How to Obtain a Certification for a New Facility

The process begins by the vendor submitting an official certification request letter to the Statewide Materials Support Branch addressed to the Branch Senior. A self-audit questionnaire must be completed and submitted along with all supporting documentation.

The supporting documentation requirements for all products can be found in the link below:

• Steel Pipe Piling Authorization Criteria
• Steel Standards and Pole/Overhead Sign Structure Authorization Criteria
• Precast Concrete Authorization Criteria
• Sign Panel Authorization Criteria
• Changeable Message Sign Authorization Criteria

Facility Audit Steps

The documentation received is reviewed by Caltrans and a response will be provided within 30 days of receiving the documents. Following the submittal review, Caltrans METS will schedule a facility visit with the fabricator.

The requested fabricator must provide METS with sufficient access and cooperation with their facility and access to documentation so that the audit can be completed within 16-20 weeks. The fabricator’s quality control personnel must be present during the audit.

Successful completion of an audit does not relieve the contractor of the responsibility for furnishing materials or producing finished work of the quality specified in project plans and specifications. The validity period of the audit certification is typically 1-3 years, as determined by the Department, from the date of successful completion of the audit

When the certification the issued to a new facility, the facility is placed under probationary status for a period of 12 months. The facility is again re-evaluated to ensure that they are consistently fabricating products meeting Caltrans requirements. On successful completion of the audit, the facility is removed from the probationary status and moved to an active status.

If repeated issues are observed from a facility, the facility will be placed under one of the following conditions:

• Probation
• Suspension
• Removal

Probationary Phase: Recurring issues identified during fabrication by Caltrans QA that was missed by the facility’s QC team. Facility will undergo enhanced QA by performing more inspections and more frequent visits by the SMS auditors.

Suspension Phase: If a facility cannot successfully resolve or rectify issues observed during the probation phase, the facility is moved to suspension phase. This temporarily restricts a facility from producing materials for Caltrans projects due to failure to meet probation requirements. Facility can continue working on existing projects but cannot bid on future projects from the date of issue of the suspension memo.

Removal Phase: If a facility is unable to resolve any of the issues identified during the probation phase and/or suspension phase will be removed from the AFAL program. The facility can no longer fabricate any material/product and must suspend all existing work immediately. The facility will need to be re-audited and certified should they wish to join the AFAL program.

Documentation Format - For all Products (under the AFAL Program)

1. Send an electronic copy of the Facility's full submittal to the following mailbox, METS.FacilityAudits@dot.ca.gov
   • All submitted documents must be in PDF format.
   • All documents must be signed as required.
   • Combine all relevant documents together to avoid large number of files.
2. If the file is too large to send via email, please request access to the Caltrans FTP server from your facility audit contact.

Any changes to your QC personnel, which include certifications, and your QC processes must be notified by Caltrans METS within 15-30 days. Failure to notify Caltrans of your changes will delay the inspection process and will result in Non-Conformance or suspension/termination of your audit certification.

Facility Audit Renewal Process

To maintain authorization, facilities must undergo periodic audits. For details on how to renew your facility's audit certification:

1. Include a letter requesting renewal of the Facility audit certification.
2. All renewal documentation shall be submitted 10-12 weeks prior to the expiration of the facility's active term.
3. The submittal of the Facility's self-audit shall be a current copy. Please review the authorization criteria for documentation requirements.
4. Send an electronic copy of the Facility's full submittal to the following mailbox, METS.FacilityAudits@dot.ca.gov
5. For Changeable Message Sign, submit your renewal package to James.Rhodes@dot.ca.gov.

METS will send a one-time cursory reminder letter notification to the facility 4- 6 months prior to the expiration date of your certification.