albany, ny 12232-0861 september 2009 materials …concrete mix designs recorded on br-155 forms...

NEW YORK STATE DEPARTMENT OF TRANSPORTATIONMATERIALS BUREAU

MATERIALS PROCEDURE

SUBJECT: PRECAST CONCRETE

APPROVED: _ /s/ John E. RondinaroJohn Rondinaro, Director, Materials Bureau

TABLE OF CONTENTS

1.0 SCOPE ................................1.1 DEFINITION OF TERMS1.2 MANUFACTURER REQUIREMENTS

1.2.1 Facility Certification and Approval1.2.2 Personnel Certifications1.2.3 QC Policies and Procedures1.2.4 Production Policies and Procedures1.2.5 Training ................................1.2.6 Internal Quality Assurance

1.3 GENERAL PROGRAM REQUIREMENTS1.3.1 Obtaining Approved List Status1.3.2 Initial Production Program1.3.3 Routine Production Program1.3.4 Probationary Production Program1.3.5 Inactive Producer Status1.3.6 Approved List Removal

1.4 DEPARTMENT AUDITS1.4.1 Audit Process ................................1.4.2 Routine Audits................................1.4.3 Annual Audits................................1.4.4 Project Site Audits

1.5 MONITOR CORES................................1.5.1 Monitoring Process1.5.2 Annual Acceptance Limits1.5.3 Coring Frequency1.5.4 Routine Evaluation of Test Results1.5.5 Annual Evaluation of Test Results

1.6 EVALUATION OF FINISHED PRODUCT1.6.1 Plant Monitoring1.6.2 Project Site Acceptance

APPENDIX A: Quality Control Plan RequirementsAPPENDIX B: Testing Facilities andAPPENDIX C: Sample FormsAPPENDIX D: Repair and Fabrication Discrepancy AcceAPPENDIX E: List of Precast Concrete

NEW YORK STATE DEPARTMENT OF TRANSPORTATIONMATERIALS BUREAU ALBANY, NY 12232-0861

MATERIALS PROCEDURE

Materials Procedure No.:

Issue Date:Revised: August 2016Subject Code:

PRECAST CONCRETE QC/QA PROCEDURES

/s/ John E. Rondinaro _John Rondinaro, Director, Materials Bureau

Supersedes:Dated: October 200

............................................................................................................................DEFINITION OF TERMS............................................................................................MANUFACTURER REQUIREMENTS ................................................................

Facility Certification and Approval ................................................................Personnel Certifications ................................................................QC Policies and Procedures ................................................................Production Policies and Procedures................................................................

................................................................................................Quality Assurance ................................................................

GENERAL PROGRAM REQUIREMENTS..............................................................Obtaining Approved List Status................................................................Initial Production Program................................................................Routine Production Program................................................................Probationary Production Program ................................................................Inactive Producer Status ................................................................Approved List Removal ................................................................

DEPARTMENT AUDITS .............................................................................................................................................................................................................................................................................................................................................................................................

Audits .............................................................................................................................................................................................

Monitoring Process ............................................................................................Annual Acceptance Limits ................................................................Coring Frequency ..............................................................................................Routine Evaluation of Test Results ................................................................Annual Evaluation of Test Results ................................................................

EVALUATION OF FINISHED PRODUCT...............................................................Plant Monitoring ................................................................................................

Acceptance Evaluation ................................................................

Quality Control Plan RequirementsFacilities and Sampling and Testing Frequencies

Sample Forms and DocumentsRepair and Fabrication Discrepancy Acceptance ProcedureList of Precast Concrete Product Groups

Materials Procedure No.: 09-02

Issue Date: September 2009August 2016

Subject Code: 7.42-2

Supersedes: MP 00-01October 2000

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ptance Procedure

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This Materials Procedure establishes the requirements and procedures precast manufacturers mustfollow in order to be placed, and remain, on the Department’s Approved List of Precast ConcreteManufacturers Approved for QC/QA Production. The QC/QA Program provides industry the abilityto independently control their production process and provide timely delivery of product while at thesame time providing the Department assurances that product of acceptable quality is produced on aconsistent basis. This procedure applies to precast products manufactured under a conventional “wetcast” process. It is not intended to cover precast products manufactured under a “dry cast” or “zeroslump” process. Appendix “E” contains a listing of typical products, arranged by group, which arecovered by this procedure. The information contained here in is the result of a joint effort betweenthe Precast Concrete Industry and the Department.

1.1 DEFINITION OF TERMS

1. ACI GRADE 1 – A certification, granted by the American Concrete Institute, forCertified Concrete Field Testing Technician – Grade 1.

2. APPROVED LIST – Identifies manufacturers meeting the requirements of thisprocedure and specific precast concrete product groups they are approved tomanufacture.

3. BATCH – Component materials: cement, aggregates, water and admixtures weighed toa pre-determined mix design and mixed to create a homogeneous mixture with uniformmaterial properties throughout.

4. CAP – Corrective Action Plan. A document prepared by the precast manufacturerdescribing their plan for correcting non-conforming issues identified by the Department.

5. MANUFACTURER/SUPPLIER – A company engaged in the manufacture and supplyof precast concrete units.

6. MATERIALS BUREAU – A facility of the New York State Department ofTransportation which may be contacted by mailing to:

NYS Department of TransportationMaterials Bureau, POD 5150 Wolf Rd.Albany, NY 12232

orTelephone: (518) 457-5956

7. MIM – Materials Inspection Manual. A Department document which identifies theevidence of acceptability for component materials used in Department work.

8. NPCA – National Precast Concrete Association.

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9. NYSDOT – The New York State Department of Transportation which may also bereferenced as Department.

10. PCC – Portland Cement Concrete.

11. PCI – Precast/Prestressed Concrete Institute.

12. PA – Plan Administrator. Manufacturer/supplier’s individual in charge of the overallprecast operation, with binding legal authority for the company.

13. PIECE – Also referred to as unit. An independent precast section, which together withother pieces complete a precast structure or item.

14. QUALITY ASSURANCE AUTHORITY – An office designated by the MaterialsBureau as responsible for quality assurance activities on behalf of the Department, atspecific manufacturing locations.

15. QAM – Quality Assurance Manager. The Materials Bureau individual in charge of thisprogram. The QAM shall have one of the following certifications:- NPCA Production and Quality School Level 1 or PCI Level 1&2 Quality Control and

Assurance School or equivalent as approved by the Materials Bureau.The QAM may be contacted by phoning the Materials Bureau at (518) 457-3420.

16. QAT-1 – Quality Assurance Technician, Level 1. Individual representing the NYSDOTin conducting annual audits. The QAT-1 shall have the following certifications:- ACI Grade 1 or equivalent as approved by the Materials Bureau- NPCA Production and Quality School Level 1 or PCI Level 1&2 Quality Control and

Assurance School or equivalent as approved by the Materials Bureau.

17. QAT-2 - Quality Assurance Technician, Level 2. Individual representing the NYSDOTin conducting routine audits. The QAT-2 shall have the following certifications:- ACI Grade 1 or equivalent as approved by the Materials Bureau- NPCA Production and Quality School Level 1 or PCI Level 1&2 Quality Control and


18. QCP – Quality Control Plan. A manufacturer/supplier’s written document whichidentifies how quality control procedures will be implemented through out all aspects ofthe precast fabrication and supply process.

19. QCT-1 – Quality Control Technician, Level 1. Manufacturer/supplier’s individualresponsible for the quality control system. The QCT-1 shall have the followingcertifications:- ACI Grade 1 or equivalent as approved by the Materials Bureau- NPCA Production and Quality School Level 1 or PCI Level 1&2 Quality Control and



20. QCT-2 – Quality Control Technician, Level 2. Manufacturer/supplier’s individualresponsible for assisting with implementation of the quality control system. The QCT-2shall have the following certifications:- ACI Grade 1 or equivalent as approved by the Materials Bureau

21. SOP – Standard Operating Procedure. A procedure that describes what is actually donein each area of the organization to accomplish a specific work activity. The QCP shallcontain separate SOPs for each component of the production process.

1.2 MANUFACTURER REQUIREMENTS

1.2.1 Facility Certification and Approval. In order to be considered for Approved Liststatus, precast manufacturers must obtain the following facility certifications andapprovals:

1. The manufacturing facility must be approved to participate in a Plant CertificationProgram administered by NPCA, PCI or equivalent approved by the MaterialsBureau.

2. PCC batching facilities must be approved by the NYSDOT. The requirements forbatching facility approval are contained in section 501 of the Department’sStandard Specifications. Batching facilities may be on-site at the manufacturingfacility or off-site at a facility such as a redi-mix supplier.

In order to maintain Approved List status the above certifications and approvals mustbe kept current with appropriate documentation maintained at the manufacturingfacility.

1.2.2 Personnel Certifications. This procedure identifies two job titles responsible for theimplementation of the manufacturer’s quality control system. They are QCT-1 andQCT-2. The following certifications are required by personnel identified as QCT-1s,QCT-2s or alternate corresponding titles, as identified in the manufacturer’s QCP:

1. ACI Grade 1 or equivalent approved by the Materials Bureau. This certification isrequired for personnel identified as QCT-1s and/or QCT-2s.

2. NPCA Production and Quality School Level 1, PCI Level 1&2 Quality Controland Assurance School or equivalent approved by the Materials Bureau. One ofthese certifications is required for personnel identified as QCT-1s.

Manufacturers must employ a minimum of one QCT-1, or equivalent titled personcertified as meeting the requirements of both 1 and 2 above. Consultant personnelmay be employed by the manufacturer on a short or long term basis to satisfy thisrequirement. In addition to the above certifications, the QCT-1 shall have readyaccess to and be familiar with and understand the latest manufacturer’s QCP,Department specifications, standards and procedures. Personnel certifications mustbe kept current with appropriate documentation maintained at the manufacturingfacility.


Commentary: A QCT-1 is required to be on site for each production shift where workis being performed for the Department under this program. Although only oneperson meeting the requirements for a QCT-1 is required, it is recommended thatmore than one person obtain the required certifications.

1.2.3 Quality Control Policies and Procedures. Quality control is an essentialcomponent of the over all manufacturing process. A good quality control programwill insure that quality products are produced, fabrication errors are minimized, andin the end should prove to be a cost effective business investment. An effectivequality control program requires knowledge of the program and a commitment fromall employees involved in the production process. The commitment to quality startswith the support of management in providing the necessary tools, personnel, andguidance required to implement an effective quality control program.

1.2.3.1 Quality Control Plan. The manufacturer shall provide a Quality ControlPlan (QCP) covering all aspects of the production process. This documentbelongs to the manufacturer and must accurately represent the practices andprocedures that will be followed when doing work for the Department underthe QC/QA Program. The QCP must be formatted and organized inaccordance with Appendix “A” of this procedure. Standard OperatingProcedures (SOPs) shall be developed for each production activity identifiedin Appendix “A”. All details contained in the QCP, pertaining to Departmentproduction, must comply with requirements in the applicable Departmentspecifications, methods and procedures. The QCP may also contain detailsfor non-Department production. All QCP details which do not pertain toDepartment production must be clearly identified.

When producing precast products under the Department’s QC/QA Program,all applicable procedures and processes in the QCP must be followed. TheQCP must be kept current with regards to SOPs, facilitycomponents/equipment, test equipment, levels of responsibility andcertifications for key personnel, etc. Revisions to the QCP must be approvedby the Department’s QAM prior to implementation.

