Wd/ͲZdϮϬ'ϮͲϬϴϭϲ

PTI Unbonded Tendon Plant Certification

Program

Quality Management System Manual

 TABLEOFCONTENTS
1.0INTRODUCTION............................................................................................................................... .......1

2.0QUALITYPOLICYSTATEMENT..........................................................................................................1

3.0DESCRIPTIONOFLEGALSTATUS.....................................................................................................1

4.0PTIORGANIZATION.............................................................................................................................. 2

5.0CERTIFICATIONOFPLANTSPRODUCINGUNBONDEDSINGLESTRANDTENDONS.2
5.1TERMSOFREFERENCE.......................................................................................................................... 2

5.2MANAGEMENTSTRUCTUREANDORGANIZATION........................................................................11

  5.2.1CertificationProgramPersonnel...................................................................................................11

  5.2.2UnbondedTendonPlantCertificationCommittee(UTPCCommittee).......................................12

  5.2.3CertificationAdvisoryBoard(CAB)..............................................................................................13

  5.2.4PTIBoardofDirectors...................................................................................................................13

  5.2.5PTICertificationStaff....................................................................................................................13

  5.2.6IndependentInspectionAgency...................................................................................................18

5.3PROCEDURESFORASSESSING,RECORDINGANDMONITORINGOFPERFORMANCE.............20

  5.3.1Reviewofevaluationreports.......................................................................................................20

  5.3.2AuditReviewofIndependentInspectionAgency........................................................................20

  5.3.3YearͲendPerformanceEvaluation...............................................................................................20

5.4QUALITYMANAGEMENTPROCEDURES..........................................................................................20

  5.4.1ManagementofImpartiality.........................................................................................................21

  5.4.2MechanismforSafeguardingImpartiality....................................................................................21

  5.4.3AdministrativeProceduresincludingDocumentControl............................................................21

  5.4.4DueNoticeofChanges..................................................................................................................22

  5.4.5ProcedureforEvaluatingaPlant’sQualityControlProcess.........................................................22

  5.4.6ConditionsforIssue,Retention&WithdrawalofCertificationDocuments...............................22

  5.4.7ProcedureforReviewingChangedConditions.............................................................................22
  5.4.8ControlsovertheUseandApplicationofDocumentsusedintheCertificationProgram..........23

  5.4.9ProcedureforDealingwithAppeals,ComplaintsandDisputes..................................................23

  5.4.10AppealsandDisputes..................................................................................................................23

  5.4.11Complaints............................................................................................................................... ....24

5.4.12PoliciesandProceduresforConductingManagementReviews...............................................2ϲ

5.5PROCEDURESFORFINANCIALMANAGEMENTANDBUDGETING...........................................4ϰ

5.5.1ProgramBudgeting.......................................................................................................................4ϰ

5.5.2MemberDuesCredit....................................................................................................................4ϰ

APPENDICES .......................................................................................................................................4ϵ

APPENDIXA:UnbondedTendonPlantCertificationCommitteeRoster......................................ϱϬ

APPENDIXB:CertificationAdvisoryBoardRoster.........................................................................ϱϭ

APPENDIXC:ϮϬϭϲPTIBoardofDirectors......................................................................................5ϱ

APPENDIXD:MinimumQualificationsforPTIUnbondedTendonPlantInspectors....................ϱϯ

APPENDIXE:ResumesofCurrentPTIPlantInspectors.................................................................5ϱ

APPENDIXF:StepͲbyͲStepAdministrativeProceduresforthePTIUnbondedTendonPlant
CertificationProgram......................................................................................................................ϱϵ

APPENDIXG:PTIUnbondedTendonPlantCertificationProgramRecordkeepingOrganization&
Structure...........................................................................................................................................ϲϳ

APPENDIXH:PTICertificationDocumentRetentionandDestructionPolicy...............................ϲϵ

APPENDIXI:ManagingUTPCCompetencies...................................................................................ϳϬ
 PTI-CRT20 G2-0816

1.0 INTRODUCTION
The PostͲTensioning Institute (PTI) program for Certification of Plants Producing Unbonded Single
StrandTendonshasbeendevelopedtoprovideindependentcertificationofaplant’sextrusionand/or
fabricationcapabilitytoproducestandardand/orencapsulatedunbondedsinglestrandtendons.This
certificationprogramalsoincludesevaluationofcalibrationpracticesforjacksandgaugesusedfor
stressingsinglestrandtendons.Theprogramisapplicabletoallfacilitieswhetherfixedormobile.
Thecertificationofaplantunderthisprogramindicatesthattheplantandthepersonnelarecapable
of producing unbonded single strand tendons in conformance with the PostͲTensioning Institute
Specification for Unbonded Single Strand Tendons, latest edition, or as specified in contract
document(s)forspecificproject(s).

2.0 QUALITYPOLICYSTATEMENT
The PostͲTensioning Institute is recognized as the worldͲwide authority on postͲtensioning. PTI is
dedicated to expanding postͲtensioning applications through marketing, education, research,
teamwork,andcodedevelopmentwhileadvancingthequality,safety,efficiency,profitability,and
use of postͲtensioning systems. Members of the Institute include major postͲtensioning materials
fabricators,manufacturersofprestressingmaterials,andcompaniessupplyingmaterials,servicesand
equipment used in postͲtensioned construction. In addition, PTI has more than 500 professional
memberswhichincludeengineers,architects,inspectors,buildingcodeofficialsandeducators.
One of the goals of the Institute is to ensure that specifiers and purchasers of postͲtensioning
materialsreceiveproductsandserviceswhichmeetarecognizedstandardofquality.Workingtoward
this goal, PTI has established a certification programs both for manufacturing plants and for field
personnel. One such program is for the Certification of Plants Producing Unbonded Single Strand
Tendons(hereafterreferredtoastheUnbondedTendonPlantCertificationProgram.)
PTIhasestablishedaQualityManagementSystem(QMS)assetforthinthismanualtoensurethe
qualityoftheUnbondedTendonPlantCertificationProgram.SpecificobjectivesoftheQMSareas
follows:
ƒ Ensurethatprogramisfair,impartialandnonͲdiscriminatorytoallstakeholders
ƒ EnsurethatprogramconformswithANSI,ISOandotherrelevantcertificationstandards
ƒ EnsurethatprogramconformstothePTIByͲLawsandestablishedCertificationCommittee
procedures.
ƒ Facilitatecontinuousimprovementoftheprogram

3.0 DESCRIPTIONOFLEGALSTATUS
PTIwasestablishedandincorporatedasa501c(6)nonͲprofittradeassociationinthestateofIllinois,
April1976.PTI’sofficeiscurrentlylocatedat:
38800CountryClubDrive
FarmingtonHills,MI48331
Phone:(248)848Ͳ3180
Fax: (248)848Ͳ3181

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4.0 PTIORGANIZATION
The bulk of PTI’s work is done through its various committees comprised of volunteer members.
Currently, PTI has eight BoardͲlevel committees, twelve technical committees and six certification
committeesasshownontheorganizationalcharts(Figures1–4)onthefollowingpages.

TheBoardͲLevelcommitteesreportdirectlytothePTIBoardofDirectorsandaregenerallyresponsible
for setting the direction and policy of PTI’s financial, technical, membership, marketing and
certificationactivities.ThelinesofauthorityforstaffareshowninFigures5Ͳ7.
PTI technical committees report to the Technical Advisory Board (TAB) and are responsible for
developingtechnicalguidance,recommendedpracticesandstandardsforthedesign,construction,
maintenanceandrepair/rehabilitationofpostͲtensionedconcretestructures.

PTI’scertificationcommitteesreporttotheCertificationAdvisoryBoard(CAB)andareresponsiblefor
the development, implementation and oversight of PTI’s various plant and personnel certification
programs.

5.0 CERTIFICATIONOFPLANTSPRODUCINGUNBONDEDSINGLESTRAND
TENDONS
TheorganizationandmanagementstructurefortheUnbondedTendonPlantCertificationProgramis
comprisedofseveral parts:the UnbondedTendon PlantCertificationCommittee,theCertification
AdvisoryBoard,thePTIBoardofDirectors,staffandthirdpartycontractors(IndependentInspection
Agency.)asshowninFigure8.
5.1TERMSOFREFERENCE
TheUnbondedTendonPlantCertificationprogramwasfirstauthorizedbythePTIBoardofDirectors
in1989.TheBoardreͲaffirmedthisauthorizationinaccordancewiththerequirementsoutlinedin
thismanualinthePTIByͲLawsapprovedOctober7,2011.Theaforementionedmanagement
structureandorganizationwasalsoestablishedbythePTIByͲLaws.

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 President: Robert
Sward

EX-105 Executive
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DC-10 Slab-on-Ground M-10 Unbonded Tendon

DC-10.A Structural subcommittee

M-10.A Barrier Cable subcommittee
DC-10.B Geotechnical subcommittee

DC-10.D Construction Subcommittee

M-10.B Specifications subcommittee

DC-20 Building Design

DC-35 Rock and Soil Anchors M-10.C Construction subcommittee

PTI/ASBI DC-40 Bridge Design

M-10.D Materials subcommittee

DC-45 Cable-Stayed Bridges

PTI/ASBI M-50 Bridge Construction

DC-70 Special Topics

M-55 Grouting
DC-80 Repair, Rehab & Strengthening

DC-100 Sustainability

DC-110 Building Information Modeling

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Figure3–PTICertificationCommittees
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Thomas MathewsPrecision-
Hayes International

Large PT Company General Interest

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 Key: PTI Board of Directors
Chair: Robert Sward
= Direct Reporting
= Indirect Reporting PTI Executive Committee
Chair: Robert Sward

Certification Technical Advisory Finance Advisory Education Marketing Professional Member

Advisory Board Board Committee Committee Committee Committee
Chair: DĂƌĐ<ŚŽƵƌLJ Chair:Don Kline Chair: Dave Martin Chair: Vacant Chair: Paul Hohensee Chair: James Cagley
Board-Level Committees
Unbonded
Tendon Plant PTI Executive Director
Certification Theodore L. Neff
Committee

PC Strand Plant Technical/Certification Director

Certification Miroslav Vejvoda
Committee

Unbonded PT Engineer
Field Personnel Amy Dowell
Certification
Committee
Certification Program
Bonded PT Field Coordinator
Personnel Charisse Burks
Certification
Committee
Membership Coordinator
Unbonded PT Michelle Stern
Field Repair,
Rehab &
Strengthening Marketing Coordinator
Certification Jackie Heiss
Committee

SOG Geotechnical Lead Accountant

Engineer Stacey Clement
Certification
Committee
Graphics Designer/Editor
Certification Committees Aimee Kahaian

Figure5–LinesofAuthority:BoardͲLevelandCertificationCommittees Staff
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 PTI Board of Directors
Key: Chair: Robert Sward
= Direct Reporting
= Indirect Reporting PTI Executive Committee
Chair: Robert Sward

Certification Technical Advisory Finance Advisory Education Marketing Professional

Advisory Board Board Committee Committee Committee Member Committee
Chair: DĂƌĐ<ŚŽƵƌLJ Chair: Don Kline Chair: Robert Sward Chair: Vacant Paul Hohensee - Chair Chair: James Cagley
Board-Level Committees

PTI Executive Director

Theodore L. Neff

Technical/Certification Director
Miroslav Vejvoda

DC10 slab-on- DC45 Cable Stayed M10 Unbonded Engineer

Ground Bridges Tendon Amy Dowell
Committee Committee Committee

Certification Program Coordinator

DC70 Special Topics Charisse Burks
DC20 Building Committee
Design
Committee
Membership Coordinator
M50 Bonded Michelle Stern
DC80 Repair, Rehab, Tendon
& Strengthening Committee
Committee
DC35 Rock & Soil Marketing Coordinator
Anchor Jackie Heiss
Committee
DC100 Sustainability
Committee
Lead Accountant
Stacey Clement
DC110 Building
DC40 Bridge Information M55 Grouting
Committee Modeling Committee
Committee Graphics Designer/Editor
Aimee Kahaian

Design/Construction Committees Materials Committees

Staff
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PTI Board of Directors
Chair: Robert Sward
= Direct Reporting
= Indirect Reporting (for personnel management purposes)
PTI Executive Committee
Chair: Robert Sward

PTI Executive Director

Theodore L. Neff
CAM Executive Vice President
Ron Burg

Technical/Certification Director
Miroslav Vejvoda Director-Human Resources
Lori Purdom

