Module 6: QUALITY MANAGEMENT FOR CONSTRUCTION PROJECTS

Submodule 1: Introduction

Objectives: After completing this submodule, you will be able to:

Define the function and importance of Construction Quality Assurance.

Define the function and importance of Contractor Quality Control

for construction contracts

for design-build contracts

A.

Quality Assurance: The primary function of quality assurance is to obtain

completed construction that meets all contract requirements. Assurance is
defined as a degree of certainty. Quality assurance personnel continually
assure--or make certain--that the contractor's work complies with contract
requirements.

B.

Quality Assurance Personnel: The role of quality assurance personnel is

to assure that the CQC system is functioning properly. To do this, QA
personnel:

Examine the quality control methods being used to determine if the

contractor is properly controlling design activities in design-build
contracts.

Examine the quality control methods being used to determine if the

contractor is properly controlling construction activities.

Make certain that the necessary changes are made in the contractor's
QC system, if excessive construction deficiencies occur.

Assist the contractor in understanding and implementing the contract

requirements.

Examine ongoing and completed work.

6-1

Review QC documentation to assure adequacy.

C.

Contractor Quality Control: The primary function of CQC is the

successful execution of a realistic plan to ensure that the required
standards of quality construction will be met. In CQC, the contractor
defines procedures to manage and control his own, designer of record,
consultant, architect-engineer, all subcontractor and all supplier activities so
that the completed project complies with contract requirements. For
design-build contracts this includes providing and maintaining a Design
Quality Control plan as a part of the overall contract QC plan. This plan, as
a minimum, must assure that all documents are reviewed by a technically
competent, independent reviewer specifically named in the plan. This
review cannot be performed by the same designers that produced the
product. The design QC plan shall be managed by a Design QC Manager
who has verifiable engineering or architectural design experience or is a
registered engineer or architect. The Design QC Manager is under the
supervision of the QC Manager.

D.

Quality Control Personnel: As stated previously, CQC is a contractor

responsibility. This includes:

Produce the quality specified in the plans and specifications, and for
design-build contracts in the Request for Proposal, as well as the
contractor's accepted proposal,

Develop and maintain an effective CQC system,

Perform all control activities and tests, and

Prepare acceptable documentation of CQC activities.

The contractor also is required to place a competent representative onsite

to oversee the CQC system. He must have full authority to act for the
contractor on CQC matters. His responsibilities include workmanship,
methods, and techniques to ensure that all work is performed properly by
qualified and careful craftsmen. For design-build contracts, responsibility
also includes design quality and the performance of constructibility,
operability and environmental review of the design.

6-2

EXERCISE
Submodule 6.1

1.

What is the primary function of QA?

2.

What is the role of QA personnel?

3.

What is the primary function of CQC?

4.

What are the roles of QC personnel?

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5.

For design-build contracts what additional requirements must be included in

the QC plan?

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NOTES
CONSTRUCTION QUALITY MANAGEMENT
FOR CONTRACTORS

6-5

NOTES
CONSTRUCTION QUALITY MANAGEMENT
FOR CONTRACTORS

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Module 6: QUALITY MANAGEMENT FOR CONSTRUCTION PROJECTS

Submodule 2:

Three-Phase Control System

Objectives: After completing this submodule, you will be able to:

A.

Define the purpose of control of onsite construction through the

Three-Phase Control System.

List the responsibilities of QC personnel regarding the three-phase

control system.

Purpose:
The primary purpose of the Three-Phase Control System is to require the
contractor to plan and schedule the work to ensure that he is prepared to
start each new definable feature of work. The three phases of control
(preparatory, initial, and follow-up) are the core of the Construction
Quality Management System. When they are performed as outlined in
the specifications, success in completing the work to comply with
requirements of the contract is enhanced. In Module 3, Submodule 1,
the three-phase control system was mentioned as a required part of the
contractor's quality control plan.

B.

Three-Phase Control Responsibility:

Develop, schedule and implement procedures for tracking control

phase meetings for definable features of work in the QC Plan.

Notify appropriate personnel of time, date and agenda.

Conduct Meetings (preparatory and initial).

Safety considerations and Activity Hazard Analyses (AHAs).

Document actual discussions and provide minutes to attendees.

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C.

