ACI 121 R-85

Quality Assurance Systems for Concrete Construction

Reported by ACI Committee 121
Otto J. Karch, chairman Joe Gutierrez, secretary

Edward A. Abdun-nur John M. Albinger Howard E. Allen George H. Ayres Phillip E. Bruce
James R. Clifton

Richard B. Essex Larry J. Good Alfred F. Grimaldi Robert L. Henry Kelly G. Harwell Jerome L. Hers1

Putinas V. Masalaitas W. Stephen McKay

Anand S. Mehta Gerald R. Murphy Mark A. Phillips Gary M. Schuman

James H. Sprouse Billy M. Scott Elwood F. Treadwell Roger E. Wilson

This paper gives guidance for the development of a quality assurance system for both large and small concrete construction projects. The system involves the identification of quality objectives and their incorporation into a quality assurance plan which is implemented by project organizations through quality assurance programs. The system, as herein defined, is intended to permit the user latitude in judgment with respect to the owner s needs, the defined quality goals, the importance of the project, the project size and complexity, and the skills of the involved project organizations.
Keywords: assurance:

Exhibit I - Owner s policy statement (example), page 121 R-7 Exhibit II - Guide for organizational responsibility (example), page 121 R-7 This guide provides recommendations for the development of a quality assurance (QA) system for concrete construction. Development of a QA system involves the identification of quality objectives and their incorporation into a project QA plan that is implemented by project organizations through QA programs. This guide is intended to be flexible since it will be utilized on projects which vary in size, complexity, and number of organizations involved. The purpose of this guide is to assist the owner in developing plans to meet the desired level of quality for his specific project. On a large, complex, multiple organization project it is important that the project QA plan be clearly written and that all major organizations involved develop QA programs. On a small project, a QA plan describing quality objectives, organizational relationships, and responsibilities, in addition to the contract documents, most likely will suffice.

acceptability; evaluation; concrete construction: inspection; quality quality control; structural design.

CONTENTS Chapter 1 - Scope and definitions, page 121 R-2

1.1 - S c o p e 1 . 2 - Definitions

Chapter 2 - Administrative aspects in the development of a quality assurance system, page

12lR-2
2.1 - QA system 2.2 - Developing a QA system

Chapter 3 - Quality assurance plan, page 12lR-2 Chapter 4 - Quality assurance program elements, page 121R-3
4.1 - QA program 4.2 - QA program elements for project participants

ACI Committee Reports, Guides, Standard Practices, and Commentaries are intended for guidance in designing. planning, executing, or
inspecting construction, and in preparing specifications. Reference to these documents shall not be made in the Project Documents. If items found in these documents are desired to be part of the Project Documents they should be phrased in mandator? language and incorporated into the Project Documents.

Chapter 5 - Quality assurance program, page

12lR-3
5.1 - Organizational responsibilities 5.2 - Control of design

5.3 - Material control 5.4 - Inspection 5.5 - Testing and evaluation 5.6 - Identification and resolution of noncomplying conditions 5.7 - Records

Chapter 6 - References, page 121R-6

121-1

Copyright 1985, American Concrete Institute. All rights reserved including rights of reproduction and use in any form or by any means. including thc making of copies by any photo process, or by any electronic or mechanical device, printed, written or oral, or recording for sound or visual reproduction or for use in any knowledge or retrieval system or device, unless permission inI writing is obtained from the copyright proprietors.

