Student Manual. Lesson 5- Quality Control Plan. Version /

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3 A Contractor QC Plan is the documentation of the Contractor s process for delivering the levell of construction ti quality required by the contract. t The QC Plan is a framework for the contractor s process for delivering quality construction. The plans and specifications define the expected results or outcome. The QC Plan outlines how those results will be achieved. While it is not possible to determine from the QC Plan whether the level of construction quality will be acceptable, it is possible to verify that the Contractor, as an organization, has addressed the basic elements of its quality process. Inspection of Construction is the foundation and basis for all contract requirements dealing with quality control and quality assurance. The Department s Quality assurance Program incorporates the following: - the Contractor is to maintain an adequate inspection system and perform inspections that will ensure contract compliance. - the Contractor is to maintain inspection records and make them available to the Department - Allows the Department to do its own tests and inspections, which are for its benefit and do not take the place of the Contractor's Quality Control obligations. The Department may order previously completed work torn apart for inspection, and if found out of compliance, the Contractor will pay for the inspection and the correction of the work. If the work is found to be in compliance, the Department will pay for the inspection and disruption to the work. Version /

4 Quality Control Program Certain operations require personnel with specific qualifications. Certain materials require production under an approved QC Plan to ensure that these materials, meet the requirements of the Contract documents. For all applicable materials included in the Contract, submit a QC Plan prepared in accordance with the requirements of this Section to the Engineer. Do not incorporate any of these materials into the project prior to the Engineer s approval of the QC Plan. Applicable materials include hot mix asphalt, Portland cement concrete (Structural), earthwork, cementitious materials, timber, steel and miscellaneous metals, galvanized metal products, prestressed and/or precast concrete products and drainage products. For all applicable materials included in the Contract, submit a QC Plan prepared p in accordance with the requirements of this Section to the Engineer. Do not incorporate any of these materials into the project prior to the Engineer s approval of the QC Plan. Version /

5 General: Applicable materials include hot mix asphalt, Portland cement concrete (Structural), earthwork, cementitious materials, timber, steel and miscellaneous metals, galvanized metal products, prestressed and/or precast concrete products and drainage products. For all applicable materials included in thecontract,submitaqcplanpreparedinaccordancewiththerequirementsof this Section to the Engineer. Do not incorporate any of these materials into the project prior to the Engineer s approval of the QC Plan. Version /

6 The Contractor is responsible for developing the QC Plan and submitting it to the FDOT for approval. They must be prepared to make revisions to the Plan if changes are required and/or deviations are encountered. The Contractor should continuously monitor the Plan requirements to make sure they remain in compliance. The Contractor should insure that an approved QC Plan is maintained for the duration of the project. The Contractor should, also, stay in contact with the FDOT regarding g Quality issues. Version /

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8 Construction Project Administration Manual (CPAM) Quality Control Manual Review and Approval The Contractor can elect to submit a Quality Control Manual (QCM) to have it approved for statewide use. In the event that the Contractor has an approved QCM, the Contractor is still required to submit a contract specific QC plan but can include information from the Contractor s QCM by reference. The QCM is not required, but is provided as an option, to the Contractor as a vehicle to allow the majority of the Quality Control information to be pre-approved once prior to any contracts beginning. The QCM can be submitted to the State Construction Engineer (SCE) at any time. The Contractor does not need to have a contract to submit a QCM. The Contractor would not be allowed to submit a QCM for approval concurrently with a contract specific QC plan for a particular project, but is encouraged to submit a QCM as early as possible. The QC Manual is a statewide Quality Control document that is submitted to State Construction Office for approval. Even though the SCO approves the QC Manual, this isn t done without input from the State Materials Office, District Materials Offices and District Construction Offices. It is not required; it is an optional document that details company-wide Quality Control processes. With the approval of a QC Manual, the majority of the QC information can be preapproved at one time. Whereas, the Quality Control Plan is specific to the contract/project. Portions of the QC Manual may be incorporated into the QC Plan by reference. Version /

9 Construction Project Administration Manual (CPAM) 331Purpose This procedure describes the review and approval of the Contractor s Quality Control Plan (QCP) when required per contract documents. This procedure also describes the process of acceptance of a Contractor s Quality Control Manual (QCM) on a statewide basis. When accepted by the Department, the QCM can be referenced in a project specific QCP, thereby reducing the amount of information submitted for review and approval on a contract-by-contract basis. Certain materials require production under an approved QC Plan to ensure that these materials meet the requirements of a Contract. For all applicable materials that are listed in 6-8 and that are included in the Contract, a QC Plan is prepared in accordance with the requirements of Section 105. The QC Plan should not repeat the specification requirements. It should explain how the Contractor intends to meet those requirements and not be a regurgitation of the specifications. Some articles/subarticles within 105 may not apply. While sections, other than Section 105, may contain additional QC Plan requirements (eg. 330 & 346). The QC Plan may reference information from a Producer s accepted QC Program and the Contractor s QC Manual. The QC Plan should also identify the qualified laboratories performing any of the testing. Version /

