2. 121 R-2 ACI COMMITTEE REPORT
CHAPTER 1 - SCOPE AND DEFINITIONS
11. - Scope
This guide provides recommendations for the devel-
consultant) who may be designated by the owner to
perform certain activities.
opment and implementation of a QA system applicable
to the design and constructionof concrete structures
(exclusive of those addressed in ACI 349, Code Re-
quirements for Nuclear Safety Related Concrete Struc-
tures; and ACI 359, Code for Concrete Reactor Vessels
and Containments) to assure functional fitness; envi-
ronmental and economic acceptability; and the safe-
guarding of public health, welfare, and safety.
12. - Definitions
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.
CHAPTER 2 - ADMINISTRATIVE ASPECTS IN
THE DEVELOPMENT OF A QUALITY
ASSURANCE PROGRAM
21. - QA system
The owner is responsible for quality planning and
overall management which includes the selection of
competent organizations and individuals and the estab-
lishment of a QA system that will meet the objectives
of the owner. Where the owner does not have skills re-
quired 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).
1.2.2 Quality control (QC) - Those actions related
to the physical characteristics of the materials, pro-
cesses, and services which provide a means to measure
and control the characteristics to predetermined quan-
titative criteria. QC is a production tool.
1.2.3 Quality assurance system - An administrative
control system which sets forth the commitments, poli-
cies, 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 predeter-
mined requirements.
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 indi-
cates which organizations should develop the QA plan
and QA program(s). The table recommends which or-
ganization(s) are responsible for reviewing and approv-
ing the QA plan and other organizations’ QA pro-
grams. The table is intended to be a guide and may be
modified to fit the specific organizational arrange-
ments and quality objectives for the project.
1.2.4 Quality assurance plan - A written guideline
for a project, developed by the owner, perhaps in con-
junction with a quality consultant or the engineer,
which contains the owner’s policy statement and de-
scribes 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 com-
ply with quality requirements and contract documents.
1.2.6 Owner - The organization financially respon-
sible for the project as well as bearing the ultimate re-
sponsibility for the public health, welfare, and safety.
The owner also includes those organizations or individ-
uals (project/construction manager, engineer, quality
CHAPTER 3 - QA PLAN
The project QA plan documents the owner’s quality
objectives and should be developed at the earliest prac-
ticable 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 organi-
zations and contractors (Exhibit II)
f. A description of the overall quality assurance sys-
tem to be employed on the project should also indicate
which organizations are required to establish and im-
plement QA program(s)
In developing the project QA plan, it should be rec-
ognized that a project progresses through many stages,
Table 2.1 - Elements of a quality assurance system
Document I
QA system
(Chapter 2)
QA plan
(Chapter 3)
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
3. QUALITY ASSURANCE SYSTEMS I2lR-3
Table 2.2 - Development of a quality assurance system
Project stage
Source of QA requirements,
QA system stage reference, and guidance
Planning Owner* develops project Owner, manager, consultant,
QA plan engineer, and this guide
Design Engineer develops Owner’s project QA plan
design QA program and and this guide
submits to the owner for
review prior to start of
design
IOwner, manager, or quality
consultant reviews and
approves engineer’s QA
program
Selection of
material and
services
Supplier develops and
submits supplier QA
program
Any combination of owner’s
project QA plan, contract
documents, and this guide
Owner, manager, consultant,
or engineer reviews supplier’s
QA program
Construction Construction contractors Any combination of owner’s
develop and submit project QA plan, contract
contractor QA program documents, and this guide
Owner, manager, consultant,
or engineer reviews
contractor’s or QA program
Material testing Material testing Any combination of owner’s
laboratory develops and project QA plan, contract
submits a material documents, and this guide
testing laboratory QA
program
*Indicates owner or engineer, or quality consultant.
such as conceptual design, design, procurement of ma-
terials, construction, and inspection prior to owner ac-
ceptance of the finished product. Therefore, a good QA
system needs to develop and mature as the project pro-
gresses. For example, when the owner and his agent
begin preliminary discussions on a project, it may be
difficult to determine the number of organizations in-
volved, what the contractural relationships and respon-
sibilities will be, and how the QA system will be imple-
mented.
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 verifi-
cation of changes having been implemented should be
conducted.
CHAPTER 4 - QA PROGRAM ELEMENTS
41. - QA program
The QA program describes the organization’s poli-
cies, practices, and procedures to comply with the con-
tract 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 orga-
nization’s scope of work.