1.2.3.2 Document Availability. The following documents shall be kept current andreadily available to managerial, supervisory and quality control personnel: Manufacturer’s QCP (approved by the Department) Applicable Department Specifications (Standard and Special) National and other Specifications referenced in the QCP Materials Methods and Procedures referenced in the QCP Department’s Materials Inspection Manual (MIM)

1.2.3.3 Quality Control Records. The maintenance of accurate quality controlrecords is essential. These records provide documentation of themanufacturer’s compliance with QC/QA Program requirements. Thefollowing records must be maintained for a minimum of seven years at aDepartment approved location:


Documentation of employee’s current certifications by ACI, NPCA,PCI, or equivalents approved by the Materials Bureau

Documentation of plant’s current certification by NPCA, PCI orequivalent approved by the Materials Bureau

Concrete batch plant annual approval letter, issued by the MaterialsBureau

Documentation of 90 day batch plant scale checks Concrete mix designs recorded on BR-155 forms Certifications and calibration records for test equipment, as described

in section 1.2.3.4. Daily production records for all units fabricated under the QC/QA

program shall be maintained in a manner that provides for easy crossreference to each days production. Daily production records shallinclude the following:

o Daily Production Worksheets, ref. Appendix “C”o Component material certifications and other evidence of

acceptabilityo Inspection checklists documenting pre-pour, pour, post pour and

final inspectionso Concrete batch ticketso Concrete and aggregate test results, ref. Appendix “B”o Department’s test results for monitor coreso Documentation of major repairs, ref. Appendix “D”o Shipping certifications

1.2.3.4 Test Equipment. Test equipment identified in Appendix “B” must be ingood repair and functioning properly. Broken or malfunctioning equipmentmust be removed from service immediately and replaced withrepaired/recalibrated equipment. Equipment calibrations shall be performedin accordance with the appropriate specification or method and at thefrequency identified in Appendix “B”. If a consultant’s or redi-mixsupplier’s lab is used for concrete, aggregate or other testing it must beevaluated and approved by the Department. Once approved by theDepartment, it is the manufacturer’s responsibility to verify that theconsultant’s or redi-mix supplier’s equipment is maintained in properworking condition and documentation of required calibrations are kept.

1.2.4 Production Policies and Procedures. All precast units fabricated under the QC/QAProgram must be made in strict accordance with the manufacturer’s QCP, Departmentspecifications and Department approved fabrication drawings. A QCT-1 must be onsite for all QC/QA production in order to monitor QCP activities involving thefabrication, inspection, curing, repair, and shipping of precast units and shall haveauthority to stop production if necessary. The QCT-1 may delegate specificinspection duties to a QCT-2 or other qualified personnel in accordance with theirlevels of responsibility as described in the QCP.

1.2.4.1 Quality Control Plan. Supervisory and quality control personnel shall haveready access to a current copy of the manufacturer’s QCP. Production and


quality control personnel shall have a good understanding of all QCPprocedures related to their specific areas of responsibility.

1.2.4.2 Communication. The PA shall conduct periodic meetings with QCT-1’s,QCT-2’s and other designated personnel to review the plants performance asit relates to production activities and the QC program. When discussionsresult in revisions to the QCP, they must be approved by the Departmentbefore implementation. While not required, it is recommended that meetingnotes be kept to document discussions and proposed corrective actions.

1.2.4.3 Production Records. A Daily Production Worksheet, ref. Appendix “C”,must be completed each day units are produced under the QC/QA Program.Only those units produced for Department work under the QC/QA Programshall be included on the worksheet, unless otherwise directed by the QAM.Each piece cast on a specific day must be given a unique identificationnumber to be used on all production, quality control and shipping records.Completed Daily Production Worksheets must be forwarded to the QAMwithin two weeks of the production date. Multiple production days may besubmitted at the same time. No worksheets are required for days where thereis no QC/QA production.

1.2.5 Training. Adequate training must be provided to familiarize personnel withproduction and quality control procedures related to their specific areas ofresponsibility. A well written SOP from the manufacturer’s QCP can be used as aneffective training tool. Other methods of training include classes or presentationsprovided by outside firms, internal classes, production/qc meetings, and on-the-jobtraining. A record of training activities should be maintained.

1.2.6 Internal Quality Assurance. While a manufacturer’s QCP may contain adequatedetails describing production and quality control procedures, it is necessary that theybe properly implemented in order to assure quality products are produced on aconsistent basis. Although the Department provides quality assurance throughperiodic audits of the precast facility, it is important that the manufacturer beproactive in providing their own quality assurance.

1.2.6.1 Internal Audit. The PA or their designee shall conduct a minimum of oneinternal audit annually. It is recommended that the auditor be familiar withproduction and quality control processes but not necessarily involved withthem on a day to day basis. The audit must cover all aspects of the QCP. Awritten report documenting the annual audit must be forwarded to theDepartment’s QAM. The report should identify the QCP activities audited,audit findings, and corrective actions intended to address non-conformingaudit points.

1.2.6.2 Annual Certification. In the first quarter of each calendar year, the PAmust submit a letter to the QAM certifying that their QCP and all referencedplant and personnel certifications and approvals are up to date and current. IfQCP revisions are necessary they may be submitted along with the


certification. The annual certification must be received, with in the requiredtime frame, in order to maintain a favorable status on the Department’sApproved List.

1.2.6.3 Quality Assurance Records. The following records shall be maintained at aDepartment approved location for a minimum of seven years. Manufacturer’s Annual Certification letter to the Department’s QAM Manufacturer’s Internal Audit Reports Department’s Routine Audit reports on BR-10 forms Department’s QAM Annual Audit Reports and BR-1 forms Manufacturer’s Corrective Action Plans (CAPs) Department’s annual monitor core and audit summaries

1.3 GENERAL PROGRAM REQUIREMENTS

1.3.1 Obtaining Approved List Status. The Department maintains a list of precastmanufacturers approved to produce under the QC/QA Program. In order to supplyprecast products under the QC/QA Program, the precast manufacturer must appear onthis list for the product group being supplied. See Appendix E for a list of productgroups. Manufacturers must successfully meet the requirements of section 1.3.1.2Initial Facility Evaluation and 1.3.1.3 Trial Production Period before they will beconsidered for Approved List status.

1.3.1.1 Application Process. Applicants shall submit to the Director, MaterialsBureau, a letter requesting that their manufacturing facility be considered forApproved List addition. The following documents shall be included with theletter:

Two copies of the manufacturer’s QCP, prepared in accordance withAppendix A

A copy of the facility’s current certification letter from NPCA, PCI orequivalent

A copy of the current ACI, NPCA, PCI or equivalent certifications forpersonnel, identified by either name or job title in the QCP, who willbe involved with production under the QC/QA Program

A copy of the current Department approval letter for the on site or offsite concrete batch plant that will be used for concrete production. Ifthe batch plant is not approved at the time of application, identify thebatching facility to be used (on-site or name of off-site redi-mixsupplier) and include a plan for obtaining approval.

The Materials Bureau will forward one copy of the QCP to the MaterialsEngineer in the region where the plant is located, for review. A period of 30days should be anticipated for Department review of applications.Manufacturers will be notified with the results of the Department’s review.

1.3.1.2 Initial Facility Evaluation. When the manufacturer’s QCP and supportingdocumentation are determined to be acceptable, the Materials Bureau willschedule a meeting to be held at the manufacturing facility. The purpose ofthis meeting is to conduct a walk through of the entire QCP. The Materials


Bureau will provide in advance, a list of questions related to implementationof the QCP. The manufacturer will be asked to describe their plans forimplementation of each process, activity and SOP covered in the QCP. TheDepartment will verify that the manufacturer has the personnel, equipmentand facilities in place to implement their QCP as described. TheDepartment’s expectations related to implementation and the QC/QAProgram in general will be discussed. An acceptable Initial FacilityEvaluation is required prior to requesting a Trial Production Period.

1.3.1.2.1 Meeting Participation. Meeting participants from the Departmentwill include the Materials Bureau’s QAM and QAT-1 andRegional or Consultant Agency QAT-2. The manufacturer’s PAmust be present for the meeting along with key quality control andproduction personnel, as determined by the PA. It is stronglyrecommended that the person in charge of the manufacturer’squality control program be present for the meeting.

1.3.1.2.2 Acceptable Evaluation. When the Department’s evaluation isfound to be acceptable, the manufacturer will be asked to forwardone signed copy of their QCP to the Department. With in 14 daysof receipt of the signed QCP, the manufacturer will be notified inwriting that their facility and QCP have been given tentativeapproval. An approved copy of the QCP will be forwarded, alongwith a letter, to the manufacturer and appropriate RegionalMaterials Engineer or Consultant Agency office.

1.3.1.2.3 Unacceptable Evaluation. When the Department’s evaluation isfound to be unacceptable, the manufacturer will be notified inwriting, with in 14 days of the evaluation, with the reasons why.The manufacturer, upon successfully addressing the reasons fornoncompliance in writing to the QAM, may request anotherfacility evaluation.

1.3.1.3 Trial Production Period. Manufacturers must successfully complete a TrialProduction Period in order to gain Approved List status. The Departmentuses this production period as an initial assessment of a manufacturer’sability to produce a quality product through the implementation ofprocedures in their QCP. The trial production period consists of 15production days where a minimum of one unit is produced for evaluation perday. The precast item produced for evaluation shall be similar to an item themanufacturer intends to produce for Department work. Units producedduring the Trial Production Period will not be considered for use onDepartment projects.

1.3.1.3.1 Manufacturer Requirements. Prior to the start of production, themanufacturer shall submit to the QAM; a description of the itembeing produced for evaluation, one copy of the drawing being usedfor fabrication and inspection purposes with dimensional


tolerances indicated, one copy of the concrete mix design and theirproposed production schedule. Upon notification by theDepartment, and confirmation of the proposed productionschedule, production may begin. During the Trial ProductionPeriod manufacturers must follow procedures in their QCPincluding the following:

Concrete batching Aggregate and concrete testing Pre-pour, pour and post pour quality control inspections Concrete curing Documentation of material tests and quality control

inspectionsThe Department may be contacted to answer questions and provideguidance as production progresses. When production is complete,the manufacturer contacts the QAM to schedule an evaluation.

1.3.1.3.2 Evaluation Process. During the trial production period theDepartment may visit the facility to observe production activities,however full time Department over sight will not be provided.Once notified that production is complete the Department willselect a representative unit from each day’s production forevaluation of the following:

Conformance to the applicable fabrication drawing Conformance to applicable tolerances Presence of minimal defects including bug holes, spalls,

honeycombing, cracks, exposed reinforcing steel, etc. Documentation of test results for aggregates and concrete,

completed in accordance with the manufacturer’s QCP Documentation of pre-pour, pour and post pour inspection

reports, completed in accordance with the manufacturer’sQCP

Hardened concrete properties for compressive strength andair content, measured by testing one pair of cores from eachunit evaluated. Test results must meet the annualacceptance limits in section 1.5.2

The Trial Production Period will be considered acceptable whenthe above conditions are met.

1.3.1.3.3 Acceptable Evaluation. When the Department’s evaluation isfound to be acceptable, the manufacturer will be notified in writingthat their facility has been placed on the Department’s ApprovedList.

1.3.1.3.4 Unacceptable Evaluation. When the Department’s evaluation isfound to be unacceptable, the manufacturer will be notified inwriting with the reasons why. The manufacturer, uponsuccessfully addressing the reasons for noncompliance, may


contact the QAM in accordance with section 1.3.1.3.1 and requestanother Trial Production Period.

1.3.2 Initial Production Program. When an Approved List manufacturer starts QC/QAproduction for the first time they do so under the Initial Production Program. Itemsproduced under Initial Production must be for specific Department contracts or stockmaterial intended for Department use. During this production phase the manufacturerbegins implementation of their QCP. The Department provides oversight and verifiesthe manufacturer’s ability to produce material meeting all specifications and QCPrequirements. The Initial Production Program must be successfully completed inorder for the manufacturer to progress to the Routine Production Program.

1.3.2.1 Start Up Notification. The manufacturer must notify the QAM of theirinitial production in each product group and when production is to resumefor a product group after a lapse of 1 year or more. Approved fabricationdrawings, for the item to be produced, are required before the start upnotification can be given. The QAM must be notified 14 days prior to theanticipated starting date and again 48 hours prior to the start of production toconfirm the exact starting date. This notification provides the Departmentwith an opportunity to evaluate the initial production for each product group.The manufacturer is not required to hold up production, provided therequired notifications are given to the Department.

