Module 3: QUALITY MANAGEMENT PLANNINGSubmodule 1: Purpose and ComponentsObjectives: After completing this submodule, you will be able to: Identify the components of a QA Plan. Define the Quality Control (QC) Plan. Identify the components of the QC Plan.A. The Quality Assurance Plan:1. The QA Plan is a Government document used as a management tool. Itis required by ER 1180-1-6 and by P-445. It is not a contractrequirement. The components of a QA Plan are: Government staffing requirements. Functions of each QA team member. Government training requirements. Government pre-award activities. Definable Features of Work (DFOW) list. Government surveillance and testing activities.2. The QA Plan ensures that all team members are following the same planand achieves better coordination of the government’s QA activities. Justas important, the contractor will be receiving consistent guidance and willbe able to respond to requirements in a more effective manner. Forconstruction quality management to be effective, quality control andquality assurance must be coordinated and compliment one another.3-1

Area/resident engineers and Resident Officer in Charge of Construction(ROICC) require QA personnel to become fully aware of the QA Plan aswell as the CQC requirements. The DFOW list in the QA Plan will lateralign with the QC Plan, the schedule and the submittal register. Basedupon this knowledge, the groundwork is established for Government/contractor partnership.B. The Quality Control Plan: The Contractor’s QC Plan is the foundation upon which quality work isbased. It is an outline of the planned quality control procedures, and isvital to the quality control system. The plan must be comprehensive,detailed, and logical if the contractor’s quality control system is to beeffective. While experience and knowledge of the construction industryare necessary in developing a good QC Plan, the contractor mustconsider fully the specific contract requirements and special factorspeculiar to a project as well. It is pertinent that the QC Manager is theauthor or co-author of the QC Plan to assure that all quality requirementscontained in the contract are included and that the QC Manager isthoroughly familiar with the plan. The detailed requirements for a QCPlan are in specification section 01450N Quality Control and 01451AContractor Quality Control. The QC Plan must be received, reviewed, and formally accepted by theContracting Officer or their representatives before any construction workcan begin. In some cases, this requirement can be met by an interimplan. If an interim plan is provided by the contractor it must include, as aminimum, his general plan for quality control, plus the specifics for thework he is about to begin. A final acceptable plan must be receivedwithin the time specified in the contract. The contractual requirementsare found in Section 01451A or Section 01450N of the contract. Resident Management System (RMS) is a Corps’ data managementsystem that provides an easy mechanism for developing a QC Planbased on contractor input. RMS is discussed in detail in optionalModule 8. See optional Module 9 for NAVFAC’s WEB CM capability for submissionof the QC Plan.C. Quality Control Plan Components:There are differences between USACE and NAVFAC requirements forstructuring the QC Plan. For details of the content and format seespecification section 01450N Quality Control, paragraph entitled QUALITY3-2

CONTROL (QC) PLAN or 01451A Contractor Quality Control, paragraphentitled Content of the CQC Plan. These specification sections can beaccessed at The QCPlan shall include, as a minimum, the following: Table of Contents – A listing of the major sections identified with tabs inthe order of the bulletized items following hereafter. QC Organization – The QC organization must be identified, including achart showing the organizational structure and lines of authority. Thecontractor must provide sufficient quality control personnel to satisfy allcontract requirements. The contractor's quality control staff may vary insize, depending on the work being performed at a point in time. Thepersonnel of this staff shall be fully qualified by experience and technicaltraining as required in the specifications to perform their assigned duties.In any case, the contractor must indicate how he intends the staff tomeet all requirements. This assures that the contractor has identifiedneeds in advance, is planning to satisfy those needs, and is notoverlooking or underestimating requirements. Names and Qualifications – The names, qualifications, and classificationof each member of the contractor’s quality control team must beprovided. The QC Manager and the Alternate QC Manager must beemployees of the prime contractor. This information may be provided inphases, as work progresses; however, the Government must receive theinformation before an individual begins work. This includessubcontractors and supplier personnel assigned QC duties. Include theCQM course certification for the QC Manager and the Alternate QCManager as required by the specifications. Duties, Responsibilities and Authorities of QC Personnel – Provide alisting of assigned quality control activities for performance by the primecontractor, subcontractors, offsite fabricators, and suppliers. If thecontractor delegates quality control duties, the plan must indicate how hewill assure the effectiveness of the quality control efforts. Include a list ofduties, responsibilities and authorities of each person in the QCorganization. Outside Organizations – Provide a listing of outside organizations suchas architectural and consulting engineering firms that will be employedby the contractor and a description of their services. Appointment Letters – Letters signed by an officer of the firm appointingthe QC Manager and Alternate QC Manager and stating that they areresponsible for implementing and managing the QC program as3-3