Specific QA program requirements applicable to each
organization will be described by the owner in the proj-
ect 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
IOwner, manager, consultant,
or engineer reviews material
testing laboratory’s QA
program
J
Table 4.2 - Important aspects of a quality
assuranceprogram
Sub-
QA Con- con- sup-
program element Engineer tractor tractor plier
I
Organization al X X x Ix
responsibilities
(Section 5.1)
,
Control of design X X x ’
(Section 5.2)
Material control
(Section 5.3)
X X x
Inspection X Ix x x
(Section 5.4)
Testing and
evaluation
(Section 5.5)
X X x
Identification and
resolution of
noncomplying
conditions
(Section 5.6)
X X X x
Records
(Section 5.7)
X X x x
Material
testing
laboratory
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 responsibil-
ities, etc.).
relationships and quality objectives for the specific
project.
CHAPTER 5 - QUALITY ASSURANCE
PROGRAM
51. - Organizational responsibilities
The QA program should define the organizational
structure within which the QA program is to be planned
and implemented and should clearly delineate the re-
sponsibility and authority of the various personnel and
organizations involved. This should include designa-
tion of the person or organization responsible for the
QA program management and direction.
To facilitate communication between project organi-
zations on various matters, the identification, respon-
4. 121 R-4 ACI COMMITTEE REPORT
sibility, and authority of on-site and off-site interfacing
personnel should be established.
52. - Control of design
The design organization should follow established
procedures and document its design to the level of de-
tail necessary to permit the design to be developed cor-
rectly 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. Calcula-
tions should be documented, checked, and approved.
Drawings should be reviewed and approved for correct
incorporation of design calculations, materials, pro-
cesses, and constructibility by the organization origi-
nating 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 responsibil-
ities 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 doc-
uments
Technical reports, photos
As-built drawings
53.. - Material control
Controls should be established for concrete constitu-
ent materials and other materials integral to the con-
crete structure to assure that materials, within the rec-
ognized product variability, meet the requirements of
the contract documents prior to use. The implementa-
tion 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 selec-
tion 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 in-
clude consideration of the supplier’s history of perfor-
mance, appropriate documentation for objective eval-
uation, 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, docu-
mented evidence of evaluation should be retained.
Verification activities may consist of surveillance, in-
spection, or audit and should be performed at a fre-
quency 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 specifica-
tion. These activities should be performed where veri-
fication of procured materials cannot be determined
upon receipt.
5.3.2 Procurement documents - A quality program
should designate. the individual or organization respon-
sible for procuring materials and assuring that project
documents affecting material requirements are in-
cluded, or invoked by reference, in the purchase docu-
ments. Quality records, which may be required to ver-
ify material compliance, should be specified in the pur-
chase 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 appli-
cable codes, specifications, drawings, and stan-
dards
Right of access to contractor facilities and records
for inspection .
Documentation required to be prepared and/or sub-
mitted to the responsible organization for re-
view, approval or historical record
5.3.3 Receiving inspection - For material and cost
control, a receiving inspection, if required, should in-
clude 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 pre-
vent its inadvertent use
5.3.4 Storage and handling of material - Where
specific storage, maintenance, and handling methods
are specified, verification activities should be con-
ducted 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 per-
formed and results evaluated prior to use for compli-
ance with contract documents. The specific tests to be
5. QUALITY ASSURANCE SYSTEMS 121 R-5
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 identi-
fication may include:
Mill test reports and certificates of compliance
Delivery slips for aggregates, and admix-
tures
Material tests and inspection reports
Qualifications of personnel
54. - Inspection
A program for inspection should be established and
implemented to assure that concrete construction and
materials meet the requirements of the contract docu-
ments. The inspection program should contain provi-
sions 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 cer-
tification programs or equivalent.
5.4.2 Inspection program - The inspection program
should include written checklists for items of construc-
tion and quantitative or qualitative criteria for accep-
tance 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 require-
ments 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 docu-
menting construction sequence, job progress, and con-
struction 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.
2.
3
4:
5.
6.
7.
8.
9.
Date of inspection
Area or system inspected
Item inspected
Inspection results
Acceptance criteria
Statement of compliance or noncompliance
Remarks
Inspector’s signature and company affiliation
Ambient conditions
55. - Testing and evaluation
A program for sampling and testing concrete and
concrete construction materials and evaluating the re-
sults should be established and implemented. The pur-
pose of this program is to produce reliable data from
which the completed structure can be evaluated.