Engineer
Amy Dowell

Certification Program Coordinator Manager, Certification Operations & Chapters

Charisse Burks Mark Campo

Lead Accountant Managing Director-Finance & Administration

Stacey Clement Donna Halstead

Membership Coordinator Manager Member Services

Michelle Stern Melinda Reynolds

Marketing Coordinator Director, Sustainability & Marketing

Jackie Heiss Kevin Mlutkowski

Graphics Designer/Editor Manager-Publishing

Aimee Kahaian Barry Bergin

PTI Staff D Staff

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 PTI Unbonded Tendon Plant Certification Program
Management Organization
PTI Board of Directors
Certification Advisory Board (CAB) (12)
Chair(Nominated & appointed by the Board)
Chairs of Unbonded Tendon Plant Certification and
Other Certification Committees (4)
Board Liaison (1)
Technical Advisory Board Representative (1)
Associate Member Representative (1)
PC Strand Manufacturer Member Representative (1)
Contractor Member Representative (1)
Post-Tensioning Company Representatives (2)
Unbonded Tendon Plant Certification Committee (11)
Chair (Nominated & appointed by the CAB)
4 – PT Companies (Producers), with a minimum of:
1 large (>ϳK tons) PT company representative
1 medium (ϮK –ϳK tons) PT company representative
1 small (<ϮK tons) PT company representative
1 non-member PT company representative
1 - Associate representative
5 - Users & General Interest
PTI Legal Counsel Executive Director
(Douglass Rohrman)
(Theodore Neff )
Certification Director
(Miroslav Vejvoda)
Engineer
(Amy Dowell)
Certification Programs
Coordinator
(ŚĂƌŝƐƐĞƵƌŬƐ)
Membership Coordinator
(Michelle Stern)
Lead Accountant
(Stacey Clement)
Staff
Independent Inspection Agency
Charles R. Adams & Associates
Figure 8 – Certification Management Responsibilities
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o Set Annual Financial Contribution
o Receive Nominations/Appoint CAB Members
o Oversee CAB
o Quality Management System oversight & review
o Receive Nominations/Appoint Plant Certification
Committee Members
o Review All Decertifications and Certification Denials for
Compliance with PTI and ANSI Standards & Procedures
o Oversee and Review Annual Internal Quality Audit
o Receive and Process Appeals, Disputes & Complaints
o Report to the Board on Certification Program Status
o Review of certification documents to ensure technical
correctness
o Formulation of Policy
o Establishment of Technical Basis for Certification
o Supervision of Policy Implementation
o Supervision of Finances
o Set Annual Fees
o Oversight of Certification Decisions
o Oversight of Testing, Inspection, Evaluation &
Certification
o Delegation of Authority
o Financial Management
o Internal Quality Management
o Legal Oversight
o Contract Administration (Inspection Agency)
o Staff Supervision & Performance Reviews
o Committee Audits
o Committee Support & Staff Liaison
o Inspector Qualification Verification & Examination
o Application Review
o Certification Notification
o Inspection Agency Audits
o Review of Inspection Agency Evaluations
o Decisions on Certification
o Check of Inspection Agency Evaluations
o Coordinate and process committee ballots
o Monitor, Track, and Maintain Record of Complaints,
Corrective Actions
o Application Processing
o Filing & Recordkeeping
o General Administration & Correspondence
o Certified Plant Directory
o Database Management
o Website Maintenance
o Receive & Process Payments
o Invoicing
o Accounting
o Financial Reporting
Plant Inspections & Evaluations
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5.2 MANAGEMENTSTRUCTUREANDORGANIZATION
5.2.1CertificationProgramPersonnel
5.2.1.1General
5.2.1.1.1PTIshallemploy,orhaveaccessto,asufficientnumberofpersonneltocover
itsoperationsrelatedtotheUTPCCertificationProgramandtotheapplicablestandards
andothernormativedocuments.Thepersonnelincludeemployeesandcommittee
members,aswellaspersonsworkingunderanindividualcontractoraformal
agreementthatplacesthemwithinthemanagementcontrolandsystems/proceduresof
theUTPCCertificationProgram.
5.2.1.1.2Thepersonnelshallbecompetentforthefunctionstheyperform,including
makingrequiredtechnicaljudgments,definingpoliciesandimplementingthem.
Personnel,includinganycommitteemembers,personnelofexternalbodies,or
personnelactingonthecertificationbody'sbehalf,shallkeepconfidentialall
informationobtainedorcreatedduringtheperformanceofthecertificationactivities,
exceptasrequiredbylaworbythecertificationscheme.
5.2.1.1.3Thepersonnelshallnotbeusedtoreviewormakeacertificationdecisionfora
productforwhichtheyhaveprovidedconsultancyforaperiodoftwoyearsafterthey
haveprovidedsuchconsultancy.
5.2.1.2Managementofcompetenceforpersonnelinvolvedinthecertificationprocess
5.2.1.2.1TheUTPCCommitteeshallimplementandmaintaintheprocedurefor
managementofcompetenciesofpersonnelinvolvedinthecertificationprocessasset
forthinAppendixI.TheprocedureshallrequiretheUTPCCommitteetoannually:
a) Reviewandupdateasneededthecriteriaforthecompetenceofpersonnelforeach
functioninthecertificationprocess,takingintoaccounttherequirementsoftheUTPC
program;
b) Identifytrainingneedsandprovide,asnecessary,trainingprogramsoncertification
processes,requirements,methodologies,activitiesandotherrelevantcertification
requirements;
c) Demonstratethatthepersonnelhavetherequiredcompetenciesforthedutiesand
responsibilitiestheyundertake;
d) Formallyauthorizepersonnelforfunctionsinthecertificationprocess;
e) Monitortheperformanceofthepersonnel.
5.2.1.2.2PTIshallmaintainthefollowingrecordsonthepersonnelinvolvedinthe
certificationprocess:
a) Nameandaddress;
B) Employer(s)andpositionheld(entireworkresumeoftheindividual);
C) Educationalqualificationandprofessionalstatus;
D) Experienceandtraining;
E) Theassessmentofcompetence;
F) Performancemonitoring;
G) Authorizationsforfunctionsheldwithinthecertificationprogram;
H) Dateofmostrecentupdatingofeachrecord.

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5.2.2 UnbondedTendonPlantCertificationCommittee(UTPCCommittee)
The Unbonded Tendon Plant Certification Committee (UTPC Committee) is the management
group that is responsible for decisions relating to the granting, maintaining, extending,
suspendingandwithdrawingofcertificationforfacilitiesthatfabricateunbonded,singlestrand
postͲtensioningtendons.TheUTPCCommitteehasoverallresponsibilityforthefollowing:
x Performanceofthetesting,inspectionandevaluationasdefinedintheUnbonded
SingleStrandTendonPlantCertificationManual.
x FormulationofpoliciesandproceduresrelatedtotheUnbondedTendonPlant
CertificationProgram
x Oversightofdecisionsoncertification
x Developmentofthetechnicalbasisforcertification
x Delegationofauthoritytoundertakecertificationactivities
x Oversightofthecertificationprogramimplementation.
Inaddition,theUTPCCommitteeshallberesponsibleforsupervisionoftheUnbondedTendon
Plant Certification Program’s finances and budgeting. As part of this responsibility, the UTPC
Committeeshallannuallysettheprogramfeesinaccordancethepoliciesandproceduressetforth
inSection5.5ofthismanual.
TheUTPCCommitteeshallprepareasemiͲannualreportonthestatusoftheUnbondedTendon
PlantCertificationProgram.Ataminimum,thereportshouldincludethefollowing:
x Summaryofcertificationactionsduringtheperiod(i.e.numberofplantscertified,reͲ
certifiedordeͲcertified)
x Summaryofthedispositionofallappeals,complaintsanddisputesreceivedduringthe
period
x Financialstatus
x IndependentInspectionAgencyObservationsandRecommendations
ThesemiͲannualstatusreportsshallbesubmittedtotheCertificationAdvisoryBoardnolater
thanApril15,andSeptember15ofeachyear.
Membership: As specified in the PTI ByͲLaws, membership in the Unbonded Tendon Plant
Certification Committee is open to any interested party, including but not limited to postͲ
tensioningandassociatecompanyrepresentatives;contractors;engineers;governmentofficials;
andusersofpostͲtensioning.TheCommitteeshallconsistofnomorethaneleven(11)members
selectedfromnominationsreceivedfrominterestedstakeholders.TheCommitteeshallinclude
theChair;aminimumofthree(3)representativesofPostͲTensioningCompanyMembers;one(1)
representativeofanonͲmemberpostͲtensioningcompany;one(1)representativeofAssociate
Members; and a minimum of five (5) general interest or user representatives. Committee
membersshallbeappointedforathree(3)yeartermwithonepossiblereappointment.Current
membersofthecommitteearelistedinAppendixA.

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5.2.3 CertificationAdvisoryBoard(CAB)
TheCertificationAdvisoryBoardisaBoardͲlevelcommitteethatisresponsibleforoverseeingall
of PTI’s certification committees. With respect to the Unbonded Tendon Plant Certification
Program,CABshallberesponsibleforthefollowing:
x AppointmentoftheChairandmembersoftheUnbondedTendonPlantCertification
Committee
x ReviewofalldeͲcertificationsandcertificationdenialstoensurecompliancewithPTI
andANSIcertificationrequirementsandprocedures
x OversightofPTI’sQualityManagementSystem,includingtheannualinternalaudit,for
theUnbondedTendonPlantCertificationProgram
x Processingofallappeals,disputesandcomplaintsregardingtheUBTPlantCertification
Program
x Reviewofcertificationdocumentstoensuretechnicalcorrectnessandeditorialquality
CABshallnotberesponsibleforthedevelopmentofthetechnicalbasisforcertification,andthe
formulation of policies and procedures related to the Unbonded Tendon Plant Certification
Program,whicharesolelythepurviewoftheUnbondedTendonPlantCertificationCommittee.
CurrentmembersofCABarelistedinAppendixB.
5.2.4 PTIBoardofDirectors
ThePTIBoardofDirectorsisresponsiblefordirectingandoverseeingallactivitiesofPTI.With
respect to the Unbonded Tendon Plant Certification Program, the Board is responsible for
overseeingtheCertificationAdvisoryBoardandappointingitsmembers.Inaddition,theBoard
shallannuallysetPTI’sfinancialcontributiontotheUBTPlantCertificationProgramasdefinedin
Section5.5.1ofthismanual.
CurrentmembersofthePTIBoardofDirectorsarelistedinAppendixC.
5.2.5 PTICertificationStaff
Inadditiontotheaforementionedgroups,PTIhasstaffthatsupportsthecommitteesandcarries
outtheadministrationanddayͲtoͲdayimplementationofthecertificationprogram.Thesestaff
employeesinclude:

5.2.5.1 ExecutiveDirector
TheExecutiveDirectoristhechiefexecutiveofficeroftheInstitute,responsibletotheBoard
ofDirectorsfortheeffectiveconductoftheaffairsoftheInstitute.Keyresponsibilitiesrelated
totheUnbondedTendonPlantCertificationPrograminclude:
x Financialmanagement
x Staffsupervisionandperformancereviews
x Internalqualitymanagementandaudit
x Legaloversight(inconsultationwithPTI’sLegalCounsel)
x Contractadministration(IndependentInspectionAgencyandother3rdparty
contractors)
x StaffLiaisontotheBoardofDirectors

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RequisiteQualifications
Inordertofulfilltheaboveresponsibilities,theExecutiveDirectorshallhavethefollowing
minimumqualifications:
x 5yearsormoreexperienceinmanaginganonͲprofittradeassociation,
x Workingknowledgeofandcompetenceinfinancialmanagementandbudgeting
x Workingknowledgeofandcompetenceinstaffmanagementandsupervision
x Workingknowledgeofassociationandcontractlaw
x Workingknowledgeofandcompetenceincontractadministrationandspecifically
inmanagingprofessionalservicescontracts
CurrentPositionͲHolder
TheodoreL.NeffisthecurrentPTIExecutiveDirector,andhasheldthispositionforthepast
10years.Heisalicensedprofessionalengineerandhasextensiveexperienceinmanaging
certification programs, having developed a certification program for epoxyͲcoated
reinforcementplantsfortheConcreteReinforcingSteelInstitute.
Histrainingincludesnumerouscoursesinassociationmanagement,project andpersonnel
management,contractadministrationandcontractlaw.
AdditionalinformationregardingMr.Neff’sexperienceandtrainingareonfileinPTI’sHuman
Resourcedepartment.

5.2.5.2 CertificationDirector
TheCertificationDirectorisresponsibleforoverseeingthedayͲtoͲdayadministrationofPTI’s
certification programs. Key responsibilities related to the Unbonded Tendon Plant
CertificationPrograminclude:
x ServingasstaffliaisontoandprovidesupporttotheUnbondedTendonPlant
CertificationCommittee
x Examinationofinspectors,andverificationoftheirqualifications
x Reviewofcertificationapplications
x Issuingnotificationsofcertificationactionstoapplicants/participatingplants
x AuditreviewofIndependentInspectionAgency
x ReviewofIndependentInspectionAgencyevaluationandaplant’scompliancewith
programrequirements
x Decisionsonaplant’scertificationstatus
RequisiteQualifications
Inordertofulfilltheaboveresponsibilities,theCertificationDirectorshallhavethefollowing
minimumqualifications:
x Licensedprofessionalengineer
x ExtensiveknowledgeofpostͲtensionedconcretedesignandconstruction
x Workingknowledgeofandcompetenceincommitteemanagement
x Workingknowledgeofandcompetenceinstandardsandspecificationdevelopment

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CurrentPositionͲHolder
MiroslavF.VejvodaisthecurrentPTICertificationDirector,andhasheldthispositionforthe
past six years. He is a licensed professional engineer, has Bachelor of Science in Civil
EngineeringandMastersinBusinessAdministration.Mr.Vejvodahasextensiveexperiencein
developing standards and working with committees. His prior work with the American
ConcreteInstitutegiveshimintimateknowledgeofindustrystandardsandspecifications.He
hasalsoworkedforseveralpostͲtensioningcompanies,bothintheU.S.andoverseasandhas
aninͲdepthknowledgeofpostͲtensioningfabricationandinstallation.
Histrainingincludesnumerousmanagementcoursesandincontractadministration.
Additionalinformationregarding Mr.Vejvoda’sexperienceand trainingareonfileinPTI’s
HumanResourcedepartment.