10 105-7 Quality Control Plan Submittal. Submit the QC Plan to the Engineer for approval within 21 calendar days after the Contract Award. The Engineer will review the QC Plan and respond to the Contractor within 21 calendar days of receipt. Even though the QC Plan is submitted to the Project Administrator for approval, the Resident Engineer is the one that gives the approval. The QC Plan may reference information from a Producer s accepted QC Program and the Contractor s QC Manual. The QC Plan should also identify the qualified laboratories performing any of the testing. Version /

11 105-7 Quality Control Plan Submittal. Submit the QC Plan to the Engineer for approval within 21 calendar days after the Contract Award. The Engineer will review the QC Plan and respond to the Contractor within 21 calendar days of receipt. If at any time the Contractor is not in compliance with the approved QC Plan, or a part thereof, affected portions of the plan will be disapproved. Cease work in the affected operation(s) and submit a revision to the Engineer. If the QC Plan, or a part thereof, must be revised, submit the revision to the Engineer. The Engineer will review the revision and respond within seven calendar days of receipt. Continue to work on operations that are still in compliance with the approved sections of the QC Plan. Version /

12 Producers providing materials to a Contractor on a project, must have an FDOT approved QC Program for themselves. Their programs and plans are incorporated into the Contractor s QC Plan. What is the difference between a Producer s QC Program and a Contractor s QC Plan? Version /

13 105-3 Quality Control Program General: Meet the requirements of the Department s approved Quality Control Program for the production and construction of Asphalt Mix, Portland Cement Concrete (Structural), Earthwork, Cementitious Materials, Timber, Steel and Miscellaneous Metals, Galvanized Metal Products, Prestressed and/or Precast Concrete Products and Drainage Products. Also include transportation, a o storage, placement e and other related eaed construction operations required by the Contract...Obtain Department approval prior to beginning of production. Meet and maintain the qualification requirements at all times. Production and construction of these products without the Department s prior approval of a Quality Control Program may result in rejection of the products. Continued Department approval will be subject to satisfactory results from periodic evaluations, including Independent Assurance program. In case of non-compliance with the approved Quality Control Program, identify all affected material and do not incorporate or supply to the Department projects. Version /

14 Producers of Asphalt Mixes, Portland Cement Concrete (Structural), Earthwork, Cementitious Materials, Timber, Steel and Miscellaneous Metals, Galvanized Metal Products, Prestressed and/or Precast Concrete Products and Drainage Products: Have an approved Quality Control Program, developed in accordance with the guidelines in Section 105, during the production of materials to be used on Department projects. In addition to meeting the requirements of Section 105, the producers of Portland Cement Concrete will meet the requirements Chapter 9.2, Concrete Production Facility Guidelines, of the Department s Materials Manual Prestressed Concrete Plants: Ensure that prestressed concrete plants participating in the Department s Acceptance Program are qualified. Obtaining qualification will require a current Precast/Prestressed Concrete Institute (PCI) certification and an approved Quality Control Plan, developed in accordance with the guidelines specified in Section 105. Producers must meet the requirements of the FDOT approved Quality Control Program for the production and construction of asphalt, portland cement concrete (structural), earthwork, cementitious materials, timber, prestressed concrete products, and drainage products. In developing the QC plan portion of the program most articles/subarticles within 105 will apply, because they address the production of materials. While sections, other than Section 105, may contain additional QC Plan requirements (eg. 330 & 450). Version /

