities Project Completion I November 2026 Based on 250 workin da ys. The contractor will be constructing this project in a singular phase, fulfilling the scope of work as outlined in the contract documents. The contractor is responsible for determining the scheduling and sequencing of activities based on their proposed means and methods. Public Outreach This project was conceptualized as a part of the 20-year Master Plan for the Santa Ana Zoo approved by the City Council in 2018. Community surveys in 2020 and 2021 showed widespread support for the Zoo and the desire for additional educational opportunities and programming. Stakeholders were involved in the design process and the construction location is within the interior of the zoo campus, greatly reducing the impact on neighboring properties. Construction Contract for the Santa Ana Zoo Hive Building September 16, 2025 Page 7 Upon Council approval of recommended actions, prior to start of construction, Staff will notify Zoo Patrons of upcoming construction and post informational material including who to contact for additional information or to address issues of concern. Additionally, the contractor is required to install signage at the project site indicating project details and contact information. ENVIRONMENTAL IMPACT Pursuant to the California Environmental Quality Act (CEQA), the recommended actions are exempt from further review pursuant to Section 15303(c) of the CEQA Guidelines for projects consisting of new building construction not involving the use of significant amounts of hazardous substances and up to four commercial buildings not exceeding 10,000 square feet in floor area. The proposed project continues to meet these parameters of the CEQA Guidelines and Categorical Exemption Environmental Review No. ER-2025-62 will be filed for Project 23-2601 (Exhibit 5). FISCAL IMPACT As indicated in the Cost Analysis, the estimated total construction delivery cost of the project is $4,454,082. Funding for the project was partially allocated in prior years. Funds appropriated in prior years will be included in the City's Carry Forward of Unspent 2024-2025 Funds to be presented to the City Council for approval at the October 7, 2025 City Council meeting. The remainder of the funding for the project is included in recommended actions #1 and #2. Any remaining balances not expended at the end of the fiscal year will be carried forward into Fiscal Year 2026-2027 (Exhibit 6). The proposed contract authorizes staff a maximum of 10% for construction contract change orders. Staff would return to City Council for authorization and appropriation of additional funding if necessary. With the approval of the requested appropriation adjustment, a portion of the accumulated fund balance will be appropriated for spending in the Acquisition & Development Fund -District 3, Building Improvements Account (No. 31313260-66200). The spendable portion of the fund balance is estimated to be $765,225 as of June 30, 2025, which is sufficient to allow for the recommended appropriation of $750,000. The funds will be budgeted and available for this item in the accounts below. Accounting Fiscal Unit — Account Fund Accounting Unit, Amount Year No. Description Account Description Project No. CURRENT REMAINING BUDGET 16113262-66200 State Resources 2025-26 (23-2601) State Grants Agency Grant -Building $1,649,880 Improvements Construction Contract for the Santa Ana Zoo Hive Building September 16, 2025 Page 8 Accounting Fiscal Unit — Account Fund Accounting Unit, Amount Year No. Description Account Description Project No. 01113017-66200 PRCSA-Service 2025-26 (23-2601) General Fund Enhancement -Building $441,013 Improvements 2025-26 05113263-66200 Capital Outlay Park Improvements- $450,000 23-2601 Fund Building Improvements 01213020-66200 Cannabis PRCSA Youth 2025-26 (23-2601) Public Benefit Services -Building $873,759 Fund Improvements 2025-26 01113200-66200 General Fund PRCSA Administration- $123,430 23-2601 Building Improvements APPROPRIATION ADJUSTMENT 02213200-66200 PRCSA Fees PRCSA Fees & 2025-26 (23-2601) & Donations Donations -Building $166,000 Fund Improvements 31313260-66200 Acquisition & Acquisition & 2025-26 (23-2601) Development- Development -Building $750,000 District 3 Improvements TOTAL $4,454,082 EXHIBIT(S) 1. Location Map 2. Bid Proposal 3. Construction Contract 4. Agreement for Construction Management & Inspection Services 5. Environmental Determination 6. Capital Improvement Project Worksheet Submitted By: Rodolfo Rosas, P.E., Acting Executive Director — Public Works Agency Approved By: Alvaro Nunez, City Manager Exhibit 1 OyN olx.nNC p�F � SANTA ANA Project No. 23-2601 Santa Ana Zoo Education Hub 3� 0 [ i Building A — Phase 1 u PUBLIC WORKS AGENCY EXHIBIT 2 ADDENDUM NO.4 CITY OF SANTA ANA Project 23-2601 PROPOSAL PROJECT NO.: 23-2601 SANTA ANA ZOO EDUCATION HUB BUILDING A — PHASE I BID PROPOSAL TO: CITY COUNCIL OF THE CITY OF SANTA ANA FROM: Optima RPM,Inc REQUIREMENT: The undersigned bidder declares that they have carefully examined the location of the proposed work, that they have examined the Contract Documents in its entirety and hereby proposes to furnish all material and do all the work required to complete the said work in accordance with said plans (if any) and the specifications for the unit price(s) or lump sum(s) set forth in the following schedule: Item Description Qty Unit Unit Price Amount 1 Santa Ana Zoo Education Hub Building 1 LS $ $ A (Contractor to provide Schedule of 319 2 %o 44 , 21 3, 5 2q, ob*,,4 Values 2 Advertisement Sign 1 LS $ $ 10J C200 (dj coo 3 Construction Permit 1 LS $ 24,200.00 $ 24,200.00 P-1 of P-18 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 23-2601 SANTA ANA ZOO EDUCATION HUB BUILDING A — PHASE 1 TOTAL BASE BID $ 3, ; 6 3, 2— The lowest responsible bidder shall be selected based on the total base bid. The City reserves the right to award the Base Bid, and any, all, or none of the add -alternate bid items (if any). * The quantity for this bid item is shown for bid comparison only. This bid item shall not be subject to the "25%" limit as stated in Section 7-3.5 of the Standard Specifications. The actual amount for this item will be dictated by the actual quantity used, and the Agency reserves the right to increase or decrease the quantity of this item accordingly. t This bid item is considered a Specialty Item per Section 3-2 of the Standard Specifications. TIME FOR COMPLETION OF IMPROVEMENTS AND LICIUIDATED DAMAGES The undersigned bidder hereby proposes to complete the Work for the total base bid amount shown above, within Two Hundred Fifi. (250) workin:_ days after the commencement date stated in the Notice to Proceed. Upon issuance of the Notice to Proceed, Contractor shall immediately place order for long -lead time items. The liquidated damages amount, in lieu of the amount specified in Subsection 6-9 of the Standard Specifications, shall be $8,000.00 per calendar day. Name of Firm Optima RPM.Inc Signature of BIDDER / Mohamed Mamoun Title President (If an individual, so state. If a firm or co -partnership, state the firm name and give the names of all individual co-partners composing the firm. If a corporation, state legal name of corporation, and names of President, Secretary, Treasurer and Manager, thereof.) P-2 of P-18 EXHIBIT 3 CITY OF SANTA ANA CONSTRUCTION CONTRACT AGREEMENT PROJECT 23-2601 SANTA ANA ZOO EDUCATION HUB BUILDING A — PHASE I This CONSTRUCTION CONTRACT is made and entered into this 16' day of September, 2025 by and between the City of Santa Ana, California, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (hereinafter "CITY"), and Optima RPM, Inc. (hereinafter "CONTRACTOR"). WITNESSETH: The CITY and the CONTRACTOR, for the consideration hereinafter named, mutually agree as follows: CONTRACTOR agrees to perform all the work and furnish all the materials at its own cost and expense necessary to construct and complete in a good and workmanlike manner and to the satisfaction of the City Engineer of the CITY, the Santa Ana Zoo Educational Hub Building A — Phase 1 Project (hereinafter referred to as the "WORK OF IMPROVEMENT") identified in and in accordance with the Contract Documents prepared by the City's Public Works Agency and approved by the City Council. 2. The complete Construction Contract consists of the "Contract Documents" as defined by the Standard Specifications for Public Works Construction and which include the following: • Notice Inviting Bids • Information to Bidders • Bid Proposal • Bid Bond • Contract Form • Contract Bonds • General Provisions • Special Provisions • Technical Provisions and Project Plans • Community Workforce Agreement • Appendices In case of conflict between the Contract Documents, the precedence of documents shall be as established in the Standard Specifications for Public Works Construction. 3. CITY agrees to pay and CONTRACTOR agrees to accept in full payment to complete the WORK OF IMPROVEMENT the sum total amount not to exceed Three Million Five Hundred Sixty -Three Thousand Two Hundred Sixty -Four Dollars and Twenty -Nine Cents ($3,563,264.29), as set forth and identified in the BID PROPOSAL, which is attached hereto and incorporated herein as Exhibit "A". The BID PROPOSAL contains a schedule of unit price(s) or lump sum(s) based on approximate quantities only, and the City does not expressly or by implication agree that the actual amount of work will correspond therewith, but reserves the right to increase or decrease the amount of any class or portion of the work or to omit portions of the work as may be deemed necessary or advisable. rev. 08/01/2023 Page 1 of 3 4. CONTRACTOR agrees to complete the WORK OF IMPROVEMENT within the time specified in the Time for Completion of Improvements section of the BID PROPOSAL (Exhibit "A") including commencing construction within the timeframe therein specified after issuance of a Notice to Proceed. 5. The CONTRACTOR will pay, and will require all subcontractors to pay, all employees on the WORK OF IMPROVEMENT a salary or wage at least equal to the prevailing salary or wage established for such work as set forth in the wage determinations for this work in accordance with applicable State and Federal law. 6. If applicable, the CONTRACTOR shall adhere to the CITY' S Community Workforce Agreement (CWA), a pre -hire collective bargaining agreement, which establishes the labor relations policies and procedures for CONTRACTOR to follow in the crafts persons employed to complete the WORK OF IMPROVEMENT as more fully described in the CWA. The CWA may be found on the City's website at: http://www.santa-ana.orL,/pwa/documents/CWA.pdf 7. CONTRACTOR shall, after award of this Contract, furnish two bonds to be approved by the CITY, one in the amount of One Hundred Percent (100%) of the Contract price, to guarantee the faithful performance of the work (Performance Bond), and one in the amount of One Hundred Percent (100%) of the Contract price to guarantee payment of all claims for labor and materials furnished (Payment Bond). This Contract shall not become effective until such bonds are supplied to and approved by the CITY. CONTRACTOR shall, prior to the release of the performance and payment bonds or the retention payment, furnish a warranty performance and payment bond (Warranty Bond). Said Warranty Bond shall also be required as a condition of project acceptance. For projects up to Five Hundred Thousand Dollars ($500,000), the Warranty Bond amount shall be the greater of Ten Thousand Dollars ($10,000) or Twenty Percent (20%) of the final contract price. For projects above Five Hundred Thousand Dollars ($500,000), the Warranty Bond amount shall be the greater of One Hundred Thousand Dollars ($100,000) or Ten Percent (10%) of the final contract price. 9. CONTRACTOR shall, after award of this Contract, furnish Certificates of Liability Insurance and Worker's Compensation Insurance as outlined in the General Provisions, to be approved by the CITY. 10. INDEMNIFICATION. To the fullest extent allowed by law, CONTRACTOR and its Subcontractors hereby agree to defend, indemnify, and hold harmless CITY, its City Council, boards and commissions, officers, agents, employees, representatives and volunteers (hereinafter collectively referred to as "Indemnitees"), through legal counsel acceptable to CITY, from and against any liability, claims, actions, costs, damages or losses, including reasonable costs and attorney's fees, for injury, including death to any person or damage to any property, arising directly or indirectly from, or in any manner relating to, any of the following: (i) Performance or nonperformance of the Work of Improvement by CONTRACTOR or its Subcontractors of any lower tier; (ii) Performance or nonperformance by CONTRACTOR or its Subcontractors of any lower tier, of any of the obligations under the Contract Documents; Page 2 of 3 (iii) The construction activities of CONTRACTOR or its Subcontractors of any lower tier, either on the project site or on other properties; (iv) The payment or nonpayment by CONTRACTOR of any of its Subcontractors of any lower tier, for Work of Improvement performed on or off the project site; and (v) Any personal injury, property damage or economic loss to third persons related to and arising from the performance or nonperformance by CONTRACTOR or its Subcontractors of any lower tier, of the Work of Improvement. (vi) The indemnity obligations of Subcontractors provided by this Section shall be included in all subcontract documents issued by CONTRACTOR. Nothing in the Contract Documents shall be construed to give rise to any implied right of indemnity in favor of CONTRACTOR against CITY or any other Indemnitee. IN WITNESS WHEREOF, the parties hereto have executed this Construction Contract on the day and year first above written. ATTEST: JENNIFER L. HALL City Clerk APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: KYLOELLESEN Assistant City Attorney RECOMMENDED FOR APPROVAL: Rodolfo Rosas Digitally signed by Rodolfo Rosas Date: 2025.08.28 11:28:37-07'00' RODOLFO ROSAS, P.E. Acting Executive Director Public Works Agency CITY OF SANTA ANA ALVARO NUNEZ City Manager CONTRACTOR: Optima RPM, Inc. NAME: Mohamed Mamoun TITLE: President Page 3 of 3 EXHIBIT 4 CONSULTANT AGREEMENT WITH BERG & ASSOCIATES, INC. TO PROVIDE CONSTRUCTION MANAGEMENT AND INSPECTION SERVICES FOR THE SANTA ANA ZOO EDUCATION HUB PROJECT THIS AGREEMENT is made and entered into on this Wh day of September, 2025 by and between Berg & Associates, Inc., ("Consultant"), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California ("City"). RECITALS A. On June 5, 2025, the City issued Request for Proposal ("RFP") No. 25-077, by which it sought qualified consultants to provide construction management and inspection services for the Santa Ana Zoo Education Hub Project. B. Consultant submitted a responsive proposal that was selected by the City. Consultant represents that it is able and willing to provide the services described in the scope of work which was included in RFP 25-077. C. In undertaking the performance of this Agreement, Consultant represents that it is knowledgeable in its field and that any services performed by Consultant under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional consulting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: 1. SCOPE OF SERVICES Consultant shall perform during the term of this Agreement, the tasks and obligations including all labor, materials, tools, equipment, and incidental customary work required to fully and adequately complete the services described and set forth in the Scope of Services which was included with RFP 25-077, attached hereto as Exhibit A and incorporated by reference, as well as Consultant's Proposal Response, which is attached as Exhibit B and incorporated by reference. 2. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services for City, the rates and charges identified in Compensation - Exhibit C. The total amount to be expended during the term of this Agreement shall not exceed $374,315, including any extension periods. b. Payment by City shall be made within forty-five (45) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. Payment need not be made for work which fails to meet the standards of performance set forth in the Recitals which may reasonably be expected by City. Page 1 of 11 3. TERM This Agreement shall commence on the 161h of September, 2025 for a three-year term, unless terminated earlier in accordance with Section 16, below. The term of this Agreement may be extended for two additional one-year periods upon a writing executed by the City Manager and the City Attorney. 