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Construction Program Management and Inspection Guide

Appendix B (Part 3)

A Model Quality Control Plan

Overview

The model quality control (QC) plan that follows is intended to serve as a generic tool to assist contractors in preparing complete and useful QC plans. Developed by the New England Transportation Technician Certification Program (NETTCP), the model plan follows a recommended standard format that includes 10 separate sections plus appendices. Each section addresses a major QC Plan item, as follows:

  • Terms and Definitions (optional)
  • 1.0 Applicable Specifications
  • 2.0 Quality Control Organization
  • 3.0 Quality Control Laboratories
  • 4.0 Materials Control
  • 5.0 Quality Control Sampling and Testing
  • 6.0 Production Facility Management
  • 7.0 Field Management
  • 8.0 Acceptance of Work (optional)
  • 9.0 Other Relevant Contractor QC Plans
  • Appendices

The Model QC Plan is an example of a completed Earthwork QC Plan for a fictitious major transportation construction project. QC Plans for other materials (e.g., HMA, PCC, etc.) can be developed following the same standard format (section and subsection headings) provided in the Model Plan. It is recommended that transportation agencies adopt the format (section and subsection headings) provided in the NETTCP Model QC Plan as a standard for contractors to follow.

The level of detailed information in any QC Plan will obviously change depending upon the size and complexity of the individual construction project. The Plan is designed as a template and guide. As a minimum, all text that is shaded grey throughout the Model QC Plan will require replacement or deletion to address the specific quality control information related to a given project.

Note

Every QC plan should include examples of forms and reports that the contractor will use to document and report the results of QC monitoring to the transportation agency. These sample documents can appear as appendices to the QC plan. The samples included will differ from plan to plan depending on the type of project. For example, in the fictitious model presented here for Earthworks, several sample documents are named as appendices to the plan:

  • Project Drawings List
  • Material Source Characterization Sampling and Testing Forms
  • Standard Test Report Forms
  • Weekly Schedule of Production Operations
  • Standard Inspection Report Forms for Production Quality Control
  • Weekly Schedule of Materials Placement Operations
  • Control Charts Used for Materials Placement
  • Standard Inspection Report Forms for Field Quality Control

Each QC plan should include samples of forms and reports that are appropriate to the project type.


State Route 99 Construction Project
Anytown, USA
Transportation Agency Contract #54321

ABC Contractors, Inc.

NETTCP
Model QC Plan

Construction Quality Control Plan

Section 1 - Earthwork

October 28, 2003 Draft

Submitted By:    
  ABC Contractors Date
Approved By:    
  Transportation Agency Date

Section 1 - Earthwork

This Quality Control Plan (QC Plan) identifies the specific resources and procedures which will be utilized by ABC Contractors to control the quality of all Earthwork materials and ensure that all associated Work is completed in accordance with Project Specifications.

Terms and Definitions

The following terms and definitions are applicable to this QC Plan:

