5_ AE 50620 MARTA Issued Technical Document P.pdf

DEPARTMENT OF CAPITAL PROGRAMS

& DEVELOPMENT

ISSUED TECHNICAL DOCUMENT

PROCEDURE

DATE: APRIL 2021

DocuSign Envelope ID: A04A3CB9-875C-4ABC-8AB0-8E364AFD0AEF

ISSUE DATE

04-29-2021

REFERENCE

NO.

CPD-PR-

DOCUMENT REVISION HISTORY

REVISION DESCRIPTION DATE

0 INITIAL RELEASE 02-15-2019

1 REVISION 03-25-2021

2 REVISION 04-29-2021

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NO.

Contents I. General

A. Scope

B. Purpose

C. Authority

D. MARTA Policy

E. Definitions

II. Procedure

A. Signing and Labeling

B. Document Formats

C. Document Types

D. Responsibilities

III. Supporting Documents

A. References IV Appendices…………………………………………………………………………………………. 21

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ISSUING

DEPARTMENT:

Capital Programs & Development

PREPARED BY:

Carolyn Dixon, Technical Writer Capital Programs & Development Management Staff

APPROVED BY:

CoCory Brown Engineering Design Manager

Signature Date

Larry Prescott AGM, Infrastructure

Signature Date

SUPERSEDES:

5/14/2021

5/14/2021

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I. General A. Scope This procedure applies to all issued technical documents requiring endorsement within each business unit of MARTA’s Department of Capital Programs & Development.

B. Purpose

This procedure provides instructions and examples of document endorsement in conformance to published regulations and MARTA policy. Endorsements can include any combination of signatures, seals or other approval methods.

Seals and endorsements are required to authenticate documents. Examples outlined are endorsement blocks for drawings, concurrence memoranda and technical reports.

C. Authority This document is maintained and endorsed by Authority registered professionals and Capital Programs & Development management staff.

D. MARTA Policy

Documents formally issued for use at MARTA shall be endorsed in compliance with Regulatory requirements and applicable MARTA document process and procedures.

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E. Definitions

Term Definition Authentication Transmittal Memo Validates electronic endorsement with a written record.

CADD Computer Aided Design and Drafting, the tools used for the preparation of designs and drawings (AutoCAD required for most projects).

Design Production Document Digital Deliveries

Production software formatted source files, CADD or Authority approved software files shall be submitted with first revision endorsements pre-labeled. (See Figure 2 and Appendix A).

Electronic Signing Software A software that performs the digital authentication process, has secure encrypted tracking, and authentication.

Endorsement The act of giving one’s public approval. In the case of documents or drawings, may include registered seal, certificates, and signatures as examples of different endorsement mechanisms.

Initial Document Release First public issuance of an authorized and endorsed document - pursuant to all applicable policies and regulations.

Initials First letter of first, middle, and last names.

Issued Technical Document Design drawings, construction documents, technical memos/reports, concurrence memos, letter reports, authentication memos or related documents that require endorsements for registered professionals or authorized signatories.

Label Block letter input to document previous endorsements. MARTA provided style or accepted alternate digital font. Typed letter input, Leroy scribing or hand-lettering may be used for approved manually produced documents.

Registered Professional A technical professional with certification or licensure compliant with Georgia State Law.

Revision The currently issued version status of a document represented by an alpha or numeric character.

Sensitive Security Information (SSI) A category of sensitive but unclassified information under the United States government’s information sharing and control rules and “MARTA Police and Emergency Management Department- SSI document”.

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II. Procedure A. Signing and Labeling

i. DRAWING TITLE BLOCK ENDORSEMENTS AND LABELING

1. Authorizing Endorsement Responsibilities:

i. Sealing Registered Professional (In-Charge)

Signature Accountability Definition: The undersigned certifies that the contract document content complies with Authority standards, applicable codes, and industry best practices.

