Basic USACE-NAVFAC
Quality Control Plan Sample
Recommended for projects under $5 mil and
bid qualifications
Has All the Essential Elements required by
USACE / NAVFAC /AFCEC /NASA UFGS-01 45 00.00 20
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[CompanyName][CompanySuffix] Quality Assurance/Quality Control Plan
PROJECT-SPECIFIC QUALITY PLAN
TABLE OF CONTENTS
The Project Quality Control Plan contents correspond with USACE / NAVFAC / AFCEC / NASA UFGS-01 45
00.00 20 (November 2011) Construction Quality Control (QC) Plan requirements.
Background Information .......................................................................................................................... 4
Project Name .............................................................................................................................................. 4
Project Number .......................................................................................................................................... 4
Project Location .......................................................................................................................................... 4
Project Description ..................................................................................................................................... 4
Project Scope .............................................................................................................................................. 4
A. QC Organization................................................................................................................................... 5
B. Names and Qualifications .................................................................................................................... 6
C. Duties, Responsibilities, and Authority of QC Personnel ...................................................................... 8
Quality Responsibilities .............................................................................................................................. 8
D. Outside Organizations ....................................................................................................................... 11
Qualification of Subcontractors and Suppliers ......................................................................................... 11
Purchase Order Approval ......................................................................................................................... 11
E. Appointment Letters .......................................................................................................................... 13
F. Submittals Procedures and Submittal Register ................................................................................... 18
G. Testing Laboratory Information ......................................................................................................... 19
Qualification of Testing Laboratories ....................................................................................................... 19
H. Quality Testing Plan and Log .............................................................................................................. 21
Preparation of Inspection and Test Plan .................................................................................................. 21
I. Procedures Completion of Rework Items ............................................................................................ 23
Nonconformance Controls ....................................................................................................................... 23
Nonconformance Corrective Actions ....................................................................................................... 24
Nonconformance Preventive Actions ....................................................................................................... 24
J. Documentation Procedures ................................................................................................................ 27
K. List of Definable Features................................................................................................................... 29
L. Procedures for Performing the Three Phases of Control ..................................................................... 31
Phase 1: Preparatory Phase ...................................................................................................................... 31
Phase 2: Initial Phase ................................................................................................................................ 32
Phase 3: Follow-up Phase ......................................................................................................................... 33
M. Personnel Matrix .............................................................................................................................. 40
N. Procedures for Completion Inspection............................................................................................... 41
Punch-Out QC Inspection ......................................................................................................................... 41
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Pre-Final Customer Inspection ................................................................................................................. 41
Final Acceptance Customer Inspection .................................................................................................... 41
O. Training Procedures and Training Log ................................................................................................ 45
Project Quality Training ............................................................................................................................ 45
P. Organization and Personnel Certifications ......................................................................................... 48
Company Qualifications............................................................................................................................ 48
Personnel Certifications ........................................................................................................................... 48
Q. Design Control ................................................................................................................................... 51
R. Quality Assurance Surveillance .......................................................................................................... 52
S. Additional Quality Control Requirements .......................................................................................... 53
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A. QC ORGANIZATION
The Project QC Organization Chart shows the QC organizational structure. The chart includes job positions
along with the name of each person appointed to that position. Figure A-1 shows the QC Organization
Chart for this project.
The President defines the organization chart for the project. The organizational chart includes job titles,
names of assigned personnel, and organizational and administrative interfaces with the customer. The
organization chart defines lines of authority as indicated by solid connection; dotted lines indicate lines of
communication. The lines of authority preserve independence of quality control personnel from the
pressures of production.
The President assesses the qualification requirements for each position on the project organization chart,
qualifications of each person, and then appoints only qualified persons to the project organization.
