USACE / NAVFAC / AFCESA /NASA CELRC-01 45 00.00 03 (February 2010) DEPARTMENT OF THE ARMY -------------------------------- US ARMY CORPS OF ENGINEERS Superseding CHICAGO DISTRICT UFGS-01 45 01 (January 2008) GUIDE SPECIFICATION Preparing Activity: USACE UNIFIED FACILITIES GUIDE SPECIFICATIONS References are in agreement with UMRL dated April 2012 SECTION 01 45 00.00 QUALITY CONTROL 12/14 NOTE: This guide specification covers requirements for Contractor Quality Control for construction projects or design-build construction projects. Adhere to UFC 1-300-02 Unified Facilities Guide Specifications (UFGS) Format Standard when editing this guide specification or preparing new project specification sections. Edit this guide specification for project specific requirements by adding, deleting, or revising text. For bracketed items, choose applicable items(s) or insert appropriate information. Remove information and requirements not required in respective project, whether or not brackets are present. Comments, suggestions and recommended changes for this guide specification are welcome and should be submitted as a Criteria Change Request (CCR). PART 1 GENERAL 1.1 REFERENCES NOTE: This paragraph is used to list the publications cited in the text of the guide specification. The publications are referred to in the text by basic designation only and listed in this paragraph by organization, designation, date, and title. Use the Reference Wizard's Check Reference feature when you add a RID outside of the Section's Reference Article to automatically place the reference in the Reference Article. Also use the Reference Wizard's Check Reference feature to update the issue dates. References not used in the text will automatically be deleted from this section of the project specification when you choose to reconcile references in the publish print process. The publications listed below form a part of this specification to the extent referenced. The publications are referred to within the text by the basic designation only. ASTM INTERNATIONAL (ASTM) ASTM D3740(2012a) Minimum Requirements for Agencies Engaged in the Testing and/or Inspection of Soil and Rock as Used in Engineering Design and Construction ASTM E329(2014a) Standard Specification for Agencies Engaged in the Testing and/or Inspection of Materials Used in Construction U.S. ARMY CORPS OF ENGINEERS (USACE) EM 385-1-1(2008; Errata 1-2010; Changes 1-3 2010; Changes 4-6 2011; Change 7 2012) Safety and Health Requirements Manual 1.2 PAYMENT Separate payment will not be made for providing and maintaining an effective Quality Control program, and all associated costs will be included in the applicable Bid Schedule unit or lump-sum prices. 1.3 SUBMITTALS NOTE: Review submittal description (SD) definitions in Section 01 33 00 SUBMITTAL PROCEDURES and edit the following list to reflect only the submittals required for the project. Submittals should be kept to the minimum required for adequate quality control. A “G” following a submittal item indicates that the submittal requires Government approval. Some submittals are already marked with a “G”. Only delete an existing “G” if the submittal item is not complex and can be reviewed through the Contractor’s Quality Control system. Only add a “G” if the submittal is sufficiently important or complex in context of the project. For submittals requiring Government approval on Army projects, a code of up to three characters within the submittal tags may be used following the "G" designation to indicate the approving authority. Codes for Army projects using the Resident Management System (RMS) are: "AE" for Architect-Engineer; "DO" for District Office (Engineering Division or other organization in the District Office); "AO" for Area Office; "RO" for Resident Office; and "PO" for Project Office. Codes following the "G" typically are not used for Navy, Air Force, and NASA projects. Government approval is required for submittals with a "G" designation; submittals not having a "G" designation are for information only. When used, a designation following the "G" designation identifies the office that will review the submittal for the Government. The following must be submitted in accordance with Section 01 33 00 SUBMITTAL PROCEDURES: _{SD-01 Preconstruction Submittals Quality Control Plan}; _G,C[] PART 2 PRODUCTS (Not Applicable) PART 3 EXECUTION 3.1 GENERAL REQUIREMENTS Establish and maintain an effective quality control (QC) system in compliance with the Contract Clause titled "Inspection of Construction." QC consist of plans, procedures, and organization necessary to produce an end product which complies with the contract requirements. Cover all construction operations, both onsite and offsite, and be keyed to the proposed construction sequence. The project superintendent will be held responsible for the quality of work and is subject to removal by the Contracting Officer for non-compliance with the quality requirements specified in the contract. In this context the highest level manager responsible for the overall construction activities at the site, including quality and production is the project superintendent. The project superintendent must maintain a physical presence at the site at all times and is responsible for all construction and related activities at the site, except as otherwise acceptable to the Contracting Officer. 