1-Appendix IV - UTAs Quality Management Plan.pdf

CAPITAL SERVICES

Quality Management Plan

Revision January 2024

Quality Management Plan i January 2024

Revision No.: Revised By: Revision Date: Description of Change

0 Ryan Rankin 01/16/2024 Original Release

Quality Management Plan – January 2024 ii

Table of Contents

_______________________________ i

CAPITAL SERVICES _____________________________________________________________ i

Quality Management Plan _______________________________________________________ i

1 Introduction ____________________________________________________ 1

1.1 General ___________________________________________________________ 1

1.2 Application _________________________________________________________ 1

1.3 Quality Policy _______________________________________________________ 1

1.4 Quality Objectives ___________________________________________________ 1

2 Management Responsibility _______________________________________ 2

2.1 Responsibility, Authority, and Communications _____________________________ 2

3 Documented Quality Management System ___________________________ 4

3.1 General Requirements ________________________________________________ 4

3.2 Quality Management System Standards __________________________________ 4

3.3 Documentation Requirements __________________________________________ 6

4 Design Control __________________________________________________ 8

4.1 Design Quality Management Plan _______________________________________ 8

4.2 Consultant/Subconsultant Design Reviews ________________________________ 9

4.3 UTA Design Review _________________________________________________ 10

4.4 Design Changes ___________________________________________________ 10

4.5 Control of Design Services During Construction ___________________________ 10

5 Construction Control ____________________________________________ 12

5.1 Construction Quality Control Plan ______________________________________ 12

5.2 Construction Quality Control Plan Approval _______________________________ 13

5.3 Quality Control Plan Implementation ____________________________________ 14

6 Project Management ____________________________________________ 15

6.1 Preparation and Maintenance of the Project Management Plan _______________ 15

6.2 Project Management Plan Content Requirements __________________________ 16

7 Program Realization _____________________________________________ 19

7.1 Quality Program ____________________________________________________ 19

7.2 Design and Construction Inputs ________________________________________ 19

7.3 Design and Construction Outputs ______________________________________ 19

7.4 Design and Construction Verification ____________________________________ 20

7.5 Consultant Quality Control ____________________________________________ 20

7.6 Contractor Quality Control ____________________________________________ 20

8 UTA Audits, Surveillance and Oversight ____________________________ 21

8.1 Quality Plan Oversight _______________________________________________ 21

8.2 Management Audits _________________________________________________ 21

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8.3 Design Audits ______________________________________________________ 22

8.4 Construction Surveillance by UTA (Quality Assurance) ______________________ 23

Quality Management Plan i January 2024

DEFINITIONS

Achieving Quality - This occurs by working to avoid errors identifying the causes when problems occur, and taking the steps necessary to eliminate the conditions that cause them.

Acceptance - The act of endorsing and/or adding positive authorization for apparent correctness, or to receive with consent.

Acceptance Criteria - Specified limits placed on characteristics of an item, facility, process, or service defined in codes, standards, or other design documents.

Agency - A subdivision of federal, state, county, district, or local government. The term used herein includes designated representatives of the agency.

Approved for Construction Documents - Those design documents which have been certified to have met all requirements for construction by the designer and would allow the general contractor to initiate construction. Sometimes referred to as issued for construction (IFC) documents.

As–Built - The record set of Construction Drawings which includes significant changes such as Change Orders, field adjustments, utilities, or site conditions which did not appear on the original approved for construction drawings.

Audit - A documented activity performed in accordance with written procedures or checklists to verify, by examination and evaluation of objective evidence, that applicable elements of the quality assurance program have been developed, documented, and effectively implemented in accordance with specified requirements. An audit should not be confused with surveillance or inspection activities performed for the sole purpose of process control or product acceptance.

Auditor - Any individual who participates in the performance of an audit.

Back-Checker - Person who reviews the checker’s comments and updates the document original. Preferably the Back-Checker should be the originator.

Basis of Design - The requirements in a contract upon which the detailed final design is to be based.

Calibration - Comparison of two instruments or measuring devices, one of which is of known accuracy and traceable to national standards, to detect, correlate, report, or eliminate by adjustment any discrepancy in the accuracy of the instrument or measuring device being compared with the standard.

Change Order - A contract modification signed by both parties to the contract, issued after the execution of a contract, which adds to, deletes from, or otherwise revises the requirements, scope of work, and/or the contract terms and conditions.

Change Proposal - The documents which identify, quantify, and justify additions, deletions, or other revisions to the construction contract scope of work.

Checker - The person assigned to check documents developed by designers and drafters in that discipline or section.

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Check Print - A copy of a Document Original in its final format used for the purpose of checking and recording additions, deletions, and corrections to the Document Original.