15 6-8.4 Quality Control Program Approval: Producers of cementitious materials and aggregates must submit their proposed p Quality Control Program to the State Materials Office for approval. Producers of Asphalt Mixes, Portland Cement Concrete (Structural), Earthwork, Timber, Steel and Miscellaneous Metals, Galvanized Metal Products, Prestressed and/or Precast Concrete Products and Drainage Products must submit their proposed Quality Control Program to the local District Materials Office for acceptance. Producers located outside the State must contact the State Materials Office for address information of the District Materials Office responsible for the review of the proposed Quality Control Program. Steel and Miscellaneous Metal products are steel bridge components, movablebridge components, overhead cantilevered sign supports, ladders and platforms, bearings, end wall grates, roadway gratings, metal drainage components, steel expansion joint and components, shear connectors, pipe handrails, galvanized steel woven wire farm fence, and guardrail. The Department will respond to the producer within 21 calendar days of receipt of the proposed Quality Control Program. The Department may perform evaluation activities to verify compliance with submitted documents prior to acceptance. If the Quality Control Program must be revised for any reason, including noncompliance, submit the revision to the Department. The Department will respond to the producer within 7 calendar days of receipt of the revised Quality Control Program. FDOT acceptance is obtained prior to beginning production. Producers must meet and maintain the qualification requirements at all times. Production and construction of products without the FDOT s prior acceptance of a QC Program may result in rejection of the products. Continued FDOT acceptance will be subject to satisfactory results from periodic evaluations, including IA program. In case of non-compliance, all affected materials will not be incorporated by or supplied to the FDOT. Version /

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17 The Contractor submits the QC Plan to the FDOT for approval within 21 calendar days after the Contract Award. The FDOT will review the QC Plan and respond to the Contractor within 21 calendar days of receipt, usually through the Project Administrator. FDOT will continuously monitor the Contractor s compliance with their QC plan. If at any time the Contractor is found to not be in compliance with the approved QC Plan, the affected portions of the plan may be disapproved and the Contractor asked to prepare and submit revisions, as applicable. The FDOT will review any revisions and respond within seven calendar days of receipt. TheContractorcancontinuetoworkonoperationsthatarestillincompliance with the approved sections of the QC Plan. Version /

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19 Shown above are some of the tools available to you for preparing or reviewing a QC Plan for your project. The web addresses will take you to the following organizations websites: (Asphalt Contractors Association of Florida) (Florida Transportation Builders Association) On these sites you can find information and sample QC Plans. Version /

20 105-3 General. Certain operations require personnel with specific qualifications. Certain materials require production under an approved QC Plan to ensure that these materials, whether manufactured or processed, or procured from suppliers or subcontractors, meet the requirements of the Contract. Applicable materials are identified in For all applicable materials included in the Contract, submit a QC Plan prepared in accordance with the requirements of this Section to the Engineer. Do not incorporate any of these materials into the project prior to the Engineer s approval of the QC Plan. Version /

21 In the Construction Project Administration Manual (CPAM), Chapter 3, Attachment 3-3-2, 3 is a checklist used by the Department to determine the completeness of the Contractor s QC Plan. Therefore, as a QC Manager, if we know what the Department wants in the plan (the checklist) then it would be wise to utilize this document as a guide in the preparation of a QC Plan. There is also a checklist (Attachment 3-3-1) for Quality Control Manuals. For this lesson, a combination of this checklist and Section 105 of the SSRBC will be used to review the contents of a typical QC Plan. A copy of this checklist and the individual material QC Plan Checklists (Asphalt, Concrete, earthwork, etc.) are in the Appendix. Version /

22 105-5 Guidelines for Development of the Q C Plan General: Use the following guidelines for developing the QC Plan. Provide detailed policies, methods and procedures to ensure the specified quality of all applicable materials and related production and field operations. Include other items in addition to these guidelines as necessary Personnel: Qualifications: Submit the Training Identification Numbers (TIN) for all technicians performing sampling, testing and inspection for both field and laboratory tests. Include employed and subcontracted technicians Level of Responsibility: Identify the primary contact for the Department. Identify roles and responsibilities of various personnel involved in the QC process. The Contractor should use the guidelines listed in this section for developing their QC Plan. They are to respond to the items that are applicable to the material and any related operations. They should also include other additional items as necessary. The list of qualified technicians, including employed and subcontracted technicians, along with their Training Identification Numbers (TIN) shouldalsobelistedintheqcplan. Thisincludes all technicians performing sampling & testing for both field and laboratory. The roles and responsibilities of the personnel must also be included. The qualifications of the technicians i can be checked on the Construction ti Training i Qualification Program s (CTQP) website. Version /

23 Organizational Structure- One of the first issues a contractor must face when designing its QC procedures, is how these systems will relate to, and impact its organizational structure. Separate Quality Staff - Testing is a very specialized function. A contractor may elect to hire a separate staff or subcontractor to perform testing and to generate the documentation required. But the testing and documentation are only part of the inspection system required by the contract. If the entire inspection system is performed by personnel separate from production personnel, that would mirror the traditional relationship between contractor and agency organizations. If a contractor has a separate quality staff, it is important to define the relationship between those personnel and the production organization. What will be the disposition of failing tests/inspections? Who will have authority to order production to cease? Under what circumstances? What will be the conditions of restarting production? Version /

