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One of the most important functions of both QC and QA Technicians is to keep accurate records and reports. Records and reports are necessary to determine compliance with contract requirements and to document payments to the Contractor.
The Technician is furnished standard forms for routine reporting which may require daily, weekly, or monthly reporting, depending on the data to be submitted. These reports must always be completed in entirety. In addition to the standard forms, the Technician, both QA and QC should keep a written narration in a permanent field record (diary) of the principal activities that occur. The record should contain all information concerning the work being inspected, including information such as weather conditions, important conversations, visitors on site, verbal orders received, unusual incidents, equipment breakdowns, length of work stoppages, number of personnel and types of equipment affected by work stoppages. If an item seems unusually important, it should be recorded and analyzed in sufficient detail to make it fully understandable at some later date.
The importance of entries listed on records and reports or in the Technician's diary cannot be over-emphasized. The information recorded may never be needed or reviewed, but, if it is ever needed, it will be extremely useful. This information may serve as a reference for performance of similar future work, a reference in the event of legal action or litigation by any affected party, and, possibly most important, a source of clues for investigators in the event the job fails.
Most forms and reports will be assigned either a QC, QA, or QA/QC form number. QC forms will be used only by the Contractor’s quality control personnel, QA forms only by the Department’s quality assurance personnel, and QA/QC forms will be used at times by both parties. All QC, QA, and QA/QC forms will be furnished by the Department. The Division QA Supervisor is responsible for distributing all needed forms to the Contractor and maintaining a reasonable supply at the Division QA Lab.
The Contractor’s QC data must be submitted on Department approved forms. The data may be typed or handwritten; however, the Department has a QMS computer spreadsheet that will generate forms, perform calculations, transfer results to the control charts, and plot all data on the control charts. While not required at this time, the Contractor is encouraged to use this program. This program is available at no charge to DOT QA personnel, Contractor's QC personnel and other interested parties. To obtain a copy of the spreadsheet, contact the Pavement Construction Engineer, NCDOT, 1545 Mail Service Center, Raleigh, N.C. 27699-1545, or phone 919-733-3579.
The QMS spreadsheet is written for Microsoft Excel?®, (Version 5.0 or later). A PC with the following minimum configuration will also be necessary: a 486-DX or higher (Pentium) microprocessor, 16 MB of RAM memory, Microsoft Windows 95® or later, and a mouse or other pointing device to use within Windows. It is recommended that a color printer be used with this program for printing the required QMS control charts. The chart data may also be exported and provided to the QA Lab on diskettes.
11.2 Records and Report Documentation
The Contractor shall document all observations, records of inspection,
samples taken, adjustments to the mix, and test results on a daily basis.
Results of observations and records of inspection shall be noted as they
occur in a permanent field record. Adjustment to mix production and
test results shall be recorded on forms provided by the Engineer.
The Contractor shall maintain on a daily basis copies of all test worksheets,
the "Moving Average Calculation Sheet" for gradation, % AC, and mix properties
and all control charts as specified in the "Quality Management System,
Asphalt Plant Mix Pavements" Specification. There should be
no erasures, whiteout or other similar means used to correct an error on
any field record entries, test worksheets, or any other QMS forms.
Entries that have been made in error on any QMS form should be struck through
with a single line and the initials of the individual voiding the entry
noted. Corrected entries should be placed immediately above the voided
entry.
All such records shall be made available to the Engineer, upon request, at any time during project construction. All QC records and forms shall be completed and distributed in accordance with the most current edition of the Department's "HMA/QMS Manual". The Contractor shall maintain all required QC records by day's production for each plant site in a well-organized manner such that these records may be easily reviewed.
Failure to maintain QC records and forms as required, or to provide these records and forms to the Engineer upon request, may result in production stoppage until the problem is resolved.
11.3 Retention of QMS Forms
All QMS forms and reports shall be completed and distributed
in accordance with the following detailed instructions for each form. The
Contractor's QC forms, with required supporting documents, shall be retained
by the Contractor for at least three (3) years after completion of the
forms. For required supporting documentation, reference should
be made to the instructions for each individual form contained in the remainder
of this section. The Department's QA forms shall be stored indefinitely
by the QA Labs unless permission is given otherwise. The Pavement Construction
Section may be contacted for any questions and/or guidance concerning retention
time for each individual form.
11.4 Falsification of Records
Falsification of test results, documentation of observations, records
of inspection, adjustments to the process, discarding of samples and/or
test results, or any other deliberate misrepresentation of the facts will
result in the revocation of the applicable person’s QMS certification.
In addition, state and/or federal authorities may also pursue criminal
charges. The Engineer will determine acceptability of the mix and/or pavement
represented by the falsified results or documentation. If the mix
and/or pavement in question is determined to be acceptable, the Engineer
may allow the mix to remain in place at no pay for any asphalt mix, binder,
or other mix components. If the mix and/or pavement represented by the
falsified results is determined not to be acceptable, it shall be removed
and replaced with mix that meets the Specifications. In this case,
payment will be made for the actual quantities of materials required to
replace the quantities represented by the falsified results or documentation,
not to exceed original quantities of the mix removed.
11.5 Forms and Instructions
The following pages (in printed copy of 2005 QMS Manual) are
copies of all forms and reports to be used, along with detail instructions
on how to complete each form or report. Also included are approved
mix design forms and supporting mix design data forms for the Contractor's
use in preparing and requesting mix designs. These mix design forms
are pre-approved by the Department. Computer generated forms that
are the exact same as these are also acceptable. The Department also
has available, at no charge, a Mix Design spreadsheet that will generate
these forms. If a copy of this spreadsheet is desired, contact the
Asphalt Design Engineer, M&T Unit, Blue Ridge Rd., Raleigh, N.C., or
phone (919) 329-4060.
SUMMARY OF ALL SUPERPAVE QMS FORMS WITH INSTRUCTIONS
Many of the below forms may be printed.
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QC Forms
QA Forms
Mix Design Forms
| QMS-1 (SP) | Request for Mix Design and JMF Approval |
| M&T 601 (SP) | Report on Mix Design of Asphalt Mixture |
| M&T 602 (SP) | Mix Design Graphs |
| Graph | 0.45 Power Chart |
| M&T 603 (SP) | Superpave Volumetric Properties |
| M&T 601A (SP) | Worksheet for Superpave Method Mix Design |
| M&T 612 | TSR Worksheet |
Nuclear Density Reports
| M&T
514 QA/QC |
Control Strip Density |
| M&T
515 QA |
Test Section Density Verification |
| M&T
516 QC |
Daily Test Sections Summary |
Roadway Inspection Report
| M&T
605 |
Asphalt Roadway Inspector's Daily Report |
QMS (OJT) Checklists
| QMS-3
(SP) |
Level I Plant Technician OJT Checklist |
| QMS-5
(SP) |
Roadway Technician OJT Checklist |