Monitor work in place through follow-up phase.

Conduct additional control phase meetings, as needed.

The Three-Phase Control System:

1.

Preparatory Phase: This phase shall be performed prior to beginning

work on each definable feature of work. Perform this work as detailed
below:
-

A review of each paragraph of applicable specifications and

references.

A review of contract plans.

A check to assure that all materials and/or equipment have been

tested, submitted, and approved.

A check to assure that provisions have been made to provide

required control inspection and testing.

Examination of the work area to assure that all required

preliminary work has been completed.

A physical examination of required materials, equipment, and

sample work to assure that they are on hand and conform to
approved shop drawings or submitted data.

A review of the appropriate activity hazard analysis.

Discussion of procedures for constructing the work including the

review of repetitive deficiencies.

The Government shall be notified in advance of beginning any of the

required action of the preparatory phase as required in the QC
specifications.

This phase shall include a meeting conducted by the QC Manager and

attended by the superintendent, other CQC personnel (as applicable),
and the foremen responsible for the definable feature. The results of
the preparatory phase actions shall be documented by separate
minutes prepared by the QC Manager and attached to the daily CQC
report.

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2.

3.

D.

Initial Phase: This phase must be accomplished at the beginning of a

definable feature of work. The Initial Phase will verify that control for
the work developed in the Preparatory Meeting is implemented and
the work is performed to the level of workmanship mutually agreed to.
Perform this work as detailed below:
-

Review minutes of Preparatory Meeting.

Check preliminary work.

Verify adequacy of controls to ensure full contract

compliance.

Establish level of workmanship.

Resolve all differences.

Check safety to include compliance with the safety plan and

activity hazard analysis. Review the activity hazard analysis
with workers.

The Government shall be notified in advance of the beginning of

the Initial Phase as required in the CQC specifications.

The QC Manager is in charge of the Initial Phase Meeting.

Separate minutes of this phase shall be prepared by the QC
Manager and attached to the daily CQC report. The initial phase
shall be repeated for each new crew to work onsite, or any time
established level of workmanship is not being met.

Follow-up Phase: Daily checks shall be performed to assure

continuing compliance with contract requirements, including safety
and control testing, until completion of the particular feature of work.
The checks shall be made a matter of record in the CQC
documentation. Final follow-up checks shall be conducted and all
deficiencies corrected prior to the start of additional features of work.
QC personnel should continually refer back to the standards set in the
Preparatory and Initial Phases.

Cautionary Note: QC personnel, in the midst of day-to-day duties, can

easily fall into the trap of only working to detect deficiencies when in fact
their role is to prevent deficiencies.

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3 Phases of Control
Using a simplified Schedule
OCT

NOV

DE C

JA N

Clear & Grub

E x cavation
Conc rete Foundation
CM U W alls
Roofing
E lec trical
M ehanical
Finish W ork
P reparatory P has e
Initial P hase
Follow-up P has e

Figure 1

6-10

FE B

MAR

APR

MAY

JUN

3 Phases - What is involved?

Preparatory Phase:
Review Plans and Specs
Verify submittal approval
Review test plan
Check preliminary work
Examine materials
Discuss construction methods
Review Safety

CMU Walls
Initial Phase:

Follow-up Phase:

Establish quality required

Resolve conflicts
Ensure testing is performed
Review Safety

Ensure contract compliance

Maintain quality
Ensure testing report is submitted
Ensure rework is completed

Figure 2

3 Phases - Who is involved?

Preparatory Phase:
QC Manager
QC Specialists
Superintendent
Subcontractor Foreman
QA Representative

CMU Walls
Initial Phase:

Follow-up Phase:

QC Manager
QC Specialists
Superintendent
Subcontractor Foreman
QA Representative

QC Manager
QC Specialist
Superintendent
Subcontractor Foreman
QA Representative

Figure 3

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EXERCISE
Submodule 6.2

1.

What is the primary purpose of the three-phase control system?

2.

Regarding the three-phase control system, what are the responsibilities of

quality control personnel?