24 Attachment What needs to be in the Contractor's Quality Control Plan? The Contractor should address the following items for all materials, identified in Specifications Section 105, applicable to the Contract. For the purposes of this checklist, it is assumed that the Contractor has an approved Quality Control Manual. If the Contractor does not have an approved QCM, all information required on the QCM would need to be included in the QCP [1]. This checklist is to be used as a guide for review and should not be used for acceptance. Version /

25 Raw Materials: Source: Identify the sources of raw materials. Provide locations and plant or mine numbers when applicable Certification: Describe methods of verifying compliance of certification with the specifications Disposition of Failing Materials: Describe the system for controlling nonconforming materials, including procedures for identification, isolation and disposition Storage Facilities for Raw Materials: Describe measures and methods, including bedding details, for preventing segregation, contamination and degradation. Describe methods of identifying individual materials. Where applicable, submit a site plan showing the locations of various materials. The QC Plan should identify the sources of raw materials, including locations and plant or mine numbers, when applicable. Describe methods of verifying compliance of certification with the specifications. Describe the system for controlling non-conforming materials, including procedures for identification, isolation and disposition. The QC Plan should also describe the measures and methods of identifying individual materials and for preventing segregation; contamination; and degradation and, if needed, include any bedding details and a site plan showing the locations of various materials. *Differences between Raw Materials and Final Manufactured Product is discussed in the Frequently Asked Questions Section of this Module. Version /

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28 Production Equipment: Describe calibration frequencies, maintenance schedule and procedures for production equipment Plant Requirements: Plant Identification: Provide the mailing address, physical address including county and X-Y (Latitude and Longitude) coordinates of the plant, telephone and fax numbers, address, primary contact at the plant, responsible person in charge, approved facility number provided by the Department, Owner information and Vendor Number and other information as required Process Control System: Describe the methods and measures established to ensure Contract compliance for the produced materials that are supplemental to the QC sampling and testing program described in the Contract. These methods and measures will include, but are not limited to, inspection schedule, additional sampling and testing, maintenance schedule, etc Loading and Shipping Control: Describe the methods and measures for preventing segregation, contamination and degradation during loading and shipping operations. Describe the methods established for materials to be in compliance with the specifications at the point of use Types of Products Generated: Describe the products the plant is approved to produce under Department guidelines. Version /

29 Contracts contain a listing of mandatory contractor testing including sampling points, frequencies and time limits for delivering results. This testing is intended primarily for the Department s use in documenting quality assurance and accepting the work. Some contracts require additional testing identified as process control testing which is intended to provide real time information during the construction and production of materials to allow the Contractor to adjust or control the process and ensure that quality assurance testing at the end of the process will indicate compliance. For example, taking moisture content readings with the nuclear gauge when placing embankment material. The moisture readings, though not acceptable for acceptance tests, are a means to monitor the moisture of the material being placed in relation to Optimum Moisture. This enables the Contractor to operate a more efficient compaction operation. Whether or not the contract specifies process control testing, it is up to the Contractor to address whether or not it is needed in the Contractor QC Plan. In addition to those tests specifically required by the contract, the Contractor is required to tabulate in the Contractor QC Plan all process control testing which will be necessary to assure that the work and material comply with the terms of the contract when they are ultimately subjected to quality assurance testing. ti Version /

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31 Other Requirements: Copy of Certification: Attach examples of certifications issued by the plant/contractor for the products approved by the Department Statement of Compliance: Include a statement of compliance with all quality requirements set forth by the Department including Contract Documents and other Department manuals Information on Approved Producers: Identify the Producers. All producers must have accepted QC Programs and be listed on the Department's Approved Producer List Describing Documentation Procedure: Identify location of document storage to enable Department review. Include QC charts, qualification/accreditation records, inspection reports, and other pertinent/supporting pp documents for an approved QC Plan. Version /

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33 Other Requirements Copy of Certifications Does the QCP incorporate this information from the QCM by reference and does it identify the individual who would provide these certifications? Statement of Compliance Does the QCP incorporate this information from the QCM by reference and does the QCP identify the individual who would execute the Statement of Compliance? Producer / Supplier Contractor QCP Item Y/N QCP Page # Required By Information on Approved Producer's Does the QCP incorporate Producer's QCP by Contractor / listing the producers of materials, including FDOT Facility Number? The DME or designee should verify whether the Producer is on the list of Producers with an Accepted QC Program. (May include Suppliers info) Describing Documentation Procedure Does the QCP incorporate this information from the QCM by reference 1? Contractor / (May include Suppliers / Sub info) Version /

