AISC 207-20 AUDIT GUIDE

All Fabricator, Manufacturer and Erector Programs and Endorsements

Purpose
This audit guide will help you transition between the Certification Standard for Steel Fabrication and Erection, and Manufacturing
of Metal Components (AISC 207-16) and the updated Standard for Certification Programs (AISC 207-20).

Scope
This audit guide can be used during internal audits to identify “gaps” between your management systems and the updated
standard or as a starting point for implementing management systems to meet the certification requirements. It can also be
useful if you are considering adding additional certifications and/or endorsements. This audit guide includes all certification
programs and endorsements. The Governing Requirements for Certification Programs and the program specific
Supplemental Requirements are not included but should be reviewed as part of the internal audit to ensure compliance.
For users of the Certification Standard for Shop Application of Complex Protective Coating Systems (AISC 420-10/SSPC-QP 3)
the additional criteria are included with a reference to the general sections of 207-20.

Use Instruction

Explanation of the column layout:

● Ref# - identifies the section or subsection of new standard 207-20
● Criteria - notes the text from the new standard and each “shall” is required for implementation of the management
system(s)
● MS Ref - record the reference of the management system which contains these criteria. (procedure number, Quality
Manual section, etc.)
● Audit Findings - use this space to indicate what was observed, which provides evidence of what was reviewed to
determine conformance
● Results - use to indicate the result of comparing the evidence observed versus the criteria. A key is provided in the
footer of each page.

When a section contains new criteria or of significant change, the revised portion of the criteria will be in RED to make
identification of potential changes or gaps easy to identify. Chapter 6 is all new criteria and is not highlighted in red.

Please note the following changes that were included throughout the 207-20 but are not highlighted in red:

 The word “product” has been replaced by “work” where applicable. Work encompasses any work done in fabrication,
the work accomplished by the erectors and the work performed by subcontractors or suppliers.
 The phrases “shop drawings”, “erection drawings”, and “manufacturing drawings” have been replaced by “fabrication
documents”, “erection documents”, and “manufacturing documents”. This allows for a broader use of how this
information is conveyed.
 Many terms have been revised or added to the Glossary and this section should be reviewed and used in conjunction
with this guide to gain a more complete understanding of the terminology in the Standard.

Customize to Your System

If you have multiple certifications and/or endorsements, you may want to copy and paste the criteria from the supplemental
Chapters of 207-20 provided in this guide into the row of the associated general section. Criteria that do not apply to your
certifications can be deleted making a custom internal audit guide for your company.

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1.1 Purpose
The purpose of this Standard is to confirm to owners, the design community, the
construction industry, and public officials that certified participants who adhere to the
requirements in this Standard have the personnel, organization, experience, documented
procedures, knowledge, equipment, and commitment to quality to perform fabrication,
manufacturing, and/or erection as described in this Standard.

1.2 Scope
The requirements in this Standard shall apply as follows:

a) Chapters 1 and 2 shall apply to building fabricators, who fabricate and supply
the structural steel frames for buildings where elements of the frames are as
defined in AISC Code of Standard Practice Section 2.1.
b) Chapters 1 and 3 shall apply to metal component manufacturers, who
manufacture components that include bracing not designed for primary loads
(diaphragms, cross frames, and lateral bracing); camera, light, sign, and signal
support structures; bridge rail; stairs; walkways; grid decks; drains; scuppers;
expansion joints; bearings; ballast plates; and mechanical movable bridge
equipment. Manufacturers of camera, light, sign, and signal support structures;
high mast light towers; bridge rail; complex expansion joints; high load multi-
rotational (HLMR) bearings; and mechanical movable bridge equipment shall
also be required to meet specific supplemental requirements to this Standard.
c) Chapters 1 and 4 shall apply to bridge fabricators, who fabricate and supply
steel highway or railroad bridges.
d) Chapters 1 and 5 shall apply to erectors of structural steel.
e) Chapters 1 and 6 shall apply to hydraulic metal structure fabricators.

In Chapters 2 through 6, only those subsections that are supplementary to Chapter

1 are indicated.

The Glossary is an integral part of this Standard. Nonmandatory Commentaries are

provided for background, and the user is encouraged to consult them.

NOTE: The terms listed in the Glossary are to be used in addition to those in the AISC
Code of Standard Practice for Steel Buildings and Bridges, hereafter referred to as the
Code of Standard Practice; some commonly used terms are repeated here for
convenience and marked with an †. Where used, terms are italicized to alert the user that
the term is defined in this Glossary.

1.3 References
The reference documents and standards necessary to make personnel aware of work
requirements shall be consistent with the requirements of existing contract documents
and shall be readily available to those who need them. The ability to work to and meet
the requirements of the latest edition of the following documents shall be demonstrated:
A. ANSI/AISC 303 Code of Standard Practice for Steel Buildings and Bridges
B. RCSC Specification for Structural Joints Using High-Strength Bolts
C. Selected ASTM Standards for Structural Steel Fabrication, as published for
AISC, or equivalent content
D. AWS A2.4 Symbols
E. AWS A3.0M/A3.0 Terms and Definitions
F. AWS D1.1/D1.1M Structural Welding Code—Steel

1.4 Definitions
As used in this Standard, the words shall, must, or will denote a mandatory
requirement. The word should denotes a guideline or recommendation. The words may
or can denote an opportunity to make a choice.

1.5 MANAGEMENT RESPONSIBILITY

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1.5.1 Policy for Quality
Executive management shall ensure that a policy for quality is communicated,
implemented, and maintained. The policy for quality shall include:
A. A commitment to quality that includes a commitment to meet the requirements
in contract documents.
B. A quality management system that provides a framework for establishing,
communicating and reviewing quality goals.