All acceptance testing should be performed by quali-
fied personnel other than those who supplied, trans-
ported, 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 con-
crete, 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 neces-
sary. Other factors, such as cost and time, may be con-
sidered as secondary factors when developing the test-
ing 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 con-
tractor.
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* affilia-
tion
The records of test result evaluation should be main-
tained by the originating organization during the prog-
ress of the job and as required by the contract docu-
ments.
5.6 - Identification and resolution of
noncomplyingconditions
5.6.1 Materials or processes which do not meet proj-
ect requirements should be promptly identified and
evaluated for implementation of corrective action. In
the case of significant configuration changes, the appli-
6. 121 R-6 ACI COMMITTEE REPORT
Interface between the engineer and other project or-
ganizations may be necessary to determine whether a
specific condition is to be accepted as is, repaired, re-
worked, or rejected. These dispositions should be doc-
umented along with the signatures of concurring indi-
viduals and the specific instructions to accomplish the
repair or rework. Records identifying the condition and
corrective actions taken should be retained in the proj-
ect files.
cable drawings or specifications should reflect as-built Design drawings and calculations
conditions. 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
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 in-
cluding those of performance, maintainability, and fit-
ness 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 non-
complying 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 ac-
tions, should preclude future similar noncomplying
conditions and unnecessary expenditures.
CHAPTER 6 - REFERENCES
61. - Recommended references
American Concrete Institute
116R-78 Cement and Concrete Terminology (Re-
affirmed 1982)
301-84 Specifications for Structural Concrete
for Buildings
311.4R-80 Guide for Concrete Inspection
3 18-83 Building Code Requirements for Rein-
forced Concrete
SP-2 ACI Manual of Concrete Inspection
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 reinspec-
tion. Reworked items should be reinspected in accord-
ance with the original requirements.
American National Standards Institute
N45.2-77 Quality Assurance Program Require-
ments for Nuclear Power Plants
N45.2.5-74 Supplementary Quality Assurance Re-
quirements for Installation, Inspection
and Testing of Structural Concrete and
Structural Steel during the Construction
Phase of Nuclear Power Plants
NQA- l-80 Quality Assurance Program Require-
ments for Nuclear Facilities
57. - Records
Each organization generating records or documents
that furnish evidence of the quality of materials, equip-
ment, or activities should be responsible for their tech-
nical content and accuracy. Additionally, records or
documents should be signed or otherwise authenticated
and dated by a responsible individual from the organi-
zation initiating the records. An index should be estab-
lished and maintained to identify and retrieve a specific
record or records by the designated individual or orga-
nization.
ASTM
C 94-83 Standard Specification for Ready Mixed
Concrete
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
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. Fol-
lowing is a list of some of the records and documents
that may be applicable:
Contractural documents
National Ready Mixed Concrete Association
Quality Control Manual, 1984 Edition, Sections 1, 2, &
3
U.S. Bureau of Reclamation
Concrete Manual, 8th Edition, 1981
Quality procedures/instructions
Personnel qualification records
U.S. Corps of Engineers
Handbook of Concrete and Cement, 1984 Edition
7. QUALITY ASSURANCE SYSTEMS 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.
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 establish-
ing and identifying duties and responsibilities of per-
sonnel who implement quality-affecting activities and
planning, and selecting and training personnel to meet
the requirements of the QA system.
EXHIBIT II - GUIDE FOR ORGANIZATIONAL
RESPONSIBILITIES
Owner
1. Develop the project QA plan, including policy
statement and quality objectives based on input from
the engineer construction manager or quality consul-
tant.
2. Review and approve contract documents.
3. Perform periodic audits or surveillances to verify
compliance with QA requirements.
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 cri-
teria.
4. Prepare contract documents as required by the
owner.
5. Prepare, coordinate, evaluate, document, and re-
port to the owner all aspects of the QA system, as re-
quired by the owner.
6. Recommend or participate in the selection of the
contractor, subcontractors, supplier, and material test-
ing laboratory as required by the owner.
7. Administer an internal QA program of a level suit-
able 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.
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 inter-
face with appropriate subcontractors.
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.
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 re-
ports for all testing and inspection performed.
5. Accept or reject workmanship and materials as de-
fined 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.