Check Print Stamp - A special stamp to be affixed on the face of the document to record who performed various checking and review activities and the dates the activities were completed.

Configuration - Physical and functional arrangement of an item as defined in design documents and achieved in manufacture, fabrication, or construction of that item.

Construction Documents - Drawings (plans) and specifications giving a detailed and precise representation of the configurations and arrangements of the materials and items being constructed. Construction documents are not to be used for construction until they are released for construction.

Construction Drawings (plans) - Drawings or plan sheets which form part of the Construction Documents.

Contract - A variety of agreements or orders for the procurement of supplies or services. An agreement, enforceable by law, between two or more competent parties, to do or not do something not prohibited by law, for a legal consideration.

Controlled Document - A drawing, specification, calculation, record, report, or other document where a change could affect another design.

Copy - A full or reduced scale reproduction, or photocopy, of the document as it existed in its original form in the project files.

Corrective Action - Measures taken to rectify conditions adverse to quality and, where necessary, to preclude repetition.

Cost of Nonconformance - Cost of doing things wrong. Measurement of the cost of wasted effort and the “fix” to make things right is a good tool for identifying areas needing attention and setting priorities for the elimination of problems. Application and understanding of these principles is fundamental to UTA’s quality management system.

Design - Technical and management processes which commence with identification of design input and which lead to and include the issuance of design output documents.

Designer - The engineering organization, subcontractor, or in-house designer that has primary responsibility for the design of the project..

Design Change - A change to a drawing, specification, or other design document which has been released or issued for construction.

Design Coordination Review (DCR) - A formal interdisciplinary review of all or a portion of a design submittal.

Design Directives - The formal series of intra-organization memoranda established to describe and convey drawings, criteria, parameters, or other design requirements subsequent to establishment of the original Basis of Design.

Design Document - A drawing, specification, calculation, record, report, or other document, including shop drawings and special process procedures, which may be used for design, manufacture, fabrication, installation, testing, examination, and certification of items.

Design Input - Those criteria, parameters, bases, or other design requirements upon which detailed final design is based.

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Design Interface - The areas of interaction between design disciplines, or discrete design sections, where one could invalidate the other’s design assumptions or affect the constructability of the finished design.

Design Output - Documents such as drawings, specifications, and other documents defining technical requirements of structures, systems, and components.

Design Process - Technical and management processes which commence with identification of design input and which lead to and include the issuance of design output documents.

Design Quality Manager - The person assigned to perform QA reviews on all design packages before documents are submitted for UTA review or release for construction.

Design Revision - A revision to a drawing, specification, or other design document during the course of design development and prior to the release of said documents for construction.

Deviation - A specific written authorization, granted to depart from a particular performance or design requirement of a specification, drawing, or other documents, including the Contract.

Discipline Task Manager - Person responsible for all design functions, including schedule, budget, and QC functions, within a specified area of engineering or architectural expertise.

Document - A single drawing or a logical compilation of related calculations, data, report text, design analyses, specification sections, cost estimates, meeting minutes, or project-related correspondence describing, defining, specifying, reporting, or certifying activities, requirements, procedures, or results.

Document Original - The up-to-date original drawing, text, form, or other document type from which copies to be delivered to the client will be reproduced.

Engineer of Record - The primary designer for the project, i.e., UTA or consultant.

Existing Conditions - The surveys, topographic mapping, utility locations, plans for existing structures, and all other drawings and reports defining existing physical conditions of a site or facility.

Inspection - Examination or measurement to verify whether an item or activity conforms to specified requirements.

Internal Audit - An unbiased and independent audit of the quality control system in use.

Nonconformance – A documented deficiency in characteristic, documentation, or procedure which renders the quality of an item unacceptable or indeterminate. Examples include: physical defects, test failures, incorrect or inadequate documentation, or deviation from prescribed processing, inspection, or test procedures.

Originals - The documents or records in the highest form in which they exist in the active project files. This might be original outgoing correspondence, printed copies of a published document, original copies of calculations, quantity take-offs and other design analyses, original reproducible drawings, original construction oversight engineer diaries, and field records.

Originator – An individual who is responsible for the production of a project deliverable. In the case of a Corrective or Preventive Action, the Originator is the individual who becomes aware of an improvement opportunity and initiates the Corrective/Preventive Action process.

Procedure - A documentation or description of how any activity is to be performed. It may include specification of duties, functions, and responsibilities, methods to be employed, equipment or materials to be used, and sequence of operations.

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Project Manager - The person appointed to be responsible for successful execution of the project.

Project Management Plan (PMP) - A document that establishes the basic project guidelines to include scope of project, location, design requirements, work program, project procedures, deliverables, budgets, schedules, and principal project personnel.