34 Final Manufactured Product - Plant Operations: Describe inspection schedule and methods for identifying i defects and non-compliance with the specifications. Describe corrective actions and methods to resolve them Storage: When storage of the produced materials is required and it is not defined in the Contract Documents, describe the methods and duration for storage. Include measures and methods for preventing segregation, contamination and degradation during storage Disposition of Failing Materials: When not described in the specifications, describe the methods and measures for identifying and controlling the failing materials. Include preventive and corrective measures. Describe disposition of failing materials. Version /

35 Final Manufactured Product - Field Operations: Transportation: ti Describe the method of delivery from the point of production/storage to the point of placement Storage: When storage of the produced materials is required and it is not defined in the Contract Documents, describe the methods and duration for storage. Include measures and methods for preventing segregation, contamination and degradation during storage Placement: Describe the methods and identify the type of equipment used in incorporation of the materials into the project Disposition of Failing Materials: When not described in the specifications, describe the methods and measures for identifying and controlling the failing materials. Include preventive and corrective measures. Describe disposition of failing materials. Version /

36 Testing Laboratories: Identify the laboratories performing testing. Ensure thatt the testingti laboratories comply with the Laboratory Qualification Program requirements of Lab Qualification Program. Testing Laboratories participating in the Department s Acceptance Program have current Department qualification when testing materials that are used on Department projects. In addition they must have one of the following: a. Current AASHTO (AAP) accreditation. b. Inspected on a regular basis per ASTM D 3740 for earthwork, ASTM D 3666 for asphalt and ASTM C 1077 for concrete for test methods used in the Acceptance Program, with all deficiencies corrected, and under the supervision of a Specialty Engineer. c. Current Construction Materials Engineering Council (CMEC) program accreditation or other independent inspection program accreditation acceptable to the Engineer and equivalent to a. or b. above. A listing of FDOT qualified Testing laboratories can be found on the Department s website, within the Materials Office site. Version /

37 105-6 Laboratory Qualification Program. Testing Laboratories participating i in the Department s t Acceptance Program must be qualified under one of the following and have current Department approval during testing of Department products: a. Current AASHTO (AAP) accreditation. b. Inspected on a regular basis per ASTM D 3740 for earthwork, ASTM D 3666 for asphalt and ASTM C 1077 for concrete for test methods used in the Acceptance Program, with all deficiencies corrected, and under the supervision of a Specialty Engineer. c. Construction Materials Engineering Council (CMEC) program and other independent inspection programs acceptable to the Engineer and equivalent to a or b above. Obtain Department approval prior to beginning testing. The application is available from the Department s website: www11.myflorida.com/statematerialsoffice/administration/publications/publications.htm Meet and maintain the qualification requirements at all times. Testing without the Department s prior approval may result in rejection of the test results. Continued Department approval will be subject to satisfactory results from periodic evaluations, including Independent Assurance program. In case of disapproval, resolve the issues to the Department s satisfaction and obtain approval prior to further testing. It is prohibited as a conflict of interest for a non-department laboratory to perform Contractor Quality Control testing and other Acceptance Program testing on the same Contract. Version /

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39 105-8 Personnel Qualifications General: Provide qualified personnel for sampling, testing and inspection of materials and construction activities. Ensure that qualifications are maintained during the course of sampling, testing and inspection. Construction operations that require a qualified technician must not begin until the Department verifies that the technician is on the CTQP list of qualified technicians. The CTQP lists are subject to satisfactory results from periodic Independent Assurance evaluations QC Manager: Designate a QC Manager who has full authority to act as the Contractor s agent to institute any and all actions necessary for the successful implementation of the QC Plan. The QC Manager must speak and understand English. The QC Manager must be on-site at the project on a daily basis or always available upon four hours notice to administer the QC Plan. This includes administering, implementing, monitoring, and as necessary, adjusting the processes to ensure compliance with the Contract Documents. Ensure that the QC Manager is qualified as such through the Construction Training/Qualification Program. Under the direction of the QC Manager, and using Department s standard forms provided by the Engineer, summarize the daily QC activities including testing and material sampling. Make copies of the completed forms available for the Department to review daily unless otherwise required in the respective Sections of the Specifications. Ensure that the QC test data is entered into the Department s database on a daily basis. Maintain all Quality Control related reports and documentation for a period of three years from final acceptance of the project. Make copies available for review by the Department upon request. Version /