Executive management shall establish goals to improve quality. Goals shall be

measurable and documented through objective evidence . As quality goals are achieved,
new goals shall be set that demonstrate commitment to continuous improvement.

1.5.2 Quality Management System

The quality management system shall satisfy all of the requirements of this Standard and
the requirements of the contract documents and referenced standards. The quality
management system shall include a quality manual , documented procedures and
records.

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1.5.3 Management Review
Executive management shall conduct periodic review of the quality management system
at planned intervals, but annually at a minimum. Further, at a minimum, management
review shall include assessment and documentation of the following:

A. A summary of previous management reviews.

B. Results of any internal and external audits conducted since the previous
management review.
C. Customer feedback and feedback mechanisms, identifying opportunities for
improving quality.
D. Work nonconformances. Both the number and severity of nonconformances
shall be assessed.
E. Process nonconformances, including compliance with the documented
procedures comprising the quality management system.
F. Effectiveness of the corrective actions taken.
G. Results of equipment inspections, including the adequacy of equipment
resources.
H. Adequacy of the training program with respect to the levels of qualification
required as appropriate.
I. Proposed or required modifications to the quality management system.

The management review record shall include the decisions and actions required for
implementation of:

A. Improvement of the effectiveness of the quality management system and its

processes
B. Improvement of quality
C. Resource needs

Records from management reviews shall be maintained in accordance with the

documented procedure as required in Section 1.9.

1.5.4 Responsible Quality Personnel

Executive management shall designate a management representative or representatives
for quality who shall report directly to (or be a part of) executive management. The
designated management representative(s) for quality may perform other functions within
the company, provided that those functions do not conflict with the quality responsibilities.
The designated management representative(s) shall have the ability, responsibility, and
authority to:

A. Ensure that documented procedures needed for the quality management

systems are established, implemented and maintained in accordance with this
Standard.
B. Report to executive management on the performance of the quality
management system and any need for improvement.
C. Communicate with external parties on matters relating to the quality
management system.

1.5.5 Resource Management

Resources necessary to comply with the contract documents shall be available.
Resources are applicable to both personnel and non-personnel. The qualification
requirements, responsibility, authority, and the interrelation of functional positions that
manage, perform, and verify work affecting quality shall be defined as required in Section
1.5.4 and in the industry-specific chapters. Other provisions relating to personnel are
found elsewhere in the Standard. See Sections 2.5.4, 3.5.4, 4.5.4, 4.I.5.4, and 5.5.4.3,
and 6.5.4.2 for non-personnel, industry-specific resource requirements.

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1.5.6 Internal Communication
Executive management shall ensure that appropriate communication processes are
established and that communication takes place on a regular basis regarding the
effectiveness of management systems.

1.5.7 Quality Manual

The quality manual shall include a page showing the current revision date and the name
and location of the facility or organization. The quality manual shall include or incorporate
by reference the following documents at a minimum:
A. Documented statements of a quality policy and quality objectives as required
by this Standard.
B. Documented procedures established for the quality management system (or
references to them), along with their associated quality records.
C. Documents needed by the organization to ensure the effective planning,
operation and control of its processes.
D. Organizational chart describing the interrelationship of functional positions that
manage, perform and verify work affecting quality.
E. Job descriptions outlining responsibilities, authority and required qualifications
for key positions.
F. Qualification evidence for individuals in key positions /functions.

Executive management shall define additional documented procedures , drawings or

other documents that are required beyond the minimum requirements set by this
Standard to meet the needs of the organization and its customers. The highest ranking
member of executive management shall sign and date the quality manual .

1.6 Construction Document Review and Communication

A documented procedure shall be developed for contract and project specification
review. The procedure shall require these reviews for each project, and the review shall
begin no later than the acceptance of responsibility for performing the work. Records of
this review shall be maintained in accordance with the documented procedure as
required in Section 1.9.
1.7 DETAILING - Section 1.7 does not apply to erectors.

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1.7.1 Detailing Standards
The fabricator or manufacturer shall prepare and use detailing standards describing
technical preferences and requirements. These standards shall show special information
required on advance bills such as allowances for cuts, camber, or supplementary
requirements. The detailing standards shall include how bills of material are prepared
which, at a minimum, include:
A. Sizes and quantities
B. Appropriate specification references
C. Special ordering information
D. Any allowances or tolerances

The detailing standards shall describe the fabricator’s or manufacturer’s methods of

drawing layout, including, but not limited to:
A. Sections and views.
B. Title block information.
C. The method of designating shipping sequences.
D. The piece marking system.
E. Commonly used shop abbreviations.
F. Fabricators: Showing bolt placement lists (including bolt type and installation
requirements).
G. Fabricators: Information required on weld symbols including any special NDT
requirements.
H. Fabricators: The detailing standards shall describe the method for:
a. Selection of connection type, connection geometry and connection
material.
b. Detailing holes, fasteners, washers, cuts and copes.
c. Assignment of appropriate welding symbols (shop and field welds).
d. Selecting bolt installation method (for shop-installed bolts).
e. Showing surface preparation (including specification of surface
finish).
f. Designating coating requirements (including coating materials and
dry film thickness).
g. Showing any necessary special instructions to fabricate and erect
the steel.
I. Manufacturers: If applicable, illustrate information to be included on weld
symbols and the preferred way to designate surface preparation and coating
requirements.

1.7.1.1 Digital Document Production

For digital fabrication, manufacturing, erection, and installation documents, the
documented procedure for producing these documents shall identify the data,
variables, graphics, calculating formulas, and other output as appropriate that are
checked to determine that the software is functioning correctly.
NOTE: Moved from 1.7.2.