4. PREVAILING WAGES Consultant is aware of the requirements of California Labor Code Section 1720, et seq., and 1770, et seq., as well as California Code of Regulations, Title 8, Section 16000, et seq., ("Prevailing Wage Laws"), which require the payment of prevailing wage rates and the performance of other requirements on "public works" and "maintenance" projects. If the services being performed are part of an applicable "public works" or "maintenance" project, as defined by the Prevailing Wage Laws, and the total compensation is $1,000 or more, Consultant agrees to fully comply with such Prevailing Wage Laws. Consultant shall defend, indemnify and hold the City, its elected officials, officers, employees and agents free and harmless from any claim or liability arising out of any failure or alleged failure to comply with the Prevailing Wage Laws. 5. INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this Agreement, be construed to be an independent Consultant and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer -employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 6. OWNERSHIP OF MATERIALS This Agreement creates a non-exclusive and perpetual license for City to copy, use, modify, reuse, or sublicense any and all copyrights, designs, and other intellectual property embodied in plans, specifications, studies, drawings, estimates, and other documents or works of authorship fixed in any tangible medium of expression, including but not limited to, physical drawings or data magnetically or otherwise recorded on computer diskettes, which are prepared or caused to be prepared by Consultant under this Agreement ("Documents & Data"). Consultant shall require all subcontractors to agree in writing that City is granted a non-exclusive and perpetual license for any Documents & Data the subcontractor prepares under this Agreement. Consultant represents and warrants that Consultant has the legal right to license any and all Documents & Data. Consultant makes no such representation and warranty in regard to Documents & Data which were provided to Consultant by the City. City shall not be limited in any way in its use of the Documents and Data at any time, provided that any such use not within the purposes intended by this Agreement shall be at City's sole risk. Page 2 of 11 7. INSURANCE Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require any subcontractors to obtain and maintain insurance as described below for the entire Term of this Agreement, and for 5 years thereafter, against claims for injuries to persons or damage to property which may arise from or in connection with services, products and materials supplied to City. Total cost of such insurance shall be borne by Consultant. MINIMUM SCOPE AND LIMIT OF INSURANCE Commercial General Liability (CGL): Insurance Services Office Form CG 00 01 covering CGL on an "occurrence" basis, including products and completed operations, property damage, bodily injury and personal & advertising injury with limits no less than $1,000,000 per occurrence and $2,000,000 aggregate. Required policy limits can be met with primary and umbrella/excess insurance policies. 2. Automobile Liability: Insurance Services Office Form CA 00 01 covering Code 1 (any auto), with limits no less than $1,000,000 combined single limits. 3. Workers' Compensation: as required by the State of California, with Statutory Limits, and Employer's Liability Insurance with limit of no less than $1,000,000 per accident, policy or employee, for bodily injury or disease. 4. Professional Liability Insurance: with limits no less than $1,000,000 per occurrence or claim, and $2,000,000 aggregate. These insurance requirements shall not in any way act to reduce coverage that is broader or includes higher limits than the minimums shown above. If Consultant maintains broader coverage and/or higher limits than the minimums shown above, City requires and shall be entitled to the broader coverage and/or the higher limits maintained by Consultant. Any available insurance proceeds in excess of the specified minimum limits of insurance and coverage shall be available to City. Insurance provided under this Agreement shall not contain any restrictions or limitations which are inconsistent with City's rights under this Agreement. Other Insurance Provisions The above required insurance policies are to contain or be endorsed to contain the following provisions: 1. City, its City Council, its officers, officials, employees, agents, and volunteers are to be covered as additional insureds, under Consultant's CGL, Professional Liability, and Automobile Liability policies, with respect to any liability arising out of work or operations performed by or on behalf of the Instructor including materials, parts, equipment, and personnel furnished in connection with such work or operations. 2. Consultant's Insurance company(ies) agrees to waive all rights of subrogation against City, its City Council, its officers, officials, employees, agents, and volunteers for Page 3 of 11 losses paid under the terms of any policy which arise from work performed by Consultant under this Agreement. 3. For any claims related to this contract, Consultant's insurance coverage shall be primary and any insurance maintained by City, its City Council, its officers, officials, employees, agents, or volunteers shall not contribute with it. 4. A severability of interest provision must apply for all the additional insureds, ensuring that Consultant's insurance shall apply separately to each insured against whom a claim is made or suit is brought, except with respect to the insurer's limits of liability. 5. Insurance policies required herein shall provide that coverage shall not be canceled, suspended, voided, reduced in coverage or in limits, non -renewed by the carrier, or materially changed except after thirty (30) days prior written notice has been given to City. Ten (10) days prior written notice shall be provided to City for policy cancellation or non -renewal due to non-payment of premium. 6. Certificate Holder on each Evidence of Insurance certificate shall be: City of Santa Ana, Attention: Ed Torres, 20 Civic Center Plaza., M-22, Santa Ana, CA 92701. The name and location of project must be included in the Description of Operations section of each certificate. Claims Made Policies If any coverage required is written on a claims -made coverage form: 1. The retroactive date must be shown, and this date must be before the execution date of the contract. 2. Insurance must be maintained and evidence of insurance must be provided for at least five (5) years after completion of work. 3. If coverage is cancelled or non -renewed, and not replaced with another claims -made policy form with a retroactive date prior to the contract effective, or start of work date, Consultant must purchase extended reporting period coverage for a minimum of five (5) years after completion of work. 4. A copy of the claims reporting requirements must be submitted to City. Acceptability of Insurers Insurance is to be placed with insurers authorized to conduct business in the State of California with a current A.M. Best rating of no less than ANII, unless otherwise acceptable to City. Waiver of Subrogation Contractor hereby agrees to waive rights of subrogation which any insurer of Contractor may acquire from Contractor by virtue of the payment of any loss. Contractor agrees to obtain any endorsement that may be necessary to affect this waiver of subrogation. The Workers' Compensation policy shall be endorsed with a waiver of subrogation in favor of City for all work performed by Contractor, its employees, agents and sub -contractors. Verification of Coverage Consultant shall furnish City with original Certificates of Insurance including all required amendatory endorsements (or copies of the applicable policy language effecting coverage required by this clause) and a copy of the Declarations and Endorsement Page of the CGL policy listing all Page 4 of 11 policy endorsements before work begins. However, failure to obtain the required documents prior to the work beginning shall not waive Consultant's obligation to provide them. City reserves the right to require complete, certified copies of all required insurance policies, including endorsements required by these specifications, at any time. Sub -Contractors Consultant shall require and verify that all sub -contractors maintain insurance meeting all requirements stated herein, and Consultant shall ensure that City is an additional insured on insurance required from sub -contractors. For CGL coverage, sub -contractors shall provide coverage with a form at least as broad as CG 20 38 04 13. Failure to Maintain Insurance Coverage If Consultant, for any reason, fails to maintain insurance coverage which is required pursuant to this Agreement, the same shall be deemed a material breach of contract. City, at its sole option, may terminate this Agreement at any time and obtain damages from Consultant resulting from said breach. Special Risks or Circumstances City reserves the right to modify these requirements, including limits, based on the nature of the risk, prior experience, insurer, coverage, or other special circumstances. 8. INDEMNIFICATION Consultant agrees to defend, and shall indemnify and hold harmless the City, its officers, agents, employees, contractors, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including death, and claims for property damage, which may arise from the negligent operations of the Contractor, its subcontractors, agents, employees, or other persons acting on its behalf which relates to the services described in section 1 of this Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. The Consultant further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party challenging the validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the terms of, or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. Notwithstanding the foregoing, to the extent Contractor's services are subject to Civil Code Section 2782.8, the above indemnity shall be limited, to the extent required by Civil Code Section 2782.8, to claims that arise out of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Contractor. 9. INTELLECTUAL PROPERTY INDEMNIFICATION Page 5 of 11 Consultant shall defend and indemnify the City, its officers, agents, representatives, and employees against any and all liability, including costs, for infringement of any United States' letters patent, trademark, or copyright infringement, including costs, contained in the work product or documents provided by Consultant to the City pursuant to this Agreement. 10. RECORDS Consultant shall keep records and invoices in connection with the work to be performed under this Agreement. Consultant shall maintain complete and accurate records with respect to the costs incurred under this Agreement and any services, expenditures, and disbursements charged to the City for a minimum period of three (3) years, or for any longer period required by law, from the date of final payment to Consultant under this Agreement. All such records and invoices shall be clearly identifiable. Consultant shall allow a representative of the City to examine, audit, and make transcripts or copies of such records and any other documents created pursuant to this Agreement during regular business hours. Consultant shall allow inspection of all work, data, documents, proceedings, and activities related to this Agreement for a period of three (3) years from the date of final payment to Consultant under this Agreement. 11. CONFIDENTIALITY If Consultant receives from the City information which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Consultant agrees that it shall not use or disclose such information except in the performance of this Agreement, and further agrees to exercise the same degree of care it uses to protect its own information of like importance, but in no event less than reasonable care. "Confidential Information" shall include all nonpublic information. Confidential information includes not only written information, but also information transferred orally, visually, electronically, or by other means. Confidential information disclosed to either party by any subsidiary and/or agent of the other party is covered by this Agreement. The foregoing obligations of non-use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the Consultant disclosed in a publicly available source; (c) is in rightful possession of the Consultant without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Consultant without reference to information disclosed by the City. 12. CONFLICT OF INTEREST CLAUSE a. Consultant covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. b. No immediate family members of either the Mayor, City Council Member, or any appointed City Official, including appointed board and commission members, as defined under the City's Municipal Code, whose position with the City shall award or influence the award of this Agreement, or any competing contract or amendment Page 6 of 11 thereof, shall be employed in any capacity by the Consultant or have any other direct or indirect financial benefit or interest in this Agreement. c. The section also prohibits the awarding of any agreement, contract, grant, or any amendment to those awards, to any former full-time employee for one-year from date of employee separation except for any CAPERS retiree as authorized by City Council resolution d. The Consultant must comply with all conflict of interest laws, ordinances, and regulations now in effect or hereafter to be enacted during the term of this (Contract, Agreement, or Grant). The Consultant warrants that it is not now aware of any facts which conflict with the prohibitions defined above. If the Consultant hereafter becomes aware of any facts that might reasonably be expected to create a conflict of interest, it must immediately make full written disclosure of such facts to the City. Full written disclosure must include, but is not limited to, identification of all persons implicated and a complete description of all relevant circumstances. Failure to comply with the provisions of this paragraph will be a material breach of this Agreement. e. Consultant covenants that none of its directors, officers, employees, or agents shall participate in selecting or administrating any subcontract supported (in whole or in part) by City funds stemming from the Agreement where the awarding of the subcontract has any direct or indirect financial benefit or interest to any individual, as defined in subsections (b) and (c) above. 13. NON-DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, gender identity, gender expression, gender, medical conditions, genetic information, or military and veteran status, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, teaching, training, utilization, promotion, termination or other employment related activities or any services provided under this Agreement. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 14. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Contractor, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terms of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Contractor. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Consultant or the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which is not embodied herein. Page 7 of 11 15. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Contractor, Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other Contractors retained by City. 16. TERMINATION This Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant prior to receipt of such notice of termination, subject to the following conditions: a. As a condition of such payment, the Executive Director may require Consultant to deliver to the City all work product(s) completed as of such date, and in such case such work product shall be the property of the City unless prohibited by law, and Consultant consents to the City's use thereof for such purposes as the City deems appropriate. b. Payment need not be made for work which fails to meet the standard of performance specified in the Recitals of this Agreement. 