3.2 _{QUALITY CONTROL PLAN} Submit no later than 15 days after receipt of notice to proceed, the Contractor Quality Control (CQC) Plan proposed to implement the requirements of the Contract Clause titled "Inspection of Construction." The Government will consider an interim plan for the first 15 days of operation. will be permitted to begin only after acceptance of the CQC Plan or acceptance of an interim plan applicable to the particular feature of work to be started. Work outside of the accepted interim plan will not be permitted to begin until acceptance of a CQC Plan or another interim plan containing the additional work. 3.2.1 Content of the CQC Plan Include, as a minimum, the following to cover all construction operations, both onsite and offsite, including work by subContractors, fabricators, suppliers, and purchasing agents: a. A description of the quality control organization, including a chart showing lines of authority and acknowledgment that the CQC staff must implement the three phase control system for all aspects of the work specified. The staff must include a CQC System Manager who must report to the project superintendent. b. The name, qualifications (in resume format), duties, responsibilities, and authorities of each person assigned a CQC function. c. A copy of the letter to the CQC System Manager signed by an authorized official of the firm which describes the responsibilities and delegates sufficient authorities to adequately perform the functions of the CQC System Manager, including authority to stop work which is not in compliance with the contract. The CQC System Manager must issue letters of direction to all other various quality control representatives outlining duties, authorities, and responsibilities. Copies of these letters must also be furnished to the Government. d. Procedures for scheduling, reviewing, certifying, and managing submittals, including those of subContractors, offsite fabricators, suppliers, and purchasing agents. These procedures must be in accordance with Section 01 33 00 SUBMITTAL PROCEDURES. e. Control, verification, and acceptance testing procedures for each specific test to include the test name, specification paragraph requiring test, feature of work to be tested, test frequency, and person responsible for each test. (Laboratory facilities approved by the Contracting Officer must be used.) f. Procedures for tracking preparatory, initial, and follow-up control phases and control, verification, and acceptance tests including documentation. g. Procedures for tracking construction deficiencies from identification through acceptable corrective action. These procedures must establish verification that identified deficiencies have been corrected. h. Reporting procedures, including proposed reporting formats. i. A list of the definable features of work. A definable feature of work is a task which is separate and distinct from other tasks, has separate control requirements, and may be identified by different trades or disciplines, or it may be work by the same trade in a different environment. Although each section of the specifications may generally be considered as a definable feature of work, there are frequently more than one definable features under a particular section. This list will be agreed upon during the coordination meeting. 3.2.2 Acceptance of Plan Acceptance of the Contractor's plan is required prior to the start of construction. Acceptance is conditional and will be predicated on satisfactory performance during the construction. The Government reserves the right to require the Contractor to make changes in his CQC Plan and operations including removal of personnel, as necessary, to obtain the quality specified. 3.2.3 Notification of Changes After acceptance of the CQC Plan, notify the Contracting Officer in writing of any proposed change. Proposed changes are subject to acceptance by the Contracting Officer. 3.3 COORDINATION MEETING After the Preconstruction Conference, before start of construction, and prior to acceptance by the Government of the CQC Plan, meet with the Contracting Officer or Authorized Representative and discuss the Contractor's quality control system. The CQC Plan must be submitted for review a minimum of 14 calendar days prior to the Coordination Meeting. During the meeting, a mutual understanding of the system details must be developed, including the forms for recording the CQC operations, control activities, testing, administration of the system for both onsite and offsite work, and the interrelationship of Contractor's Management and control with the Government's Quality Assurance. Minutes of the meeting will be prepared by the Government and signed by both the Contractor and the Contracting Officer. The minutes will become a part of the contract file. There may be occasions when subsequent conferences will be called by either party to reconfirm mutual understandings and/or address deficiencies in the CQC system or procedures which may require corrective action by the Contractor. 