5.2.5.3Engineer
TheEngineerisresponsibleforassistingtheCertificationDirectorinoverseeingthedayͲtoͲ
dayadministrationofPTI’scertificationprograms.Keyresponsibilitiesrelatedtothe
UnbondedTendonPlantCertificationPrograminclude:

• CheckofIndependentInspectionAgencyevaluationreportsforconformancewith
PTIandANSIrequirements
• Coordinationandprocessingofcommitteeballots
• Monitoringandmaintainingarecordofcorrectiveactionstakenbyplants,bystaff
andbycommittees

Inordertofulfilltheaboveresponsibilities,theEngineershallhavethefollowingminimum
qualifications:

• Licensedprofessionalengineer
• BasicknowledgeofpostͲtensionedconcretedesignandconstruction
• Workingknowledgeofandcompetenceincommitteemanagement,andofPTI’s
certificationcommitteepoliciesandprocedures
• WorkingknowledgeofandcompetenceinapplyingtheUTPCproceduresand
standards

CurrentPositionͲHolder
AmyDowellisthecurrentEngineer,andhasheldthispositionsinceFebruary,2013.Sheisa
licensedprofessionalengineer,andhasBachelorsandMastersofScienceinCivil
Engineering.Ms.Dowellhasexperienceinfieldinvestigationofstructuresandcondition
assessment.InherpriorworkwiththeCTLGroup,shewasaprojectmanagerresponsible
forconstructionobservationandqualitycontrol.AsacoͲopstudent,shedidcooperative
workwithconcretetechnicianstoconductstandardizedconcreteandmasonrytesting
protocols.

AdditionalinformationregardingMs.Dowell’sexperienceandtrainingareonfileinPTI’s
HumanResourcedepartment.

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5.2.5.4 CertificationProgramsCoordinator
The Certification Programs Coordinator is responsible for providing the dayͲtoͲday
administrative support of PTI’s certification programs. Key responsibilities related to the
UnbondedTendonPlantCertificationPrograminclude:
x Processingofcertificationapplications
x Filingandrecordkeeping
x Maintenanceofcertificationdatabases
x Maintenanceofcertifiedplantdirectoriesandlistings
x MaintenanceofPTI’scertificationwebpages
x Overseeinggeneraladministrationofthecertificationprogram
x Preparingcorrespondence
RequisiteQualifications
Inordertofulfilltheaboveresponsibilities,theCertificationProgramsCoordinatorshallhave
thefollowingminimumqualifications:
x Workingknowledgeofandcompetenceintheuseofcomputersandadministrative
software(e.g.Word,Excel,Accessetc.)
x Twoyearsexperienceasanadministrativeassistant,orequivalent
x Competenceincomposingandformattingbusinesslettersandreports
CurrentPositionͲHolder
Charisse Burks is the current PTI Certification Programs Coordinator, and has held this
positionforthepast10months.
She has over 15 years’ experience in administrative support and her training includes
numerouscoursesintheuseofcomputersandadministrativesoftware.
AdditionalinformationregardingMs.Burks’experienceandtrainingareonfileinPTI’sHuman
Resourcedepartment.

5.2.5.5 MemberServicesCoordinator
TheMemberServicesCoordinatorisresponsibleforprocessingmembershipapplicationsand
forprovidingsupporttoPTImembers.KeyresponsibilitiesrelatedtotheUnbondedTendon
PlantCertificationPrograminclude:
x Processingofcertificationfeepayments
x Invoicingandfollowinguponaccountsreceivable
RequisiteQualifications
Inordertofulfilltheaboveresponsibilities,theMemberServicesCoordinatorshallhavethe
followingminimumqualifications:
x Workingknowledgeofandcompetenceintheuseofcomputersandadministrative
software(e.g.Word,Excel,Accessetc.)
x High school degree with at least two years experience as an administrative assistant,
orequivalent
x Competenceincomposingandformattingbusinesslettersandreports

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CurrentPositionͲHolder
MichelleSternisthecurrentPTIMemberServicesCoordinator,andhasheldthispositionfor
thepastsixyears.
Hertrainingincludesnumerouscoursesintheuseofcomputersandadministrativesoftware,
andinmembershipadministration.
Additional information regarding Ms. Stern’s experience and training are on file in PTI’s
HumanResourcedepartment.

5.2.5.6 PTILeadAccountant
The PTI Lead Accountant is responsible for maintaining PTI’s financial records and other
related bookkeeping tasks. Key responsibilities related to the Unbonded Tendon Plant
CertificationPrograminclude:
x Preparationoffinancialreports
x ProcessingPTIpaymentsofaccountspayable
RequisiteQualifications
In order to fulfill the above responsibilities, the Lead Accountant shall have the following
minimumqualifications:
x Workingknowledgeofandcompetenceintheuseofcomputersandadministrativeand
financialsoftware(e.g.Word,Excel,Access,GreatPlainsetc.)
x Twoyearsexperienceasabookkeeper,orequivalent
x Bachelorsdegreeinaccountingorfinancialmanagement
CurrentPositionͲHolder
StaceyClementisthecurrentPTILeadAccountant,andhasheldthispositionforthepastfive
years.Ms.ClementhasaB.S.inFinanceandhaspriorexperienceasanassistantcontroller
foralocalcorporation.
Hertrainingincludesnumerouscoursesintheuseofcomputersandfinancialmanagement.
AdditionalinformationregardingMs.Clement’sexperienceandtrainingareonfileinPTI’s
HumanResourcedepartment.

5.2.5.7 CertificationStaffSelection&Training
Asrequired,PTIwillhirenewstaffaseitherreplacementsfor,oradditionstotheabovestaff.
Newhireswillbeselectedonthebasisoftheirexperienceandqualifications(keepingthe
aforementionedrequisitequalificationsinmind),performanceinjobinterviewsandpersonal
references.
Trainingwillbeprovidedtoallstaffasneededtostrengthenneededskillsandtoimprove
their overall efficiency and effectiveness. Records of all training will be maintained by PTI
HumanResourcesdepartment.

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5.2.5.8 MonitoringofPerformance
Close to the end of each calendar year, an evaluation of all employees is performed. Its
purposeistopinpointstrengthsandweaknesses,andtoagreetoanimprovementprogram
ifnecessary.PerformanceevaluationsarekeptonfilebyPTI’sHumanResourcedepartment.
5.2.6 INDEPENDENTINSPECTIONAGENCY
TheUnbondedTendonPlantCertificationCommitteeshallselectaninspectionfirm(Independent
Inspection Agency) to perform the certification reviews of individual plants, and shall be
responsible for all of the inspection firm’s contracted activities. The Independent Inspection
AgencyshallbeanindependentcontractorandshallnotbeanemployeeofPTI.TheIndependent
Inspection Agency shall be appointed for a minimum initial term of three (3) years. The
IndependentInspectionAgency’sactivitiesshallterminateatthecloseofthecontracttermunless
renewedbymutualagreement.
TheIndependentInspectionAgencyshallbestaffedby competentpersonnel experienced and
familiar with unbonded postͲtensioning materials, components, and production processes; as
wellasunbondedpostͲtensioningdesignandconstruction.TheIndependentInspectionAgency
shallhaveaminimumofonelicensedprofessionalengineeronstaffresponsibleforoverseeing
thefirm’scertificationinspectionactivities.
Unless otherwise approved by the Unbonded Tendon Plant Certification Committee, the
inspectionpersonnelshallindividuallymeettheminimumqualificationssetforthinAppendixD.
Asnotedinthisexhibit,eachinspectorshallpassthePTIPlantCertificationInspectorexamination
asapprovedbytheUTPCCommittee.
The Independent Inspection Agency shall be responsible for conducting plant inspections,
preparing an evaluation report, and sending copies of the evaluation report to the PostͲ
TensioningInstitutewithin15Ͳdaysofanyinspection.Allinspectionreportsshallbesignedbythe
inspectorandalicensedprofessionalengineer(iftheinspectorisnotsoqualified.)

5.2.6.1 ConflictofInterest
TheIndependentInspectionAgencyshallnotbeaffiliatedinanymannerwithanycompany
or individual who has an ownership stake in a facility that participates in, or is eligible to
participate in, the Plant Certification Program. The Independent Inspection Agency and its
employeesshallnotbeemployedbyanycompanyorindividualwhohasanownershipstake
inafacilitythatiseligibletoparticipateintheCertificationProgram.Anindividualwhowas
previouslyemployedbyacompanyeligibletoparticipateintheCertificationProgramshall
not serve in the capacity of an inspector for a period of two (2) years following his/her
separationfromthecompany.

5.2.6.2 Confidentiality
Independent Inspection Agency will not at any time or in any manner, either directly or
indirectly,useforitspersonalbenefit,ordivulge,disclose,orcommunicateinanymanner
anyinformationthatisproprietarytoPTIorparticipatingplants.TheIndependentInspection
Agencywillprotectsuchinformationandtreatitasstrictlyconfidential.
TheIndependentInspectionAgencyshallberequiredtosignaconfidentialityagreementwith
eachparticipatingplanttoprotectallconfidential,proprietaryortradesecretinformationof
the participating plants. In addition, all project records, communications and committee
deliberationsshallalsobeconsideredstrictlyconfidentialandshallnotbereleasedtoanyone

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withouttheexpresswrittenapprovalofPTI.Further,theIndependentInspectionAgencyshall
maintaintheanonymityoftheparticipants,whilekeepinganaccurateconfidentialrecord.
UponterminationofitsagreementwithPTI,theIndependentInspectionAgencywillreturn
to PTI all records, notes, documentation and other items that were used, created, or
controlledbytheIndependentInspectionAgencyduringthetermoftheagreement.
5.2.6.3 Impartiality
The Independent Inspection Agency, and the personnel that it uses, shall not be involved,
eitherdirectlyorthroughanyotheremployer,insuchawaythatthecredibilityoftheresults
oftheUnbondedTendonPlantCertificationProgramcouldbecompromised.
5.2.6.4 CorrectiveAction
ShouldtheIndependentInspectionAgencyfailtocomplywithitscontractualagreementwith
PTIorotherrequirementsof5.2.6,theUnbondedTendonPlantCertificationCommitteeand
PTIshalltakeappropriatecorrectiveactions.

5.2.6.5 CurrentIndependentInspectionAgency/Personnel
CharlesR.Adams&Associates,Inc.,820E.10thAvenue,NewSmyrnaBeach,Florida32169is
thecurrentIndependentInspectionAgencyforthePTIUnbondedTendonPlantCertification
Program.Thefirmhasservedinthiscapacitysince2005.Presently,thecompanyhasthree
employeeswhoarequalifiedandhavebeenapprovedtobeinspectors:

x CHARLESR.ADAMS,P.E.
KeyQualifications:
ƒ ConsultingStructuralEngineerspecializinginpostͲtensionedconstructionͲͲ
licensedinthestatesofCalifornia,Florida,NewJersey,Marylandand
Massachusetts
ƒ Over40yearsexperienceinpostͲtensioningindustry
ƒ WorkedassoutheastregionalmanagerforAtlasPrestressingfrom1969–1977
ƒ PastownerofapostͲtensioningfabricationcompany(PTSI)1977–1993
ƒ HasprovidedengineeringoversightofPTIUnbondedTendonProgram
inspectionssince2005.
x CHARLESSKARBREVIK
KeyQualifications:
ƒ Over30yearsexperienceinthepostͲtensioningindustry
ƒ PreviouslyworkedforPostTensioningSystems,Inc.ͲͲapostͲtensioning
fabricationcompany.Inthiscapacity,hetrainedandmanagedpersonnelfor
unbondedtendonfabricationatfourfabricationfacilities.
ƒ HasservedasaPTIUnbondedTendonPrograminspectorsince2001.
x RICKD.COOLER
KeyQualifications:
ƒ Over20yearsexperienceintheconstructionindustry

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ƒ Inhispreviouspositions,workedasaqualitycontrolmanager,andasa
consultantresponsibleforensuringISO9000andITILcertificationcompliance.
ƒ HasservedasaPTIUnbondedTendonPrograminspectorsince2006.
More detailed information regarding the qualifications and experience of the above
inspectorscanbefoundinAppendixE.
5.3PROCEDURESFORASSESSING,RECORDINGANDMONITORINGOFPERFORMANCE
ThePTIUnbondedTendonPlantCertificationProgramisbasedonareviewofmaterials,testdata,
and fabrication procedures during two or more plant inspections by the Independent Inspection
Agencyeachyearthattheplantisinvolvedintheprogram.Duringtheplant’sfirstyearintheprogram,
therewillbeoneinͲdepthannouncedinspectionandoneunannouncedinspection.Duringthesecond
andfollowingyears,aminimumoftwounannouncedinspectionswillbemadeofeachplant.
InspectionsbytheIndependentInspectionAgencyshallincludedetailedreviewofrecords,previously
reported nonconformities, test data, fabrication procedures, materials, equipment, and Quality
ControlProgramasoutlinedinthePTIUnbondedTendonPlantCertificationProgramManual.
5.3.1 Reviewofevaluationreports
EachevaluationreportpreparedandsubmittedbytheIndependentInspectionAgencyshallbe
reviewedforcompliancewithestablishedprogramstandardsandcriteriabythePTICertification
Director.AreasofnonͲcomplianceshallbeidentifiedandreportedtotheIndependentInspection
AgencyandtheUnbondedTendonPlantCertificationCommittee.
5.3.2 AuditReviewofIndependentInspectionAgency
InaccordancewithSection5.4.12.2.3ofthismanual,aninternalauditreviewoftheIndependent
InspectionAgency’sactivitiesshallbeconductedaminimumofonceperyear.
5.3.3 YearͲendPerformanceEvaluation
Attheendofeachyear,theChairoftheUnbondedTendonPlantCertificationCommitteeandthe
PTI Certification Director shall meet with the Independent Inspection Agency to discuss any
identifiednonͲconformities,andotherrecommendedimprovementstoenhancethequalityand
efficiencyoftheprogram.Minutesofthemeetingshallbepreparedanddistributedtothefull
committeeandtheChairoftheCertificationAdvisoryBoard.Within30daysofthismeeting,the
IndependentInspectionAgencyshallformallyrespondinwritingtotherecommendationsand
documentwhatactionhas,orwillbetaken.

