Three-Phase Inspection Checklist UFC Construction

What the Three-Phase System Is

The three-phase quality control inspection system is required by UFC 3-01.01A (Unified Facilities Criteria -- Quality Control) for construction contracts administered by the U.S. Army Corps of Engineers (USACE) and Naval Facilities Engineering Systems Command (NAVFAC). The system requires three formal inspections for each feature of work: a Preparatory Inspection before work begins, an Initial Inspection when the first unit of work is completed, and ongoing Follow-Up Inspections throughout the feature.

The three-phase system is not optional and is not informal. Each phase must be documented in the QC daily report with the date, attendees, items inspected, and results. Missing a required inspection is a deficiency. Undocumented inspections are treated the same as missed inspections by contracting officers during oversight visits.

Preparatory Inspection Checklist

The preparatory inspection occurs before any work begins on a feature. The QC Manager must verify all of the following before documenting the inspection as complete:

• ☐ All required submittals (shop drawings, material certs, mix designs) are approved by the government
• ☐ Materials on site match approved submittals -- check lot numbers, certificates of compliance (COCs)
• ☐ Equipment is on site and operational (calibration records current)
• ☐ Crew has been briefed on specification requirements for this feature
• ☐ Required permits are in hand (excavation permits, utility clearances, etc.)
• ☐ Activity Hazard Analysis (AHA) for this feature is current and signed by superintendent
• ☐ Instrument calibration records are current

Attendees required: QC Manager, superintendent, subcontractor foreman. Document attendees and their signatures in the QC daily report.

Initial Inspection Checklist

The initial inspection occurs when the first unit or section of work for the feature is completed. This is the first verification that the work meets specification requirements:

• ☐ First unit/section of work meets specification requirements
• ☐ Grade/elevation meets design (first grade shots taken and documented)
• ☐ Compaction meets specification (first compaction test taken and logged)
• ☐ Workmanship is acceptable (joints, tolerances, surface finish)
• ☐ Safety compliance confirmed
• ☐ Any deficiencies identified are documented and assigned

If deficiencies are found at the initial inspection, work on the feature stops until the deficiency is corrected and re-inspected. The government QAR should be invited to attend initial inspections -- notify them at least 24 hours in advance per the QC plan.

Follow-Up Inspections

Follow-up inspections occur throughout the remaining duration of the feature, at a frequency specified in the QC plan (typically daily for continuous operations). The checklist for each follow-up inspection:

• ☐ QC daily report completed for the day
• ☐ All required tests are within specification
• ☐ Open deficiencies are being tracked toward resolution
• ☐ Materials received today match approved submittals
• ☐ No unauthorized material substitutions
• ☐ Safety compliance maintained

Deficiency Management

Any item found non-conforming during inspection becomes a Deficiency Item. Assign it a unique deficiency number (sequential, e.g., DEF-001). Document in the QC daily report: deficiency number, date identified, location, description of non-conforming condition, reference specification clause, party responsible for correction, and required completion date.

Track the deficiency to resolution. When corrected, document the corrective action taken, the date completed, and the re-inspection result. Close the deficiency in the tracking log. If a deficiency is not corrected within the specified timeframe, the contracting officer may issue a Notice of Non-Compliance (NCR), which has more serious contractual implications.