40 Earthwork QC Technicians: Earthwork Level I: Ensure the inspector who samples soil and earthwork materials from the roadway project, takes earthwork moisture and density readings, and records those data in the Density Log Book holds a Construction Training and Qualification Program (CTQP) Earthwork Construction Inspection Level I qualification Earthwork Level II: Ensure the inspector responsible for determining the disposition of soil and earthwork materials on the roadway, and for interpreting and meeting Contract Document requirements holds a CTQP Earthwork Construction Inspection Level II qualification. Version /

41 Asphalt QC Technicians: Plant Technicians: i For asphalt plant operations, provide a QC technician, i qualified as a CTQP Asphalt Plant Level II technician, available at the asphalt plant at all times when producing mix for the Department. Perform all asphalt plant related testing with a CTQP Asphalt Plant Level I technician Paving Technicians: For paving operations, keep a qualified CTQP Asphalt Paving Level II technician on the roadway at all times when placing asphalt mix for the Department, and perform all testing with a CTQP Asphalt Paving Level I technician. As an exception, measurements of cross-slope, temperature and yield (spread rate) can be performed by someone under the supervision of a CTQP Paving Level II technician Mix Designer: Ensure all mix designs are developed by individuals who are CTQP qualified as an Asphalt Hot Mix Designer Documentation: Document all QC procedures, inspection, and all test results and make them available for review by the Engineer throughout the life of the Contract. Version /

42 Concrete QC Technicians: Concrete Field Technician - Level I: Ensure technicians performing plastic property testing on concrete for materials acceptance are qualified CTQP Concrete Field Technicians Level I. Plastic property testing will include but not be limited to slump, temperature, air content, water-to-cementitious materials ratio calculation, and making and curing concrete cylinders. Duties will include initial sampling and testing to confirm specification compliance prior to beginning concrete placements, ensuring timely placement of initial cure and providing for the transport of compressive strength samples to the designated laboratories. Technicians who test concrete properties or perform Verification testing for the Department must posses this qualification Concrete Field Technician - Level II: Ensure field technicians responsible for the quality of concrete being placed on major bridge projects are qualified CTQP Concrete Field Technicians Level II. A Level II Technician must be present on the jobsite during all concrete placements. Prior to the placement of concrete, the technician will inspect the element to be cast to ensure compliance with Contract Documents. A Level II Technician s duties may include ensuring that concrete testing, inspection, and curing in the field is performed in accordance with applicable Contract Documents. The QC Technician will inform the Verification Technician of anticipated concrete placements and LOT sizes. Specification (e) provides the definition of major bridge projects Version /

43 Concrete Laboratory Technician - Level I: Ensure technicians testing cylinders and recording concrete strength for material acceptance are qualified CTQP Concrete Laboratory Technicians Level I. Duties include final curing, compressive strength testing, and the recording/reporting of all test data Concrete Production Facility Manager of Quality Control: Ensure each concrete production facility has a Facility Manager for QC with the following qualifications: 1. CTQP Concrete Laboratory Technician Level I, Concrete Field Technician-Level I, and Batch Plant Operator. As alternatives to these qualifications, the Department will accept: Prestressed Concrete Institute (PCI) Level III or National Ready Mixed Concrete Association (NRMCA) Concrete Technologist Level II, as equivalent qualifications. 2. Three years of QC experience directly related to cement concrete production. 3. Demonstrated proficiency in implementing, supervising, and maintaining surveillance over a QC Program. 4. Experience and certification in performance of required QC tests and statistical evaluation of quality control test results. Version /

44 Post Tensioning: Perform all post-tensioning tensioning field operations under the direct supervision of a Level II Qualified Post-Tensioning and Grouting Technician qualified through the Department s Construction Training Qualification Program (CTQP). In addition, provide a minimum of two crewmembers that are CTQP Level I Qualified Post-Tensioning and Grouting Technicians. All personnel involved in grouting must attend a grouting training session provided by the Department not less then seven days prior to the start of the first stressing or grouting operation of the project. Perform all vacuum grouting operations under the direct supervision of a crew foreman who has been trained and has experience in the use of vacuum grouting equipment and procedures. Submit the crew foreman s credentials to the Engineer prior to performing any vacuum grouting operations. Conduct all stressing and grouting operations in the presence of the Engineer. Coordinate and schedule all post-tensioning activities to facilitate inspection by the Engineer. Post Tensioning Qualification requirements are described in Chapter 8, Structures, of the Construction Training Qualification Manual (CTQM). Version /

45 On the following slides we will review some tips that may help you in preparing your QC Plans. These tips are not intended to represent everything that could be written about a topic but more to provide you some food for thought. Version /