5.4QUALITYMANAGEMENTPROCEDURES
PTI’sQualityManagementSystemfortheUnbondedTendonPlantCertificationProgramiscomprised
ofseveralinterͲrelated policiesandproceduresdesigned toprovidemultiplelevelsofreview,and
checksandbalancestofacilitateandensuretheeffectivenessandcontinuousimprovementofthe
program.

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5.4.1ManagementofImpartiality
5.4.1.1 All certification activities shall be undertaken impartially. The PTI CRT20 UTPC
Committee shall be responsible for the impartiality of the UTPC Certification Program
activities and shall not allow commercial, financial or other pressures to compromise
impartiality.Allcertificationbodypersonnel(eitherinternalorexternal)orcommitteeswho
couldinfluencethecertificationactivitiesshallactimpartially.

5.4.1.2 The UTPC Committee shall identify risks to impartiality on an ongoing basis in
accordancewiththeproceduresetforthinAppendixJ.ThePTICRT20UTPCCommitteeshall
takeactiontorespondtoanyriskstotheimpartialityoftheUTPCProgram,arisingfromthe
actions of other persons, bodies or organizations, of which it becomes aware. If a risk to
impartialityisidentified,thePTICRT20UTPCCommitteeshallbeabletodemonstratehowit
eliminatesorminimizessuchrisk.ThisinformationshallbemadeavailabletotheCertification
AdvisoryBoardasspecifiedin5.4.2.

5.4.2MechanismforSafeguardingImpartiality
5.4.2.1 The Certification Advisory Board (CAB) shall be responsible for safeguarding the
impartialityoftheUTPCProgram.CABshallprovideinputtotheUTPCCommitteeandthePTI
BoardofDirectorsonthefollowing:

a)thepoliciesandprinciplesrelatingtotheimpartialityoftheUTPCcertificationactivities;

b) any tendency on the part of the UTPC Committee to allow commercial or other
considerationstopreventtheconsistentimpartialprovisionofcertificationactivities;

c) mattersaffectingimpartialityandconfidenceincertification,includingopenness.

CABshallbeprovidedaccesstoalltheinformationnecessarytoenableittofulfillitsriskͲ
safeguardingfunctions.RiskstoimpartialitythathavebeenidentifiedbytheUTPCCommittee
along with any corrective actions taken shall be reported to CAB and incorporated in the
AnnualQualityManagementReviewreport.

5.4.2.2IfPTIdoesnotfollowtherecommendationsofCAB,CABshallhavetherighttotake
independentaction(e.g.informingauthorities,accreditationbodies,stakeholders).Intaking
appropriateaction,theconfidentialityrequirementsoftheUTPCProgramshallberespected.
PTI management shall document the reasoning behind the decision to not follow the
recommendations of CAB and shall maintain the document for review by appropriate
personnel.

5.4.3 AdministrativeProceduresincludingDocumentControl
Appendix F includes figures that outline the stepͲbyͲstep procedures for key administrative
processes of the program. Additional information regarding PTI certification administrative
procedurescanbefoundinthePTIͲCRT20G4CertificationAdministrationandOperationsGuide.
AppendixGliststheUTPCProgramrecordͲkeepingorganizationandstructure.Themanagement
reviewteam(s)willexaminearepresentativesamplingofvariousstaffandcommitteeactionsto

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check for conformance with these procedures and to verify that the required
records/documentationhasbeengeneratedandfiled.Recordsshallberetainedinaccordance
with the PTIͲCRT20 P2 Certification Document Retention and Destruction Policy included as
AppendixH.
5.4.4 DueNoticeofChanges
PTIshallgiveduenoticeofanychangesitintendstomakeintherequirementsforcertification.
Allproposedchangesandcertificationdocumentswillbeavailabletothegeneralpublicforreview
andcommentatthePTIWebsite.Discussionsareopenfor45days.Inaddition,PTIwilldistribute
proposed documents to interested stakeholders for review and comment. PTI will maintain a
databaseofinterestedpartiesforreviewanddistribution.Anypersoninterestedinbeingincluded
onthisdistributionlist,maycontactPTIatanytime.
Comments returned to PTI staff within the discussion period shall be considered by the UTPC
CommitteeforclosureinaccordancewiththePTIͲCRT140G3CertificationCommitteeManual.
5.4.5 ProcedureforEvaluatingaPlant’sQualityControlProcess
A minimum of two inspections will be performed by the Independent Inspection Agency in
accordance with the procedures and criteria set forth in the PTI Unbonded Tendon Plant
CertificationManual.Inaplant’sfirstyearintheprogram,thefirstinspectionwillbescheduled
at a mutually convenient time. However, all subsequent inspections will be random and
unannounced.
5.4.6 ConditionsforIssue,Retention&WithdrawalofCertificationDocuments
Inordertobecomeandremaincertified,aplantmustsatisfyallofthefollowingrequirementsas
setforthinthePTIUnbondedTendonPlantCertificationManualandthePTIPlantCertification
Contract:
ƒ Receive a grade score of 75% or greater on the Independent Inspection Agency’s
evaluationoftheplant
ƒ BeingoodfinancialstandingwithPTI
ƒ AbidebythetermsandconditionsofthePTICertificationContractatalltimes
ƒ Haveallofitsfacilitieseithercertified,orintheprocessofbeingcertified
ƒ NotifyPTIofanymateriallyͲchangedconditionwithin30daysofthechange
ƒ Failure to comply with any of these obligations will result in withdrawal of the
certification.
5.4.7 ProcedureforReviewingChangedConditions
Upon receipt of a notification from a certified plant of a material change in their ownership,
operations,manufacturingprocess,equipment,etc.,thePTIstaffwillforwardthenotificationto
theUTPCCommitteeforreview,whereupontheCommitteewilldeterminewhetheranadditional
inspection is warranted to ensure the plant’s conformance with program requirements. This
determinationshallbemadeasquicklyaspossible,butnomorethan21daysafterPTI’sreceipt
ofthenotification.
Ifanadditionalinspectionisdeemednecessary,PTIstaffwillnotifytheIndependentInspection
Agency,whointurnwillscheduleanunannouncedinspectionoftheplant.

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5.4.8 ControlsovertheUseandApplicationofDocumentsusedintheCertification
Program
AssetforthinSection3.7ofthePTIͲCRT20G1UnbondedTendonCertificationProgramManual,
qualifyingplantsareregisteredwithPTIandareawardedtherighttodisplaythePTICertification
CertificatedesignatingthemasPTICertifiedPlantsandareaddedtothePTI’spublishedlistof
certifiedplants.Inaddition,PTIwillprovideeachplantwithamountablewallplaquesuitablefor
officedisplay.
Plantsmayreferencetheircertifiedstatusincompanyliteratureandcorrespondenceforaslong
asthecertificationisineffectandprovidedthereferenceistothespecificplant(s)certifiedand
notthecompanyasawhole.
Plantswhichfailtopassfutureinspectionsorwhichchoosetodiscontinuetheirparticipationin
theCertificationProgramshallnotbepermittedtodisplayanypreviouslyawardedcertifiedplant
plaques or certificates. Additionally, they may not reference prior certified plant status in
companyliteratureorcorrespondenceincludingtheuseofPTICertifiedPlantTagsonshipments.
Intheeventofachangeincertificationsuchasthefollowing:
x Achangeintheplant’stypeand/orcategoryofcertification
x Achangeintheplant’scertificationstatus(e.g.fully,conditional,orsuspended)
x Achangeinlocationoftheplant
x Achangeinthecompanynameoftheplant
PTI will notify the plant in writing that it must discontinue the use of any previously awarded
certifiedplantplaquesorcertificates,andnotreferencepriorcertifiedplantstatusincompany
literature,advertisingmaterialsorcorrespondenceincludingtheuseofPTICertifiedPlantTags
onshipments.Inaddition,PTIshallissueanewcertifiedplantplaqueandcertificatereflecting
thechange.
5.4.9 ProcedureforDealingwithAppeals,ComplaintsandDisputes
An applicant may file an appeal, dispute or complaint with PTI within the guidelines set forth
within.Typicallyanappealordisputewillrelatetotheevaluationandinspectionoftheplantby
theIndependentInspectionAgency.Complaintstypicallywillrelatetoproceduralmattersorthe
conductofinspectorsorPTIstaff.Apartywishingtofileeithershouldclearlydefinewhetherthe
matter relates to an evaluation and PTI’s subsequent certification decision (i.e. an
Appeal/Dispute),orwhetheritrelatestoanotherissue.
5.4.10 AppealsandDisputes
IntheeventadisputearisesbetweenanapplicantandPTIconcerningtheapplicant’sevaluation
report, applicant may appeal the decision. An appeal shall be made in writing to the PostͲ
Tensioning Institute and received by the PTI within 21 days of receiving the PTI’s Certification
decisionandtheIndependentInspectionAgency’sevaluationreport.Theapplicantshallstatein
writingitspositiontoPTI.
Anappealshallbesentbycertifiedmailorotherdeliverymethodssuchthatthetimeanddateof
deliverycanbeverified.IftheappealisnotreceivedbyPTIwithintherequired21Ͳdayperiod,the
plantlosesitsabilitytoappealandtheapplicant’sevaluationreportstands.
Uponreceipt,thePTIstaffshallacknowledgereceiptoftheappealinwriting,andshallreferthe
mattertotheCertificationAdvisoryBoard(CAB).CABwillthenestablishanAppealBoardto
reviewthematter.

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5.4.10.1 AppealBoard
TheAppealBoardshallconsistoffivemembers.TheCABChairshallserveasChairofAppeal
Board;ifCABChairhasaconflictofinterestonthematter,thentheViceͲChairofCABshall
serveasChair.IftheViceͲChairofCABhasaconflictofinterestonthismatter,theCABChair
shallappointanotherCABmemberwithoutaconflictofinterestasChairoftheAppeal
Board.TheCABChairwillappointthreemembersoftheAppealBoardselectedfromthe
currentUnbondedTendonPlantCertificationCommitteeasfollows:
x Two(2)GeneralInterest/Userrepresentatives
x One(1)PostͲTensioningCompanyrepresentative
TheApplicantshalldesignateone(1)representativewhoisnotanofficer,employee,oris
otherwiseaffiliatedwiththeApplicantasthefifthmemberoftheAppealBoard.Any
personwhohasbeeninvolvedinthecertificationevaluationanddecisionthatisbeing
appealedshallnotbeeligibletoserveontheAppealBoard.

5.4.10.2 AppealBoardReview
TheAppealBoardwillforwardtheApplicant’swrittenappealtotheIndependentInspection
Agency for review and comment. The Independent Inspection Agency will then submit a
writtenstatementeitherreͲaffirmingand/orclarifyingitspositiononthematterwithin7days
to the Appeal Board, with a copy to the applicant. Based on the Independent Inspection
Agency’sresponse,theApplicantmaythendecidewhetheraformalmeetingwiththeAppeal
Boardisdesired.Ifso,theApplicantmustsubmitaformalmeetingrequestinwritingtoPTI.
Thiswrittenrequestmustbeaccompaniedbyanappealboardmeetingfeedepositof$7,500,
whichwillberefundedtotheApplicantiftheAppealBoarddecidesthattheApplicantshould
becertified.Ifnot,PTIwillretainthedeposittodefraythecostofthemeeting.
ThemeetingwillbescheduledbyPTIwithinthenexttwotofourweeks,withthemeetingto
be held at PTI’s office in Farmington Hills, Michigan. The Applicant shall be afforded a full
opportunity,inpersonandbycounselifdesired,tobeheardbyandtopresentanyrelevant
additionalevidence to theAppealBoard.Inaddition,arepresentativeof theIndependent
InspectionAgencyshallalsoattendifsodirectedbytheAppealBoard.

5.4.10.3 AppealBoardDecision
The Appeal Board will review the testimony, written statements and other supporting
documentationanddecidethematterwithin14days.TheApplicantwillbenotifiedinwriting
oftheAppealBoard’sdecision.TheAppealBoard’sdecisionshallbefinal,andbindingupon
bothparties.
5.4.11 Complaints
AnapplicantorotherinterestedpartymayalsofileacomplaintwithPTI.Acomplaintwilltypically
involve an administrative matter of some sort. Examples of instances that might generate a
complaintinclude:aninspectornotfollowinggoodsafetypractices,staffnotrespondingtoan
inquiryinatimelymanner,acompetitormisusingthePTIcertificationmark,etc.
PTIstaffshallacknowledgereceiptofthecomplaintinwriting,andwillforwardthecomplaintto
theCertificationAdvisoryBoardforreviewwithin7daysofreceipt.Ifapersonfilesacomplaint
bytelephone,theywillbeaskedtosubmitawrittensummaryofthecomplaint(i.e.byletter,fax
oreͲmail).Asneeded,CABwillrequestadditionalinformationfromthesubmitter,staffand/or

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 PTI-CRT20 G2-0816

theIndependentInspectionAgency.Basedontheinformationprovided,CABwilldecide what
action,ifany,iswarranted.
ThesubmitterwillbenotifiedinwritingofCAB’sdecisionaswellasanyfollowͲupactionthatis
directed. FollowͲup actions will be documented in PTI’s certification files; the effectiveness of
thoseactionswillbeevaluatedaspartoffuturequalitymanagementreviewsasprovidedforin
Section5.4.12ofthismanual.