Qualification (personnel) - The characteristics or abilities gained through training or experience, or both, as measured against established requirements such as standards or tests, which qualify an individual to perform a required function.

Quality Assurance - The planned and systematic activities implemented in the quality system so that the project or contract’s quality requirements are satisfied.

Quality Assurance Program - The total effort of development, documentation, and implementation of policies and procedures in achieving and verifying quality in accordance with specified requirements.

Quality Assurance Surveillance - Term used to describe a review or observation performed for the purpose of verifying that applicable requirements of quality are properly obtained.

Quality Control (QC) - The acts of examining, witnessing, inspecting, checking, and testing of in-process or completed design work, including in-progress plan sheets, studies, and reports to determine conformity with contract requirements.

Quality Record - A record which furnishes documentary evidence of the required and obtained quality of items or activities affecting quality. This may be in the form of any type of media such as written reports, drawings, and charts.

Receiving - Taking delivery of an item at a designated location.

Reject - A disposition imposed for substandard work or for a nonconforming condition.

Request for Information (RFI) - A request from the construction group for additional information to clarify design data on plans which have been released or issued for construction.

Request for Revision (RFR) - Request for change in the plans after issuance of plans for construction.

Review Print - Copy of the checked and updated Document Original developed by a single discipline, or consolidated from input of several disciplines, that is used for review by the appropriate reviewer for each discipline involved in development of the document, and by other reviewers the project manager may designate. This term is synonymous with review draft when applied to report-type documents.

Rework - The process by which a nonconformance can be brought into conformance by completion through re-designing or other corrective means.

Service - The performance of activities such as design, fabrication, inspection, non-destructive examination, repair, or installation.

Software - Computer programs or sets of instructions formulated in any one of the programming languages such as C, C++, ASP, Java, Visual Basic, or HTML. These instructions provide for transfer of data from and to the user as well as all mathematical operations necessary for the solution of a given task. For the purposes of these procedures, software shall only mean engineering or management applications software.

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Specifications - The written portion of the Construction Documents which may consist of special provisions, project standard special provisions, UTA project specifications, and other published specifications referenced in the Construction Documents.

Standard drawings - Detailed plans issued by UTA for general application and repetitive use in connection with the project.

Subcontract - The document utilized to employ the service or support of a lower-tier party to perform all or a portion of one or more facets of the scope of work assigned to the prime contractor under the provisions of the prime contract. The agreement is authenticated by both parties and incorporates the terms and conditions of all applicable portions of the prime contract.

Technical Coordination Review (TCR) - A formal intra-disciplinary review of the technical aspect of all or a portion of a design submittal.

Traceability - The ability to trace the history, application, or location of an item or activity by means of recorded identification.

Updater - An individual who is responsible for making updates or corrections to project deliverables in accordance with the Backchecker’s resolution of the Checker’s comments.

Verified Copy - A Copy of a document or file upon which the project manager or person responsible for reproduction of that document has verified with his/her signature and date that the Copy represents a current, complete, and accurate reproduction of the document as it exists in the project files.

Verifier - Person who verifies that changes recommended by Checkers and accepted by the Back-Checker have been made on the original document. Preferably the Checker should be the verifier.

Waiver - Documented after-the-fact authorization to depart from specified requirements.

Zero Defects - Quality standard that requires a personal commitment to meet requirements.

Any level of error and wasted effort is not acceptable.

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1 Introduction

1.1 General

Capital Services is Utah Transit Authority’s (UTA) operating unit that deals directly with capital transit projects for UTA. The projects undertaken by UTA involve planning, design, and construction of transit-related projects.

The UTA Quality Management System is incumbent upon all projects managed by UTA project managers and all consultants and contractors under contract to UTA.

1.2 Application

The requirements specified in this plan are aimed primarily at achieving a quality product by establishing consistent quality processes.

1.3 Quality Policy

UTA’s Quality Policy exists to manage and deliver a transit Program that meets UTA QMS (Quality Management System) requirements through the execution and continual improvement of this QMP (Quality Management Plan). All work shall be performed to meet or exceed UTA standards to ensure the safety of employees, contractors, and traveling public, while consistently delivering quality service and customer satisfaction.

1.4 Quality Objectives

The following represents the quality objectives which support the Quality Policy and are deployed through the execution of this QMP:

• Thorough understanding of program requirements

• Selecting and assigning the right resources to meet the unique needs of the program

• Fulfillment of program and FTA requirements, including contractual requirements, applicable codes and standards, and requirements within this

QMP.