6-12

PRACTICAL EXERCISE
Submodule 6.2
PREPARATORY PHASE MEETING EXERCISE

You are involved in the construction of a $22,000,000 two-bay hanger at March

Air Force Base in California. Included in the project is 2,000 feet of 24-inch
diameter storm drainage pipe. Manholes are to be installed every 300 feet.
Storm drainage pipe is listed in the Quality Control Plan as a definable feature of
work. The contractor plans to use reinforced concrete pipe and pre-cast
manholes.
SCOPE: Install 2,000 feet of 24-inch storm drainage pipe. Pre-cast manholes
shall be installed every 300 feet.
Task: Prepare to attend preparatory meeting to begin the work. Use the
checklist included as a guide.
Assumptions:

You are:

Pipe is on site
Submittals are approved
Excavation permit is issued
Safety plan covers the work and is satisfactory
Layout work is complete

Resident Engineer or ROICC/SGE

Project Engineer or AROICC/AREICC
Onsite Quality Assurance Person

TEAM 1

6-13

PRACTICAL EXERCISE
Submodule 6.2
PREPARATORY PHASE MEETING EXERCISE

You are involved in the construction of a $22,000,000 two-bay hanger at March

Air Force Base in California. Included in the project is 2,000 feet of 24-inch
diameter storm drainage pipe. Manholes are to be installed every 300 feet.
Storm drainage pipe is listed in the Quality Control Plan as a definable feature of
work. The contractor plans to use reinforced concrete pipe and pre-cast
manholes.
SCOPE: Install 2,000 feet of 24-inch storm drainage pipe. Pre-cast manholes
shall be installed every 300 feet.
Task: Perform preparatory meeting to begin the work. Use the checklist
included as a guide.
Assumptions:

You are:

Pipe is on site
Submittals are approved
Excavation permit is issued
Safety plan covers the work and is satisfactory
Layout work is complete

Project Superintendent
Quality Control Manager
Site Work Subcontractor's Superintendent
Storm Drainage System Second Tier Subcontractor's Foreman
Safety Engineer

TEAM 2

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SAMPLE
Preparatory Phase Checklist
Contract No.: _____________________

Date: _____________

Definable Feature: _______________________

Government Rep Notified ____________

Spec Section: _____________

Hours in Advance

Yes _______ No _______

I. Personnel Present:
Name

Position

Company/Government

1.
2.

_________________________________________________________________________
_________________________________________________________________________

3.
4.
5.
6.
7.

_________________________________________________________________________
_________________________________________________________________________
_________________________________________________________________________
_________________________________________________________________________
_________________________________________________________________________
(List additional personnel on reverse side)

II. Submittals
1.

Review submittals and/or submittal log 4288. Have all submittals been approved?
Yes __________ No _____________
If No, what items have not been submitted?
a. _______________________________________________________________________
b. _______________________________________________________________________
c. _______________________________________________________________________

2. Are all materials on hand? Yes __________ No ___________

If No, what items are missing?
a. _______________________________________________________________________
b. _______________________________________________________________________
c. _______________________________________________________________________
3. Check approved submittals against delivered material. (This should be done as material
arrives.)
Comments ________________________________________________________________
_________________________________________________________________________

6-15

III. Material storage

Are materials stored properly? Yes _________ No ___________
If No, what action is taken? _____________________________________________________
___________________________________________________________________________
IV. Specifications
1. Review each paragraph of specifications.
______ __________________________________________________________________
________________________________________________________________________
________________________________________________________________________
2. Discuss procedure for accomplishing the work.
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
3. Clarify any differences.
V. Preliminary Work and Permits
Ensure preliminary work is correct and permits are on file.
If not, what action is taken? ___________________________________________________
__________________________________________________________________________
VI. Testing
1. Identify test to be performed, frequency, and by whom.
__________ _____________________________________________________________
2. When required?___________________________________________________________
________________________________________________________________________
3. Where required?___________________________________________________________
________________________________________________________________________
4. Review Testing Plan._______________________________________________________
________________________________________________________________________
5. Has test facilities been approved?_____________________________________________
________________________________________________________________________
VII. Safety
1. Review applicable portion of EM 385-1-1._______________________________________
________________________________________________________________________
2. Activity Hazard Analysis approved? Yes ________ No _________
VIII. Corps of Engineers comments during meeting.
__________________________
QC Manager

6-16

NOTES
CONSTRUCTION QUALITY MANAGEMENT
FOR CONTRACTORS

6-17

NOTES
CONSTRUCTION QUALITY MANAGEMENT
FOR CONTRACTORS

6-18

Module 6: QUALITY MANAGEMENT FOR CONSTRUCTION PROJECTS

Submodule 3: Documentation

Objectives: After completing this submodule, you will be able to:

A.

