Appendix A: Selections From Transit Quality Programs

This appendix presents selections from a number of transit quality programs in use around the United States. The selections may use different titles than the quality elements in these guidelines and their content may be slightly different. Nevertheless, these selections largely represent the elements suggested in this guidance.

Although these are excellent examples of policies, procedures, and formats from other transit capital programs, they are not presented here so that they may be merely copied. Rather, each organization should tailor their Quality Plan to fit their own structure and requirements. Personnel at the transit agencies that have provided these examples may be contacted and used as references when preparing a Quality Plan. Additional references that can and should be contacted include agencies of similar size or agencies that are working on similar sized programs. Additionally, the FTA regional office is an excellent resource for information and assistance.

Attached are the following:

Element 1: Management Responsibility
From the New York City Transit Authority, Department of Capital Program Management, Quality Management System Manual.

Element 2: Documented Quality System
From the Washington Metropolitan Transit Authority, 5000 Series Vehicle Procurement Program, Quality Assurance Plan.

Element 3: Design Control
From the New York City Transit Authority, Department of Capital Program Management, Quality Management System Manual; including Project Management Guideline No. 301 and corresponding Project Management Procedure No. 301, Design Management.

Element 4: Document Control
From the Chicago Transit Authority, Capital Improvement Program, Quality Assurance Manual.

Element 5: Purchasing
From the Chicago Transit Authority, Capital Improvement Program, Quality Assurance Manual.

Element 6: Product Identification and Traceability
From the Washington Metropolitan Transit Authority, 5000 Series Vehicle Procurement Program, Quality Assurance Plan.

Element 7: Process Control
From the New York City Transit Authority, Department of Capital Program Management, Quality Management System Manual.

Element 8: Inspection and Testing
From the Washington Metropolitan Transit Authority, 5000 Series Vehicle Procurement Program, Quality Assurance Plan.

Element 9: Inspection, Measuring, and Test Equipment
From the Washington Metropolitan Transit Authority, 5000 Series Vehicle Procurement Program, Quality Assurance Plan.

Element 10: Inspection and Test Status
From the Washington Metropolitan Transit Authority, 5000 Series Vehicle Procurement Program, Quality Assurance Plan.

Element 11: Nonconformance
From the Chicago Transit Authority, Capital Improvement Program, Quality Assurance Manual; including Project Management Procedure, PMP-6009, Nonconformance Reports and Corrective Action.

Element 12: Corrective Action
From the Chicago Transit Authority, Capital Improvement Program, Quality Assurance Manual; including Project Management Procedure, PMP-6009, Nonconformance Reports and Corrective Action.

Element 13: Quality Records
From the Chicago Transit Authority, Capital Improvement Program, Quality Assurance Manual; including Project Management Procedure, PMP-6002, Quality Records ­ Quality Assurance Department.

Element 14: Quality Audits
From the New York City Transit Authority, Department of Capital Program Management, Quality Management System Manual; including Project Management Guideline No. 118 and corresponding Project Management Procedure No. 118, Quality Assurance Audits.

Element 15: Training
From the New York City Transit Authority, Department of Capital Program Management, Quality Management System Manual.

ELEMENT 1: MANAGEMENT RESPONSIBILITY

From the New York City Transit Authority, Department of Capital Program Management, Quality Management System Manual.

Section 2

MANAGEMENT RESPONSIBILITY

2.1 MISSION

The mission of the NYCT Department of Capital Program Management (CPM) is to rebuild and improve the NYC Transit System by planning, designing and building excellent capital projects.

• We will accomplish this mission by:
• developing and empowering employees
• exceeding expectations on safety, environmental excellence, quality, budget and schedule
• providing consistently superior customer service
• optimizing and integrating new technology
• stressing continuous improvement

2.2 QUALITY GOAL

To achieve an organizational understanding of, and commitment to, Quality.

2.3 QUALITY PLANNING

2.3.1 Quality Objectives

CPM develops and disseminates departmental quality objectives measurable and consistent with the quality policy, including the commitment to continual improvement.  Objectives are reviewed annually and revised as needed.

Senior Management develops individual Quality Objectives as part of their Management Performance Review.

2.3.2 Quality Planning

Quality Planning activities, conducted by CPM’s top management include considerations such as:

• needs and expectations of the customers
• performance of products and processes
• resources needed
• lessons learned
• risk identification and analysis
• responsibility and authority for execution of improvement plans
• contingency plans

2.4 RESPONSIBILITY, AUTHORITY AND COMMITMENT

The responsibility for and commitment to the established Quality Policy begins with top management.  Management should ensure that the Quality Policy shown in Section 1 is understood, implemented and maintained throughout all appropriate levels of the organization.  Top management in CPM is defined as the Senior Vice President and his Direct Reports.

2.4.1 President

The President of the NYCT has delegated the responsibility for establishing and implementing a Quality Management System for Capital Program projects to the Senior Vice President and Chief Engineer, Capital Program Management.

2.4.2 Senior Vice President And Chief Engineer, Capital Program Management

The Senior Vice President and Chief Engineer, Capital Program Management is the NYCT Officer responsible for the direction, administration and management of the Department of Capital Program Management.

2.4.3 Management Commitment

CPM top management is committed to the development and improvement of the Quality Management System.  This commitment is demonstrated by:

• communicating to the organization the importance of meeting customer as well as regulatory and legal requirements
• establishing the Quality Policy and Quality Objectives
• conducting management reviews
• ensuring the availability of necessary resources

2.4.4 Management Reviews

The SVP annually reviews the Quality Management System with his/her direct reports to ensure its suitability, adequacy and effectiveness.  The reviews also evaluate the need for changes to the Quality Management System, including Quality Policy and Quality Objectives.  Review inputs include current performance and improvement opportunities related to:

• results of audits
• customer feedback
• process performance and product conformance
• status of preventive and corrective action
• follow-up actions from earlier management reviews
• recommendations for improvement
• changes that could effect the Quality Management System
• Review outputs include actions related to:
• improvement of the effectiveness of the Quality Management System and its processes
• improvement of product related to customer requirements
• resource needs

2.4.5 Customer Focus

CPM top management is responsible for ensuring that customer needs and expectations are determined, converted into requirements and fulfilled with the aim of achieving customer satisfaction.

2.5 ADMINISTRATION

2.5.1  CPM functions under a program management structure.  CPM’s organizational structure consists of customer-focused business units called Program Areas. Engineering Services, Planning and Budget, Management Services and Quality and Safety Management divisions provide resources and support for the Program Areas.  Projects are assigned to a Program Area based on the nature of the work.  The Program Manager is in charge of a Program Area and is responsible for the planning, design and construction of all projects assigned to the Program Area.  Successful completion of project activities, from planning through final acceptance and contract closeout, is the joint responsibility of CPM Program Managers and their operating department counterparts.

2.5.2  Management Representative

The SVP and Chief Engineer has appointed the Chief, Quality and Safety Management as the ISO 9001 management representative.   The Chief has the responsibility and authority to:

• ensure that processes of the Quality Management System are established and maintained
• report to the SVP and his direct reports on the performance of the Quality Management System, including needs for improvement
• promote awareness of customer requirements throughout the organization

The responsibility of the management representative includes liaison with external parties on matters relating to the Quality Management System

2.5.3 Internal Communications

CPM ensures communications between its different levels and functions regarding the processes of the Quality Management System and their effectiveness in a number of ways.  Communication tools include SVP directives, All Hands Meetings, staff meetings, CPM Newsletters, bulletins boards, project objectives reports, etc.  Communication with our suppliers is on-going throughout design and construction and includes project kick-off meetings, progress meetings, TA Factor and NYACE meetings and periodic work shops conducted by the Program Areas.

2.5.4 Quality During Design

Quality in the constructed project begins in the design phase.

It is the responsibility of the entire Project Design Team to assure that contract drawings and specifications meet appropriate standards and customer and regulatory requirements and provide clear direction for construction of the project.  Verification of the design against customer requirements contained in the Scope of Work is performed by the Project Design Team throughout the design phase.

Overall responsibility for design and construction rests primarily with the Program Manager, with assistance from Chief Discipline Engineers/Architects in the form of staff and technical expertise.

The Design Manager, reporting directly to the Program Manager, is responsible for all required design activities.  The Design Manager must ensure design conformance with the Scope of Work, an acceptable project cost, technical coordination between the disciplines, and timely completion.  The project’s prospective Construction Manager is required to provide construction-related support to the Project Design Team.

Design staff matrixed to a Program Area receive project direction from the Design Manager.  Matrixed design staff will turn to their Engineering Services disciplines when in need of technical guidance and direction and will keep their discipline informed with respect to project progress.  Engineering Services has a mentoring, oversight, training and consulting responsibility.

The Quality Representative matrixed to a Program Area participates on all Project Design Teams.  This Quality Representative reviews and comments on design distributions and provides guidance and assistance to the Project Design Team concerning quality issues and procedures.  Quality Management audits the design process to assure that established requirements are being met.  This audit function provides for validation of the department’s QA process and, in conjunction with lessons learned activities, leads to the implementation of continuous improvements and corrective actions on a department-wide basis.

2.5.5 Quality During Construction

Construction work is generally performed by third-party contractors who have  the primary responsibility for quality and safe construction of the constructed facility.

CPM construction contracts require that the contractor establish, implement and maintain an effective Contractor Quality Program, approved by the NYCT Construction Manager, to manage, control, document and assure that their work complies with the requirements of the contract documents.

This program consists of plans, procedures, and the organization necessary to assure adequate control (inspection) and assurance of quality for materials, workmanship, fabrication and operations covering both on-site and off-site construction work. Contractors are required to perform their own audits to assure compliance with the requirements of their quality program and must assign an approved quality engineer/manager whose function is to manage all quality matters relating to the project.

The ultimate responsibility for assuring that the contractor fulfills all obligations, including quality and safety, rests with the Program Manager.

The Construction Manager, reporting directly to the Program Manager, is responsible for assuring that contractors comply with all requirements of their Contractor Quality Program, Safety Management Program, contract documents and all applicable laws and regulations.

Verification of construction against the approved design documents is performed throughout the construction phase.  Engineering Services personnel matrixed to the Program Areas, and working under the direction of the Construction Manager, perform oversight of construction activities, and assure, on a day-to-day basis, that the contractor is in compliance with construction documents, including quality and safety requirements.  This oversight takes the form of:  checking contractor supplied documentation; witnessing contractor operations, inspections and tests; performing independent inspections and tests to verify contractor results; or any combination of these activities.

On those construction projects not contracted out, work is performed by NYCT  in-house forces, under the administration of a CPM Construction Manager.  This work is done in accordance with the design documents and established CPM quality requirements.

Quality Representatives are matrixed to Program Areas to assist in the implementation of quality and safety throughout the construction process. They receive day-to-day direction from the Program Managers.  Quality and Safety Directors have a mentoring, oversight, training and consulting responsibility.

Quality Management performs audits of contractor and project management activities during construction to assure that established requirements are being met.  Audits are performed by personnel outside of the Program Area on a sampling basis and the projects/activities to be audited are selected based on an analysis of project scope, complexity, dollar value and prior audit history.  The audit function provides for documentation and validation of the department’s QA process.  Pareto and trend analyses of data obtained by the audit functions and a customer satisfaction measurement process to determine customer perception of these CPM services and performance, are used to identify deficiencies and to implement corrective/ preventive actions for continuous improvement of processes and practices throughout CPM.

2.5.6 The procedures established for accomplishing the activities required to assure quality of the constructed project are found in the Quality Manual, Project Management Procedures, Project Management Guidelines, Design Guidelines, Senior Vice President Directives and internal CPM procedures.

ELEMENT 2: DOCUMENTED QUALITY SYSTEM

From the Washington Metropolitan Transit Authority 5000 Series Vehicle Procurement Program, Quality Assurance Plan.

2.0 DOCUMENTED QUALITY SYSTEM

2.1 Purpose

This section establishes the Authority’s Quality Assurance and Quality Control requirements, responsibilities, and procedures for Element 2, “Documented Quality System”, of the Federal Transit Administration’s Guidelines for Quality Assurance and Quality Control.

2.2 Scope

It is the policy of the Authority to ensure continued adherence to the standard practices and policies of the Authority by undertaking periodic reviews, revisions, and redistribution of the Quality Assurance Plan.  The Quality Assurance and Quality Control Plan applies to all quality activities performed under this contract.

2.3 Policy

Methods of accomplishing activities affecting quality are described in the Project Management Procedures. These procedures also define the documentation to be produced as verification of satisfactory accomplishment of the activity. 

2.4 Responsibilities

The Authority is responsible for Quality Assurance to ensure the inclusion of all requirements and acceptance criteria covering quality matters in technical documents, drawings, specifications, directives, inspection, testing requirements, etc., for the Project.

Activities affecting quality are documented by the parties responsible for the activities, generally as defined by the PM, and approved by the Project Quality Assurance Manager.  The responsible individuals or organizations will issue necessary directives or procedures to assure that pertinent activities are documented.  Additional procedures will be incorporated, when and if required, with the approval of the Project Quality Assurance Manager.  Procedures may be developed for use by groups or individuals as subsidiary or specialized needs dictate.

Documentation records testifying to the satisfactory execution of the required activities for the project will be readily available to authorized personnel and delivered to authorized personnel as directed.  An integral part of this project is the list of instructions, procedures, drawings, specifications, inspection test reports, and quality assurance reports to be prepared, submitted, or made available for review or approval, in accordance with the individual contract requirements.

Contractor or consultant documents relating to quality will also be made available for review as described in this plan.  These documents are to include provisions describing type, quality, and frequency of all submissions.  Requirements shall be established in the individual contracts and/or specifications.  Quality records will be accumulated and identified and will be available in the format provided in this Quality Assurance Plan and in the various applicable procedures associated with the project. Such records will not be removed from the project files.

2.4.1 Additional Responsibilities

2.4.1.1 The Deputy Program Manager reviews the Quality Assurance Plan at least annually and revises it, as required, with the approval of the WMATA Railcar Maintenance Quality Assurance Manager.

2.4.1.2 The Deputy Program Manager is responsible for issuing and controlling the Quality Assurance Plan.

2.3.1.3 Holders of controlled copies of the plan are required to keep them up-to-date and in good condition.

2.5 Revision Control

2.5.1 Each revision to the plan is issued with a revision sheet requiring an authorized signature and date of revision.

2.5.2 Revised procedures are authorized by the Project Quality Assurance Manager on the revision sheet.

2.5.3 If a revision to any section of the plan is made, the entire section is revised and re-issued under a new revision number.