QC Manager and Alternate QC Manager to implement and manage thethree phases of control and their authority to stop work which is not incompliance with the contract. The QC Manager shall issue letters ofdirection to the (Assistant QC Manager – on NAVFAC contracts) and allother QC specialists outlining their duties, authorities, andresponsibilities. Copies of the letters shall be included in the QC Plan. Submittal Procedures and Initial Submittal Register – A listing ofprocedures for scheduling and managing submittals, including those ofdesigners of record, consultants, architect-engineers, subcontractors,offsite fabricators, suppliers, and purchasing agents. Include a listing ofprocedures for reviewing, approving and managing submittals. Providethe name(s) of the person(s) in the QC organization authorized to reviewand certify submittals prior to approval. Testing Laboratory Information – Performance of control testing is to beincluded in the QC Plan. If a commercial laboratory is to be used, theplan must indicate both the laboratory to be used and the test methodsto be employed. Provide testing laboratory information required by theparagraphs entitled “Accreditation Requirements” or “ConstructionMaterials Testing Laboratory Requirements”, as applicable (for NAVFACcontracts). If technicians employed by the contractor will be performingthe tests, the plan must indicate who will perform specific tests and theirqualifications. Specifics relative to test report submissions are to beaddressed, including format, content, and consistency of alldocumentation. Testing Plan and Log – A testing plan and log that includes the testsrequired, referenced by the specification paragraph number requiring thetest, the frequency, and the person responsible for each test. Thespecifications require giving advance notice to the Government of thetimes when tests will be conducted. Procedures to Complete Construction Deficiencies/Rework Items – Alisting of the procedures to identify, record, and track constructiondeficiencies/rework items from identification through corrective action. Itis noted that this plan must also include design deficiencies/rework itemsif the contract is a design-build contract Documentation Procedures – Documentation procedures includingproposed report formats.3-4

List of Definable Features of Work - A list of the definable features ofwork (DFOW). A DFOW is a task which is separate and distinct fromother tasks and has separate control requirements. As a minimum, eachsection of the specifications can be considered as a DFOW. However,there may be more than one definable feature under a section of thespecifications. Masonry, landscape, plumbing, interior electrical, areexamples. Another definition of a DFOW is an activity in the projectschedule that results in a physical product. The list shall be crossreferenced to the contractor’s construction schedule and thespecification sections. For projects requiring a progress schedule, thelist of DFOWs shall include, but not be limited to, all items of work on theschedule. For projects requiring a network analysis schedule, the list ofDFOWs shall include, but not be limited to, all critical path activities. Procedures for Performing the Three Phases of Control - The ThreePhases of Control are the core of the Construction Quality Managementsystem. The QC Plan is the means by which the contractor assureshimself that his construction, to include his subcontractors and suppliers,complies with the requirements of the contract plans and specifications.If the project is design-build, the plan also assures compliance with theRFP. The controls shall be adequate to cover all constructionoperations, including both onsite and offsite fabrication, and will bekeyed to the construction schedule. The three phases are as follows:-Preparatory Phase. This phase shall be performed prior tobeginning work on each definable feature of work. Use thepreparatory phase checklist when conducting this phase meeting.Safety is a consideration.-Initial Phase. This phase must be accomplished at the beginning ofa definable feature of work. Use the initial phase checklist whenconducting this phase meeting. Safety is a consideration.-Follow-Up Phase. Daily checks shall be performed to assurecontinuing compliance with contract requirements. Safety is aconsideration. Personnel Matrix (NAVFAC contracts specific) – A personnel matrixshowing, for each section of the specification, who will review andapprove submittals, who will perform and document the three phases ofcontrol, and who will perform and document the testing.3-5