• Identify and mitigate conditions that may adversely impact program or project performance

• Implement Corrective Action to address nonconforming conditions and prevent recurrence

• Maintenance of Quality Records providing objective evidence of execution of this QMP.

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2 Management Responsibility

2.1 Responsibility, Authority, and Communications

UTA Capital Services management ensures that responsibilities and authorities are defined and communicated within the department.

2.1.1 Chief Capital Services Officer

The UTA Chief Capital Services Officer is responsible to ensure that UTA Capital Services establishes, implements, and maintains a quality management system.

2.1.2 Project Manager

The project manager is responsible for all project activity and must initiate and control the process of defining requirements on a project. For the UTA staff, consultants, and contractors assigned to the project to do their jobs “right the first time,” great care must be taken to define not only the output requirements (deliverables), but also the input requirements necessary for producing work that will conform to the deliverable requirements.

Community leaders, businesses, and residents of the UTA service area are suppliers of information and decisions that are necessary for the project team to meet UTA’s quality expectations. It is the project manager’s responsibility to ensure that this information is obtained and communicated to his or her staff as needed.

Furthermore, the project manager must not anticipate that the full range of knowledge and experience necessary to understand all of the project’s detailed requirements has been given. The project manager must be willing to accept the responsibility and take the initiative for extracting pertinent project information from project stakeholders and all other affected parties. If necessary, the project manager must advise UTA of any potential consequences resulting from not receiving information in the proper form and at the time that it is needed.

The use of a carefully prepared Project Management Plan can be a great aid for clarifying UTA’s expectations with regard to the quality of our deliverables and in obtaining the type of information needed to produce these deliverables. Many projects have special requirements that must be understood and defined by a project manager and key project team members. Preparation of the Project Management Plan must be the first order of business on any new project.

2.1.3 Project Director

At the discretion of UTA, a project director may be assigned as additional management to a project due to its large size or significant complexity. A project director has a subset of responsibilities similar to those of a project manager. One cannot assume that the project manager of UTA is fully knowledgeable of all the requirements necessary for work to be produced right the first time.

2.1.4 Quality Manager

Quality Managers (QM) – The QM is an independent member of the program management team. The QM reviews Project Quality Plans (PQP) to ensure they incorporate the requirements of the UTA QMS and FTA Quality Management System Requirements. The Quality Manager is also responsible for:

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• Providing training to the team.

• Working with and achieving concurrence with the PM, defining the appropriate quality check and review activities to be performed on deliverables.

• Overseeing the implementation of the PQP and communicating any issues to management.

• Developing, maintaining, and executing a quality audit schedule to assure implementation of the PQP.

• Managing a Corrective and Preventive Action process to address Nonconformance and continual improvement.

• Reviewing subconsultant quality plans and auditing subconsultants for adherence to those plans.

• Determining the requirements associated with design deliverables and construction submittals.

• Perform Audits of all projects to verify they are following the quality plans, procedures, and Project Management Plans.

• Compile audit reports and ensure all audit reports are included in UTA document control.

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3 Documented Quality Management System

3.1 General Requirements

A quality management system (QMS) is a formalized system that documents processes, procedures, and responsibilities for achieving quality policies and objectives.

A QMS helps coordinate and direct an organization’s activities to meet customer and regulatory requirements and improve its effectiveness and efficiency on a continuous basis.

3.2 Quality Management System Standards

The UTA QMS has been structured to address 15 core QMS standards, as defined in the Federal Transit Administration’s Quality Management System Guidelines. These have been developed based on international standards (ISO 9001:2015), as tailored to a transit-specific context. This QMP is based on these 15 core QMS standards.

3.2.1 QMS Core Standards

The following list identifies the 15 essential elements of a QMS and their description:

QMS Core Standards

1 Management Responsibility Commitment of senior management to implement, maintain, and continually improve upon UTA’s Quality Management System

2 Documented Quality Management System The combined set of quality documents, including a Quality Management Plan, subordinate QMPs, Policies & Procedures, Work Instruction, Forms, etc.

3 Design Control Processes to ensure the consistent development and maintenance of quality design documentation for projects and assets based on requirements, standards, criteria, etc.

4 Document Control Managing information to ensure the most current approved documents are in use

5 Purchasing Providing for timely procurement of the right items/ assets and services required for proper performance

6 Product Identification & Traceability The ability to track the unique history, location, performance, and configuration of any asset over its life cycle

7 Process Control Management and documentation of interrelated resources and activities to turn inputs into outputs/ outcomes

8 Inspection & Testing

Verification and documentation that practices, processes, assets, and material comply with applicable procedures, specifications, etc. and are fit for service

9 Inspection, Measuring & Test Equipment

Identification and periodic testing and calibration of measuring and test equipment to assure readiness for use

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10 Inspection and Test Status

The means for identifying the inspection and test status of work during production and installation (markings, stamps, tags, etc.)