  • Contractor Information Testing (CIT) - Testing that is performed at the discretion of the QC Inspector (non-random) for information to guide Production or Field Placement of material.
  • Control Strip - An area of Earthwork placed at the beginning of each new Earthwork operation which is used to establish the rolling pattern and compactive effort required to achieve the In-Place Target Density at Optimum Moisture Content.
  • Control Strip Section - One of 3 approximately equal parts of a Control Strip which are sequentially placed and tested for In-Place Density and Moisture Content.
  • Crushed Stone - Processed Earthwork material used for "Embankment Under Bridge Foundations" which meets the materials specification requirements contained in Subsection M2.01.0.
  • Earth Excavate - Earthwork material, obtained from On-Site excavation (cut) activity, which is used for "Roadway Embankment Material", and which meets the materials specification requirements contained in Section M1.01.0 (Ordinary Borrow) and contains up to 50% boulders or rock fragments with a maximum size of 600 millimeters largest dimension.
  • Field Quality Control (FQC) - All sampling, testing, and inspection activity performed to control the quality of Field Placement operations.
  • Gravel Borrow - Earthwork material, obtained either from On-Site excavation (cut) activity or from Off-Site Borrow Producers, which is used for "Roadway Embankment Material", "Embankment Under Bridge Foundations", or "Backfill Material for Structures and Pipes", and which meets the materials specification requirements contained in Subsection M1.03.0.
  • Ordinary Borrow - Earthwork material, obtained either from On-Site excavation (cut) activity or from Off-Site Borrow Producers, which is used for "Roadway Embankment Material", and which meets the materials specification requirements contained in Subsection M1.01.0.
  • Producer - A Subcontractor who supplies either "project produced" materials or "commercially manufactured" materials for incorporation into the Work.
  • Production Quality Control (PQC) - All sampling, testing, and inspection activity performed by ABC Contractors or their Producers to control the quality of material produced at the Production facility.
  • Rock Excavate - Earthwork material, obtained from On-Site excavation (cut) activity, which is used for "Backfill Material for Muck Excavation" or "Roadway Embankment Material", and which is comprised of boulders or rock fragments with a maximum size of 1 meter largest dimension.
  • Source Characterization (SC) - Sampling and testing performed to determine the specific "Earthwork Material Type" which an individual material source location (On-Site or Off-Site) contains.
  • Source Quadrant - An area of defined boundaries at an individual Earthwork material source location (On-Site or Off-Site) which has been evaluated by Source Characterization sampling and testing.
  • Special Borrow - Earthwork material, obtained either from On-Site excavation (cut) activity or from Off-Site Borrow Producers, which is used for "Backfill Material for Muck Excavation" or "Roadway Embankment Material", and which meets the materials specification requirements contained in Subsection M1.02.0.
1.0 Applicable Specifications

The relevant specifications for all Earthwork activities are as indicated below.

1.1 - Standard Specifications

This QC Plan applies to all Work covered by the following sections of Transportation Agency Standard Specifications for Highways and Bridges, 1995 Metric Edition:

  • Division II - Section 150: Embankment
  • Division II - Section 170: Grading
  • Division III - Section M1: Soils and Borrow Materials, limited to:
    • Subsection M1.01.0 Ordinary Borrow
    • Subsection M1.02.0 Special Borrow
    • Subsection M1.03.0 Gravel Borrow (Type a)
    • Subsection M1.04.0 Sand Borrow (Type b)
    • Subsection M1.08.0 Impervious Soil Borrow
  • Division III - Section M2: Aggregates and Related Materials, limited to:
    • Subsection M2.01.0 Crushed Stone
    • Subsection M2.01.1 Grading Requirements (37.5 mm)
1.2 - Supplemental Specifications

Transportation Agency Supplemental Specifications, December 23, 1998 Metric Edition, applicable to Work addressed by this QC Plan include:

  • Division II - Section 150: Embankment
  • Division II - Section 170: Grading
1.3 - Project Special Provisions

Special Provisions applicable to Work addressed by this QC Plan include:

  • Division II - Section 150: Embankment (June 26, 2001)
    • Subsection 150.20 General
    • Subsection 150.66 Gravel Borrow for Bridge Foundations
    • Subsection 150.69 Crushed Stone for Stabilized Construction Entrances
    • Subsection 150.70 Gravel Borrow for Sidewalk
    • Subsection 150.72 Sedimentation Control
1.4 - Project Drawings

A current listing of drawings applicable to all Work addressed by this QC Plan will be maintained by ABC Contractors. The "Project Drawings List" will be updated and submitted monthly to Transportation Agency in electronic format. An example copy of the "Project Drawings List: Section 1 - Earthwork" is contained in Appendix __ (see Note in "A Model Quality Control Plan").

1.5 - Standard Drawings

All Standard Drawings related to Earthwork contained in the Transportation Agency Construction and Traffic Standard Details (1996) are applicable to Work addressed by this QC Plan.

2.0 Quality Control Organization

The personnel and their corresponding responsibilities for all Earthwork Quality Control activities are as indicated below.

