U.S. Department “Commitment to Excellence”

of Transportation

 Federal Lands Highway

Federal Highway 

Administration

Contractor Quality Control Plans

Contractor Guidelines

and

Example Quality Control Plan

These guidelines are intended to assist FLH Contractors in the preparation of acceptable Quality Control Plans.

They are based on the requirements contained in Section 153 of the Standard Specifications for Construction of

Roads and Bridges on Federal Highway Projects (FP). The guidelines are not contractual requirements, and do

not supplement or supersede any contractual requirements.

Federal Highway Administration

Federal Lands Highway Office

Engineering and Operations Division (HFL-20)

Washington, DC 20590

February 1998
1

U.S. Department “Commitment to Excellence”

of Transportation

 Federal Lands Highway

Federal Highway 

Administration

Contractor Quality Control Plans

Contractor Guidelines

 Page

A. Introduction .......................................................... 2

B. FAR and FP Requirements ............................................... 2

C. Plan Development ...................................................... 4

1. Organizational Structure ........................................... 4

2. Process Control Testing ........................................... 4

3. Inspection/Control Procedures ..................................... 5

4. Categories of Construction ........................................ 6

5. Preliminary, startup and production phases .......................... 6

6. Who, what, where, when and how? .................................. 6

7. Subcontractors and Suppliers ...................................... 7

8. Manufactured Materials ........................................... 7

9. Records and Documentation ....................................... 8

10. Personnel Qualifications ........................................... 8

11. Partial Plans ..................................................... 8

D. Contractor Evaluation ................................................... 8

Appendices

A. Example Quality Control Plan ....................................... 9

B. Example Good, Fair and Poor QC Plan Elements ...................... 15
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It is not possible to determine from the content of the CQCP whether quality construction will result. The

plan is not approved, but accepted based only on whether the plan clearly addresses all the issues it is

required by the contract to address.

Contractor Quality Control Plans

A. Introduction

A contractor quality control plan (CQCP) is the documentation of the contractor’s process for

delivering the level of construction quality required by the contract. This document is intended to

provide guidance to Federal Lands contractors, subcontractors and suppliers as to what is

expected from CQCPs, and what the criteria for accepting and using the requirements for these

plans will be. 

The CQCP is a framework for the contractor’s process for delivering quality construction. The

plans and specifications define the expected results or outcome. The CQCP outlines how those

results will be achieved. While it is not possible to determine from the CQCP 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. These guidelines address,

not only what should be in the CQCP in order for it to be acceptable to the Government, but also

what elements the Government’s QA process needs to have in order to assure quality without

usurping the contractor’s responsibilities.

 

B. FAR and FP Requirements

FAR Clause 52.246-12 Inspection of Construction is the foundation and basis for all contract

requirements dealing with quality control and quality assurance. In summary the clause:

! Requires the contractor to maintain an adequate inspection system and perform inspections

that will ensure contract compliance. 

! Requires the contractor to maintain inspection records and make them available to the

Government.

! Allows [but does not require or obligate] the Government to do its own tests and inspections

and requires the contractor to assist.

! Says that Government tests and inspections are for its benefit and do not take the place of

the contractor's quality control obligations.

! Says that anytime the contractor tells the Government that work is ready for inspection and

it is not [i.e. it is in noncompliance], the Government may charge the contractor for the costs

of its inspections and tests.

! Says that the contractor is obligated to comply with the contract whether or not a

Government inspector is present.

! Says that the Government may order previously completed work torn apart for inspection,

and that if it is noncompliance, the Contractor will pay for the inspection and the correction of

the work. If it is in compliance the Government will pay for the inspection and disruption to the

work.
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Note that nothing in the FAR clause requires that the contractor's inspection system be described

in writing, or that it be submitted to the Government for approval in advance of the work. These

requirements are contained in the FP-96, Section 153. In addition, Section 153 contains a basic

outline of what should be included in the CQCP. The outline should be repeated for each major

category of construction.

Outline of Contractor Quality Control Plan Requirements

FP-96, Subsection 153.02

(a) Process control testing. List the material to be tested, tests to be conducted, the location of

sampling, and the frequency of testing. 