11 Non-Conformance

Systematic tracking of work performed or material that does not meet procedures, specs, contract requirements, etc.

12 Corrective & Preventive Actions

Measures taken to modify processes/procedures to correct and prevent recurrence of non-conformances and failures

13 Quality Records

Documents generated by Quality functions that provide objective evidence of fulfillment of requirements

14 Quality Audits

Independent, objective review of conformance to quality standards and/or the overall effectiveness of processes in delivering acceptable levels of quality

15 Training

Providing skills and knowledge required for staff to successfully perform a job

3.2.2 FTA Correlation Matrix

The UTA QMP was developed following the overall framework specified in the FTA publication, Quality Management System Guidelines, with various modifications to tailor the QMS to UTA’s specific context and nomenclature. The following table is provided as a quick reference indicating which sections of the UTA QMP correspond to the essential elements as specified in the FTA guide.

FTA Quality Guidelines

UTA Quality Management Plan

Section

1 Management Responsibility

Quality Management Plan Section 2

2 Documented Quality Management System

Quality Management Plan Section 3

3 Design Control Quality Management Plan

Design Quality Procedures

Section 4

All Sections

4 Document Control Quality Management Plan

Administrative Quality Procedures

Construction Quality Procedures

Section 3

Section 1

Section 2

5 Purchasing Construction Quality Procedures Section 3

6 Product Identification and Traceability

Construction Quality Procedures Section 4

7 Process Control Quality Management Plan

Construction Quality Procedures

Section 7

Section 5

8 Inspection and Testing Construction Quality Procedures Section 6

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9 Inspection, Measuring, and Test Equipment

Construction Quality Procedures Section 7

10 Inspection and Test Status

Construction Quality Procedures Section 8

11 Nonconformance Construction Quality Procedures Section 9

12 Corrective Action Construction Quality Procedures Section 10

13 Quality Records Quality Management Plan

Administrative Quality Procedures

Construction Quality Procedures

Section 3

Section 1

Section 11

14 Quality Audits Quality Management Plan

Construction Quality Procedures

Section 8

Section 12

15 Training Construction Quality Procedures Section 13

3.3 Documentation Requirements

3.3.1 General

Documentation of the UTA Quality Management System for Capital Services includes the following:

a) Quality Management Plan

b) Administrative Quality Procedures

c) Design Quality Procedures

d) Construction Quality Procedures

e) Project Management Plan

Figure 1. Quality Management System Components

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3.3.2 Quality Manual

The UTA Capital Services Quality Manual is comprised of four documents: Quality Management Plan, Administrative Quality Procedures (Appendix A), Design Quality Procedures (Appendix B), and Construction Quality Procedures (Appendix C).

3.3.2.1 Quality Management Plan (QMP)

The requirements specified in this plan are aimed primarily at achieving quality projects by preventing nonconformity and deficiency at all stages of projects, from planning through operations. The UTA Quality Management Plan document addresses the elements and guidelines that will be followed in order to achieve quality on all projects undertaken by Capital Services.

3.3.2.2 Administrative Quality Procedures (AQP)

The UTA Administrative Quality Procedures document provides standards for performance of quality control activities by project staff and consultants for administrative activities. The AQP is a dynamic document and revisions are performed as required.

3.3.2.3 Design Quality Procedures (DQP)

The UTA Design Quality Procedures document provides standards for performance of quality control activities by project staff and consultants for design activities. UTA’s quality management for design activities is carried out through managing various design processes. The DQP is a dynamic document and revisions are performed as required.

3.3.2.4 Construction Quality Procedures (CQP)

The UTA Construction Quality Procedures document specifies the minimum quality assurance and quality control requirements for construction projects. Prior to the performance of any construction work, Contractors must provide a project specific construction quality management plan to UTA for review and approval.

3.3.2.5 Online Versions of QMP, DQP, and CQP

Electronic copies of the QMP, DQP, and CQP are provided to the project manager and team members, and they are expected to review the online versions and to be familiar with the procedures directly affecting the performance of their duties. Electronic versions of the latest QMP, DQP, and CQP are available in UTA’s document management system.

3.3.3 Project Management Plan (PMP)

A Project Management Plan is one of the most important management tools. A separate and specific PMP is to be prepared for each major UTA capital project. Good practice dictates that requirements be clearly identified and agreed to by UTA, the project manager, senior project staff, and special consultants before substantial resources are committed to performing the work. The Project Management Plan serves as the basis of that agreement.