The undersigned further certifies that the document development process and content complies with state law.

ii. Design Services Organization (Submitted)

Signature Accountability Definition: The undersigned certifies that the design work products herein represent compliance with each of the program commercial, legal and technical requirements. The undersigned is representing that they have verified the work products against the program commercial, legal and technical requirements in accordance with the ISO90011 definition of “Verification”.

iii. Program Management Organization (Approved)

Signature Accountability Definition: The undersigned certifies that the program commercial, legal and technical requirements provided herein represent compliance with intended use of the project funds. The undersigned certifies that the program commercial, legal and technical requirements are suitable for the intended purpose of the project. The undersigned is representing that they have validated the requirements against the program charter in accordance with the ISO9001 definition of “Validation”.

2. The first and middle initials and full last name shall be endorsed by the Designer, Drafter, Checker, registered professional, and managers in the respective endorsement blocks identified by the words: Designed, Drawn, Checked, In-Charge, Submitted, and Approved. The same person cannot endorse as both Checked and In-Charge.

3. If the Designer, Drafter, or Checker is not available to endorse the drawing, type or print the person’s first and middle initials, and full last name using an Authority approved labeling style.

The professional “In-Charge” shall initial adjacent to the name.

4. Subsequent document revisions shall label the first and middle initials and full last name of each endorsement as made in the previous issue of the drawing using MARTA approved labeling style. The title block line for the pending revision shall be endorsed.

1 Refer to Section III, A. for ISO9001 definition.

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ii. DRAWING REVISION BLOCK ENDORSEMENTS AND LABELING

1. The first revision shall be made on the lower line of the right revision block, followed by the second revision above it, then proceed to the lower line of the left revision box.

2. Pending revisions to the drawing shall be as indicated above except that the previous revision block(s) will be CADD-labeled initials of those individuals, who had previously initialed “By”, “Submitted”, and “Approved”. Configuration Management will maintain the drawings superseded by revisions.

3. If all available areas in the revision block have been utilized, remove the oldest revision data and reuse the block area.

4. Approved electronic endorsements or hand-lettered originals may remain on documents in lieu of labeling.

5. Seals on revised documents may be reaffixed, electronically maintained, or replaced with MARTA Sealing Note.

a. *MARTA Sealing Note: “The sealed drawing is retained by MARTA Document Control.”

b. Sealing Note shall replace seal in Responsibility block ‘F’.

iii. AS-BUILTS

Design production document digital deliveries subsequent to initial issued technical documents shall have all endorsements in accordance with Section II, A. ii.

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iv. AUTHENTICATION TRANSMITTAL MEMO

The Authentication Transmittal Memo validates endorsement with a written record. Refer to Figure 6.

v. ENDORSEMENTS

Endorsements and initials must be in black ink or authenticated electronic endorsements (refer to Table 1 and Table 2). All older hand endorsements and initials shall be labeled in an acceptable font of approved electronic endorsements.

B. Document Formats

The delivered/deliverable format shall be approved by the Authority. Issued technical documents shall be vellum originals, tiff, pdf, or another accepted format. Drawing production digital files shall be AutoCAD version specified by the Authority or other accepted format.

C. Document Types

i. DRAWINGS

The following fields shall be endorsed, initialed, or labeled by design staff with required level of authority. The Initial Issue Block (Figure 1) shall contain endorsements and labels authorizing final initial document release. The Revision Block (Figure 2) shall contain, initials and data authorizing drawing revision releases. Seals shall be affixed in accordance with state regulations. The Title Block examples shown in Figures 3A,3B, and 3C shall contain the responsible Technical Consultant/ MARTA Program Manager, Technical Consultant/Consultant Program Manager, responsible MARTA Technical and Program Manager. Refer to Section II, ‘D. Responsibilities’ Table 1 and Table 2 to define the drawing designations shown in Figures, 1 thru 3C.

ISSUE DATE:

04-29-2021 Revision No.: 02

REFERENCE NO.