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5.4.12 PoliciesandProceduresforConductingManagementReviews
TheCertificationAdvisoryBoardandthePTIExecutiveDirectorshallbejointlyresponsiblefor
implementingthequalitymanagementreview.Thereviewshallbeperformedatleastonceper
yearandshouldincludethefollowingelements:
ƒ InternalAuditof:
o Committeeoperations
o Staffadministration
o IndependentInspectionAgency
ƒ Reviewofexternalaudits(ANSI)
ƒ Reviewofallappeals,complaintsanddisputesreceivedduringthereviewperiod
ƒ Reviewandassessmentofpubliccommentsreceivedduringthereviewperiod
ƒ Performancereviewsofstaff
ƒ Reviewofnonconformitiespreviouslyidentifiedinpastqualitymanagement
reviews,andtherelatedstatusofpreventiveandcorrectiveactionstaken
ƒ ReviewofriskstoimpartialityasidentifiedbytheUTPCCommittee
ƒ ReviewandtheevaluationoftheeffectivenessoffollowͲupactionsfromprevious
managementreviews
ƒ Reviewofchangesthatcouldaffectthemanagementsystem
ƒ Assessmentofthefulfilmentofprogramobjectives
Specificproceduresforeachqualityreviewelementaredetailedbelow.Thegeneralprocessto
befollowedinamanagementreviewisdetailedinFigures9Ͳ20.
5.4.12.1 InternalAudits
PTIshallconductinternalauditsofitscertificationprocessestoensurethatthequality
managementsystemisimplementedandiseffective.(SeeFigure10.)Theprincipalobjectivesof
theseauditsareto:
ƒ Meetrequirementsforcertificationtoamanagementsystemstandard;
ƒ VerifyconformancewithPTIandANSIrequirements;
ƒ Contributetotheimprovementofthemanagementsystem.

5.4.12.1.1 Selection&TrainingofAuditors

Auditorsforinternalmanagementreviewsshallbeselectedper5.4.12.1.3.1,5.4.12.1.3.2
and5.4.12.1.3.3,andasshownonFigure11.Trainingshallbeprovidedfortheauditorsas
needed.Ataminimum,awebinarshallbeheldpresentingthepertinentrequirementsof
theUTPCProgramandISO/IEC17065.

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5.4.12.1.2 Timing&FrequencyofReviews
Internalauditreviewshallbeperformedaminimumofonceperyear.Ifwarrantedbythe
findings of the previousͲyear audit, CAB may elect to direct that an additional audit be
performed.
Thecommitteeauditreviewshallbeinitiatedpriortothecommittee’snormallyscheduled
fallmeeting(typicallyinOctober.)TheHeadquarters/StaffandInspectionAgencyauditsshall
beconductedduringNovemberorDecemberofeachyear.

5.4.12.1.3 Responsibilities&Procedures

5.4.12.1.3.1 CommitteeReview&Assessment
PTI’s annual internal audit shall assess the operations of the Unbonded Tendon Plant
Certification Committee. Figure 12 illustrates the process that shall be followed in
performingthecommitteeaudit.
The Certification Advisory Board will designate a representative to work with the PTI
Executive Director who together will serve as the committee audit team. The CAB
representative shall not be the Chair or a member of the Unbonded Tendon Plant
CertificationCommittee,andshouldhaveknowledgeofANSIcriteriaforaccreditation,
dueprocessandconsensusprocedures.
Thecommitteeauditwillbecomprisedofthreeparts:
1. Telephone interviews of committee members to assess their knowledge of
procedures and certification requirements, and to obtain their observations
regardingcommitteeoperations.
2. CommitteemeetingobservationtoevaluateconformancewithCCM
3. Review of committee documents and records to determine completeness and
accuracyofminutes,votingsummaries,ballotresolutions,etc.
Thecommitteeauditteamwillprepareafinalreportoutliningitsfindingsand
recommendations. The report shall be submitted to CAB for inclusion in the
overallannualqualitymanagementreview.CABwillreviewthereportandmake
recommendationsforimprovingUTPCCommitteeoperations.
A copy of the committee audit report and CAB’s recommendations will be
providedtotheUTPCCommitteeforimplementation.

5.4.12.1.3.2 PTIStaff/HeadquartersReview&Assessment
PTI’s annual internal audit shall also assess the administrative activities of the PTI
certificationstaff.Figure13illustratestheprocessthatshallbefollowedinperforming
thestaffaudit.
The Certification Advisory Board and the UTPC Committee will each designate a
representativetoserveasthestaffauditteam.Theauditwillbecomprisedofthreeparts:
1. Interviewsofcertificationstaffmemberstoassesstheirknowledgeofprocedures
and certification requirements, and to obtain their observations regarding
implementationoftheprogram.

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 PTI-CRT20 G2-0816

2. Observation of the staff handling typical certification transactions such as

applicationprocessing,inspectionreportreview,complainthandling,recordfiling
ofrecords,etc…
3. Reviewofcertificationdocumentsandrecords.
The audit team will prepare a final report outlining its findings and
recommendations. The report shall be submitted to CAB for inclusion in the
overallannualqualitymanagementreview.CABwillreviewthereportandmake
recommendationsforimprovingstaffoperations.
A copy of the committee audit report and CAB’s recommendations will be
providedtotheUTPCCommitteeandtheExecutiveDirectorforimplementation.

5.4.12.1.3.3 IndependentInspectionAgencyReview&Assessment
ThefinalcomponentofPTI’sannualinternalauditshallbeareviewandassessmentof
the Independent Inspection Agency. Figure 14 illustrates the process that shall be
followedinperformingtheIndependentInspectionAgencyaudit.
TheUTPCCommitteewilldesignatearepresentativetoworkwiththePTICertification
DirectorwhotogetherwillserveastheIndependentInspectionAgencyauditteam.The
UTPCCommitteerepresentativeshallnotbeapostͲtensioningcompanymemberofthe
UnbondedTendonPlantCertificationCommittee,andshouldnothavearealorapparent
conflictofinterest.Therepresentativeshouldbeexperiencedinandhaveknowledgeof
PTI’stechnicalcertificationcriteriaandprocedures.
TheIndependentInspectionAgencyauditwillbecomprisedoffourparts:
1. Interviews of certified plant personnel to obtain their observations and views
regardingrecentinspectionsperformedbytheIndependentInspectionAgency.
2. Interviewsofinspectorstoassesstheirknowledgeofprogramrequirementsand
toevaluatetheirrespectiveinspectionpractices.
3. OnͲsitevisitsaccompanyinganinspectoron1–2plantinspectionstoevaluate
theadequacyofinspectionprocedures
4. Review of inspection documents and records to determine completeness and
accuracy.
Theauditteamwillprepareafinalreportoutliningitsfindingsandrecommendations.The
reportshall besubmittedtoCABand theUTPCCommitteeforinclusionin theoverall
annualqualitymanagementreview.UTPCCommitteewillreviewthereportandmake
recommendationsforimprovingtheIndependentInspectionAgency’soperations.
AcopyoftheIndependentInspectionAgencyauditreportandCAB’srecommendations
will be provided to the Independent Inspection Agency and the UTPC Committee for
implementation.

5.4.12.1.3.4AuditCriteria
Theinternalauditsshallusethefollowingreferencesasthecriteriafortheevaluation:
x ANSIAccreditationCriteriaassetforthinISO/IEC17065andANSIFormPROͲFRͲ
105

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x Approved PTI certification policies and procedures in effect at the time of the
auditassetforthinthismanual(AppendicesF,G,andH).
x PTIͲCRT20G1PTIUnbondedTendonPlantCertificationManual
x ApprovedcommitteeproceduresassetforthinthePTIͲCRT140G3Certification
CommitteeManual
x PTIByͲLaws
AnyconflictbetweenthesereferencesshallbereferredtothePTICRT20UTPCCommitteefor
consideration.

5.4.12.1.3.5 Reporting
The audit teams shall each prepare an audit report outlining their findings and
recommendations.ThereportshallbesubmittedtoCABnolaterthanDecember31stofeach
year.Ataminimum,thereportsshallidentify:
x Neededcorrectiveactionand/orsuggestedImprovements
x Areaswherepoliciesandproceduresarenotinconformancewithspecifiedaudit
standards.
CABwillincorporatethevariousauditreportsintotheoverallqualitymanagementreview
report.CopiesofthereportshallbemadeavailabletothePTIBoardofDirectors,theUTPC
CommitteeandthePTIExecutiveDirector.

5.4.12.1.3.6 AuditorConfidentiality
Auditors shall reͲaffirm in writing their agreement to comply with PTI’s confidentiality
provisionspriortoconductingtheaudit.ThesewrittencommitmentsshallberetainedinPTI’s
certification files and included in the final audit report. In addition, the identity of plants
visitedaspartoftheonͲsiteassessmentoftheIndependentInspectionAgencyshallnotbe
revealedandshallbekeptconfidential.

5.12.1.3.7 ReimbursementforTravelandotherRelatedExpenses
PTIwillreimburseauditorsforreasonabletravelandotherrelatedexpensesassociatedwith
theperformanceofinternalqualityauditsinaccordancewithapprovedPTITravelpoliciesin
effectatthetime.

5.12.1.3.9 EvaluatetheEffectivenessoftheAudits
As the final component of the annual quality management review, CAB shall evaluate the
effectivenessoftheinternalauditsanddeveloprecommendationsforimprovingtheaudit
program.Theserecommendationsshouldbeimplementedinsubsequentaudits.
5.4.12.2ReviewofExternalAudits
TheCertificationAdvisoryBoardshallreviewthefindingsofexternalaudits(ANSIandothersif
applicable)alongwithanypreventiveorcorrectiveactionstaken.CABshallevaluatetheprogress
andeffectivenessoftheseactions,andshalldocumentitsassessmentintheAnnualManagement
ReviewReport.(SeeFigure10.)

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 PTI-CRT20 G2-0816

5.4.12.3 ReviewProcedureforHandlingofPublicComments,Appeals,Complaints
andDisputes
FortheannualQualityManagementReview,staffwillcompilerecordsofthefollowing:
• All public comments received along with documentation of the PTI CRT20 UTPC
Committee’sresolutionofthosecomments
• All appeals, complaints and disputes along with documentation of corrective and/or
preventativeactiontaken
TheCertificationAdvisoryBoardwilldesignateateam,whoalongwiththeExecutiveDirectorwill
reviewtheextent,natureandvalidityofcomments,appeals,complaintsanddisputesreceived.
The team will also evaluate the sufficiency of PTI’s followͲup actions. The review team will
summarizeitsfindingsinareporttobesubmittedtoCAB.(SeeFigure15.)
5.4.12.4 PerformanceReviewsofStaff
Eachyear,therespectivesupervisorsshallconductperformanceevaluationsforeachcertification
staff member to determine if they are competent to perform their respective certification
functions. The employee evaluations shall be maintained on file in PTI’s Human Resources
department.Inaddition,thesupervisorshallprovideanaffidavitattestingthatthestaffperson
hastherequiredcompetenciesforthecertificationdutiesandresponsibilitiestheyundertake.If
theemployeeisnotdeemedtobefullycompetent,thesupervisorshallidentifyrequiredtraining
and/or corrective action necessary to bring the employee to a full competence level. The
supervisor affidavits and any identified training needs should be included in the Annual
ManagementReviewReport.(SeeFigure16.)
5.4.12.5 ProcedureforHandlingNonͲconformities
CAB’sfinalmanagementreviewreportshallidentifyanyareasthatdonotconformtoestablished
PTIproceduresandstandards.ThePTICRT20UTPCCommittee shallformallyrespondto each
identified nonͲconformity and propose corrective or preventative action if appropriate. (See
Figure17.)
5.4.12.6 ReviewofRiskstoImpartiality
TheCertificationAdvisoryBoardshallreviewriskstoimpartialitythathavebeenidentifiedbythe
PTI CRT20 UTPC Committee along with any corrective actions taken. CAB shall evaluate the
progress and effectiveness of these actions, and shall provide input to the PTI CRT20 UTPC
Committee and the PTI Board of Directors in accordance with 5.4.12.1.3.5 CAB’s review and
relatedinputshallbenotedintheAnnualManagementReviewReport.(SeeFigure16.)
5.4.12.7 ProcedureforAssuringEffectivenessofCorrective/PreventativeActions
Inthesubsequentyear,themanagementreviewwillexaminethepreviouslyͲidentifiedareasof
nonconformityandriskstoimpartialitytoverifythatappropriateactionwastaken.Findingswill
bereportedinthesubsequentyearmanagementreviewreportalongwiththeteam’sassessment
regarding the effectiveness of the action. Figure FͲ7 in Appendix F outlines the stepͲbyͲstep
procedureforevaluatingactionstakentoprevent/correctnonͲconformities.(SeeFigure17.)