2.1 - QC Plan Manager

The QC Plan Manager is Mr. "Plan Manager", P.E. He is employed by ABC Contractors, Inc. (ABC Contractors). Mr. "Plan Manager" is located at the ABC Contractors State Route 99 Project Office in Anytown, USA and can be contacted as follows:

Office Phone: (508) 123-4567
Cell Phone: (508) 123-4568
Pager: (508) 123-4500

The QC Plan Manager has responsibility and authority for the following items:

  • Development and submission of this QC Plan for Transportation Agency approval
  • Overall coordination of personnel performing QC inspection, sampling, and testing at all Off-Site Production facilities, QC Laboratories, and On-Site Field operations
  • Approval of Material Sources prior to the start of any related work addressed by this QC Plan
  • Ensure that Producers have required certifications and qualified personnel and laboratories
  • Complete adherence to all QC requirements and activities contained in this QC Plan
  • Initiating Work suspension and determining appropriate corrective action when testing or inspection identifies nonconforming materials or construction as outlined under Section 6.5 and Section 7.6 below
  • Review and evaluation of all QC documentation for content and completeness
  • Maintaining the "QC Record System - Earthwork" in accordance with Section 5.5 below
  • Preparing and submitting a "Weekly QC Summary Report" to Transportation Agency within 7 Calendar Days following the end of the reporting period
2.2 - Qualified Off-Site Production Facility QC Personnel

Personnel assigned to perform Off-Site Production Facility QC sampling, testing, and inspection of Earthwork materials will be as indicated in the table below. A current listing of qualified Off-Site Production Facility QC personnel will be included in the "Weekly QC Summary Report."

Project SegmentQC PositionPersonnel - CompanyQualifications
1,2,3 Soils Inspector Various - Producers (See Weekly QC Summary Report) NETTCP Soils and Agg. Inspector (See Weekly Report)

Off-Site Production QC activities by ABC Contractors will be scheduled as necessary and will generally involve the collection of samples for Source Characterization testing from potential Earthwork material Producers.

Where Earthwork materials Producers possess their own qualified QC personnel and laboratories, the results of the Producer's QC inspection and testing may be used by ABC Contractors. In such instances, the Producer will perform Source Characterization sampling and testing in accordance with the required test methods and frequencies outlined in Section 4.0 below.

Off-Site Production Facility QC personnel have responsibility and authority for the following items:

  • Obtaining random Source Characterization samples of Earthwork materials at each Production Facility
  • Inspecting Earthwork Production operations at each Production Facility
  • Preparing and signing standard QC Inspection report forms for each Production location
  • Identifying Production Facility practices or materials which do not conform with the requirements of the relevant specifications and this QC Plan, and discussing appropriate corrective action with the Production Facility Superintendent and the QC Manager
  • Suspending the transport of Earthwork materials to On-Site placement locations when materials are not in conformance with the relevant specification requirements or when corrective actions have been determined necessary and are not implemented
2.3 - Qualified QC Laboratory Personnel

Personnel assigned to perform QC Laboratory sampling and testing of Earthwork materials are identified in the table below. A current listing of qualified QC Laboratory personnel will be included in the "Weekly QC Summary Report."

Project SegmentQC PositionPersonnel - CompanyQualifications
1,2,3 Laboratory Supervisor
(ABC Contractors
Anytown, USA)
Bob Supervisor - XYZ NETTCP Soils and Agg. Technician # SAT 100
1,2,3 Laboratory Technician Cathy Technician - XYZ NETTCP Soils and Agg. Technician # SAT 190
1,2,3 Laboratory Technician Mike Technician - XYZ NETTCP Soils and Agg. Technician # SAT 450

QC Laboratory personnel have responsibility and authority for the following items:

  • Sampling of Earthwork materials
  • Laboratory testing of Earthwork materials
  • Preparing and signing standard Test Report Forms (TRFs) for each test completed
  • Properly storing all Earthwork material samples
  • Identifying Earthwork materials test results which do not conform with the requirements of the relevant specifications and this QC Plan, and discussing with the QC Manager
2.4 - Qualified On-Site Field QC Personnel

Personnel assigned to perform On-Site Field QC sampling, testing, and inspection of Earthwork materials are identified in the table below. A current listing of qualified On-Site Field QC personnel will be included in the "Weekly QC Summary Report."