3.4 QUALITY CONTROL ORGANIZATION 3.4.1 Personnel Requirements The requirements for the CQC organization are a CQC System Manager and sufficient number of additional qualified personnel to ensure safety and contract compliance. The Safety and Health Manager shall receive direction and authority from the CQC System Manager and shall serve as a member of the CQC staff. Personnel identified in the technical provisions as requiring specialized skills to assure the required work is being performed properly will also be included as part of the CQC organization. The Contractor's CQC staff must maintain a presence at the site at all times during progress of the work and have complete authority and responsibility to take any action necessary to ensure contract compliance. The CQC staff must be subject to acceptance by the Contracting Officer. The Contractor must provide adequate office space, filing systems and other resources as necessary to maintain an effective and fully functional CQC organization. Complete records of all letters, material submittals, shop drawing submittals, schedules and all other project documentation must be promptly furnished to the CQC organization by the Contractor. The CQC organization must be responsible to maintain these documents and records at the site at all times, except as otherwise acceptable to the Contracting Officer. 3.4.2 CQC System Manager NOTE: The designer should insert desired requirements, evaluate the project to determine the level of CQC System Manager required, and select options accordingly. Identify as CQC System Manager an individual within the onsite work organization who is responsible for overall management of CQC and have the authority to act in all CQC matters for the Contractor. The CQC System Manager must be [a graduate engineer, graduate architect, or a graduate of construction management, with a minimum of [_____] years construction experience on construction similar to this contract.] [a construction person with a minimum of [_____] years in related work.] This CQC System Manager must be on the site at all times during construction and be employed by the prime Contractor. The CQC System Manager must be [assigned no other duties] [assigned as System Manager but may have duties as project superintendent in addition to quality control]. Identify in the plan an alternate to serve in the event of the CQC System Manager's absence. The requirements for the alternate are the same as the CQC System Manager. [3.4.3 CQC Personnel NOTE: Insert desired requirements if the complexity, or size of the project warrants specialized individuals in specific disciplines to perform quality control. TAB personnel must be specified when the contract specifications contain Section 23 05 93 TESTING, ADJUSTING, AND BALANCING OF HVAC SYSTEMS. Select options accordingly. In addition to CQC personnel specified elsewhere in the contract, provide as part of the CQC organization specialized personnel to assist the CQC System Manager for the following areas: [electrical,] [mechanical,] [civil,] [structural,] [environmental,] [architectural,] [materials technician,] [submittals clerk,] [occupied family housing coordinator]. These individuals [must be directly employed by the prime Contractor and may not be employed by a supplier or subcontractor on this project] [may be employees of the prime or subcontractor]; be responsible to the CQC System Manager; be physically present at the construction site during work on their areas of responsibility; have the necessary education and/or experience in accordance with the experience matrix listed herein. These individuals [must have no other duties other than quality control] [may perform other duties but must be allowed sufficient time to perform their assigned quality control duties as described in the Quality Control Plan]. [A single person may cover more than one area provided that they are qualified to perform QC activities in each designated and that workload allows.] Experience Matrix Area Qualifications Civil Graduate Civil Engineer or Construction Manager with 2 years experience in the type of work being performed on this project or technician with 5 yrs related experience [Civil Construction to QC earth work operations] [Graduate Engineer with 3 yrs experience] Mechanical Graduate Mechanical Engineer with 2 yrs experience or person 5 years of experience supervising mechanical features of work in the field with a construction company Electrical Graduate Electrical Engineer with 2 yrs related experience or person 5 years of experience supervising electrical features of work in the field with a construction company Structural Graduate Civil Engineer (with Structural Track or Focus) or Construction Manager with 2 yrs experience or person 5 years of experience supervising structural features of work in the field with a construction company Architectural Graduate Architect with 2 yrs experience or person with 5 yrs related experience Environmental Graduate Environmental Engineer with 3 yrs experience Submittals Submittal Clerk with 1 yr experience Occupied Family Housing Person, customer relations type, coordinator experience Concrete, Pavements and Soils Materials Technician with 2 yrs experience for the appropriate area Testing, Adjusting and Balancing (TAB) Personnel Specialist must be a member of AABC or an experienced technician of the firm certified by the NEBB [Ecologist/Botanist to QC native planting operations and removal and control of non native and invasive plant species] [Graduate Botanist with 2 yrs experience or person with 5 yrs related experience] ][3.4.4 Underwater QC Team NOTE: This paragraph to be used only when the inspection of underwater work is required. Provide Underwater QC (UWQC) Team at the work site to perform underwater surveillance and inspection for the Contractor. The UWQC Team divers must have current commercial diver's license, with a minimum of five (5) years experience with underwater inspection. The