(b) Inspection/control procedures. Address each of the following subjects in each phase of

construction:

(1) Preparatory phase.

(a) Review all contract requirements.

(b) Ensure compliance of component material to the contract requirements.

(c) Coordinate all submittals including certifications.

(d) Ensure capability of equipment and personnel to comply with the contract requirements.

(e) Ensure preliminary testing is accomplished.

(f) Coordinate surveying and staking of the work.

(2) Start-up phase.

(a) Review the contract requirements with personnel who will perform the work.

(b) Inspect start-up of work.

(c) Establish standards of workmanship.

(d) Provide training as necessary.

(e) Establish detailed testing schedule based on the production schedule.

(3) Production phase.

(a) Conduct intermittent or continuous inspection during construction to identify and correct

deficiencies.

(b) Inspect completed phases before scheduled Government acceptance.

(c) Provide feedback and system changes to prevent repeated deficiencies.

(c) Description of records. List the records to be maintained.

(d) Personnel qualifications.

 

(1) Document the name, authority, relevant experience, and qualifications of person with overall

responsibility for the inspection system.

(2) Document the names, authority, and relevant experience of all personnel directly responsible

for inspection and testing.

(e) Subcontractors. Include the work of all subcontractors. If a subcontractor is to perform work

under this Section, detail how that subcontractor will interface with the Contractor's and/or other subcontractor's organizations.
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Quality and the processes that deliver quality is a somewhat open ended concept. No matter how much

detail is in the plan, it can always be argued that more could be, or should be included

C. Plan Development 

Unless the contractor already has a documented company QC plan, it may be helpful to discuss

what is required, and how detailed it will be. Generally, discussion of the basic who, what, where,

when and how should comprise three to six pages, with an additional two to four pages of detailed

information for each major category of work. This is not including supplemental materials such as

subcontractor/supplier plans, certifications, test data and personnel résumés. Also, if the QC Plan

contains a lot of repetitions of contract specifications, meaningless platitudes from quality textbooks

and other fluff, its necessary length will be longer.

1. Organizational Structure

One of the first issues a contractor, or any organization must face when designing its QC/QA

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 by the FAR Clause and the FP. 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 ceased? Under what circumstances? What will be the conditions of restarting

production? 

Combined Staff - Quality management experts generally discourage separating quality control

personnel from production personnel. It pits one part of the organization against another. This

built in adversity is seen as both inefficient and requiring additional staff. Ideally quality control

should be achieved by developing an organizational culture which encourages quality - a culture

which is embraced by everyone in the organization. However, for an organization transitioning

from a traditional to a quality management system, superimposing a QC/QA staff on its existing

organization may make sense while that organizational culture is being developed.

2. Process Control Testing

Testing provides a reflection of quality and the process. But only changes to the process can

improve quality. Extensive testing needed to identify defects so that they can be corrected is an

indication of a poor process. Ideally frequencies of QC testing are dependent on characteristics of

the overall process. In a transition environment however, when contractors are not used to designing

comprehensive QC systems, it may be necessary for the agency to provide guide frequencies to

minimize the risk of serious deficiencies undetected until late in the process.

It is easy to become preoccupied with testing when describing the plan. Testing is easily defined and

leaves a clear documentation trail. But the organizational resources that actually will control the

quality of the construction are by far, the most important part of the plan, even though describing

these resources and procedures [the process] in writing is often difficult.

The contract may contain a listing of mandatory contractor testing including sampling points,

frequencies and time limits for delivering results. This testing is intended primarily for the agency’s
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The failure of the contractor to inspect and control any aspect of the construction process, whether or not

it is specifically addressed by the CQCP is a basis of adverse action under the contract, which may include

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.

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 CQCP.

The standard acceptance plan in Section 106.05 of the contract is used for most pavement structure

and structural concrete items. While much of the work is not accepted statistically, the criteria on

which the statistically based plan is structured are consistent with the intended acceptance criteria

of all work. In general these are the criteria:

‚ The plan is based on an acceptable quality level [AQL] of 5 percent defects. That is, if

production is uniform and no more than 1 out of every 20 quality assurance tests fails, the

process can be assumed to be in control and additional process control testing [and other

actions] are not indicated. 