17. WAIVER No waiver of breach, failure of any condition, or any right or remedy contained in or granted by the provisions of this Agreement shall be effective unless it is in writing and signed by the party waiving the breach, failure, right or remedy. No waiver of any breach, failure or right, or remedy shall be deemed a waiver of any other breach, failure, right or remedy, whether or not similar, nor shall any waiver constitute a continuing waiver unless the writing so specifies. 18. JURISDICTION - VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. 19. PROFESSIONAL LICENSES Consultant shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Page 8 of 11 Santa Ana and all other governmental agencies. Consultant shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. 20. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by fax or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M-30) P.O. Box 1988 Santa Ana, CA 92702-1988 Fax: 714- 647-6956 With courtesy copies to: Executive Director, Public Works Agency City of Santa Ana 20 Civic Center Plaza (M-21) P.O. Box 1988 Santa Ana, California 92702 To Contractor: Berg & Associates, Inc. Attn: Alicia Berg, Vice President 302 W. 5th Street, Suite 210 San Pedro, CA 90731 A party may change its address by giving notice in writing to the other party. Thereafter, any communication shall be addressed and transmitted to the new address. If sent by mail, communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent by fax, communication shall be effective or deemed to have been given twenty-four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be excluded. Page 9 of 11 21. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. The Agreement is the final and complete agreement and any prior or contemporaneous agreements for similar services between the parties is superseded by this Agreement. This shall not apply where the Parties are currently engaged and Consultant is providing services not contemplated by this Agreement. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. Page 10 of 11 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: Jennifer L. Hall City Clerk APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: Kyle ellesen Assistant City Attorney RECOMMENDED FOR APPROVAL: Rodolfo Digitally signed by Rodolfo Rosas Date: 2025.08.28 Rosas 11:31:20-07'00' Rodolfo Rosas, P.E. Acting Executive Director Public Works Agency CITY OF SANTA ANA Alvaro Nunez City Manager CONSULTANT: By: Alicia M. Berg Title: Vice President Page 11 of 11 EXHIBIT 5 QUALITY ASSURANCE PROGRAM OF THE CITY OF SANTA ANA FOR FEDERAL AND STATE FUNDED PROJECTS CITY OF SANTA ANA Santa Ana Public Works Agency 20 Civic Center Plaza Santa Ana, CA 92701 p�a��ssion. s� CIV IL �p QF .Jason Gabriel, P.E. Principal Civil Engineer (714) 647-5664 Office ' abriel santa-ana.or NOVEMBER 2020 City of Santa Ana Quality Assurance Program 2020 Page 1 TABLE OF CONTENTS I. INTRODUCTION....................................................................................................................3 R. PURPOSE.................................................................................................................................3 III. DEFINITION OF TERMS.......................................................................................................3 IV. CERTIFICATE OF PERSONNEL...........................................................................................4 V. MANUFACTURED AND ASSEMBLED MATERIALS.......................................................5 VI. ACCEPTANCE TESTING AND SAMPLING........................................................................5 VII. SOURCE INSPECTION..........................................................................................................5 VIII. REPORTING TEST RESULTS TO RESIDENT ENGINEER................................................6 IX. INDEPENDENT ASSURANCE PROGRAM..........................................................................6 X. QUALITY ASSURANCE PROCEDURE DOCUMENTATION AND RECORDS ..............7 XI. MINOR QUANTITIES OF CONSTRUCTION MATERIALS WITHOUT TESTING .........7 XII. ASPHALT CONCRETE PAVEMENT.....................................................................................8 XIII. LIST OF EXHIBITS.................................................................................................................9 City of Santa Ana Quality Assurance Program 2020 Page 2 I. INTRODUCTION A Quality Assurance Program (QAP) consists of an Acceptance Program and an Independent Assurance (IA) Program that will provide assurance that the materials and workmanship incorporated into a construction project are in conformance with the contract specifications. A QAP should be updated as needed, and at least once every five years. There are no federal QAP regulations for local agency administered Federal -aid projects off the National Highway System (NHS). However, to ensure that a local agency is a good steward of public funds and to ensure that the materials and workmanship incorporated in a construction project are in conformance with the contract specifications, the use of a QAP is essential. Consequently, Caltrans has included the requirement in the Local Assistance Procedures Manual that every local agency receiving funds for a Federal -aid transportation project must have a QAP. This manual provides guidelines that local agencies can use to develop a QAP for all Federal -aid projects off the State Highway System (SHS) which would include agency transportation projects off the NHS and the essential connecting roads on the NHS that are off the SHS. II. PURPOSE The purpose of this program is to provide assurance that the materials incorporated into the construction projects are in conformance with the contract specifications. This program should be updated every five years or more frequent if there are changes of the testing frequencies or to the tests themselves. To accomplish this purpose, the following terms and definitions will be used: III. DEFINITION OF TERMS • Acceptance Testing (AT) - Sampling and testing, or inspection, to determine the degree of compliance with contract requirements. • Independent Assurance Program (IAP) - Verification that AT is being performed correctly by qualified testers and laboratories. • Quality Assurance Program (QAP) - A sampling and testing program that will provide assurance that the materials and workmanship incorporated into the construction project are in conformance with the contract specifications. The main elements of a QAP are the AT, and IAP. • Source Inspection - AT of manufactured and prefabricated materials at locations other that the job site, generally at the manufactured location. In order to ensure that the materials and workmanship incorporated in each state and federally - funded project are in conformance with the contract specifications, the City of Santa Ana shall apply the following procedures: City of Santa Ana Quality Assurance Program 2020 Page 3 IV. CERTIFICATE OF PERSONNEL • Acceptance sampling and testing shall be performed by personnel of either the County of Orange's Materials Testing Laboratory or a private testing laboratory selected by the City. The personnel who will conduct the sampling and testing must be certified. They can be certified by Caltrans' District Materials Engineer, The National Institute for Certification in Engineer Technologies, or other authority acceptable by the Resident Engineer of the City of Santa Ana (Resident Engineer) to be proficient in acceptance sampling and testing. The personnel shall possess a current certificate of proficiency. A copy of each person's certificate must be on file in both Caltrans' District Materials Laboratory and in the Resident Engineer's office. The certificate shall list the sampling and testing which the individual is authorized to perform. • The laboratory for the project must be under the responsible engineering management of a registered professional engineer with experience in inspection and testing of construction materials. This engineer must certify the results of all tests performed by the lab personnel under his/her supervision. • Standard Specifications for Public Works Construction (Green Book) are used for all City projects. According to Section 4-1.3.3, the City shall select a testing laboratory to sample and test materials at locations too distant for the local testing lab to conduct testing and sampling. Depending on terms of the contract, the costs may be borne by the contractor but the contractor shall not select or exercise authority over this testing laboratory. • Acceptance testers from either the Orange County Materials Testing Laboratory or a private testing laboratory shall carry adequate identification with them so that the Independent Assurance testing personnel can verify the acceptance testers' certificates. The City will obtain services from the County of Orange's and the private testing laboratories only after they show evidence that they meet the following criteria: 1. Correlation Testing Program: the materials laboratory shall be a participant in one or more of the following testing programs: a. AASHTO Materials Reference Laboratory (ARML) b. Cement and Concrete Reference Laboratory (CCRL) c. Caltrans' Reference Samples Program (RSP) 2. These testing laboratories are to maintain laboratory testing equipment in accordance with recognized national standards. 3. All their sampling and testing personnel used on the City projects are certified as described above. 4. They have an independent assurance testing and sampling program. This program can be performed either by their own personnel not involved in the acceptance testing and sampling or by another quality assurance organization. City of Santa Ana Quality Assurance Program 2020 Page 4 V. MANUFACTURED AND ASSEMBLED MATERIALS • The City shall accept manufactured or prefabricated structural materials based on either a Certificate of Compliance or/and source inspection by the City, Caltrans or a qualified private testing laboratory. Guidelines from Caltrans shall be used to determine which materials can be accepted based on certificates of compliance. The Resident Engineer shall ensure that a Certificate of Compliance is furnished with each lot of materials to be delivered to the site and that lot numbers and the project number be clearly identified on the certificate and on lot tags affixed or stenciled to the released materials. • The certificates shall be signed by the manufacturer to certify that the materials and workmanship are in compliance with the project specifications. The project inspector's daily report shall make reference for all materials accepted on the basis of a signed Certificate of Compliance. • Materials accepted on the basis of a Certificate of Compliance may be tested later. Items found not in compliance with contract requirements may be subject to rejection. • A Certificate of Compliance for each item shall be kept in the Resident Engineer's file. • Exhibits 16-T1 and 16-T2, attached, list materials requiring a Certificate of Compliance. VI. ACCEPTANCE TESTING AND SAMPLING • The City, through its selected testing laboratory, shall conduct acceptance sampling and testing of materials and work on the first day such work is performed and continues daily until the work is completed. The Resident Engineer or the designated construction inspector shall maintain a material and testing "Summary Log", which shall include location and depth of samples, quantity of sample material, name of the tester, test results and retest result of the previously failed samples with cross reference numbers. The Frequency Tables can be used as guidelines for these tests. • The selected testing laboratory which will conduct Acceptance Testing (AT) shall have and maintain current Caltrans Accreditation throughout the duration of contract. VII. SOURCE INSPECTION • When the County of Orange and the private laboratories can't provide source inspection for the City, the City may request the assistance from Caltrans Office of Materials Engineering and Testing Services to provide the above mentioned inspections. The request shall be made sufficiently in advance and shall comply with the following: 1. Submit Request for Source Inspection (Exhibit 16-W) to Caltrans' District Local Assistance Engineer (DLAE) 30 days prior to submitting the "Request for Authorization to Proceed with Construction." City of Santa Ana Quality Assurance Program 2020 Page 5 2. DLAE notifies the City of the status of the above mentioned request and gives the City the EA (Expenditure Authorization) number and the estimated costs, if the City's request is accepted. 3. The City sends in the "Request for Authorization to Proceed with Construction," "Local Program Agreement Checklist" and "Finance Letter" to DLAE. 4. The City shall pay Caltrans' bill or advance deposit to cover the estimated costs of the source inspection. 5. EA number will be shown on the bill. 6. Upon receiving them, the City shall execute the Program Supplement (PS) agreement and submit it in advance for source inspection to the Caltrans' Local Program Accounting (LPA). 7. After award of the construction contract, the Resident Engineer is to complete the top portion of Form CEM-3101, Notice of Materials to be Used, and have the contractor complete the bottom portion of the form. The Resident Engineer shall send a cover memo (Exhibit 16-W), the Form CEM-3101, and one set of PS&E to Caltrans' District Materials Engineer. VIII. REPORTING TEST RESULTS TO RESIDENT ENGINEER • When aggregate is sampled in the material source, results of sand equivalent, cleanness value and sieve analysis should be submitted within 24 hours. When soils and aggregate are sampled at the job site, results of these tests should be submitted within 72 hours. • Compaction and density tests taken at the job site should be submitted within 24 hours. • When soils and asphalt concrete are sampled at the job site, R value and asphalt extraction should be submitted in 96 hours. IX. INDEPENDENT ASSURANCE PROGRAM • The Independent Assurance Program (IAP) includes, but is not limited to: a. Verifying the equipment used for acceptance testing is properly calibrated and in good working condition. Records of equipment calibrations should be kept with the equipment. b. Witnessing sampling and testing by the acceptance tester. c. Performing corroboration testing by the acceptance tester and impendent assurance personnel. d. A written procedure for dispute resolution. • IAP services shall be provided by Caltrans. City of Santa Ana Quality Assurance Program 2020 Page 6 X. QUALITY ASSURANCE PROCEDURE DOCUMENTATION AND RECORDS All material records of samples, tests, material releases and certificate of compliance for the project shall be part of the project file to be kept in one location. These records shall be kept in the City's central file office at least for three years and shall be available to be reviewed by Caltrans FHWA personnel at any time. Upon completion of the project, the Resident Engineer shall complete a Materials Certificate, Exhibit 17-G, incorporate this Certificate in the Report of Expenditure and send both to Caltrans District Director, Attention: District Local Assistant Engineer. A copy of this Certificate shall be included in the construction records. All materials used in the project which did not conform to the specifications must be justified and explained on the Materials Certificate, including the contract change order(s) that has been executed to reconcile the non-compliance. XI. MINOR QUANTITIES OF CONSTRUCTION MATERIALS WITHOUT TESTING • The Resident Engineer may accept minor quantities of construction materials without testing, provided the following conditions are met: 1. The supplier has recently furnished similar materials found to be satisfactory using normal testing and sampling. Visual examination indicates the material is acceptable. 2. A certification is by the manufacturer indicating the material is in compliance with the specifications. • To accept minor quantities of materials as described above, the project inspector shall submit a report indicating conditions under which the materials are accepted, including quantity, location where placed, certification number, visual inspection record and other relevant data. This report shall be filed with other project documents. The following list suggests maximum quantities of materials may be accepted without testing: 1. Aggregate - other than for use in Portland Cement Concrete, not to exceed 100 tons per day nor more than 500 tons per project. 