CPD-PR-1000

Page 9A of 22

TYPE: “Issued Technical Document” Procedure

i. DRAWINGS

Figure 1- Initial Issue

Figure 2- Revision Block

Figure 3A - Title Block (Consultant Technical Responsibility, MARTA Program Management)

O P Q R

B

C

A

D

G

E

S

F

H1

G H1

M

L

I J K

N

ISSUE DATE:

04-29-2021 Revision No.: 02

REFERENCE NO.

CPD-PR-1000

Page 9B of 22

TYPE: “Issued Technical Document” Procedure

Figure 3B - Title Block (Consultant Technical Responsibility, Consultant Program Manager)

Figure 3C- Title Block (MARTA Technical and Program Manager Responsibility)

G and H1

G H1

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ii. TECHNICAL MEMOS/REPORTS

Endorsement rules for design reports that require professional seals. Refer to Figure 4.

Figure 4- Sample Memo/Report Endorsements

H1

Additional endorsements may be required

C

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iii. MEMOS/CONCURRENCE LETTERS

Validate technical documents with endorsements for approval or concurrence. Endorsement shall be at end of technical content.

Concurrence:

Tim Elsberry Maintenance of Way

C.D. Wright Infrastructure Engineering

Figure 5- Sample Concurrence Memo Endorsement Block

E

Varies depending on document

E

Required

D

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iv. AUTHENTICATION TRANSMITTAL MEMO

METROPOLITAN ATLANTA RAPID TRANSIT AUTHORITY

Electronic Signature Authentication

TO: Project No.

Contract No.

FROM: (Signature may not be electronically affixed) FILE:

Project Title:

Subject:

TRANSMITTED HEREWITH IS:

List documents to be issued:

Drawings, Specifications, Reports, Technical Memos, etc.

Figure 6- Sample Electronic Signature Authentication

H1

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v. TITLE SHEET

Figure 7- Sample Drawing Cover Page

2. Separate authorizations are not required for project performed entirely with MARTA staff.

H1

H2

1. Endorsements may not be electronically affixed.

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D. Responsibilities

i. ENDORSEMENT COMPONENT DESCRIPTIONS The following tables describe the individual components of each endorsement type used in this procedure.

ID

Label Endorsement Block Name

Requirements for

Endorsement

Manual Initial Endorsement Requirements

Manual Revision

Endorsement Requirements

Electronic Initial Endorsement Requirements

Electronic Revision

Endorsement Requirements

A. DESIGNED Designer Signed in Black

Ink Name Shall be

Labeled Electronic

Signing Software Electronic Signing

Software B. DRAWN Drafter

Signed in Black

Ink Name Shall be

Labeled Electronic

Signing Software Electronic Signing

Software C. CHECKED Registered

Professional (Checker may not be professional in charge)

Signed in Black Ink

Name Shall be Labeled

Electronic Signing Software

Electronic Signing

Software

D. IN CHARGE Discipline Professional/

Technical Supervisor/ Department

Lead, (may not be checker)

Signed in Black Ink

Name Shall be Labeled

Electronic Signing Software

(Fig.5) Except as noted

Electronic Signing

Software (Fig. 5)

Except as noted

E. DATE Assigned by Project Manager

Date Shall be Labeled

Date Shall be Labeled

Electronic Signing Software

Electronic Signing

Software

F. PROFESSIONAL

SEAL BLOCK

Georgia

Registered Professional Seal

Professional Seal Affixed

Seal Note Shall be Labeled

Electronic Signing Software

Seal

Electronic Signing

Software G. SUBMITTED Design

Organization Principal or

Director

Signed in Black Ink

Name shall be Labeled

Electronic Signing Software

Signing

H1. May be MARTA or Consultant Program Manager.