Procedures for Completion Inspection - Provisions for the QC Managerto conduct completion inspections of the work and develop a “punch list”of items which do not conform to the contract requirements. The QCManager shall make a second completion inspection to ascertain that all"punch list" items have been corrected and so notify the government.The completion inspections and any "punch list" item corrections will beaccomplished within the time stated for completion of the work. The planmust include project completion turnover procedures. These mayinclude:-D.warranty information.O & M manualssystem operation and sequence verificationfinal system testinginstruction and training procedurespunch-outpre-final inspection to include the Governmentfinal inspection to include the client/customer "punch list"“punch list” correction and verificationturnover of extra materials and spare partsturnover of keyscompleted as-built drawingsReferences: Specific QC requirements are found in the constructioncontract. Although not part of the construction contract, primary referenceson the QC Plans are (Engineer Pamphlet) EP 715-1-2, "A Guide to EffectiveContractor Quality Control." and Naval Facilities Engineering Command’s“Effective Quality Control” pamphlet. These pamphlets are an excellentsource of information. They are concise and to the point, indicating theareas to be addressed in developing an effective, well-planned contractorquality control system. They are a valuable aid for both Government andcontractor personnel in understanding quality control.3-6

EXERCISESubmodule 3.11.Define the Quality Assurance Plan.2.Define a Quality Control Plan.3.Name the components that must be addressed by the Quality Control Plan.3-7

4.Name the actions that must be accomplished relative to the QC Plan beforeconstruction can begin.5.Name the phases of the "Three-Phase Control," and indicate when each isimplemented.3-8



Module 3: QUALITY MANAGEMENT PLANNINGSubmodule 2: Review and AcceptanceObjectives: After completing this submodule, you will be able to: Describe the process used to review the contractor's Quality Control(QC) Plan by comparing it to the requirements of the contract provisionsand determining its feasibility. State the basic concepts which the government uses to accept or returna QC Plan.A.Quality Control Plan Review Participants: There are three individualswho are normally involved in the review of the QC Plan; they are the area/resident engineer or ROICC/SGE, the project engineer or AROICC/AREICC, and the onsite QA personnel.B.Two Major Steps in the Review Process: Examination of the QC Plan in light of the requirements of thespecifications. Determination of the QC Plan's feasibility. This requires the reviewers tohave a good working knowledge of contract requirements.If problems are discovered, it is necessary to identify those points in theplan that needs change or clarification.C.Assure Minimum Requirements Are Met: Determine that the plan provides adequate control of the DFOWs. Examine the proposed QC staffing and organization to ascertain if itcomplies with contract specifications. Determine if the contractor hasprovided the names and qualifications (in resume format) of the3-11

individual(s) responsible for QC of each DFOW, tests, submittal controls,and reports. Check that the level of authority and responsibility delegated to thecontractor's QC Manager is clearly defined. Assure that the QC Plan:- clearly assigns individual control and test duties,- defines the capacity in which individuals will be working, and- indicates what tests will be used. Determine that the plan addresses the procedures for processingsubmittals. Check that the plan specifies which contractor (prime, subcontractor,offsite fabricator, or supplier) will be performing what portions of QC. Assure that report forms include required features and reporting items.D.Acceptance of the QC Plan: If the initial review reveals that changes arenecessary, the changes must be made by the contractor before the plancan be accepted. Acceptance of the plan is contingent on satisfactory QCperformance once construction is underway. The Government alwaysreserves the right to require necessary changes in the QC Plan and incontractor operations so as to obtain the specified quality. After the planhas been accepted, if some part of the plan isn't working, the Governmentmay require changes to be made.E.Commencement of Construction: Until an interim or final QC Plan isaccepted, construction cannot begin.F.Changes to the QC Plan: If the contractor wants to make changes in theQC Plan during construction, the Government must be notified in writing.The contractor cannot implement any change until the Government hasformally accepted the changes in writing. If deficiencies are occurring, theplan needs to be studied to see if the problem is non-adherence or ifrevisions should be made to correct shortcomings in the QC Plan.G.Distribution: After the QC Plan has been reviewed, changed asnecessary, and accepted, copies are distributed to all personnel involved inQC activities. The Government provides copies to onsite QA personnel.3-12