2. Bituminous Mixtures - not to exceed 50 tons per day except in major street intersections, quantity shall be increased to 300 tons. Sampled at Resident Engineer's discretion if project total is less than 500 tons. 3. Bituminous Materials - not to exceed 100 gallons per day. 4. Paint - not to exceed 20 gallons per project. 5. Masonry Items - check dimensions of products and uniformity of manufacture. 6. Non -Reinforced or Clay Pipes - no more than 100 linear feet. City of Santa Ana Quality Assurance Program 2020 Page 7 For typical projects, of size and quantities, in the City of Santa Ana the following "Frequency Table" shall be the material sampling and testing minimum standards. A final, bound/stamped, laboratory report is to be supplies to the Resident Engineer and retained in the project records. XII. ASPHALT CONCRETE PAVEMENT • Plant inspection for daily quantities of 500 tons or more. o One per project minimum. Test Required: o Aggregate prior to mixing, per 1000 tons ■ % crushed particles ■ Sieve analysis ■ Sand equivalent o Combined Mixture, per 1000 tons ■ Stabilometer ■ Asphalt oil content ■ Maximum density ■ In -place density o Liquid Asphalt ■ Certificate of Compliance Field Compaction: o Tests shall beat 200' to 400' intervals in each lane paved. Tests shall betaken in each layer placed. City of Santa Ana Quality Assurance Program 2020 Page 8 XIII. LIST OF EXHIBITS Exhibit 16-D (Certificate of Proficiency) Exhibit 16-G (Form MR-0104, Corroboration Report) Exhibit 16-H (Form MR-0110, Independent Assurance Sampling and Testing Log Summary) Exhibit 16-I (Form CEM-3101, Notice of Materials to be Used) Exhibit 16-K (Form MR-0029, Report of Inspection of Material) Exhibit 16-R (Size, Frequency and Location of Sampling and Testing Tables) Exhibit 16-S (Caltrans Test Method - ASTM Test method Conversion Chart) Exhibit 16-T1 (Materials Requiring a Certificate of Compliance per Caltrans Standard Specs) Exhibit 16-T2 (Materials Requiring a Certificate of Compliance per the Greenbook) Exhibit 16-W (Source Inspection Request to TransLab) Exhibit 16-Z2 (Acceptance Testing Results Summary Log) Exhibit 17-G (Materials Certificate) Exhibit W (Organization of Project Files) Orange County Public Works Quality Assurance Plan City of Santa Ana Quality Assurance Program 2020 Page 9 Local Assistance Procedure Manual Exhibit 16-D Certidicate of Proficiency CALIFORNIA DEPARTMENT OF TRANSPORTATION CERTIFICATE OF PROFICIENCY In the Sampling and Testing of Construction Materials This certifies that is qualified to perform the following tests: CALIFORNIA TEST 202 Sieve Analysis 217 Sand Equivalent 226 Moisture Content 227 Cleanness Value 229 Durability Index 231 Relative Compaction -Nuclear 375 Relative Compaction of AC 379 Asphalt Content -Nuclear 504 Air entertainment in PCC 518 Unit Weight-PCC 523 Flexural Strength of PCC-Beams 533 Kelly Ball penetration-PCC 539 Sampling Fresh Concrete 540 Fabricating PCC Cylinders DATE CERTIFIED BY DATE RENEWED BY District Materials Engineer IAST Certificate # Certification expires three years from above dates. Note: This certificate is valid as long as the Acceptance Tester complies with the applicable requirements of the Caltrans Quality Assurance Program Manual for use by Local Agencies, December 2008 THIS FORM IS TO BE ON FILE AT THE DISTRICT MATERIALS LAB AND CONSTRUCTION OFFICES. A COPY OF THE MASTER LIST SHALL BE KEPT IN THE RESIDENT ENGINEERS PROJECT FILE. MR - 0111 (1/93) (Old HC-1) January 2018 Page 1 of 1 Local Assistance Procedures Manual EXHIBIT 16-G Corroboration Report (Form MR-0104) State of California - Department of Transportation CORROBORATION REPORT Form MR-0104 (Rev.6/94) File: Materials Category 100 Instructions: Use this form to compare Split -Sample Test results (Acceptance Tester's test results of the Independent Assurance Sample and Tester) NAME (Acceptance Tester) Valid MR-0111 [ ] YES [ ] NO DATE (When the split sample was presented to the Acceptance Tester) DATE(when the Acceptance Tester's results were received by the IAST) DATE (When the Independent Assurance Sampler's & Tester's results were completed. CORROBORATION OF TEST RESULTS ACCEPTANCE TESTER (AT) INDEPENDENTASSURANCE SAMPLER & TESTER (AST) CORROBORATION BETWEEN THE AT AND THE AST TEST PROCEDURE OR CALIFORNIA TEST NUMBER TEST RESULTS SAMPLE ID NUMBER TEST RESULTS SAMPLE ID NUMBER GOOD FAIR POOR (1) SUBSEQUENT ACTION TAKEN FOR POOR CORROBORATION (List all actions taken and follow-up tests performed. Attach copy of each test report. If no action was taken, document reason(s) for no action taken). LAST NAME (Please print) DISTRICT SIGNATURE (Last) AST CERTIFIED? I ]YES I ] NO IF YES, AST CERTIFICATE NUMBER REPORT DATE FM93 1901 M NOTE: ATTACH ALL TEST DATA (Form MR-0107) APPENDIX C Page 16-61 February 1, 1998 7. 9 W O a .a oz wo o c� z � w z Q O L z OC 0 a' 0 OC 0 a' 0 K 0 K O cl� 0 K 0 cl� 0 0 0 0 K 0 K 0 K 0 K 0 Q:: 0 4- 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 ai d d d d 0- 2 d 2 d d d d d d 2 d d ❑ ❑ ❑ ❑ ❑ ❑ ❑ ❑ ❑ ❑ ❑ ❑ ❑ ❑ ❑ ❑ ❑ O �a•Il a O Y E C p cc cc oc oc OC OC cB Z z p V, a LL a Ll Q LL a Ll Q LL a LL Q U- a LL Q U- a LL Q U- a LL a L.L Q LL a LL Q LL a Ll 4-- ����III 4- 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 LU V ❑ ❑ ❑ ❑ ❑ ❑ ❑ ❑ ❑ ❑ ❑ ❑ ❑ ❑ ❑ ❑ ❑ W LA �z Q 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 x�c z z z z z z z z z z z z z z z z z Lnn U U V) w V) w U) w U) w U) w N w V) w V) w V) w V) w V) w V) w V) w V) w V) w V) w V) w A� � o 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 zzC z z z z z z z z z z z z z z z z z aA cp v, in v, in v, vi v, v, v, v, v, LU v, v, v, LU El El El El El El El El El El Ll El El El El Ll El V1 C• � F 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 z z z z z z z z z z z z z z z z z ►J y F W V) V) V) V) V) V) V) V) V) V) V) V) V) V) V) V) V) A W W W W W W W W W W W W W W W W W F•I ❑ ❑ ❑ ❑ ❑ ❑ ❑ ❑ ❑ ❑ ❑ ❑ ❑ ❑ ❑ ❑ ❑ p I•a C7 „ I•% F 3 z � a°Sz 5 a w F c, A U lu U Q 3 � Q � �W i b � o (: a "C w �z 0 U U � O O r-a y U Q O � p M as O _y o 0 0 0 U F F F F F 00 Local Assistance Procedures Manual EXHIBIT 16-K Report of Inspection of Material (Form MR-0029) RE/ Br Rep COntractfile STATE OF CALIFORNIA DEPARTMENT OF TRANSPORTATION OFFICE OF MATERIALS ENGINEERING AND TESTING SERVICES REPORT OF INSPECTION OF MATERIAL Dist.: Contract No.: F.A.P. No.: Purchase Order: Estimate (Requisition) No.: Date Inspected: Co.: Rte. P.M.: The following material has been inspected in accordance with Section 6 of the Standard Specifications and found to substantially comply* with contract plans and specifications at the source which is at Identification: RESIDENT ENGINEER NAME ADDRESS CITY Contractor Shipped to: JOBSITE Signed *Based on random sampling, testing and inspection procedures. Subject to final inspection and MR-0029 (old:TL-29) (Rev. 9/94) by the Resident Page 16-69 February 1, 1998 H m C H GJ 3 � V L V) Ln }r V EA 4- F- LL O d^A is u }r O •E O ra Vi \V � r-I ++ CL E W L�J Ln NI N r-I Lfl � n M U U L Lf1 L) Ln aJ U d N i O L a > U E U > +� m m n C d L aJ C a) LAv a-O a a E w O d -O c '++ m C L +� c a) > al C iE UO L E aJ J CO d d a. co E X Q f6 Q X O C LL O N O u O O O JO J J f6 a1 tlA tlA a1 � L L C L ~ Q V f6 f6 f6 O vi L a1 O- L L a1 a1 O M O Q Q Ln Q O_ c p ra O E *' E o E OM E o Q a u c u C �^ c M O O Ln+' o � y a, c a)O O to V U O O +� E u c C L O U Li v , a) p m C aA O E aci o a v A E O U U O O 0- O m m Ln Q O Ln w p O p C d L a) C .Q H u H O by Q V O 7 O u .O C a) C E O 'O O O O C O to p pL E Q L/1 L p- L E Q f0 r-I d d o a, m E 7a C C G c to O Ln N N � 0 -D O � � � U)bD M ~ ) N •fl3 O Q U L " w L 0 o a Li N Il N M Ln Ql L.O W � p O r-I oo W I- O fV w 0.0 41 N N M U M M N M E w H U U U Z U U U U Ln � f6 V �F a) V v v O U ++ w Ln + L -0 L4 1 O rz 41 � +� U T O x V U co V LO C LL6 (D C L i ; 0 p _ (U a) V to O m C - uo cr Q Ln Q c U H 2 Ln Q Ln � v C a� U U a) L v L v V v u Ln � E a1 a1 O O n X O U M O_ C O E c O N n c p U U m Q a O_ E (6 bn E O U U o U - Q T � � M E c O u U v O Ln W C 'a L 7 00 0 O v .Q) O a cm C N of U � Q E v > v O v f6 C aJ U 'a fly C a) Q O L U V a) L o N O L C a) } U p T � p +� o a E a) C V *' -0 c O - T N N w C C V Q a)O m M c v E v o o ago _0 > o a C c +� O Y L O O - U M +� ro c ~ n u E 0 CL U X LU O U O U L n p Z Z H F- Z 5W Y Z a m W cc 0 J_ 0 F- Z W W a m W m H G W m Ln T 4% L L � Q 0 f6 c E Q O In n L f6 C C- O O N E y c O E u U U Lc � O W C\ E a, O 0 ++ O u � O J L N 7 O L N � Y c _ f6 fV f6 � N L > c v °o 3 L L S > f6 � > N L L � LL bD _0 CD O C 7 M 0! $ U1 C O f0 O 0 Ln O c E CL �� o Ln m E o E W 0 Ca G -1 W 0 N N s F Q N u m (.0 m (A N H U N 0 Z a W a � m u � *' W 'L T 41 Q � c N m c NJ s E O T E Q Ur m x E C7 U 3 Q 2 u O > L Q Q) � •C F CL L to Q 'Q (U f6 -a c O E u U f6 LnO U L C Q o a; a g aa) E y ', c O O o u E C: 0 — W \ i E N � C f0 u E m O m i= J (n N i M V) cy- T i L O O O y � L(1 N i L a LL tw C a- 4) N C: F C -a G I r G to c Q E m Ln E 3 E .E M O N s F- U Q) N N Il l\O O O � -i H N M N N U U U U v cu u � V +� 1 u c c > 0 c uE 'u a, a E MOL > x E 7 2 Cl ." cr UM)2 U J J_ LL Y V Q m U W J W N J J_ LL Y V m W cc V tw CL E O y C C \ C O a+ u O J O L Q � CL 41 E a) Q E O 0 :: N O E m In > � H L a) U D 0 m Q O N +� �_ U � — W E 0 , c m oC c O U E O U C a) E N � i U f6 M a O '^ O v .F � L � � J GJ — a � U iL L LL a b.0 N N N L iA 41 d C � rl b c a E m Ln E 7 E ._ 'O M O N L I- *' d U O O -A � N M N N H U U U U v v u � c 'L T c m v N m co c s > O U O c a) s O u ++ Q 7 w E Q 0)m x 7 v E CJ in cn � U O O L a L a c C ao aj +, v c C Q (U = C Q v - a Y 0 O cu U O U Ln a a O '7A o o v E E E E 0 0 � 0 a, a� O +� a) Z Ca C Ca C u Ca C 0 n3 (n n3 (n O J ca (n C C Q O 0 v v o Z C a a1 C a 0 0 E E a 0 LL a a L a) U a) L a n3 z o V, a o n3 V, a N L a-+ a U a V v1 U ns +, a) E a, M +, a) E v e u v c O _ J s v C s v C aJ E v J U of ) E U v E asi v QL L L ai a oo C Q aj a1 E Q aj a1 E w N a1 E (� V_ C 7 'i C 7 O a+ 7 f6 m T ? _0 U U U U aJ Z Q O aJ o 'o O N o 'o h0 c a m J L a L " a Q o Qa1 L a) L E a.., a ) 0 Y� a; E a) E E 1� ' E H C: ci E V E E E H I V a O O O O W2 N r- 2 N r m 0) 0N �N N cc N N N N Ln Ln V H U U H U U H U U Z 0 Z W5 G W iy u_ u u Q V � W �v_f 41 C W L ~ L L O i s ?. > = OJ C = Q w W Zu'au aJ _00 L L 0 or iz v C U Local Assistance Procedures Manual Exhibit 16-S Caltrans Test Method- ASTM Test Method Conversion Chart CALTRANS TEST METHOD - ASTM TEST METHOD CONVERSION CHART Testing Procedures - for local agency use only Use this CTM - ASTM conversion chart to assist you in determining acceptance test requirements and frequencies, as detailed in Caltrans Construction Manual Chapter 6, "Sampling and Testing." Refer to the Agency, special provisions, contract plans, and applicable standard specifications, for correct sampling and test methods (ASTM-CTM). CTM ASTM Book of TEST PROCEDURE NOTE Standar S 105 Calculations Pertaining to Gradin s and Specific Gravities 2 125 Sampling Highway Materials (when approved) D75 4.02 Standard Practice for Sampling Aggregates 3 D979 4.03 Practice for Sampling Bituminous Paving Mixtures 3 201 Soil & Aggregate Sample Preparation C702 4.02 Reducing Field Samples of Aggregate to Testing Size 13 202 Sieve Analysis of Fine and Coarse Aggregate C136 4.02 Sieve Analysis of Fine and Coarse Aggregate C117 4.03 Material Finer Than 75-um (#200) Sieve in Mineral Aggregates by Washing 205 Percentage of Crushed Particles 1 206 Specific Gravity and Absorption of Coarse Aggregate C127 4.02 Specific Gravity and Absorption of Coarse Aggregate 207 Specific Gravity and Absorption, Fine Aggregate C128 4.02 Specific Gravity and Absorption, Fine Aggregate 208 Apparent Specific Gravity of Fine Aggregate 1 211 Abrasion of Coarse Aggregate by Use of the Los Angeles Rattler Machine C131 4.02 Resistance to Degradation, Small -Size Coarse Agg. by Abrasion & Impact, L.A. Machine 213 Organic Impurities in Concrete Sand C40 4.02 Organic Impurities in Fine Aggregate for Concrete 214 Soundness of Aggregates by Use of Sodium Sulfate 1 C88 4.02 Soundness of Aggregates by Use of Sodium Sulfate or Magnesium Sulfate 216 Relative Compaction of Untreated and Treated, Soils & Aggregates D1556 4.08 Density of Soil In -place by the Sand Cone Method D1557 4.08 Moisture -Density Relations of Soils & Soil-Agg. Mixtures,10-lb. Rammer,18-in 11 217 Sand Equivalent(only authorized method per Caltrans 07, District Materials 1,9 223 Surface Moisture in Concrete Aggregate 1 226 Moisture Content in Soils by Oven Drymg C566 4.02 Total Moisture Content of Aggregate by Drying 227 Evaluating Cleanness of Coarse Aggregate 1 229 Durability Index 1 D3744 4.03 Aggregate Durability Index 231 Relative Compaction of Soils by the Area Concept Utilizing Nuclear Gages 4 D2922 4.08 Density of Soil & Soil -Aggregate In -place by the Nuclear Method 4 Page 1 of 4 January 2018 Local Assistance Procedures Manual Exhibit 16-S Caltrans Test Method- ASTM Test Method Conversion Chart CTM - ASTM Testing Procedures - for local agency use only Use this CTM - ASTM conversion chart to assist you in determining acceptance test requirements and frequencies, as detailed in Caltrans Construction Manual Chapter 6, "Sampling and Testing." Refer to the Agency, special provisions, contract plans, and applicable standard specifications, for correct sampling and test methods (ASTM-CTM). CTM ASTM Book of TEST PROCEDURE NOTES Standards 301 R-Value of Treated & Untreated, Bases, Subbases & Basement Soils 1 D2844 4.08 R-Value and Expansion Pressure of Compacted Soils 302 Film Stripping D1664 4.03 Coating and Stripping of Bitumen -Aggregate Mixtures 303 Centrifuge Kerosene Equivalent 1 304 Preparation of Bituminous Mixtures for Testing 1 D1561 4.03 Prep. of Bituminous Mixture Test Specimens by Means of Calif. Kneading Compactor 305 Swell of Bituminous Mixtures 1 307 Moisture Vapor Susceptibility of Bituminous Mixtures 1 308 Bulk Specific Gravity and Weight Per Cubic Foot of Bituminous Mixtures D1188 4.03 Bulk Sp.G. and Density of Compacted Bituminous Mixtures, Paraffin - Coated Specimens 310 Asphalt and Moisture Contents of Bituminous Mixtures by Hot Solvent 5 D2172 4.03 Extraction of Bitumen from Bituminous Paving Mixtures Method A, B, or C) 6,10 312 Design and Testing of Class "A" and "B" Cement Treated Base 1 338 Cement or Lime Content in Treated Aggregate by the Titration Method 1 339 Determination of Distributor Spread Rate D2995 4.03 Determining Application Rate of Bituminous Distributors 362 Asphalt Content of Bituminous Mixtures by Vacuum Extraction 5 D2172 4.03 Quantitative Extraction of Bitumen from Bituminous Paving Mixtures 6 366 Stabilometer Value 1 367 Recommending Optimum Bitumen Content (OBC.) 1 370 Determining Moisture Content of Asphalt Mixtures or Mineral Agg., Microwave Ovens D4643 4.08 Determination of Water (Moisture) Content of Soil by the Microwave Oven 375 In -place Density & Relative Compaction of AC Pavement (nuclear) 5,7,12 D2950 4.03 Density of Bituminous Concrete In -place by the Nuclear Method 6,7 379 Asphalt Content of Bituminous Mixtures by use of the Troxler Nuclear Gage 5,8 D4125 4.03 Asphalt Content of Bituminous Mixtures by the Nuclear Method 6,8 405 Chemical Analysis of Water 1 415 Chloride Content in Organic Additives for Portland Cement Concrete 1 Page 2 of 4 January 2018 Local Assistance Procedures Manual Exhibit 16-S Caltrans Test Method- ASTM Test Method Conversion Chart CTM - ASTM Testing Procedures - for local agency use only Use this CTM - ASTM conversion chart to assist you in determining acceptance test requirements and frequencies, as detailed in Caltrans Construction Manual Chapter 6, "Sampling and Testing." Refer to the Agency, special provisions, contract plans, and applicable standard specifications, for correct sampling and test methods (ASTM-CTM). CTM ASTM Book of TEST PROCEDURE NOTES Standard 504 s Air Content of Freshly Mixed Concrete by the Pressure Method C231 4.02 Air Content of Freshly Mixed Concrete by the Pressure Method 515 Relative Mortar Strength of Portland Cement Concrete Sand 1 518 Unit Weight of Fresh Concrete C138 4.02 Unit Weight, Yield, and Air Content (Gravimetric) of Concrete 521 Compressive Strength of Molded Concrete Cylinders C39 4.02 Compressive Strength of Cylindrical Concrete Specimens 523 Flexural Strength of Concrete (using simple beam with 1 center -point loading) C293 4.02 Flexural Strength of Concrete (using simple beam with center -point loading) C78 4.02 Flexural Strength of Concrete (using simple beam with third -point loading) 528 Freeze Thaw Resistance of Aggregates in Air -Entrained Concrete 1 529 Proportions of Coarse Aggregate in Fresh Concrete 1 530 Determining the Effect of H2O-Reducing and Set -Retard. Admix. 