1.3.2.2 Manufacturer Requirements. During the initial production phasemanufacturers must follow all aspects of their QCP including the following:

Verification of evidence of acceptability for raw materials Sampling and testing concrete and aggregates: proper personnel,

procedures and frequencies Quality control inspections: proper personnel and procedures,

checklists must be filled out in “real time” as inspections take place Record keeping Filing of required quality control and quality assurance records Shipping and certification procedures Monitor core procedures

1.3.2.3 Evaluation Process. A Materials Bureau QAT-1 will visit the facility andset up the initial production evaluation, with the assistance of a Regional orConsultant Agency QAT-2. The QAT-1 will be present for 1 to 2 days toprovide guidance as production begins. Initially the QAT-2 will workinteractively with the manufacturer to assist in the implementation of theirQCP. Gradually the QAT-2 will step back and observe, to verify themanufacturer’s ability to follow their QCP without direct Departmentoversight. The Department’s Routine Audit form, BR-10, will be filled outby the QAT-2 each day to document the manufacturer’s progress. Copieswill be provided to the PA, or their designee, and the QAM. The MaterialsBureau QAT-1 will visit the facility again prior to completion of the initialproduction phase to verify acceptable conformance with the manufacturer’sQCP.


The initial production phase should typically last 20 to 40 production days.A production day is defined as any day in which at least one unit is castunder the QC/QA Program. Failure of the manufacturer to demonstrate anacceptable level of conformance to their QCP will result in an extension ofthe initial production phase. In no case will the initial production phaseextend beyond 100 production days. Failure of the manufacturer todemonstrate an acceptable level of conformance after 100 production dayswill result in removal of the manufacturer from the Department’s ApprovedList. After 50 production days, manufacturers that are in jeopardy of beingremoved from the Approved List will be notified, in writing by the QAM,with specific non conforming issues requiring corrective action. Themanufacturer may be required to submit a written Corrective Action Plan(CAP) to the QAM.

1.3.2.4 Acceptable Evaluation. When the QAM determines that the manufacturerhas demonstrated consistent, acceptable conformance with their QCP,without the need for direct Department oversight, the manufacturer will benotified and moved to the Routine Production Program.

1.3.2.5 Unacceptable Evaluation. When the QAM determines that themanufacturer has not met the requirements of the Initial Production Program,the manufacturer will be notified in writing of their anticipated removal fromthe Approved List. See section 1.3.6 for details of the Approved Listremoval process.

1.3.3 Routine Production Program. Upon successful completion of the Initial ProductionProgram, manufacturers are moved to the Routine Production Program. This is theproduction program manufacturers in good standing on the Approved List willtypically produce under. Under Routine Production, manufacturers are able tofabricate and ship product with a minimum amount of Department oversight. Allquality control activities are performed and documented by the manufacturer whilequality assurance is provided by the Department.

1.3.3.1 Manufacturer Requirements. In order to maintain Approved List status,manufacturers producing under Routine Production must meet all QC/QAProgram requirements including the following.

1.3.3.1.1 Notifications. Department notification is required when any of theevents listed below occurs. Notification should be made by phoneor e-mail. Unless noted otherwise below, the Department contactperson is the Regional Materials Engineer, when the QualityAssurance Authority is a Regional Materials Office; and the QAMwhen the Quality Assurance Authority is a consultant agency. Thefollowing events require Department notification:

When all QC/QA activity is to stop for a period of morethan two weeks.


Prior to the resumption of QC/QA activities after a periodof more than two weeks with no QC/QA activity. Whenthe period of no QC/QA activity is greater than one year,the Department contact person is the QAM. In either case,notification shall be provided a minimum of 48 hours priorto resuming production.

When, based on annual production totals, a set of monitorcores must be taken.

When any hardware or software changes are made to theconcrete batch plant.

When the annual batch plant approval is due. To avoidlapses in approval, notification should be given a minimumof one month prior to expiration of the current approval.

When 90 day batch plant scale checks are due. To avoidlapses in approval, notification should be given a minimumof two weeks prior to expiration of the current approval.

1.3.3.1.2 Quality Control. When producing under Routine Production, themanufacturer is responsible for all quality control activities. Allrequirements of the manufacturer’s QCP and applicableDepartment specifications must be met. Precast units meeting allQCP and specification requirements may be certified and shippedby the manufacturer without further Department inspection.Department inspection is provided at the job site as part of thebasis of acceptance for the product.

1.3.3.2 Department Quality Assurance. The Department provides qualityassurance by performing audits at the production facility and project site,sampling and testing cores taken from the hardened concrete and evaluatingpersonnel and equipment used for testing concrete and aggregates. Amanufacturer’s status on the Department’s Approved List is determined bythe findings of these various quality assurance activities.

1.3.3.2.1 Production Facility Audits. Manufacturers producing underRoutine Production will be subject to unannounced audits by theDepartment. Audits are used to measure and document amanufacturer’s compliance with their QCP and DepartmentSpecifications. There are two types of audits performed at theproduction facility; Routine Audits and Annual Audits. RoutineAudits are performed periodically and focus on varying portions ofthe manufacturer’s QCP. See section 1.4.2 for information on theRoutine Audit process. Annual Audits are performed a minimumof once a year and cover the manufacturer’s entire QCP. Seesection 1.4.3 for information on the Annual Audit process.

1.3.3.2.2 Project Site Audits. Project Site Audits provide informationregarding the documentation and overall quality of precast


products at their point of use. See section 1.4.4 for information onthe Project Site Audit process.

1.3.3.2.3 Monitor Cores. Cores taken from randomly selected precastunits will be tested by the Department to evaluate the hardenedconcrete for compressive strength and air content. The results ofmonitor core tests are used to verify that cylinder break and plasticair test results, reported by the manufacturer, accurately representconcrete properties in the finished unit. A minimum percentage ofmonitor core test results must meet specification requirementsannually in order for the manufacturer to maintain their ApprovedList status. See section 1.5 for information on the monitor coreprocess.

1.3.3.2.4 Independent Assurance Sampling and Testing (IAST). Anevaluation of the manufacturer’s personnel and equipment used formaterial acceptance testing will be conducted by Regional or MainOffice IAST personnel. Each person performing acceptance testswill be evaluated a minimum of one time per calendar year.Evaluations will focus on aggregate and plastic concrete testing.The results of IAST evaluations will be provided to manufacturersand the QAM. See the Department’s IAST Manual for moreinformation on the IAST Program.

1.3.4 Probationary Production Program. Manufacturers who fail to correctreoccurring or serious non conformances identified on Department audits will beplaced on Probationary Production. Under Probationary Production, manufacturersare given an opportunity to demonstrate that non-conforming issues have beencorrected. Department oversight of production will be increased to monitor themanufacturer’s progress. Failure to satisfactorily correct non-conformances willresult in removal of the manufacturer from the Approved List.

1.3.4.1 Notifications. The QAM will notify manufacturers in writing of theDepartment’s decision to place them on Probationary Production.Notification will include the following:

Identification of specific non conforming issues Requirements for a Corrective Action Plan (CAP) Requirements for certification and shipment of product Requirements for return to Routine Production Department evaluation procedures Time frame for corrective action

1.3.4.2 Manufacturer Requirements. Manufacturers must submit a CAP to theDepartment for approval within 14 days after notification of placement onProbationary Production. The CAP must address all non conformancesidentified in the QAM’s notification letter and include a time frame forimplementation. All requirements of the Routine Production Program mustbe met while on Probationary Production. Manufacturers must demonstrate


that implementation of their CAP has eliminated, on a consistent basis, thenon conformances identified in the QAM’s notification letter.

1.3.4.3 Evaluation Process. A Materials Bureau QAT-1 will visit the facilityand set up the probationary production evaluation, with the assistance of aRegional or Consultant Agency QAT-2. The evaluation period begins on thedate of this visit. The evaluation process will involve audits conducted bythe QAT-2 at an increased frequency of up to once daily. Audits will focuson the specific non-conformances cited in the QAM’s notification letter butwill also include other elements typically covered in routine audits. An auditform, designed specifically for the probationary production period, may beused in conjunction with the routine audit form. Documentation of auditfindings will be provided to the manufacturer and the QAM. Themanufacturer’s progress will be measured by the results of these audits. Theevaluation period will not exceed 50 production days. Manufacturers will benotified, in writing, by the QAM if satisfactory progress has not been madeafter 20 production days.

1.3.4.4 Acceptable Evaluation. When the QAM determines that the manufacturerhas satisfactorily corrected the non conforming issues identified in theQAM’s notification letter and demonstrated the ability to consistently meetall QC/QA Program requirements, the manufacturer will be returned to theRoutine Production Program. The manufacturer will be notified in writing oftheir return to the Routine Production Program.

1.3.4.5 Unacceptable Evaluation. When the QAM determines that themanufacturer has not satisfactorily corrected the non conforming issuesidentified in the QAM’s notification letter or has not demonstrated the abilityto routinely meet all QC/QA program requirements, the manufacturer will benotified in writing of their anticipated removal from the Approved List. Seesection 1.3.6 for details of the Approved List removal process.

1.3.5 Inactive Producer Status. Manufacturers who fail to maintain required plant andpersonnel certifications and approvals will be moved to Inactive Producer status onthe Department’s Approved List. In addition, manufacturers who repeatedly fail torespond, within the designated time frame, to QAM requests for specific actions, willbe subject to placement into Inactive Producer status. Manufacturers will be notifiedin writing of their change in status. Inactive producers may not produce or shipprecast items to Department projects. When the Department receives current copiesof all required certifications and approvals, the manufacturer will be reinstated totheir prior production status. Manufacturers who remain in Inactive status for morethan six months will be subject to removal from the Approved List. Certificationsand approvals which must be maintained include the following:

NPCA, PCI or equivalent plant certification (reference section 1.2.1) NYSDOT approval of on-site concrete batch plant or off-site concrete

batching facility when the off-site option is included in the manufacturer’sQCP and it is the primary source of supply. (reference section 1.2.1)


The required certifications for at least one employee designated as a QCT-1 orequivalent. When utilizing consultant personnel to fill this role, theircertifications, availability, and familiarity and understanding of themanufacturer’s QCP and Department specifications will be subject toverification by the Department. (reference section 1.2.2)

Manufacturer’s annual certification letter to the QAM (reference section1.2.6.2)

1.3.6 Approved List Removal. Precast manufacturers who fail to meet QC/QA Programrequirements will be subject to removal from the Department’s Approved List.Depending on the specific non conforming issues, the manufacturer may be removedfrom a specific product group or groups, or from all product groups.

1.3.6.1 Reasons for Removal. Serious fraudulent infractions which will constitutegrounds for removal of the precast manufacturer from the Approved Listunder all precast product groups include:

Falsification of records Knowingly producing items containing unapproved raw materials Deliberate shipment of non-compliant products Failure to take corrective action for non conformances documented

while on Probationary Production

Continued repetitive problems, documented in Department audits, with themanufacture of a product or products in a specific precast product group,which will constitute grounds for removal of the precast manufacturer fromthe Approved List under that precast product group include:

Inability to consistently achieve an acceptable architectural finish Inability to maintain unit dimensions with in specified tolerances Inability to fabricate products with out defects Inability to handle products with out damaging them

1.3.6.2 Notification. Manufacturers will be notified in writing that they are injeopardy of being removed from the Approved List. Specific nonconforming issues that constitute grounds for removal will be identified. Themanufacturer will be offered an opportunity to meet with the Department todiscuss the issues. Failure to meet with the Department will result in theManufacturer’s Approved List status being determined based on theinformation contained in the notification letter.

1.3.6.3 Meeting. When requested by the manufacturer, a meeting will be held todiscuss the non conforming issues constituting grounds for Approved Listremoval. It is recommended that the manufacturer’s Plan Administrator,Quality Control Manager, and key decision making personnel attend. TheMaterials Bureau will determine which Department personnel should attend.The manufacturer will be given an opportunity to explain how or why thenon conformances are occurring and what corrective actions they plan onimplementing. Subsequent to the meeting, Department personnel willdiscuss the information presented and determine if removal from the


Approved List is appropriate. The manufacturer will be notified in writingwith the Department’s decision.

1.3.6.4 Production Requirements After Removal. Manufacturers removed fromthe Approved List will be required to submit a list of Department contractsand corresponding precast items they are under obligation to supply.Material produced for contracts not on the list will not be considered foracceptance by the Department.

Effective on the date of removal, manufacturers removed from an ApprovedList product group(s) may no longer produce products for that group(s),under the QC/QA Program. The completion of existing work in the affectedproduct group(s) may be progressed in accordance with the manufacturer’sQCP, but will be subject to continuous Department inspection. Theacceptability of existing stock will be based on the manufacturer’s ability tosupply evidence of acceptability that can be verified through Departmentevaluation.