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CHAPTER 1 - SCOPE AND DEFINITIONS 11 . - Scope This guide provides recommendations for the development and implementation of a QA system applicable to the design and constructionof concrete structures (exclusive of those addressed in ACI 349, Code Requirements for Nuclear Safety Related Concrete Structures; and ACI 359, Code for Concrete Reactor Vessels and Containments) to assure functional fitness; environmental and economic acceptability; and the safeguarding of public health, welfare, and safety. . - Definitions 12 1.2.1 Quality assurance (QA) - All those planned and systematic actions necessary to assure that the final product will perform its intended function. QA is a management tool. 1.2.2 Quality control (QC) - Those actions related to the physical characteristics of the materials, processes, and services which provide a means to measure and control the characteristics to predetermined quantitative criteria. QC is a production tool. 1.2.3 Quality assurance system - An administrative control system which sets forth the commitments, policies, designated responsibilities, and requirements of the owner, which are documented in a QA plan and are implemented through QA programs to provide a means of controlling quality-affecting activities to predetermined requirements. 1.2.4 Quality assurance plan - A written guideline for a project, developed by the owner, perhaps in conjunction with a quality consultant or the engineer, which contains the owner s policy statement and describes the scope of work, organizational relationships, and the quality objectives for the project. It is intended to insure that an owner start his project in a planned and systematic manner. The QA plan is intended to be the top level document in the overall QA system. 1.2.5 Quality assurance program - A document that describes the policies, practices, and procedures to comply with quality requirements and contract documents. 1.2.6 Owner - The organization financially responsible for the project as well as bearing the ultimate responsibility for the public health, welfare, and safety. The owner also includes those organizations or individuals (project/construction manager, engineer, quality

consultant) who may be designated by the owner to perform certain activities. CHAPTER 2 - ADMINISTRATIVE ASPECTS IN THE DEVELOPMENT OF A QUALITY ASSURANCE PROGRAM . - QA system 21 The owner is responsible for quality planning and overall management which includes the selection of competent organizations and individuals and the establishment of a QA system that will meet the objectives of the owner. Where the owner does not have skills required to fulfill his responsibilities he should designate an organization or individual to perform this function. Table 2.1 describes the contents of the QA plan and QA program(s). 2.2 - Developing a QA system Table 2.2 indicates the various stages of a project and how the overall QA system is developed. It also indicates which organizations should develop the QA plan and QA program(s). The table recommends which organization(s) are responsible for reviewing and approving the QA plan and other organizations QA programs. The table is intended to be a guide and may be modified to fit the specific organizational arrangements and quality objectives for the project. CHAPTER 3 - QA PLAN The project QA plan documents the owners quality objectives and should be developed at the earliest practicable time in the development of the project. As a minimum, the project QA plan should include elements of a quality assurance system, Table 2.1: a. Owner s policy statement (Exhibit I) b. Quality objectives c. Scope of work under the QA plan d. Organizational relationships and interfaces e. Authority and responsibilities of various organizations and contractors (Exhibit II) f. A description of the overall quality assurance system to be employed on the project should also indicate which organizations are required to establish and implement QA program(s) In developing the project QA plan, it should be recognized that a project progresses through many stages,

Table 2.1 - Elements of a quality assurance system

Document QA plan (Chapter 3)

QA system (Chapter 2) QA program(s) (Chapter 4)

Contents Owner policy statement consultant or engineer Quality objectives Scope of work Organizational relationships Authority and responsibilities of various organizations QA program elements applicable to that organization s scope of work Contains or is supplemented by implementing procedures All organizations as required by the owner in the project QA plan to develop a QA program

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Table 2.2 - Development of a quality assurance system

Project stage Planning Source of QA requirements, reference, and guidance QA system stage Owner* develops project Owner, manager, consultant, engineer, and this guide QA plan Owner s project QA plan Engineer develops design QA program and and this guide submits to the owner for review prior to start of design Supplier develops and submits supplier QA program manager, or quality I Owner, consultant reviews and approves engineer s QA program

Design

Selection of material and services Construction

Any combination of owner s Owner, manager, consultant, or engineer reviews supplier s project QA plan, contract documents, and this guide QA program

Construction contractors Any combination of owner s Owner, manager, consultant, or engineer reviews project QA plan, contract develop and submit contractor QA program documents, and this guide contractor s or QA program

Any combination of owner s Owner, manager, consultant, Material testing Material testing or engineer reviews material laboratory develops and project QA plan, contract testing laboratory s QA documents, and this guide submits a material program testing laboratory QA program J
*Indicates owner or engineer, or quality consultant.