2.5.4 The holder of the plan certifies receipt and removal of obsolete copies by signing and returning one copy of the distribution sheet to the Quality Assurance Department.

2.5.5 A list of all Quality Assurance Plans in circulation is maintained in Quality Assurance files.

2.5.6 Serialized control copies of the plan are issued to specific persons.  Only those plans are kept up to date.

2.5.7 Only controlled copies are valid for official use.

2.6 Procedures

During the course of the project, written procedures will be developed for the activities affecting quality in design, procurement, manufacturing, and construction, as applicable to the work performed.  The procedures manuals that will support the quality initiatives for the program are:

2.6.1 Project Management Plan,

2.6.2 WMATA Quailty Assurance/Quality Control Plan,

2.6.3 WMATA Operations Administrative Procedures,

2.6.4 Engineering Consultant Quality Assurance Plan (pending),

2.6.5 Contractor’s Program Quality Assurance/Quality Control Plan,

2.6.6 5000 Series Specification (w/ Design Criteria and Standards), and

2.6.7 Engineering Consultant Quality Plan.

2.7 Inspection and Test Procedures

Inspection and Test Procedures will be developed and implemented by the Contractor in compliance with contract documents.  These procedures will be submitted to the Authority as part of the Quality Plan submitted by the Contractor. 

The Contractor will be responsible for developing the Inspection and Test Plan (ITP) for all phases of the vehicle design and production.  The Consultant will be responsible for developing the appropriate Test and Inspection Procedures for its portion of the work, including in-process inspection.  The Authority will be responsible for Quality Assurance over the Consultant and/or Contractor(s) required by contract to develop Inspection and Test Procedures for their products or services.

The Authority will ensure enforcement of the following goals and objectives:

2.7.1 characteristics of items are verified at suitable stages during manufacturing and construction;

2.7.2 critical and important design characteristics are defined in accordance with industry codes;

2.7.3 performance characteristics are defined;

2.7.4 results of performance testing are evaluated;

2.7.5 manufacturing methods and sequences are defined and tooling is specified;

2.7.6 each ITP:

• identifies inspection and test points within the manufacturing cycle
• contains a manufacturing plan flow chart
• identifies characteristics to be verified
• identifies the inspection and test points where calibrated and certified measuring equipment is required
• indicates mandatory inspections
• specifies which quality standards are applied to subContractor items
• defines how the processes are controlled
• specifies the inspection and test methods

2.7.7 the EC’s responsibilities also include monitoring and maintaining the up-to-date status of the ITP during the Project.

2.8 Submittals

In conformance with the requirements of the Quality Assurance/Quality Control Program Plan, a complete listing of all deliverables required of the Contractor and its subContractors is included in the Specification under Section 1, Scope, Subsection 1.3.2, Contract Data Requirements List.  The Authority and its Consultant are responsible for the review of all Contractor deliverables.  Deliverables shall be revised and resubmitted if deemed to be “not approved”.

ELEMENT 3: DESIGN CONTROL

From the New York City Transit Authority, Department of Capital Program Management, Quality Management System Manual; including Project Management Guideline No. 301 and corresponding Project Management Procedure No. 301, Design Management.

Section 3

DESIGN CONTROL

3.1 QUALITY OBJECTIVE

Design activities shall be performed in accordance with approved procedures and appropriate Design Guidelines.

3.2 PROJECT DEVELOPMENT

3.2.1 Project Initiation

3.2.1.1 Operating departments identify and request each capital project by submitting a Capital Project Profile to Capital Planning and Budget.

3.2.1.2 Projects are assigned to Program Managers as soon as possible after they are identified to insure proper management during the initial pre-design phase of the project, and to provide continuity of management throughout the life of the project.

3.2.2 Scope Development

3.2.2.1 Scope development is the work necessary to expand the Capital Project Profile into a Preliminary Scope of Work.  The initial version of the Preliminary Scope of Work is prepared before design commences.  If the proposed project is accepted for Preliminary Engineering, the Preliminary Scope of Work serves as the starting point for the work of the Project Design Team.  The Preliminary Scope of Work is updated throughout Preliminary Engineering and becomes the Final Scope of Work at the conclusion of Preliminary Engineering.  The scope development process involves the review of available information, meetings with operating departments (Sponsors/Users/Maintainers) and other departments with interests in the project, field trips to inspect the project location, further definition of needs, discussions of whether the project is to be designed in-house or by consultant, and other activities necessary to assure that overall project and quality objectives and constraints are adhered to and that the requirements of the client are satisfied.

3.2.2.2 The Preliminary Scope of Work is updated throughout Preliminary Engineering to reflect CPM - Sponsor/User/Maintainer understanding of project requirements.  To insure complete and cost-effective scopes of work, each new issue of the Preliminary Scope of Work must be approved in accordance with PMP 301.

3.3 DESIGN INPUTS, OUTPUTS AND REVIEWS

3.3.1 The approved scope of work identifying Sponsor/User/Maintainer department/division needs and requirements is used by the designer as input in designing the project.  Design codes and standards, guidelines, standard and existing drawings, photographs, existing conditions and master specifications are also used as input in developing the project design.

3.3.2 Design Managers are responsible for the preparation of drawings, calculations and specifications, and other technical documents as outputs required to define and document the project design and any special methods of construction.

3.3.3 At suitable stages, systematic design reviews are conducted to:

• evaluate the ability to fulfill requirements
• identify problems and propose follow-up actions

Participants in such reviews shall include representatives of functions concerned with the design being reviewed.  The results of the review and subsequent follow-up actions shall be recorded.

3.4 DESIGN VERIFICATION AND VALIDATION

3.4.1 Calculations, drawings and specifications are checked by qualified personnel not normally associated with their preparation.  The Project Design Team verifies the design against the Scope of Work.

3.4.2 Constructibility Reviews assure that the project includes the application of sound construction principles consistent with operating and maintenance requirements and accepted engineering practices for safe, efficient and economic construction.

3.4.3 Value Engineering Design Reviews assure cost effectiveness.

3.4.4 Design validations assure that the project conforms to the requirements of its intended use.

3.5 CONTROL OF DESIGN CHANGES

Design changes shall be identified, documented and controlled.  This includes evaluation of the effect of the changes on constituent parts and delivered products.  The changes shall be verified and validated, as appropriate and approved before implementation.

3.6 ACCEPTANCE CRITERIA

3.6.1 Contract specifications and drawings define inspection, testing and acceptance requirements for materials and equipment which the Contractor must follow and document in his Quality Program.

PROJECT MANAGEMENT GUIDELINE NO. 301

1.0 PURPOSE

To provide guidelines to aid the Department of Capital Program Management in managing the design of capital projects.

2.0 SCOPE

This guideline is applicable to all Capital Program Management project designs, regardless of the mix of in-house and consultant design work.

3.0 GUIDELINES

3.1 Project Design Team

Members of the Project Design Team work together to develop the design and prepare the drawings and specifications required for advertisement, bid, award, and construction of a capital project.  Team members report directly to the Design Manager on all project-related matters throughout design.

A typical Project Design Team includes the following membership (see Exhibit 1 for an organization chart).

1. Design Manager - As the team leader, the Design Manager is responsible for producing quality deliverables on schedule and within budget.  S/he leads the Project Design Team in performing design work and/or overseeing the work of a design consultant.  S/he plans and manages the resources necessary to produce a quality Design Solution (i.e. deliverable of the Preliminary Engineering stage) and Detailed Design (i.e. deliverable of the Final Design stage).  The Design Manager must assure that the team is adequately equipped for its work. Thus the Design Manager’s responsibilities include, but are not limited to:

A. Assuring that Engineering Force Account (EFA) funds are in place.

B. Working closely with CPM resource centers (i.e. Engineering Services Division, Estimating & Cost Control, Quality, Schedule Control, Signals & Systems) to assemble the Project Design Team.

C. Compiling and maintaining the Project Design Team membership list (i.e. names, locations, telephone numbers).

D. Working closely with the team’s Architectural/Engineering Task Leaders (see below) in order to ensure that technical issues are resolved fully and promptly (i.e. arranging for additional expertise to be assigned or available to the Project Design Team as necessary).

E. Coordinating work across disciplines.

F. Scheduling and conducting a review of conceptual designs with the Chief discipline Engineers and the Deputy Vice President, Engineering Services.

G. Serving as the Project Design Team’s representative to interested parties within CPM, the NYCTA, and the MTA, and particularly

• keeping management informed of design progress and promptly bringing issues beyond the ability of the Project Design Team to resolve to the attention of appropriate management
• bringing issues of significant capital and/or operating cost impact to the attention of the Chief Budget Officer, Capital Program.

H. Arranging for services and equipment needed by the Project Design Team (e.g. Access & Protection for site visits).

I. Assuring that CPM’s clients (Sponsor/User/Maintainer department/divisions) are satisfied throughout the design process.

J. Giving project presentation to Project Constructibility Advisory Review Board at Preliminary Engineering and Final Design for projects selected by the Deputy Vice President and Deputy Chief Engineer.

2. Sponsor Representative - As CPM’s client, the Sponsor Representative explains the functional/operational requirements for the project and keeps the Project Design Team informed of any changes in those requirements.  This member is also responsible for keeping Sponsor management informed about progress of the design and major design decisions being made by the Project Design Team.

3. User/Maintainer Representative(s) - Representing other departments/divisions having interests in the project design, these members keep the Project Design Team informed of requirements for safety, functionality, maintainability, and customer service over and above those identified by the Sponsor.  These members are also responsible for keeping User/Maintainer departmental/divisional management informed about progress of the design and major design decisions being made by the Project Design Team.  “User” department/divisions include “collateral” sponsors and Operations Planning, which develops service plans and schedules for bus and train service.

4. System Safety Representative - Representing NYCTA’s Office of System Safety, this member provides expertise on and keeps the Project Design Team informed of system-wide safety issues of relevance to the project design.

5. Representative of project’s prospective Construction Manager - As the leader of CPM’s efforts during the construction phase of the project-should the project reach that phase-the Construction Manager:  provides expertise on issues of constructibility and coordinates Constructibility Review; assisted by the Construction Scheduler, develops the construction schedule, project phasing and TA Labor occasions; provides expertise in estimating services required to administer the construction contract (construction phase EFA) and services required to support construction (TA Labor); provides input into and reviews contract documents (drawings and specifications) for award and construction-related issues; and is responsible for providing Special Conditions and Division 1input of the contract-specifications document.

6. Procurement Representative - Representing NYCTA’s Procurement Subdivision, this member provides expertise on the various procurement processes suitable for the project’s construction contract.

7. Environmental Engineering Program Area Representative - As the environmental engineering professional most familiar with work of the Program Area, the Environmental Engineering Program Area Representative provides expertise on environmental impacts, hazardous materials and other environmental issues.  Furnishes technical specifications for hazaardous materials and other environmental concerns as required.

8. Quality Program Area Representative - As the quality assurance/ control/management professional most familiar with all the work of the Program Area, the Quality Program Area Representative provides expertise on quality issues and processes.

9. Estimator - Assigned to the Program Area from Estimating & Cost Control, this member’s primary focus is on developing estimates for construction bid.

10. Design Scheduler - Assigned to the Program Area from Schedule Control, this member’s primary focus is on developing and maintaining the design schedule.

11. Design Architects/Engineers - Assigned to the Project Design Team from Engineering Services Division (ESD) and Signals & Systems, each of these members focuses on technical design work in the engineering/architecture discipline (i.e. architecture, civil/structural engineering, electrical engineering, mechanical engineering, signal engineering, software engineering) of his/her expertise. Each disciplinary delegation is led by an Architectural/Engineering Task Leader.

12. Architectural/Engineering Task Leader - As the leader of his/her disciplinary delegation to the Project Design Team, the Architectural/ Engineering Task Leader’s responsibilities include, but are not limited to:

A. Representing his/her discipline chief on the Project Design Team.

B. Leading the work of his/her discipline's Design Engineers/Architects on the Project Design Team.

C. Coordinating the work of his/her discipline’s Design Engineers/ Architects with other members of the Project Design Team.

D. Promptly seeking guidance on unresolved technical issues and questions from his/her discipline management (e.g. Chief Discipline Engineer/Architect or Principal Engineer/Architect; Chief Software Officer).

13. Capital Planning and Budget Representative - Assigned to the Project Design Team from Capital Planning  and Budget Division.  This member’s primary focus is to monitor the evolving scope of work and its construction cost estimate (including construction phase EFA and TA Labor).

3.2 Preliminary Scope of Work

The Preliminary Scope of Work, first developed in the pre-design phase as part of the Project Master Plan (see PMP 320, Project Master Plan), serves as the starting point for the Project Design Team’s Preliminary Engineering work.  A description of the functional requirements of a proposed project, it is continually updated throughout Preliminary Engineering and becomes the Final Scope of Work at the conclusion of Preliminary Engineering.

3.3 Design Kick-off Meeting

Preliminary Engineering begins with the Design Kick-off Meeting.  The Design Kick-off Meeting is held as soon as possible after issuance of the Preliminary Engineering Willingness to Assume Risk (WAR) Certificate.  This is the Design Manager’s opportunity to introduce the Project Design Team (and appropriate consultant personnel, in the case of consultant design) to major issues relating to the project:  scope, purpose, estimated budget, estimated schedule, and plan for achieving design goals.

3.4 Preliminary Engineering

Preliminary Engineering is the initial design stage of a capital project, culminating in establishment and approval of the Design Solution.  As the stage of the project when the most significant design decisions are made, it is essential that experienced design personnel (i.e. including Principal Engineers and even Chief Discipline Engineers) actively participate in Preliminary Engineering.  It encompasses these activities:  verification of the Sponsor/Users/Maintainers' functional requirements; definition of the project's program (i.e. determining spatial assignments necessary to meet functional and support requirements); conceptual designs; agreement on technical solutions to design problems; constructibility and value-engineering reviews; exploration of innovative contracting methods, design ideas, and construction approaches; preliminary engineering drawings; outline specifications; development of a Preliminary Engineering estimate and schedule.  For projects that include software, see PMG 321, CPM Software Acquisition Process.

The degree to which a project’s design must be carried out in developing a complete Design Solution depends on the type and size of the project.  For some projects, 10% design may suffice and for others 40-50% or more design effort may be necessary.  In all cases, close involvement of Sponsor/User/Maintainer representatives is required.