Department inspection of existing work will be provided, withoutcompensation, for a period of up to 3 months. Beyond 3 months, allappropriate engineering and inspection expenses incurred by the State, itsconsultants and inspection agencies will be deducted from any monies duethe Contractor for the Department inspected precast items. To avoid thismonetary deduction, the Contractor may elect to have the work completed byanother Approved List manufacturer.

1.3.6.5 Reinstatement. Manufacturers wishing to be considered for reinstatementto the Approved List must continue to follow their QCP while completingexisting State work, even though Department inspection is being provided.This gives the manufacturer an opportunity to demonstrate that correctiveactions have been implemented which have eliminated the non conformancesthat resulted in their removal from the Approved List. Manufacturers withno existing State work to complete will be evaluated based on significantchanges they propose to their operation to ensure that future production willbe QC/QA compliant. The fabrication of commercial or stock materialproduced in a manner similar to a trial production period, may also berequired as part of the Department’s evaluation. The Department will meetwith the manufacturer to develop an evaluation plan.

Requests for reinstatement will not be considered for a period of 3 monthsfollowing Approved List removal.

1.4 DEPARTMENT AUDITS

1.4.1 Audit Process. Audits are used to measure and document a manufacturer’scompliance with their Quality Control Plan (QCP) and Department Specifications.The Department’s auditors shall be granted full access to all production, storage andrecord keeping areas. The role of the Auditor is to observe, document and report their


findings. It is the manufacturer’s responsibility to review the findings and takecorrective action as necessary. Although manufacturers are expected to react to nonconformances identified on audit reports, they are strongly encouraged to be proactivein identifying and correcting problems before they are identified on an audit. Amanufacturer’s status on the Department’s QC/QA program of supply is determined,in part, by the result of audit findings. Repeated failure to correct non-compliantfindings may result in removal from the Approved List.

1.4.2 Routine Audits. Routine audits are performed by Regional Quality AssuranceTechnician Level 2 (QAT-2) auditors. Consultant Agency QAT-2 Auditors will beused, where necessary, in place of or to supplement, Regional Auditors. EachRoutine Audit will focus on a portion of the manufacturer’s Quality Control Plan(QCP). The following describes the procedure for Routine Audits:

1.4.2.1 Audit Frequency. In general, audits will be conducted once every twoweeks. This frequency applies only during periods when a manufacturer isactively producing for the Department under routine production. When amanufacturer is running more than one production shift, this audit frequencyshould be applied to each shift. Additional things that will be consideredwhen determining audit frequency include; daily production volume, thecritical nature of items being produced and the quantity and type of non-conformances identified on recent audits.

1.4.2.2 Selecting Audit Points. Each section of the Manufacturer’s QCP isconsidered a separate audit point. Department form BR-10, used todocument audit findings, identifies each audit point corresponding to themanufacturer’s QCP. See Appendix “C” for a sample BR-10 form. Auditorswill attempt to evaluate between three and five audit points, in detail, oneach visit. The audit points to be evaluated during a visit should be selectedbefore starting the audit. When an audit point is determined to be inconformance it will generally not be selected on subsequent audits until allother audit points, related to active processes, have been evaluated at leastonce. When an audit point is determined not to be in conformance itmust, when possible, be evaluated on each subsequent audit until it isdetermined to be in conformance.

1.4.2.3 Conducting the Audit. Audits will be unannounced and done on varyingdays, times and shifts. The Auditors role is to observe activities, reviewmanufacturer’s documentation, evaluate product, and report findings asrelated to the selected audit points. Auditors will use the manufacturer’sQCP, Department Specifications, Materials Procedures, Materials Methodsand approved fabrication drawings as the basis for determining amanufacturer’s compliance with the selected audit points. Typically, auditpoints will not be evaluated until the manufacturer has completed theirquality control activities related to the audit point and completed all requireddocumentation. e.g. Damaged or miss-fabricated units will not be identifiedin an audit unless the manufacturer’s post pour inspection failed to addressthem. General things that will be looked for on an audit include:


Was the activity performed when it was supposed to be? Was it performed by an individual with proper authority and was it

done properly? If manufacturer’s documentation of an activity is required (e.g. pre-

pour inspection), was it completed in a timely manner and filedappropriately?

When a non-conformance is observed, that is not related to a selected auditpoint; it will be noted in the audit if it is of a critical nature (e.g. use ofunapproved raw materials, product being cast with incomplete or nodocumentation of pre-pour inspection, repair of major defects without properDepartment approval, product not being cured, etc.)

1.4.2.4 Documentation of Audit Findings. The QAT-2 Auditor will complete aBR-10 Routine Audit form at the conclusion of each audit. Followingdirections on the form, audit points selected for evaluation will be checkedoff and the corresponding attributes that were evaluated will be circled.Audit points found to be in conformance with the manufacturer’s QCP,Department Specification, etc. will be noted by checking the “yes” box.Positive comments regarding conforming audit points, noting exceptionalperformance by manufacturer’s personnel or quality control processes, areencouraged and will be noted under comments on the BR-10. Non-conforming audit points will be noted by checking the “no” box. When anon-conforming audit point is noted, a description of the non-conformancewill be included under comments on the BR-10. Descriptions should includespecific information about the non-conformance and a reference to theapplicable QCP section and/or Department Specification, Procedure, etc.

When an audit point was selected as a follow up to a non-conformance onthe previous audit, the following will be noted under comments on the BR-10: If the reason for the non-conformance on the previous audit has been

corrected, that will be stated. (e.g. “The unapproved curing compoundidentified in the last audit has been replaced with an approved curingcompound.”)

If the reason for the non-conformance on the previous audit has notbeen corrected, the description from the previous audit will berepeated and the number of consecutive previous occurrences noted.(e.g. “The curing compound being used does not appear on theDepartment’s Approved List. Reference specification 704-03 andQCP section xyz. This same non-conformance has been identified onthe last 2 audits.”)

1.4.2.5 Exit Interview. At the conclusion of the audit, the Auditor will provide themanufacturer’s Plan Administrator (PA) or designee, with an exit interviewto discuss audit findings. Information supporting reversal of a non-conformance should be presented by the manufacturer at the exit interview,and if appropriate the BR-10 will be revised by the Auditor. At theconclusion of the exit interview the Auditor will supply one copy of the BR-


10 to the PA, or their designee, and one to the Department’s QualityAssurance Manager (QAM). The original BR-10 will be kept on file at theprecast facility by the Department.

1.4.2.6 Follow Up On Audit Findings. Audit findings should be used bymanufacturers as a tool to improve over all compliance with their QCP andDepartment Specifications. Each group’s responsibilities are as follows:

1.4.2.6.1 Precast Manufacturer. The precaster’s PA, or their designee, isresponsible for reviewing audit findings. Corrective actionshould be taken to address all identified non-conformances.Actions intended to prevent re-occurrence of the non-conformance may include; meetings with employees to discuss orclarify QCP requirements, employee training, QCP revisions,equipment repair/replacement, etc. Department notification ofcorrective actions is not required unless specifically requested bythe Department’s QAM. Precasters who wish to providecomments or additional information regarding audit findings mayforward them to the QAM.

1.4.2.6.2 QAT-2 Auditor. When a non-conforming audit point isidentified on the BR-10 it will continue to be selected forevaluation by the QAT-2 Auditor on each subsequent audit untilit is found to be in conformance. In general, a conforming auditpoint will not be selected for evaluation again until all other auditpoints, related to active processes, have been evaluated once.

1.4.2.6.3 Department QAM. The QAM will review all submitted BR-10s. Based on the type of non-conformance identified, the QAMmay provide additional direction to the QAT-2 Auditor for followup audits. When repeated audits show that a non-conformance isnot being corrected, the QAM will request that the manufacturersubmit, for approval, a written Corrective Action Plan (CAP)along with a proposed time frame for implementation. The CAPwill be reviewed and if acceptable, the manufacturer will benotified and a copy forwarded to the QAT-2 Auditor. Ifunacceptable, the manufacturer will be notified and must reviseand resubmit the CAP.

1.4.3 Annual Audits. Annual Audits are performed by Quality Assurance TechnicianLevel 1 (QAT-1) Auditors from the Materials Bureau along with Regional and/orConsultant QAT-2 Auditors. Annual Audits cover, in detail, the manufacturer’sentire Quality Control Plan (QCP). The following describes the procedure for AnnualAudits:

1.4.3.1 Audit Frequency. All manufacturers will be subject to an annual audit at aminimum frequency of once a year. A review of routine audit findings and


feedback from Department Projects will be used to determine the need foradditional audits.

1.4.3.2 Selecting Audit Points. During Annual Audits manufacturers will beevaluated for conformance to their entire QCP. Department form BR-1, usedto document audit findings, identifies in detail each audit pointcorresponding to the manufacturer’s QCP. See Appendix “C” for a sampleBR-1 form. When available, finished units from each product group amanufacturer is approved for will be evaluated. BR-10s which have beenreceived subsequent to the manufacturer’s last Annual Audit will bereviewed prior to conducting the audit.

1.4.3.3 Conducting The Audit. Audits will be unannounced and will typically beconducted during periods of Department production so as many audit pointsas possible may be evaluated. The Auditors role is to observe activities,review manufacturer’s documentation, evaluate product, and report findings.Auditors will use the manufacturer’s QCP, Department Specifications,Materials Procedures, Materials Methods and approved fabrication drawingsas the basis for determining a manufacturer’s compliance with each auditpoint. General things that will be looked for on an audit include: Was the activity performed when it was supposed to be? Was it performed by an individual with proper authority and was it

done properly? If manufacturer’s documentation of an activity is required (e.g. pre-

pour inspection), was it completed in a timely manner and filedappropriately?

The PA, or their designee, should be available to the auditors for theduration of the audit to answer questions and facilitate the audit process.Doing so will significantly improve the manufacturer’s understanding of theaudit process and the auditors findings.

1.4.3.4 Documentation of Audit Findings: The QAT-1 Auditor will document theAnnual Audit on a BR-1 Annual Audit form. Following directions on theform, each audit point will be marked off as conforming or not conformingto the manufacturer’s QCP. Audit points which can not be evaluated at thetime of audit will be marked “N/A”. When a non-conforming audit point isnoted, a description of the non-conformance will be included on the BR-1.Descriptions will include a reference to the applicable QCP section and/orDepartment Specification, Procedure, etc.

1.4.3.5 Exit Interview: At the completion of the audit an exit interview will be heldwith the manufacturer’s PA, or their designee, to discuss audit findings. ThePA is encouraged to include other key personnel in the exit interview.Information supporting reversal of a non-conformance should be presentedby the manufacturer at the exit interview. The original BR-1 will be retainedby the Department’s QAM.


1.4.3.6 Follow Up On Audit Findings: Audit findings should be used bymanufacturers as a tool to improve over all compliance with their QCP andDepartment Specifications. Each group’s responsibilities are as follows:

1.4.3.6.1 Department QAM: The QAM will review the BR-1 and preparea QAM Audit Report. This report, along with the BR-1, will besent to the manufacturer’s PA and copied to the applicable QAT-2Auditor. The report will summarize audit findings and separatethem into the following four categories: Conforming Audit Points,Recommended Improvement Opportunities, Corrective ActionNecessary, and Corrective Action Plan (CAP) Required.Manufacturers will also be notified as to their continuedproduction status on the Department’s Approved List. Amanufacturer’s production status determines whether they areevaluated by the Department under Initial Production, RoutineProduction, Probationary Production or Inactive Status. Amanufacturer’s production status may be changed based on auditfindings. Serious fraudulent infractions identified in the audit willbe grounds for removal from the Approved List under all productgroups. When a required CAP is received it will be reviewed andif acceptable, the manufacturer will be notified and a copyforwarded to the QAT-2 Auditor. If unacceptable, themanufacturer will be notified and must revise and resubmit theCAP.