‚ If defects rise to 10 percent [1 out of 10 QA tests fail], that suggests additional process control

testing and other actions may be indicated.

‚ If defects rise to 15 percent or higher [more than 1 out of 6 QA tests fail], that is approximately

equivalent [depending on sample size] to a pay factor of less than 0.90. This indicates serious

process control problems and the Government may require that process to be suspended

while the contractor modifies the process control procedure [including testing] to address the

problem.

In addition to those tests specifically required by the contract, the contractor is required to tabulate

in the CQCP 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.

Note that although process control testing is listed first in Subsection 153.02, it may make more

sense to not complete or finalize this section until after the inspection/control procedures are defined.

3. Inspection/Control Procedures

This is the narrative portion of the CQCP, and is 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 FLH 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 (see below). This does not

include testing schedules, certifications, personnel résumés 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 CQCP does not mean they can be ignored. The

contract itself is the foundation for the outcomes expected from the CQCP. 
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4. 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 in Subsection

153.02, but to avoid confusion with sequential phases described below, they are referred to as

categories here. 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 CQCP. Other typical

categories are as follows.

Pavement Structure

Structures

Masonry

Safety Appurtenances

Seeding and Landscaping

Permanent Traffic Control

Temporary Traffic Control

5. Preliminary, Startup and Production Phases

The FP requires each of the three sequential phases to be addressed separately. So for five

categories of construction, a five by three matrix is generated which constitutes the inspection/control

part of the CQCP. 

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.

6. Who, What, Where, When and How?

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.
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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.

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.

The CQCP should minimize any parroting 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 CQCP must go beyond the contract

requirements and address the contractor’s organizational process for consistently delivering

those requirements.

7. 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.

8. Manufactured Materials -

An important part of the CQCP 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. 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 this project. QC plan coverage for non-commercial items should be a

separate document from the manufacturer, or the manufacture of those items should be
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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.

9. Records and Documentation. 

While good documentation is often a reflection of good quality control, documentation is not the same

thing as quality control. Documentation should be the minimum necessary to concisely document

the adequate function of the process. 

10. Personnel Qualifications

While some contracts may have specific required qualifications for contractor quality control and

testing personnel, the initial judgement as to whether a given person is or is not qualified is generally

left to the contractor. However, during contract administration (see below), the agency may be more

assertive in monitoring the qualifications of these personnel. When the contract has, specific

experience requirements, the contractor should describe how the persons previous training and

experience addresses these requirements.

11. Partial Plans 

It is possible that subcontractors, suppliers and overall responsibilities for some latter phases of the

construction, will have not been arranged at the time the prime is ready to begin on the initial phases.

It is permissible for the contractor to submit, and the agency to accept a partial plan. However, the

work not covered by the plan may not begin until the plan is supplemented to cover that work. 

D. Contractor Evaluation

The performance of all contractors is required to be evaluated in accordance with FAR 36.201.

Although most contractors are evaluated as satisfactory or better it is important to understand the

agencies process for dealing with serious or chronic unsatisfactory performance. Evaluations are

made of five individual elements, plus an overall evaluation:

‚ Quality of Work

‚ Timely Performance

‚ Effectiveness of Management

‚ Compliance With Labor Standards

‚ Compliance With Safety Standards

The first of these five elements, Quality of Work, essentially overlaps the contractor’s inspection

system requirements under FAR Clause 52.246-12, Inspection of Construction. That is, a contractor

which fails to maintain an effective quality control (inspection system), will generally warrant an

unsatisfactory rating in the Quality of Work category. Deficient contractors must be clearly notified

of the deficiencies and provided an opportunity to correct them. 

Evaluations may be shared with other contracting agencies and private entities. FLH Divisions may

participate in the Corps of Engineers’ Construction Contractor Appraisal Support System (CCASS)

which make evaluations available to other participating Federal agencies.

Evaluations may be used in part, for determinations of responsibility prior to award of sealed bid

contracts or in evaluating past performance as a part of source selection for a negotiated contract.