such as conceptual design, design, procurement of materials, construction, and inspection prior to owner acceptance of the finished product. Therefore, a good QA system needs to develop and mature as the project progresses. For example, when the owner and his agent begin preliminary discussions on a project, it may be difficult to determine the number of organizations involved, what the contractural relationships and responsibilities will be, and how the QA system will be implemented. The owner or his designee should periodically review and if necessary update the QA plan during the life of the project. Updated copies of the QA plan should be provided to all organizations with responsibility for implementing changes in the QA plan. Specific verification of changes having been implemented should be conducted. CHAPTER 4 - QA PROGRAM ELEMENTS . - QA program 41 The QA program describes the organization s policies, practices, and procedures to comply with the contract documents. Each organization assigned responsibility in the QA plan for implementing part of the QA system should detail in a QA program the methods to be used to meet the owner s quality objectives, applicable to the organization s scope of work. Specific QA program requirements applicable to each organization will be described by the owner in the project QA plan. 4 2 - QA program elements for project participants An example of QA program elements that should be addressed by each organization is shown in Table 4.2. A similar table should be developed by the owner or the designee in the project QA plan based on contractural

Table 4.2 - Important aspects of a quality assurance program

program element Organization al responsibilities (Section 5.1) Control of design (Section 5.2) Material control (Section 5.3) Inspection (Section 5.4) Testing and evaluation (Section 5.5) Identification and resolution of noncomplying conditions (Section 5.6) Records (Section 5.7) X X Ix X

QA

Engineer X

Contractor X

Subcontractor x

supplier Ix

Material testing laboratory X

X X x

x X

, x x X X

X indicates that the organization should have a section in their QA program addressing the applicable QA program element (eg. organizational responsibilities, etc.).

relationships and quality objectives for the specific project. CHAPTER 5 - QUALITY ASSURANCE PROGRAM . - Organizational responsibilities 51 The QA program should define the organizational structure within which the QA program is to be planned and implemented and should clearly delineate the responsibility and authority of the various personnel and organizations involved. This should include designation of the person or organization responsible for the QA program management and direction. To facilitate communication between project organizations on various matters, the identification, respon-

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sibility, and authority of on-site and off-site interfacing personnel should be established.
5. 2 - Control of design

The design organization should follow established procedures and document its design to the level of detail necessary to permit the design to be developed correctly and to permit a qualified person to understand and verify final design documents. Design basis such as codes, standards, assumptions, and other requirements should be identified. Calculations should be documented, checked, and approved. Drawings should be reviewed and approved for correct incorporation of design calculations, materials, processes, and constructibility by the organization originating the design drawings. Responsibility for overall coordination and verification of all required reviews and approvals should be explicitly provided for in the QA program. Design changes, including field changes, should be subjected to the same control measures as used in the original design. The design organization should establish interface with other project organizations. Assigned responsibilities might include Clarifying design intent where necessary Review and approval of field changes Control of drawings, specifications, etc. Distribution of revised design documents Review of contractor procurement documents Review of contractor methods Resolution of nonconforming items . Other duties as deemed necessary Records pertinent to the design organization are Design basis which support final design Final design documents (drawings, specifications, calculations) Records of contractor performance Field sketches and working drawings Field change documents Contractor quality procedures and verification documents Technical reports, photos As-built drawings .. - Material control 53 Controls should be established for concrete constituent materials and other materials integral to the concrete structure to assure that materials, within the recognized product variability, meet the requirements of the contract documents prior to use. The implementation of the established controls should be described in a quality program which documents the procedures and instructions to be carried out. Established controls may include 5.3.1 Supplier evaluation and selection - The selection of a supplier may be based on an evaluation of the supplier s capability to fabricate materials in accord-