1.4.3.6.2 Precast Manufacturer: The manufacturer’s PA, or theirdesignee, is responsible for reviewing the QAM Audit Report.Items listed under “Conforming Audit Points” require no furtheraction. Items listed under “Recommended ImprovementOpportunities” are recommendations only and require no action atthe time of the report. Items listed under “Corrective ActionNecessary” require some corrective action by the manufacturer tobring them into compliance. Written notification of correctiveactions for items in this category will be accepted but is notrequired. Items listed under “Corrective Action Plan Required”require some corrective action by the manufacturer to bring theminto compliance. In addition a written CAP addressing each itemin this category must be forwarded to the Department within 14days of receipt of the QAM Audit Report. The plan must includea time frame for implementation.

1.4.3.6.3 QAT-2 Auditor: The QAT-2 Auditor is responsible forconducting follow up audits. Follow up Routine Audits are usedto verify that corrective actions have been taken, by themanufacturer, to address non-conformances identified in theQAM Audit Report. Items identified as requiring some correctiveaction are selected for evaluation, by the QAT-2 Auditor onsubsequent audits, until they are found to be in conformance. A


follow up audit of all non-conforming audit points from theAnnual Audit should be conducted approximately 90 days afterreceipt of the QAM Audit Report.

1.4.4 Project Site Audits. Project Site Audits are performed by Regional QualityAssurance Technician Level 2 (QAT-2) auditors and/or Materials Bureau QualityAssurance Technician Level 1 (QAT-1) auditors. Project Site Audits provideinformation regarding the quality and documentation of precast items at their point ofuse. The following describes the procedure for Project Site Audits:

1.4.4.1 Audit Frequency. Each manufacturer supplying precast products to aRegion should be audited by that Region at a minimum of once annually.

1.4.4.2 Conducting The Audit. Audits will be conducted at a project site locatedwith in the auditor’s Region. A representative sample of units which areaccessible should be selected for evaluation. The Auditors role is to evaluatethe quality and condition of the unit(s), review manufacturer’sdocumentation, and report findings. General things that will be looked for onan audit include: The overall quality of the unit (e.g. was it finished properly, condition

of formed surfaces, were defects repaired, quality of repairs, etc.) Does the unit contain the required markings (e.g. manufacturer’s name

or logo, piece ID number, date of manufacture, etc.) If major repairs are present, was there a repair request approved by the

Regional Materials Engineer to cover the repair Was a properly prepared manufacturer’s certification received with the

unit.

1.4.4.3 Documentation of Audit Findings. The Auditor will complete a ProjectSite Product Audit form at the conclusion of each audit. See Appendix “C”for a sample form. The auditor will provide one copy of the completedevaluation form to the Project EIC, one to the Department’s QualityAssurance Manager (QAM) and will retain one copy.

1.4.4.4 Follow Up On Audit Findings. The QAM will forward a copy of thecompleted Project Site Product Audit form to the appropriate precastmanufacturer and the Region or Consultant auditor responsible for thefacility. If specific corrective actions or a written CAP are required they willbe requested. The manufacturer must address issues identified as requiringcorrective action in order to prevent future occurrences of the problem. TheRegion or Consultant QAT-2 auditor assigned to the facility will verify, onsubsequent Routine Audits that required corrective actions have been taken.

1.5 MONITOR CORES

1.5.1 Monitoring Process. The Department will monitor the manufacturer’s production ofDepartment precast items by obtaining cores from randomly selected precast productsand testing the cores to assure that compressive strengths and air contents meet


specification requirements. When production quantities identified in section 1.5.3 aremet, the manufacturer shall contact the appropriate Regional Materials Engineer orthe QAM so a piece can be selected for coring. The Department’s representative willrandomly select a day’s production and precast piece, manufactured for Departmentuse, for coring. When selecting a piece for coring, an attempt will be made to varythe type of precast item and concrete mix design used each time a piece is selected.Cores shall be taken, by the manufacturer, from the selected piece at locationsdetermined by the manufacturer. When ever possible, the core location should benear the mid point of the piece. The Department’s auditor will assure that the coresare taken from the selected piece by witnessing the coring operation and/or thebreaking off of the cores from the piece. The auditor will then take possession of thecores and ship them to the Materials Bureau lab for testing. See Appendix “C” forguidance on preparing core transmittal documents. Cores shall be 4” (100mm) indiameter and of a length between 4” (100mm) and 8” (200mm), with 8” (200mm)being desirable.

Monitor core test results will be transmitted to the manufacturer to assist in theirevaluation of Department production. Upon receipt, manufacturers shall incorporatetest results into their production records for the year. When results fall outside thespecification limits, it is recommended that the manufacturer review their productionoperations and make any necessary adjustments to avoid further non conforming testresults, which could jeopardize their Approved List status.

The Department reserves the right to take cores from locations within specific pieceswhere the quality is suspect. These cores may result in rejection of the piece, but willnot be used in computations to verify compliance with the annual monitor coreacceptance limits.

1.5.2 Annual Acceptance Limits. Manufacturers must have a minimum of 70% of theirannual monitor cores achieve the specified compressive strength and have hardenedair contents within the specification limits of 5.0% - 9.0%. Additionally, a minimumof 90% of the annual monitor cores must achieve at least 85% of the specifiedcompressive strength and have air contents within the range of 4.0% - 10.0%. Seesection 1.5.5 for annual evaluation procedures.

1.5.3 Coring Frequency. Coring frequencies are based on the quantity of concrete usedfor Department products under the QC/QA Program, the manufacturer’s productionstatus and the manufacturer’s demonstrated ability to meet the annual acceptancelimits in section 1.5.2. The following coring frequencies have been established by theDepartment:

Frequency A: - First 500 yd3 (400 m3): 1 pair of cores for each 50 yd3 (40 m3)produced

- 500 yd3 through 1500 yd3 (400 m3 through 1200 m3): 1 pair of coresfor each 100 yd3 (80 m3) produced

- Greater than 1500 yd3 (1200 m3): 1 pair of cores for each 500 yd3

(400 m3) produced


Frequency B: - First 1500 yd3 (1200 m3): 1 pair of cores for each 100 yd3 (80 m3)produced

- Greater than 1500 yd3 (1200 m3): 1 pair of cores for each 500 yd3

(400 m3) produced

Frequency C: - 1 pair of cores for each 500 yd3 (400 m3) produced

Manufacturers in danger of not meeting the annual acceptance limits may request toincrease their coring frequency. Requests should be made in writing to the QAM andmust include what corrective actions have been taken to address the non conformingcore results.

1.5.3.1 Initial Production. When manufacturers start production under the QC/QAProgram for the first time, coring Frequency A must be followed.Manufacturers who go longer than 1 year with no QC/QA production mustfollow coring Frequency A when production resumes.

1.5.3.2 Routine Production. Manufacturers must follow coring Frequency A fortheir first full calendar year of routine production. At the completion of thefirst and subsequent calendar years, manufacturers who meet the annualacceptance limits in section 1.5.2 with out having to increase their coringfrequency may select a coring frequency for the subsequent year as follows: Manufacturers who produced less than 500 yd3 (400 m3) of concrete

under the QC/QA program must follow coring Frequency A. Manufacturers who produce from 500 to 1500 yd3 (400 to 1200 m3) of

concrete under the QC/QA program may select either coring FrequencyA or B.

Manufacturers who produce more than 1500 yd3 (1200 m3) of concreteunder the QC/QA program may select coring Frequency A, B or C.

Manufacturers who meet the annual acceptance limits of section 1.5.2 buthad to increase their coring frequency in order to do so must follow coringFrequency A for the subsequent year. Manufacturers who, at the end of thecalendar year, do not meet the acceptance limits of section 1.5.2 must followthe coring frequency in section 1.5.5.2.

1.5.4 Routine Evaluation of Test Results. All monitor core results will be evaluated bythe Department’s QAM. The QAM will determine whether the results are acceptable,in substantial compliance or unacceptable. The following definitions and actionsapply:

1.5.4.1 Specification Compliance. Test results that meet the specificationrequirements for the item under test are considered acceptable. Themanufacturer will be notified of the acceptable results. No further action bythe manufacturer is required.

1.5.4.2 Substantial Compliance. Test results that are marginally outside thespecification limits for the item under test are considered to be in substantialcompliance. Test results that are in substantial compliance will not, by


themselves, be cause for rejection of the piece that was cored. Typically,monitor core test results are considered in substantial compliance when thefollowing is met: The compressive strength is less than specified but greater than or equal

to 85% of the specified value. The air content is less than the specified minimum but greater than or

equal to 3.0%. The air content is greater than the specified maximum and the

compressive strength of the companion core is greater than or equal to85% of the specified value.

The manufacturer will be notified of the substantial compliant test results.Occasional substantial compliant test results will require no further action bythe manufacturer. When the QAM determines that a significant number ofsubstantial compliant test results have occurred, the manufacturer will beasked to identify what corrective actions are being taken to resolve theproblem. The manufacturer will have 14 days to respond.

1.5.4.3 Unacceptable Results. Test results that do not meet the specificationrequirements for the item under test and do not meet the requirements forsubstantial compliance identified in section 1.5.4.2, are consideredunacceptable. For cores with an air content of less than 3.0%, a microscopicevaluation will be performed to confirm the low air content. The piecerepresented by the unacceptable test results will be rejected. When thisoccurs the manufacturer will be notified and additional cores, taken frompieces produced before and after the piece in question, will be required.Coring will continue until acceptable results are obtained. These additionalcores will not be used in computations to verify compliance with the annualmonitor core acceptance limits. When acceptable test results are obtained,no additional cores will be required beyond the normal monitoringfrequency. When the QAM determines a significant number of unacceptabletest results have occurred, the manufacturer will be asked to identify whatcorrective actions are being taken to resolve the problem. The manufacturerwill have 14 days to respond.

1.5.5 Annual Evaluation of Test Results. At the end of each calendar year, monitor coretest results for each manufacturer will be evaluated for compliance with the annualacceptance limits in section 1.5.2. Manufacturers must meet the annual acceptancelimit requirements each calendar year in order to maintain a favorable status on theApproved List. When all monitor core results are in for the year, each manufacturerwill be notified, in writing, with their results as follows:

1.5.5.1 Complies With Requirements. The manufacturer will be notified that theirmonitor core test results meet the requirements of section 1.5.2. Based oncriteria in section 1.5.3.2, the manufacturer will be notified which coringfrequency(s) they are eligible for in the up coming year. When only coringFrequency A is indicated nothing further is required of the manufacturer.When more than one coring frequency is indicated, the manufacturer mustselect the frequency they want to follow for the up coming year and contact


the QAM with their choice. Once a coring frequency is selected it can not bechanged with out approval of the QAM.

1.5.5.2 Does Not Comply With Requirements. The manufacturer will be notifiedthat their monitor core test results do not meet the requirements of section1.5.2 and their Approved List status is in jeopardy. Monitor core frequenciesfor the up coming year will be increased in order to obtain one pair of coresper day for 15 consecutive days of QC/QA production. Arrangements willbe made with the manufacturer as to when the increased frequency willbegin.

If test results from the 15 pairs of monitor cores do not meet the section 1.5.2criteria, the manufacturer will be removed from the Approved List for allproduct groups. See section 1.3.6 for details on Approved List removal.

If test results from the 15 pairs of monitor cores meet the section 1.5.2criteria, the manufacturer remains on the Approved List and monitor coringcontinues per Frequency A. If at the end of the calendar year themanufacturer’s core results again do not meet the section 1.5.2 criteria, themanufacturer will be removed from the Approved List. If at the end of thecalendar year the manufacturer’s core results do meet the section 1.5.2criteria, the manufacturer is back in good standing and coring frequency forthe up coming year is determined in accordance with section 1.5.3.2.

1.6 EVALUATION OF FINISHED PRODUCT

1.6.1 Plant Monitoring. The Department will monitor the quality of finished precastpieces at the precast plant. The intent of this monitoring is to provide occasionalevaluation of structurally critical or aesthetically sensitive products. The frequency ofevaluations will be determined by the QAM based on the type and quantity of piecesbeing produced and past performance of the manufacturer.

Evaluations will be performed by a QAT-1 or QAT-2 and may include the use ofinstruments to measure reinforcing spacing and concrete cover. At the conclusion ofthe evaluation the QAT will provide the PA, or their designee, with an exit interviewto discuss findings of the evaluation. The QAT will fill out a BR-10 documenting theevaluation and provide a copy to the PA and the QAM for their records.