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 PTI-CRT20 G2-0816

5.4.12.8 ReviewofFollowͲupActionsfromPreviousManagementReviews
The Certification Advisory Board shall be responsible for reviewing the findings and
recommendationsoftheannualqualitymanagementreview(includinginternalaudits).Onthe
basis of this review, CAB will identify the need for corrective and preventative actions, and
opportunitiesforimprovement,anddeterminerecommendedfollowͲup.
CABwillforwardtheserecommendationstotheUnbondedTendonPlantCertificationCommittee
for consideration and implementation. The UTPC Committee shall consider and document its
actions(orreasonsfornottakingaction)withrespecttoeachCABrecommendation.(SeeFigure
18.)
5.4.12.9 ReviewofChangesthatcouldaffecttheManagementSystem
The Certification Advisory Board should identify changes in personnel, the industry, related
standards,governmentregulationsandlaws,andotherdevelopmentsthatcouldaffecttheUTPC
QualityManagementSystem.Thesechangesandanyrelatedrecommendationsshouldbenoted
in the Annual Management Review Report for the consideration of the PTI CRT20 Unbonded
TendonCommitteeandthePTIBoardofDirectors.(SeeFigure18.)
5.4.12.10 AssessmentoftheFulfillmentofProgramObjectives
Basedontheabovereviews,theCertificationAdvisoryBoardshouldmakeanassessmentasto
whethertheUnbondedTendonPlantCertificationProgramhasfulfilleditsprogramobjectives
over the past year. CAB’s findings and recommendations in this regards shall be noted in the
AnnualManagementReviewReport.(SeeFigure19.)
5.4.12.11 AnnualManagementReviewReport
ThePTIExecutiveDirectorshallcompiletheinputsfromtheaforementionedreviewsandshall
draft the annual management review report for the Certification Advisory Board’s review and
approval.ThedraftshallbesubmittedtoCABnolaterthanFebruary28ofeachyear.CABshall
approve the report and provide recommendations for followͲup action to the PTI CRT20
UnbondedTendonPlantCertification(UTPC)CommitteeandthePTIBoardofDirectors.(Figure
20)
The UTPC Committee shall review the CAB recommendations and shall decide on appropriate
followͲupaction.

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Quality Management Review Process

Internal Audits

Review of External Audits

Review Appeals, complaints & disputes

Review Public Comments

Performance reviews of staff

Review of nonconformities identified in past quality management reviews, and

status of preventive and corrective actions taken

Review of risks to impartiality

Review & evaluation of follow-up actions from previous management reviews

Review of changes that could affect the management system

Assessment of the fulfillment of program objectives

Staff combines input from the above reviews and drafts the annual management
review report, which is to be submitted to CAB no later than February 28

CAB reviews management review report and determines appropriate follow-up action

CAB notified of
UTPC Committee reviews CAB recommendations and determines
whether follow-up action is warranted Committee
decision

CAB No UTPC Committee documents

Recommendations rationale for not implementing CAB
Followed? recommendation

Yes
Program Implementation

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 Quality Management Review

Internal Audits External Audits

UTPC Committee PTI Staff Administration Inspection Agency ANSI

Staff compiles assessment

findings & proposed PTI
Committee Audit Staff Audit Inspection Agency
responses
Procedure Procedure Audit Procedure

Audit team prepares Audit team prepares Audit team prepares Staff records findings and
findings & findings & findings & proposed preventive/
recommendations recommendations recommendations corrective actions in PTI CRT
20 F32 UTPC Corrective
Action Log

Audit reports to staff no later than

December 31

Executive Director compiles audit findings and incorporates into

Annual Management Review Report

Management Report

Figure 10 – Audit Review Process

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 Auditor Selection & Training
Annual Schedule
CAB selects UTPC Committee selects
representatives to representatives to May
conduct Staff and UTPC conduct Staff and
Committee audits Inspection Agency audits

CAB Chair, UTPC Committee Chair and

Executive Director prepare/ update
training presentation based on ISO 19001 May - June
and ISO/IEC 17065

Training webinar conducted for internal

July - August
auditors

Audit of UTPC Committee initiated September - October

Audit of PTI Headquarters/ Staff

initiated November - December

Audit of Inspection Agency initiated November - December

Internal Audit Process

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 Inspection Agency Audit

UTPC Committee designates a representative to serve on

the audit team

UTPC Committee rep. and PTI Certification Director plan

audit

Interviews Records Review Site Visits

Audit team interviews sampling of plant Audit team reviews a representative

Audit team accompanies inspector on 1 -2
personnel for observations and views re. sample of inspection reports & other
plant inspections
recent inspections (by telephone) relevant inspection records

Audit team interviews

Audit team identifies possible non-
inspectors to discuss practices Audit Team reviews Inspector’s report and
conformities and areas needing
& possible areas of compares with personal observations
clarification or improvement
improvement

Audit Team compiles findings & recommendations and prepares final

report for submittal to the UTPC Certification Committee

Copies of Report and UTPC Committee’s

UTPC Committee reviews audit report and
recommendation are given to Inspection
makes recommendations for improvement
Agency, CAB and the PTI Board

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Figure 12 – Committee Audit Procedure 3DJH
 Committee Audit

CAB designates a representative to serve on the audit

team

CAB rep. and PTI Executive Director plan audit

Interviews Records Review Meeting Observation

Audit team interviews sampling of UTPC

Audit team reviews a representative Audit team sits in on a committee meeting
Committee members for observations
sample of committee minutes & other and observes conduct and decision-making
re. recent meetings and committee
relevant committee records process of the committee
actions (by telephone)

Audit team interviews UTPC

Audit team identifies possible non-
Chair to discuss practices & Audit Team reviews committee files and
conformities and areas needing
possible areas of improvement documentation of committee actions
clarification or improvement
(by phone or in person)

Audit Team compiles findings & recommendations and prepares final

report for submittal to CAB

Copies of Report and CAB’s

CAB reviews audit report and makes
recommendation are given to UTPC
recommendations for improvement
Committee, CAB and the PTI Board

Figure 13 – Staff Audit Procedure 3DJH

 Staff Audit

CAB and UTPC Committee each designate a

representative to serve on the audit team

CAB and UTPC Committee reps. plan audit

Audit team visits PTI office

Interviews Records Review Transaction Observation

Audit team observes staff handling typical

Audit team interviews PTI staff re.
Audit team reviews certification records certification transactions (e.g. application
administrative procedures and
and files processing, inspection report review,
recordkeeping
complaint handling, etc…)

Audit team interviews Executive Audit team identifies possible non-

Director to discuss practices & conformities and areas needing
possible areas of improvement clarification or improvement

Audit Team compiles findings & recommendations and prepares final

report for submittal to CAB

Copies of Report and CAB’s

CAB reviews audit report and makes recommendation are given to UTPC
recommendations for improvement Committee, CAB, Executive Director and
the PTI Board

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 Quality Management Review

Review Appeals, Complaints &

Review Public Comments
Disputes

Staff compiles records of all appeals, complaints

Staff compiles records of all public comments
and disputes (AC&D), along with documentation
received along with documentation of UTPC
of follow-up corrective and/or preventative
Committee’s resolution of comments
actions taken

CAB designates a review team, who along with the CAB designates a review team, who along with the
Executive Director review the extent, nature and Executive Director review the comments and the
validity of AC&Ds and the sufficiency of follow-up sufficiency of follow-up

Review team formulates findings and Review team formulates findings and
recommendations; submits to CAB and UTPC recommendations; submits to CAB and UTPC
Committee Committee

Reports to staff no later than

December 31

Executive Director compiles findings/ recommendations and

incorporates into Annual Management Review Report

Management Report
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 37,&57*

Quality Management Review

Review of Staff Performance

Performance appraisals
Staff supervisors conduct performance appraisals
kept on file in Human
for each certification staff member.
Resources Department

Supervisor reviews whether employee has

required competencies as approved by UTPC
Committee

No Supervisor identifies
Has required
recommended training to
competencies?
achieve competency

Yes

Supervisor attests to employee competency (if

applicable) and lists recommended training

Supervisor Competency Certifications to

Executive Director no later than December 31

Executive Director compiles findings/ recommendations and

incorporates into Annual Management Review Report

Management Report
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 37,&57*

Quality Management Review

Review of NCRs and Preventive/

Corrective Actions and other follow-up Review of Risks to Impartiality
actions from Previous Management
Reviews

Staff reviews risks to impartiality that

Staff reviews past management review
have been identified by the UTPC
reports to confirm that all cited NCRs and
Committee to confirm that all cited risks
related preventive/ corrective actions are
and related preventive/ corrective actions
documented in the PTI CRT 20 F32 UTPC
are documented in the PTI CRT 20 F32
Corrective Action Log.
UTPC Corrective Action Log.

CAB reviews and evaluates the effectiveness of all

corrective/preventive actions completed in the previous 12
months

Staff enters CAB’s effectiveness ratings into the PTI CRT 20

F32 UTPC Corrective Action Log

No
Log up to date? Update log

Yes
Executive Director attaches PTI CRT 20 F32 UTPC Corrective
Action Logto Annual Management Review Report

Management Report
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5HODWHG3UHYHQWLYHDQG&RUUHFWLYH$FWLRQV 3DJH
 Quality Management Review

Review of changes that could affect the

management system

Technical Government
Staffing Technology Other
Standards Regulations/ Law

Staff surveys UTPC Committee re.

changes in the above areas

Staff identifies other observed

changes not identified by the
UTPC Committee

Executive Director compiles findings/

recommendations and incorporates into Annual
Management Review Report

Management Report

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Quality Management Review

Assessment of the fulfillment of

program objectives

Survey the UTPC Committee re. the Survey CAB re. the effectiveness of
effectiveness of the program and the program and fulfillment of its
fulfillment of its objectives objectives

Executive Director compiles survey results and

incorporates into Annual Management Review
Report

Management Report

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 37,&57*

Management Review Report

PTI Staff/Headquarters Audit

Inspection Agency Audit

External (ANSI) Audits Executive Director compiles

inputs from various reviews
Review of Appeals, Disputes and Complaints and includes as attachments

Review of Public Comments

Executive Director drafts
report based on inputs
Staff Performance Reviews
received
Review of NCRs and Related Preventive/Corrective
Actions
Executive Director sends
draft to CAB and UTPC
Review of risks to impartiality
Committee for review by
Review & evaluation of follow-up actions February 28
from previous management reviews

Review of changes that could affect the management CAB completes review and
system recommends follow-up
action
Assessment of the fulfilment of program objectives

CAB sends approved final report and recommendations to UTPC

Committee and PTI Board of Directors by March 31

UTPC Committee reviews CAB recommendations and votes on

follow-up actions by April 30

UTPC Committee notifies CAB of its intended follow-up actions

Implementation

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 37,&57*

5.5 PROCEDURESFORFINANCIALMANAGEMENTANDBUDGETING
The Unbonded Tendon Plant Certification Program shall be managed as an independent cost
centerwithinPTI.TheUTPCCommitteeshallberesponsibleforthedirectfinancialmanagement
andbudgetingoftheprogramincooperationwiththePTIBoardofDirectorsandthePTIFinance
AdvisoryCommittee.
5.5.1 ProgramBudgeting
AsshowninFigure21,eachyearpriortothePTIFallBoardmeeting,thePTIFinanceAdvisory
Committee (FAC) will develop cost estimates for the certification program. Based on these
estimates,thePTIBoardofDirectorswillestablishPTI’sfinancialcontributiontotheUnbonded
Tendon Plant Certification Program for the following fiscal year (Jan. 1 – December 31.) This
contribution will cover PTI’s anticipated administrative expenses (e.g. staff salary, overhead,
meetingspace,storageandshipping,traveletc.),legalservices,insurance,websiteandmarketing
associated with the program. In addition, the contribution will include a research and
developmentchargetoreflectPTI’songoingeffortstodeveloptechnicalstandardsusedbythe
UnbondedTendonPlantCertificationProgram.
The UTPC Committee will be notified of PTI’s annual contribution following the Board’s Fall
meeting(typicallyinOctober.)TheUTPCCommitteewillthensettheprogramfeesandbudgetto
resultinabreakͲevenposition(i.e.nosignificantlossorsurplus)atyearͲendbasedonanticipated
plantparticipation.
IftheactualyearͲendfinancialperformanceshouldvarysignificantlyfromthebudget,thenthe
subsequentyear’sbudgetandfeesshouldbeadjustedtomovetheprogrambacktoabreakͲeven
basis.
5.5.2 MemberDuesCredit
Throughpaymentofmembershipduesandothermemberassessments,PTImembercompanies
help finance PTI’s annual financial contribution to the Unbonded Tendon Plant Certification
Program.Inaddition,PTImembercompanieshavefinancedthedevelopmentoftheprogramfor
thelast22years.Toreflectthesecontributionstotheprogramandtoavoidmembercompanies
havingtomakeduplicatecontributions,PTImemberplantswillreceiveanannualcreditontheir
plantcertificationfees.ThecreditwillbesetbytheUTPCCommitteeandwillbebasedonthe
sumofthePTIannualcontributionandtheannualdevelopmentrecoverychargedividedbythe
estimatednumberofmemberplantsparticipatingintheprogram.
Thecreditwillbepaidatthebeginningofeachyear.Onlycompaniesthataremembersandare
ingoodfinancialstandingwillbeeligibletoreceivethecredit.CompaniesthatjoinPTIduringthe
yearandthatmaintaintheirmembershipthroughtheendoftheyearwillalsobeeligibleforthe
credit.Anycompanywhobeginstheyearasamemberbutlaterdropsitmembershipwillhaveto
reͲpaytoPTItheproͲratedshareoftheannualmembercreditforthebalanceoftheyear,inorder
tomaintainitscertification(s).
Figures22and23containtheanalysesofthecurrentyearPTIannualcontribution,andthePTI
CertificationFees,respectively.