Since the Design Solution includes the Preliminary Engineering cost estimate and schedule, Preliminary Engineering is the time when the Project Design Team should settle all questions with significant potential to impact project cost and schedule.  Examples of cost-sensitive considerations are:

• constructibility - the representative of the project’s prospective Construction Manager serves on the Project Design Team in part to contribute his/her experience with similar projects, knowledge of various construction methods, and expertise in suggesting possible field conditions to be investigated and/or resolved
• phasing - the Construction Manager, assisted by the Construction Scheduler, serves on the Project Design Team in part to contribute his/her expertise in developing project phasing and in suggesting ways to minimize the need for services required to support construction (TA Labor); User Representatives (including the Operations Planning Representative) and the representative of the project’s prospective Construction Manager should actively participate in the development of the phasing and planning for use of TA Labor services
• presence of hazardous materials - the Environmental Engineering Program Area Representative serves on the Project Design Team in part to contribute his/her experience with similar projects and expertise in suggesting possible field conditions to be investigated
• procurement strategy - the Procurement Representative serves on the Project Design Team largely to contribute his/her expertise in suggesting the best, most cost-effective type of contract to use for the project
• quantities - the accuracy of a cost estimate depends on the completeness of the information provided to the Estimator.  Whenever possible, drawings should specify quantities of required items; when quantities are not shown on drawings, the Project Design Team must provide the Estimator with other guidance on quantities required.

1. Project Plan - Preliminary Engineering begins with the Design Manager leading the Project Design Team in using the Preliminary Scope of Work developed during the Master Plan phase to plan the design effort.  This “project plan” for design should include, but not be limited to:

• Work Breakdown Structure (WBS)
• estimate of type and effort-level of design expertise required
• preliminary drawing list
• preliminary list of questions, issues, and alternatives to be explored during Preliminary Engineering
• preliminary list of site investigations necessary and plan for obtaining TA Labor (e.g. Access & Protection, Flagging) needed to conduct such investigations
• Preliminary Engineering Design Schedule, including timetable for design presentations to interested management parties (e.g. Program Manager, Sponsor/User/Maintainer management) to assure approvals by all relevant NYCTA department/divisions
• preliminary timetable for obtaining all external permits and approvals necessary for constructing the project, i.e. from utilities, private property owners, and Federal, State, and City agencies (see PMG 108, Acquisition of Permits and Approvals)
• identification of non-CPM expertise (e.g. procurement, legal, MTA inter-agency) required for projects with special circumstances.

2. Design Solution - Guided by the Project Plan for Preliminary Engineering, the Design Manager leads the Project Design Team in developing the Design Solution.  The Project Design Team produces a Design Solution review package consisting of:

• Design Solution project report, including conceptual design options and calculations (see DG 105, Design Submissions)
• Final Scope of Work (see PMP 301, Design Management)
• conceptual design sketches/drawings, reflecting the Design Solution
• outline specifications; for projects that include software, see PMG 321, CPM Software Acquisition Process
• project phasing
• estimate of TA Labor occasions
• construction schedule (duration)
• Preliminary Engineering estimate (including bid, EFA, and TA Labor costs).

3.5 Preliminary Engineering Review

The Design Manager holds a formal review meeting for all interested parties (i.e. approvers and/or their representatives) once the Design Solution review package is ready for approval. All substantive discussion should have occurred and all disputed issues settled during the regular working sessions of the Project Design Team.

The Design Solution review package is distributed in advance of the meeting.  The review meeting affords approvers (or their representatives) a final opportunity to ask the Project Design Team questions before approving the Design Solution.  The Design Solution must be approved by:

• the Design Manager
• the project’s prospective Construction Manager
• the Program Manager
• Chief Discipline Engineers/Architect and Chief Software Officer, as appropriate
• heads of all appropriate Sponsor/User/Maintainer department/divisions
• NYCTA's Office of System Safety.

3.6 Final Design

During Final Design, the Design Manager leads the Project Design Team in preparing the Detailed Design, which undergoes at least one review and approval cycle as described below.  Final Design culminates with approval of the Detailed Design.

The Detailed Design review package consists of:

• drawings and specifications required for advertisement, bid, award, and construction of a capital project; for projects that include software, see PMG 321, CPM Software Acquisition Process
• final project phasing, as defined in the drawings and specifications
• final estimate of TA Labor occasions
• final construction schedule (duration)
• final construction cost estimate (including bid, EFA, and TA Labor costs).

3.7 Final Design Review

The Design Manager holds a formal review meeting for all interested parties (i.e. approvers and/or their representatives) once the Detailed Design review package is ready for approval. All substantive discussion should have occurred and all disputed issues settled during the regular working sessions of the Project Design Team.

The Detailed Design review package is distributed in advance of the meeting.  The review meeting affords approvers (or their representatives) a final opportunity to ask the Project Design Team questions before approving the Detailed Design.  The Detailed Design must be approved by:

• the project’s prospective Construction Manager
• the Program Manager
• Chief Discipline Engineers/Architect and Chief Software Officer, as appropriate
• the Code Compliance Manager
• heads of all appropriate Sponsor/User/Maintainer department/divisions
• NYCTA's Office of System Safety
• the Design Manager
• the Deputy Vice President for Engineering Services.

NOTES:

l. The Detailed Design is not considered complete until the contract-  drawing cover sheet has been signed by the Deputy Vice President for Engineering Services.

2. The contract-specifications document must be approved by NYCTA’s Law Department.

3.8 Consultant Design

NYCTA may contract a project’s Preliminary Engineering, Final Design, or its entire design to a design consultant. The Design Manager leads the Project Design Team in close and constant review of all consultant work, as well as administration of the consultant agreement (see PMG 305, Handling Consultant’s and Contractor’s Submissions and Requests).  This review must assure that the consultant produces a quality design, including reliable cost estimates and schedules when required.

In the case of a consultant performing a project’s Preliminary Engineering or its entire design, the Design Manager is responsible for providing a Preliminary Scope of Work thorough enough to form the basis of a meaningful specification for the consultant agreement.  The Design Manager leads the Project Design Team’s oversight of the design consultant in the development of the Preliminary Scope of Work into the Final Scope of Work as part of the Preliminary Engineering stage.  This is in addition to leading the review and administration required for consultant design work in general. 

4.0 REFERENCES

4.1 PMP 206, WAR Certificates

4.2 PMP 301, Design Management

4.3 PMP 316, Value Engineering

4.4 PMP 319, Constructibility Reviews

4.5 PMP 320, Project Master Plan

4.6 PMP 326, CPM Manpower Planning - Engineering Force Account (EFA)

4.7 PMP 327, TA Labor Estimate Preparation

4.8 PMG 108, Acquisition of Permits and Approvals

4.9 PMG 305, Handling Consultant’s and Contractor’s Submissions and Requests

4.10 PMG 321, CPM Software Acquisition Process

4.11 Policy/Instruction 3.11, Development and Implementation of Design Standards

4.l 2 DG 102, Contract Specifications

4.13 DG 105, Design Submissions

4.14 DG 107, Design Drawings

ORGANIZATION OF TYPICAL PROJECT DESIGN TEAM

DESIGN CONTROL

1.0 PURPOSE

To establish and document how the Department of Capital Program Management manages design of capital projects.

2.0 RESPONSIBILITIES

2.1 The Program Manager is responsible for:

1. All project-related work within the jurisdiction of his/her Program Area. Work begins with the pre-design Project Master Plan (see Exhibit 1) and concludes with contract closeout.  It includes all design work, whether performed by in-house staff or by design consultants overseen by in-house staff.  Program Managers are expected to lead their Program Areas in pursuing innovative contracting methods (e.g. bidding techniques, incentive payments), design ideas, and construction approaches (e.g., service shutdowns).

2. Planning the overall design effort in order to achieve goals for contract awards.

3. Negotiating with CPM resource centers (i.e., Engineering Services Division, Estimating & Cost Control, Quality Assurance, Schedule Control, Signals & Systems) for professional/technical staff and specialties such as geotechnical, hydrology, etc., required for the design effort.  Each design staffer is matrixed from resource center to Progran Area for a designated period of time.  During the designated period, the Program Area may change any such staffer’s mix of design project assignments.  Assuring  that CPM resource centers provide any special expertise to implement unusual or special requirements which may arise during the design effort.

4. Preparing a Project Management Plan in accordance with 49CFR Part 633 and submitting it to the Federal Transit Administration, when required to do so by the Senior Vice President & Chief Engineer.

5. Assigning a Design Manager to each project in design.

2.2 The Design Manager is responsible for:

1. Resource planning and management for all aspects of a project’s design, including in-house and consultant design work.  Design work occurs in two stages, Preliminary Engineering and Final Design, and involves selecting among alternative approaches to budget/contract issues as well as technical problems.

A. Assuring that funds are available for the project through the engineering force account (EFA).  An MTA Willingness to Assume Risk (WAR) Certificate must be requested for Preliminary Engineering work.  If the project is accepted for inclusion in the Capital Program (see below, 3.1), a WAR Certificate must be requested for Final Design work.  (See PMP 206, WAR Certificates.)

B. Assembling the Project Design Team from staff matrixed by CPM resource centers to the Program Area. The Design Manager consults with resource-center management to ensure that appropriate professional/technical personnel and specialties, such as geotechnical, hydrology, etc., are assigned to the Project Design Team.  Assures that specialty experts are assigned to the Project Design Team when unusual or special requirements arise during the design effort.  A Project Design Team is assembled for each project in design, regardless of the mix of in-house and consultant design work.

C. Managing the schedule and workload of the Project Design Team to assure production of quality deliverables within the design timetable and EFA budget.  The Design Manager effects implementation of coordination across disciplines through chiefs, principals and task leaders.  As manager of the team, the Design Manager is responsible for compiling and maintaining the Project Design Team membership list (i.e., names, locations, telephone numbers).

2. Managing the Project Design Team in the case of in-house design.  The Design Manager leads the Project Design Team to produce a quality Design Solution and Detailed Design, including reliable cost estimates and schedules.  In the case of entirely in-house design, the Project Design Team performs all work necessary for Preliminary Engineering and Final Design.  During the Preliminary Engineering stage, the Project Design Team first clarifies the project's functional requirements and then develops the design solution.  For projects that include software, see PMG 321, CPM Software Acquisition Process.  During the Final Design stage, the Project Design Team develops drawings and specifications for construction of the project.

3. Giving project presentation to Project Constructibility Advisory Review Board at Preliminary Engineering and/or Final Design for projects if selected by  the Deputy Vice President and Deputy Chief Engineer.

4. Managing the Project Design Team in the case of a consultant performing only Final Design.

A. Leading the Project Design Team to produce a quality Design Solution to be used as the basis for selecting the design consultant.

B. Leading the Project Design Team's review of all work prepared by the design consultant.  This review must assure that the consultant produces a quality Detailed Design, including reliable cost estimates and schedules.

C. Leading the Project Design Team's administration of the design consultant contract.

5. Managing the Project Design Team in the case of consultant design.

A. Leading the Project Design Team's review of all work prepared by the design consultant.  This review must assure that the consultant produces a quality Design Solution and Detailed Design, including reliable cost estimates and schedules.

B. Leading the Project Design Team's administration of the design consultant contract.

6. Assuring that CPM's clients (Sponsor/User/Maintainer department/divisions) are satisfied throughout the design process.

2.3 The CPM resource centers (i.e., Engineering Services Division and Signals & Systems), acting through the Chief Discipline Engineers/Architect and Principal Engineers/Architects and the Chief Software Officer, are responsible for:

1. Staffing the Program Area with qualified Design Engineers/Architects, and specialty experts, including Engineering/Architecture Task Leaders.  These CPM resource centers assist the Design Manager in selecting appropriate technical/professional personnel and specialty experts  for assignment to the Project Design Team.

2. Establishing and updating technical standards and guidelines.

3. Establishing and maintaining disciplinary centers of expertise.  The Chief Discipline Engineers/Architect, their Principal Engineers/Architects, and the Chief Software Officer are available for mentoring and consultation on technical issues.

4. Technical  quality of design performed by staff assigned to a program area.

2.4 Each Engineering/Architecture Task Leader is responsible for:

1. Representing his/her resource-center chief on the Project Design Team.

2. Supervising the work of his/her discipline's Design Engineers/Architects on the Project Design Team.

3. Coordinating the work of his/her discipline’s Design Engineers/ Architects with other members of the Project Design Team.

4. Promptly seeking guidance on unresolved technical issues and questions from his/her resource-center management (i.e. Chief Discipline Engineer/Architect or Principal Engineer/Architect; Chief Software Officer; etc.).

2.5 Under the direction of the Design Manager, the Project Design Team is responsible for:

1. Planning the design effort.

2. Obtaining all external permits and approvals necessary, i.e. from utilities, private property owners, and Federal, State, and City agencies (see PMG 108, Acquisition of Permits and Approvals).  Obtaining all NYCTA approvals required (see below, 3.1 and 3.2).

3. Producing quality deliverables in each stage of design (Design Solution in Preliminary Engineering and Detailed Design in Final Design. Methods used for accomplishing these tasks include, but are not limited to:

• conducting site investigations
• holding working sessions
• soliciting and responding to comments from all interested parties and documenting closure of comments.
• conducting technical, value-engineering, and constructability/phasing reviews
• bringing issues of significant capital and/or operating cost impact to the attention of the Chief Budget Officer, Capital Program
• bringing issues beyond the ability of the Project Design Team to resolve to the attention of appropriate management within CPM, NYCTA, or the MTA.

In addition to Design Engineers/Architects, the Project Design Team includes representatives of:

• Sponsor/User/Maintainer department/divisions
• the project's prospective Construction Manager (Resident Engineer)
• Environmental Engineering
• Estimating & Cost Control
• Quality Assurance
• Schedule Control
• Capital Planning and Budget
• NYCTA's Office of System Safety
• NYCTA's Procurement Subdivision.

Attendance/participation of all project design team functional representatives is not mandatory during all steps of the design process. The Design Manager will assure that the appropriate representatives attend meetings and/or participate in the design processes that affect their respective departments/divisions.

Once the Project Design Team is assembled, the Design Manager compiles and maintains a  membership list as part of the project file.