1 Drying Shrinkage PCC 533 Ball Penetration in Fresh Portland Cement Concrete C360 4.03 Ball Penetration in Fresh Portland Cement Concrete C143 4.02 Slump of Freshly Mixed PCC 539 Sampling Fresh Concrete C172 4.02 Sampling Freshly Mixed Concrete 540 Making, Handling, & Storing Concrete Compressive. Test Specimens in the Field C31 4.02 Making & Curing Concrete Test Specimens in the Field 541 Flow of Grout Mixtures flow cone method 1 543 Air Content of Freshly Mixed Concrete by the Volumetric Method C173 4.02 Air Content of Freshly Mixed Concrete by the Volumetric Method 548 Evaluation of Aggregate for Lean Concrete Base (LCB.)1 Page 3 of 4 January 2018 Local Assistance Procedures Manual Exhibit 16-S Caltrans Test Method- ASTM Test Method Conversion Chart Notes 1. Use the CALTRANS Method. 2. Use the methods of calculation within the applicable test method first. Refer to CTM 105 as necessary. 3. Use the Caltrans Construction Manual procedures as necessary when ASTM D75 or D979 do not adequately cover the item to be sampled. 4. Use the direct transmission method only, the air gap method shall not be used. All nuclear gages must have local Caltrans District calibration within the last year. The data sheets provided by the local Caltrans District shall be used when determining the in - place density. 5. Sample from the job site, across the mat, immediately behind the paving machine (Caltrans Construction Manual). 6. Sample per ASTM D 979 paragraph 4.2.3., sample from the job site, across the mat, immediately behind the paving machine. 7. All nuclear gages used for this test must be calibrated on the six (6) DNTM&R AC Standard Blocks. The Data sheets provided by the local Caltrans District shall be used when determining the in -place density. 8. Recommended Percent (%) AC method for Rubberized Bituminous Paving mixtures. 9. The hand method of shaking is not authorized and shall not be used. An electro- mechanical or hand- operated mechanical. Sand Equivalent shaker must be utilized for this test. 10. This Method covers hot solvent, centrifuge, and vacuum extraction. IL Compaction Apparatus shall be calibrated in accordance with ASTM D 2168, Method B (ASTM Book 4.08). 12. Test Maximum Density (TMD) shall be performed by Caltrans Test Method 375, Section F. Test Max. Density. 13. Splitters must be of the fixed riffle type (no adjustable splitters). Page 4 of 4 January 2018 Local Assistance Procedures Manual Exhibit 16-T1 Materials Requiring a Certificate of Compliance per Caltrans Standard Specifications Exhibit 16-T1 Materials Requiring a Certificate of Compliance per Caltrans Standard Specifications Table 6-2.3 Materials Accepted by Certificate of Compliance (1 of 7) Material/Product Remarks (Including Requirements for Additional Back -Up Information Required with Certificate of Compliance) Asphalt Certificate of compliance must include the following: 1. Shipment number and shipment date. 2. Source refinery, consignee, and destination. Asphaltic emulsion 3. Type and description of material with specific gravity and quantity. 4. Contract or purchase order number. 5. Signature by the manufacturer of the material and a statement that the material complies with the contract. Asbestos cement pipe Asbestos sheet packing Asphalt modifier Test results required with each truck load. Asphalt rubber joint sealant A certified test report of the results for the required tests performed within 12 months before the proposed use. Backer rods Must include manufacturer's statement of compatibility with the joint sealant to be used. Barbed Wire Blast cleaning material Bonding Material Brick Cable -type restrainers Certificate of compliance must be submitted with a copy of each required test Lock nuts report. Cast iron pipe Cast iron manhole rings and covers Chemical adhesive for bonding tie bars and dowel bars in concrete pavement Chemical adhesive for structures Certificate of compliance must state compliance with ICBO AC 58 and Caltrans. Augmentation/Revisions to ICBO AC 58. Concrete Certificate of compliance from the manufacturer must certify that the admixture furnished is the same as that previously authorized or the Admixture authorized materials list. Certificate of compliance must include the source name and location. If the cementitious material is delivered directly to the job site, the certificate of compliance must be signed by the cementitious material supplier. Concrete Cementitious If the cementitious material is used in ready -mixed concrete, the certificate of material compliance must be signed by the concrete manufacturer. If blended cement is used, the certificate of compliance must include a statement signed by the blended cement supplier that shows the actual percentage of SCM, by weight, in the blend. Certificate of compliance must include: Concrete 1. Test results for the tests specified in Section 90-1.01 D(6) [90-7.01 B] of the Curing compound Standard Specifications. 2. Certification that the material was tested within 12 months before use. Before placing minor concrete from a source not previously used on the Concrete Minor contract, a certificate of compliance stating that the minor concrete to be concrete furnished complies with the contract requirements, including the specified minimum cementitious material content. Ceramic tile Chain link fencing and railing Certificate required for protective coating system. Concrete anchorage devices Page 1 of 7 January 2020 Local Assistance Procedures Manual Exhibit 16-T1 Materials Requiring a Certificate of Compliance per Caltrans Standard Specifications Table 6-2.3 Materials Accepted by Certificate of Compliance (2 of 7) Material/Product Remarks (Including Requirements for Additional Back -Up Information Required with Certificate of Compliance) Certificate of compliance must: Concrete pipe 1. Be signed by the manufacturer's quality control representative. Circular reinforced direct design 2. State that all materials and workmanship comply with the method specifications and authorized shop drawings. Copper pipe Corrugated metal pipe Certificate of compliance must include: 1. Manufacturer's name 2. Production location 3. Product brand or trade name 4. Product designation 5. Batch or lot number Crack sealant 6. Crack treatment material type 7. Contractor or subcontractor name 8. Contract number 9. Lot size 10. Shipment date 11. Manufacturer's signature Crash cushions Crumb rubber modifier Test results required with each truck load. Culvert markers Certificate of compliance required for: Delineators 1. Metal target plates 2. Enamel coating 3. Retroreflective sheeting Dowel bar baskets Drop inlet grates and frames Drain tile Drip irrigation line Elastomeric Bearing Pads Certified test results for the elastomer. Plain Elastomeric Bearing Pads Certified test results. Steel -reinforced Electrical Certificates of compliance is required for: External cabinet Battery back-up system • Batteries Electrical Conductor Electrical Conduit(galvanized andplastic) Electrical Equipment Electrical Pull boxes concrete and plastic Electrical Service cabinets Page 2 of 7 January 2020 Local Assistance Procedures Manual Exhibit 16-T1 Materials Requiring a Certificate of Compliance per Caltrans Standard Specifications Table 6-2.3 Materials Accepted by Certificate of Compliance (3 of 7) Material/Product Remarks (including Requirements for Additional Back -Up Information Required with Certificate of Compliance) Certificate of compliance is required for: • Straw • Fiber • RECP • Fasteners Certificate of compliance with attachments are required for: • Tackifier • Bonded fiber matrix • Polymer -stabilized fiber matrix Certificates of compliance attachments include: Erosion control 1. Material Safety Data Sheet. 2. Product label. 3. List of applicable nonvisible pollutant indicators for soil amendment and stabilization products as shown in the table titled "Pollutant Testing Guidance Table" in the Caltrans Construction Site Monitoring Program Guidance Manual. 4. Report of acute and chronic toxicity tests on aquatic organisms conforming to EPA methods. 5. List of ingredients, including chemical formulation. 6. Properties of polyacrylamide in tackifier including (1) percent purity by weight, (2) percent active content, (3) average molecular weight, and (4) charge density. Epoxy Epoxy powder coating for dowel bars and tie bars Expansion joint filler Fiberglass pipe Certificate of compliance must be submitted with laboratory test results. If PVC coating is shown, a suitable UV resistance additive must be blended Gabions with the PVC and the additive must be shown on the certificate of compliance. Certificate of compliance must certify that the drain produces the specified flow rate. The certificate must be accompanied by a flow capability graph for Geocomposite drain the geocomposite drain showing flow rates and the externally applied pressures and hydraulic gradients. Verification must be by an authorized laboratory for the flow capability graph. Geosynthetics Test sample representing each lot and minimum average roll value. Glass beads Glue laminated timbers and decking Guide markers Irrigation hose Certificate of compliance required for: Irrigation pipe • Polyethylene pipe. • Plastic pipe supply line for pipe with wall thickness of the bell less than the specified minimum wall thickness of the pipe. Joint filler material Joint seals (Type A and AL) Certified test report for each batch of sealant. Page 3 of 7 January 2020 Local Assistance Procedures Manual Exhibit 16-T1 Materials Requiring a Certificate of Compliance per Caltrans Standard Specifications Table 6-2.3 Materials Accepted by Certificate of Compliance (4 of 7) Material/Product Remarks (Including Requirements for Additional Back -Up Information Required with Certificate of Compliance) Joint seal (Type B) Certificate of compliance required for: • Elastomeric joint seal • Lubricant -adhesive Certificate of compliance must be submitted with certified test report for each lot of elastomeric joint seal and lubricant -adhesive. Test reports must include the seal movement rating, the manufacturer's minimum uncompressed width, and test results. Joint seal assemblies with a movement For alternative joint seal assemblies, a certificate of compliance must be rating of 4 inches or less submitted for each shipment of joint seal materials. The certificate must state that the materials and fabrication involved comply with the specifications and the data submitted in obtaining the authorization for the alternative joint seal assembly. Joint seal assemblies with a movement rating over 4 inches Lime Certificate of compliance must include a statement certifying the lime furnished is the same as on the authorized material source list. Certificate of compliance for each reel of PVC strip must include: 1. Name of manufacturer Machine spiral wound PVC 2. Plant location pipeliners 3. Date of manufacture and shift 4. Cell classification 5. Unit mass 6. Average pipeliner stiffness and profile type Certificate of compliance required for: Markers 1. Metal target plates 2. Enamel coating 3. Retroreflective sheeting Certificate of compliance required for: Masonry block 1. Concrete masonry units 2. Aggregate for grout 3. Grout Micro surfacing emulsion Mulch Open steel flooring and grating Overside drains Certificate of compliance based on steel materials, aluminum materials or plastic materials. Parking area seal material Pavement markers Pavement marking Paint or thermoplastic Plastic lumber Laboratory test report. Plastic traffic drums Certificate of compliance must include average pipe stiffness, resin material cell classification, and date of manufacture. Plastic pipe for drainage For corrugated polyethylene pipe, manufacturer's copy of plant audits and test results from the National Transportation Products Evaluation Program for the current cycle of testing for each pipe diameter furnished. Portable changeable message sign Precast concrete Cementitious Certificate of compliance must be signed by the precast concrete product material used in precast concrete manufacturer. products Page 4 of 7 January 2020 Local Assistance Procedures Manual Exhibit 16-T1 Materials Requiring a Certificate of Compliance per Caltrans Standard Specifications Table 6-2.3 Materials Accepted by Certificate of Compliance (5 of 7) Material/Product Remarks (Including Requirements for Additional Back -Up Information Required with Certificate of Compliance) Precast concrete Certificate of compliance must be signed by the manufacturer's QC Box culverts representative for each shipment. Precast raised traffic bars Preformed compression seal for concrete pavement Preformed membrane sheet Must include type of sheet and the conditioner or primer application rates. Certificate of compliance is required for each delivery of aggregate, cementitious material, and admixtures used for calibration tests. Rapid strength concrete The certificate of compliance must state that the source of the materials used for the calibration tests is the same source as to be used for the planned work. You may request that the contractor submits with certificate of compliance: Reinforcement 1. Copy of the certified mill test report for each heat and size of reinforcing steel showing physical and chemical analysis. 2. Two copies of a list of all reinforcement before starting reinforcement placement. Certificate of compliance for each shipment of epoxy -coated reinforcement must be submitted with: Reinforcement 1. Certification that the coated reinforcement complies with ASTM A 775/A Epoxy -coated 775M for bar reinforcement or ASTM A 884/A 884M, Class A, Type 1, for wire reinforcement 2. All certifications specified in ASTM A 775/A 775M for bar reinforcement or ASTM A 884/A 884M for wire reinforcement. Certificate of compliance for each shipment of epoxy -coated prefabricated reinforcement must be submitted with: Reinforcement 1. Certification that the coated reinforcement complies with ASTM A 934/A Epoxy -coated prefabricated 934M for bar reinforcement or ASTM A 884/A 884M Class A, Type 2 for reinforcement wire reinforcement. 2. All certifications specified in ASTM A 934/A 934M for bar reinforcement or ASTM A 884/A 884M for wire reinforcement. Reinforcement Certificate of compliance for the patching material must include certification that the patching material is compatible with the epoxy Epoxy -coating patching materials powder to be used. Certificate of compliance for each shipment of headed bar reinforcement must be submitted with: Reinforcement 1. Mill test reports for the: Headed bar 1.1. Bar reinforcement 1.2. Head material 2. Production test reports 3. Daily production logs Certificate of compliance for each shipment of splice material must be submitted with: 1. Type or series identification of the splice material, including tracking information for traceability. Reinforcement 2. Grade and size number of reinforcement to be spliced. 3. Statement that the splice material complies with the type of Splicing mechanical splice on the authorized material list. 4. For resistance -butt -welded material: 4.1. Heat number 4.2. Lot number 4.3. Mill certificates Page 5 of 7 January 2020 Local Assistance Procedures Manual Exhibit 16-T1 Materials Requiring a Certificate of Compliance per Caltrans Standard Specifications Table 6-2.3 Materials Accepted by Certificate of Compliance (6 of 7) Material/Product Remarks (Including Requirements for Additional Back -Up Information Required with Certificate of Compliance) Sheet metal Certificates of compliance required for: 1. Aluminum sheeting Sign panels 2• Retroreflective sheeting 3. Screened -process colors 4. Nonreflective, opaque, black film 5. Protective -overlay film Silicone joint sealant A certified test report of the results for the required tests performed within 12 months before the proposed use. Slotted edge drain Snow poles Snow plow deflectors polyethylene material Soil amendment Steel crib wall Sheet metal Certificates of compliance required for: 1. Aluminum sheeting Sign panels 2• Retroreflective sheeting 3. Screened -process colors 4. Nonreflective, opaque, black film 5. Protective -overlay film Silicone joint sealant A certified test report of the results for the required tests performed within 12 months before the proposed use. Slotted edge drain Snow poles Snow plow deflectors polyethylene material Soil amendment Steel crib wall The certificate of compliance must be signed by the plant's QC representative. The QC representative must be on record with the Department's Office of Structural Materials. certificate of compliance must include: 1. Statement that all materials and workmanship incorporated in the work and all required tests and inspections of this work have been performed as described. 