Explain the purpose and importance of the Contractor Quality Control

(CQC) Report.

List the components of the CQC Report.

Explain the purpose and importance of the Government Quality

Assurance (QA) Report.

Discuss the review and use of quality management reports.

Quality Management Record Keeping:

A comprehensive record keeping and information exchange system is an
indispensable quality management tool. In addition to identifying specific
deficiencies, careful report analysis will also detect patterns in the team's
performance. If these patterns are detrimental, early detection and
correction will save time, effort, and money for both the Government and
the contractor.

B.

The Contractor Quality Control Report:

The requirement for the contractor to submit daily QC reports is

established in the QC specification. As discussed previously, the
Coordination Meeting or the Mutual Understanding Meeting (Navy)
should include a detailed discussion of reporting procedures,
information required in the reports, and the importance of the reports.
The QC Report is to be submitted at a prescribed time every day, and
all information relating to QC activities is to be included in the report.
-

There is no form specified for the QC Report. Note: For

contracts using RMS/QCS, QCS does mandate a specific form.
However, there are sample forms included in the contract and
6-19

they are highly recommended to be used. Regardless of the

form and format used, it must include the information outlined in
the QC specification. (A sample QC Report is located in the
sample section of submodule 3.2.)
-

Major elements of information required in the QC Report include,

but are not limited to the following:
Contractor/subcontractor and their area of responsibility.
Operating plant/equipment with hours worked, idle, or down
for repair.
Work performed each day, giving location, description, and by
whom. When a Network Analysis System (NAS) is used,
identify each phase of work performed each day by NAS
activity number.
Test and/or control activities performed with results and
references to specifications/drawings requirements. The
control phase should be identified (Preparatory, Initial, Followup). List deficiencies noted along with corrective action.
Quantity of materials received at the site with statement as to
acceptability, storage, and reference to
specifications/drawings requirements.
Submittals reviewed, with contract reference, by whom, and
action taken.
Off-site surveillance activities, including actions taken.
Job safety evaluations stating what was checked, results, and
instructions or corrective actions.
Instructions given/received and conflicts in plans and/or
specifications.
Attach QC Specialists and Design QC Managers reports.
Contractors verification statement.

When activities are completed, they must be so noted on the daily QC

Report. The Government conducts a final follow-up inspection for
completed activities.
6-20

C.

The QC Manager may attach separate reports for subcontractor work,

or these reports may be combined into one consolidated report.

The QC reports must present an accurate and complete picture of QC

activities. QC reports should not concentrate only on work items that
have been completed, but also must provide evidence of control
activities. They should be precise, factual, legible, as objective as
possible, and emphasize QC actions.

QA personnel evaluate QC reports as they are received. If

statements are discovered in the report that are contrary to QA
personnels knowledge of the work, action will be taken to resolve the
differences. The contractor may be asked to submit a supplemental
report containing corrections.

The Government Quality Assurance Report:

The QA report is the Governments record of project-related events and is
prepared for each visit day. The QA report is not intended to duplicate
information contained on the QC report.

D.

Deficiency Tracking System/Rework Items List:

Included as a part of the CQC program is a requirement for a formal
deficiency tracking system. As outlined in the accepted QC plan, it shall
consist of a cumulative list of job deficiencies/rework items. This includes
items identified by QA personnel, QC staff, testing failures, etc. This list
shall be continually maintained with dates of corrective action. The system
is subject to review by the government. If the QCS Module (Contractor
Module-RMS) is used/required there is a deficiency tracking system in it.

6-21

EXERCISE
Submodule 6.3

1.

What are the major components of the sample Quality Control Report in
submodule 3.2?

2.

How often are Quality Control and Quality Assurance Reports required?

3.

Following (3a through 3e) are situations relating to documentation and

three-phase control. Read the situations carefully, and respond to the
requirement(s) accompanying each.
a.

The G. J. Company has a contract for rehabilitation of three barracks.