H.Example Quality Control Plan: An example of a QC plan is provided inthe exercise section of this submodule. Included with the plan is a letter oftransmittal from the contractor to the Area Engineer or ROICC.3-13

EXERCISE AND EXAMPLESubmodule 3.2Following is an example of a CorpsQC Plan, but it is not complete. Review thisplan and comment on how it could be improved to meet the contractrequirements.NOTE: Navy Students - Example of Navy QC Plan is in the Navy Forms Sectionof the Reference/Glossary.3-14

Keyes Construction Co., Inc.General Contractor5318 Madison St.Denver, Co 80200May 19, 20xxSerial No. MC-4Area EngineerU.S. Army Corps of Engineers563 W. GrangerColorado Springs, CO 80900RE:One Tactical Equipment ShopDACA92-97-C-0111Ft. Carson, COGentlemen:We are submitting, herewith, our Quality Control Plan for the abovereferenced project for acceptance.Very truly yours,Warren J. CooperConstruction ManagerKeyes Construction Company, Inc.5318 W. MadisonDenver, Colorado 80200WC/1dcc: FieldFile3-15


CONTENTSLETTER OF AUTHORITYQUALIFICATIONS OF PERSONNEL1.0 PURPOSE2.0 POLICY3.0 . Control System ManagerContractor's Other PersonnelCommercial Testing FirmsControl of Onsite-ConstructionReceiving and WarehousingOffsite InspectionInspection DocumentationDrawing and Document ControlMaterials CertificationWorkmanship InspectionCalibration of EquipmentFinal Inspection and TestRevision PolicyTESTING METHODS5.1American Welding Society (AWS) Standards6.0RECORDING FORMS7.0QUALITY CONTROL PROCEDURES7. of Subcontractor OperationsInspection Acceptance ProceduresInspection Discrepancy ProceduresConcrete Testing ProceduresDEFINABLE FEATURES OF CONSTRUCTION WORK3-17

Keyes Construction Co., Inc.General Contractor5318 Madison St.Denver, Co 80200May 19, 20xxSerial No. MC-5Army EngineerU.S. Army Corps of Engineers563 W. GrangerColorado Springs, CO 80900RE: One Tactical Equipment ShopDACA92-97-C-O111Ft. Carson, CO.Gentlemen:This is to introduce Morton S. McCray for the position of Contractor'sRepresentative for Quality Control on the above referenced project.Very truly yours,Warren P. CrossenConstruction ManagerKeyes Construction Company, Inc.5318 Madison St.Denver, Colorado 80200WC/1dcc: FieldFile3-18

Keyes Construction Co., Inc.General Contractor5318 Madison St.Denver Co. 80200May 19, 20xxMorton S. McCrayQuality Control System Manager3636 Belview AvenueColorado Springs, CO 80900RE: Quality ControlOne Tactical Equipment ShopDACA92-97-C-0111Dear Mr. McCray:This is a Letter of Direction to you outlining your duties and responsibility as ourQuality Control Representative on the above referenced project.You will be responsible for preparing and maintaining the Submittal RegisterForm 4288 for the duration of the project. You are required to check all shopdrawings for accurate dimensions and to ensure compliance to applicablespecifications and drawings as to the quality of materials being proposed for theproject. This also applies to all subcontractors, offsite fabricators, and suppliers.You will make, on a continuing basis, sufficient daily follow-ups to ensure that allworkmanship and materials in the construction of this project are in conformancewith the specifications and drawings.You will be responsible for all testing as required by the specifications, a qualifiedtesting laboratory will be furnished to you, as outlined in The Keyes ConstructionQuality Control Plan.You will be present during all testing and coordinate all such tests as required inaccordance with the specifications and the Corps of Engineers Representative.The quality control system will include three phases of control and tests.Primarily, Preparatory Phase, Initial Phase, and Follow-up Phase. You aredirected to Section 01451A/01450N, paragraph 3.6 for specific instructionsoutlining these control phases. All control phases and tests shall be recorded3-19