ance with the requirements of contract documents and to deliver the materials at a rate consistent with project schedule. The evaluation of this capability should include consideration of the supplier s history of performance, appropriate documentation for objective evaluation, and a determination of technical capability. Upon selection of a supplier, a mechanism should be established for the submittal of quality records which verify material compliance in accordance with contract documents. Supplier approval may not be necessary if important characteristics of the item can be verified by inspection or test. Where evaluation is deemed necessary, documented evidence of evaluation should be retained. Verification activities may consist of surveillance, inspection, or audit and should be performed at a frequency consistent with the importance, complexity, and quantity of the product or service. Specific verification activities to be performed should be in accordance with a written standard or specification. These activities should be performed where verification of procured materials cannot be determined upon receipt. 5.3.2 Procurement documents - A quality program should designate. the individual or organization responsible for procuring materials and assuring that project documents affecting material requirements are included, or invoked by reference, in the purchase documents. Quality records, which may be required to verify material compliance, should be specified in the purchase documents. These records should be transmitted prior to or accompanying shipment. Procurement documents should specify Scope of work to be performed Technical and material requirements including applicable codes, specifications, drawings, and standards Right of access to contractor facilities and records for inspection Documentation required to be prepared and/or submitted to the responsible organization for review, approval or historical record 5.3.3 Receiving inspection - For material and cost control, a receiving inspection, if required, should include as appropriate: Inspection for completeness, identification, and damage Review of required supporting documentation Acceptance of material by inspection or test Segregation and handling of rejected material to prevent its inadvertent use 5.3.4 Storage and handling of material - Where specific storage, maintenance, and handling methods are specified, verification activities should be conducted in accordance with written standards to assure the adequacy.and maintenance of storage facilities and handling techniques. 5.3.5 Material qualifications - Tests should be performed and results evaluated prior to use for compliance with contract documents. The specific tests to be

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performed and the qualitative requirements should be established in the contract documents. 5.3.6 Records - Qualifying records for materials that may be required should be identified. Such identification may include: Mill test reports and certificates of compliance Delivery slips for aggregates, and admixtures Material tests and inspection reports Qualifications of personnel . - Inspection 54 A program for inspection should be established and implemented to assure that concrete construction and materials meet the requirements of the contract documents. The inspection program should contain provisions for the specific verification and acceptability of implemented field changes. 5.4.1 Inspection personnel - Inspections should be performed by qualified individuals other than those who performed or directly supervised the activity being inspected. The inspector qualifications or qualification program should be approved by the engineer and should meet the requirements of the ACI concrete certification programs or equivalent. 5.4.2 Inspection program - The inspection program should include written checklists for items of construction and quantitative or qualitative criteria for acceptance in accordance with the project documents. The program should prescribe minimum requirements for inspection of all structures within its scope and follow the guidance of ACI 311.4R. Such minimum requirements may include inspection of the formwork system, proper installation of reinforcing steel, concrete quality as evidenced by required tests, concrete placement, and curing. Other considerations that could be included are form removal requirements, repair work, core drilling, sampling and testing, weather conditions, foundations bedding, bonding and jointing, leveling and alignment operations, finishing operations, grouting operations, and protective coating operations. Photographs documenting construction sequence, job progress, and construction details are desirable. 5.4.3. Inspection records - Records of inspection are required to be kept available to the applicable agency during the progress of the work and thereafter as required by the project documents. The organization responsible for initiating the inspection records should be responsible for record legibility, retention, validity, and transmittal as required. Inspection records should document 1. Date of inspection 2. Area or system inspected 3 Item inspected 4: Inspection results 5. Acceptance criteria 6. Statement of compliance or noncompliance 7. Remarks 8 . Inspector s signature and company affiliation 9. Ambient conditions