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 &ŝŐƵƌĞϮϭͲĞƌƚŝĨŝĐĂƚŝŽŶWƌŽŐƌĂŵƵĚŐĞƚŝŶŐWƌŽĐĞƐƐ

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 PTIAnnualProgramContributionsͲ2016
Total

StaffSalaries&Overhead $ 124,000

Office&warehousespace $ 4,800

Legaloversight $ 1,000

Insurance $ 1,000

OfficeExpense $ 2,400

Website $ 1,100

Postage&Shipping $ 1,000

Meetings $ 2,100

StaffTravel $ 2,400

Marketing $ 1,000

InspectorMeetingattendance $ 3,800

InternalQualityAudits $ 5,000

AnnualPTIContributionͲ2016 $ 149,600

IndividualPlantAllocation(55memberplants) $ 2,720.00

MemberCreditforPTIContribution(Rounded)= $2,700

Figure22–2016PTIContributiontotheUnbondedTendonPlantCertificationProgram

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 2016 UTPC Certification Fee Analysis
Administrative Expense
Staff Salaries & Overhead $ 124,000
Office & warehouse space $ 4,800
Legal oversight $ 1,000
Insurance $ 1,000
Office supplies $ 2,400
Website $ 1,100
Postage & Shipping $ 1,000
Meeting space $ 2,100
Staff Travel $ 2,400
Marketing $ 1,000
Inspector Meeting attendance $ 3,800
Internal Quality Audits $ 5,000
Administrative Expense $ 149,600

ANSI Accreditation Expense $ 16,000

Inspection Costs $3,200 per fabrication plant, $3100 per extrusion plant plus 6 additional
random inspections (10% of plants) $ 204,500
Standard Fabrication Facility Inspections (2 per plant for 57 plants) $182,400
Standard Extrusion Facility Inspections (2 per plant for 3 plants) $9,300
Additional random inspections (10% of plants -- 6 inspections) $9,600
Reinspections (2) $3,200
Less Prior Year Budget Surplus (Loss) $ 3,900
Total Estimated Program Expense $ 366,200
Estimated Cost per Plant (60 Participating Plants) $ 6,100

Prior Year Development Recovery Charge per plant $ 1,800

201ϲ Research & Development Charge per plant $ 600
Proposed Fee per PT Fabrication plant $ 8,500
Proposed Fee per Extrusion plant $ 7,400
Member Credit (pro-rated PTI Member Contribution + Annual Development Recovery
Charge) $ (4,500)
Net Member Fee per fabrication plant $ 4,000
Net Member Fee per extrusion plant $ 2,900

Figure23– 2016 CertificationFeeAnalysis

(EffectiveJanuary1,2016;forthelatestfeescontactPTIorvisitthePTIwebsite)

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 APPENDICES

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 Appendix A
Unbonded Tendon Plant Certification Committee Roster
As of :ƵůLJϱ, ϮϬϭϲ

CHAIR: Thomas Mathews WƌĞĐŝƐŝŽŶͲ,ĂLJĞƐ /ŶƚĞƌŶĂƚŝŽŶĂů

GENERAL INTEREST & USER MEMBERS**:
Martin Cuadra Uzun & Case Engineers
dŚŽŵĂƐ,Ğůŵ EŽǀĂ'ĞŽƚĞĐŚŶŝĐĂůΘ/ŶƐƉĞĐƚŝŽŶ^ĞƌǀŝĐĞƐ ͕/ŶĐ͘
ŽŶĂůĚ<ůŝŶĞ <ůŝŶĞŶŐŝŶĞĞƌŝŶŐΘŽŶƐƵůƚŝŶŐ͕>>
DŝĐŚĂĞůZƵƐƐŝůůŽ ŽďŝĂdžh^͕/ŶĐ͘
ŽƵŐůĂƐ^ĐŚůĞŐĞů ŽŶƐƵůƚŝŶŐŶŐŝŶĞĞƌ

POST-TENSIONING COMPANY REPRESENTATIVES:

Russell Price Suncoast Post-Tension, Ltd.
Large PT Company (> ϳ,000 tons)
Todd Stevens Gerdau Reinforcing, Inc.
Medium PT Company (Ϯ,000 – ϳ,000 tons)
EŝĐŬĞŵŝƐƚĞƌ >D^ZĞŝŶĨŽƌĐŝŶŐ^ƚĞĞů'ƌŽƵƉ
Small PT Company (< Ϯ,000 tons)
Ricki Abney, :r. Houston Post-Tension
Non-member PT Company
ASSOCIATE REPRESENTATIVE:
'ƵLJůŽƵƚŝĞƌ General Technologies, Inc.

** The combined number of General Interest and User members must be five (5) or
greater.

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 AppendixB
CertificationAdvisoryBoardRoster

Chair: DĂƌĐ<ŚŽƵƌLJ,>h^͕/ŶĐ͘

ŚĂŝƌƐŽĨ͗
UnbondedTendonPlantCertificationCommittee–ThomasMathews,WƌĞĐŝƐŝŽŶͲ
,ĂLJĞƐ/ŶƚĞƌŶĂƚŝŽŶĂů
PrestressingSteelPlantCertificationCommitteeͲͲZĂŶĚLJWůŝƚƚ͕/ŶƐƚĞĞůtŝƌĞWƌŽĚƵĐƚƐ
UnbondedPTFieldPersonnelCommittee–NeelKhosa,AMSYSCO
BondedPTFieldPersonnelCommittee–GregoryHunsicker,VSL
^ůĂďͲŽŶͲ'ƌŽƵŶĚ'ĞŽƚĞĐŚŶŝĐĂůŶŐŝŶĞĞƌƐĞƌƚŝĨŝĐĂƚŝŽŶCommittee–ZLJŶĞ^ƚŽŬĞƌ,
'ĞŽƚĞŬ͕/ŶĐ͘
TechnicalAdvisoryBoardRepresentative
:ĂŵĞƐĞŝĐŬĞƌ,:>ĞŝĐŬĞƌŽ

PCStrandSupplierRepresentative
ZĂŶĚLJWůŝƚƚ,InsteelCorp.

PostͲTensioningCompanyRepresentatives:
HarleyNethken,TechͲConSystems,Inc.

AssociateRepresentative:
NorrisHayes,WƌĞĐŝƐŝŽŶͲ,ĂLJĞƐ/ŶƚĞƌŶĂƚŝŽŶĂů

ContractorRepresentative
sĂĐĂŶƚ

BoardLiaison:
>ĂƌƌLJ<ƌĂƵƐĞƌ,'ĞŶĞƌĂůdĞĐŚŶŽůŽŐŝĞƐ͕/ŶĐ͘

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 37,&57*
APPENDIXC
ϮϬϭϲPTIBoardofDirectors
FullName Company BoardCategory
RashidAhmed WalkerParkingConsultants ConsultingCompany
BrettAlamillo AlamilloRebar,Inc PTCompany
TedAlosi CumberlandPostͲTension,Inc. PTCompany
,ŽƌƐƚƐĐŚĞŶďƌŽŝĐŚ ŽŶͲdĞĐŚ^LJƐƚĞŵƐ͕>d PTCompany
JamesR.Cagley Cagley&Associates ProfessionalMember
TommasoCiccone Tensacciaisrl PTCompany
JonCornelius SumidenWireProducts PrestressingSteelSupplier
WyattCoupland LMSReinforcingSteelGroup PTCompany
SergioP.Dalmau,Jr. PTESystemsInternational,LLC PTCompany
MarcDucommun CanadianBBR,Inc. PTCompany
RichardElkins ElkinsTriSteel PTCompany
JackGraves,Jr. BuildersPostͲTension PTCompany
JonathanHirsch BentleySystems,Inc. Affiliate
PaulHohensee Enerpac/PrecisionSUREͲLOCK,Inc. Associate
EdHohman SuperiorPostTension PTCompany
BruceJensen WilliamsFormEngineeringCorp. PTCompany
RattanL.Khosa AMSYSCO,Inc. PTCompany
MarcKhoury CCLUSA,Inc. PTCompany
DonKline KlineEngineering&Consulting,LLC ProfessionalMember
AndyKochis ReadyCable,Inc. PTCompany
CaryKopczynski CaryKopczynski&Co.,Inc.,PS TABChair
DawnKori PostTensionCables,Inc. PTCompany
LarryKrauser GeneralTechnologies,Inc. Officer
JimLuke ConcoReinforcingSteel PTCompany
AndyLynam PhoenixPostͲTension PTCompany
DanMacLean ConͲTechSystems,LTD PTCompany
DavidMartin DywidagͲSystemsInternationalUSA,Inc. PTCompany
AndrewMicklus,Jr. Freyssinet,LLC PTCompany
TedMumford RoseCityRebar&PostTensioningCo. PTCompany
JoeNapoli InsteelWireCorp. PrestressingSteelSupplier
HarleyA.Nethken TechͲConSystems,Inc. PTCompany
PaulPattridge PPT,Inc. PTCompany
RussellL.Price SuncoastPostͲTensionLtd. PTCompany
JoséLuisQuintana Mexpresa PTCompany
DannyRaines PostTensionTechnologies,LLC PTCompany
SteveRoss LubricatingSpecialtiesCompany Associate
DouglasSchlegel ConsultingEngineer MemberͲatͲLarge
MikeSchwager SchwagerͲDavis,Inc. PTCompany
PeteScoppa PTUSA PTCompany
ToddStevens GerdauReinforcing PTCompany
RobertSward VSL PTCompany
ChrisWilkinson SkylineSteel,LLC PTCompany
CoyWilliams ConsolidatedReinforcementL.P.,Inc. PTCompany
BeauWolfe ContinentalConcreteStructures,Inc. PTCompany
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 Appendix D
Minimum Qualifications for PTI Unbonded Tendon Plant Inspectors

I. Experience
UnlessotherwiseapprovedbythePTIUnbondedTendonPlantCertificationCommittee,
aninspectorshallpossessthefollowingminimumexperience:
a. OneyearofworkinginormanaginganunbondedpostͲtensioningfabrication
facility,or
b. Threeyearsworkingasaqualityassuranceinspectorofmanufacturing
processes,preferablyinarelatedfield.

II. ConflictofInterest
Theinspectorshallnotbeaffiliatedinanymannerwithanycompanyorindividualwho
hasanownershipstakeinafacilitythatparticipatesin,oriseligibletoparticipatein,the
PlantCertificationProgram.Theinspectorshallnotbeemployedbyanycompanyor
individualwhohasanownershipstakeinafacilitythatiseligibletoparticipateinthe
CertificationProgram.

Aninspectormustdiscloseallpastaffiliationsandrelationshipswithanycompanyor
individualwhohasanownershipstakeinafacilitythatparticipatesin,oriseligibleto
participatein,thePlantCertificationProgram.Forexample,ifaninspectorwas
previouslyemployedbyacompanyparticipatingintheprogram,thisinformationmust
bedisclosedtoPTI.

III. Licensing/Certifications
UnlessotherwiseapprovedbytheUnbondedTendonPlantCertificationCommittee,a
PTIPlantinspectorshallpossessoneormoreofthefollowingprofessionallicensesor
certifications
x LicensedProfessionalEngineer,or
x QualityInspectorCertificationͲCQIorequivalent

Inadditiontheinspectorshallhavefieldexperienceand/orknowledgeofunbonded
postͲtensioningconstruction.Eitherofthefollowingwouldsatisfythisrequirement:

x PTICertificationasaLevel2UnbondedPTInspector,or
x PTICertificationasaLevel2UnbondedTendonFieldSpecialist,or
x 500hoursdocumentedexperienceworkingonpostͲtensionedconstruction.For
thisoption,submissionofanAffidavitofWorkExperienceisrequired.

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 IV. Examination
AllproposedinspectorsshalltakeandpassthePTIUnbondedTendonPlant
CertificationInspectorQualificationexaminationasestablishedbythePTIUnbonded
TendonPlantCertificationCommittee.ThisexaminationwillbeclosedͲbooktestwith
50questionsdesignedtotesttheinspector’sknowledgeoftheunbondedtendon
fabricationprocessofapplicableindustrystandards,andofthePTIUnbondedTendon
PlantCertificationProgram.Agradescoreof80%orgreaterisrequiredtopassthe
examination.

V. TrialInspections
IftheproposedinspectorhashadnopreviousexperienceasaninspectorinPTI’s
UnbondedTendonPlantCertificationProgram,he/sheshallfulfilloneofthefollowing
priortoconductinganactualplantinspection:
a. Accompanyacurrentlyapprovedinspectoronaminimumof2plantinspections,
or
b. Ifnocurrentinspectorisavailable,accompanyPTIstaffontwo“mock”
inspections.

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 AppendixE
ResumesofCurrentPTIPlantInspectors

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 AppendixF
StepͲbyͲStepAdministrativeProceduresforthePTIUnbondedTendon
PlantCertificationProgram

AppendixFincludesflowchartsthatoutlinethestepͲbyͲstepproceduresforthe
followingkeyadministrativeprocessesoftheprogram:
x Applications
x InitialEvaluationofPlants
x UnannouncedInspections
x CertificationofPlants
x Appeals,Disputes&Complaints
x DeͲCertification
AdditionalinformationregardingtheseandotherPTIcertificationadministrative
procedurescanbefoundinPTI’sCertificationAdministrationandOperations
Guide(separatecover).

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 Application

Applicant submits Application Form &

Certification Contract along with fee payment,
and required data and records

Membership Coordinator processes payment and

checks to see if company is in good financial
standing

In good financial Request payment of

No
standing? outstanding obligations

Yes

Certification Assistant reviews

application for completeness &
signature

Request missing
Complete? No
information

Yes

Contract signed by
Return to applicant for
authorized rep. & No
signature
notarized

Yes

Certification Assistant copies Certification Assistant files

application and data submitted original copies

Application
Certification Assistant give
package meet Return to applicant for
application package to No
program revision
Certification Director for review requirements?