The PMP facilitates identification of UTA’s expectations and provides the information needed for project and support staff to do the job right the first time. Quality procedures require that Project Management Plans be prepared for all projects that are interdisciplinary in nature or of sufficient size to involve more than a few months of effort.

The project manager is responsible for the preparation of the PMP and is required to

Quality Management Plan 8 January 2024 complete it within the first few weeks of the project. See Section 6 below for PMP content requirements.

3.3.4 Control of Records

Project related records are to be maintained as a means for providing evidence of conformity to requirements and the effective operation of the Quality Management System. Records must remain legible, readily identifiable, and retrievable. A documented procedure has been established to define the controls needed for the identification, storage, protection, retrieval, retention time, and disposition of records.

The UTA document management system has been implemented to ensure that documents are managed properly.

3.3.4.1 Quality Records

In order to ensure that all Quality Records are identified, collected, indexed, accessible, filed, stored, and discarded, it is the responsibility of each individual within the project team to ensure that the Quality Records which they generate are legible, complete, and entered in the UTA document management system.

The project manager is responsible for making sure that project Quality Records are entered into the UTA document management system by the project team.

3.3.4.2 Field Records

One of the primary responsibilities of a construction inspection staff is documenting on a daily basis that construction is being performed in accordance with the contract. Full documentation on non-conformances and field inquiries must be maintained to aid in the closing of the contract.

4 Design Control

4.1 Design Quality Management Plan

Consultants/subconsultants providing design services to UTA shall be responsible for submitting a design quality management plan consistent with contract requirements for review and approval prior to beginning work on the project. Design consultants/subconsultants shall be responsible for quality control and quality assurance reviews of design deliverables prior to submittal to UTA in accordance with the approved design quality management plan. See Appendix B, Design Quality Procedures for requirements.

While submitted design quality management plans shall be in accordance with contract requirements and UTA standard DQMP, such plans at a minimum shall include:

• Description of design team organization and identification of individuals responsible for quality control and independent quality assurance

• Ensuring that all participants contributing to design deliverables, including those conducting QC checks of the design, are qualified to do so, and are knowledgeable and proficient in the quality management procedures applicable to their work.

• Design basis, including scope of work, technical requirements, applicable codes and standards, project objectives, stakeholder requirements, design criteria, Quality Management Plan 9 January 2024 performance characteristics, conceptual design, and other design parameters delineated in such a way as to facilitate the design process and as required by contract documents.

• Design interfaces between different design disciplines and groups and the quality responsibilities of each.

• Management of electronic design documents and associated Quality Records, including a provision to make Quality Records available to UTA.

• Design service during construction guidelines, including the management of as-built drawings.

• Quality management procedures for subconsultants that meet or exceed the procedures set forth in this QMP.

• Verification and validation of software and computer-based programs

• Design review and verification procedures, sufficient to assure that design outputs meet design input requirements, including:

o Design quality planning, identification of required checks/reviews, duration, resources and budget to complete o Identification of qualified, independent resources to perform quality checks/reviews o Detailed quality control checking of plans, specifications, calculations, and reports, etc.

o Interdisciplinary reviews o Constructability reviews o Visual check o Other technical reviews as required by contract o Independent quality assurance review o Quality management of changes to design deliverables o Certification of compliance with design quality management plan requirements

• Internal quality audits of the design quality management plan activities by the consultant/subconsultant.

• Corrective/Preventive Action processes

• Training

4.2 Consultant/Subconsultant Design Reviews

Design consultants/subconsultants shall perform design reviews in accordance with the UTA Standard DQMP or their respective approved design quality management plans.

Records of these reviews shall be maintained in accordance with the design quality management plan and made available to UTA at any time and are subject to audit by UTA. The design consultant/subconsultant quality representative shall submit a certification indicating compliance with the approved design quality management plan for all design submittals.

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4.3 UTA Design Review

Design submittals shall be made by consultants/subconsultants in accordance with contractually established schedules to UTA for review.

UTA team members responsible for design review shall be sufficiently experienced in the discipline being reviewed and will have detailed knowledge of the project objectives, design criteria and UTA and stakeholder requirements.

Design submittals shall be reviewed in accordance with contractual timeframe commitments and shall include a focus on the fulfillment of project objectives, stakeholder requirements, design criteria, compliance with environmental commitments, construction, operational, safety and code compliance suitability, and risk mitigation of the proposed design. Although these reviews may uncover errors or inconsistencies, they are not intended to be a duplication of, or substitute for, the implementation of the design consultant’s design quality management plan.

UTA shall consolidate design review comments, resolve conflicts, eliminate duplication of comments, and facilitate a quality review of resulting comments. Resulting comments shall be documented for response on a Comment Resolution Form, and/or within Bluebeam Studio Sessions, when appropriate, for distribution to the design consultant/subconsultant for response and resolution.