Project SegmentQC PositionPersonnel - CompanyQualifications
1 Lead QC Inspector Kevin Boulder - XYZ NETTCP Soils and Agg. Inspector # SAI 491
2 Lead QC Inspector George Troxler - XYZ Not Currently NETTCP Certified
3 Lead QC Inspector Mike Gravel - XYZ Not Currently NETTCP Certified
1,2,3 Soils Inspector Verious - XYZ
(See Weekly QC Summary Report)
NETTCP Soils and Agg. Inspector (See Weekly QC Summary Report)

On-Site Field QC personnel have responsibility and authority for the following items:

  • Obtaining random Field samples of Earthwork materials for laboratory testing
  • Performing In-Place sampling and testing of Earthwork
  • Preparing and signing standard Test Report Forms (TRFs) for each test completed
  • Inspecting On-Site Earthwork production and placement operations
  • Preparing and signing standard QC Inspection report forms for each placement location
  • Identifying On-Site Field placement practices or materials which do not conform with the requirements of the relevant specifications and this QC Plan, and discussing appropriate corrective action with the Segment Field Superintendent and the QC Manager
  • Suspending the placement of Earthwork materials when materials are not in conformance with the relevant specification requirements or when corrective actions have been determined necessary and are not implemented
3.0 Quality Control Laboratories

The Quality Control Laboratories to be used for all Earthwork materials and their corresponding testing responsibilities are as indicated below.

3.1 - Qualified Primary QC Laboratory

The primary QC Laboratory responsible for performing sampling and testing of Earthwork materials is identified in the table below.

Project SegmentLaboratoryLocationQualifications
1,2,3 ABC Contractors
State Route 99 Project Laboratory
Anytown, USA NETTCP Laboratory Qualification Program - Category 2-T: Soils, Aggregates (MM/DD/YY)

The ABC Contractors State Route 99 Project Laboratory is responsible for performing testing of all On-Site Earthwork materials as well as testing of any Off-Site Borrow material. The following tests will be performed on Earthwork materials by this laboratory:

  • Soil Classification; AASHTO M145
  • Gradation  AASHTO T11 and T27
  • Liquid Limit; AASHTO T89
  • Plastic Limit/Plasticity Index; AASHTO T90
  • Optimum Moisture Content; AASHTO T99 and AASHTO T180
  • Maximum Dry Density; AASHTO T99 and AASHTO T180
  • Coarse Particles Correction; AASHTO T224
  • Grain-Size Analysis; AASHTO T311

3.2 - Qualified Subcontractor or Consultant Laboratories

Other qualified Subcontractor or Consultant laboratories that will perform QC sampling and testing of Earthwork materials are identified in the table below.

Project SegmentLaboratoryLocationQualifications
1,2,3 XYZ Company Laboratory Soil City, USA AASHTO Accreditation Program: Soils (08/15/00)

The XYZ Company Laboratory in Soil City, USA, will serve as a backup to assist the Primary QC Laboratory in performing testing of all On-Site Earthwork materials as well as testing of any Off-Site Borrow for Embankment. The following tests will be performed on Earthwork materials by this laboratory:

  • Soil Classification; AASHTO M145
  • Gradation  AASHTO T11 and T27
  • Liquid Limit; AASHTO T89
  • Plastic Limit/Plasticity Index; AASHTO T90
  • Maximum Wear (LA Abrasion); AASHTO T96
  • Optimum Moisture Content; AASHTO T99 and AASHTO T180
  • Maximum Dry Density; AASHTO T99 and AASHTO T180
  • Coarse Particles Correction; AASHTO T224
  • Grain-Size Analysis; AASHTO T311
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Updated: 11/25/2013
Federal Highway Administration | 1200 New Jersey Avenue, SE | Washington, DC 20590 | 202-366-4000