. - Testing and evaluation 55 A program for sampling and testing concrete and concrete construction materials and evaluating the results should be established and implemented. The purpose of this program is to produce reliable data from which the completed structure can be evaluated. All acceptance testing should be performed by qualified personnel other than those who supplied, transported, or placed the concrete or concrete materials. The testing should be performed using standard test methods and at frequencies established by the contract documents. The testing program should include the qualification of all materials used to produce the concrete, the concrete mix proportioning, and physical properties of the plastic and hardened concrete. The extent to which the testing program addresses each of these areas would depend on the intended use of the structure, the environment in which the structure will function, and the assurance the engineer deems necessary. Other factors, such as cost and time, may be considered as secondary factors when developing the testing program. The evaluation of test results should be performed at the completion of the testing operation by a qualified person using acceptance criteria established by the project documents. Any nonconforming test results identified during this evaluation should be immediately brought to the attention of the engineer and the contractor. Further evaluation of material test reports should be performed by the engineer to determine the adequacy of the testing program, verify the design based on the results of tests, and determine the disposition of test results based on the appropriate analysis. The records of all acceptance tests performed should be made available to the applicable agency during the progress of the job and thereafter in accordance with the contract documents. The organization responsible for the test record should document 1. Date of test 2. Area or system where the material is used 3. Test method 4. Test results 5. Acceptance criteria 6. Statement of compliance or noncompliance 7. Remarks 8. Testing personnel signature and company* affiliation The records of test result evaluation should be maintained by the originating organization during the progress of the job and as required by the contract documents. 5.6 - Identification and resolution of noncomplying conditions 5.6.1 Materials or processes which do not meet project requirements should be promptly identified and evaluated for implementation of corrective action. In the case of significant configuration changes, the appli-

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cable drawings or specifications should reflect as-built conditions. Interface between the engineer and other project organizations may be necessary to determine whether a specific condition is to be accepted as is, repaired, reworked, or rejected. These dispositions should be documented along with the signatures of concurring individuals and the specific instructions to accomplish the repair or rework. Records identifying the condition and corrective actions taken should be retained in the project files. 5.6.1.1 Repair. The process of restoring an item to an acceptable condition even though the item may not comply with the original requirements. 5.6.1.2 Rework. The process of restoring an item to the original requirement. 5.6.1.3 Accepted as is. A noncomplying condition which satisfies engineering functional requirements including those of performance, maintainability, and fitness for use and safety. 5.6.1.4 Reject. A disposition that indicates an item is unsuitable for its intended purpose and cannot be economically reworked or repaired. Item should be segregated or removed. 5.6.2 Noncomplying conditions - Significant noncomplying conditions are those of a recurring nature or conditions which could adversely affect the satisfactory performance or appearance of the structure, should they remain uncorrected. Determining the cause of such conditions, as well as the appropriate corrective actions, should preclude future similar noncomplying conditions and unnecessary expenditures. 5.6.3 Nonconformances - Repaired or reworked items should be reinspected. Since repaired items may not comply with the original requirements, criteria for the acceptability of the repair should be furnished to the individual or organization performing the reinspection. Reworked items should be reinspected in accordance with the original requirements. 57 . - Records Each organization generating records or documents that furnish evidence of the quality of materials, equipment, or activities should be responsible for their technical content and accuracy. Additionally, records or documents should be signed or otherwise authenticated and dated by a responsible individual from the organization initiating the records. An index should be established and maintained to identify and retrieve a specific record or records by the designated individual or organization. The owner or designee should implement a program for ongoing review of records and reserve the right of access to all applicable records and documents. Following is a list of some of the records and documents that may be applicable: Contractural documents Quality procedures/instructions Personnel qualification records

Design drawings and calculations Specifications Procurement documents Material qualification records Field sketches and working drawings Change orders Technical reports, photos, etc. Inspection and test records Nonconformance reports Concrete mix designs Shop drawings As-built drawings Contractor s logs