If the prime contractor’s performance would be evaluated as satisfactory, but for the performance

of a major subcontractor, it is permissible to execute a separate evaluation of the subcontractor,

following the same rules as if they were a prime.
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Appendix A

Example Quality Control Plan

(Modified by Central Federal Lands

Highway Division on 1/4/99)

ABC Construction Company

P. O. Box 357

Red River, CA 94781

August 18, 1997

Federal Highway Administration 

P. O. Box 78

Sutterville, CA 94832

Gentlemen:

Re: CA FH 93-1(3), Gold Rush Highway

Quality Control Plan

The following items comprise our Quality Control Plan (QCP) required by Subsection 153.02 of the Contract. 

1. All work will be performed in accordance with the contract requirements. ABC will maintain an inspection system

which assures compliance with the contract requirements. Any indication of system deficiencies whether discovered

as a result of the Government's or ABC's checks and tests, will result in modifications to the system to correct these

deficiencies. 

2. This QCP does not endeavor to repeat or summarize contract requirements. It describes the process which ABC

will use to assure compliance with those requirements. The QCP documents broad categories of contract work in

accordance with Subsection 153.02. Necessary details dealing with minor items that may be overlooked in this plan

will be addressed informally between the Quality Control Technician (QCT) and the Project Engineer (PE), as the work

progresses; and will be documented in writing if so requested by the PE. It is understood that the level of QC

accountability and control exercised by ABC on these items will be consistent with the details of this plan.

3. The Project Superintendent, Mr. Ralph Altway has overall responsibility for the successful completion of the project

work. Mr. Altway has had similar responsibilities on other Federal (Corps of Engineers) and State (CALTRANS)

projects.

4. Mr. Leon Williams will be the QCT for the project. He will report directly to Mr. Altway. Mr. Williams is also a

NICET Level IV Technician and Certified by CALTRANS and Nevada DOT as a QC Technician. He has been employed

in this role by ABC for nearly three years. He will be responsible for overseeing day-to-day construction operations

from a QC standpoint. He will assure that all required tests and documentation are completed, and that the results

are furnished to the Government in the time frame required. Mr. Williams is empowered to suspend any operations

which he deems to be in noncompliance with the contract, and/or order corrective measures to assure compliance.

Mr. Williams will complete the Inspector's Daily Record required by Subsection 153.04.

5. As the number of operations or their dispersion on the project starts to overextend Mr. Williams, QC responsibilities

will specifically be assigned to ABC’s supervisory personnel specifically responsible for given operations; or an

assistant to him will be provided. In either case, standards of application of the QCP will be the same. The names,

experience and qualifications of any personnel assuming QCP responsibilities will be provided to the Government in

advance.

6. ABC has an experienced and highly professional staff that is used to the responsibility entailed by the QC

requirements. We therefore do not anticipate any personnel or training problems in complying with them. If any such

problems occur, ABC will take whatever actions are necessary to correct them including retraining, providing more

supervision or removal of poorly functioning personnel.
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7. Grading

Preparatory Phase -

QCT will go over erosion control requirements with Project Engineer and order silt fence and other

authorized materials at least two weeks before work starts.

QCT will go over clearing limits and slope limits with PE and Grading Foreman.

Startup Phase -

ABC will Install silt fences and temporary culverts as necessary along pioneer road.

QCT will obtain materials samples for T-99 or T 180 proctor tests as soon as cuts are started. Provide

PE with splits of samples. Provide completed proctor worksheets within 48 hours.

Grading Foreman's name will be provided to Government as soon as known.

QCT will go over lift thickness and other contract requirements with Grading Foreman.

Production Phase -

After startup, Grading Foreman will be responsible for continuous monitoring of QC.

QCT will monitor the work and density with a nuclear gauge. These tests will be at the minimum

levels as required by the contract for non-rock material. The QCT will require additional proctors to

be performed when test results indicate the proctor being used may not be correct, or when the

material changes. One-point proctors will be performed as needed to verify the use of the proper

proctor. If appropriate to the material being tested, the proctor will contain a rock correction and/or

a moisture correction. Only moisture corrections supported by laboratory testing will be used when

testing the compacted material with a density gauge. QCT will advise the Grading Foreman of test

results.