daily on the Quality Control Report and submitted the following work day coveredby the report to the government Representative. All test results shall besubmitted in triplicate copies, not later than three calendar days after the testsare performed.You are directed to review The Keyes Construction Quality Control Plan as wellas the Project Specifications, Amendments and Drawings, in their entirety. Ifthere is an item not understood, you are to consult your Quality Control SupportTeam.The Quality Control Support Team will consist of the Project Superintendent andKeyes Construction Project Management.Sincerely,Warren P. CrossenConstruction ManagerWC/1dcc: FieldCorps of Engineers3-20

QUALITY CONTROL PLANONE TACTICAL EQUIPMENT SHOPFORT CARSON, COLORADOCONTRACT NO. DACA92-97-C-0111MAY 20xx1.0PURPOSEThis document establishes the Quality Control System of KeyesConstruction Company, Inc. to provide the necessary supervision, controlphases and tests of all items of work, including that of suppliers andsubcontractors, that will ensure the compliance of all work with theapplicable specifications and drawings in respect with the contractorfurnished equipment, materials, workmanship, construction, finish,functional performance, and identification.2.0POLICYKeyes Construction Company, Inc. through the utilization of a QualityControl System, strives to obtain a uniform, high quality level ofworkmanship throughout all phases of procurement, fabrication,construction and installation of equipment and facilities, to assure this end,the following principles will be observed:A.Assure the highest quality by maintaining supervised controls andwritten instructions governing quality control procedures andpractices, establish clearly defined responsibility and authority forcompliance.B.Conform to all contractual requirements, specifications, applicablemilitary standards and the Keyes Construction Company, Inc. QualityControl Plan. Compile accurate records of test certifications andother required documentation.C.Notify Project Management, and the government of qualitydiscrepancies for immediate corrective action. Assure that correctiveaction is implemented properly.D.The Quality Control System Manager will be housed in a spaceseparate from the Project Management staff and shall be under thesupervision of Keyes Construction Company, Inc. home office.3-21

3.0ORGANIZATION3.1Quality Control System Manager - Reports to and receives hisauthority directly from Keyes Construction Company, The Quality Control System Manager shall formulateand implement as required the written procedures and instructionscontained in this plan. Actual practices are not limited to this planand where a discrepancy exists between this plan and the contractrequirements, the contract requirements shall prevail. Consultswith project supervisory personnel to assure compliance with thequality control requirements of the contract. Coordinates the qualitycontrol efforts of subcontractors and suppliers to correspond withthe overall Quality Control Plan. He shall provide direct feedbackand advise the government representative regarding theeffectiveness and capability of the quality control organization,including but not limited to coordination, field engineering, officeengineering, accounting for government- furnished property, etc.He will be physically on the project site for the duration of thecontract work. He will review and coordinate submittals andapprovals for contractor furnished materials and equipment,conduct tests, and follow-ups of subcontractor's work as required toensure compliance with contract plans and specifications.3.2Contractor's Other Personnel - Quality control functions will becarried out by other contractor's personnel to include the ProjectSuperintendent who will be physically on the job-site for theduration of the contract work.He will assist the Quality Control System Manager in other areas asrequired to fully implement the Quality Control Plan. The QCsystem manager may delegate such duties to other contractor'spersonnel who may be assigned to the project on a temporarybasis such as Field Engineers and Superintendents.3.3Commercial Testing FirmsCommercial testing firms to be utilized are:Testing Laboratory, Inc.2003 E. Willard St.Denver, Colorado 809003-22