1.6.2 Project Site Acceptance Evaluation. Precast pieces shipped to the project site willbe subject to evaluation by the Engineer In Charge (EIC). The EIC is responsible foracceptance of materials delivered to the project site and has the authority to rejectpieces that are damaged or mis-fabricated to the extent that they can not besatisfactorily repaired or incorporated into the work. Problems identified by the EICwill be reported through the Regional Materials Engineer to the QAM. The QAMwill investigate reported problems and determine if corrective actions are required bythe manufacturer to prevent further occurrences of the problem.

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APPENDIX A

PRECAST CONCRETE QUALITY CONTROL PLAN

REQUIREMENTS

of 9MP 09-02, Appendix ASeptember 2009

PRECAST CONCRETE QUALITY CONTROL PLAN REQUIREMENTS

Appendix A identifies the general requirements and format for developing a Quality ControlPlan (QCP) to meet the requirements of section 1.2.3.1. Each topic identified here in must beaddressed in the QCP. Commentaries are provided throughout to identify detailed requirementsand provide direction.

The QCP must be formatted and organized as follows:

A. Title PageB. Individual Qualifications and ResponsibilitiesC. TrainingD. Facility ComponentsE. Manufacturing ProductsF. Standard Operating Procedures (SOP) for:

F1. Component Materials AcceptanceF2. Mix DesignF3. Shop drawingsF4. Pre-Pour InspectionF5. Pour InspectionF6. CuringF7. Cold and Hot Weather Manufacturing ProceduresF8. Stripping forms and post-pour inspectionF9. Handling and Storage of ItemsF10. RepairsF11. Final InspectionF12. Shipping and CertificationF13. Monitor CoresF14. Internal Review

G. Documentation

The following information unique to the manufacturer’s operation must be included in the QCP:

A. Title Page

1. Title page. Include title and address of the company, and facility location includingthe Materials Bureau’s approved facility number if approved.

2. Number every page (page # of #) and include two initial/date lines on the bottom ofeach page.

3. Signature page. Include the facility name and location and signature and date linesfor the Plan Administrator and Director, Materials Bureau.

4. Include a statement on the signature page similar to the following:


“This control plan outlines the process control for the production of precastconcrete. All work, including sampling and testing procedures will be performed inaccordance with Section 704-03 PRECAST CONCRETE GENERAL, of thespecifications, other applicable precast specifications, Materials Methods, MaterialsProcedures and any additional procedures included in this Control Plan.”

Commentary: When selecting a page numbering scheme keep in mind that futureplan revisions may affect page numbers throughout the plan. A system using thesection letter and number of pages in that section is acceptable.

B. Individual Qualifications and Responsibilities. Provide a detailed organizationaloutline of the positions responsible for maintaining the quality control program. Thisinformation must include at a minimum the following:• Define QC program organization, including the title structure and organization chart.• What inspection points, SOPs, etc. are required and who is responsible for these

inspections.• Which positions are ACI certified, level 1.• Which positions have received NPCA or PCI training and certification, reference

section 1.2.2.• Name and/or title authorized to terminate production at the plant.• Name and/or title authorized to make changes in mix designs.• Name and/or title authorized to accept/reject precast pieces.• Name and/or title authorized to sign shipping certifications.• Name and/or title responsible to communicate with the resident Department

auditors.• Name and/or title having final responsibility and authority over all NYSDOT quality

control and manufacturing activities.• Define typical communication methods used to maintain control across the various

aspects of the QCP, such as regular meetings, attendees, etc.

Identify the firm's two primary Department QC/QA contacts, in the desired order, byname, address, e-mail, telephone, and fax numbers.

Identify the typical number of production shifts, the normal starting and ending time ofeach. Whenever the firm is in production for more than one shift describe the QCT Level1 and 2 coverage of each shift.

C. Training. Identify operating procedures to verify an individual’s qualifications toperform the various SOPs identified in the QCP.

D. Facility Components. Provide a description of the facility, including the following:

1. Concrete manufacturing capabilities:a. Batch size of each mixer.b. Concrete batching automation/recordation description.


c. The number and capacity of cement and pozzolan silos.d. The number and capacity of aggregate bins.e. The number and location of aggregate storage areas and the method used to

maintain the identity of the aggregates.f. The number of admixture dispensers.g. Document the following:

i. NPCA or PCI plant certification.ii Provide the Department’s assigned facility number.

Commentary: Annual batch plant approvals are required but these do notrequire resubmitting an amended QCP.

2. Identify calibration frequencies of plant equipment including:a. Cement scales.b. Aggregate scales.c. Water scales/metersd. Admixture dispensers.e. Automation checks.

Commentary: See Standard Specification Section 501 for batching facilityrequirements. See Materials Methods 9.1 and 27 for scale, meter and automationinspection and calibration requirements.

3. Size and description of production facility as it relates to indoor versus outdoorexposure.

4. Size and description of laboratory facility. Identify equipment and frequency ofcalibration (as appropriate) and conformance to specific Department and nationalstandards (ASTM, AASHTO etc.). See Appendix B for more detail on equipment.

E. Manufacturing Products. Identify all products by group intended to be manufacturedfor the Department. See Appendix E for listing of product groups.

F. Standard Operating Procedures. Standard Operating Procedures (SOP) define thework to be done in each area of the production process to guide and assure compliance toDepartment specifications. The SOPs should be structured by answering “What is thework to be done in this process or operation?” “How will the work be done and bywho?” “When will the work be done?” “What is necessary for the work to be donecorrectly and effectively?” and “Does completion of the work need to be documented?”The answers provide a basis to prepare SOPs for the following areas:

F1. Component Materials Acceptance. Prepare SOP for receiving, handling, andstoring materials including receipt, evaluation, and filing of certification whenrequired to assure the quality of each of the materials used in concretemanufacturing. Indicate the basis of acceptance required for each material such as


appearance on the Department’s Approved List, manufacturer’s certification,Department BR, etc. The individuals required to provide assurance of thesematerials shall be identified by either name or title. The following typical materialsshould be included:

1. Portland Cement.2. Fine and Coarse Aggregates.3. Admixtures.4. Pozzolans.5. Water.6. Steel Reinforcement (coated and uncoated).7. Lifting Devices.8. Chairs.9. Form Oil.10. Manhole Steps.11. Frames and Grates.12. Curing Compounds.13. Curing Covers.14. Concrete Repair Material.15. Joint Material (closed cell foam, etc.)16. Other miscellaneous items routinely or occasionally used; e.g. Coloring

Additives, Epoxy Bonding Agent, Mechanical Connectors for Reinforcing BarSplices, Anchor Bolts, etc.).

Commentary: It is recommended that the Department’s Approved List be reviewedon a regular basis to verify the continued acceptability of materials that requireappearance on the Approved List as part of their evidence of acceptability.

F2. Mix Design. Prepare SOP and identify responsible individuals, by name or title foreach of the following activities:

1. Development of new mix designs and documentation on Department formBR-155.

2. Daily selection of mix design(s) to be used.3. Making minor day to day changes to mix design component material

quantities. Changes are typically based on the results of daily aggregate andconcrete testing.

Commentary: A separate BR-155 is required for each combination of componentmaterial type, brand, supplier location and quantity to be used. Instructions forcompleting the BR-155 can be found on the back of the form.

F3. Shop Drawings. Prepare SOP and identify responsible individuals by name andtitle, and/or outside firms used to assure shop drawings accurately represent the


contract documents. State whether the actual Department approved drawings orreworked “production drawings” are used by production and QC personnel forfabrication and inspection activities. If reworked production drawings are used,describe the process followed to insure they accurately reflect the correspondingDepartment approved drawings.

F4. Pre-Pour Inspection. Prepare SOP and identify responsible individuals by nameand/or title to assure the conformance of the following minimum typical pre-pouractivities:

1. Use of approved shop drawings.2. Reinforcing cage including: (evidence of acceptability; type, size and grade;

cage stability; configuration; and concrete cover).3. Formwork.

a. Form quality, joint tightness, cleanliness with form release agent properlyapplied.

b. Dimensional compliance.4. Embedded items, e.g. lifting devices, threaded inserts, mechanical connectors,

etc. are properly sized and located.5. Block outs and keyways are properly sized and located.

Commentary: The critical nature of products identified in Appendix E variesgreatly, from those contained in Group 1 to those in Group 5. The level of detailcontained in the documentation of pre-pour inspections should reflect the criticalnature of the item being produced. The documentation for a pre-pour inspection ona box culvert should contain much more detail as to what was checked than thedocumentation for a pre-pour inspection on a right of way marker. Specialattention should be given to things that can not be readily verified from anevaluation of the finished product such as: reinforcing steel size, splice lengths,embedment depths, epoxy coating etc. The inspection and documentation of pre-pour attributes may have to be done in stages for some items to accommodate theinspection of some attributes prior to form closure, etc.

F5. Pour Inspection. Prepare SOP and identify responsible individuals by name and/ortitle to assure the conformance of the following minimum typical pour activities:

1. Identify method of assuring proper mix design, including component materialsare selected and properly batched.

2. Identify method of batching and mixing concrete.3. Identify method of transporting concrete including distance from mixer to test

area and to pour area.4. Identify methods of sampling and all plastic concrete tests to be performed by

product such as: air, slump, unit weight, cylinders, and concrete temperaturealong with specific controls and acceptance limits with specific actionrequirements if a test falls outside these limits.


5. Identify handling, storage, and curing of test specimens.6. Identify method of depositing concrete into forms, including lift heights.7. Identify method of assuring that embedded item locations and unit

dimensions are maintained during concrete placement.8. Identify method of consolidating concrete.9. Identify finishing unformed surfaces.10. Identify method for assuring the initiation of curing.

Commentary: Air content testing is required on each individual batch unless themanufacturer meets the requirements for reduced testing frequency as described inAppendix B under Required Tests.

Manufacturers may elect to discharge multiple individual pre mixed batches, of thesame mix design, into a haul vehicle provided the requirements in Appendix B forreduced testing frequency have been met for the mix design. For testing purposes,each drop into the haul vehicle will be considered an individual batch. Ifsubsequent air tests fail to meet the requirements for reduced testing frequency thenthe discharging of multiple batches into a haul vehicle must be discontinued untilthe requirements for reduced testing frequency are again met.

Manufacturers who wish to discharge multiple pre mixed batches into a truck mixerand have the truck considered an individual batch for testing purposes, must firstdemonstrate, to the satisfaction of the Department, that their process will result in abatch of concrete with uniform properties through out. The truck mixer must meetthe requirements of Standard Specification Section 501-2.04B.1. “Truck MixerRequirements” and have been approved by the Department. The manufacturermust demonstrate, for each mix design being considered, that the combined batchesin the truck meet the uniformity requirements of Standard Specification Section 501,Table 501-5 “Concrete Uniformity.” The concrete must have been mixed in thetruck at the RPM and number of revolutions established during the uniformity test.

Multiple dry batches, weighed separately and discharged into a truck mixer forcomplete mixing, are considered a single batch. In this situation, the truck mixerand mixing procedures must meet the requirements of Standard SpecificationSection 501-3.03D. “Transit Mixed Concrete.”

F6. Curing. Prepare SOP’s for each curing method to be used and identify responsibleindividuals by name and/or title who determine what curing method will be usedand who assure conformance to the requirements of the selected method. SOP’sshould include the following:

1. Describe how the selected curing method will be implemented.2. Describe procedures for the maintenance and verification of curing

temperatures during the curing period.


3. Describe procedures for the continuation of curing, when necessary, afterform removal.

Commentary: Effective curing should begin as soon as casting is complete. Specificcuring requirements are contained in the Standard Specifications, Section 704-03Precast Concrete - General.

F7. Cold and Hot Weather Manufacturing Procedures. Identify the firm's ability toproduce when the outdoor temperatures are below freezing. Examples include:

1. Identify ability to heat water, what volume can be heated and what controlsare in place for verification.

2. Detail storage provisions of aggregate and provisions to prevent or remove iceand/or snow.

3. Detail the location of the concrete mixing, the concrete pour and theprovisions made to assure and document satisfactory temperatures throughoutthe curing phase.

4. Detail the provisions made to assure the temperature of the forms.

Identify the firm’s ability to maintain concrete temperatures during periods of hotweather. Examples include:

1. Identify conditions under which hot weather provisions are implemented.2. Identify provisions for cooling concrete materials.