3.0 DESIGN PROCESS

3.1 Preliminary Engineering

Preliminary Engineering is the initial design stage of a capital project, culminating in establishment and approval of the Design Solution.  It encompasses these activities:  verification of the Sponsor/Users/Maintainers' functional requirements; definition of the project's program (i.e. determining spatial assignments necessary to meet functional and support requirements); conceptual designs; agreement on technical solutions to design problems; constructability and value-engineering reviews; exploration of innovative contracting methods, design ideas, and construction approaches; preliminary engineering drawings; outline specifications; for projects that include software, System Requirements Specification; development of a preliminary engineering cost estimate and schedule.

The starting point for Preliminary Engineering is the Preliminary Scope of Work.  This document is a non-technical functional description that:  defines the project and its product for Sponsor/Users/Maintainers, the MTA, and the public; serves as the basis for design planning and verification; and yields an estimate useable for capital budgeting purposes.

The Preliminary Scope of Work is updated throughout Preliminary Engineering to reflect CPM-Sponsor/User/Maintainer understanding of project requirements. If the Scope of Work changes during Preliminary Engineering, the new Scope of Work must be approved by:

• the Design Manager
• the Program Manager
• the Chief Budget Officer, Capital Program
• heads of all appropriate Sponsor/User/Maintainer department/divisions.
• The scope of work is considered final at the conclusion of Preliminary Engineering.  The Final Scope of Work is one element of the Design Solution and is included in the Design Solution review package.
• The Design Solution review package consists of:
• Design Solution project report, including conceptual design options. (see DG 105, Design Submissions)
• Final Scope of Work
• preliminary engineering drawings, reflecting the Design Solution
• outline specifications; for projects that include software, System Requirements Specification.
• project phasing
• estimate of TA Labor occasions
• construction schedule (duration)
• preliminary engineering cost estimate (including bid, EFA, and TA Labor costs).
• A quality Design Solution is consistent with:
• Sponsor/User/Maintainer requirements
• NYCTA design and maintenance guidelines
• cost and scheduling constraints
• NYCTA and industry technical standards
• Federal, State, City, and utility codes, regulations, and/or requirements.
• The Design Solution must be approved by:
• the Design Manager
• the project’s prospective Construction Manager
• the Program Manager
• Chief Discipline Engineers/Architect and Chief Software Officer, as appropriate
• heads of all appropriate Sponsor/User/Maintainer department/divisions
• NYCTA's Office of System Safety.

Only a project whose Design Solution review package has been approved can become a candidate for inclusion in the Capital Program.  However, approval of the Design Solution does not guarantee the project's inclusion.

3.2 Final Design

Projects accepted for inclusion in the Capital Program enter the Final Design stage.  During Final Design the Project Design Team prepares the Detailed Design, which undergoes at least one review and approval cycle as described below.  Final Design culminates with approval of the Detailed Design.

The Detailed Design review package consists of:

• drawings and specifications required for advertisement, bid, award, and construction of a capital project; for projects that include software: System Requirements Specification; System and Software Requirements Documents; Independent Verification and Validation Plan; Configuration Management Plan; Risk Assessment; Support Plan; Development Acceptance Test Master Plan; User Acceptance Test Master Plan.
• final project phasing, as defined in the drawings and specifications
• final estimate of TA Labor occasions
• final construction schedule (duration)
• final construction cost estimate (including bid, EFA, and TA Labor costs).

A quality Detailed Design is consistent with the Design Solution.  Changes to the Design Solution are permissible only if carefully evaluated and recommended by the Project Design Team and approved by the Program Manager.

The Detailed Design must be approved by:

• the project’s prospective Construction Manager
• the Program Manager
• Chief Discipline Engineers/Architect and Chief Software Officer, as appropriate
• the Code Compliance Manager
• heads of all appropriate Sponsor/User/Maintainer department/divisions
• NYCTA's Office of System Safety
• the Design Manager
• the Deputy Vice President for Engineering Services.

NOTES:
1. The Detailed Design is not considered complete until the contract -drawing cover sheet has been signed by the Deputy Vice President for Engineering Services.
2. NYCTA's Law Department will review the contract-specifications document and provide presumptive approval to advertise the contract.

3.3 ADDENDA

Addenda to the contract may be required to clarify the questions from the bidders on the Detailed Design during the bid stage as determined by the Design Manager.  Such change, if  it is major in the opinion of the Design Manager, shall be approved by the Program Manager.

4.0 REFERENCES

4.1 PMP 206, WAR Certificates

4.2 PMP 316, Value Engineering

4.3 PMP 319, Constructability Reviews

4.4 PMP 320, Project Master Plan

4.5 PMP 326, CPM Manpower Planning - Engineering Force Account (EFA)

4.6 PMP 327, TA Labor Estimate Preparation

4.7 PMG 321, CPM Software Acquisition Process

4.8 PMG 108, Acquisition of Permits and Approvals

4.9 PMG 301, Design Management

4.10 PMG 305, Handling Consultant’s and Contractor’s Submissions and Requests

4.11 Policy/Instruction 3.11, Development and Implementation of Design Standards

4.12 DG 102, Contract Specifications

4.13 DG 105, Design Submissions

4.14 DG 107, Design Drawings

4.15 DG 103 Design Calculations

4.16 PMP 109 Consultant Contract Changes

DESIGN AND CONSTRUCTION PHASES

ELEMENT 4: DOCUMENT CONTROL

From the Chicago Transit Authority, Capital Improvement Program, Quality Assurance Manual

Section 4

QUALITY PROGRAM ELEMENTS

4.4 Document Control

Procedures shall be established and maintained for control of project documents and data.  Document control measures shall ensure that all relevant documents are current and available to all users.

Control of project documents shall include the review of documents by authorized personnel, distribution and storage of those documents, elimination of obsolete documents, and control of changes to the documents.  Whenever possible, changes to controlled documents and data shall be reviewed by the same authorized personnel who reviewed and approved the original documents.

Any superseded documents retained for the record shall be clearly identified as such.

Section 5

CIP PROJECT LIFE-CYCLE PHASES

5.4 Construction Phase

The following subsections describe the quality assurance activities usually associated with the construction phase of capital project.

Documentation relating to all project activity is prepared and maintained by the consultant and/or Construction Administration.  Such documentation provides an accurate and current account of all project activities and information which contributes to the understanding of the project.  Records are reviewed by appropriate personnel to assure that quality standards are maintained.  Procedures for documentation and record maintenance include the following areas:

• Quality records
• Purchasing records
• Contract specifications and drawings
• Change orders, bulletins, proceed orders, requests for information
• Technical reports (e.g., soils, concrete, environmental reports)
• Photographs
• Daily logs
• Shop logs
• Field sketches and working drawings
• As-built drawings
• Schedules
• Material acceptance records
• Contract waiver reports
• Test, inspection, and acceptance records
• Noncompliance records
• Deviation and nonconformance reports
• Warranties and guarantees

These and other records relating to contractual, cost, technical, and quality assurance aspects of a project are filed and archived according to procedures which provide accessibility, long-term availability, and review for compliance with contractual obligations.

ELEMENT 5: PURCHASING

From the Chicago Transit Authority, Capital Improvement Program, Quality Assurance Manual

Section 4

QUALITY PROGRAM ELEMENTS

4.5 Purchasing

Procedures shall be established and maintained to ensure that purchased services or products conform to specified requirements.  Purchasing requirements shall apply to all contractors and suppliers, including consultants, construction contractors, and manufacturers.  The quality requirements placed on the supplier or contractor shall depend upon the nature of the service or product.

The contract or purchasing requirements shall clearly specify the expectations of the purchaser, including relevant standards; drawings; specifications; process requirements; inspection instructions; and approval criteria for materials, processes, and product.  The purchasing documents shall be reviewed and approved by a designated authority for adequacy of specified requirements prior to release.

Section 5

CIP PROJECT LIFE-CYCLE PHASES

5.3 Procurement Phase

The following subsections describe the quality assurance activities usually associated with the procurement phase of a capital project.

5.3.1 Procurement Responsibility

The Purchasing Department has exclusive responsibility for the procurement activities of the capital program.  These activities include, but are not limited to, the following:

• Consultant services for design, construction management, testing, and survey
• Contractor services for construction of new facilities and equipment or maintenance/renewal of existing ones
• Procurement of vehicles and equipment, including buses, rapid transit cars, associated capital maintenance items, non-revenue vehicles, office automation equipment, communications equipment, and miscellaneous equipment
• Real estate acquisition
• Material
• Legal/professional services

5.3.2 Procedural Requirements

The procurement activities of the Authority are subject to, but not limited to, the following documents established by Materials and Information Management:

Regulations Governing Purchasing and Sales Transactions Manual ­ This manual sets forth the standards used for processing third-party contracts.  The manual describes the activities required, whether sealed bid or negotiated contracts, and designated requirements based on the dollar value of the contract and funding sources.

Contract Procedures Manual ­ This manual applies to capital contracts having a value of $10,000 or more.  This manual covers engineering and construction contracts; the purchase of vehicles, rapid transit cars, buses, and associated capital maintenance items; office automation equipment; communications equipment; and various other types of equipment.

Administrative Procedure (AP) 145 ­ This procedure applies to the procurement of architectural and engineering services.  This qualifications-based process is initiated by a request for Letters of Interest and Qualification (LIQ).  Responses to the LIQ are received from architectural and engineering firms interested in providing professional services for the project identified in the solicitation.

Administrative Procedure (AP) 146 ­ This procedure applies to the procurement of professional services other than from architectural or engineering firms.  The Request for Proposal (RFP) process is detailed in this procedure, including advertisement requirements and RFP response procedures.

Administrative Procedure (AP) 202 ­ This procedure is followed when the acquisition of real estate is required for the operation/expansion of Authority facilities.

5.3.3 Procurement Quality Control

The Quality Assurance Department in Materials and Information Management is divided into the following areas of responsibility:

Quality Inspection ­ Inspects purchased parts and materials to verify conformance to specified criteria.  Tracks and evaluates vendor quality history and works with other departmental areas to improve vendor quality performance.  Quality Inspection is also responsible for performing value analysis studies of materials and parts furnished from sole-source vendors and for interfacing with vendors, Purchasing, and using departments on matters relating to the quality of purchased parts and materials.

Document Management ­ Ensures that contract documents are properly prepared and tracked during each phase of contract processing.  Additionally, this group maintains records of contract information including DBE requirements, insurance requirements, Buy America requirements, and funding agency correspondence.  The group also maintains contract files, informational sources, micrographics, and the records center.

Vendor Performance ­ Primarily responsible for follow-up work of various types of vendor liaison activity, such as keeping control over all unfilled orders and releases in order to ensure the delivery of adequate supplies and services.  Additionally, this group follows through for performance and tracks expediting and delivery compliance, vendor applications, and DBE data.

Specification Engineering ­ Responsible for establishing a level of quality for materials, supplies, equipment, and/or services required by the Authority.  The exception to this is items designed and specified by the Bus Engineering and Technical Services Department and Engineering.

Contract Administration ­ Responsible for post-award contract administration.  Duties include auditing of invoices for both capital and operating purchase requisitions and negotiating adjustments with vendors as necessary; administering and processing contract change orders and evaluating change order request for compliance to regulatory requirements; directing the administration of contract close-out; and notifying appropriate personnel regarding status of remaining funds.

The Bus Engineering and Technical Services Department performs inspection and test services for new and rebuilt buses, non-revenue vehicles, shop equipment, replacement parts, and maintenance supplies.  Additionally, this unit develops standard procedures to document work practices, implements these standards, and seeks alternate sources for materials to reduce costs.

In relation to new bus purchases, quality inspections begin with the sub-supplier component products.  The component designs and quality of manufacture are inspected and evaluated.  Depending on the size of the order being purchased, a prototype, pilot vehicle, or similar vehicle is inspected.  A systematic and detailed inspection of the vehicle is conducted using established procedures.  During production, on-line inspections are performed.  It is to be noted, however, that the manufacturer is primarily responsible for vehicle quality control.  Inspections by Authority staff are performed to oversee and monitor the manufacturer's quality control program, workmanship, and specification compliance.  After delivery, in-house inspections are conducted to ensure quality and compliance prior to vehicle acceptance.

The Rail Engineering and Technical Services Department performs quality inspections of new and rehabilitated rail cars, including subsystems and components, to ensure compliance with specifications and other criteria.  These inspections monitor and evaluate the overall quality of repair, servicing, and maintenance work performed by outside contractors, Rail Vehicle Heavy Maintenance, and Terminal Maintenance personnel.  These inspections independently assess, evaluate, and report the level of compliance with operational requirements of the maintenance program, manuals, services bulletins, practices, and procedures.

ELEMENT 6: PRODUCT IDENTIFICATION AND TRACEABILITY

From the Washington Metropolitan Transit Authority, 5000 Series Procurement Program, Quality Assurance Plan.

6.0 Product Identification And Traceability

6.1 Purpose

This section establishes the 5000 Series Procurement Program approach to fulfilling the requirements set forth in Element 6, “Product Identification and Traceability”, of the Federal Transit Administrations Guidelines for Quality Assurance and Quality Control.

The purpose of product identification and traceability is to ensure the control of materials, parts, components, equipment, and products, and the identification and traceability of these materials to prevent the use of incorrect or defective items.  They must also ensure that only correct and acceptable items are used or installed.

6.2 Scope

These requirements apply to all materials, parts, components, equipment, and products, including partially fabricated or assembled components, produced for incorporation into the project.

6.3 Policy 

It is the policy of the Authority that all procurement specifications and associated items will, as applicable, contain requirements for control of materials, i.e., product identification and traceability.  Each Contractor and supplier will be required to establish quality control procedures to assure proper control of the identification and traceability process.

6.4 Responsibilities

The Contractor (the car builder) and all subcontractors and suppliers [through the Contractor], are responsible for establishing and maintaining such controls as necessary to assure that improper materials are not built into or installed in the vehicles.  

The Authority, with the assistance of the EC, will conduct such audits and oversight of the Contractor, subcontractors, and suppliers as necessary to maintain a reasonable assurance that the Contractor/subcontractor/supplier processes are maintained and effectively carried out on a continuing basis.

The Authority’s PM will ensure that requirements for control of products and identification and traceability are contained in the contract documents and procurement specifications, and for monitoring Contractor’s, subcontractor’s, or supplier’s procedures.

The Authority and its EC will perform periodic audits of material control, product identification, and traceability records from the Contractor, subcontractor, and supplier.