46 Inspection/Control Procedures This is the narrative portion of the Contractor QC Plan, and is often the hardest part of the plan to develop and describe. Most organizations are used to intuitive processes, or process which have evolved over time to reflect the personalities and desires of supervisory personnel. Describing and documenting these processes concisely in writing is often difficult. There is almost no physical limit to the length and detail included in this section. Every requirement, every sentence in the contract could precipitate a paragraph or more of detailed process control procedures to describe how that requirement will be fulfilled. From a practical point though, this is excessive. For most typical construction projects the narrative covering inspection/control procedures should adequately address the quality process basics in two to four pages for each phase of construction. This does not include testing schedules, certifications, personnel resumes and other attachments. In addition, if the narrative includes excessive redundancies, paraphrasing of the contract and other extraneous materials, that will add to the required length. The fact that many of the detailed requirements of the contract are not specifically addressed in the Contractor QC Plan does not mean they can be ignored. The contract itself is the foundation for the outcomes expected from the Contractor QC Plan. Version /

47 Categories of Construction A typical contract may be divided into three to five categories depending on the nature of the work and the organizations performing the work. These categories are referred to as phases or categories. For example stakeout, erosion control, clearing, excavation, embankment, drainage and slope protection might be grouped together as a single category of Grading and Drainage. Sometimes how categories are defined is influenced by which subcontractors or crews do the work, since each may have its own organizational relationships. It should be left up to the contractor to group items of work in logical categories to facilitate the development of the Contractor QC Plan. Other typical categories are as follows. Pavement Structure, Structures, Masonry, etc. Preliminary, Startup and Production Phases As these are each typically addressed separately, in the three sequential phases, a five by three matrix may be generated which constitutes the inspection/control part of the Contractor QC Plan. The preliminary phase includes evaluation of equipment, materials and other resources prior to work being started. It also involves comparing contract requirements with training and other needs. Startup includes the additional management, training and inspection resources usually needed when a new operation is started. Production addresses the routine QC resources necessary after the process is established. Version /

48 For each category and phase of the operation, the QC plan should answer these questions as they relate to the category and phase: Who will be responsible for QC during the operation? The Quality Control Technician may be assigned responsibility for testing and documentation and perhaps even training and monitoring of startup. As the operation moves toward production however, foremen or other supervisory personnel will probably be assigned increasing responsibility. If the management official is too high in the organization - say the overall project superintendent - then it is less likely he/she will have the time to perform detailed QC functions. In that case subordinate personnel should be specifically identified. What will that person do to ensure contract compliance? What authority will the person have over operations? What portion of the time the operation is in progress will the identified person actually be present to perform QC responsibilities? Testers and inspectors cannot control quality if their responsibilities are limited to testing, measuring and documentation. "What" should address not only personnel, but materials and equipment used in the construction. These items often have stated or implied contract requirements, and the QC system must verify that those requirements are met. Version /

49 Where will these activities be performed? Will optional process control testing be performed onsite, or at a commercial laboratory? Will manufactured materials be inspected at the plant, at the contractor s facility or at the site of work? Will the equipment be inspected at the yard, or will inspections be performed at the site? When will these activities be performed? The earlier QC activities are performed, the more latitude the contractor has in dealing with problems. However, when activities performed too early there is a risk of unforeseen changes or glitches prior to actual construction. When will test results be available? This is a key component of the QC Plan which determines largely how responsive it can be to deficiencies. How will inspections be performed? Using a standard checklist? Using the specifications themselves [quality assurance criteria], etc.? The more generalized and vague the inspection procedures are, the more likely they will not be consistently effective. However, not having a checklist, is not a cause for disapproving a QC plan, unless a checklist is specifically required. TheContractorQCPlanshouldminimizeanyparroting or paraphrasing of requirements in the contract, and should avoid simply promising to comply with the contract. These kinds of statements and assurances are of essentially no added value. The Contractor QC Plan must go beyond the contract requirements and address the contractor s organizational process for consistently delivering those requirements. For Checklists go to the Department s website, more specifically; State Construction Office/Publications/Guidelists Version /