Figure A-1
President
[PresidentName]
Alternate QC Manager
[AltQCManagerName]
QC Manager
[QCManagerName]
Project Manager
[ProjectManagerName]
Third Party Inspection
and Testing Agencies
Superintendent
[SuperintendentName]
Crew Foremen
Subcontractors and
Suppliers
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Site Safety and Health
Officer
[SafetyManagerName]
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I. PROCEDURES COMPLETION OF REWORK ITEMS
Should a nonconformance be identified by an inspection, a systematic method will be used to control the
item, correct it, and ensure that project quality is not adversely impacted by the event.
Nonconformances and their resolution are recorded on a Nonconformance Report form. A
Nonconformance Report form exhibit is included in this subsection.
NONCONFORMANCE CONTROLS
Should a nonconformance be identified by an inspection there is a systematic method to control the item,
correct it, and ensure that project quality is not adversely impacted by the event.
MARKING OF NONCONFORMANCES AND OBSERVATIONS
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A nonconformance is any item that does not meet project specifications or [CompanyName] Quality
System requirements.
CONTROL THE CONTINUATION OF WORK
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When the QC Manager, Superintendent, inspector, or customer identifies a nonconformance or an
observation, the item is quickly and clearly marked by tape, tag, or other easily observable signal to
prevent inadvertent cover-up.
After the item is marked, the Superintendent determines if work can continue in the affected area:
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CONTINUE WORK: When continuing work does not adversely affect quality or hide the defect, work may
continue in the affected area while the disposition of the item is resolved. The Superintendent may place
limitations on the continuation of work.
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STOP WORK ORDER: When continuing work can adversely affect quality or hide the defect, work must
stop in the affected area until the disposition of the item resolved. The Superintendent identifies the
limits of the affected area. The Superintendent quickly and clearly identifies the boundaries of the stop
work area.
RECORDING OF NONCONFORMANCES
If nonconformances or observed items exist by the feature of work completion inspection, the
Superintendent or inspector records the nonconformances on a nonconformance report.
The Superintendent sends the nonconformance report to the QC Manager.
QC MANAGER DISPOSITION OF NONCONFORMANCE REPORTS
When the QC Manager receives a Nonconformance Report, he or she makes an assessment of the affect
the reported nonconformance has on form, fit, and function. The QC Manager may assign a disposition of
either:
REPLACE: The nonconformance can be brought into conformance with the original specification
requirements by replacing the nonconforming item with a conforming item.
REPAIR: The nonconformance can be brought into conformance with the original requirements through
completion of required repair operations.
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REWORK: The nonconformance can be made acceptable for its intended use, even though it is not
restored to a condition that meets all specification requirements. The QC Manager may specify standards
that apply to the completion of rework. Rework nonconformances must be approved by the customer.
USE AS-IS: When the nonconforming item is satisfactory for its intended use. Any use as-is items that do
not meet all specification requirements must be approved by the customer.
NONCONFORMANCE CORRECTIVE ACTIONS
The Superintendent verifies that corrective actions eliminate the nonconformance to the requirements of
the original specifications or as instructed by the disposition of the nonconformance report, and then
removes, obliterates, or covers the nonconformance marker.
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Furthermore, the Superintendent ensures that previously completed work is reinspected for similar
nonconformances and corrective actions are taken to avert future occurrences (see section 9.3 Corrective
Actions).
CONTROL OF CORRECTIVE ACTIONS
•
•
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When a nonconformance is found, the Superintendent ensures that:
Previously completed work is reinspected for similar nonconformances
Corrective actions are taken to avert future occurrences
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The QC Manager identifies requirements for corrective actions with respect to frequency, severity, and
detectability of quality nonconformances items found during and after completion of work activities.
When a solution requires changes to [CompanyName] quality standards, the QC Manager makes
modifications as necessary by making changes to:
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Material specifications
Personnel qualifications
Subcontractor and Supplier qualifications
Company standards
Inspection processes
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•
•
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CORRECTIVE ACTION TRAINING
The Superintendent initiates corrective action training to address quality nonconformances. Personnel
and subcontractors and suppliers performing or inspecting work participate in the training.
Heightened awareness during quality inspections verifies and documents compliance with the corrective
action improvement items. A qualified Superintendent inspects corrective actions during regular quality
inspections and records observations on the quality inspection form.