personnel make up of the UWQC team must comply with EM 385-1-1, OSHA and local requirements for Contract diving operations. Comply with all the applicable safety requirements of EM 385-1-1, OSHA and local requirements for Contract diving operations. The UWQC lead diver must be thoroughly familiar with the design plans and specifications to sufficiently understand the engineering aspects of the underwater construction and to be able to recognize and document potential problem areas such as improperly constructed or defective areas. Provide all necessary equipment to conduct surveillance and inspection services, including diver's equipment, dive boat, communication equipment, and photographic/video equipment. Diver(s) must be equipped to maintain two-way communication with QC personnel during diving operations. Prepare and submit a report including photographs and/or videos with the QC report after each dive. Frequency of underwater surveillance and inspection will be [_____] during installation and including final inspection. The UWQC Team must be an independent third party hired directly by the Prime Contractor, and must have no involvement with the design, preparation of Contract, or installation of work. ]3.4.5 Construction Quality Management for Contractors If the contract award is in excess of one million dollars ($1,000,000.00), the CQC system manager is required to have a current certificate of completion for the Corps of Engineers course, "Construction Quality Management for Contractors" or obtain the training within 60 days of the contract "Notice to Proceed". The training requires approximately 16 hours to complete. This course will be offered at the U.S. Army Corps of Engineers, Chicago District Office, 231 S. LaSalle St, Suite 1500, Chicago, Illinois. It is the Contractor's responsibility to arrange a time with the Construction section for the training. Point of contact for arranging this training is Kent SmithDoris Hooper at 312-846-54973. 3.4.6 Organizational Changes Maintain the CQC staff at full strength at all times. When it is necessary to make changes to the CQC staff, revise the CQC Plan to reflect the changes and submit the changes to the Contracting Officer for acceptance. 3.5 SUBMITTALS AND DELIVERABLES Submittals, if needed, must be made as specified in Section 01 33 00 SUBMITTAL PROCEDURES. The CQC organization must be responsible for certifying that all submittals and deliverables are in compliance with the contract requirements. 3.6 CONTROL Contractor Quality Control is the means by which the Contractor ensures that the construction, to include that of subContractors and suppliers, complies with the requirements of the contract. At least three phases of control must be conducted by the CQC System Manager for each definable feature of the construction work as follows: 3.6.1 Preparatory Phase This phase must be performed prior to beginning work on each definable feature of work, after all required plans/documents/materials are approved/accepted, and after copies are at the work site. This phase must include: a. A Review each paragraph of applicable specifications, reference codes, and standards. A copy of those sections of referenced codes and standards applicable to that portion of the work to be accomplished in the field must be made available by the Contractor at the preparatory inspection. These copies must be maintained in the field and available for use by Government personnel until final acceptance of the work. b. Review of the contract drawings. c. Check to assure that all materials and/or equipment have been tested, submitted, and approved. d. Review provisions that have been made to provide required control inspection and testing. e. Examination of the work area to assure that all required preliminary work has been completed and is in compliance with the contract. f. Physical examination of required materials, equipment, and sample work to assure that they are on hand, conform to approved shop drawings or submitted data, and are properly stored. g. Review the appropriate activity hazard analysis to assure safety requirements are met. h. Discussion of procedures for controlling quality of the work including repetitive deficiencies. Document construction tolerances and workmanship standards for that feature of work. i. Check to ensure that the portion of the plan for the work to be performed has been accepted by the Contracting Officer. j. Discussion of the initial control phase. k. The Government must be notified at least 48 hours in advance of beginning the preparatory control phase. This phase must include a meeting conducted by the CQC System Manager and attended by the superintendent, other CQC personnel (as applicable), and the foreman responsible for the definable feature. The results of the preparatory phase actions must be documented by separate minutes prepared by the CQC System Manager and attached to the daily CQC report. The Contractor must instruct applicable workers as to the acceptable level of workmanship required in order to meet contract specifications. 