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1.7.2 Checking
The fabricator shall develop a documented procedure to provide for checking of
all fabrication and erection documents. The documented procedure for checking
of these documents shall describe the method used by the fabricator or its subcontractor
to perform and record the final check to ensure compliance with contract documents.
Records shall provide means for identification of the individual
checker who performed the final check of each document.

When detailing is performed by a subcontractor, the documented procedure shall define

the extent of review required by management and the extent of checking required of
received detailing products before release.

The documented procedure for checking fabrication and erection documents shall
include comparison and compliance with project requirements.

During the checking process, the following shall be verified:

(a) Geometry.
(b) Use of connections as specified in the contract documents.
(c) Appropriate notes are included.
(d) Material usage as specified in the contract documents.
(e) Shop bills contain all required information.
(f) Use of appropriate and complete welding symbols.
(g) Use of coatings and surface preparations as specified in the contract
documents.
(h) Proper representation on erection drawings, including the notation of any
necessary instructions and depiction of details necessary to conduct the work
in the field.
(i) All information is accurately presented and in compliance with the Code of
Standard Practice requirements.
(j) All steel included in the contract documents has been detailed.

1.7.3 Control of Approval Documents and Release for Fabrication

A documented procedure shall be developed for the control of approval documents and
shall describe the method used to document owner approval of approval documents
released for fabrication whether produced in-house or through a subcontractor.

1.7.4 Shop Drawings Supplied by Others

A documented procedure shall be developed for the approval of approval documents and
shall describe the method used to document owner approval of approval documents
released for fabrication whether produced in-house or through a subcontractor.

1.7.5 Management of Detailing

The fabricator’s or manufacturer’s staff shall manage detailing. Responsibilities for
detailing management shall include:
A. Overseeing the production of shop and erection drawings , including the work
of subcontractors
B. Communicating with owners’ representatives for design
C. Scheduling
D. Developing and maintaining company detailing standards and documented
detailing procedures
E. Preparing and sending transmittals related to obtaining approval from the
owner’s designated representative for design or construction.
F. Coordinating and incorporating construction requirements
G. Training of employed detailers and checkers

Qualification requirements for detailing management personnel shall include experience

in detailing and checking fabrication and erection documents that have been approved
for a variety of structures representative of projects the fabricator or manufacturer
provides.

The fabricator or manufacturer shall determine and describe methods to demonstrate

competence of detailing management personnel. Detailing management shall be familiar
with the requirements of pertinent codes and specifications.

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1.7.6 Detailing Functions
Personnel who perform detailing or checking of shop, manufacturing and erection
drawings shall have experience in drawing projects similar to the projects the fabricator
or manufacturer provides and shall have knowledge of applicable material specifications
and of mill rolling practices as they affect the detailing of structural steel.

Detailers in training shall work under the supervision of a trained detailer or checker.

A qualified checker shall check the fabrication and erection documents before release for
fabrication. Qualification requirements for checkers shall be defined and documented and
include training and experience in connection selection. Demonstrated experience and
competency of employed and subcontracted individuals performing final checks shall be
documented by detailing management.

1.7.7 Subcontract Services

Subcontractors may be used for the following functions: detailing, connection shop
standards, delegated connection design as applicable; checking of shop, manufacturing,
and erection drawings; and training of detailers and checkers. The fabricator or
manufacturer shall define and document the qualification and selection process for
choosing subcontractors.

1.8 CONTROL OF MANAGEMENT SYSTEM DOCUMENTS AND PROJECT DOCUMENTS

1.8.1 Management System Documents

A documented procedure shall be developed to control quality management system
documents.

1.8.1.1 Quality Management System Documents

Documents covered by this Section shall include, but not be limited to, the quality
manual, the safety manual as applicable, and any documented procedures.

1.8.1.2 Review and Approval

Documents shall be reviewed and approved by the same function and authority level that
authorized the original document.

The function and authority levels that have responsibility for review and approval of
internal standards and documented procedures shall be designated.

The documented procedure shall describe the frequency and requirements for review
and updating, and establish a method to identify changes.

1.8.1.3 Revision Control

Revisions to quality management system documents shall be clearly identifiable and
there shall be a method for monitoring and identifying the latest revision.

Revisions shall be reviewed for adequacy and approved by the same function and
authority level that authorized the original document.

Quality management system documents shall remain legible and easily identifiable.

1.8.1.4 Access
Documents shall be available and readily accessible to all personnel responsible for
performing functions affecting the quality of the completed work.

1.8.1.5 Communication
Changes and revisions shall be clearly communicated to all personnel responsible for
performing functions affecting the quality of the completed work.

1.8.2 Project Documents

A documented procedure shall be developed to control project documents. Documents
covered by this Section shall include, but not be limited to, contract documents, revised
contract documents, shop drawings, erection drawings, RFIs, and any quality assurance
documents received.

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1.8.2.1 Tracking Project documents and changes to project documents shall be tracked.
Tracking information shall indicate, at a minimum, date of receipt, summary of issue, and
ultimate disposition of the change, including distribution of the final decision to the
appropriate parties. The documented procedure shall define methods for receipt and
documentation of owner and general contractor requirements and fabricator -originated
changes as they occur throughout the fabrication and detailing process. Requirements
may be received in original contract documents; in subsequent telecommunications,
letters, and related transmittals; and in change orders or contract addenda.

The documented procedure shall require records (e.g., logs, files or master lists) that
show receipt of change data, incorporation, issue, and distribution of approved and
revised approval documents to all necessary departments and personnel at the
fabricator’s facility and necessary external organizations, subcontractors or suppliers.

1.8.2.2 Revision Control

For project documents that the fabricator, erector or manufacturer produces, revisions
shall be clearly identifiable and there shall be a method for monitoring and identifying the
latest revision.

The documented procedure shall include provisions to prevent inadvertent use of

obsolete documents.