Failing tests will be followed by appropriate corrective [reworking/recompaction] efforts, and retesting.

If the rate of initial failing tests exceeds one out of five, the QCT and Grading Foreman will meet and

formally document the corrective actions to the embankment construction process which will be taken

to resolve the problem.

Grading Foreman will order drying operations or more water when compaction tests or appearance

of fills material indicate that moisture is a problem.

Density tests will be documented in tabular form showing date, time, location, offset, depth below

grade and test result. Results will be provided to PE by the next working day.

Each day QCT will plot test results on control charts in the ABC project lab.

8. Drainage

Preparatory Phase -

QCT will obtain survey crews' stakeout notes and review culvert design prior to submittal to PE for

approval. QCT will obtain approved designs and order culvert and end section materials.

Precast inlets and similar items will be obtained from Williams Precast Co. of Susanville. Copies of

their materials data, mix designs and QC plan will be obtained and furnished to PE 30 days prior to

start of work.

Cast-in-place concrete will be furnished under Section 601 and obtained from Sutterville Quality

Concrete (SQC). QCT will obtain documentation from SQC. QCT will go over their procedures with

them before production. 
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QCT will identify a source of backfill material to be used if natural material is too rocky or otherwise

unsuitable. QCT will test the material (proctor) and provide results to PE.

QCT will inspect culvert materials upon arrival and obtain valid materials certifications and submit to

PE.

QCT will go over stakeout notes and contract requirements with pipe crew foreman prior to start of

work. Pipe foreman will be identified to PE prior to start of work.

Startup Phase -

QCT will work nearly continuously with the pipe crew on the first day to verify layout procedures,

bedding preparation and assembly.

QCT will go over proctor data and operation of nuclear gauge with pipe foreman. They will agree on

what passing density readings are for the borrow backfill and other possible backfill materials.

QCT will go over backfill, lift thickness and density monitoring procedures.

For cast-in-place concrete, QCT will be at plant to verify QC procedures at the start of production.

QCT will perform required QC at the site.

Production Phase -

Pipe foreman will be responsible for QC during construction.

The pipe foreman is trained and certified to operate a nuclear density gauge. The pipe foreman will

monitor work and density with a nuclear gauge during backfill operations, and will perform density

testing at the minimum rate required by the contract. QCT will visit each installation on a random

basis to take density tests to verify the pipe foreman’s results. A new proctor will be performed when

test results indicate the proctor being used may not be correct, or when the material changes. Onepoint proctors will be performed as needed to verify the use of the proper proctor. Moisture corrections

will not be used unless supported by laboratory data. Record of density tests will be furnished to the

PE by the following working day.

Failing tests will be followed by appropriate corrective efforts and retesting. If the rate of initial failing

tests exceeds one out of five, the QCT and pipe foreman will meet and formally document the

corrective actions to the embankment construction process which will be taken to resolve the

problem.

For cast-in-place concrete QCT will obtain all required documentation and furnish to PE. QCT will be

at placement site enough to perform required QC tests. QCT will go over QC procedures with

foreman, who will be responsible for QC when the QCT is absent.

9. Subgrade

Preparatory Phase - 

QCT will coordinate with grading foreman and survey crew as to how subgrade will be staked,

controlled and finished.

QCT will go over with grading foreman, any problems with subgrade materials quality - rocky material,

clay or other unsuitable. Such materials will be used in other than subgrade locations.

Startup Phase - 

QCT will coordinate with grading foreman and PE, the acceptable standards and tolerances for

subgrade finishing.
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Production Phase - 

Grading foreman will be responsible for day to day QC.

Grading foreman will advise PE when each segment of subgrade is ready for acceptance.

QCT will take subgrade density tests at required frequency using nuclear gauge. One point proctors

will be run whenever materials change or when there are questions as to the suitability of the proctor

being used.

Test results will be plotted on control charts by QCT and also furnished to the PE by the next working

day.