3.6.2 Initial Phase This phase must be accomplished at the beginning of a definable feature of work. The following must be accomplished: a. Check work to ensure that it is in full compliance with contract requirements. Review minutes of the preparatory meeting. b. Verify adequacy of controls to ensure full contract compliance. Verify required control inspection and testing. c. Establish level of workmanship and verify that it meets minimum acceptable workmanship standards. Compare with required sample panels as appropriate. d. Resolve all differences. e. Check safety to include compliance with and upgrading of the safety plan and activity hazard analysis. Review the activity analysis with each worker. f. The Government must be notified at least twenty-four (24) hours in advance of beginning the initial phase. Prepare separate minutes of this phase by the CQC System Manager and attach to the daily CQC report. Indicate the exact location of initial phase for future reference and comparison with follow-up phases. g. The initial phase should be repeated for each new crew to work onsite, or any time acceptable specified quality standards are not being met. 3.6.3 Follow-up Phase Perform daily checks to assure control activities, including control testing, are providing continued compliance with contract requirements, until completion of the particular feature of work. Record the checks in the CQC documentation. Conduct final follow-up checks and correct all deficiencies prior to the start of additional features of work which may be affected by the deficient work. Do not build upon nor conceal non-conforming work. 3.6.4 Additional Preparatory and Initial Phases Conduct additional preparatory and initial phases on the same definable features of work if: the quality of on-going work is unacceptable; if there are changes in the applicable CQC staff, onsite production supervision or work crew; if work on a definable feature is resumed after a substantial period of inactivity; or if other problems develop. 3.7 TESTS 3.7.1 Testing Procedure Perform specified or required tests to verify that control measures are adequate to provide a product which conforms to contract requirements. Upon request, furnish to the Government duplicate samples of test specimens for possible testing by the Government. Testing includes operation and/or acceptance tests when specified. Procure the services of a Corps of Engineers approved testing laboratory or establish an approved testing laboratory at the project site. Perform the following activities and record and provide the following data: a. Verify that testing procedures comply with contract requirements. b. Verify that facilities and testing equipment are available and comply with testing standards. c. Check test instrument calibration data against certified standards. d. Verify that recording forms and test identification control number system, including all of the test documentation requirements, have been prepared. e. Record results of all tests taken, both passing and failing on the CQC report for the date taken. Specification paragraph reference, location where tests were taken, and the sequential control number identifying the test. If approved by the Contracting Officer, actual test reports may be submitted later with a reference to the test number and date taken. Provide an information copy of tests performed by an offsite or commercial test facility directly to the Contracting Officer. Failure to submit timely test reports as stated may result in nonpayment for related work performed and disapproval of the test facility for this contract. 3.7.2 Testing Laboratories 3.7.2.1 Capability Check The Government reserves the right to check laboratory equipment in the proposed laboratory for compliance with the standards set forth in the contract specifications and to check the laboratory technician's testing procedures and techniques. Laboratories utilized for testing soils, concrete, asphalt, and steel must meet criteria detailed in ASTM D3740 and ASTM E329. 3.7.2.2 Capability Recheck If the selected laboratory fails the capability check, the Contractor will be assessed a charge of $2,500 to reimburse the Government for each succeeding recheck of the laboratory or the checking of a subsequently selected laboratory. Such costs will be deducted from the contract amount due the Contractor. 3.7.3 Onsite Laboratory The Government reserves the right to utilize the Contractor's control testing laboratory and equipment to make assurance tests, and to check the Contractor's testing procedures, techniques, and test results at no additional cost to the Government. 3.7.4 Furnishing or Transportation of Samples for Testing NOTE: Insert appropriate addresses. Costs incidental to the transportation of samples or materials must be borne by the Contractor. Samples of materials for test verification and acceptance testing by the Government must be delivered to the Contracting Officer, unless otherwise specified or directed. 3.8 COMPLETION INSPECTION 3.8.1 Punch-Out Inspection Conduct an inspection of the work by the CQC Manager near the end of the work, or any increment of the work established by a time stated in the SPECIAL CONTRACT REQUIREMENTS Clause, "Commencement, Prosecution, and Completion of Work", or by the specifications. Prepare and include in the CQC documentation a punch list of items which do not conform to the approved drawings and specifications, as required by paragraph DOCUMENTATION. Include within the list of deficiencies the estimated date by which the deficiencies will be corrected. Make a second inspection the CQC System Manager or staff to ascertain that all deficiencies have been corrected. Once this is accomplished, notify the Government that the facility is ready for the Government Pre-Final inspection.. 