The design consultant shall facilitate comment resolution meetings with the stakeholder, and/or UTA when necessary.

The design consultant shall be responsible to document response, approved resolution and verification of comment resolution to facilitate subsequent verification by the UTA.

4.4 Design Changes

All proposed changes to design after baseline of the project shall be analyzed, reviewed and approved in accordance with the design quality management plan.

Design deliverables including drawings, specifications, calculations, estimates, reports, etc. shall be uniquely identified and shall include revision levels and dates as defined within the design quality management plan.

Contractors shall verify that they are using the correct version (latest revision) of all drawings and Contract specifications.

4.5 Control of Design Services During Construction

Design consultants/subconsultants shall be responsible to control design services during construction in accordance with the UTA standard DQMP or their respective approved design quality management plans. Design changes proposed during the construction phase shall be reviewed and approved in accordance with the design quality management plan prior to implementation.

The following work products generated during construction phase services shall be subject to quality check and review processes as defined in approved design quality management plans:

• Responses to Requests for Information (RFIs)

• Construction submittals/Shop Drawings

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• Notices of Design Change

• Field Design Changes

• Responses to Deficiencies and Nonconformance Reports (NCRs)

• As-Built Drawings

All corresponding records of quality checks and reviews shall be maintained, and subject to audit by UTA.

All changes to design documents during construction phase services shall be subject to the same review process as original design as described above.

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5 Construction Control

5.1 Construction Quality Control Plan

5.1.1 Contractor-Developed CQCP

The contractor shall be responsible for the development, implementation, and maintenance of a CQCP consistent with the requirements of this section, which assures equipment and material conformance to the applicable requirements of every section of the specifications. A contractor developed CQCP must meet or exceed the procedures set forth in this QMP. The UTA standard CQCP shall be followed unless otherwise stated contractually. See Appendix C, Construction Quality Procedures for requirements.

5.1.2 CQCP Functions

The CQCP shall assure the maintenance of adequate quality throughout all applicable areas of contract performance, such as: design, fabrication, inspection, testing, handling, packaging, shipping, storage, and site construction activities. The CQCP shall provide modes of operation that emphasize the identification, correction, and prevention of deficiencies, discrepancies, and Nonconformance work. Documentation shall include plans, procedures, detailed work instructions, and records. Procedures to implement the CQCP shall be developed, specific responsibilities assigned, and individual job authorities clearly delineated. Procedures shall be established to systematically verify compliance with the requirements of this section and any other requirements of the specifications necessary to demonstrate conformance to the contract.

5.1.3 CQCP Distribution and Contents

The contractor shall submit the signed and dated CQCP to UTA within thirty days after notice to proceed. Electronic versions shall be submitted to the project manager, UTA quality manager, and document control manager. No work covered by the CQCP shall start until UTA has issued a statement of no objection. The CQCP shall contain a comprehensive account of the contractor's QC procedures that shall be applied throughout the contract. It shall include, but shall not be limited to, the following:

Quality Management Plan 13 January 2024

Organizational Chart

The organization chart will identify the contractor's QC supervisor and show that this position is outside the construction staff with clear lines of authority for QC, reporting directly to the contractor's corporate management. The QC supervisor or his designated substitute, acceptable to UTA, shall be present at the work site at all times that any work is in progress. The QC supervisor is responsible for coordination of inspections and testing. QC personnel will be assigned or designated to perform inspections and test the work, as required. QC personnel will be assigned to all work sites at all times that work is ongoing. The QC supervisor and QC personnel shall have the authority to direct on-site correction of work not in compliance with contract requirements. References hereinafter to contractor quality control or CQC shall mean inspection or testing by qualified personnel identified on the approved quality control organization chart.

Inspection and Test Plan

The inspection and test plan is for the preparation of detailed inspection and test procedures required to implement the inspection and test plan and demonstrate compliance with the contract specifications, drawings, and the typical quality control testing and inspection in Appendix C The procedure development plan shall also include an index of all quality control procedures and instructions that will be required to implement the quality control plan. The requirements noted in Appendix C shall be considered minimum requirements.

5.2 Construction Quality Control Plan Approval

5.2.1 CQCP Meeting with Engineer

Before the contractor's quality control plan is submitted, the contractor shall meet with UTA’s quality manager and discuss the contractor's quality control plan. The meeting shall develop a mutual understanding of the details of the plan, including the forms to be used for recording and communicating the quality control operations, inspections, administration of the plan for both on-site and off-site work, and the interrelationship of contractor and UTA inspection. The contractor shall prepare minutes of the meeting which shall be incorporated in the contractor's quality control plan.