6.5 Responsibilities

The requirements for maintaining effective material identification and traceability controls have been included in the prime contract and require the Contractor to impose similar requirements on its subcontractors and suppliers.  Authority review of subcontract documents verified the pass-through of the requirements to the subcontractors.  The Authority will conduct periodic audits at the Contractor’s facility and at major subcontractor facilities to ensure that:

6.5.1 Purchased parts are identified, by positive markings and/or certifications receipt inspections with segregated storage containing identification data for controlled issue, and checked when received;

6.5.2 Procedures exist and are in effect to assure that proper materials are drawn and installed in accordance with the approved design, including oversight by the manufacturer’s Quality Assurance staff;

6.5.3 Parts/materials that are received without satisfactory identification, that have lost that identification in process, or that are otherwise untraceable are segregated and not used unless re-identified/re-certified under the aegis of the QA staff; and

6.5.4 Traceability of manufactured items is maintained through unique serialization to the minimum requirements of the contract specification for ultimate entry into the Car History Books.

The EC will establish audit criteria for reviewing the effectivity of material identification and traceability as part of the overall Quality Assurance audit program.

ELEMENT 7: PROCESS CONTROL

From the New York City Transit Authority, Department of Capital Program Management, Quality Management System Manual.

Section 4

PROCESS CONTROL

4.1 Quality Objective

Construction processes shall be performed in a controlled manner and logical sequence by qualified personnel using established procedures to meet industry and contractual requirements.

4.2 Process Control

This section establishes requirements and control of the construction processes such as, but not limited to, paving, concrete placement, electrical and mechanical system installation, trade work, structural steel erection, structural rehabilitation, and special processes, like welding, bolting, galvanizing, non-destructive and destructive testing.

4.3 Management of Construction Process

4.3.1 Quality of the constructed facility is the combined responsibility of the construction Contractor and NYCT.  The mutual objective is an end product conforming to contract quality requirements and fit for NYCT use.  The contract documents include requirements for a Contractor’s Quality Program.  The Program Manager implements control activities which assure that the contract requirements are met.

4.3.2 Contractor Responsibility

4.3.2.1 To assure compliance with contract provisions, plans and specifications, contractors are responsible for all of the activities required to manage, control and document their work.  The contractor must assign a properly trained and qualified construction management team to the project.  The team shall have sufficient management resources and ability and the necessary support staff to assure NYCT that this project will be properly coordinated and managed and will be completed on schedule.

The contractor team member requirements vary from contract to contract and are established when the specification is being developed.  At a minimum, each project will require a full-time or part-time Project Manager, a designated full-time Safety Engineer and /or Safety Supervisor, and a Quality Manager or full-time Quality Engineer, depending on the dollar value of the contract and the type of work being performed.

4.3.2.2 Contractor’s Quality Program

The Contractor is responsible for establishing, implementing and maintaining a Quality Program to manage, control, document and assure that the work complies with the requirements of the contract documents.  The program shall be in accordance with Section 1J of the Contract Specifications.

The Quality Program shall consist of plans, procedures, work instructions and the organization necessary to perform inspections and assure adequate control of the quality of materials, equipment, workmanship, fabrication, installation and operations covering both onsite and offsite work by the contractor, including its subcontractors, suppliers, technical laboratories and consultants.

4.3.3 CPM Program Management

The department has established a program management organization which provides for qualified, trained individuals to assure that all construction materials, methods, workmanship and end products meet the technical and quality requirements of the contract.

Departmental procedures and guidelines provide for and prescribe source and field inspection activities, cost and schedule control, interface with user (accepting) departments, document preparation, submittal and review of “as built” drawings and manuals, processing of contract changes, document filing and retention, evaluation of contractor performance and contract closeout and acceptance.  Collectively, these procedures and guidelines document that the quality of work is consistent with project objectives and use.

ELEMENT 8: INSPECTION AND TESTING

From the Washington Metropolitan Transit Authority, 5000 Series Procurement Program, Quality Assurance Plan.

8.0 Inspection and Testing

8.1 Purpose

This section establishes the 5000 Series Procurement Program approach to fulfilling the requirements set forth in  Element 8, “Inspection and Testing”, of the Federal Transit Administration’s Guidelines for Quality Assurance and Quality Control.  It addresses the planning and controlling of inspection and test activities to assure contractor compliance with the established design criteria and contract requirements.

8.2 Scope

The inspection and testing requirements outlined herein apply to the design, procurement, manufacture, installation, testing, and acceptance of the 5000 Series rail cars, the systems, equipment, and materials installed thereon, as well as to the spare parts, technical documentation, and training procured as part of the base contract. 

8.3 Policy

Activities affecting quality are to be inspected and documented by experienced personnel who are independent of those performing the work.  Inspections and tests will be performed in accordance with approved documents to determine that items meet the established requirements. 

Requirements for Contractor and subcontractor inspection and testing programs, identification of responsibilities, and qualification for inspection and testing personnel are set forth in the Contract and Specifications. 

8.4 Responsibilities

In accordance with contract documents, the Contractor will submit a written Quality Plan, containing plans for inspection and testing which is under its control.  Inspection and testing plans will include specific descriptions, procedures, frequency, criteria for acceptance or rejection, and requirements for records and documentation.

The Authority will provide oversight for this Element of the Quality Assurance Plan.  Quality Control Plans and procedures are reviewed by Program Office representatives, including the EC, for compliance with the contract requirements.  In addition, the EC will oversee the execution of the Contractor’s quality assurance functions by audit, on-site observation, and independent inspections and witnessing of tests performed by the Contractor. 

The EC will provide on-site quality control inspection services and personnel at the Contractor’s facilities to ensure compliance with the contract specification for tests and inspection and the approved QA program plan.  The EC will perform surveillance and periodic audits of inspection and test records of the Contractor and (at least) the major subcontractors. 

8.5 Audit of Inspection Practices

The EC will conduct initial audits and such additional periodic audits as indicated necessary based on observed results of the Contractor’s general inspection procedures in accordance with the following guidelines:

8.5.1 Incoming/Receipt Inspections:

All purchased items received should be subjected to incoming inspections to ensure that only approved materials, equipment and supplies are delivered to the project site, and that such Certificates of Compliance attesting to the quality of material, equipment, and supplies as may be required by contract, purchase order, or standard practice are present.  On-site inspector representatives maintain surveillance over the Contractors receipt inspection performance.

8.5.2 Source Inspections:

The Contractor’s Quality Assurance Departments determine when source inspection at supplier/subcontractor plant(s) is required.  Such determinations are normally based on complexity of the subcontracted items, economic benefit, assessment of the subcontractor’s QA program, and results of receipt inspections.  This activity is subjected to periodic audit by the EC.

8.5.3 First Article Inspections (FAI):

First Article Inspections are conducted on the first production unit of all major components/systems, prior to its delivery to ensure compliance with contract requirements, including engineering tests and physical examinations.  The FAIs provide opportunities for the inspection team to observe and assess the vendor’s manufacturing and quality control processes.  Program office staff, along with the EC, routinely attends FAIs of all major/complex equipment. 

8.5.4 In-Process Inspections:

In-Process Inspection is essential to all manufacturing and assembly operations and is the prime responsibility of the Contractor.  Authority

staff and/or the EC conduct routine inspections at the Contractor’s plants for the purpose of observing the Contractor’s inspection performance and establishing the acceptability of products to be delivered for acceptance. 

8.5.5 Final Acceptance Inspection:

When the Contractor(s) believes that a given feature, segment, or end product is completed and ready for acceptance, they notify the Authority that work is complete and ready for acceptance.  The Authority and/or the consultant’s inspection teams make a final inspection to verify that all required work has been completed and that the presented work/product is compliant with the specification. Any items noted to be deficient will be identified on a punchlist and submitted to the Contractor for rework or completion.  When the Contractor believes the punchlist items have been resolved the “Acceptance Inspection” process will be repeated.

8.6 Testing Procedures

The general testing procedures to be followed shall include:

8.6.1 Material testing shall be conducted to verify that materials proposed for use are in compliance with the contact requirements.  It is the responsibility of the Contractor to perform or have performed all required tests (by approved testing laboratories if required) and to provide certified test results as required by contract.

8.6.2 In-place control and validation testing of materials shall be performed if necessary to verify that such materials conform to those previously approved through testing as described above and that they have been installed properly in accordance with the contract documents.

8.6.3 Functional testing of each system will be conducted to demonstrate satisfactory operation prior to acceptance.

8.6.4 Qualification tests are conducted as part of design development on individual systems and/or components of major complexity and operational significance. These tests are generally conducted at the Contractor’s plant or at subcontractor laboratory facilities.  Vehicle qualification tests are conducted on the pilot married pair of cars upon  delivery of the Authority.  The Authority and the EC witness all major qualification tests.  The minimum test requirements are identified in the 5000 Series Specification.

8.6.5 Acceptance tests are conducted at subcontractor factories, primarily for the benefit of the Contractor to prevent the installation of defective equipment or materials.  Vehicle and vehicle system acceptance tests are generally conducted on a married-pair basis upon delivery to the Authority.  The Contractor is responsible for conducting the tests and demonstrating that the cars are in acceptable condition.  The Authority, with the assistance of the Engineering Consultant, observes the tests demonstrated, reviews the results, and approves their acceptability as applicable. 

8.7 Material Handling & Storage

Incoming materials supplied by subcontractors are inspected on receipt by the Contractor’s Quality Assurance staff for damage, completeness, and compliance.  Supporting documentation is verified to ensure material is handled and stored in accordance with the Contractor’s/supplier’s normal storage and handling procedures including the secure segregation of non-conforming items.  Storage conditions of materials and equipment pending use or installation are periodically verified adequate to prevent unacceptable deterioration from improper exposure.  Authority on-site inspectors observe, audit, and spot check the Contractor’s performance in this function.

ELEMENT 9: INSPECTION, MEASURING AND TEST EQUIPMENT

From the Washington Metropolitan Transit Authority, 5000 Series Procurement Program, Quality Assurance Plan.

9.0 Inspection, Measuring and Test Equipment

9.1 Purpose

This section establishes the 5000 Series Procurement Program approach to fulfilling the requirements set forth in Element 9, “Inspection, Measuring and Test Equipment”, of the Federal Transit Administration’s Guidelines for Quality Assurance and Quality Control. It describes the responsibilities and procedures for controlling quality of equipment used in inspection, sampling, measuring and testing.

9.2 Scope

These requirements apply to all inspection, sampling, measuring, and testing equipment used from initial qualification through final acceptance testing to determining the quality of materials, parts, components, and equipment which are fabricated into and/or installed on the 5000 Series rail cars.

9.3 Policy

All equipment used in quality control work will be identified, calibrated, and maintained in proper working order. Provisions will be made for periodic re-calibration. Such equipment must meet the standards of accuracy for the measurements and tests required.

9.4 Responsibilities

The Program Office, with the support of the EC, will provide oversight for this Element of the Quality Assurance Plan. The EC’s inspection staff, on site at the car builder’s factory, at the car assembly plant, and at the Authority’s facilities, will periodically check to ensure measuring and test equipment are properly calibrated. It is the responsibility of the Contractor’s and its subcontractor’s Quality Assurance Personnel to verify that only calibrated or verified accurate measuring and test equipment are utilized on this project. Through on-site observation and periodic formal audits, the EC ensures that the Contractor carries out his responsibilities on a continuing basis.

The Authority, in company with the EC, performs surveillance and periodic audits of the Contractor’s and its subcontractor’s records to verify that all measuring of test equipment are being controlled in accordance with the written procedures.

The general procedures to be followed for controlling the quality of measuring and test equipment include:

9.5.1 All test procedures must include requirements for using currently calibrated test and measuring devices. Contractors and suppliers must provide or be prepared to provide calibration documents at the time of each test witnessed by the Authority and/or the EC’s staff.

9.5.2 Instruments must be verified with calibration standards traceable to the National Institute of Standards and Technology (NIST) or an approved equivalent.

9.5.3 Each instrument is identified by a serial number and a calibration sticker to indicate the date of the last calibration and the date due calibration.

9.5.4 The calibration and verification history for each instrument is kept on file by the Contractor’s or supplier’s QA Department and is available upon request.

9.5.5 Instruments found to be out of calibration are identified as defective and segregated.

9.5.6 If an instrument is found to be out of calibration during the inspection process, all characteristics measured with such instrument shall be re-verified.

9.5.7 The environmental conditions as well as the handling, preservation and storage of instrumentation must be controlled when calibrations, inspections, measurements, and tests are being carried out.

9.5.8 The calibration program includes periodic re-calibration of test instruments using a documented recall process and calibration intervals.

9.5.9 All WMATA and EC staff witnessing tests routinely observe calibration stickers and records at the time of testing to ensure test instruments overdue calibration are not used for inspections.

ELEMENT 10: INSPECTION AND TEST STATUS

From the Washington Metropolitan Transit Authority, 5000 Series Procurement Program, Quality Assurance Plan.

10.0 Inspection and Test Status

10.1 Purpose

This section establishes the 5000 Series Procurement Program approach to fulfilling the requirements set forth in Element 10, “Inspection and Test Status”, of the Federal Transit Administration’s Guidelines for Quality Assurance and Quality Control.

10.2 Scope

These requirements apply to all inspections and tests of materials, parts, components, and equipment that are fabricated into and/or installed on the 5000 Series rail cars.

10.3 Policy

Appropriate control procedures are to be established and adhered to for identifying the full scope of necessary testing and inspection and adequately monitoring the inspection and test status of work during production and installation to ensure that only work, materials, and equipment which passed the required inspections and tests are incorporated into the end product.

10.4 Responsibilities

The Program Office, with the support of the EC, provides oversight for this quality requirement.  This responsibility includes ensuring that the Contractor and its subcontractors establish appropriate quality controls and quality assurance procedures for inspection and test of the work to assure that all materials and equipment are subjected to the required and proper quality checks prior to acceptance by the Authority.

10.5 Procedures

10.5.1 In accordance with the 5000 Series procurement contract specification, the Contractor’s procedures for Inspection and Testing Status are submitted to the Authority for review and approval. 

Additionally, the Contractor is required to submit test and inspection program plans covering design development/system and equipment qualification tests, factory acceptance tests, and vehicle qualification and acceptance test programs. The minimum required submittals are established in the Contract Specification and listed in the contract data requirements list (CDRL).  The Authority exercises approval rights over these plans and procedures.

10.5.2 Inspection and Test Status for Manufactured Products

10.5.2.1 The Contractor’s, and its subcontractor’s, Quality Assurance Department is primarily responsible for determining the inspection status of an item.  The EC’s QC Personnel, acting as on-site representatives of the Authority, verify the inspection status.