The work consists primarily of addition of partitions and installation of
A/C equipment and duct work. On the day duct work installation
started, the Daily Report stated: "Started installing duct work today.
Everything looked okay." Is this report feature adequate? EXPLAIN.

b.

The G. J. Company continues work on rehab contract. Today's

activities involve the continuation of insulating duct work. After
several review sessions with the contractor with regard to proper
6-22

documentation of activities, his comments were, "Insulation of duct

work being done in accordance with specifications, vapor barrier was
ripped in a couple of places and insulator was a little light in use of
staples." Rewrite the contractor's comments to make them
acceptable.
c.

The Paw Power Construction Company has a contract for

construction of a high-rise administration building. Work was in early
stages of construction and a subcontractor had just completed
backfilling sanitary sewer lines. The utilities sub foreman had been
designated as QC Manager for this portion of the work. His report
was attached to the main report. A preparatory and initial phase have
been performed and recorded earlier. This report stated, "All work
completed in accordance with directions received at preparatory
phase."
(1)

Is it permissible to accept sub-reports attached to the Daily

Report?

(2)

Is it permissible to reference the preparatory phase?

(3)

Is anything missing?

6-23

d.

e.

Results of Surveillance: Bowers installed base of manhole #2

approximately 10 ft. east of its correct location. Pipe between
manholes #6 and #2 is being removed and the pipe between
manholes #3 and #2 is being extended to a new location for manhole
#2.
(1)

What does this report say?

(2)

Rewrite the report so that it states clearly what is intended.

You are the QC Manager. You are to begin installation of ceramic

floor and wall tile. Both the floor and the wall are to receive a setting
bed. The floor has floor drains, and waterproofing has been
completed. The wall has electrical receptacles.
(1)

Who would you want at the initial phase of the work?

(2)

What would you check?

6-24

(3)

What items should be contained in the QC Report covering the

Initial Phase?

6-25

NOTES
CONSTRUCTION QUALITY MANAGEMENT
FOR CONTRACTORS

6-26

NOTES
CONSTRUCTION QUALITY MANAGEMENT
FOR CONTRACTORS

6-27

Module 6: QUALITY MANAGEMENT FOR CONSTRUCTION PROJECTS

Submodule 4: Testing

Objectives: After completing this submodule, you will be able to:

A.

Discuss the objectives of contractor and Government testing.

Describe contractor testing procedures.

List testing requirements.

Importance of Testing:
Testing is an extremely important part of CQM. If tests are not performed
properly, there are many construction procedures and materials that cannot be
confirmed as adequate. Visual observation alone is insufficient.

B.

C.

Types of Tests:
1.

QC Testing: The contractor performs control testing to determine whether

construction procedures and materials are producing the desired contractual
product.

2.

QA Testing: The government performs assurance testing to verify that the

contractor's control testing is adequate.

Procedures:
1.

The contractor must outline proposed testing procedures as defined in

Section 01451A and/or Section 01450N in the QC Plan. These proposed
procedures must be discussed at the Coordination Meeting or the Mutual
Understanding Meeting (Navy). Any disagreement regarding testing
procedures must be settled before construction begins.

2.

The contractor must provide a list of required control tests and specify
whether the tests are to be performed by an independent, approved testing
6-28

laboratory, or through the use of his own personnel and facilities. For
CORPS contracts approved testing laboratory means laboratories that
have been validated by the Materials Testing Center (MTC) at Waterways
Experiment Station in Vicksburg, MS.
3.

Regardless of which method of testing the contractor uses, he is required to

assure that specified laboratory procedures are used and that laboratory
facilities are certified.

4.

QC testing is verified in a random manner by QA testing. QA tests are

unannounced sporadic tests that repeat QC tests. QA testing can be
performed by :
a.

Government personnel using the contractor's equipment and facilities,

b.

An independent testing laboratory, or

c.

A field office, district, or division government laboratory.

5.

QC personnel must be knowledgeable concerning laboratory and testing

procedures. They must be able to visually recognize proper and improper
testing procedures. All involved personnel should become aware of the
methods to be used for and the extent of QC testing.

6.

Before testing begins, the following questions should be answered and

verified against the approved QC Plan:

7.

a.

Has all required testing been identified?

b.