4.0PROCEDURES4.1Control of Onsite Construction - The Quality Control SystemManager will perform sufficient control phases and tests of all work,including that of subcontractors to ensure conformance toapplicable specifications and drawings with respect to the materials,workmanship, construction, finish, functional performance, andidentification.The Quality Control organization will perform at least three phasesof control for all definable features of work, as follows:a.b.Preparatory Phase - Performed prior to beginning eachdefinable feature of work. Notify the Government and otherappropriate persons at least 24 hours in advance of themeeting.(1)Review contract requirements.(2)Check to assure that all materials and/or equipment areon hand and have been tested, submitted, andapproved as required.(3)Check to assure that provisions have been made toprovide required control testing.(4)Examine work area to assure that all preliminary workhas been accomplished.(5)Review hazard analysis.Initial Phase - Performed at the beginning of a definablefeature of work. Notify the Government and other appropriatepersons at least 24 hours in advance of the meeting.(1)Check preliminary work.(2)Check new work for compliance with contractdocuments.(3)Review of control testing.(4)Establish level of workmanship.(5)Check for use of defective or damaged materials.3-23

c.4.2(6)Check for omissions and resolve any differences ofinterpretation with the Government representative.(7)General check of dimensional requirements.(8)Check safety compliance.Follow-Up Phases - Perform daily checks to assure continuedcompliance with workmanship established at the initial phase.(1)Assurance of continuous compliance with contractdrawings and specifications .(2)Daily control testing.Receiving and Warehousing - Inspection of permanent constructionmaterials received will be performed by the Quality Control SystemManager, or other contractor personnel. Visual inspection will bemade for:IdentificationDamageCompletenessEvidence of compliance with approvalsProper documentationResults of receiving inspection will be recorded on an appropriatereport form and will be made available to the Government.4.3Offsite Control - Facilities of offsite fabricators and suppliers will besurveyed as required to assure that all requirements of the contractdrawings and specifications are met and maintained and to assuredelivery of quality products. The results of each survey will berecorded on an appropriate form and will be made available to theGovernment. The fabricator or supplier will be notified of anydeficiencies and will be required to submit a report of correctiveactions taken. The contractor will inform the Government of offsitesurveys.3-24

4.4Documentation - The Quality Control System Manager will maintaincurrent records of all control activities and tests. These will includefactual evidence that the required control phases and tests havebeen performed, including the number and results; nature ofdefects, causes for rejection, etc.; proposed remedial action;corrective actions taken; contractor's records will cover bothconforming and defective features and will include a statement thatall supplies and materials incorporated in the work are in fullcompliance with the terms of the contract. Legible copies of theserecords on an appropriate form will be furnished to the Governmentdaily.4.5Drawing and Document Control - Contract drawing, work ordersand change orders issued for construction will also be issued to theQuality Control System Manager. It is the responsibility of theOffice Engineer to issue all technical information to the QualityControl System Manager. It is the responsibility of the QualityControl System Manager to maintain this technical informationand keep it current and recorded as it is revised. No technicalinformation will be replaced or revised without receipt of properlyauthorized change notice, revision, or equal.4.6Materials Certification - Copies of all purchase orders orsubcontracts requiring receiving inspection will be given to theQuality Control Department for receiving and record purposes.When the purchase order requires vendor certification of materials,equipment, or supplies, such certification shall be verified as toaccuracy and conformance and may be used in lieu of a test forthose properties covered by the certification. Copies of allcertifications received will be maintained in the Quality Controlfolder and will be available to the Government upon request orsubmitted to him as provided in the contract specifications.4.7Workmanship Inspection - Items which will be embedded in theconcrete placements or areas which will be covered up by afollowing operation will be inspected by the Quality Control SystemManager. The Quality Control System Manager shall verify bysignature that all items installed are in accordance with the contractdrawings and specifications prior to the placement of concrete orcovering. Any corrective action required will be recorded.4.8Calibration of Equipment - All contractor furnished measuring andtest equipment shall be calibrated and maintained to traceablegovernment standards. Records of these calibration certifications3-25

will be maintained by the Quality Control Department and madeavailable to the Government upon request.4.9a.Each instrument will be plainly and permanently numbered,the equipment will be operated only by those persons directlyresponsible for the equipment or personnel under theircognizance.b.Each piece of equipment will be checked for accuracy asrecomme

Resident Management System (RMS) is a Corps’ data management system that provides an easy mechanism for developing a QC Plan based on contractor input. RMS is discussed in detail in optional Module 8. See optional Module 9 for NAVFAC’s WEB CM capability for submi