10.5.2.2 The inspection status is signed by tagging the items and/or by the inspection and/or test reports.

10.5.2.3 Status indicators must be used to identify the company and the inspector.

10.5.2.4 Acceptance of finished parts is signified by an acceptance tag.

10.5.2.5 The Authority, with the assistance of the EC, observes all design development and qualification tests, exercises audit control over critical factory acceptance tests, and maintains accurate historic records of all vehicle qualification and performance acceptance tests and inspections. 

ELEMENT 11: NONCONFORMANCE

From the Chicago Transit Authority, Capital Improvement Program, Quality Assurance Manual.

See Element 12, Corrective Action, for a copy of CTA Project Management Procedure, PMP-6009, Nonconformance Reports and Corrective Action.

Section 4

QUALITY PROGRAM ELEMENTS

4.11 Nonconformance

Procedures shall be established and maintained to control nonconforming work to preclude its inadvertent use or installation.  This control shall provide for identification, documentation, evaluation, segregation (where practical), disposition of nonconforming product, and notification to the functions involved.

The review responsibility and authority for the disposition of nonconforming work shall be defined in documented procedures.  Disposition of nonconforming work shall be documented.

Repaired and/or reworked product shall be reinspected in accordance with documented procedures.  A determination to accept nonconforming work as is or with repair shall have the concurrence of the engineer of record.

Section 5

CIP PROJECT LIFE-CYCLE PHASES

5.4 Construction Phase

The following subsections describe the quality assurance activities usually associated with the construction phase of the capital project.

5.4.7 Nonconformance

Workmanship, processes, materials, procedures, or an end product that does not meet the quality requirements is immediately noted and identified for corrective action.  The contractor is notified of nonconforming contract obligations and after receipt of such notice, must immediately take corrective action in accordance with the Authority's procedures and the contractor's quality plan.  If the noncompliance is significant and/or it is not resolved in a timely manner, further action will be taken, up to and including the issuance of a stop work order.

Procedures provide remedies for deviations from contract requirements as long as functional, cost, and quality standards are not compromised.  Items which require repair or replacement are reinspected and must meet original specifications unless otherwise approved in accordance with Authority procedures.

ELEMENT 12: CORRECTIVE ACTION

From the Chicago Transit Authority, Capital Improvement Program, Quality Assurance Manual; including Project Management Procedure, PMP-6009, Nonconformance Reports and Corrective Action.

Section 4

QUALITY PROGRAM ELEMENTS

4.12 Corrective Action

Corrective action procedures shall be established and maintained. These shall include procedures for investigating the cause of nonconforming work and taking corrective actions to prevent recurrence, analyzing processes to detect and eliminate potential causes of nonconforming work, initiating preventive actions to deal with problems to a level corresponding to the risks encountered, ensuring that corrective actions are implemented and evaluating their effectiveness, and implementing and recording changes in procedures resulting from corrective action.

NONCONFORMANCE REPORTS AND CORRECTIVE ACTION

The above-named procedure is hereby approved:

_______________________________________

Manager, Quality Assurance  Date

_______________________________________

Vice President, Engineering Date

_______________________________________

Vice President, Maintenance Date

1.0 PURPOSE

1.1 The purpose of this procedure is to describe the methods for reporting and controlling nonconforming items from the point of identification through corrective action and verification.

2.0 SCOPE

2.1 This procedure applies to activities performed under CTA's Capital Improvement Program (CIP), including force account capital construction.

3.0 REFERENCES

3.1 Chicago Transit Authority, Capital Improvement Program Quality Assurance Manual

3.2 FTA-MA-06-0189-92-1, dated March 1992, United States Department of Transportation, Federal Transit Administration, Quality Assurance and Quality Control Guidelines

3.3 PMP-6002, Quality Records - Quality Assurance Department

3.4 PMP-6004, Quality Assurance Surveillance

4.0 DEFINITIONS

4.1 Disposition - A statement describing the manner in which a deficiency or nonconformance is to be resolved.  Nonconforming items or activities shall be dispositioned in one of the following ways:

Accept-As-Is - Allows the use of an item that does not meet all requirements when it is determined by engineering evaluation that the item will satisfy its intended use.  It is the same as "Use-As-Is."

Reject - The item is unsuitable for its intended purpose and economically or physically incapable of being reworked or repaired.

Repair - Work required which will result in making an item acceptable for its intended use, as determined by an engineering evaluation, even though it is not restored to a condition which meets all specification requirements.

Rework - The deficiency can be brought into conformance with all specification requirements through remachining, reassembling, reprocessing, reinstallation, or completion of the required operations.

4.2 Engineer of Record - For the purpose of this procedure, the engineer responsible for performing an engineering evaluation of the proposed disposition for a nonconforming condition.  This individual may be a member of the consultant's organization, the CTA Project Manager, or an engineer assigned by the Project Manager.

4.3 Nonconformance - The non-fulfillment of specified requirements which affects form, fit, or function and which renders the quality of an item unacceptable or indeterminate in regard to meeting all relevant project requirements.

4.4 Oversight - Comprehensive monitoring and examining for effectiveness any activities or processes affecting quality.

4.5 Stop Work Order (SWO) - Notification that a nonconforming item or condition is of such significance that affected activities may not continue until corrective action is accomplished and resumption of work is approved in writing.  The scope of the SWO shall be clearly defined.  When an SWO is issued, all affected work shall be halted until the SWO is closed.  Work may continue on activities not affected by the SWO.

4.6 Surveillance - Act of monitoring or observing to verify whether an item or activity conforms to specified requirements.

5.0 PROCEDURE

5.1 General

5.1.1 Nonconformances identified during the performance of surveillances by the Quality Assurance Department or other quality oversight activities shall be documented on a Nonconformance Report (NCR) (see attached Form 6009.01 and Form 6009.03).  Instructions for completing the form are given in  Exhibit A.

5.1.2 The individual responsible for CTA construction oversight activities on a project shall be responsible for implementing control of nonconforming items through the use of NCRs in accordance with this procedure.  That individual may be either a CTA employee or a consultant.

5.1.3 Nonconforming items shall be segregated or otherwise labeled and controlled to prevent their inadvertent use or installation.

5.1.4 Each NCR shall be identified by a unique, sequential number in the format YY-NNN where YY designates the year of issue and NNN is a sequential number.  The sequential number shall increment from year to year, identifying the total number of NCRs generated.  It shall not return to "001" at the start of each new calendar year.

5.1.5 NCRs shall be logged in a Nonconformance Report Log (see attached Form 6009.02) or a similar computerized log maintained by the Manager, Quality Assurance.  The originator of an NCR shall contact the Manager, Quality Assurance, for the next sequential NCR number.

5.1.6 The Manager, Quality Assurance, shall be included in the distribution of all NCRs. 

5.1.7 In case of a dispute over the validity of an NCR, or over the effectiveness of corrective action, an engineering evaluation shall be performed and documented.

5.1.8 An engineering evaluation shall be performed and documented for any disposition of "Accept-As-Is" or "Repair."

5.1.9 Disposition and corrective action shall not be undertaken without authorization by CTA.  Proper authorization is documented by signatures in blocks 14, 15, and 16 of the Nonconformance Report form.

5.2 Generation of NCRs

5.2.1 The originator of the NCR shall complete the "Nonconformance" section of the NCR form, blocks 1 through 7.

5.2.2 The originator of the NCR shall make copies of the NCR form and distribute the copies and the original form as follows:

1) Original NCR to the organization or individual responsible for resolving the nonconforming condition, identified in block 2 of the NCR form.  (Engineering, Construction, Maintenance, or other organizations or activities affected by the nonconforming condition shall also be notified.) 

2) One copy to the Manager, Quality Assurance.

3) One copy for the originator's file.

5.2.3 Within 10 working days, the organization or individual responsible for resolving the nonconforming condition shall complete the "Disposition" section of the NCR form, blocks 8 through 13.

5.2.4 The organization or individual responsible for resolving the nonconformance shall return the NCR form to the CTA Manager, Quality Assurance.

5.2.5 The Manager, Quality Assurance, shall determine the responsible CTA Engineering/Construction/Maintenance Manager and forward the original NCR form to that individual for review and concurrence.

5.2.6 The responsible manager shall review the proposed corrective actions and actions to prevent recurrence.

5.2.6.1 If the proposed actions are acceptable, the responsible manager shall sign and date block 14 of the NCR form and proceed to step 5.2.7.

5.2.6.2 If the proposed actions are not acceptable, the responsible manager shall return the unsigned NCR form to the responsible organization with a separate written explanation, with a copy to the Manager, Quality Assurance.  (Return to step 5.2.3.)

5.2.7 The responsible manager shall transmit the signed NCR form to the engineer of record, with a copy to the Manager, Quality Assurance. 

5.2.8 The engineer of record shall review the NCR and perform and document an engineering evaluation if required.

5.2.8.1 An engineering evaluation is mandatory for NCR dispositions of "Accept-As-Is" or "Repair." 

5.2.8.2 If the evaluation finds that the proposed actions are satisfactory, the engineer of record shall attach a copy of the evaluation, sign and date block 15 of the NCR form, and proceed to step 5.2.9.1.

5.2.8.3 If the evaluation finds that the proposed actions are unsatisfactory, the engineer of record shall attach a copy of the evaluation to the unsigned NCR form and proceed to step 5.2.9.2.

5.2.8.4 For dispositions of "Reject" or "Rework," the engineer of record shall mark block 15 "N/A" (not applicable), sign and date the block, and proceed to step 5.2.9.1.

5.2.9 The engineer of record shall forward the NCR as follows:

5.2.9.1 If the evaluation finds that the proposed actions are satisfactory (step 5.2.8.2), or if no evaluation was required (step 5.2.8.4), the engineer of record shall forward the NCR form to the Manager, Quality Assurance.

5.2.9.2 If the evaluation finds that the proposed actions are unsatisfactory (step 5.2.8.3), the engineer of record shall return the unsigned NCR form to the responsible manager, with a copy to the Manager, Quality Assurance.  The responsible manager shall notify the originator and the responsible organization that the proposed actions are not satisfactory.  (Return to step 5.2.3.)

5.2.10 The Manager, Quality Assurance, shall review the process and the proposed corrective actions and completion date.

5.2.10.1 If the process has been followed correctly and the proposed corrective actions and completion date are acceptable, the  Manager, Quality Assurance, shall sign and date block 16 of the NCR form to indicate acceptance of the process and concurrence with corrective actions and completion date and proceed to step 5.2.11.

5.2.10.2 If the process, proposed corrective actions, or completion date are not acceptable, the Manager, Quality Assurance, shall return the unsigned NCR to the responsible manager with a separate written explanation, with a copy to the engineer of record.  The responsible manager shall notify the originator and the responsible organization that the proposed disposition, corrective action, and/or completion date are not acceptable.  (Return to step 5.2.3.)

5.2.11 The Manager, Quality Assurance, shall update the Nonconformance Report Log and forward the signed NCR form to the responsible manager.

5.2.12 The responsible manager shall notify the responsible organization that it has approval to proceed with the proposed corrective actions and actions to prevent recurrence.

5.2.12.1 The responsible manager shall forward the original NCR form to the originator.

5.2.12.2 The responsible manager shall forward a copy of the NCR form to the responsible organization.

5.3 Closure

5.3.1 The responsible organization shall notify CTA when the corrective actions and actions to prevent recurrence have been implemented.

5.3.2 The originator shall verify correction of the nonconformance.  Verification shall include reinspection of reworked or repaired work. 

5.3.2.1 If the corrective actions and actions to prevent recurrence have been completed and the nonconforming condition has been corrected, the originator shall record verification in block 17 of the NCR form, sign and date the block, and proceed to step 5.3.3.

5.3.2.2 If the nonconforming condition has not been corrected, or if the corrective actions or actions to prevent recurrence have not been completed properly, the originator shall not sign the NCR form but shall notify the responsible organization that implementation is unsatisfactory.  (Return to step 5.3.1.)

5.3.3 The originator shall forward the original NCR form to the Manager, Quality Assurance.

5.3.4 The Manager, Quality Assurance, shall review the NCR and sign and date block 18 signifying acceptance of the resolution process and closure of the NCR.

5.3.5 The Manager, Quality Assurance, shall indicate required distribution for the closed NCR and make distribution.  As a minimum, distribution shall include:

1) Manager, Quality Assurance (original -- record copy)

2) Vice President, Engineering (for NCRs related to design or construction)

3) Vice President, Maintenance (for NCRs related to force account capital construction work)

4) Responsible Manager (Engineering/Construction/Maintenance) from step 5.2.5

5) Originator

6) Engineer of record

7) Responsible organization

8) Document Control

5.3.6 The Manager, Quality Assurance, shall update the Nonconformance Report Log.

5.3.7 The Manager, Quality Assurance, shall be responsible for ensuring revision of any procedures necessitated by the corrective action process.

5.4 Corrective Action Evaluation

The Manager, Quality Assurance, shall conduct an annual review of NCRs generated during the previous 12-month period, and related dispositions, to determine the effectiveness of corrective actions in precluding recurrences of nonconforming conditions.

5.5 Quality Assurance Records

NCRs, the Nonconformance Report Log, and related engineering evaluations are quality assurance records.  They shall be maintained in accordance with PMP-6002 or other approved written procedures.

5.6 Trend Analysis

Information concerning NCRs and corrective actions shall be entered into the Audit/Surveillance Information System maintained by the Quality Assurance Department and otherwise made available for trend analysis as necessary. 

6.0 ATTACHMENTS

6.1 Nonconformance Report, Form 6009.01 (1 page)

6.2 Nonconformance Report Log, Form 6009.02 (1 page)

6.3 Nonconformance Report Continuation Sheet, Form 6009.03 (1 page)

6.4 Exhibit A:  Nonconformance Report Instructions (3 pages)

7.0 PROVISIONS

7.1 The Manager, Quality Assurance shall have the independence and authority to direct the generation of an NCR to identify any activity or item not meeting specified requirements.  The generation of an NCR may be independent of any other processes and may be utilized at any time.

7.2 The Manager, Quality Assurance, shall review each NCR to determine if the condition indicates a breakdown in the controls established to ensure effectiveness of the Quality Assurance Program and to ensure that corrective actions and their implementation resolve the problem.  If a breakdown in the quality process is identified, the Manager, Quality Assurance shall take the steps necessary to restore the quality process. 