2. Certified mill test reports for each heat number of steel pipe piles being furnished. Steel pipe piles 3, Test reports for tensile, chemical, and any specified non-destructive test (NDT). 4. Test reports must be based on test samples taken from the base metal, steel, coil or from the manufactured or fabricated piles. 5. Calculated carbon equivalent. The carbon equivalent may be shown on the mill test report. Steel sheet piling Certificate of compliance required for: 1. Structural metal plate pipe Structural plate culverts 2. Arches 3. Pipe arches 4. Metal liner plate pipe Page 6 of 7 January 2020 Local Assistance Procedures Manual Exhibit 16-T1 Materials Requiring a Certificate of Compliance per Caltrans Standard Specifications Table 6-2.3 Materials Accepted by Certificate of Compliance (7 of 7) Material/Product Remarks (Including Requirements for Additional Back -Up Information Required with Certificate of Compliance) Certificate of compliance must include: 1. Test reports for tensile, chemical, and any specified NDT. Test samples must be taken from the base metal, steel, or from the manufactured or fabricated Structural shape steel piles pile. 2. A statement that all materials and workmanship incorporated in the work and all required tests and inspections of this work have been performed as described. Structural composite lumber used in falsework Structural steel thermal spray coat Wire feedstock Styrofoam filler Subsurface drain Certificate of compliance required for: Temporary concrete washout • Gravel -filled bag • Plastic liner Certificate of compliance required for: Temporary fence (Type ESA) • High visibility fabric • Safety caps for metal posts Certificate of compliance required for: • Fiber roll • Safety cap for metal posts Temporary linear sediment barrier Silt fence fabric • Sediment filter bag • Foam barrier • Gravel -filled bag fabric Temporary railing (Type K) Thermoplastic Tie bars Tie bar baskets Timber products (treated and Certificate of compliance for timber and lumber must state the species of the untreated) material to be shipped and include a certified grading report. If treated, certified treating report. Threaded tie bar splice couplers Traffic stripe Paint or thermoplastic Turf sod Certificate of compliance required for: Underdrains Type of pipe • Tubing • Fitting Waterproofing fabric Waterstop Certificate of compliance for waterstop material must state compliance with ara graph 6 of Army Corps of Engineers CRD-C 572. 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We requested and received prior authorization for this service from our district Local Assistance Engineer, as noted by the attached approval memo from District Local Assistance Engineer. Please find the following documents enclosed as required: 1. Completed CEM-3101 2. One set of PS&E Any question you might have about the materials, to be inspected, should be directed to: , at (phone #) (Applicant Representative Name) (Title) (Local agency, name & address) Page 16-111 LPP 05-03 November 23, 2005 W E z O J L m E E N H tw a H aj V m ^if W U U Q N N l0 r-I s X W � � N � v my � m 0 � W w � � c o � 0 w a L a N 7 N � y Q w z i a w z � a � c o i _ u m a a` O u O a` v t n a c 0 N C O O 00000000000 MD v v o - N C @ o o O O/ E Z u r v a E @ N G/ � F 3 Z a m Local Assistance Procedures Manual EXHIBIT 17-G Materials Certificate EXHIBIT 17-G MATERIALS CERTIFICATE Materials Certificate CITY/COUNTY LETTERHEAD (Sample) Date: Federal -Aid Project No.: Caltrans File Category 61: Job Stamp Subject: Materials Certification This is to certify that: The results of the tests on acceptance samples indicate that the materials incorporated in the construction work and the construction operations controlled by sampling and testing were in conformity with the approved plans and specifications. Exceptions to the plans and specifications are explained on the back of this memorandum (or on attached sheet). ❑ No exceptions to the plans and specifications were found. Signature of local agency engineer in responsible charge of project and title Distribution: ( For all projects) 1) Local agency Project Files (original) 2) DLAE (1 copy in Report of Expenditures) (For projects on the NHS) 3) FHWA (1 copy) Page 17-23 LPP 09-01 April 30, 2009 City (of Santa Ana EXHIBIT W Or 7daniza imi of Project File I. Specifications (This folder will be needed only if the specifications are greater than one inch thick, Otherwise, combine Specifications and Contract Documents into one folder). 2. Contract Documents A, RFCA, Contract, bid abstract. B. Documents, 3. Correspondence with Contractor A. Deceived B. Sent out 4. Progress Payments A. Progress payment related correspondence, Banding B. Mark-ups, payments, retention memo 5. Lien Notices A. Stop Notice B. N-Day Notice 6. Weeklies, Dailies A. Weeklles B. Dailies 7. Potential change carders (accordion folder with manila folders no. 1 through 5) 8. Change Girder A. Signed C O's B. All back-up information 9. Outside Inspection Reports 10. In Mouse Inspection Report 11, Environmental Documents 12. Award Package to Caltrans A. Award packages .gent out and received from Caltrans B. All Backup information 13. Interim Billings to Caltrans A. Interim billings sent out and received from Caltrans B. All backup information 14. Final Report to Caltrans A. Final reports seat out and received from Caltrans B. All backup information 15. SUbmittals Saved in City's network storage server 16. RFI's Saved in City's network storage server 17. I`ateriais A. Certificates 18, Material Tickets 9, Quality Assurance Program 20. Correspondence other than Contractor A. Received B. Sent out 21. Other Bids 22. Notices of Non -Compliance and related correspondence 23. Survey 24. Permits QC- PublicWorks DAVID DIXON MEMORIAL MATERIALS LABORATORY QUALITY ASSURANCE PLAN AUGUST 2019 11 52 E. FRUIT STREET SANTA ANA, CA 92701 E DAVID DIXON MEMORIAL MATERIALS LABORATORY QUALITY ASSURANCE PLAN AUGUST 2019 Prepared by John . Dore Independent Assurance, OC Public Works/OC Construction Recommended by: r---7- Date g'7- Edward Frondoso, P.E. Date Interim Deputy Director, OC Public Works/OC Construction Approved by: (Ir4a �� za 1� Khalid azmi, P.E. Date County Engineer, OC Public rks Page 2 of 25 Quality Assurance Plan 2019 TABLE OF CONTENTS TABLEOF CONTENTS..................................................................................................................................3 MISSIONSTATEMENT..................................................................................................................................4 LABSERVICES.................................................................................................................................................. 5 DEFINITIONOF TERMS..............................................................................................................................6 QUALITY ASSURANCE REQUIREMENTS............................................................................................. 7 LaboratoryAccreditation....................................................................................................................................7 Laboratory Personnel Certification................................................................................................................... 7 Correlation Testing Program..............................................................................................................................8 Maintenance of Laboratory and Testing Equipment.....................................................................................8 TESTINGGUIDELINES................................................................................................................................9 AcceptanceTesting (AT)....................................................................................................................................9 Independent Assurance Program (IAP)...........................................................................................................9 Acceptance of Minor Quantities of Materials Without Testing.................................................................10 REPORTING ACCEPTANCE TESTING RESULTS.............................................................................11 CONSTRUCTION MATERIALS DISPUTE RESOLUTION...............................................................12 TESTING OF MANUFACTURED MATERIALS...................................................................................13 Certificateof Compliance.................................................................................................................................13 SourceInspection...............................................................................................................................................13 PROJECTCERTIFICATION........................................................................................................................14 RECORDS..........................................................................................................................................................15 APPENDIX I MATERIALS LAB CONTACTS........................................................................................16 APPENDIX II LIST OF TESTS PERFORMED.......................................................................................17 APPENDIX III EXAMPLE OF TEST RESULT......................................................................................19 APPENDIX IV ACCEPTANCE TESTING FREQUENCIES..............................................................20 APPENDIX V SAMPLE MATERIALS CERTIFICATION...................................................................21 APPENDIX VI CONTRACTS FILE ORGANIZATION SYSTEM....................................................22 Page 3 of 25 Quality Assurance Plan 2019 MISSION STATEMENT The mission of the David Dixon Memorial Materials Laboratory (LAB) is to provide the public with safe and efficient infrastructure through geotechnical and materials testing services. The LAB accomplishes this mission through geotechnical engineering, acceptance testing, and quality assurance testing of construction materials for capital improvement programs, maintenance programs, and development activities for OC Public Works, Orange County Flood Control District, OC Community Resources, and OC Dana Point Harbor (hereinafter collectively referred to as COUNTS and outside partnering agencies. Page 4 of 25 Quality Assurance Plan 2019 LAB SERVICES The David Dixon Memorial Materials Laboratory (LAB) provides the following services: 1. Geotechnical engineering, engineering geology, pavement analysis, and foundation investigations for COUNTY facilities 2. Evaluation and acceptance of mix designs including asphalt concrete (AC) mix design, Portland cement concrete (PCC) mix design, cement treated soils, and soil stabilization mix designs, for all COUNTY projects, subdivision infrastructure and COUNTY property encroachment permits I Quality assurance testing on construction materials including aggregates, AC, PCC, and soils for all COUNTY projects, subdivision infrastructure, and COUNTY property encroachment permits 4. Acceptance and quality assurance testing as described above for Cities under contract with the County through OC Public Works Page 5 of 25 Quality Assurance Plan 2019 DEFINITION OF TERMS • American Association of State Highway and Transportation Officials (AASHTO) A standards setting body which publishes specifications, test protocols and guidelines which are used in highway design and construction throughout the United States. • Acceptance Testing (AT) Sampling and testing, or inspection, to determine the degree of compliance with contract requirements. • AASHTO re:source Part of the Engineering and Technical Services division of AASHTO that implements the Laboratory Assessment Program, Proficiency Sample Program, and AASHTO Accreditation program for soils, aggregate, and bituminous materials. • Independent Assurance Program (IAP) A program to verify that AT is being performed correctly by qualified technicians and laboratories. • Quality Assurance Program (QAP) A sampling and testing program that provides assurance that the materials and workmanship incorporated into the construction project are in conformance with the contract specifications. The main elements of a QAP are AT and IAP. • Source Inspection AT of manufactured and prefabricated materials at locations other than the job site, generally at the manufactured location. Page 6 of 25 Quality Assurance Plan 2019 QUALITY ASSURANCE REQUIREMENTS The David Dixon Memorial Materials Laboratory (LAB) will perform Acceptance Testing (AT) on all COUNTY projects, including federal and state grant funded projects. The LAB is under the responsible management of a California Registered Engineer with experience in sampling, inspection, and testing of construction materials. The engineer shall certify the results of all tests performed by laboratory personnel under their supervision. The LAB shall maintain certified testing equipment capable of performing the tests listed in Appendix II of this QAP. The LAB reserves the option to use a private consultant materials laboratory to perform Acceptance Testing on certain projects. Private consultant materials laboratories under contract with the LAB shall be required to comply with the provisions of this QAP. LABORATORY ACCREDITATION The LAB is Caltrans certified for testing aggregates, asphalt concrete, soils, and Portland cement concrete materials. Caltrans verifies the LAB's ability to perform quality materials testing though site inspection, approval of the LAB's accreditation manual, equipment calibration check, and successful completion of proficiency sample testing through Caltrans' Reference Sample Program. Caltrans evaluates the LAB's certification on an annual basis. The LAB is AASHTO accredited for its Quality Management System and for testing aggregates, asphalt concrete, and soils. AASHTO re:source evaluates the LAB's accreditation status on an annual basis and confirms the LAB has received all applicable on -site assessments and quality management system evaluations. The review includes an evaluation of updated personnel information. The LAB is also required to participate in the AASHTO re:source Proficiency Sample Program. LABORATORY PERSONNEL CERTIFICATION All Caltrans Tests listed in Appendix II.0 of this QAP shall be performed by LAB personnel certified by Caltrans in accordance with the current edition of the Caltrans Independent Assurance Manual. Caltrans certifications shall be renewed every 3 years. LAB personnel shall have thorough knowledge of: • Responsibilities of sampling and testing • Test methods, calculations, and related paperwork • Safety guidelines used in the test methods, and • Maintenance/operation of the equipment used in the test procedures. Page 7 of 25 Quality Assurance Plan 2019 Private consultant materials laboratories under contract with the LAB shall use staff certified by one or more of the following: Caltrans, American Concrete Institute (ACI), National Institute of Certification of Engineering Technologies (NICET), or other organization approved by the State of California. CORRELATION TESTING PROGRAM The LAB participates in the Caltrans Reference Sample Program for aggregates, asphalt concrete, soils, and Portland cement concrete. The LAB also participates in the AASHTO re:source Proficiency Sample Program for aggregates, asphalt concrete, and soil. Private consultant materials laboratories under contract with the LAB shall be required to provide documentation of participation in a correlation testing program through AASHTO re:source, Cement and Concrete Reference Laboratory (CCRL), and/or Caltrans. MAINTENANCE OF LABORATORY AND TESTING EQUIPMENT The LAB shall only use laboratory and testing equipment that is in good working order. All equipment shall be calibrated at least once each year. All testing equipment must be calibrated by impartial means using devices of accuracy traceable to the National Institute of Standards and Technology. A decal shall be firmly affixed to each piece of equipment showing the date of the last calibration. All testing equipment calibration decals shall be checked as part of the IAP. Private consultant materials laboratories under contract with the LAB shall be required to provide documentation to confirm that all laboratory and testing equipment is maintained as stipulated above. Page 8 of 25 Quality Assurance Plan 2019 TESTING GUIDELINES ACCEPTANCE TESTING (AT) AT shall be performed by LAB personnel who are certified to perform the required tests. Test results shall be used to ensure that all materials incorporated into the project are in compliance with the contract specifications. Testing methods will be in accordance with the Caltrans, AASHTO, or ASTM test methods, as specified in the contract specifications. Sample locations and frequencies shall be in accordance with the contract specifications. If not specified in the contract specifications, samples shall be taken at the locations and frequencies as shown in Appendix IV, "Acceptance Sampling and Testing Frequencies". INDEPENDENT ASSURANCE PROGRAM (IAP) IAP will be used to verify that acceptance testing is being performed correctly by qualified testers and laboratories. These include, but are not limited to: 1. Verifying that equipment used for acceptance testing is properly calibrated and in good working condition. Records of equipment calibrations should be kept with the equipment. 