Project documents shall remain legible and easily identifiable.

1.8.2.3 Access Project
Documents shall be available and readily accessible to all personnel responsible for
performing functions affecting the quality of the completed work.

1.8.2.4 Communication
Changes and revisions shall be clearly communicated to all personnel responsible for
performing functions affecting the quality of the completed work.

1.9 MAINTENANCE OF QUALITY RECORDS

A documented procedure shall be developed for the maintenance of quality records that
provide for record identification, collection, storage and retrieval, retention, and
disposition.

1.9.1 Retention
The documented procedure for the maintenance of quality records shall define the
retention policy and provisions for the disposition of the records at the end of the
retention period.
1.9.2 Storage
Quality records shall be stored in a manner that minimizes damage, deterioration or loss.

1.9.3 Retrieval
Quality records shall be accessible in a reasonable time frame.

1.10 PURCHASING
A documented procedure shall be developed to ensure that subcontractors and suppliers
provide contracted services and materials conforming to project requirements.

1.10.1 Purchasing Data

Purchasing documents shall clearly describe subcontracted work, purchased materials
and services ordered in written purchasing documents. This information shall include, but
shall not be limited to:
A. The type of service, material, class, grade, and other unique identification
B. The applicable specifications , drawings, process requirements, and inspection
instructions and any witness points
C. Delivery instructions and date
D. Required quality reports, certified test reports, and certificates of
compliance/conformance of purchased materials

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1.10.2 Selection of Subcontractors and Suppliers
A documented procedure shall be developed that describes how the certified company
conducts initial and ongoing evaluation of all subcontractors and suppliers.

Subcontractors and suppliers shall be evaluated and selected on the basis of their ability
to meet subcontract requirements, the management system requirements, the applicable
requirements of this Standard, and the requirements of the approved construction
documents and referenced standards.

Management shall determine:

A. Evaluation criteria
B. Reevaluation interval
C. Personnel involved in the evaluation process

Subcontractors and suppliers shall be evaluated via an audit or documented acceptable

past experience. As a minimum, their quality and timely, proper delivery shall be part of
the evaluation.

The documented procedure for the selection of subcontractors for fabrication,

manufacturing, or erection shall include a provision that requires that these entities have
current AISC Certification for the type of work that is being subcontracted. The procedure
shall also include provisions for obtaining approval to retain a subcontractor who is not
certified on a project-specific basis from the owner, owner’s designated representative for
design, and the owner’s designated representative for construction when certification is
required in the contract.

1.10.3 Verification of Purchased Product, Materials and Services

The documented procedure for verification shall identify the activities necessary for
ensuring that purchased products, materials and services meet project requirements.

1.10.4 Control of Customer-Furnished Work and Material

If work or materials are furnished by the customer, the organization shall verify, store,
and maintain them in an appropriate fashion. Customer-furnished work or material shall
be protected to prevent use for other than its intended purpose. Any such work or
material that is lost, damaged, or otherwise unsuitable for use shall be recorded and
reported to the customer.

1.10.5 Purchasing Records

Purchasing documents, subcontractor and supplier qualification records, and records of
the periodic evaluation of subcontractors and suppliers shall be maintained as required
by Section 1.9.

1.11 MATERIAL IDENTIFICATION

A documented procedure shall be developed for the identification. Records that provide a
basis for material identification shall be maintained as required by Section 1.9.
.
Structural steel material shall be identified as stated in the Code of Standard Practice,
unless otherwise noted in the contract documents.

Welding consumables shall be identified in accordance with the appropriate AWS

specification and classification.

Coating materials (excluding metallic coating) shall be identified on the container by, at a
minimum, color (pigment description and federal standard number, or manufacturer’s
number), lot/batch number, ID/stock number, quantity of coating in container, date of
manufacture, date of expiration, and manufacturer’s name and address.

Metallic coatings shall be identified by composition and the appropriate ASTM

specification, including thermal spray coating.

Fasteners shall be stored in containers clearly identified by type, grade, size and lot
number(s).

Material traceability to corresponding MTRs is necessary only when specifically required

by contract. The fabricator or manufacturer shall develop a documented procedure to
maintain traceability, when required, of materials from the point of receipt and throughout
the course of fabrication.

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1.12 PROCESS CONTROLS
Documented procedures shall be developed for the processes necessary to produce a
consistent, acceptable level of quality of the completed work in accordance with
applicable codes and project requirements.

Regardless if these processes are routinely performed, effective implementation of the

following documented procedures is required as a minimum.

1.12.1 Welding
The documented procedure for welding shall be developed that addresses the
management of:
A. WPSs
B. Preheat requirements
C. PQRs
D. Storage (including ovens) and identification requirements for welding
consumables
E. Welder, welding operator, and tack welder qualifications and qualification test
records in accordance with appropriate AWS requirements
F. Welder, welding operator, and tack welder performance records—to provide
objective evidence that the “period of effectiveness” has not been exceeded
and satisfactory performance is consistently achieved
G. Traceability of welds to the welders who produce them, as applicable.

WPSs shall be in close proximity to and used by the welders, welding operators or tack
welders.

1.12.2 Bolt Installation

A documented procedure shall be developed for bolting. The procedure shall meet the
requirements of the RCSC Specification for Structural Joints Using High-Strength Bolts
and the requirements of approved construction documents and referenced standards.
The documented bolting procedure shall include storage, pre-installation verification,
installation, and inspection of fastener assemblies for snug-tightened, pretensioned and
slip-critical joint types.

1.12.3 Material Preparation for Application of Coatings

The documented procedure for surface preparation shall support achievement of
cleanliness and surface profile required by coating manufacturer recommendations,
product data sheets, and contract documents.