7.3 The NCR form may be used as a Stop Work Order (SWO) at the discretion of the Manager, Quality Assurance, subject to approval by the Vice President, Engineering, and the responsible General Manager and Vice President.  An NCR used to stop work shall state in the "Description of Nonconformance" section (block 4):

"STOP WORK ORDER.  NO FURTHER WORK MAY BE PERFORMED WITHOUT PROPER WRITTEN AUTHORIZATION. SEE CONTINUATION SHEET, PAGE 2."  

The activity or item covered by the Stop Work Order shall be clearly defined on the Nonconformance Report Continuation Sheet and signed by all of the appropriate authorities.  Closure of the Stop Work Order shall require the same authorization signatures.

7.3.1 SWO Approval Authorities for Engineering and Construction Department

• Manager, Quality Assurance
• General Manager, Facilities Engineering (for SWOs related to facilities engineering)
• General Manager, Power and Way Engineering (for other SWOs related to engineering and design)
• General Manager, Construction (for SWOs related to construction)
• Vice President, Engineering

7.3.2 SWO Approval Authorities for Maintenance Department

• Manager, Quality Assurance
• Vice President, Engineering
• General Manager, Facilities Maintenance
• Vice President, Maintenance

7.4 Where responsibilities are assigned by position title, it is understood that those responsibilities may be delegated.  The named position shall retain accountability for all assigned activities.

ATTACH CONTINUATION SHEETS AS NECESSARY.
FORM 6009.01 (12/96)

FORM 6009.03 (12/96)

The Originator Completes Items 1 - 7:

1. Enter the contract number.

2. Enter the complete name of the organization responsible for the nonconformance.  This may be a CTA organizational unit or a consultant or contractor.

3. Enter the NCR number obtained from the CTA Manager, Quality Assurance.

4. Describe the nonconformance.

5. Enter the requirement(s) violated with reference to the applicable procedure or specification section or paragraph, or other identifying information.

6. Signature of person preparing the NCR, and date.

7. Enter the date by which the responsible organization must respond to the NCR by completing the "Disposition" section of the form.  This date should be 10 working days after the issue date.  Transmit the NCR to the responsible organization.

The Responsible Organization Completes Items 8 - 13:

8. Explain why the requirement was violated.

9. Indicate the proposed disposition.  (Dispositions of "repair" or "accept-as-is" require concurrence by the engineer of record.)

10. Describe the action taken or planned to be taken to correct the specific nonconforming item or condition.

11. Describe what action is planned to prevent recurrence of the same or similar nonconformances, with the focus on prevention, not correction. Include any required changes to procedures.

12. Signature of person preparing the response, and date.

The Responsible Organization Completes Items 8 - 13 (Cont.):

13. Enter date when corrective action is expected to be complete.  Return the NCR to the CTA Manager, Quality Assurance.  NOTE:  The CTA Manager, Quality Assurance, shall determine the responsible CTA Engineering/Construction/Maintenance Manager and forward the NCR to that individual.

The Responsible Manager Completes Item 14:

14. Signature denoting concurrence with proposed corrective action and effective date, and date of signature.  Transmit the NCR to the engineer of record, with a copy to the Manager, Quality Assurance.  NOTE:  If the proposed disposition and/or corrective action are not acceptable, the responsible manager shall return the unsigned NCR to the responsible organization with a separate written explanation, with a copy to the Manager, Quality Assurance.

The Engineer of Record Completes Item 15:

15. Signature of engineer of record documenting engineering evaluation and acceptance of proposed corrective action and completion date, and date of signature.  Transmit the NCR to the Manager, Quality Assurance.  NOTE:  If the proposed disposition and/or corrective action are not acceptable, the engineer of record shall return the unsigned NCR to the responsible manager with a separate written explanation, with a copy to the Manager, Quality Assurance.  The responsible manager shall notify the originator and the responsible organization that the proposed disposition and/or corrective action are not acceptable.

The Manager, Quality Assurance, Completes Item 16:

16. Signature by Manager, Quality Assurance, indicating review of the process and concurrence with corrective actions and completion date, and date of signature.  Transmit the NCR to the responsible manager for notification to the originator and the responsible organization.  The responsible manager shall forward the original NCR form to the originator and a copy of the form to the responsible organization.  NOTE:  If the proposed disposition, corrective action, and/or completion date are not acceptable, the Manager, Quality Assurance, shall return the unsigned NCR to the responsible manager with a separate written explanation, with a copy to the engineer of record.  The responsible manager shall notify the originator and the responsible organization that the proposed disposition and/or corrective action are not acceptable.

The Originator Completes Item 17:

17. Signature accepting work, and date.  Describe inspections, location, serial numbers, etc., as appropriate, to document field verification that the work is complete and acceptable.  Attach or reference supporting documents (e.g., inspection reports, procedures, revised drawings) as appropriate.  NOTE:  If the work is not acceptable, the originator shall return the unsigned NCR to the responsible organization with a separate written explanation, with a copy to the Manager, Quality Assurance. 

The Manager, Quality Assurance, Completes Items 18 and 19:

18. Signature accepting the resolution process, and date. 

19. Indicate distribution of the closed NCR as required, and distribute.  As a minimum, the following distribution shall be made:

• Manager, Quality Assurance (original)
• Vice President, Engineering (for NCRs related to design or construction)
• Vice President, Maintenance (for NCRs related to force account capital construction work)
• Responsible Manager (Engineering/Construction/Maintenance)
• Originator
• Engineer of record
• Responsible organization
• Document Control

ELEMENT 13: QUALITY RECORDS

From the Chicago Transit Authority, Capital Improvement Program, Quality Assurance Manual; including Project Management Procedure, PMP-6002, Quality Records - Quality Assurance Department.

Section 4

QUALITY PROGRAM ELEMENTS

4.13 Quality Records

Procedures shall be established and maintained for identification, production and collection, indexing, access, filing, storage, maintenance, and disposition of quality records.

Quality records shall be maintained by the area responsible for the work.  Supplier, contractor, and subcontractor quality records shall be included where pertinent.

All quality records shall be stored and retained in such a way that they are readily retrievable in facilities that provide a suitable environment to prevent damage, deterioration, or loss.  Retention times of quality records shall be established and recorded.

Quality records shall be legible and shall clearly identify the project or subject to which they apply.

Where specified by contract, quality records shall be made available to the purchaser or purchaser's representative.

Section 5

CIP PROJECT LIFE-CYCLE PHASES

5.2 Design Phase

The following subsections describe the quality assurance activities usually associated with the design phase of a capital project.

5.2.5 Quality Records

The Project Manager assures that quality records are compiled and maintained.  Written procedures provide for a project filing system and establish the guidelines for the retention of records.

QUALITY RECORDS  -- QUALITY ASSURANCE DEPARTMENT

The above-named procedure is hereby approved:

__________________________________

Manager, Quality Assurance  Date

__________________________________

Vice President, Engineering Date

1.0 PURPOSE

The purpose of this procedure is to establish a system and assign responsibility for the identification, collection, filing, retrievability, and maintenance of quality assurance records generated by CTA's Quality Assurance Department.

2.0 SCOPE

This procedure applies to all documents classified as quality assurance records as identified on the Quality Assurance Records Index (see attached Form 6002.01).  The identification, maintenance, and control of quality assurance records generated by organizational units external to the Quality Assurance Department shall be in accordance with this procedure or other approved documented procedures.  The identification, maintenance, and control of quality-related documents generated by consultants or contractors shall be in accordance with the applicable contract.

3.0 REFERENCES

3.1 Chicago Transit Authority, Capital Improvement Program Quality Assurance Manual

3.2 FTA-MA-06-0189-92-1, dated March 1992, United States Department of Transportation, Federal Transit Administration, Quality Assurance and Quality Control Guidelines

4.0 DEFINITIONS

4.1 Quality assurance records - Records which furnish documentary evidence of the quality of items and/or activities affecting quality.

4.2 Quality Assurance Records Index - A document that identifies quality assurance records by type or classification and specifies required retention periods and records storage locations.

4.3 Records File Master List - A document that lists the records stored in the quality assurance records files.  It is arranged to reflect the organizational structure of the records files.  The list includes records files that have been purged from the system, when they were purged, and by whom.

5.0 PROCEDURE

5.1 General

5.1.1 Quality assurance records shall include all documents produced in implementing the CTA's Quality Assurance Program that furnish documentary evidence of the quality of items and/or activities affecting quality.  These documents may be generated by the Quality Assurance Department during the implementation of quality-related procedures or by any other organization having responsibility under the CTA's CIP.  This procedure applies to those records generated by the Quality Assurance Department.

5.1.2 The Manager, Quality Assurance, shall be responsible for identifying, collecting, controlling, and maintaining quality assurance records and for establishing records retention periods for those records generated by the Quality Assurance Department.

5.1.3 The Manager, Quality Assurance, shall interface with the generating department to make decisions about records generated external to the Quality Assurance Department.

5.2 Record Identification Number

5.2.1 The Manager, Quality Assurance, shall establish and maintain a system for identification numbering of quality assurance records.  This system may apply unique numbers to individual documents (e.g., contractor quality plans) or group related documents together under a single identification number (e.g., daily inspection reports for a particular project), at the discretion of the Manager, Quality Assurance. 

5.2.2 The numbering scheme shall include provisions for associating related records that carry unique numbers (e.g., individual audit files, supplier quality evaluations) that have been produced and indexed at various times. 

5.3 Quality Assurance Records Index

The Manager, Quality Assurance, shall record quality assurance records on the Quality Assurance Records Index (see attached Form 6002.01) or a similar computerized form containing the same information.  The index shall identify the type or classification of record, the associated record identification number, the location of the record, and its minimum retention period.

5.4 Records File Master List

The Manager, Quality Assurance, shall establish and maintain a Records File Master List (see attached Form 6002.02) or a similar computerized list of all quality assurance records.  This list shall include the record identification number and a brief description of the record.  Purged records shall be retained on the list, annotated with the date purged and initials of the person purging the file.  The list shall reflect the structure of the records files to enhance retrievability of records and shall be updated as records files are added or deleted.

5.5 Identifiability of Quality Assurance Records

The Manager, Quality Assurance, shall ensure that all records are identifiable to the project, item, process, person, or event to which they pertain and that all records are complete, legible, dated, and identify the person who established the record. 

5.6 Retrievability of Quality Assurance Records

The Manager, Quality Assurance, shall establish a documented system for indexing or grouping documents to facilitate their retrieval.  Records should be grouped by project, process, and record type wherever possible.  

5.7 Storage of Quality Assurance Records

Quality assurance records shall be stored in designated records files in clean, dry rooms appropriate for records storage.  Filing cabinets containing quality assurance records shall be clearly labeled as to their contents.  Quality records shall be maintained separately from working or in-process files.

5.8 Maintenance of Quality Assurance Records

5.8.1 Quality assurance records shall be retained for the minimum duration identified on the Quality Assurance Records Index.

5.8.2 The Manager, Quality Assurance, shall review the quality assurance records periodically to determine which records have exceeded their minimum retention period.  Records whose retention period has expired may either be purged from the quality assurance records files or retained in the records files at the discretion of the Manager, Quality Assurance.

5.8.3 At the discretion of the Manager, Quality Assurance, lifetime records may be microfilmed or stored in secure, remote storage facilities.

5.9 Access to Quality Assurance Records

Direct access to the quality assurance records files shall be limited to authorized individuals.  Access to the quality assurance records files shall be authorized by the Manager, Quality Assurance.

6.0 ATTACHMENTS

6.1 Quality Assurance Records Index, Form 6002.01 (1 page)

6.2 Records File Master List , Form 6002.02 (1 page)

7.0 PROVISIONS

7.1 Due to project assignment, work location, or other limiting conditions prohibiting daily access to the designated records storage location, quality assurance records may, at the discretion and with the approval of the Manager, Quality Assurance, be maintained at other than the designated location.  Records maintained at other than the designated records storage location shall be subject to all the criteria of this procedure and shall be moved to the designated records storage location as soon as practical.

7.2 Organizational units external to the Quality Assurance Department may develop and implement separate documented procedures for identifying, collecting, filing, and maintaining quality assurance records provided that the procedures meet the requirements of FTA-MA-06-0189-92-1 and the CTA Capital Improvement Program Quality Assurance Manual.  Any such procedure shall be subject to review and acceptance by the Manager, Quality Assurance.

7.3 The Manager, Quality Assurance, shall be notified of what files are maintained in accordance with provisions 7.1 and 7.2 above and where they are maintained.  Logs of such files may be maintained separately; or they may be included on the Quality Assurance Records Index (Section 5.3) and the Records File Master List (Section 5.4) and appropriately identified.

FORM 6002.01 (06/96)

FORM 6002.02 (06/96)

ELEMENT 14: QUALITY AUDITS

From the New York City Transit Authority, Department of Capital Program Management, Quality Management System Manual; including Project Management Guideline No. 118 and corresponding Project Management Procedure No. 118, Quality Assurance Audits.

Section 14

QUALITY AUDITS

14.1 QUALITY OBJECTIVE

The effectiveness of the Quality Management System and its conformance with the ISO-9001 standard shall be verified through audit activities.  The results of audits shall be transmitted to appropriate levels of management for corrective and preventive action.

14.2 AUDIT OBJECTIVES

In accordance with PMP No. 118, Quality Assurance Audits are performed:

• during the design, construction and close-out phases of a project
• to confirm that all NYCTA employees involved in the expenditure of capital funds are adhering to elements of the Quality Manual, PMPs/PMGs, Directives and Design Guidelines
• to verify contractor and consultant compliance with contract requirements, including Quality Program/Plan requirements
• by contractors and consultants in accordance with their approved Quality Programs/Plans

14.3 PLANNING

Quality Assurance is responsible for audit activities.  Based on status and importance of activities, an annual Audit Program and schedule is developed and implemented by Quality Assurance.

14.4 EVALUATION OF QUALITY ASSURANCE METHODS

Audits are performed to develop information sufficient to evaluate the adequacy of quality assurance methods, procedures and instructions established to assure the control and verification of activities, documentation and products.

14.5 REPORTING AND CORRECTIVE ACTION

Following each audit, a debriefing or exit conference is conducted.  Following this debriefing, the audit team leader prepares a written audit report and distributes it to  appropriate project personnel involved in the audit for necessary action.  Quality Assurance verifies that corrective and preventive actions taken are completed and acceptable.  In some cases, immediate corrective action may have to be taken by the contractor or Construction Manager.

