Quality Assurance Program for Capital Improvement Projects - Dart

LIST OF ACRONYMSAPR Audit Finding ReportANSI American National Standards InstituteASQC American Society of Quality ControlASTM ASTM International (Formerly known as American Society forTesting and Materials)AVP Assistant Vice PresidentCADD Computer Aided Drafting and DesignCAR Corrective Action ReportCCB Change Control BoardCEM Construction Engineering ManagerCOR Contracting Officers RepresentativeCQA Certified Quality AuditorCQCR Contractor's Quality Control RepresentativeD/M/WBE Disadvantaged, Minority, Women Owned - BusinessEnterprisesDART Dallas Area Rapid TransitDN Deficiency NotificationFTA Federal Transit AdministrationGEC General Engineering ConsultantISO International Organization for StandardizationLRV Light Rail VehicleNCR Nonconformance ReportPCC Project Controls ConsultantPMFR Project Management File RoomPMOC Project Management Oversight ContractorQA Quality AssuranceQA/QC Quality Assurance/Quality ControlQAP Quality Assurance ProgramRCM Resident Construction MangerRE Resident EngineerSDC Systems Design ConsultantSIC Systems Integration ConsultantSMT Senior Management TeamVDC Vehicle Design ConsultantVP Vice PresidentJanuary 2005 - v-

DART Quality Assurance Program1.0 OBJECTIVEThe main objective of the Dallas Area Rapid Transit (DART) Quality Assurance Program is toestablish a systematic approach to assure that contracted products and services are produced anddelivered, with the required level of quality. DART minimizes its detailed involvement ininspection and testing by requiring consultants, contractors and suppliers to have effectivequality programs. Each consultant, contractor and supplier must submit a Quality Plan tailoredto meet contract requirements and the specified scope of work. However, DART retains overallresponsibility for the quality program.2.0 REFERENCESThe DART Quality Assurance Program is based on ANSI/ISO/ASQC Q9001:2000, QualitySystems — Model for Quality Assurance in Design, Development, Production, Installation andServicing, U.S. Department of Transportation FTA-IT-90-5001-02.1, Quality Assurance andQuality Control Guidelines and Federal Transit Administration's Project and ConstructionManagement Guidelines as amended to include updates.3.0 DEFINITIONSSee glossary.4.0 QUALITY SYSTEM ELEMENTS4.1 MANAGEMENT RESPONSIBILITY4.1.1 Quality PolicyThe Quality Assurance Program described herein applies to the DART Capital ImprovementProgram and project participants. Since planned, systematic actions are necessary to provideconfidence that projects will function as specified, this Quality Assurance Program encompassestechnical activities relating to the development, acquisition, testing and start-up of DARTprojects. DART, its consultants, contractors and suppliers (including their subs) shall conform tothe requirements of this Program. For a detailed description of the Capital ImprovementProgram, refer to the DART Capital Improvement Program Management Plan.4.1.2 OrganizationSee Figure 1 for DART Management Organizational Chart.See Figure 2 for DART Project Management Department Organization Chart.See Figure 3 for DART Functional Organizational Chart.January 2005 - 1 - DART QAP Rev. 06

DART MANAGEMENTORGANIZATIONAL CHARTBoardofDirectorsJ.GeneralCounselR. AngleDirectorInternal AuditA. BaztsDirector BoardSupport.N. JohnsonPresident/Executive DirectorG.ThomasChief of Staff3. DavisExec Vice President/Chief of OperationsV. BurkeExec Vice President- Administration 'Exec Vice PresidentProgram DevelopmentSr. VPProjectManagementcKaVPMarketing &CommunicationBaumanVP . II, VP 'CFO II Diversity &Finance II Economic OppLeary || DixonVPProcurementMercerVPP»r» transitDouglas .VPTra nspo rtatlonVPMaintenanceVPHumanResourcesJacksonVP:hJef of PoliceVPCommuterRailWatersAVP •MarketingAdvertisingVacantAVPCommunicationStrlngfeilowAVPExternalCommunicationPeriaAVPi- TreasurerHallettLAVPBusinessSolutionsVacantAVPDiversityEcon. Opp.CaldwellAVPProcurementSupportMowenAVPContractsPritchettAVPPolicyTopletzAVPParatransit', OperationsThompsonAVPParatransitMgmt. ServHaenftlingAVPRailOperationsGaulAVPBusOperationsMvergAVPOperationsSupportMaterial!MgmtSadberryAVPOperaticAdmin.HetrickAVPTechnicalServicesRogeri •AVP-WaysStructure &AmenitiesArchibaldAVPInformationSystemJarrettAVPRiskManagementReddingAVPDeputyChiefSplllerAVPMobilityProgramsOlyaiAVPServicePlanningNewbvAVPCapitalPlanningSalinAVPCommuterRailFreisnerAVPFacilitiesEngineeringUearteAVPSystemEngineeringSwindellAVPReal EstateGroundsAVPTechnicalServicesHaenftlinFigure #1-2-DART QAP Rev. 06AVPConstructionGollhofer-Raines