2. Certifying acceptance testers by administering written and practical/witness exams for the acceptance tester. 3. Performing corroboration testing between the acceptance tester and independent assurance personnel on Sieve Analysis, Sand Equivalent, and Cleanness Value tests. 4. A written procedure for dispute resolution IAP shall be provided by personnel from Caltrans, the Agency's certified materials laboratory, or consultant's certified materials laboratory. For Federal -aid projects off the NHS, the agency may choose to: 1. Hire an outside qualified consultant to perform IA services, or 2. Have a qualified employee from within the local agency to perform IA services, or 3. Request Caltrans provide IA services if California Test Methods are used. IAP personnel shall be certified in all required testing procedures, as part of IAP. Poor correlation between acceptance tester's results and other test results may indicate probable deficiencies with the acceptance sampling and testing procedures. In cases of unresolved Page 9 of 25 Quality Assurance Plan 2019 discrepancies, a complete review of AT shall be performed by IAP personnel, or an independent materials laboratory chosen by the Agency. IAP samples and tests are not to be used for determining compliance with contract requirements. Compliance with contract requirements is determined only by AT. ACCEPTANCE OF MINOR QUANTITIES OF MATERIALS WITHOUT TESTING Relatively minor quantities of construction materials may be accepted without testing provided acceptance conforms to the conditions stated below in paragraphs one and two. Generally, this provides for accepting minor quantities of materials from a commercial source that is known to supply material conforming to the specifications. Documentation for acceptance of material as described in paragraphs one and two above must be provided and included in the project records. Documentation should include statements in the project inspector's reports that clearly indicate conditions under which the material was accepted (e.g., description, quantity, location, where placed, certification numbers and/or other accompanying data). The following list suggests approximate maximum quantities of materials that may be accepted under the conditions indicated above: • Aggregates other than for use in Portland Cement Concrete; not to exceed 100 tons per day nor more than 500 tons per project • Bituminous mixtures (includes HMA); not to exceed 50 tons per day (sample at Engineer's discretion if project total is less than 500 tons) 0 Bituminous material (includes Asphalt); not to exceed 100 gallons per project Page 10 of 25 Quality Assurance Plan 2019 REPORTING ACCEPTANCE TESTING RESULTS The following are the schedules for reporting material test results to the Resident Engineer: 0 When the aggregate is sampled at material plants, test results for Sieve Analysis, Sand Equivalent and Cleanness Value should be submitted to the Resident Engineer within two (2) working days' after sampling. • When materials are sampled at the job site, test results for compaction and maximum density should be submitted to the Resident Engineer within one (1) working day after sampling. 0 When soils and aggregates are sampled at the job site: 1. Test results for Sieve Analysis, Sand Equivalent and Cleanness Value should be submitted to the Resident Engineer within three (3) working days after sampling. 2. Test results for "R" Value and asphalt concrete extraction should be submitted to the Resident Engineer within four (4) working days after sampling. When sampling products such as Portland cement concrete (PCC), cement -treated base (CTB), hot mix asphalt (HMA), and other such materials, the time of sampling shall be varied as much as possible in order to avoid a predictable sampling routine. ' For aggregate containing asphalt, test results will be submitted to the Resident Engineer within three (3) working days Page 11 of 25 Quality Assurance Plan 2019 CONSTRUCTION MATERIALS DISPUTE RESOLUTION For all test result disputes, the LAB shall follow the 2012 Edition, The Greenbook, Section 4-1.9 Construction Materials Dispute Resolution (Soils, Rock Materials, Concrete, Mortar and Related Materials, Masonry Materials, Asphalt Materials, Rock Products, and Modified Asphalts), inclusive. Page 12 of 25 Quality Assurance Plan 2019 TESTING OF MANUFACTURED MATERIALS The LAB may permit the use of certain manufactured products, materials, or assemblies accompanied by a certificate of compliance in lieu of pre -shipment sampling and testing, provided these items are non-structural. These items must have a history of having met specifications based upon previous sampling and testing by County, other local agencies, or other certified private laboratories on a case -by -case basis. The manufacturer of the item shall sign the certificate of compliance and state that the included materials and workmanship conform to the project specifications in all aspects. Manufactured products, materials, or assemblies used on the basis of a certificate of compliance may be sampled and tested at the job site at any time, and at any frequency, during the life of the contract. Items determined to be not in conformance with contract requirements are subject to rejection even after they are in -place. CERTIFICATE OF COMPLIANCE Contract documents may also specify that a certificate of compliance is required for a product, material, or assembly used on a project. The Resident Engineer is responsible for ensuring that a certificate of compliance is furnished when the item or material is delivered to the worksite. All materials accepted on the basis of a certificate of compliance shall be identified in the project inspector's daily inspection reports. The Resident Engineer and/or project inspector shall keep copies of all certificates of compliance in their file. Even if a certificate of compliance is provided, materials such as Portland cement and asphalt products shall be sampled for testing in accordance with size, frequency, and testing tables, better known as "Frequency Tables" (see Appendix IV). SOURCE INSPECTION A certified LAB technician or qualified consultant will conduct the acceptance sampling and testing at the site of the materials' source. A certified LAB technician or qualified consultant will inspect asphalt, concrete, and pipe manufacturing plants during product fabrication Page 13 of 25 Quality Assurance Plan 2019 PROJECT CERTIFICATION Upon completion of a federal grant funded project, the Resident Engineer shall prepare and sign a "Materials Certificate" as part of the Report of Expenditures submitted to Caltrans. A copy of the "Materials Certificate" shall also be retained in the Agency's construction file for record. Any materials incorporated into the work that did conform to specifications must be explained and justified on the "Materials Certification," including changes by made by contract change orders. A sample "Materials Certification" is included in Appendix V. Page 14 of 25 Quality Assurance Plan 2019 RECORDS All material records of samples and tests, material releases and certificates of compliance for the construction project shall be incorporated into the Resident Engineer's project file. For federal grant funded projects, project files shall be organized in accordance with the "Contracts File Organization System" as shown in Appendix VI of this QAP. The complete project file shall be available at a single location for inspection by Caltrans and Federal Highway Administration (FHWA) personnel. Project files shall be available for at least three (3) years following the date of final project voucher. The use of a "Log Summary," as shown in Appendix III of this QAP, facilitates reviews of material sampling and testing by Caltrans and FHWA, and assists the Resident Engineer in tracking the frequency of testing. When two or more projects are being furnished identical materials simultaneously from the same plant, it is not necessary for the LAB to take separate samples or perform separate tests for each project. However, copies of the test reports of the projects shall be provided to the Resident Engineer for each project file. Page 15 of 25 Quality Assurance Plan 2019 APPENDIX I MATERIALS LAB CONTACTS NAME TITLE PHONE NUMBER Vinh Tran Materials Engineer (714) 955-0210 Blaine Thomann Laboratory Manager (714) 667-4996 John Moore Independent Assurance (714) 245-4515 Camille Adler Supervisor, Compaction Unit (714) 245-4536 Doug Wilson Supervisor, Plant Inspection Unit (714) 245-4527 Michael Soler Supervisor, Asphalt Concrete/R-Value Unit (714) 245-4524 Yolanda Varquez Supervisor, Physical and Chemical Testing Unit (714) 667-4997 Page 16 of 25 Quality Assurance Plan 2019 APPENDIX II LIST OF TESTS PERFORMED II.A AASHTO Standards R47 Reducing Samples of HMA to Testing Size R58 Dry Preparation of Disturbed Soil and Aggregate Samples for Test R76 Reducing Samples of Aggregate to Testing Size T11 Method of Test for Materials Finer than 75 -µm (No. 200) Sieve in Mineral Aggregates by Washing T27 Method of Test for Sieve Analysis of fine and Coarse Aggregates T30 Method of Test for Mechanical Analysis of Extracted Aggregates T84 Method of Test for Specific Gravity and Absorption of Fine Aggregates T85 Method of Test for Specific Gravity and Absorption of Coarse Aggregates T88 Method of Test for Particle Size Analysis of Soils T89 Method of Test for Determining the Liquid Limit of Soils T90 Method of Test for Determining the Plastic Limit and Plasticity Index of Soils T96 Method of Test for Resistance to Degradation of Small -Size Coarse Aggregate by Abrasion and Impact in the Los Angeles Machine T100 Method of Test for Specific Gravity of Soils T166 Method of Test for Bulk Specific Gravity of HMA T176 Method of Test for Plastic Fines in Graded Aggregates and Soils by Use of the Sand Equivalent Test T180 Standard Test Methods for Laboratory Compaction Characteristics of Soil Using Modified Effort (56,000 ft-lbf/ft3) T190 Method of Test for Resistance R-Value of Compacted Soil T246 Method of Test for Resistance to Deformation and Cohesion of Hot Mix Asphalt (HMA) by Means of Hveem Apparatus T247 Method of Test for Preparation of Test Specimens of Hot Mix Asphalt (HMA) by Means of California Kneading Compactor T255 Laboratory Determination of Moisture Content of Aggregates T265 Laboratory Determination of Moisture Content of Soils T275 Method of Test for Bulk Specific Gravity of Compacted Hot Mix Asphalt (HMA) Using Paraffin -Coated Specimens T308 Method of Test for Determining the Asphalt Binder Content of Hot Mix Asphalt (HMA) by the Ignition Method II.B ASTM Standards C39 Capping, Storing and Testing PCC Cylinders for Compressive Strength C42 Standard Test Method for Obtaining and Testing Drilled Cores C109 Standard Test Method for Compressive Strength Testing of Mortar Cubes C117 Method of Test for Materials Finer than No. 200 by Washing C127 Method of Test for Specific Gravity and Absorption of Coarse Aggregates C128 Method of Test for Specific Gravity and Absorption of Fine Aggregates C131 Method of Test for Resistance to Degradation of Coarse Aggregate by Abrasion and Impact in the Los Angeles Machine C136 Method of Test for Sieve Analysis of Coarse and Fine Aggregates C1019 Standard Test Method for Sampling and Testing Grout for Compressive Strength Page 17 of 25 Quality Assurance Plan 2019 D698 Standard Test Method for Laboratory Compaction Characteristics of Soil using a Modified Effort (56,000 ft-lbf/ft3) D1557 Standard Test Method for Laboratory Compaction Characteristics of Soil using a Modified Effort (56,000 ft-lbf/ft3) D2487 Unified Soil Classification System D2974 Standard Test for Organic Matter of Soils D3080 Standard Test for Direct Shear of Soils D3910 Slurry Wet Track Abrasion Test D4318 Standard Test for Plasticity Index of Soils D4829 Standard Test for Expansion Index of Soils II.0 California Test Method (Caltrans) Standards - Certified CTM 105 Calculations Pertaining to Gradings and Specific Gravities CTM 106 Definition of Terms Relating to Specific Gravity CTM 125 Sampling Highway Materials CTM 201 Method of Test for Soil and Aggregate Sample Preparation CTM 202 Method of Test for Sieve Analysis of Coarse and Fine Aggregates CTM 216 Method of Test for Relative Compaction of Soils and Aggregates CTM 217 Method of Test for Sand Equivalent CTM 226 Method of Test for Moisture of Soils and Aggregates CTM 227 Method of Test for Evaluating Cleanness of Coarse Aggregates CTM 231 Method of Test for Relative Compaction of Soils and Aggregates CTM 301 Method of Test for Determining R-Value using the Stabilometer CTM 304 Method of Test for Preparation of HMA using the California Compactor CTM 308 Method of Test for Determining Bulk Specific Gravity of HMA CTM 366 Method of Test for Stabilometer Value CTM 375 Method of Test for Determining In -Place Density and Relative Compaction CTM 382 Method of Test for Determination of Binder Content of HMA CTM 521 Method of Test for Determining Compressive Strength of Concrete Cylinders CTM 539 Method of Sampling Fresh Concrete CTM 540 Method of Fabricating and Storing Concrete Cylinders in the Field CTM 556 Method of Test for Slump of Fresh Portland Cement Concrete CTM 557 Method of Test for Temperature of Fresh Portland Cement Concrete II.D California Test Method (Caltrans) Standards CTM 103 Method of Calibration of Expansion Pressure Devices CTM 110 Method of Calibration of Compaction Test Equipment CTM 203 Method of Test for Mechanical Analysis of Soils CTM 205 Method of Test for Percentage of Crushed Particles CTM 206 Method of Test for Specific Gravity and Absorption of Coarse Aggregates CTM 207 Method of Test for Specific Gravity and Absorption of Fine Aggregates CTM 211 Method of Test for Abrasion of Coarse Aggregate (Los Angeles Rattler Test) CTM 229 Method of Test for Durability Index CTM 417 Method of Test for Determining Sulfate Content of Soils CTM 643 Method of Test for pH and Resistivity of Soils Page 18 of 25 Quality Assurance Plan 2019 APPENDIX III EXAMPLE OF TEST RESULT COUNTY OF ORANGE ❑C PUBLIC WORKS DAVID DIXON MEMORIAL MATERIALS LABORATORY TEST METHOD; CTM 216 REPORT OF TESTS ON PAGE T OF 1 THE RELATIVE COMPACTION OF DATE TESTED: N3112015 REQUIRED RC- 90 IMPORT -SAND AM PROJECT NAME• NEWLAND STORM CHANNEL CHARGE- EF07404 AGENCY; GC PUBLIC WORKS INSPECTOR: TGMMY NGUYEN CONTRACTOR: KEC USE STRUCTURE BACKFILL PLANT; BNI • CORONA TESTED BY KEVIN NGUYEN. NUCLEAR GAUGE MODEL 34W (CTM 231) DENSITY STD COUNT 2414 GAUGE SERIAL 0:70004 MOISTURE $TO COUNT 697 LABS STREETI STATION/ ELEVATION DEPTH VVIPO DIPD %H2O WIMD DIMD OPT %RC RETE$T LOCATION OFFSET 15-C-2455 NEWLAND S6 47+7QIC4 4'BTW S' 128.4 1112 7A 134.9 t1 UN 95 TRENCH FIELD TIME AT S = ONE MOLD (CAL 216) AT S = WET CURVE (CAL 216) AT $ _ DRY CURVE (CAL 216) AT S ASTM 1557 (AA$HTO) OTHER AT S AT BY END OF MONTH TOTAL 5 BILLING ,d.