1.12.4 Coating Application

The documented procedure shall support application and curing of coatings in
accordance with manufacturer recommendations and product data sheets and with
contract documents.
.
1.12.5 Equipment Maintenance
The documented procedure for equipment maintenance shall, at a minimum, define the
evaluation of and preventive maintenance for equipment necessary to meet product or
work quality and delivery requirements.

1.13 INSPECTION AND TESTING

A documented procedure for inspection and testing shall be developed to ensure that the
completed work meets the requirements of the contract documents.

The procedure shall define receipt, in-process, and final inspection of work furnished for
a project. Work determined during inspection and testing to be nonconforming shall be
addressed following the nonconformance procedure requirements in Section 1.1.5.

When inspecting less than 100% of the work, the procedure shall describe the
sampling plans for each type of inspection. The plans will adjust the level and
frequency of inspection at any time the required level of quality is not met.

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1.13.1 Assignment of QC Inspections and Monitoring
Qualification requirements for QC inspectors shall be defined and documented as
required in Section 1.5.4. Production personnel may be assigned to QC inspection duties
under the following conditions:
A. They are knowledgeable in proper inspection methods and acceptance criteria
specified for the material or products they are inspecting and hold the required
certification as applicable.
B. They are aware of their responsibilities and are given time to perform them.
C. They inspect other’s work.
D. Their inspections are monitored by qualified quality control personnel.

1.13.2 Receipt Inspection

Materials received shall be compared to the purchase order requirements and the
receiving documents. The receiver shall identify the material and quantity and
check for visible shipping damages. The receiver shall inspect shapes and plates for
obvious deviations from the project requirements.
1.13.3 In-Process Inspection
Materials shall be inspected before the work begins. The fabricator, manufacturer or
erector shall employ in-process inspection plans and practices for specified process
requirements and inspection acceptance criteria that are not verifiable at final inspection
or for which final inspection can hinder subsequent work. In-process inspection is
appropriate for processes including, but not limited to, welding, bolting, coating surface
preparation, and coating application, as applicable.

Compliance with documented process control procedures shall be monitored.

1.13.3 Final Inspection

Final inspection shall be conducted. QC inspectors qualified and responsible for final
inspection shall perform the final inspection of structural steel products and metal
components prior to shipping in the case of fabrication, or after the completion of work in
the case of erection. Final inspections shall be recorded and maintained as required by
Section 1.9.

1.13.4 Inspection Records

The procedure shall indicate what records and marks are used to document inspections.
In-process inspections shall be verifiable until the final inspection of the piece.

The quality records produced shall be filed and retained as defined in the procedure
required by Section 1.9. Inspection records shall clearly show what was inspected, the
result of the inspection, and who performed the inspection.

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1.14 CALIBRATION OF INSPECTION, MEASURING AND TEST EQUIPMENT
A documented procedure shall be developed to calibrate and maintain inspection,
measuring and testing equipment. The procedure shall define equipment calibration
frequency. However, the volt/amp meters used to verify compliance with WPS
parameters (may be welding machine volt and amp meters or auxiliary volt/amp meters)
shall be calibrated at a minimum every 12 months, unless a more frequent interval is
required. The procedure shall include provisions for:
A. A unique identifier for each piece of equipment.
B. A list of equipment that requires calibration.
C. Service use for each piece of equipment, including the required precision for
the types of inspections, measurements or tests made.
D. Calibration or adjustment instructions in accordance with the manufacturer’s
recommendations.
E. Frequency of calibration or adjustment.
F. Tracking calibrations, adjustments and repairs.
G. Storage and handling of inspection, measuring, and test equipment to maintain
accuracy and fitness for use.
H. Identification of standards or certified equipment having a known valid
relationship to internationally or nationally recognized standards used to
calibrate each listed piece of equipment. Where such standards do not exist,
the basis used for calibration shall be documented.
I. The action to be taken when equipment does not meet the calibration
requirements. This action includes disposition of the equipment and an
evaluation of the impact to work that was measured using it.
J. Method of preventing inadvertent use of uncalibrated equipment where
calibration is required.

Calibration and adjustment history shall be available.

Rented or borrowed equipment must be accompanied by a valid calibration certificate

and is subject to the requirements of this Section. For equipment that is damaged,
dropped, knocked over or functioning improperly, the procedure shall include provisions
for prominently marking or tagging such equipment to preclude usage and removing the
equipment from service until it can be recalibrated, adjusted, or repaired.

Whenever the accuracy of inspection, measuring and test equipment is in question,

proactive calibration shall occur, independent of the manufacturer’s recommendations.
The precision required of any piece of equipment shall be sufficient to satisfy the
acceptance standards of the project specifications or industry standards.

1.15 CONTROL OF NONCONFORMANCES

A documented procedure shall be developed to identify and control nonconformances.
Records of nonconformances shall be maintained as required by Section 1.9.

1.15.1 Nonconformance with Management Systems

A nonconformance related to the performance of the management system shall be
documented to the detail level described by the procedure. These nonconformances may
be identified by the management systems during external audits, or by quality assurance
inspections.

1.15.2 Nonconforming Work

The procedure for nonconforming work shall provide for identification, documentation,
evaluation, treatment of nonconforming work, and notification of the relevant functions
concerned. Nonconforming work may also be identified in a quality assurance inspection
report. These reports, when received, become quality assurance inspection records.

Nonconforming work shall be clearly marked as soon as practical after it is discovered.

Records shall be kept of the pieces affected, the nature of the nonconformance, the
treatment selection, authorization, and reinspection results if applicable. The treatment of
nonconforming work may include:
A. Redesign and rework , as approved by the responsible party, and as required
in the contract documents
B. Repair , as approved by the responsible party, and as required in the contract
documents
C. Use as-is, as approved by the responsible party, and as required in the
contract documents
D. Scrap

If the treatment is rework or repair, the result will be inspected per project requirements,
as well as per the quality control process.