Commentary: Requirements for cold weather concreting can be found in theStandard Specifications, Sections 501-3.02 Handling, Measuring and BatchingMaterials and 704-03 Precast Concrete - General.

F8. Stripping Forms and Post-Pour Inspection. Prepare SOP and identifyresponsible individuals by name and/or title to assure proper form removal and postpour inspection. The SOP should address the following typical post-pour activitiesand inspections:

1. Minimum time or required strength has been reached prior to form removal.2. Curing has been completed or continuation of curing has been properly

initiated.3. Piece dimensions are in accordance with approved fabrication drawing and are

within specification tolerances.4. Threaded inserts, mechanical connectors, block outs, and keyways are

properly sized and located.5. Lifting devices, frames, grates, manhole steps, etc. are of the proper type and

are sized and located correctly.6. Finish is acceptable.7. Damage is documented and properly repaired.


8. Piece has proper identification markings.9. Cylinders are properly numbered and located in an area exposed to the same

curing conditions as the pieces they represent.

Commentary: The post-pour inspection shall be completed in a timely manner toaccommodate timely repairs and to avoid contract delays.

F9. Handling and Storage. Prepare SOP and identify responsible individuals by nameand/or title to assure pieces are properly handled and stored. Include the following:

1. Method of determining when units can be lifted and moved, (cylinder breaks,etc.).

2. Describe stacking procedures, use of dunnage, etc.3. Describe how units that are damaged during handling or storage are identified

and evaluated for repair.

Commentary: A manufacturer may inventory products in a single stockpile that aremanufactured for multiple Department projects including commercial or municipalprojects provided all are manufactured to the same QCP and specifications. Ifspecific portions of the QCP or specifications are not followed, then separatestockpiles are required.

F10. Repairs. Prepare SOP and identify responsible individuals by name and/or title toassure repairs are properly documented and completed. Include the following:

1. Identification of minor, major, surface and non-repairable defects.2. Repair request process for major repairs.3. Curing of repairs.4. Determining acceptability of finished repair.

Commentary: Repair categories are defined in 704-03 Precast Concrete General.Major repairs and non-compliant pieces shall either be rejected or considered forrepair and acceptance in accordance with Appendix D.

F11. Final Inspection. Prepare SOP and identify responsible individuals by nameand/or title to assure the final product is in total compliance with Departmentspecifications and standards. The final inspection must address the following as aminimum:

1. Cylinder results meet specified strength.2. Damage, if any, has been documented and properly repaired.3. Previous inspections, pre-pour, pour and post pour, have been completed and

properly documented, with all inspection points identified as meetingDepartment requirements.

4. Identification markings are permanent, complete and properly located.


Commentary: The final inspection shall be done at the time of loading andshipping to the project.

F12. Shipping and Certification. Prepare SOP and identify responsible individuals byname and/or title responsible for completing certifications and authorizingshipment.

Commentary: By signing the Certification the manufacturer is stating that allprecast units contained in the shipment meet the requirements of the applicablespecifications.

F13. Monitor Cores. Prepare SOP and identify responsible individuals by name and/ortitle to assure required notifications are made when coring frequencies are reached,cores are properly obtained and results are reviewed and recorded upon receipt.

F14. Internal Audit. Prepare SOP for internal audits and identify responsibleindividuals by name and/or title to verify the firm’s conformance to their QCP.Include the frequency that will be followed for internal audits.

G. Documentation. Quality control procedures implemented throughout the manufactureand supply processes require documentation. This may be documentation that records anevaluation made, such as form inspection, reinforcement placement, curing temperature,etc. It may also be documentation to provide the manufacturer assurance of the quality ofa component raw material of the finished product, such as portland cement, aggregates,admixtures, reinforcement etc.

All quality control documentation shall be made available to the Department’s QAT uponrequest. When the manufacturer intends to store quality control documentationelectronically, the storage and retrieval process must first be approved by the Department.Upon request, personnel shall be made available to assist the Department’s QAT inaccessing electronically stored records.

Commentary: It is imperative that the QC procedure includes: who is responsible fordocumentation of an activity, when the information is recorded, where documentation isfiled, the detail to be included (ie. specific dimensions recorded vs. the notation"OK")who uses the recorded information and when the recorded documents are used. Copiesof all documentation forms shall be submitted with the QC plan.

APPENDIX B

TESTING FACILITIES

AND

SAMPLING AND TESTING FREQUENCIES

of 3MP 09-02, Appendix BSeptember 2009

TESTING FACILITIES. All precast manufacturers approved under the QC/QA Program musthave a testing facility which has been evaluated and approved by the Department. Testingfacilities shall consist of either an in house facility or an outside testing agency. The calibrationfrequencies below are minimums, more frequent calibrations may be required. The followingsampling and testing equipment will be required:

1. Sample Splitter. An aggregate sample splitter meeting the requirements of section 501-2.03 H. Inspection Facility.

2. Large Scale. A large scale meeting the requirements of section 501-2.03 H. InspectionFacility.Calibration Frequency: Annually, per manufacturers procedures.

3. Small Scale. A small scale meeting the requirements of section 501-2.03 H. InspectionFacility.Calibration Frequency: Annually, per manufacturers procedures.

4. Sample Drying Appliance. A sample drying appliance meeting the requirements ofsection 501-2.03 H. Inspection Facility.

5. Coarse Aggregate Sieve Shaker. A coarse aggregate sieve shaker meeting therequirements of section 501-2.03 H. Inspection Facility.

6. Fine Aggregate Sieve Shaker. A fine aggregate sieve shaker meeting the requirementsof section 501-2.03 H. Inspection Facility.

7. Coarse and Fine Aggregate Sieves. Coarse and fine aggregate sieves, of the requiredsizes for the gradations to be used, meeting the requirements of ASTM E 11.

8. Slump Cone. A slump cone meeting the requirements of ASTM C 172.9. Pressure Air Meter. A pressure air meter meeting the requirements of ASTM C 231.

Calibration Frequency: Weekly, per ASTM C 172.10. Compression Testing Machine. A compression testing machine meeting the

requirements of ASTM C-39.Calibration Frequency: Annually, per ASTM E-4.

11. Cylinder Molds. Cylinder molds meeting the requirements of ASTM C 470.12. Sulphur Mortar and Capping Jig. When sulphur caps are used on compression

specimens: sulphur mortar and a capping jig meeting the requirements of ASTM C 617.13. Neoprene Caps and Extrusion Rings. When neoprene caps are used on compression

specimens: Neoprene caps and extrusion rings meeting the requirements of NYSDOTTest Methods 301B-82 and/or 501-16P.

14. Shore “A” Durometer. A Shore “A” durometer meeting the requirements of ASTMD2240 for testing neoprene cap hardness.Calibration Frequency: Annually, per ASTM D 2240.

15. Thermometers. Thermometers meeting the requirements of ASTM C 1064.Calibration Frequency: Annually, per ASTM C 1064.

16. Temperature Recorders. When steam curing is used: Temperature recorders capable ofrecording temperature vs. time for the duration of the curing cycle.Calibration Frequency: Annually, per manufacturer’s procedures.

17. Specific Gravity Hydrometer. When corrosion inhibiting ad mixtures are to be used: Aspecific gravity hydrometer meeting the requirements of ASTM E 100.Calibration Frequency: At time of purchase, per ASTM E 126.

18. Miscellaneous Test Equipment. Other miscellaneous equipment as needed.

REQUIRED TESTS. The tests identified below must be performed at the indicated minimumfrequencies. Tests must be performed by qualified personnel, as identified in the manufacturer’sQCP. The frequencies indicated for concrete tests must be applied independently to each


mix design used on a given day, e.g. if an indicated test has a frequency of once per day, theneach mix design used on a particular day must be tested at least once, on that day. Sampling andtesting shall be performed in accordance with MM 9.1 and MM 9.2, unless noted otherwiseherein.

1. Concrete Air Content. Air contents are typically measured using the Pressure Method,per ASTM C 231. When the concrete mix contains light weight aggregates, theVolumetric Method, per ASTM C 173, must be used. When testing Self ConsolidatingConcrete (SCC) the above test procedures must be modified per details in themanufacturer’s QCP. The following test frequencies shall apply:A. Initial Test Frequency. The first time a mix design is used, every batch must betested until the criteria for reduced test frequency is met.B. Reduced Test Frequency. When 5 consecutive test results for a mix design arewithin ± 1.0% of the target air content, as shown on the BR-155 for the mix design, themanufacturer has the option of reducing their test frequency. The reduced test frequencyshall be one test for up to five consecutive batches, with a minimum of one test per day.When operating under the reduced testing frequency, an individual test result outside ±1.0% of the target air content reverts the manufacturer back to the initial test frequencyuntil the criteria for reduced test frequency is again met.

2. Concrete Compressive Strength. Compressive strengths are measured by testingconcrete cylinders in accordance with ASTM C 39. When casting cylinders with SelfConsolidating Concrete (SCC) the procedures in MM 9.2 must be modified per details inthe manufacturer’s QCP. A minimum of one pair of cylinders per ten consecutivebatches of a mix design, with a minimum of one pair per day, per mix design, shall becast. Additional pairs, per selected batch, are recommended to verify strength at a laterdate, if specified strength is not initially achieved. Concrete strengths are consideredacceptable when the following two conditions are met: The average strength of two cylinders, cast from the same batch of concrete and

tested at the same relative time, meets or exceeds the specified compressive strengthfor the precast item represented by the cylinders, at or before the specified age,typically 28 days.

No individual result used in determining the average strength is more than 500 psi(3.5 MPa) less than the specified compressive strength, for strengths 5000 psi (35MPa), and not more than 10% less than the specified compressive strength, forstrengths > 5000 psi (35 MPa).

3. Concrete Slump. Concrete slump tests shall be performed at the frequency indicated inthe manufacturer’s QCP. Slump is not a specified concrete property. Test results areused by the manufacturer to make batching adjustments when necessary.

4. Concrete Unit Weight. Concrete unit weight tests shall be performed at the frequencyindicated in the manufacturer’s QCP. Unit weight is not a specified concrete property.Test results are used by the manufacturer for information.

5. Concrete Slump Flow (SCC). Slump flow tests on SCC concrete shall be performed inaccordance with ASTM C 1611. Each time a slump flow test is performed the VisualStability Index (VSI) shall also be recorded, in accordance with ASTM C 1611. Slumpflow and VSI are not specified concrete properties. Required actions, based on testresults, shall be as indicated in the manufacturer’s QCP.


A. Initial Test Frequency. The first time a mix design is used every batch of concreteshall be tested until the criteria for reduced test frequency is met.B. Reduced Test Frequency. When 5 consecutive test results for a mix design arewithin ± 2” (50 mm) of the target slump flow, as shown on the BR-155 for the mixdesign and no VSI readings exceed 1, the manufacturer has the option of reducing theirtest frequency. The reduced test frequency shall be one test for up to five consecutivebatches, with a minimum of one test per day. When operating under the reduced testingfrequency, an individual test result outside ± 2” (50 mm) of the target slump flow or aVSI reading greater than 1 reverts the manufacturer back to the initial test frequency untilthe criteria for reduced test frequency is again met.

6. Coarse and Fine Aggregate Gradation Tests. Coarse and fine aggregate gradationtests shall be performed in accordance with procedures in MM 9.1. Coarse and fineaggregate gradations are required at the following frequencies:A. Initial Test Frequency. A gradation test shall be performed for each 400 yd3 (300m3) of concrete produced with the aggregate, with a minimum of one test per day. Whendetermining production totals, include all concrete produced with the aggregate,including non-Department production.B. Reduced Test Frequency. When gradation tests show consistent results amanufacturer may request a reduced test frequency. Requests must be made in writingand shall include the aggregate source number, from the Departments Approved List, andresults from the 30 most recent consecutive gradation tests. Upon approval the testfrequency for the aggregate source will be reduced to a minimum of once per week.

7. Coarse and Fine Aggregate Visual Identification. Coarse and fine aggregate visualidentification tests shall be performed in accordance with procedures in MM 9.1. Visualidentification tests shall be performed in conjunction with the coarse and fine aggregategradation tests each time they are run.