�-, Sr- CAI E gim, G� Page 19 of 25 Quality Assurance Plan 2019 APPENDIX IV ACCEPTANCE TESTING FREQUENCIES MATERIAL TEST FOR TEST# FREQUENCY/SAMPLING REMARKS AGGREGATE BASE %Crushed 205 Routine Annual Sieve Analysis 202 Every 2750T Dura bi I itV 229 Routine Annual R-Value 301 Every 2750 T 1 per project Sand Equivalent 217 Every 2750T Relative Comp. 216/231 As necessary for acceptance CT216: CAB - 6 mo.; CMB/PMB - 3 mo. ASPHALT CONCRETE Mix Design 367 Submitted by Producer Approvedfor2 years AGGREGATE LART 211 Routine Annual Specific Gravity 206/205 Routine Annual CKE 205 Routine Annual Sieve Anal sis 202 1 per 500 T• 1 min. 2 max. per day Sampled at plant Sand Equivalent 217 1 per 500 T• 1 min. 2 max. per day PAVING ASPHALT 1 per day Federal funded prooects COMPLETE MIX Stabilometer 366 1 per 1000 T 1 per day min. Sieve Anal sis 202 As necessary for acceptance 1 per day min. As ha It Content 382 1 per 500 T• 2 min. per day In- l ace density 375 As per CTM 375 Max. Density 304 1 per 4 hours of production PCC-STRUCTURAL COARSE AGGREGATE LART 211 Routine Annual Cleanness Value 227 1 per 500 CY; 1 min. 2 max. per day FINE AGGREGATE Sand Equivalent 217 1 per 500 CY; 1 min. 2 max. per day DurabilitV 229 Routine Annual COARSE AND FINE Sieve Anal sis 202 1 per 500 CY; 1 min. 2 max. per day SG&Absorption 206 207 Routine Annual CEMENT 1 perda Federal funded projects CONCRETE Slump When cylinders fabricated ASTM C143 Compressive Strenh 540 1 set per 325 CY; min 1 set per day per class Fabricated by PI /Tested by R-value PCC - NONSTRUCTURAL COARSE AGGREGATE LART 211 Routine Annual Cleanness Value 227 1 per 500 CY; 1 min. 2 max. per day FINE AGGREGATE Sand Equivalent 217 1 per 500 CY; 1 min., 2 max. per day Durability 229 Routine Annual COARSE AND FINE Sieve Anal sis 202 1 per 500 CY; 1 min. 2 max. per day SG&Absorption 206 207 Routine Annual CEMENT 1 perda Federal funded projects CONCRETE Slump When cylinders fabricated ASTM C143 Compressive Strenh 540 1 set per day if>20 CY; None if<20 CY Fabricated by PI /Tested by R-value Page 20 of 25 Quality Assurance Plan 2019 APPENDIX V SAMPLE MATERIALS CERTIFICATION Federal -aid Project No.- Prowet HP21L — 5055 — Ill Subject, Vaterials Certification This is to certify that the results of the tests on acceptance samples indicate that the materials incorporated in the constmction work and the construction operations controlled by sampling ® and testing were in confon ity with the approved plans and specifications_ ❑ All materials exceptions to the plans and specifications on this project are noted belmv. No exceptions were found to the plans and specifications on this project_ B111 Sanders Bill Sa n tiers 717f07 Resident Engineer (Print wine) Resident Engineer {Signature) (Date) Note: The signed original of this certificate is placed in the Resident EnPneer's project files and one copy is wiled to the DLAE and filed under "Report of Expenditures_" Attachments: _Materials Exceptions (Acceptance Testing) T�-pe of Description Total Tests Number Action Taken Test of Work Performed On of Failed the 1'raieet Tests Slump Test Concrete 8 1 When the measured shine exceeded the Sidewalk maximum limit._ the entire concrete load was rejected, Sand Aggregate 10 1 The tested S-E_ was 70 and the contact Equivalent for Structural compliance specification was 71 miai mum. Concrete Howe, -er- the concrete 28-day compressive strength was 4800 psi The concrete was considered adequate and no materials deductions were taken_ Compaction Sub grade 12 1 One failed test -was noted. The failed area was Material watered and reworked_ When this was completed, a retest was performed. The retest was acceptable. Compaction Hot Na As- 12 1 One failed area was noted. It was reworked phalt aad retested. The second test met specifications. Bill Sanders Resident Engineer (Print Name) Resident Engineer {Sigtratzue) July 4. 2007 Date Page 21 of 25 Quality Assurance Plan 2019 APPENDIX VI CONTRACTS FILE ORGANIZATION SYSTEM Italics indicates documentation specific to Caltians and federal projects. Hold Italics indicates party responsible for generating farms and parties to receive farms. IA = Caltrans IndependentAssurance: MAT = Materials Lab No. ;title !Contents 1 lProject Personnel Caltrans Form GEM-0101. "Resident Engineer's Report of Assignment: Attendance Report, Overtime Records, Monthly Time Sheets, Overtime Requests and Auflia¢atians, Absence Requests, Personnel Transfer Records, Personnel Roster, Travel Expense Claims and Records, Individual Personnel File. Correspondence Correspondence from Contractor, including transmittals, letters, a Froin Contractor emails, etc. Include RFI cover letters; RFls to be filed In Cat 19 To Contractor Correspondence to Contractor, including transmittals, letters, emails, correct -stop work notices, final nchli etc. From Design Correspondence from Design To Design Correspondence to Design General Correspondence with any party other than Contractor or Design, inaludin other agenries consultants and the public County foi ri. or :. "EM-2701 Weekty Statement of Working flays Materials Data a Certacate of Proficiency Calbans Form MR-0111. Lists personnel certified to pelbim lab Bests. !nS far to F11e b Independent Assurance Sampling and Testing Cat&ans Form MR-0142.' Sues which bid items requke independent QA sam lin Itestin I: . fA to MAT _ Report of Witness Tests Caltians Form MR-0103: Lists IA test procedure. sample source, samplefItester, and results. 1A to MA T. Include subcategories as fprclectAcceptance Test Results and InMal Tests needed for differenttypes of tests (D-Load , etc.). Results of initial and acceptance testing (AT). Include additional subcate orles as needed. d-1 Concrete Streit h MAT to lnspector d-2 Soil Compaction MAT 10 Ins tar d Asphalt Concrete MAT to Inspector dA 2Amg2LO Base MAT to inspector e Project Independent Assurance Tests Results of lodependent Assurance Tests (IA7). lA to MAT IF Report of Comparison Between Independent Calirans Form MR-0104: States whether corrobore Yon between IA Assurance Tests (IA T) and Acceptance Tests and AT is Good, Farr, or Poor for a given test procedure. IA to MAT g Summary of Independent Assurance Testing CaltranEF-orm MR-0105: Summarizes information #,om forms in Ce and 4t. lA too MAT h Notice of Materials robe Used CaltranCFM-3101: Lists type and source of material accomsubmittals . Contractor to Ins ctor i Notice of Materials to be Furnished Cattrans Form MR-0608- Informs all parties that Caltrans Office of Materials Engineering and Testing Seivices will inspect and release material before it is sen t to jobsite. Contractor to Vendor j Notice of Materials to be Inspected Caltrans Form MR-0028: Used by METS to assign inspection duties. Lists bid item it, inaterial. and source. Inspector to MAT k Report of Inspection of Material Ca&ans Form MR-0029Conferms that material has been Inspected. Inspection release tags (ar other form of identification) attached by inspector. Inspector to MA T l Field Labors Assistant Reports Reports filed by project's materials tester. MAT to 1A m Certificates of Compliance Car t icafes signed by QC manager. See Ca&ans Standaid Specifications (latest edition) for additional requirements. Inspector to Rle n Material Testing Summary Log Summary log for each malenal requiring mutiple sampling and testing as defined in Cancans "Frequency Tables". As specified in Calhans LAPM Section 16.14. "Quaiity Assurance R!ogram". MAT to Inspector to Rle Material Tickets Inspector to File Page 22 of 25 Quality Assurance Plan 2019 Italics 1ndlea tes documentation spec iFic to CaKra ns and federal projects. Bold ffatics indicates party responsible for generating forms and parties to receive forms. IA = Cattrans Independent Assurance; MAT = Materials Lab No. Title Contents p Private Lab Insper_tion Reports Use this folder if non-Caltrans project where form in Category ac not used. inspector to File q Welding Welding certificate, qualification test results, and oft*r documentation. !ns for to Ale Engineers Daily Reports If non-Caltrans job where separate reports not filed for District vs. Structure work, isle ins pector repo its here and omit 5a and 5b. a Resident Engineerl Assistant RE / Inspector Caltrans Form CEM-4501. RE and Assistant RE (rnspector) reports of Dis8xt work (roadway, earthwork, utilities. tisfhc control, etc.) with photo Ogs attached b Structure Engineer /Assistant Structure Engineer/ RE and Assistani RE (Inspector) reports of Structure work (rabar. plle Moture Ins for driving. tiebacks, MEP, etc.) with hots ! s attached 6 Contract Item Pay Quantity Documents Item Summary Sheet and monthly quantity calculations (bid Items only) - signed, dated for 20th, and checked. Include adjustmerds in compensation. Organized by Bid Item slumber 7 Contract Change Drders a PCCOs, CCOs; and Memos PCCOs, approved CCOs, and memos with backup information b CCO Pay Quantity Documents CCO item summary sheets, justification sheets, checked DEWRs 8 Extra Work Reports Signed ❑EWRs For progress payments to Contractor. For backup, see Categories 5 9 Progress Payments and 7, For consuttant invoices, see Category 22. a Estimates and Status of Funds Reports on status of contract Items, CGOs. contingency run&, etc. as nested by tuadln2 author' and re uesis for re s. Progress payments Progress payment sheets (submitted & approved) 7O Labor Compliance and EEO records ror federally -funded projects, include the following: 1) Training Special Pravisvn (TSP) for federal aid projects 2) Annual EEO Report (FHWA Form 1391) For state -funded, include: 3) Employee Interview - Labor Comphance form (Cafirans Form HC- 0031 11 Payroll a Contractors Payrolls Certified payroll and #tinge benefit statements. If Caltrans project. Include Caluans Statement ofCom trance Weekly Labor Reports Use CC_Inspection Weekly Labor Report form 12 Final Report Includes Report of Completion of Flight of Way Expenditures and Final Detail Estimate for federal -aid projects. if requred, and Final Project Expenditure Report, final inspection forms (Form FfF-6M5), for fedem/-aid arrd CafUans projects Materials Cervf,�ate "Materials CertAlcate" - memorandum to be prepared by RE and L'I'4 submitted upon completion of project DSE Records Final DBE utiircatibn report Page 23 of 25 Quality Assurance Plan 2019 Italics 1nolea tes documentation specific to CaKra ns and federal projects. Hold Italics indicates party responsible for generating forms and parties to receive formS. IA = Caltrans Independent Assurance: MAT = Materials Lab No. Title Contents 15 Administrative Contract Administration File documents related to planning, design, contract funding, advertising, and opening bids not filed In other categories. Create subcategories as needed. • Project Repoit, Preliminary Report Penject Expenditure AuMoazation, (including Supplemental Allotments) • Detailed Estimate of Project Cost (Engineer's estimate) - Notice of Award of Contrast • Bid Summary Sheets (Low Bid, Bid Abstract) • Federal Detail Estimate • Execubed Contract, Special Provisions, Plans, and Bulletins • Notice of Approval of the Contract Notice to Proceed • Board MinuteslResolutions, all correspondence to the Board of Supervisors or Clerk of the Beard, AS Rs • Bidder Inquiry Information • Insurance Documents • List of Approved Subcont-actors (subs must be anproved for federally -funded projects. or acknowledged for state -funded projects Agreements & ROW ! TCEs ROW and Cooperative agreements, liability waivers, rights of entry, temporary construction easements, and other documents pertaining to Permits S Utilities right of way Encroachment permits, environmental permits, EIR and other environmental requirements, utility relocation notices, orders, or agreements TO NOPCs & Changed Conditions In this category, file Notices of Potential Claim, Notices of Changed Conditions, notes, photographs, fnformatfon, and other project documents that may 0e necessary to establish facts with respect to a dispute. Include any documents that may be related to a dispute in this category or briefly describe and cross-reference them. Number Notices of Potential Claim in chronological order. These numbers may then be used for subcategories. The scope of this category may vary considerably, depending upon the nature and circumstances of the dispute. The following types of documents indicate the type of information that should be included: • Caltrans Farm CEM-6201, "Notice of Potential Claim" • Cal"ns Form GEM-6201A, 'Initial Notice of FWen6aI Ciarin" • Acknowledgment of the contractor's dispute • Disputes Review Board Agreement • Contractor's claim far a time extension • Acknowledgment of the contractor's claim for time extension - Other correspondence relating to disputes • Photographs pertaining to disputes 17 Schedules Baseline and updates as required try contract documents Include submittals and responses Include RFls, responses to RFl, and correspondence between Design, 18 Submittals 18 Requests for Information Contractor, and Inspection 0 Meetings Meeting agenda, minutes, attendance sheets, presentations. Create additional subcate Ties I needed for different type s of meeti s a Pre•Construction Meeting Contractor's Weekly Meetings Owner's Meetings Safety -related correspondence, ac6dent reports, tailgate; safety 1 Safety meet! rig topics/in inutes, in'u FY & illness provention p rog ram Page 24 of 25 Quality Assurance Plan 2019 Italics indicates documentation specific to Caltrans and federal projects. Bold ftafics indicates party respons[ble for generating forms and Parties to receive forms. IA = Caltrans Indeperide ntAssUrance; MAT = Materials Lab No. Title Contents 22 Requestsllnvoices for Services Organized by consultant. Includes AE agreement, baling summaries, RFPs for engineeringltechntcaI or material testing services, and invoices 23 Monitoring Reports Biological, water quality, settlement; other required monitoring. Create subtolders as needed. 24 Survey Requests for Su WX Requests for Survey forms Survey Data Cut sheets, coordinate reports, CADIGI3 survey data, as built plans received from Survey 5 SVVPPP A ESCCP SWPPP I ESCCP Place SWPPP or ESCCP In this folder, along with any SMARTS documentation Contractor's Reports Contractor's BM inspection reports, Raln Event Action Plans. fbr Caltrans projects, use Ca&ans forms for Con tractor's S"PPreports c d. Resident Eng[no er's Reports Enforcement RE ❑r Assistant RE (inspector) 5WPPP reports Correct Work Notices, Stop Work Order, requests for special inspection, other SWPPP enforcement related corres po ndence $ Photographs and Video Footage Includes video and security camera footage, if any, Pre-Canswxtlon Use this folder for pre -construction photos if pre -construction Survey not_Pelformed. ..., .._..__— During Construction Organized by week. All photos should he stored In this folder, and select phobos placed Into photo log and attached to da ily reports c Final Walk Photos from final walk, particularly items to be adjusted. Page 25 of 25 Quality Assurance Plan 2019 EXHIBIT 6 PROJECT TITLE: Santa Ana Zoo Educational Hub PROJECT CATEGORY: City & Park Facility Improvements Park Facility LOCATION MAP A N AGENCY: Public Works CITY OF SANTA ANA FY 25/26CIP CAPITAL IMPROVEMENT PROJECT WORKSHEET PROJECT DESCRIPTION: The project goal is a building including a flex space, classroom(s), and hub for community volunteers and education staff. The classrooms are flexible in design and layout to maximize their use potential throughout the day and year. The facility would use environmentally sustainable materials in its construction. PROJECT NEED: This facility serves as a reception area for school children coming to the zoo and is directly adjacent to the existing outdoor amphitheater. Different sides of the building will open out to the general zoo area, the amphitheater, or staff and service areas. PROJECT COSTS FY 25/26 FY 26/27 FY 27/28 FY 28/29 FY 29/30 FY 30/31 FY 31/32 Construction 1,697,875 - - - - - - Contingency 356,327 Engineering 2,399,880 TOTAL 4,454,082 - - - - - - SOURCE OF FUNDS FY 25126 FY 26127 FY 27128 FY 28129 FY 29130 FY 30131 FY 31132 123,430 - - - - - - A & D District 3 750,000 CA RESOURCES AGENCY 1,649,880 GRANT Cannabis 873,759 CAPITAL OUTLAY/CELL 339,795 TOWER GENERAL FUND 645,953 PRCSA F&D 71,265 TOTAL 4,454,082 - - - DIVISION: CIP Engineering CONTACT: Gilbert Castillo, Senior Engineer DATE: 28-Aug-2025