FunctionalOrganizational ChartCapital Improvement ProgramPresident/Executive Director- EMT (Interdepartmental Direction)- DART Board interface- DART Contractual AuthorityLegalCounselExec VP/Chief ofOperationsExecVPAdministrationExecVPProgramDevelopmentPlanning andDevelopment- Master Planning- AA/DEIS/FEDS- Service PlanningHumanResourcesProject DirectorSenior Vice PresidentProject ManagementCommuter Rail/Railroad Mgmt.TransportationOperationsMaintenanceQualityAssurance-CCB-SMt- Design/Construction Quality- Direction and Audits-ProgramManagement- Interdepartmental .InterfaceAdministrationFinance. Marketing &Community Affairs- Community Affairs- Media RelationsProcurement andMaterialManagementDepartmentContractAdministrationFacilitiesEngineering- Structural- Engineering- MEP- Architectural- Track- Geotechnical- Material TestingConstructionManagement• Construction Management• Program Development• Facilities Construction• Utility Relocation• Construction SafetySystemsEngineeringCommunicationsFare CollectionTrain Control & SignalsTraction ElectrificationVehiclesTechnicalServices- ConfigurationEnvironmentalComplianceCADD- System Safety- Project ControlsO&MSupport- Integrated Testing- Interface & Integration- Change Control- QA SupportRealEstateReal PropertyAcquisitionRelocationTitle ServiceAppraisal/ValuationSurveyingUtilitiesRelocationPropertyManagementDiversity/EconomicOpportunity-D/M/WBEFigure #3-4- DARTQAP Rev. 06

DART Quality Assurance Program4.1.2.1 Responsibility and AuthorityDART and its consultants, contractors, and suppliers are organized and managed such that:• Meeting the quality control goals and objectives of this Quality Assurance Program arethe responsibility of those performing and monitoring the work; and• The quality assurance and oversight function is performed by those not directlyresponsible for performance of the work.Those responsible for quality assurance shall have sufficient authority, access to work areas andorganizational freedom to identify quality problems, verify implementation of solutions, andcontrol further processing, delivery, or installation until the deficiency, non-conformance, orunsatisfactory condition has been properly disposed/resolved. Quality assurance personnel thatprovide quality verification shall report to a level of management that provides the authority andorganizational freedom to ensure that appropriate action is taken to resolve conditions adverse toquality. Quality Control/Quality Assurance personnel shall not be assigned duties other thanthose directly related to quality.The President/Executive Director reports to the DART Board of Directors, and is responsible forimplementing Board policies and day-to-day operations at DART. This includes responsibilityfor providing DART's customers and stakeholders quality products and services.The DART Senior Vice President of Project Management, reporting to the Executive VicePresident of Program Development, is responsible for the overall administration,implementation, maintenance and evaluation of the Quality Assurance Program for the CapitalImprovement Program.The Quality Assurance Manager, reporting to the Senior Vice President of Project Management,is responsible for directing and managing the Quality Assurance Program for CapitalImprovement Projects. The Quality Assurance Manager is delegated the authority, and providedcomplete organizational freedom, to investigate quality-related activities in all areas of CapitalImprovement Projects; and to identify, evaluate and resolve quality problems. The DARTQuality Assurance Manager serves as the management representative for external and internalquality related interfaces. Responsibilities include, but are not limited to:• Assuring that appropriate DART and project level quality assurance/quality controlprograms are implemented and maintained• Reviewing/approving contractual documents to ensure that appropriate quality assurancerequirements are included• Reviewing/approving consultant, contractor and supplier quality plans to ensure thatcontractual requirements are understood and included• Monitoring and evaluating quality program implementation, adequacy and effectivenessJanuary 2004 - 5 - DART QAP Rev. 06