3.8.2 Pre-Final Inspection The Government will perform the pre-final inspection to verify that the facility is complete and ready to be occupied. A Government Pre-Final Punch List may be developed as a result of this inspection. The Contractor's CQC System Manager must ensure that all items on this list have been corrected before notifying the Government, so that a Final inspection with the customer can be scheduled. Any items noted on the Pre-Final inspection must be corrected in a timely manner. These inspections and any deficiency corrections required by this paragraph must be accomplished within the time slated for completion of the entire work or any particular increment of the work if the project is divided into increments by separate completion dates. 3.8.3 Final Acceptance Inspection The Contractor's Quality Control Inspection personnel, plus the superintendent or other primary management person, and the Contracting Officer's Representative must be in attendance at the final acceptance inspection. Additional Government personnel including, but not limited to, those from Base/Post Civil Facility Engineer user groups, and major commands may also be in attendance. The final acceptance inspection will be formally scheduled by the Contracting Officer based upon results of the Pre-Final inspection. Notice must be given to the Contracting Officer at least 14 days prior to the final acceptance inspection and must include the Contractor's assurance that all specific items previously identified to the Contractor as being unacceptable, along with all remaining work performed under the contract, will be complete and acceptable by the date scheduled for the final acceptance inspection. Failure of the Contractor to have all contract work acceptably complete for this inspection will be cause for the Contracting Officer to bill the Contractor for the Government's additional inspection cost in accordance with the contract clause titled "Inspection of Construction". 3.9 DOCUMENTATION Maintain current records providing factual evidence that required quality control activities and/or tests have been performed. Include in these records the work of subcontractors and suppliers on an acceptable form that includes, as a minimum, the following information: a. Contractor/subcontractor and their area of responsibility. b. Operating plant/equipment with hours worked, idle, or down for repair. c. Work performed each day, giving location, description, and by whom. When Network Analysis (NAS) is used, identify each phase of work performed each day by NAS activity number. d. Test and/or control activities performed with results and references to specifications/drawings requirements. The control phase must be identified (Preparatory, Initial, Follow-up). List of deficiencies noted, along with corrective action. e. Quantity of materials received at the site with statement as to acceptability, storage, and reference to specifications/drawings requirements. f. Submittals and deliverables reviewed, with contract reference, by whom, and action taken. g. Offsite surveillance activities, including actions taken. h. Job safety evaluations stating what was checked, results, and instructions or corrective actions. i. Instructions given/received and conflicts in plans and/or specifications. j. Contractor's verification statement. Indicate a description of trades working on the project; the number of personnel working; weather conditions encountered; and any delays encountered. Cover both conforming and deficient features and include a statement that equipment and materials incorporated in the work and workmanship comply with the contract. Furnish the original and one copy of these records in report form to the Government daily within 12 hours after the date covered by the report, except that reports need not be submitted for days on which no work is performed. As a minimum, prepare and submit one report for every 7 days of no work and on the last day of a no work period. All calendar days must be accounted for throughout the life of the contract. The first report following a day of no work will be for that day only. Reports must be signed and dated by the CQC System Manager. Include copies of test reports and copies of reports prepared by all subordinate quality control personnel within the CQC System Manager Report. 3.10 FORMS NOTE: List enclosed forms. Sample forms are not a part of this guide specification and should be provided by the specifier. The web-based Quality Control System (QCS) will generate the CQC Daily Report and other forms needed to track and manage the project. [The use of QCS is not mandatory, the method and choice of Quality Control will be agreed upon by the COR and Contractor during the pre-construction conference, mutual understanding meeting or similar meeting.] 3.11 NOTIFICATION OF NONCOMPLIANCE The Contracting Officer will notify the Contractor of any detected noncompliance with the foregoing requirements. Take immediate corrective action after receipt of such notice. Such notice, when delivered to the Contractor at the work site, will be deemed sufficient for the purpose of notification. If the Contractor fails or refuses to comply promptly, the Contracting Officer may issue an order stopping all or part of the work until satisfactory corrective action has been taken. No part of the time lost due to such stop orders will be made the subject of claim for extension of time or for excess costs or damages by the Contractor.