Program Manager

Representative

Signed in Black Ink

Name Shall be Labeled

Signing Software

Table 1, (for Figs. 1, 3A, 3B, 3C, 4, 5, 6, 7)

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i. ENDORSEMENT COMPONENT DESCRIPTIONS, Continued

Labe l

Endorsemen t Block Name

Requirement s for

Endorsement

Manual Initial Endorsement Requirement s

Manual Revision

Endorsement Requirement s

Electronic Initial

Endorsement Requirement s

Electronic Revision

Endorsement Requirement s

H2. APPROVED

May be required when Program Manager is not Authority staff

MARTA

authorizing Director or Manager

Signed in Black Ink

Name Shall be Labeled

Electronic

I. DRAWING

NO.

Shall be coordinated between Designer, Project Manager &

CADD

Manager

Shall be Labeled

Shall be Labeled

Shall be Labeled

Shall be Labeled

J. REV. NO. Assigned by Project Manager

Shall be Labeled

Shall be Labeled

Shall be Labeled

Shall be Labeled

K. PAGE NO.

Designer shall fill in.

Shall be Labeled

Shall be Labeled

Shall be Labeled

Shall be Labeled

L. CONTRACT

NUMBER

Assigned by Project Manager

Shall be Labeled

Shall be Labeled

Shall be Labeled

Shall be Labeled

M. SCALE Designer shall fill in

Shall be Labeled

Shall be Labeled

Shall be Labeled

Shall be Labeled

Table 1, continued, (for Figs. 1, 3A, 3B, 3C, 4, 5, 6, 7)

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ii. DRAWING REVISION ENDORSEMENT COMPONENT DESCRIPTIONS

Label

Endorsement Block Name

Requirements for Endorsement

Manual Pending Endorsement Requirements

Manual Requirements for Previous Revision Block Endorsements

Electronic Pending Endorsement Requirements

Electronic Requirements for Previous Revision Block Endorsements

N. REV. NO. Assigned by

Project Manager Shall be Labeled Shall be Labeled Electronic

Signing Software

Electronic Signing Software

O. DATE Assigned by Project Manager

Shall be Labeled Shall be Labeled Electronic Signing Software

Electronic Signing Software

P. BY Initials by Registered Designer or Checker (may not be Professional submitting)

Shall be Initialed in black ink;

Shall be labeled thereafter during revisions

Shall be Labeled Electronic

Software

Electronic Signing Software

Q. SUB. Registered Engineer or Architect responsible for revision

Shall be Initialed in black ink;

Shall be labeled

Shall be Labeled

Software

Electronic Signing Software

R. APP. Design Organization Principal or Director (Refer to Responsibility H1)

Shall be Initialed in black ink;

Shall be labeled

Shall be Labeled

Software

Electronic Signing Software

S. DESCRIPTION Shall be coordinated between Designer, Project Manager & CADD Manager

Shall be Labeled Shall be Labeled Electronic Signing Software

Electronic

Table 2, (for Fig. 2)

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III. Supporting Documents A. References

1. Deviation from this procedure shall require written approval from MARTA Director responsible for technical documents.

2. It shall be the responsibility of the drawing author to comply with “MARTA CADD Criteria for Drawings.”

3. Sensitive Security Information (SSI) Procedure:

It shall be the responsibility of the document author to comply with the United States government’s information sharing and control rules and “MARTA Police and Emergency Management Department - SSI document” for data classification policy, which defines what datasets and information that is considered sensitive and applicable non-disclosure agreements. The SSI document defines guidelines by which employees and contractors must mark, control, manage, transmit and destroy SSI. Please contact the Enterprise Security Risk Management team for any specific concerns and the project manager will supply current version and required contact information.

4. ISO 9001:

Is an International Standard for Quality Management Certification to this standard indicates that a third party certifying body has audited the organization for compliance to the standard MARTA requires all suppliers to be certified to this standard. The standard emphasizes some key processes; establishment of project requirements, verification and validation of the requirements, issue, and error tracking, with concurrence and support of these activities across the entire organization.