CHAPTER 6 - REFERENCES . - Recommended references 61

American Concrete Institute

116R-78 301-84 311.4R-80 3 18-83 SP-2 N45.2-77 N45.2.5-74

Cement and Concrete Terminology (Reaffirmed 1982) Specifications for Structural Concrete for Buildings Guide for Concrete Inspection Building Code Requirements for Reinforced Concrete ACI Manual of Concrete Inspection Quality Assurance Program Requirements for Nuclear Power Plants Supplementary Quality Assurance Requirements for Installation, Inspection and Testing of Structural Concrete and Structural Steel during the Construction Phase of Nuclear Power Plants Quality Assurance Program Requirements for Nuclear Facilities Standard Specification for Ready Mixed Concrete

American National Standards Institute

NQA- l-80
ASTM C 94-83

Nuclear Regulatory Commission

10 CFR 50-80 Quality Assurance Criteria for Nuclear Appendix B Power Plants and Fuel Reprocessing Plants
Military Specifications

Mil-Q-9858A Quality Program Requirements

National Ready Mixed Concrete Association Quality Control Manual, 1984 Edition, Sections 1, 2, &

3
U.S. Bureau of Reclamation Concrete Manual, 8th Edition, 1981 U.S. Corps of Engineers Handbook of Concrete and Cement, 1984 Edition

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121R-7

EXHIBIT I OWNER S POLICY STATEMENT (EXAMPLE) Policy Statement

It is the policy of (owner) to design, construct, and operate a (type of structure) at a quality level that will meet or exceed (the constraints under which the struc ture has been approved or the constraints imposed by building codes, government bodies) and will provide (function of the building) -. in an environmentally accept. able manner.

6. Recommend or participate in the selection of the contractor, subcontractors, supplier, and material testing laboratory as required by the owner. 7. Administer an internal QA program of a level suitable for the project. 8. Accept or reject workmanship and material. 9. Evaluate test/inspection data. 10. Review the internal QA programs and quality of work of the contractor, subcontractors, suppliers, and material testing laboratory during the course of the project and report to the owner.

Responsibilities
The (owner) is responsible for the implementation of the quality assurance system for (project name). The authority for developing and verifying implementation of the QA system is delegated to (organization) under the direction of the (owner s designee). The head of each organization performing concrete quality-affecting activities is responsible for establishing and identifying duties and responsibilities of personnel who implement quality-affecting activities and planning, and selecting and training personnel to meet the requirements of the QA system.

Contractor
1. Comply with contract and specification d o c u ments. 2. Perform in accordance with an approved internal QA program of a level suitable for the project. 3. Require subcontractors and suppliers adherence to the contract documents. 4. Verify that inspections and tests are performed.

Subcontractor(s)
1. Comply with the contract documents. 2. Perform and document an internal QA program of a level suitable for the project. 3. Coordinate all work with the contractor and interface with appropriate subcontractors.

EXHIBIT II - GUIDE FOR ORGANIZATIONAL RESPONSIBILITIES Owner

1. Develop the project QA plan, including policy

Supplier(s)
1. Supply materials in accordance with the contract documents. 2. Perform and document an internal QA program of a level suitable for the project.

statement and quality objectives based on input from the engineer construction manager or quality consultant. 2. Review and approve contract documents. 3. Perform periodic audits or surveillances to verify compliance with QA requirements.

Material testing laboratory

1. Perform the testing and inspections necessary for the level of the QA program selected by the owner and as defined by the engineer. 2. Perform and document an internal QA program to assure the validity of the reported results. 3. Conduct all testing and inspection in accordance with industry standards and the contract documents. 4. Provide the owner and engineer with timely reports for all testing and inspection performed. 5. Accept or reject workmanship and materials as defined by the specification.
This report was submitted to letter ballot of the committee which consists of 24 members; 19 ballots were returned, 18 voted affirmatively, and one voted negatively.

Engineer
1. Analyze all general and special quality objectives defined by the owner. 2. Analyze all regulatory requirements defined by the owner and set forth by regulatory agencies. 3. Create and develop design to meet owner s quality objectives and requirements. Establish acceptance criteria. 4. Prepare contract documents as required by the owner. 5. Prepare, coordinate, evaluate, document, and report to the owner all aspects of the QA system, as required by the owner.