14.6 MAINTENANCE OF QUALITY INFORMATION

Information on audits conducted is maintained in a Quality Assurance database.  This information will be used to analyze trends in contractor, consultant and project management activities to determine the need for action to correct recurrent deficiencies. Reports on Quality Assurance audits and the results of trend analyses performed are provided as inputs to the management review meetings.

QUALITY MANAGEMENT SYSTEM AUDITS

1.0 PURPOSE

To set forth guidelines for establishing, planning, implementing and documenting audits.

2.0 SCOPE

These guidelines apply to all NYCT and/or consultant design and construction administration; contractor (including subcontractors and suppliers) and/or force account capital construction;  and equipment (excluding car and bus purchase, car overhaul, and other rolling stock contracts), power, signal, track, communication, architectural  or similar contracts administered by all NYCT Departments.

3.0 GUIDELINES

3.1 Audit Objectives

Audits are generally planned, developed and initiated for one or more of the following reasons:

• to verify that an organization’s quality management system continues to meet specified requirements and is being implemented
• to assess the effectiveness of established processes
• to evaluate quality  management systems implemented by NYCT departments, contractors and consultants involved with Capital Program projects against established quality system standards
• to verify that regulatory requirements are being met

3.2 Audit Roles and Activities

Whether an audit is carried out by a team or an individual, the lead auditor is  in overall charge and  has authority to make decisions regarding the conduct of the audit.  Depending upon the circumstances, the audit team may include experts with specialized background.

Auditors should be free from bias and influences which could affect objectivity and should act in an ethical manner at all times.

Auditor qualifications, training and experience records shall be maintained and evaluated on a yearly basis in accordance with Quality Management Internal Guideline No. 4.

Auditor Activities:

• plan the audit and prepare working documents
• review documentation on existing quality management system activities to determine their adequacy
• verify and analyze evidence that is relevant and sufficient to permit the drawing of conclusions regarding the audited quality management system
• remain alert to any indications of evidence that can influence the audit results and possibly require more extensive auditing
• report critical nonconformities to the auditee immediately
• report any major obstacles encountered in performing the audit
• report on the audit results clearly, conclusively and without undue delay
• retain and safeguard documents pertaining to the audit, submit such documents as required, ensure that such documents remain confidential and treat privileged information with discretion

3.3 The Audit Process

As a basis for planning the audit, the auditor reviews the auditee's recorded description of the methods for meeting the quality system requirements (such as the documented quality management system manual/plan/program or equivalent).

An audit plan will be prepared by the lead auditor, and communicated to the auditee.

The audit plan will be designed to be flexible in order to permit changes in emphasis based on information gathered during the audit, and to permit effective use of resources. The plan includes:

• the audit objectives and scope
• identification of the individuals having significant direct responsibilities regarding the objectives and scope
• identification of reference documents (such as the applicable quality system standard and the auditee’s documented quality management system )
• identification of audit team members
• the date and place where the audit is to be conducted and the expected time and duration for each major audit activity
• identification of the organizational units to be audited
• the schedule of meetings to be held with auditee management
• confidentiality requirements, if applicable
• audit report distribution and the expected date of issue

If the auditee objects to any provisions in the audit plan, such objections should immediately be made known to the lead auditor.  They should be resolved between the lead auditor and the auditee.

Specific details of the audit plan may be communicated to the auditee prior to/throughout the audit if their premature disclosure does not compromise the  verification  of objective evidence.

The work documents required to facilitate the auditor’s investigations and to document and report results will usually include:

• checklists/worksheets used for evaluating quality system activities
• forms for documenting required Action Requests

Work documents should be designed so that they do not restrict additional audit activities or investigations which may become necessary as a result of information gathered during the audit.

Work documents involving confidential or proprietary information shall be suitably safeguarded by the auditing organization.

A pre-audit conference may be scheduled to:

• introduce the members of the audit team to the auditee’s senior management
• review the scope and the objectives of the audit
• provide a short summary of the methods and procedures to be used to conduct the audit
• establish the official communication links between the audit team and the auditee
• confirm that the resources and facilities needed by the audit team are available
• confirm the time and date for the exit meeting and any interim meeting of the audit team and the auditee’s senior management
• clarify any unclear details of the audit plan

Throughout the audit, the auditee’s compliance with established requirements should be  verified through interviews, examination of documents/records, and observation of activities and conditions in the areas of concern.  Indications of nonconformities should be noted if they seem significant, even if not covered by checklists, and should be investigated.  Information gathered through interviews should be tested by acquiring the same information from other independent sources, such as physical observation, measurements and records.

After all activities have been audited, the audit team should review their notes/worksheets to develop an overall summary of the audit results and determine what Action Requests are required.   The audit team should then ensure that these are documented in a clear, concise manner and are supported by evidence.  Action Requests should be identified in terms of the specific requirements of the standard or other related documents against which the audit has been conducted.

At the end of the audit, prior to preparing the audit report, the audit team should hold a meeting with the auditee and those responsible for the functions concerned.  The lead auditor should present the audit team’s conclusions regarding the quality management system’s effectiveness in ensuring that quality objectives will be met.  The main purpose of this meeting is to present a summary of the team's overall audit assessment and any required Action Requests so as to ensure that the auditee clearly understands the results of the audit and any additional actions required.

The process and an approximate time frame for issuance of the audit report  and response by the auditee should be discussed.

Records of the closing meeting should be kept.

3.4 Audit Documentation

The audit report is prepared under the direction of the lead auditor, who is responsible for its accuracy and completeness.  It should be prepared and issued within 45 calendar days from the last day of the audit.

The audit report should reflect both the tone and content of the audit.  It should contain the following items, as applicable:

• the purpose and scope of the audit
• identification of  the audit team members;  the specific organization audited  and the auditee’s representative(s); audit dates and locations; and areas/activities audited
• identification of the reference documents against which the audit was conducted (i.e.: quality system standard, the auditee’s documented quality system, etc.)
• Overall summary of the audit results and the audit team's assessment of the project/activity compliance with requirements
• any required Action Requests, documented on an Action Request Report (Exhibit 1),  as well as a description of any other observations made during the course of the audit
• the time period for submittal of a response to the Action Requests
• the audit report distribution list

Audit reports containing confidential or proprietary information shall be suitably safeguarded by the auditing organization.

The audit report is submitted to the Senior Director, Quality Systems  for final review and signature and sent to the NYCT representative (i.e.: Program Area Construction Manager, Design Manager, etc.) responsible for the activity or project audited.  If applicable, the NYCT representative shall forward a copy of the report to any affected outside organization (i.e.: general contractor, consultant, supplier, etc.) for information and/or action.  Copies of the audit report shall also be sent to CPM's Senior Management.

The management of the activity or project audited will normally be required to respond to the Action Requests within 30 calendar days using the applicable Action Request Response form (Exhibit 2 or 3) in accordance with instructions provided.  Circumstances may arise where responses require additional time or further clarification.  Such instances will be resolved with the Quality Management Office and appropriately documented.   Action Request Response statements are to be specific with respect to the cause of the noncompliance, as well as actions taken to correct the noncompliance and to preclude recurrence.

The NYCT representative will follow-up on any  Action Request Responses required  from outside organizations.

3.5 Corrective Action Follow-Up

The auditee is responsible for determining and initiating corrective action needed to correct a noncompliance or to correct the cause of the noncompliance.

For Action Request Responses submitted by outside organizations, the NYCT representative will review the response/proposed action for acceptability prior to forwarding it on to the Quality Management Office.  If the NYCT representative does not accept the response and returns it to the auditee for additional action, the Quality Management Office will be notified.  

Upon submittal, the Quality Management Office shall review all Action Request Responses received.  Any reasons for rejection will be provided to the appropriate NYCT representative.

Follow-up audits will be scheduled, when required, to verify the completion and effectiveness of the corrective action.  Noncompliance with actions proposed/taken will be handled in the same manner as original Action Requests.

The Quality Management Office will send a memorandum to the appropriate NYCT representative advising them of the Action Requests which have been closed or which remain open.

3.6 Maintenance of Quality Information

Audit information will be maintained in a Quality Management database.  This information will be used to analyze trends in contractor, consultant and project management activities to determine the need for action to correct/prevent recurrent deficiencies.  Reports on Quality audit activities and the results of trend analyses performed will be provided to CPM Senior Management as part of the annual Management Review.

4.0 REFERENCE

4.1 PMP 118, Quality Management System Audits

4.2 Quality Management Internal Guideline No. 4, Auditor Qualifications

INSTRUCTIONS FOR COMPLETION OF ACTION REQUEST RESPONSE

EXHIBIT 2

Additional Table for Auditor Qualifications

QUALITY MANAGEMENT SYSTEM AUDITS

1.0 PURPOSE

The purpose of this procedure is to establish responsibilities and requirements to assure the performance of effective quality audits of the NYCT Capital Program.

2.0 RESPONSIBILITIES AND REQUIREMENTS

2.1 Quality Audits will be conducted to ensure that the department's Quality Management System:

• conforms to planned processes and requirements established within the department as well as to the ISO 9001 Quality Management Standard and
• is effectively implemented and maintained

2. 2 The Quality Office is responsible for establishing and implementing an annual audit program to monitor NYCT and Contractor/Consultant adherence to applicable policies, procedures and contract documents.  The Quality Audit program reflects the planned number and type of audits, as well as the  areas within and outside NYCT to be audited.  Audit candidates are selected based on the status and importance of activities, previous audit history, and changes in policies, processes, procedures and organizational structure.

2. 3 The audit staff shall meet established DCPM qualifications as defined in Quality Management Internal Guideline # 4, and shall be independent of the areas to be audited.

2.4 The results of audits are transmitted to appropriate levels of DCPM management and the auditee's organization.  The audit report shall include: the purpose and scope of the audit, identification of the audit team members, auditees, audit dates and locations, and areas/activities audited; overall summary of the audit results; description of any noncompliance with requirements identification of any noncompliance requiring an Action Request for a documented corrective/preventive action plan;  the time period for submittal of the response to any Action Requests; and the report distribution list.  Follow-up audits will be performed to verify completion and effectiveness of required corrective action(s).

2.5 Quality audit records will be maintained and will include areas and procedures/requirements audited audit results; follow-up actions; and status of all audits.

2. 6 Auditees are responsible for:

• providing personnel/resources needed to facilitate the audit
• providing access to facilities and documentation
• cooperating with auditors in achieving audit objectives
• determining and initiating corrective action based on audit results
• providing timely response to Action Requests

2.7 When auditees are outside of the NYCT organization (ie: general contractors, subcontractors, suppliers, or consultants) the appropriate NYCT manager will work with the Quality Management Office to ensure that the auditee meets the above noted responsibilities.

3.0 REFERENCES

3.1 Project Management Guideline No. 118,  Quality Management System Audits

3.2 Quality Management Internal Guideline # 4, Auditor Qualifications

ELEMENT 15: TRAINING

From the New York City Transit Authority, Department of Capital Program Management, Quality Management System Manual

Section 15

RESOURCE MANAGEMENT

15.1 QUALITY OBJECTIVE

To create and implement plans for the development of resources based on our present and future needs and to ensure that the work environment supports the achievement of CPM's policies and objectives.

15.2 ASSIGNMENT OF PERSONNEL

CPM shall determine and provide, in a timely manner, the resources needed to implement and improve the process of the Quality Management System and to address customer satisfaction.  Personnel assigned to responsibilities defined in the Quality Management System shall be competent on the basis of applicable education, training, skills and experience.

15.3 TRAINING, AWARENESS AND COMPETENCY

15.3.1 Each level of CPM management/supervision is responsible for identifying the competency and/or training needs of his or her direct reports, developing training plans to close any gaps, and measuring the effectiveness of training provided.

Competency of an individual is defined as having the necessary education, skills and ability to meet civil service position requirements and/or perform an assigned task.  Measurements of training effectiveness can include:

• obtainment of Certifications, licenses, diplomas, etc.
• written examinations
• analysis of course evaluations
• on the job performance improvements

15.3.2  Training for personnel is coordinated and provided by the Director, Customer Service/Training, under the direction of the Senior Director, Management Services.

15.3.3  Awareness training of CPM personnel, consultants and contractors shall be conducted and address:

• requirements of the CPM Quality Policy
• relevance and importance of their activities and how they contribute to the achievement of the quality objectives
• importance of meeting customer as well as applicable regulatory and legal requirements

15.3.4  The Director, Customer Service/Training coordinates with the NYCT Division of Training and contracts with providers of training services outside NYCT to ensure that regularly scheduled and special requirement courses are available to CPM personnel.  Catalogs of course offerings (internally, from NYCT, Division of Training and externally, from provider institutions) are maintained by the Director, Customer Service/Training.  These materials are also provided to Program Area/Division Training Liaisons, and are available to individual CPM personnel upon request.

15.3.5  CPM personnel are registered for selected courses through their Program Area/Division Training Liaison, with authorization from the employee’s immediate supervisor and, for external training, from the Program Manager, Division Head or the SVP and Chief Engineer.

15.3.6  Internal and external training program attendance is monitored by CPM Training Liaisons and the NYCT Division of Training.

15.3.7  Training in Track Safety is made available to Contractor personnel as required.  Track training is provided by the NYCT, Division of Training, with registration coordinated through the Division Training Liaison.  Training and coaching on Contract Specification Section 1J,  “Contractor’s Quality Program” is provided by Quality Management to both in-house and contractor personnel.

15.4 TRAINING AND DOCUMENTATION

Each level of CPM management/supervision is responsible for identifying the training needs for the level of employee beneath it.  Projected training needs for matrixed and non-matrixed represented and other non-management personnel are documented by the appropriate Division Manager or their Supervising Manager, respectively, using the Career Performance Development plan or its equivalent.

15.5 EDUCATION, EXPERIENCE AND TRAINING

15.5.1  Record of employee’s education, experience, training and qualifications is documented and maintained by NYCT, Divisions of Training and CPM.  CPM has access to Division of Training records as needed.

15.5.2 Individual contractors maintain their own training records.  Contractors have access to NYCT training records through CPM Division Training Liaisons as needed.

15.6 FACILITIES

CPM provides and maintains the necessary facilities (workspace, hardware/software, supplies, tools, etc.) in order to achieve conformity of our various products.  Facility requirements, provided by the contractor for personnel working on construction projects are defined in the contract specification.

15.7 WORK ENVIRONMENT

CPM assures that all human and physical factors relating to the work environment are maintained, including safety rules and procedures and protective equipment.