8. Fine Aggregate Free Moisture Content Test. Fine aggregate free moisture contenttests shall be performed in accordance with MM 9.1. The minimum test frequency shallbe one test per day. More frequent tests may be required if visible signs indicate thataggregate moisture contents are variable. This would include a change in aggregateprocessing, after rainstorms, etc.

9. Fine Aggregate Fineness Modulus Test. Fine aggregate fineness modulus tests shall beperformed in accordance with MM 9.1. The fineness modulus shall be determined eachtime a fine aggregate gradation test is performed.

10. Coarse Aggregate Cleanness Test. Coarse aggregate cleanness tests shall be performedin accordance with MM 9.1. A cleanness test shall be performed any time a coarseaggregate appears dirty or if a coarse aggregate is within 0.2% of the maximumspecification limit on the minus 75 µm material, as determined in the coarse aggregategradation test.

11. Corrosion Inhibitor Specific Gravity Test. Corrosion inhibitor specific gravity testsshall be performed in accordance with Materials Procedure 02-01 (MP 02-01). A specificgravity test shall be performed on each delivery of corrosion inhibitor.

APPENDIX C

SAMPLE FORMS AND DOCUMENTS

Manufacturer’s Certification

Dailey Production Worksheet

BR-155 Precast Concrete Mix Design

BR-10 Routine Audit Form

BR-1 Annual Audit Form

BR-2 Project Site Product Audit

Monitor Core Submittal Guidance

Monitor Core Log

of 17MP 09-02, Appendix CSeptember 2009

MANUFACTURER’S CERTIFICATION

Requirements for Manufacturer’s Certification: In accordance with Standard Specification§106-04 Material Certification and Approved List, every shipment of precast product to aDepartment Contract must be accompanied by a Manufacturer’s Certification. The certificationis used to identify material contained in the shipment and identify the specification it conformsto. The following information must be included on each certification:

1. Identification of the Manufacturer: The name of the precast manufacturer and address ofthe manufacturing location. This information can be contained in letterhead on thecertification.

2. Identification of Material Contained in the Shipment: A description of the precast item(s) along with the specification number it was

produced to, e.g. Type U drainage unit base (706-04), Type U drainage unit roof slab(706-04), 10x6 box culvert (706-17), rectangular pullbox (723-45), etc.

The corresponding pay item number for each. The quantity of each item in the shipment. Manufacturer’s piece ID number and date of manufacture for each item in the

shipment. (The piece ID number must correspond with the number used onproduction and inspection records.)

3. Department contract number being supplied.

4. Date of shipment.

5. Statement of Conformance: A definitive statement that the items contained in theshipment meet the requirements of the specification they were produced to, e.g. “Thedrainage units contained in this shipment meet the requirements of 706-04”, “The boxculverts contained in this shipment meet the requirements of 706-17”, “The pullboxescontained in this shipment meet the requirements of 723-45”, etc.

6. Compliance with Buy America: A statement that units contained in the shipment eitherconform or do not conform to the Buy America requirements for steel and/or iron, asrequired under Standard Specification §106-11 Buy America, e.g. “Products contained inthis shipment conform to the requirements of Standard Specification section 106-11 BuyAmerica.” OR “Products contained in this shipment do not conform to the requirementsof Standard Specification section 106-11 Buy America.”

7. Identification of the Person Executing the Certification: The certification must be signedby a person authorized to legally bind the manufacturer, as indicated by including theirtitle or position in the company on the certification. This person must also be identifiedby name or title in the manufacturer’s Quality Control Plan as having authority to executecertifications. It is not necessary that this signature be notarized. At the time ofcertification, product must be inspected in accordance with requirements in themanufacturer’s Quality Control Plan.

Note: A manufacturer’s bill of lading modified to include the above information would serve asan acceptable form of certification.

of 17MP 09-02, Appendix CSeptember 2009

APPENDIX D

PRECAST CONCRETE REPAIR

AND

FABRICATION DISCREPANCY

ACCEPTANCE PROCEDURE

of 3MP 09-02, Appendix DAugust 2016A. DEFECT CATEGORIES AND REPAIR APPROVAL PROCESS

In the fabrication and handling of units occasionally a piece will be damaged or mis-fabricated insome way which causes it to deviate from the specification or approved working drawing. Whendamage, defects or discrepancies are identified through post pour or final inspections themanufacturer must do the following:

Determine how the defect occurred. Decide whether corrective actions or changes in procedure are necessary to prevent

reoccurrence. Changes in procedure must be documented by a revision of the QCP. Decide what category the defect falls into. Carry out the necessary actions to make the unit acceptable to the Department or re-

fabricate the unit.The following are typical defect categories and the necessary manufacturer’s actions:

1. Surface Defects - Surface defects are defined in 704-03. Surface defects which are notexcessive do not require repair. When they are excessive and visible to view as defined in 704-03, under Non Repairable Defects the piece is unacceptable.

2. Minor Defects - Minor defects are defined in 704-03. The manufacturer must repair minordefects in accordance with 704-03. Department involvement is not necessary.

Commentary: Minor defects should be repaired as soon as possible after being identified.Curing compound acts as a bond breaker and must be removed from any concrete surface that isto have repair material bonded to it.

3. Major Defects - Major defects are defined in 704-03. The repair of major defects requiresDepartment approval. The manufacturer must prepare a “Precast Concrete Damage AndDiscrepancy Repair Request” each time a repair is requested. This form is included at the end ofAppendix C. All requests shall include the following:

A complete description of the problem. The cause of the problem. Detailed sketches showing dimensions for all defects and discrepancies (should be

attached on a separate sheet of paper). Photos of the defect with a tape or ruler as a reference to show dimensions (digital photos

may be e-mailed). The proposed repair procedure.

All unsound concrete must be removed from damaged areas before making sketches andtaking photos.

All spalls and honeycombed areas that are major defects should be repaired in accordance withsection B. Concrete Repair Procedure For Precast Concrete Products below. This can berequested by checking the appropriate box on the repair request form. Any modifications to thisprocedure, such as the use of anchor pins, must be clearly detailed. The repair request formwith all attachments must be mailed, faxed or e-mailed to the Materials Engineer in theproject region within two weeks of the defect being identified.

The Materials Engineer in the Project Region reviews the request and checks the appropriate boxindicating approval or disapproval. The Materials Engineer has the final approval authority.Reasons for not approving a request must be noted. Questions by the Materials Engineerregarding specific requests should be directed to the Materials Bureau Field Engineering I office.When the evaluation is complete the Materials Engineer signs and dates the request and returnscopies to the manufacturer and the project EIC.

Upon receipt of approved repair requests, the manufacturer proceeds with repairs as necessary inaccordance with the approved repair request. The manufacturer must take photos of the damagedarea after it has been prepared for repair and again after the repair is complete. Photos are to beretained with the approved “Precast Concrete Damage And Discrepancy Repair Request” form.

of 3MP 09-02, Appendix DAugust 2016When repairs are not approved the unit must be re-fabricated. A copy of each un-approvedrepair request along with photos must be maintained as part of the required QC records.

4. Non Repairable Defects - Non repairable defects are defined in 704-03. Units with nonrepairable defects must be re-fabricated.

5. Fabrication Discrepancies - The acceptance of units with fabrication discrepancies requiresDepartment approval. Fabrication discrepancies include such things as out of tolerancedimensions, missing or miss located embedded items, etc. The manufacturer must prepare a“Precast Concrete Damage And Discrepancy Repair Request” each time a repair or approval toaccept-as-is is requested. The procedure described under “3) Major Defects” above forpreparing, processing and maintaining records of requests shall apply.

B. CONCRETE REPAIR PROCEDURE FOR PRECAST CONCRETE PRODUCTS

The following repair procedure is approved for use on precast concrete products. It shall be usedto make concrete repairs which go beyond the scope of the specification. All such repairsrequire prior approval from the Materials Engineer in the project region.

1. The perimeter of the repair area shall be square cut to a minimum depth of 3/8”(10 mm) to prevent feather edging of the repair. All unsound concrete must beremoved from the specified area by use of light, hand held, pneumatic tools. Allexposed steel reinforcement must have the concrete removed from around it up toa distance of 1” (25 mm) from the reinforcement.

2. The repair area must be thoroughly cleaned by either wire brushing or blastcleaning.

3. To insure a proper bond, the repair area shall be prepared by one of the followingtwo methods:

A. A bonding agent meeting the requirements of ASTM C881, Type V,Epoxy-Resin-Base Bonding Systems for Concrete, shall be applied to therepair area. Application of the bonding agent and the allotted time frameand temperature for making the repair shall be in accordance withmanufacturer's instructions.

B. The concrete in the repair area shall be in a saturated surface dry (SSD)condition at the time of repair. To insure an SSD condition, the repair areamust be kept wet for a minimum of 12 hours prior to making the repair.

4. The area must be repaired with an approved Concrete Repair Material conformingto the requirements of 701-04, 701-08 or 701-12, whose name appears on theDepartment's Approved List. The repair shall be finished to the proper shape andtexture and then cured in accordance with manufacturer's instructions. All repairsshall be done in an environment where the temperature will be above 50°F(10°C).

5. The finished repair must be sounded by applying a moderate blow to the repairarea with a 16 oz (450 g) hammer. To be acceptable, the finished repair mustwithstand the blow without any damage occurring and produce a sharp ring whenstruck, indicating proper bonding of the repair.

6. In addition, all repairs which will be exposed to view after installation of theprecast unit must be uniform in appearance. Repairs which are not similar incolor and texture to the rest of the unit shall be cause for rejection.

of 3MP 09-02, Appendix DAugust 2016

PRECAST CONCRETE DAMAGE AND DISCREPANCY REPAIR REQUEST

(Section 1: Completed by Precast Manufacturer)

Precast Manufacturer: Date: ___________________

Contact Person: Phone No: Fax No: ________________

Contract No: ________ Region: ____ Precast Item: ___________________________________________

Approved Drawing No: Date Approved: ___________________

Unit Identification (mark no. & date of manuf.): __________________________________________________

___________________________________________ Date Defect Was Identified:______________________Description Of Damage Or Discrepancy, The Cause And Proposed Repair: (Include a sketch and photosshowing the location and dimensions of the defect, and all exposed reinforcing steel. All unsound concrete mustbe removed before dimensions are taken. Attach an additional sheet(s) for the sketch.):

Request To Make Repairs In Accordance With "Concrete Repair Procedure For Precast Concrete Products"

Precast Manufacturer (signature and date):________________________________________________________________________________________________________________________________________________

(Section 2: Completed by Materials Engineer)Materials Engineer Approval And Comments (indicate acceptability of proposed repair and any commentson the procedure or instructions for verification of the repair by the manufacturer.): Repair Approved As Requested Repair Approved With Comments Repair Not Approved Repair In Accordance With “Concrete Repair Procedure For Precast Concrete Products"

Comments:

Materials Engineer (signature and date): ________________________________________________________

APPENDIX E

LISTING OF PRECAST CONCRETE PRODUCT GROUPS

of 1MP 09-02, Appendix ESeptember 2009

PRECAST PRODUCT GROUPS FROM APPROVED LIST

Precast concrete products which reference Materials Specification 704-03 Precast Concrete –General must be manufactured by a precast producer appearing on the Department’s ApprovedList titled “Precast Concrete Manufacturers Approved for QC/QA Production.” In addition themanufacturer must be approved for the product group containing the item to be supplied. Precastproducts are arranged in groups on the Approved List as follows:

GROUP 1 GROUP 2 GROUP 3 GROUP 4 GROUP 5 GROUP 6

Box Culvert DrainageUnits

Highway &BridgeBarrier

CurbDrainage

OutletHeadwalls

ArchitecturalFinishes:

(ColoredConcrete,

Form Liner,Exposed

Aggregate,Hand Applied

Texture,Etc.)

PavementSlabs Pull Boxes

TemporaryConcreteBarrier

Coping Right–of-Way Markers

Wet Cast Pipe RetainingWall

PermanentSurveyMarkers

Pipe EndSections Noise Wall

Guide RailAnchorBlocks

Light PoleBases

Miscellaneous precast products which reference 704-03 but are not listed above will be groupedby the Materials Bureau on a case by case basis.