5. Refer to Appendix A for Deliverables Diagram.

6. Refer to Appendix B for Rules and Regulations of the State of Georgia, Mar.26, 2021

One Mylar Original For Issued Technical Documents

Originally the Authority had one hard copy ink signed version that was retained.

All ink revision signatures on one Mylar original hard copy.

Distributed photocopies or blueline prints.

Raster Scans

Vellum (CADD) Era

One set of signatures per Vellum (per version).

Subsequent versions replace originals. All versions retained by MARTA document control.

Hard copy scanned and distributed electronically when issued.

Multiple Vellum Versions

Mylar Era

APPENDIX A

Contract Document

Deliverables Diagram

A-1

Issued Technical Reports, Memos/

Concurrence Letters, or Policy or Procedure

Adoption Documents

Authentication Transmittal Memo

Accepted Electronic Format or Original Document

CADD, BIM,

etc. files with CADD labeled signatures

(i.e., AutoCad, BIM, data files, other computer files) drawing files transmitted with signatures labeled for subsequent document revisions.

Vellum, digital scans (pdf, tiff, etc.).

or Electronically signed and sealed contract documents and Authentication

Transmittal Memo.

Authentication Transmittal Memo for Electronic Signatures

Scans

Drawing Set- Accepted electronic format for original documents

Legacy Deliverables

Current Deliverables

Authentication Transmittal Memo required for documents with Electronic Signatures.

Design Production Digital Source Files

Original endorsed and sealed contract documents

Issued Drawings

NOTE:

Project Manual (Specifications) requirements addressed in separate procedures.

Other computer files

APPENDIX B

B-1

Rules and Regulations of the State of Georgia Ga. Comp. R. & Regs. r. 180-12-.02 Sealing of Documents Georgia Administrative Code Department 180. STATE BOARD OF REGISTRATION FOR PROFESSIONAL ENGINEERS

AND LAND SURVEYORS

Chapter 180-12. SEALING OF DOCUMENTS

Chapter 180-12. SEALING OF DOCUMENTS.

Rule 180-12-.01. Description.

The seal authorized by the State Board of Registration for Professional Engineers and Land Surveyors for registrants may be of the crimp type and/or rubber stamp facsimile or may be computer generated. The seal design is to be circular in form, the diameter of the outer circle being 1 1/2 inches, and the diameter of the inner circle being one inch. The registration seal design will be furnished to each registrant as part of the licensure process.

Cite as Ga. Comp. R. & Regs. R. 180-12-.01 Authority: Ga. L. 1945, pp. 294, 299; 43-15-22.

History. Original Rule entitled "Preamble" was filed on October 24, 1968; effective November 12, 1968.

Amended: Rule repealed. Filed July 31, 1975; effective August 20, 1975.

Amended: Rule entitled "Description" adopted. F. April 18, 2001; eff. May 8, 2001.

Rule 180-12-.02. Sealing of Documents.

(1) The term, "documents," as used herein shall mean engineering and/or land surveying work issued in the form of plans, drawings, maps, surveys, reports, specifications, design information, and calculations, including such work issued in digital form.

(2) The term "issued" as used herein shall mean documents in the final form which bear the seal, signature and date of the registrant and the entity's Certificate of Authorization Name, Authorization Number and Expiration date of the COA (as required by GA Law 43-15-23.

Practice of professional engineering by or through firm, corporation, or other entity for COA requirements.)

(3) The registrant shall seal, sign and date and provide COA name, Authorization Number and expiration date of the COA all original final documents which are issued to a client or any public agency. The sealing of documents by the registrant shall certify that the work was performed by the registrant or under the direct supervisory control of the registrant on a daily basis. For engineering documents, the date of signature shall be placed immediately under the seal and signature.

(4) No registrant shall issue or allow to be issued draft, incomplete, preliminary, in-progress, or for-review document or any type that contains the seal of the registrant unless such document does not contain a signature. Further, any such draft shall display the date of issue and a notation under or adjacent to the seal in bold lettering, such as "PRELIMINARY","DRAFT","NOT FOR CONSTRUCTION or "FOR REVIEW ONLY," which clearly identifies the purpose for which the document is issued. Any document containing a seal, signature, date and COA information as required in (2) above shall be considered to be issued.