Are test reporting requirements understood?

c.

Have laboratory facilities and testing equipment been verified as

acceptable?

d.

Are laboratory personnel qualified?

e.

Has the calibration of equipment been verified as accurate?

f.

Is there a procedure for documenting corrective steps?

After QC testing has begun, a thorough examination must be made of the

test reports submitted to ascertain that:

6-29

D.

a.

Reports are being submitted for all tests performed,

b.

Reports are complete and accurate, and

c.

Failing tests must be retested and cross referenced to the original

failing test.

Test Tracking System: In accordance with Section 01451A and Section 01450N,
the contractor must establish and maintain a system to track verification, control
and acceptance tests. Each planned test type and frequency must be entered into
the tracking system prior to beginning work. Results and dates of individual tests
are to be added to the system as they are performed. Any failing test results will
have retests performed, entered into the system and cross referenced. The
tracking system must be reviewed frequently to assure that any activity underway
is having all planned tests performed as scheduled.

6-30

EXERCISE
Submodule 6.4

1.

Define QC testing.

2.

Define QA testing.

3.

Who performs QC tests?

6-31

4.

Who performs QA tests?

5.

What questions should be answered before testing begins?

6-32

NOTES
CONSTRUCTION QUALITY MANAGEMENT
FOR CONTRACTORS

6-33

NOTES
CONSTRUCTION QUALITY MANAGEMENT
FOR CONTRACTORS

6-34

Module 6: QUALITY MANAGEMENT FOR CONSTRUCTION PROJECTS

Submodule 5: Completion of Work

Objective: After completing this submodule, you will be able to:

Describe project completion procedures.

Quality Management Completion Procedures:

Testing of Completed Systems: Testing of completed systems shall be

performed as required by the technical specifications of the contract.

Contractor Punch-Out: Near the completion of all work or any increment

thereof, the contractor prepares a punch list and makes corrections.
Quality Assurance personnel will not prepare the contractor's deficiency list.
The contractor should correct deficiencies promptly so that project
schedules are met. All major deficiencies noted during this contractor's
punch-out inspection must be corrected prior to the pre-final inspection.

Pre-Final and Final Inspections: Participating in the pre-final and final

inspections will be QA personnel and QC personnel. The QC Manager will
assure that all deficiencies noted during the pre-final inspection are
corrected prior to the final inspection, and report the status of corrective
actions to the Government. The client/customer is invited to the final
inspection. Any deficiencies noted at these inspections by client/customer
personnel, whether design or construction related, will be examined by the
Government and the contractor notified if corrective action is required under
the terms of the contract. All significant deficiencies must be corrected prior
to turnover.

Complete As-Built Drawings: As-built drawings are updated continually

throughout the project. During the final stages of construction, the QC
Manager will review and complete these drawings. While the status of asbuilt drawings is a concern throughout the project, it is of particular
significance, as the project comes to an end, to prevent any loose ends.

6-35

Operations and Maintenance (O&M) Manuals: The QC Manager will

assure submittal of all required operation and maintenance data in
accordance with scheduled submittal dates.

Instruction and Training Procedures: If the contract requires operation and

maintenance training of client/customer personnel, the QC Manager will
make certain all specified training has been conducted by qualified
instructors.

Materials Turnover: The QC Manager will verify that all required keys,
spare parts and materials have been sorted, identified, and demonstrated to
be usable prior to final inspection.

Warranty: The QC Manager will ensure that all warranty information is

provided. Procedures for warranty notification and correction should be in
place. FAR Clause 52.246-21 Warranty of Construction, states the general
warranty period for construction work is one year from the time of
acceptance by the government unless stated otherwise in the
specifications. If the manufacturers of individual components provide a
longer warranty, this extended warranty period accrues to the government.
If the contractor repairs or replaces a component of the project during the
warranty period then this component is warranted for one year from the
repair or replacement date.

6-36

EXERCISE
Submodule 6.5

What is the appropriate chronological order for the quality management

completion procedures listed in this submodule? Explain.

6-37

NOTES
CONSTRUCTION QUALITY MANAGEMENT
FOR CONTRACTORS

6-38

NOTES
CONSTRUCTION QUALITY MANAGEMENT
FOR CONTRACTORS

6-39