50 Subcontractors and Suppliers When subcontractors and suppliers [other than suppliers of commercial items] provide part of the work, then the QCP needs to be clear whether their QC responsibilities will be independent, or a part of the prime contractor s responsibilities. If they are independent, then the subcontractors or suppliers QCP must be developed and submitted for approval, through the prime. Otherwise, the prime must address how it will monitor and verify subcontractor/supplier quality as a part of its plan. In either case the prime is contractually responsible for all the work, but being contractually responsible is not the same as having an active role in the quality delivery process. Manufactured Materials - An important part of the Contractor QC Plan is the process for verifying that manufactured materials comply with the requirements of the contract. Commercial Items - These are materials manufactured and sold to the general public, as opposed to materials made to the unique specifications of the agency. For most commercial items, the contractor s responsibilities are limited to verification that the materials are as required or permitted in the contract, and that the delivered materials are in fact those approved materials Qualified Products List (QPL). Some materials which are arguably commercial are considered of critical importance, and have specific QC/QA requirements in the contract. Non-commercial Items - These are materials manufactured offsite, but specifically to agency specifications for the project. QC plan coverage for non-commercial items should be a separate document from the manufacturer, or the manufacture of those items should be included in the QC plan of the contractor or a subcontractor. Like critical commercial items, critical non-commercial items may have specific QC/QA requirements in the contract. Version /

51 The following page contain some examples of different ways to describe a task within aphase. They range from Poor to Good. Version /

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54 The following information is a list of some of the common mistakes that get QC Plans rejected. Incorrect TIN numbers- a very common error causing QC Plan rejection. Typically, the errorsare attributed to typographical errors, which are common problems when typing numerous numbers. Review these for accuracy prior to submission. Expired/Expiring Qualifications- Quite often, Technicians are submitted that have expired qualifications. Some Department Districts will reject a QCP if the Technician Qualifications are due to expire during the project. It is important prior to submission, that verification of the individual CTQP Qualifications be conducted ( com) For those that would be expiring during the course of the project, perhaps a brief statement, or section, detailing how these individuals will be re-qualified prior to expiration, should be included. Don t forget to describe how, during their absence, staffing will be managed to ensure adequate qualified personnel resources will be available. Non-FDOT Approved Plants- submittal of unapproved Plants is a common error made in QCP submission. Just because the Plant was on the list on the last project, it is no guarantee they are still on the approved list. Plant approval status, both Asphalt and Concrete, should be checked (FDOTwebsite) before submitting. Omitted/Non-FDOT Approved Sources of Materials- Limerock Pit information and numbers must be submitted. Just as discussed above, verify the fact that they are still on the Department s approved list. Omitting Concrete Mix Designs- Not including mix designs in the plan is cause for rejection., Also make sure that the mix designs submitted are approved. Version /

55 Information on Raw material Suppliers- Raw material suppliers need to be listed with ihname, address, phone numbers, supplier numbers, and contact person. Producer s QC Plan Approval- as discussed on the previous slide for plants and pits, verification of the approval status of the Producer s QC Plan must be performed. Primary and Secondary Laboratory Information- Make sure to list both primary and secondary laboratories, providing their lab number, address, phone numbers, and contact information. Verify their approval status on the FDOT website. Not detailing processes for material handling failures- Sketchy or incomplete discussion on the processes to be used in the case of material handling failures has led to the rejection of QC Plans. Be sure to give sufficient details on how work is to be done, i.e. rolling patterns, density procedures, etc. Version /

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67 Specification 105 lists all the FDOT required quals./certs., but not all that are listed are a requirement for the QA Program. (Specifications 8-5 Qualifications of Contractor s Personnel.) It is prohibited as a conflict of interest for a Contractor to subcontract with a Consultant to perform Contractor Quality Control when the Consultant is under contract with the Department to perform work on any project described in the Contractor s Contract with the Department. Prior to approving a Consultant for Contractor t Quality Control, the Contractor t shall submit to the Department t a Certificate from the proposed Consultant certifying that no conflict of interest exists. Version /

68 Revocation of Qualification CTQM Sections Qualification Revocation Based On Lack of Proficiency Qualification Revocation Based On Falsification of Records Independent Assurance Evaluations Section 5.5 of the Materials Manual, contains details on the ASSURANCE PROGRAM. INDEPENDENT It describes the Independent Assurance (IA) evaluation program. The IA program evaluates the performance of the qualified sampling and testing personnel and testing equipment. The program covers sampling procedures, testing procedures, and testing equipment. Version /

69 Laboratory accreditation for those labs doing business with the FDOT is performed by AMRL, CMEC, or other approved programs. Laboratory qualification is performed by the FDOT once those labs are accredited. WHICH LABS HAVE TO BE QUALIFIED? State Materials Office District Materials Offices Area/Project Laboratories Materials Field Laboratories Commercial Laboratories Contractor Laboratories Vendor Laboratories WHAT ABOUT EQUIPMENT? Testing equipment will be certified according to their specific schedule. Version /

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