10. Base Course

Preparatory Phase -

Base course will be obtained from Whippel Mountain Aggregates, Inc. (WMA) 

QCT will obtain suppliers quality tests and samples of material for the PE at least 30 days prior to

base work beginning.

QCT will perform proctor tests on base course. QCT will also perform initial gradation tests on

stockpile just prior to startup.

QCT will review supplier's QC procedures including stockpiling, moisture control, process control

testing, and weighing.

QCT will develop dumping spread sheets for base course foreman.

Startup Phase -

QCT will go over delivery and dumping procedures with base course foreman.

QCT will go over spreading and compaction procedures with base course foreman.

Base course will be pugmill mixed and delivered at optimum moisture and in nonsegregated condition

so that processing on the grade will be minimal.

Production Phase -

WMA will be responsible for plant QC. WMA will perform at least one gradation test per day as long

as at least 80% of tests pass. Frequency will be increased if there are more failing tests. 

Grading foreman will be responsible for receiving, dumping, tabulating tonnages and delivering

receiving reports to PE at the end of each day.

Grading foreman will perform occasional (at least one per day) depth checks to verify spread rates.

QCT will obtain gradation samples at the required frequency. Samples will be split, with the splits

delivered to the PE.

11. Asphalt Items

Preparatory Phase -

All asphalt items will be furnished by Allied Paving (AP) of Sutterville. Materials will be hauled to the

site by ABC's hauling sub, and paving or installation of materials will be by ABC.
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AP has a lab certified by Caltrans at the plant. Lab supervisor is William Brown, Certified Asphalt

Technician in California.

QCT will obtain required mix design submittals and samples from AP and deliver to PE at least 30

days before work is scheduled to start. AP's QC/Mix Design technician is Allen Rockford who has

15 years in this position and is a certified asphalt technician in California and Nevada. Mr. Rockford

will be the contact for any technical discussions during the mix approval process.

With the mix designs, AP will furnish a separate QC plan dealing with their plant operations,

personnel, etc.

Startup Phase -

QCT will review all specification requirements with paving foreman prior to start of work.

QCT will be in charge of production start up procedures. Documentation and tests will be at his

directions and submitted to the PE. Full production will start when approved by PE.

Production Phase -

Paving foreman will be responsible for QC on a daily basis. QCT will conduct periodic inspections.

QCT or designee will obtain mix sample and cores. Splits will be provided to PE for acceptance.

Contractor samples will be delivered to AP's plant lab for testing. Results will be provided through the

QCT by the following day. We will attempt to set up a system to provide results by FAX.

AP will obtain AC samples at the plant and deliver (through QCT) to PE for testing.

Test results will be plotted on control charts in ABC's onsite lab. QCT will run QL Pay at the end of

each day, or the beginning of the next. Quality problems evident either from inspections or test

results will be dealt with under the direction of the QCT. Work will be suspended if problems cannot

be resolved expeditiously.

12. Structural Concrete

Preparatory Phase -

Wahoo Readymix in Martin, CA will provide PC concrete under Section 552 for the box culverts.

Wahoo’s plant is certified by CalTrans as is their Quality Supervisor, Mr. Larry Ryland. Mr. Ryland

will provide documentation [through ABC’s QCT]of proposed mix design (previously approved by

CalTrans) and all materials 30 days or more prior to first delivery. Wahoo will also be responsible for

all plant QC and inspection of trucks.

QCT will be responsible for onsite QC operations other than the concrete mix itself, e.g. resteel,

forming, concrete placement, finishing, etc. Resteel will be inspected upon delivery for proper

certification, dimensions, storage, etc. QCT will be responsible for stakeout and foundation

preparation prior to forming.

Startup Phase -

QCT will coordinate with Wahoo to schedule delivery operations. Wahoo will send one or more

certified concrete technicians to each concreting operations. Technicians will be responsible for any

final mix adjustments, delivery ticket validation, screening (air, slump, temperature) and acceptance

testing as required by FHWA inspector. Cylinders will be cured onsite at ABC’s lab, and taken to

Wahoo’s lab for breaking. QCT will advise FHWA of scheduled breaks and provide opportunity for

witnessing.