Yes

Send copy of application package to Independent Inspection Agency with an

authorization to proceed with initial inspection within 21 days of receipt
Evaluation

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 Initial Evaluation

Inspection Agency reviews data and records submitted

Inspection Agency contacts applicant to schedule initial

inspection

Inspector travels to facility

Inspector inspects facility in accordance with approved

program procedures

Inspection Agency grades each evaluation parameter in

accordance with established technical criteria

Plant submits request for

Inspection Agency records evaluation score along with reinspection along with
pertinent findings and observation in a final inspection
reinspection fee to PTI within
report Ϯϭ days of receipt of inspection
report
Final report shall be signed by the inspector and an
authorized representative of the Inspection Agency who is
also a licensed engineer.
Plant corrects cited
deficiencies
Two copies of the report shall be submitted to PTI; the
Inspection Agency shall retain and file the original. Yes

Request Plant not

PTI Engineer checks Final Inspection Report for No
Reinspection? certified
compliance with program standards

No

Meet Program
Return to Inspection Agency Appeal/
No for Revision and/or Dispute
Standards?
corrective action findings
Yes Dispute
Process
Yes

Send applicant copy of report and

notify that they failed the evaluation; Applicant reviews
Passing Score? No
advise re. the option to request report
reinspection

Yes

Certification

Figure F͈2: PTI Administrative Procedure for Initial Plant Inspections

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 Unannounced
Evaluation

Inspection Agency schedules unannounced inspection

Inspection Agency reviews previous inspection reports and

plant actions taken to correct/prevent nonconformities

Inspector travels to facility

Plant submits request for
Inspector inspects facility in accordance with approved reinspection along with
program procedures reinspection fee to PTI within
Ϯϭdays of receipt of inspection
report
Inspection Agency grades each evaluation parameter in
accordance with established technical criteria

Inspection Agency verifies that preventative/corrective Plant corrects cited

actions have been implemented as reported deficiencies

Inspection Agency records evaluation score along with

pertinent findings and observation in a final inspection Yes
report

Final report shall be signed by the inspector and an

authorized representative of the Inspection Agency who is Plant de-
Request
also a licensed engineer. No
Reinspection? certified
Two copies of the report shall be submitted to PTI; the
Inspection Agency shall retain and file the original. No

PTI Engineer checks Final Inspection Report for compliance

Is this a Re-
with program standards Yes
inspection?

No
Meet Program Return to Inspection Agency for
No
Standards? Revision and/or corrective action Appeal/
Dispute
findings
Yes Dispute
Yes Process
Send applicant copy of report and
notify that they failed the evaluation; Applicant
Passing Score? No advise re. the option to request reviews report
reinspection

Send applicant copy of report and

Yes notify that they have 30 days to
formally respond to cited deficiencies
Applicant reviews report
and areas of nonconformance

Certification Non-conformities

Figure F͈3: PTI Administrative Procedure for Unannounced Plant Inspections

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 Certification

PTI Engineer verifies the following:

Applicant has paid appropriate fee and is in good financial standing
Signed certification contract is on file
Other required documentation has been received and is on file
Completed inspection report signed and approved by a professional
engineer has been received from the Inspection Agency
Inspection grades meet or exceed minimum program requirements

Required
Return to Applicant or Inspection
documentation No
Agency for revision
okay?

Yes
Engineer notifies Certification Director that Applicant’s plant has received
a passing grade on its inspection, and that all required paperwork has been
received and is on file.

Certification Director reviews Inspection Agency’s evaluation of plant and

related documentation; requests additional information if needed

More info. needed? Yes Staff provides requested info.

No

Certification Director approves/disapproves

certification of plant

PTI Certification Director notifies Unbonded Tendon Plant Certification

Committee of the certification decision

Unbonded Tendon Plant Certification Committee notifies Applicant in

writing of the certification decision

For newly certified plants, PTI Staff sends Applicant:

Certification Plaque
Certification logo for use on company literature and website

PTI staff adds plant to:

Certified plant listing (web and printed)
List of Certification Actions published monthly

Advise Inspection Agency that Applicant has been certified and that future
unannounced inspections may be performed as required
Unannounced Evaluation

Figure F͈4: PTI Administrative Procedure for Certifying Plants

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 De-Certification

PTI Engineer verifies the following:

Applicant has not filed an appeal, complaint, or dispute
Applicant has not requested a re-inspection within Ϯϭ day deadline
Completed inspection report signed and approved by a professional engineer
has been received from the Inspection Agency
Inspection grades do not meet or exceed minimum program requirements

Appeal,
complaint or Yes Appeal/Dispute Process
dispute?

No

Re-inspection
requested?
Yes Unannounced Evaluation

No

Engineer notifies Certification Director that Applicant’s plant has received a falling
grade on its inspection, and that all required paperwork has been received and is on
file.

Certification Director reviews Inspection Agency’s evaluation of plant and related

documentation; requests additional information if needed

More info.
Yes Staff provides requested info.
needed?

No

Certification Director approves/disapproves

certification of plant

PTI Certification Director notifies Unbonded Tendon Plant Certification Committee

of the certification decision

Unbonded Tendon Plant Certification Committee notifies Applicant in writing of the

certification decision

PTI staff:
Removes plant from Certified plant listing (web and printed)
Add plant to List of Certification Actions published monthly

Advise Inspection Agency that Applicant has been de-certified and that future
unannounced inspections should not be performed until otherwise advised

Figure F͈5: PTI De-certification Process

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 Appeal/Dispute/Complaint Process

Applicant must submit its appeal in writing

to PTI within 21 days of receipt of the Appeal/
Dispute Complaint
evaluation report. Appeal must detail the Appeal/Dispute or Staff formally acknowledge receipt
applicant’s position and must be sent by complaint? of complaint in writing
certified mail or other means such that the
time and date of delivery can be verified.

Staff formally acknowledge receipt of appeal Certification Advisory Board reviews

in writing complaint

Staff forwards appeal to Certification

Received within
Yes Advisory Board, with a copy sent to the
21 days?
Independent Inspection Agency
Additional information
No needed from applicant
and/or Inspection
Applicant loses right to appeal Agency?

Appeal Board is formed.

CAB Chair shall serve as Chair of Appeal Board; if CAB Chair has a conflict of Yes
interest with applicant, then Vice-Chair of CAB shall serve as Chair No
CAB Chair appoints the following selected from the current Unbonded Tendon Request information from
Plant Certification Committee: applicant and/or Inspection
Two (2) General Interest/User representatives Agency
One (1) Post-Tensioning Company representative
Applicant designates one (1) representative who is not an officer, employee, or
is otherwise affiliated with the Applicant CAB decides what action, if
any is warranted
Independent Inspection Agency submits written statement re-affirming and/or
clarifying its position within 7 days to the Appeal Board, with a copy to the
Applicant notified in writing
Applicant
of CAB decision/Action

Applicant decides whether a formal meeting with the Appeal Board is desired; if so,
a formal request must be submitted in writing with the meeting deposit fee to PTI Certification status revised in
within 7 days. (Deposit will be refunded if Appeal Board decides matter in favor of accordance with decision;
Applicant) meeting deposit returned to
Applicant

Yes

Appeal Board reviews testimony, Applicant formally advised Decided in

Meeting
No documentation & written statements, in writing of Appeal Board favor of
Requested? and decides the matter within 14 days Decision applicant?

Yes No

Appeal Board meets with Applicant

Meeting scheduled within 2-4 Inspection Agency’s evaluation
(with legal counsel if desired), and
weeks; meeting to be held in PTI stands; PTI retains meeting
representative of PTI’s
office in Farmington Hills, MI deposit if applicable
Independent Inspection Agency

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 Non-conformities

Upon receipt of the inspection report from PTI, the Plant must formally
respond to all cited deficiencies and areas of nonconformance. This
response must document what preventive and/or corrective action has
been taken, and what additional steps will be taken in the future to ensure
conformance with Certification Program requirements.

The formal written response must be submitted to PTI within 30 days of

receipt of the inspection report

Wd/ŶŐŝŶĞĞƌ reviews response to verify that all cited

deficiencies and areas of nonconformance are addressed

All deficiencies
PTI advises plant that
addressed in some No
response is incomplete
manner?

Yes

PTI advises Inspection Agency that response

Response received was not received on time and that a 10-point
No
within 30 days? overall grade score deduction will be
applicable on next inspection

Yes

Staff forwards plant’s response to

Inspection Agency and files copy in
Certification Records

Inspection Agency notes the plant’s

response and reviews reported actions Unannounced Evaluation
taken prior to next inspection

Figure F͈7: PTI Procedure for Evaluating Actions Taken to Prevent/Correct Non-conformities
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 Appendix G 37,&57*

PTI Unbonded Tendon Plant Certification Program Recordkeeping

Organization & Structure
The following is the general organization of files for the UTPC program. As noted below,
various portions of the records and files are maintained by different departments within PTI.
With the exception of personnel and financial records maintained by the Human Resources
and Finance departments respectively, all certification records are to be maintained in
digital format on PTI’s network. Only current versions of certification documents are to be
stored in the active certification directory; obsolete historical documents will be stored in
a separate archive directory and retained in accordance with Appendix H, PTI Certification
Document Retention and Destruction Policy.

I. General
a. Program Requirements
i. Plant Certification Manual
ii. Related References
b. Certified Plant Listing
c. Monthly Summary of Certification Actions
d. ANSI Accreditation
i. Application
ii. Supporting Documentation
iii. ANSI Reviews & Audits
iv. ANSI Communications & Correspondence
II. Committees
a. Certification Advisory Board
i. Roster
ii. Committee member bios
iii. Meetings
1. Agendas
2. Minutes
iv. Ballots
1. Item Description
2. Vote Summary
3. Resolution of Negatives
v. Reports
b. Unbonded Tendon Plant Certification Committee
i. Roster
ii. Committee member bios
iii. Meetings
1. Agendas
2. Minutes
iv. Ballots
1. Item Description
2. Vote Summary
3. Resolution of Negatives
v. Reports

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 Appendix G
37,&57*

III. Plants
a. Companies
i. Year
1. Application-Renewal Forms
2. Supporting documentation
3. Contract
4. Correspondence
5. Evaluations & Inspections
6. Plaques-Certificates
7. Miscellaneous (e.g. company literature, etc.)
IV. Inspection Agency
a. Contracts/RFPs
b. Inspectors
i. Qualifications/Bios
ii. Exams
V. PTI Staff
a. Job Descriptions
b. Work History & Qualifications
c. Performance Reviews
VI. Public Comments
a. Notices
b. Comments Received
c. Resolution & Follow-up Action
VII. Appeals, Complaints & Disputes
VIII. Quality Management System
a. Quality Management Manual
b. Internal Audits
i. Committee
ii. Staff
iii. Inspection Agency
IX. Financial
a. Annual Budget
b. Analysis of PTI Fee Contribution
c. Plant Invoices
d. Payment records

Responsible Department Color Code:

Certification Department
Human Resources Department
Finance Department

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 Appendix H 37,&57*

37,Certification Document Retention and Destruction Policy

This Certification Document Retention and Destruction Policy of the Post-Tensioning Institute identifies
the record retention responsibilities of staff, volunteers, members of the Board of Directors, and outsiders
for maintaining and documenting the storage and destruction of the PTI’s certification documents and
records.

1. Rules. The Executive Director’s staff, volunteers, members of the Board of Directors and outsiders
(i.e., independent contractors via agreements with them) are required to honor these rules: (a) paper or
electronic documents indicated under the terms for retention below will be transferred and maintained by
the Human Resources, Legal or Administrative staffs/departments or their equivalents; (b) all other paper
documents will be destroyed after three years; (c) all other electronic documents will be deleted from all
individual computers, data bases, networks, and back-up storage after three years; and (d) no paper or
electronic documents will be destroyed or deleted if pertinent to any ongoing or anticipated
government investigation or proceeding or private litigation.

2. Terms for retention.

a. Retain permanently:
Governance records – Charter and amendments, Bylaws, other organizational documents,
governing board and board committee minutes.
Tax records – Filed state and federal tax returns/reports and supporting records, tax exemption
determination letter and related correspondence, files related to tax audits.
Intellectual property records – Copyright and trademark registrations and samples of protected
works.
Financial records – Audited financial statements, attorney contingent liability letters.
b. Retain for ten years:
Pension and benefit records -- Pension (ERISA) plan participant/beneficiary records, actuarial
reports, related correspondence with government agencies, and supporting records.
Government relations records – State and federal lobbying and political contribution reports and
supporting records.
Certification applications and agreements—contracts and other formal agreements with
certification applicants, inspection agencies, internal auditors, etc.
Quality management audits – final internal audit reports
Certification actions – documentation related to a certification, re-certification or de-certification
decision
Certification Committee records – minutes, rosters and other records of official committee
actions
Accreditation records – supporting documentation related to accreditation by ANSI or other
accreditation organization
c. Retain for five years:
Employee/employment records – Employee names, addresses, social security numbers, dates of
birth, INS Form I-9, resume/application materials, job descriptions, dates of hire and
termination/separation, evaluations, compensation information, promotions, transfers,
disciplinary matters, time/payroll records, leave/comp time/FMLA, engagement and discharge
correspondence, documentation of basis for independent contractor status (retain for all current
employees and independent contractors and for three years after departure of each individual).
Certification inspection reports –final evaluation reports prepared by the Independent Inspection
Agency
Certification Examinations – results of certification and inspector examinations
Appeals, complaints and disputes – records pertaining to appeals, complaints and/or disputes filed
with PTI with respect to certification.
d. Retain for three years:
All other electronic records, documents and files – Correspondence files, past budgets, bank
statements, publications, employee manuals/policies and procedures, survey information.

3. Exceptions. Exceptions to these rules and terms for retention may be granted only by the Executive
DirectRr or the President of tKH Board 3DJH
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Appendix I - Managing UTPC Competencies
37,&57*

September/October

November/December

3DJH
38800 Country Club Drive
Farmington Hills, MI 48331
(248) 848-3180