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1.16 CORRECTIVE ACTION
A documented procedure shall be developed for corrective action to improve quality. Any
corrective action taken shall be to the degree appropriate to the magnitude of problems
and commensurate with the risks to quality. The documented procedure shall include
periodic review of records or summaries of nonconformances and of internal and external
quality audit reports for determination and initiation of corrective actions. The corrective
action procedure shall address these steps:
A. Document a corrective action request (CAR) that includes the nonconformance
to be addressed by the corrective action and the requirement that has not been
met. The corrective action procedure shall define the functional positions
authorized to issue a CAR and initiate the corrective action process.
B. Assign responsibility and establish a time frame for the response to a CAR.
C. Investigate and document the scope of the nonconformance, root causes,
corrective measures taken, and list the actions to be taken to prevent
recurrence.
D. Communicate the corrective action request and resolution to executive
management and appropriate members of the organization.
E. Follow up the corrective action taken with periodic monitoring to assure the
corrective action is implemented and is effective.

Corrective action shall be applied when:

A. There is a nonconformance that is repetitive in nature as identified by
periodically reviewing nonconformance reports or summaries for negative
trends.
B. Process nonconformances are found during the internal and external quality
audits indicating that the quality management systems may not be
implemented and functioning as stated in the quality manual.
C. Nonconformance with the quality management system is found during the day-
to-day execution of the system.
D. Nonconformance is unacceptable as determined by management.
E. A customer complaint has been investigated and corrective action has been
determined necessary.
1.17 HANDLING, STORAGE AND DELIVERY OF MATERIALS, FABRICATED WORK, AND
COMPONENTS
Materials, fabricated work, and components shall be stored, and shipped to avoid
damage and deterioration as required by the Code of Standard Practice. Materials,
fabricated work, and components shall be protected to prevent use in other than its
intended purpose. Any such material that is lost, damaged, or otherwise unsuitable for
use shall be recorded and reported as appropriate.

1.18 TRAINING
Personnel responsible for functions that affect quality, including, but not limited to, project
managers, field/shop supervisors, detailers , inspectors, welding personnel, fitters,
painters, riggers, signal persons, and crane operators, shall receive appropriate initial
and periodic documented training . Training records shall be controlled in the same
manner as quality records. Personnel providing training shall have appropriate training or
experience in the subject they are teaching. Training course outlines include the subject
and the key points.

1.19 INTERNAL AUDIT

A documented procedure shall be developed for the control and management of internal
audits. An internal audit of each section of the quality management system shall be
performed at least once a year to evaluate the compliance and the effectiveness of
implementation. Different parts of the management systems may be audited at different
times and different frequencies, as long as all sections of the management systems are
audited annually.
The management representative or a qualified individual, independent of the function
being audited, shall perform the audit and produce a written record of the audit result
from each section.
Internal audit records shall be controlled in the same manner as quality records.

CHAPTER 2
BUILDING FABRICATOR REQUIREMENTS
2.3 References The ability to work to and meet the requirements of the latest edition of the
following documents shall be demonstrated:
(a) ANSI/AISC 360 Specification for Structural Steel Buildings
(b) ASTM F3125/F3125M Standard Specification for High Strength Structural
Bolts, Steel and Alloy Steel, Heat Treated, 120 ksi (830 MPa) and 150 ksi
(1040 MPa) Minimum Tensile Strength

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2.5.4.2 Buildings, Workspace, Equipment and Associated Utilities
A fabrication facility shall consist of areas and buildings that provide space for the routine
functions considered to be part of steel fabrication. The work areas and buildings
(including housekeeping, ventilation and clean air supply, and electrical supply) shall be
conducive to achieving consistent quality work. The fabricator shall have under their
control the equipment and software necessary to perform fabrication and inspection
consistent with the contract documents.

SPE/ SUPPLEMENTAL REQUIREMENTS FOR SHOP APPLICATION OF COMPLEX

QP3 PROTECTIVE COATING SYSTEMS - 420.10
1.5.4 5.2.2 Buildings, Workspace and Associated Utilities
The Firm shall have a location at which surface preparation, painting, and curing is
conducted. The Firm shall also provide protection of stored paint, blasted products, and
curing products from deterioration or damage. Regardless of whether the firm has two
distinct areas, for cleaning and painting operations, or one single area for the entire
painting process, the Firm must be able to describe the methods employed to control the
ambient conditions in these areas, and prevent contamination of the cleaning, application
and curing process.

1.12.5 5.2.3 Process Equipment

The Firm shall own or control painting and blasting equipment capable of executing the
sophisticated painting process. The required equipment must be present at the facility
and must be operable during the onsite audit at the facility that holds the endorsement.
This does not preclude the endorsement holder from subcontracting sophisticated
painting work to a certified SPE or QP3 entity when the Firm’s own capacity is engaged.

1.5.7 5.3.5 Project List

An up to date project listing that shows a sampling of the most current projects within the
last three years shall be documented and maintained. This list shall demonstrate the
knowledge level of the Firm by listing the:
● Project name
● Project size (e.g., tons, square feet, etc.)
● Dates work was performed.
● Surface preparation (e.g., SP-5, SP-6, SP-7, SP-10)
● Painting system information (e.g., three coat epoxy or two coat urethane).

Firms seeking initial certification (or recertification after a lapse in certification) to the
Sophisticated Painting Endorsement shall demonstrate capability by painting a steel
member or component using a customer specification of their choice on the day of the
initial audit. The item can be for a project that may or may not require a sophisticated
painting system.
● Fabricators shall choose a shape with a minimum length of 20 ft that either has
or simulates at least one bolted connection or bolted clip and one stiffener with
a snipe.
● Component manufacturers must paint a complete unit.