(5) Seals, signatures, dates, COA Information and/or other notations required by this Rule shall be placed on original documents such that the seal, signature, date, COA Information and/or notations, will be reproduced when copies or scans are made. A "facsimile signature" that is to be placed on a property survey map or plat in accordance with OCGA 15-6-67 may be a scanned image of an actual signature or a computer generated signature, and must be kept in the strict control of the land surveyor.

APPENDIX B

B-2

(6) Each drawing sheet, whether bound or unbound, shall be sealed, signed and dated by the registrant(s) responsible for the work on that sheet and contain the entity's COA information. If a document is sealed, signed and dated and contains the entity's COA information by more than one registrant, the portion of the work for which each registrant is responsible shall be clearly noted.

(7) Each document that is sealed, signed and dated by a registrant shall contain the name, address, and contact information of the firm or sole practitioner certifying the work. Each document shall have the entity's COA information included.

(8) Documents as defined in Paragraph (1) that are transmitted electronically beyond the direct control of the licensee shall have the computer-generated seal removed from the original file, unless signed with an electronic signature as defined in Paragraph (9) of this Rule.

After removal of the seal the electronic media shall have the following inserted in lieu of the signature and date: "This document originally issued and sealed by (name of sealer), (license number), on (Date of sealing) and the entity's COA Information. This medium shall not be considered a certified document." Hardcopy documents containing the original seal, signature, date and entity's COA information of the licensee may be duplicated by photocopy or electronic scanning processes and distributed either in hardcopy or electronic medium. The scanned digital files of certified documents are not subject to the requirements of this Paragraph. The electronic transmission beyond the direct control of the licensee of CAD, vector or other files subject to easy editing are subject to the requirements of this paragraph. Easy editing is based on the file consisting of separate elements that can be individually modified or deleted.

(9) Documents to be electronically transmitted beyond the direct control of the licensee that are signed using an electronic signature shall contain the authentication procedure in a secure mode and a list of the hardware, software and parameters used to prepare the document(s).

Secure mode means that the authentication procedure has protective measures to prevent alteration or overriding of the authentication procedure. This paragraph does not apply to property survey maps and plats governed by OCGA 15-6-67 which may be submitted in an electronic file format that is regulated by the Georgia Superior Court Clerks Cooperative Authority. The term "electronic signature" shall be an electronic authentication process that is attached to or logically associated with an electronic document. The electronic signature shall be:

(a) Unique to the licensee using it;

(b) Capable of verification;

(c) Under the sole control of the licensee; and

(d) Linked to a document in such a manner that the electronic signature is invalidated if any data in the document is changed.

Cite as Ga. Comp. R. & Regs. R. 180-12-.02 Authority: O.C.G.A. §§ 43-15-8, 43-15-11, 43-15-12, 43-15-13.

History. Original Rule entitled "Land Titles and Location" adopted. F. Oct. 24, 1968; eff. Nov. 12, 1968.

Repealed: F. July 31, 1975; eff. Aug. 20, 1975.

Amended: New Rule entitled "Sealing of Documents" adopted. F. May 7, 2001; eff. May 27, 2001.

Repealed: New Rule of same title adopted. F. Jan. 28, 2005; eff. Feb. 17, 2005.

Repealed: New Rule of same title adopted. F. Feb. 25, 2008; eff. Mar. 16, 2008.

Repealed: New Rule of same title adopted. F. Jan. 23, 2009; eff. Feb. 12, 2009.

Repealed: New Rule of same title adopted. F. Dec. 7, 2011; eff. Dec. 27, 2011.

Amended: F. May 30, 2017; eff. June 19, 2017.

Amended: F. May 17, 2019; eff. June 6, 2019.