5.2.2 CQCP Approval Prior to Fabrication

Unless specifically authorized by UTA’s quality manager, no construction or off-site fabrication shall be started until the contractor's entire quality control plan is approved.

Construction of any feature of the work will only be permitted after the approval of the quality control plan, or at least approval of that portion of the plan applicable to the specific feature of the work. At the election of the contracting officer, no request for payment will be processed under this contract until the entire quality control plan has been approved.

Quality Management Plan 14 January 2024

5.2.3 Deficiencies in the CQCP

If UTA’s quality manager determines that the quality control plan, personnel, inspections, tests, or records are not adequate, Corrective Actions shall be taken immediately as appropriate to cure the problem.

5.2.4 Notifications of Changes to UTA

The contractor shall notify UTA’s quality manager, in writing, of any proposed change to the contractor's quality control plan. No such change shall be implemented prior to UTA issuing a statement of no objection.

5.3 Quality Control Plan Implementation

Implementation of the quality control plan is the responsibility of the contractor. This implementation will be closely monitored by the UTA and deficiencies therein will be corrected by, or at the expense of, the contractor.

Quality Management Plan 15 January 2024

6 Project Management

6.1 Preparation and Maintenance of the Project Management Plan A PMP is required for all projects in accordance with this procedure or when required by FTA, UTA management, or any other authority. A contractor developed PMP must meet or exceed the procedures set forth in this QMP. The UTA standard PMP shall be followed unless stated otherwise in the contract.

The Project Management Plan is developed to combine all elements of the project into a strategic plan for the successful completion of the project. It is a communication tool for distribution to the project team so that each member is clear on his or her contribution, when it is due, and how it interfaces with other project elements.

This document is, in effect, a process model that clearly describes what UTA wants, how to achieve these goals, and the resources that are to be devoted to the project.

Responsibility for preparation of the Project Management Plan rests with the project manager. The PMP must establish the project parameters for all disciplines involved in design and must reflect UTA’s contractual requirements and contract limitations.

The PMP must be approved by the project manager and the UTA quality manager prior to distribution.

6.1.1 Project Management Plan Structure

The Project Management Plan is divided into five major sections dealing with the project work program, project organization and control, budget and cost control, schedule control, and safety.

1. Plan Format - The PMP will follow the format shown below.

2. Reproduction of the Plan - The PMP shall be stored electronically and provided via a controlled version.

3. Distribution of the Plan - The initial and subsequent issues of the Project Management Plan are distributed by the project manager to the following:

• Project manager of each consultant

• Project director

• Design manager of each consultant

• Quality assurance manager

The project manager is responsible for maintaining a master distribution list and controlled distribution of the plan.

4. Revisions to the Plan - The plan must be a dynamic document that conveys the lessons of experience on the job and provides the direction needed to complete the project successfully.

5. Documentation of Revisions - As revisions or amendments to the PMP are distributed, they are accompanied by a transmittal slip listing the current and all previous revisions by revision sequence number, the revision date, and the pages revised or added by that revision.

Quality Management Plan 16 January 2024

6.2 Project Management Plan Content Requirements

The PMP shall at minimum contain the following outline and content:

1.0 Project Work Program

1.1 Project Description

Clearly define the type of project, scope, and limits. Include the description for procurement strategy and any special requirement.

Describe special physical, technical, timing, or other conditions affecting the design.

Include schematic location plans and/or other graphics that will help to visually define the project scope.

1.2 Work Breakdown Structure

Outline the major tasks and subtasks of the project and define their interdependency and relationships to other tasks.

Prepare detailed lists of information required, that is to be provided by others to each discipline, office, and consultants, in order to complete those tasks or work phases for which they are responsible.

NOTE: Cost and time restraints associated with information requirements and task completions should be identified. Also, the expected source of the information should be clearly noted.

State the approach to be taken on each task; including, where applicable, software to be utilized and/or modified, analysis to be performed, etc.

List those tasks that will require peer review or the services of a technical advisory specialist not yet assigned to the project team.

1.3 Applicable Standards

List all standard documents, design, other applicable criteria, and standard codes required that will be used to evaluate the project deliverables.

1.4 Contract Deliverables

A list of all deliverables, together with descriptions, quantity to be delivered, and the scheduled date, should be included in the plan.

Descriptions of deliverables should include engineering scales, printing method, estimated number of pages or sheets, type of reproducible if applicable, and other information required to clearly establish production time and cost, along with where the printing or art work is to be done.

The methods of shipping and lead time for shipment of deliverables are to be identified.

Quality Management Plan 17 January 2024

2.0 Project Organization and Control

2.1 Project Organization

Define the composition of the team and organizational structure for the project.