1.6 7. Coating System Communication

A document (e.g., drawings, travelers, or quality plans) shall be used to communicate
throughout the organization:
● Surface preparation (including specification of surface finish),
● Paint type
● Dry film thickness requirements
● Step backs
● Masking
● No-paint zones.

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1.10.1 10.2 Purchasing Data
The Firm shall clearly describe subcontracted work and the purchased products,
materials and services ordered in purchasing documents. This shall include, but not
limited to:
● The type of service, material, and other unique identification
● The applicable specifications, drawings, process requirements, inspection
instructions and any witness points
● Delivery instructions
● Certificate of Compliance/Conformance/Analysis
● Painting manufacturers’ product data sheets (for paint products)

1.10.2 10.3 Quality and Evaluation of Subcontractors

The Firm shall evaluate and select subcontractors on the basis of their ability to meet:
● Subcontract requirements
● Project requirements
● Specific inspection requirements.

When required by the contract, the selected subcontractor shall have either this AISC
Sophisticated Painting Endorsement or SSPC-QP3 certification. The Customer or
specifier shall approve (in writing) any subcontracted entity that does not have this AISC
Sophisticated Painting Endorsement or SSPC-QP3 certification on projects requiring this
Endorsement.

1.11 11. Material

11.1 Container
Material identification on the paint container shall be identified as a minimum by color
(pigment description and federal standard number, or manufacturer’s number), lot/batch
number, ID/stock number, and quantity of paint in container, date of manufacture and
manufacturer’s name and address.

1.17 11.2 Storage

Materials shall be stored in protected areas under conditions (including temperature) per
manufacturers’ recommendations. Paint with expired shelf life shall be segregated from
current material and/or specifically marked as ‘expired’ by the Firm. Waivers from
customers obtained to use out of date materials shall be documented.

Alternatively, expired paint can be retested and used without waiver. In the event the
Firm obtains written authorization from the manufacturer to extend the shelf life, the
owner shall be notified in writing.

1.10.3 11.3 Certificate of Conformance for Paint— Requirements

This quality record shall validate the attributes of the specific batch for the attributes in
the specification of the paint system. This includes the paint, thinner catalyst/activator,
and primer. Attributes address the composition and testing requirements for the specific
coating as established by the paint manufacturer and any applicable ASTM
requirements.
At a minimum, the Certificate of Conformance issued by the manufacturer on the
manufacturer’s stationery shall contain:
● The name of the manufacturer
● The product name and/or catalog number
● The batch number
● The date of the manufacture
● A statement that the product complies with the specifications contained in the
manufacturer’s product data sheet based on applicable test methods.

The Certificate of Conformance shall be retained by the Firm as part of its quality
records.

1.12 12. Process Control

The Firm shall document procedure(s) necessary to produce a consistent acceptable
level of quality of the required painting process. Procedure(s) addressing surface
preparation, paint application, equipment maintenance are required. (as described in the
sub-elements of this element.)

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1.12.3 12.1 Surface Preparation
Surfaces to be painted shall be prepared in accordance with the paint manufacturer
recommendations. The degree of cleaning shall be in accordance with these
recommendations, the project specifications, and other nationally/internationally
recognized standard or guidelines. There shall be evidence that the procedures have
been effective in controlling open nozzle abrasive blasting and other airborne materials to
the degree that the quality of other paint application and/or curing operations are not
affected. (Also see Paragraph 5.2.2)

1.12.4 12.2 Paint Application

The application of paint shall be in accordance with the manufacturer recommendations.
The procedure shall be effective in demonstrating that the:
● Manufacturer’s required conditions are maintained during application, and that
Painting areas are free of air-blown dust, blast media, or other debris that can
be detrimental to the quality of the coating during application, and
● Required areas are masked to protect no-paint areas.

1.13.4 12.2.1 Application Records

As part of the application process, the applicator shall record for each coat the following
at a minimum:
● Verification of conforming surface condition
● Verification of required temperature
● Verification that the paint used was within the manufacturer’s specified pot life
● Paint product applied
● Paint batch numbers from base and any mixed components
● Ambient temperature, relative humidity and dew point at time of application
● Verification that the paint (prior to application) is free from visually evident
defects

Pertinent piece marks shall be properly transferred, and heat numbers shall be
transferred as required by contract documents.

1.14 12.2.2 Application Measuring Equipment

Surface preparation and application measuring equipment shall include equipment that
provides a means to measure:
● Surface profile
● Surface cleanliness (SP value)
● Ambient conditions (temperature, humidity)
● Wet film thickness
● Dry film thickness

1.5.4 5.3.3, 5.3.4 Process Equipment, Inspection, Measuring and Test Equipment
1.12.5 Equipment shall include, but not be limited to:
● Blast cleaning equipment, which includes conventional abrasive blast
equipment
● Power tools or hand tools for surface preparation
● Compressors
● Conventional or airless spray equipment
● Power agitators
● Lifting equipment
● Provisions for loading and blocking

12.2.2 Equipment A documented preventative maintenance procedure shall be

implemented for major equipment, including but not limited to:
● Blast cleaning equipment, which includes conventional abrasive blast
equipment
● Compressors
● Conventional or airless spray equipment
● Lifting equipment

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1.13 13. Inspection and Testing
The Firm shall document a procedure for inspection and testing activities in order to
verify that the product quality meets the project requirements. The Firm shall establish in
the procedure the inspection sampling plan to assure expected contract quality. This plan
shall be adjusted at any time when the required quality level is not met. The inspection
procedure shall include assignments of inspection duties, showing the required
inspection and testing, and the required records to meet the project requirements. The
Firm shall conduct 100% inspection for visible painting defects. At a minimum, the Firm
shall identify the dry film thickness sampling plan for steel columns, beams, girders or per
component group. The method may identify a sampling plan based on pieces or surface
area square footage. The method or plan should identify the unique problem areas
created by the part or piece geometry. The Firm shall enforce their nonconformance
procedure when product is found nonconforming.