The Superintendent notifies affected subcontractors and suppliers of selected preventive action training
requirements.
The Superintendent evaluates the effectiveness of the improvements. The QC Manager reviews
improvement results recorded on quality inspection records and monthly field reviews. When the QC
Manager determines that the improvement actions are effective, the item is no longer treated as a
preventive action.
Additional detail on [CompanyName] policies and procedures for the controlling nonconformances
appear in Quality Manual section 9 Nonconformances and Corrective Actions.
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[CompanyName][CompanySuffix]
Nonconformance Report
Version 20131009
Nonconformance Report
Control ID
Project ID
Project Name
[ProjectNumber]
[ProjectName]
Preparer Signature/ Submit Date
QC Manager Signature / Disposition Date
Description of the requirement or
specification
Replace
Repair
Use As-is
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Disposition
Rework
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Description of the nonconformance,
location, affected area, and marking
Approval of disposition required by customer representative? Yes
No
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Customer approval signature /date: ___________________________________
Corrective Actions
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Corrective actions completed Name/Date:_________________________
Customer acceptance of corrective actions required? Yes
No
Preventive Actions
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Name/Date:_________________________
Preventive actions completed Name/Date:_________________________
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L. PROCEDURES FOR PERFORMING THE THREE
PHASES OF CONTROL
Three phases of control and a feature of work completion inspection will be performed for each defined
feature of work.
The controls and the forms that will be used to record control activities are included on table L-1.
Table L-1
Control
Form
Preparatory Phase Checklist
Phase 2: Initial Phase
Initial Phase Checklist
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Phase 1: Preparatory Phase
Contractor Quality Control Report
Phase 3: Follow-up Phase
Feature of Work Inspection Form
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Feature of Work Completion Inspection
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Three Phases of Control and FOW Completion Inspection forms exhibits are included as an exhibit in this
subsection.
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PHASE 1: PREPARATORY PHASE
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Phase 1 is the Preparatory Phase that plans quality for an upcoming feature of work. It includes a
requirements review, site inspection, and a preparatory meeting. Records of the preparatory phase of
control are recorded on the Preparatory Phase Checklist included as exhibits in this subsection.
Procedures that will be used on this project to conduct the Phase I preparatory phase of control are as
follows.
PREPARATORY FEATURE OF WORK QUALITY CONTROL PLANNING
In preparation for the start of an upcoming feature of work, the Superintendent reviews an integrated
and coordinated set of documents that collectively define quality requirements for the feature of work
including:
•
•
•
•
•
•
•
Objectives and acceptance criteria of the feature of work
Quality standards that apply to the feature of work
Work instructions, process steps, and product installation instructions that apply to the feature
of work
Shop drawings
Submittals
Tools and equipment necessary to perform the work
License, certification, or other qualification requirements of personnel assigned to work
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Q. DESIGN CONTROL
Design controls are in place to assure the quality of designs for this project. A design plan is used to
document the design control process. A Design Plan form exhibit is included in this subsection.
The first control point will be of the review of design inputs. The Design Manager will assure that all
necessary information is available to perform the required design work. The Design Manager will also
assure that expectations for design outputs are well defined.
Intermediate reviews will be carried out as indicated on the design control plan. The last review is the
design output review.
A record of all reviews will be recorded on the Design Review form. A Design Review form exhibit is
included in this subsection.
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The President has appointed [DesignManagerName] as the Design Manager. [DesignManagerName] will
control the design process with specific quality responsibilities, duties, and the authority to carry them
out. A record of the Design Manager’s appointment appears as in this plan as an exhibit in subsection E
Appointment Letters.
DESIGN PLAN
The QC Manager prepares a project-specific design review plan that includes:
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•
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A listing of company and customer stakeholders, reviews they will participate in, and how their
input will be used to amended design requirements. The project organization chart Includes
interfaces between various groups and personnel for producing and reviewing the design.