QCT will inspect forming and resteel operations from their inception and work with crews to assure

acceptable tolerances and other compliance. QCT will inspect placement operations including

vibrating and finishing. QCT will inspect curing operations and work with ABC crews to resolve any
14

problems. All required documentation will be completed by QCT and delivered to FHWA by the day

following each placement operation.

Production Phase - 

Wahoo will continue to provide onsite QC for each concrete delivery.

Once resteel and forming crews are lined out, QCT will make spot checks of their operations, plus

a final inspections two hours or so prior to each placement. QCT will inspect curing QCT will inspect

all surfaces upon stripping and go over any necessary repairs and finishing operations.

13. Miscellaneous Items

This covers items, mostly involving installation of manufactured items such as guardrail, delineators, fencing, etc.

Preparatory Phase - 

QCT will verify all certification requirements, inspect material upon delivery and submit certifications

and other documentation to PE.

QCT will work with survey crew and PE to verify exact stakeout requirements and resolve any potential

stakeout problems.

Startup Phase -

QCT will go over the specification requirement and stakeout data with the foreman in charge of

installation.

QCT will normally be present when any operation begins to resolve problems and verify specification

compliance.

Production Phase -

Foreman will normally be responsible for QC during production. QCT will make spot checks

approximately once a day or more frequently if there are problems.

QCT will perform tests required by the contract and furnish results to PE. QCT will advise PE when

segments of the work are ready for acceptance.

The overall goal of ABC Construction Company’s quality control program is to conduct consistent and effective

processes such that work performed naturally conforms to the contract requirements. Testing and inspection will be

performed and documented for the purpose of evaluating the effectiveness of our work processes, identifying and

correcting non-conforming work, and ensuring the quality of the work is not compromised.

Please advise me if there are any additions or supplements you would like us to make to this QCP. If there are

changes to any items (personnel, suppliers, etc.) we will attempt to provide the PE notice in advance of their impact

on the work.

We need concurrence to proceed with at least the clearing and grading portion of the work by June 1 in order to stay

on our schedule.

Sincerely yours,

Ralph Altway

Ralph Altway

Superintendent
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Appendix B

Example - Good, Fair and Poor QC Plan Elements

Good, Fair and Poor Elements of QC Plans

Guardrail, Preliminary

Poor Fair Good

All guardrail materials

will be checked for

contract compliance

before use. All employees

are empowered to inspect

and reject materials not

complying with the

contract.

All guardrail materials will

be checked by the QCT for

contract compliance before

use. Materials not in

compliance will be isolated

and rejected. Survey crew

will layout guardrail in

accordance with the plans

before construction.

Upon delivery of guardrail, posts, &

hardware QCT will check for proper

identification, certification and

damage during shipment. Before

scheduled construction, components

will be reinventoried, checked and

compared to layout requirements. 

QCT will review layout procedures

with the Engineer. Will coordinate

with survey crew on stakeout. Will

check each stakeout for possible

transition problems. Will notify

Engineer of opportunity to check. 

Guardrail, Startup

Poor Fair Good

QCT will inspect

guardrail crew’s

operations during

startup. Any

deficiencies will be

brought to the attention

of the foreman.

 QCT will continuously work

with stakeout crew and

installation crew when

operations begin, to assure a

common understanding of

contract requirements and

standards/tolerances etc. 

Prior to scheduled beginning of

installation, QCT will verify that

stakeout has been accomplished in

accordance with requirements. QCT

will go over with foreman, a

checklist of required quality

characteristics. Foreman will be

responsible for routine quality

monitoring after startup.

Guardrail, Production

Poor Fair Good

The QCT will periodically

check on operations

during construction to

assure contract

compliance.

The QCT will inspect

installation operations

everyday to verify

specification compliance and

document completion of each

installation.

The QCT will inspect installation

operations at least twice a day,

verifying compliance with stakeout,

as well as rail height, post

plumbness, etc. The QCT [or the

Foreman if QCT is not available]

will document completed work and

cleanup and advise the PE of such

completed work for acceptance. 

Additional inspection/training will

be provided if installation crew

personnel changes or deficiencies

are noted.