1.13.1 13.1 Assignment of Inspection of Surface Preparation and Application of Paint

Inspectors shall be assigned on the basis of their qualifications to perform inspection of
sophisticated painting on structural steel. Production personnel can be assigned to
inspection duties under the following conditions:
● They shall be trained both in knowledge and practice in proper inspection
methods and acceptance criteria specified for the material they are inspecting.
● They are aware of their responsibilities and are given time to perform their
inspection responsibilities.
● They do not inspect their own work. Production personnel shall be capable of
inspecting their own work as an in-process inspection, however, that inspection
cannot be accepted as the final inspection for product conformity. This
capability can be demonstrated by their knowledge of the acceptance criteria
for the part of the process for which they have inspection responsibility.
● Their inspections are monitored by qualified personnel. Production personnel
can perform final inspection of the work of others, provided they are properly
trained, and their work is monitored by QC (another QC qualified inspector or
QC management.)

1.13.4 13.2 Inspection Records

Records shall be maintained showing what parameters were inspected, who performed
the inspections, the date of inspections, what pieces were inspected and any
nonconformances. The Firm shall document every final painting inspection that is
conducted. Documentation requires retrievable records that are retained for an
appropriate period related to contract requirements (reference Paragraph 9) The scope
of the final paint inspection is per the firm's plan meeting the minimum requirement (see
Paragraph 13), and which may be dictated by contract requirements. inspection reports
and test results shall be consistent with customer requirements. The following
inspections shall be recorded at a minimum:
● Dry film thickness
● Visual inspection for visible painting defects (recording by exception only does
not meet this requirement)

1.14 14. Calibration of Inspection, Measuring, and Test Equipment

The only gage required for calibration for this Endorsement is the gage used to
demonstrate the final conformance of the painting—measure dry film thickness (DFT).
The gage to measure wet film thickness shall be included if any of the Firm’s contracts or
product manufacturers recommendations use this measurement option as the final
acceptance of the painted surfaces. The DFT gage shall be calibrated to a standard
(shims or test blocks) that are traceable to a national standard. Calibration shall be per
project requirement, per manufacturer’s recommendation or specification requirement.
The Firm may choose to document a calibration frequency different from the
manufacturer’s recommendations in the case of infrequent use. However, the
requirements of specific codes shall be followed and supersede this option. The
calibration method shall be documented and shall address the acceptance criteria used
to calibrate the gage(s), and what happens when a gage is found out of calibration. The
Firm shall describe what measures and evaluations are in question for items that were
inspected with the gage determined out of calibration.

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1.18 18. Training
Personnel involved in application and surface preparation shall receive initial and
continuing (as defined by the Firm) documented training appropriate for their job
functions. For those personnel, training in surface preparation, painting methods,
inspection methods and quality acceptance criteria shall be documented and
implemented. Documented training shall be conducted by a qualified (qualifications
documented) external source or delivered in-house by a qualified (qualifications
documented) internal person. Production personnel shall demonstrate and be capable of
inspecting their own work as an in-process inspection. Training is documented with a
record of the topics discussed, the course administrator, trainees in attendance, and the
training date(s). The course curricula shall relate to the subject and cover the key issues
of the subject.

Qualification and Training of Inspection Personnel

Personnel involved in paint inspection shall be qualified by training and experience as
defined by the Firm. Experience shall include the inspection of sophisticated paint applied
on a variety of projects. They shall be familiar and proficient with their responsibilities, the
use of inspection equipment and the inspection procedures. The basis for qualification of
inspectors for painting processes shall be documented. The basis for qualification shall
include experience and training in surface preparation and paint application; and in
inspection and testing of these processes. The competency of inspectors shall be
verifiable. The competency of inspectors without experience or inspectors at new Firms
shall be demonstrable. Qualification Standards and Certifications granted by recognized
industry organizations related to painting of structural steel fabrication or components
can be used to establish basis for qualification. Training for inspectors may be provided
and documented by qualified in-house instructors or from external sources. At a
minimum, the training shall include these ‘body of knowledge’ items, the associated
inspection methods with inspection equipment:
● Surface preparation
● Environmental conditions
● Cleanliness requirements including blast and hand cleaning methods
● Paint application
● Recording inspections
● Visible painting defects
● Dry film thickness.

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DEFINITIONS
1.4 4.10 Enclosed
A permanent or semi-permanent facility, enclosure or building (four continuous walls to a
grade/floor with a roof) where surface preparation and painting activities are conducted in
a controlled environment with fixed or portable ventilation systems. The environment is
controlled when ambient conditions (temperature, humidity, dew point and the
introduction of contaminants) are controlled to meet the manufacturer’s requirements.
This environment is not subject to outdoor weather conditions and/or blowing dust, or
subject to shop related conditions where the surface preparation or painting activities are
in jeopardy of contamination. Choosing not to paint on days where the environment is not
controlled is not a control option for this category. Surface preparation and/or painting
operation occur outside the enclosure only with advanced written authorization from the
owner’s representative.

1.4 4.5 Covered

A permanent or semi-permanent facility, enclosure or building having a roof above, under
which cleaning and painting activities are performed out of direct exposure to outdoor
weather with fixed or portable ventilation systems.

1.4 4.13 Exposed (Open)

An area with no roof or walls in which cleaning and painting activities are conducted. The
area is exposed to outdoor weather conditions and blowing dust. A method of control for
this category may be to suspend painting operations until conditions are acceptable.

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