Design output deliverables, including required drawings, and engineering calculations
Identification of who will perform design output verification activities and the criteria they will
use.
The QC Manager reviews the design process project plan with the customer and other
interested parties. The customer approves the plan after any discrepancies are resolved and the
plan is agreed upon. Design work may begin only after the customer approves the plan.
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•
DESIGN REVIEWS
DESIGN INPUT REQUIREMENTS REVIEW
The QC Manager ensures that the information in design inputs clearly defines customer expectations and
that the necessary details are provided to set requirements for design.
The QC Manager obtains design specifications from the customer and conducts a customer design input
review to ensure that:
•
•
•
•
•
Customer design input requirements and specifications are complete
Design process review milestones are specified when necessary
Customer design output requirements and specifications are complete for review milestones as
well as the completed design
Customer design requirements and specifications are compatible with the relevant regulations,
[CompanyName] quality standards, and Quality System requirements
[CompanyName] has the capability to deliver the completed design in the time allotted
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[CompanyName][CompanySuffix]
Project Design Review Plan
Version 20131009
Project ID
Project Name
Date
[ProjectName]
Design Appointments
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Design Manager
s
[ProjectNumber]
Preparer
Designer(s)
Design QC Reviewer
Design Review Milestones
Output required for
review
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Ref#
Feature of Work
Final Design Review:
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Work in Process
Review:
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Work in Process
Review:
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Design Input Review
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Scheduled date/milestone
Review participants
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List of Included Forms
Military Forms:
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•
•
•
•
Preparatory Phase Checklist
Initial Phase Checklist Form
Contractor Production Report
Contractor Quality Control Report
Testing Plan and Log
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Project Subcontractor and Supplier List
QC Manager Appointment Letter
Alternate QC Manager Appointment Letter
Project Manager Appointment Letter
Superintendent Appointment Letter
Design Manager Appointment Letter
Laboratory Qualification Form
Quality Inspection and Test Plan Form
Nonconformance Report Form
Quality Controlled Feature of Work List Form
Feature of Work Inspection Form
Punch List Form
Project Completion Inspection Form
Training Plan Form
Training Log Form
Project License and Qualifications Form
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•
•
•
•
•
•
•
•
•
•
•
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•
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Standard Forms:
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SPEC SECTION
DATE
SCHEDULE ACT NO.
INDEX #
PREPARATORY PHASE CHECKLIST
(CONTINUED ON SECOND PAGE)
CONTRACT NO
DEFINABLE FEATURE OF WORK
PERSONNEL PRESENT
GOVERNMENT REP
NOTIFIED
____
_
HOURS IN ADVANCE:
NAME
YES
POSITION
NO
COMPANY/GOVERNMENT
REVIEW SUBMITTALS AND/OR SUBMITTAL REGISTER. HAVE ALL SUBMITTALS BEEN APPROVED?
YES
IF NO, WHAT ITEMS ARE
MISSING?
NO
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ARE ALL MATERIALS ON HAND?
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SUBMITTALS
IF NO, WHAT ITEMS HAVE NOT BEEN
SUBMITTED?
CHECK APPROVED SUBMITTALS AGAINST DELIVERED MATERIAL. (THIS SHOULD BE DONE AS MATERIAL ARRIVES.)
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NO
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SPECIFICATIONS
YES
IF NO, WHAT ACTION IS
TAKEN?
REVIEW EACH PARAGRAPH OF
SPECIFICATIONS.
PRELIMINARY
WORK &
PERMITS
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ARE MATERIALS STORED PROPERLY?
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MATERIAL
STORAGE
COMMENTS
:
DISCUSS PROCEDURE FOR ACCOMPLISHING THE WORK.
CLARIFY ANY
DIFFERENCES.
ENSURE PRELIMINARY WORK IS CORRECT and PERMITS ARE ON FILE.
IF NOT, WHAT ACTION IS
TAKEN?
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YES
NO
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This plan complies with USACE / NAVFAC / AFCEC / NASA UFGS-01 45 00.00 20
(November 2011) QC Requirements.
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