DART Quality Assurance Program• Monitoring and evaluating quality program implementation, adequacy and effectiveness.• Revise and maintain the Quality Assurance Program as required.• Perform oversight audits/assessments of consultants and contractors activities.• Verify internakudit/assessments activities of consultants and contractors on the projects,to ensure adequate implementation of DART's Quality Assurance Program.• Reviewing and evaluating quality control staff for consultants andxmtractors.• Reporting to Executive Management on the performance of the Quality managementsystems and any need for improvement.• Communicating the DART Quality Assurance Program requirements to DART,consultants, and contractors to ensure that DART quality policies and procedures areproperly implemented and maintained.• Resolving conflicts relating to quality. NOTE: In cases where conflicts cannot beresolved by the Quality Assurance Manager, final resolution rests with the Senior VicePresident of Project Management.• Interfacing with Federal Transit Administration and Project Management OversightContractor personnel on Quality Assurance issues.4.1.2.2 ResourcesThe Quality Assurance Manager in consultation with the Senior Vice President of ProjectManagement will identify resource requirements needed for implementation of the QualityAssurance Program during the annual budget/strategic planning cycle. This effort will includeconsultant work programs. Contractors are responsible for addressing their own resourcerequirements based on the contract documents.4.1.3 Management ReviewThe management of each organization implementing the program needs to formally assess theadequacy and effectiveness of its quality program. Third-party certifications may be accepted atthe discretion of the DART Quality Assurance Manager.4.2 QUALITY SYSTEM4.2.1 GeneralAll Requests For Qualifications, Invitations For Bids, and Requests For Proposals will includequality requirements applicable to that particular project, and are to be verified by the DARTQuality Assurance Manager prior to pre-bid issuance.Consultants, contractors, and suppliers will develop their quality plans based on the contractdocuments for that project. The contractor's plan is submitted through the Contracting Officer'sJanuary 2005 - 6 - DART QAP Rev. 06

DART Quality Assurance ProgramRepresentative to DART's Quality Assurance Manager for review and approval prior tobeginning work. The contractor updates the quality plan as necessary, and forwards changes forreview and approval by the same method.4.2.2 Quality System ProceduresProject Management follows internal procedures, issues supplemental procedures, and providesproject personnel the instructions necessary to perform day-to-day activities.4.3 DESIGN CONTROL4.3.1 Design RequirementsDART's design criteria consist of written guidelines and directives, in addition to applicableindustry standards and specifications.DART Project Management design consultants provide contract documents utilizing goodengineering practice in accordance with DART's Design Criteria. Engineering drawings areproduced in accordance with DART's Design Criteria, which includes standards for ComputerAided Drafting and Design (CADD). Applicable field quality control requirements areincorporated throughout the contract documents. Design documents are reviewed forcompliance in accordance with DART's Design Criteria Manual and applicable requirementsfrom the contract, and are sealed by a Professional Engineer or Architect as required by Texasstate laws. All design consultants are required to comply with DART's Design Criteria Manualand specific quality assurance requirements stated within the respective contracts.4.3.2 Organizational and Technical Interfaces• The Facilities Engineering Division - composed of Professional Engineers, designers andarchitects acting as Project Managers under the direction of the Assistant Vice President(AVP) - who directs the efforts of the General Engineering Consultant (GEC) and otherdesign consultants. The primary objective is to develop contract documents forconstruction of DART's capital improvement projects. The GEC ensures that designconfiguration is maintained and changes are identified to all affected disciplines,including systems and systems integration.• The Systems Engineering Division - composed of Professional Engineers and designerswho direct the efforts of DART's System Design Consultant (SDC) in the design andinstallation of signals, traction electrification, communications and rail fare collection.The Systems Engineering Division also oversees and directs the Vehicle DesignConsultant (VDC) in the design, inspection, manufacturing process and delivery of theLight Rail Vehicles (LRV).• The Construction Management Division - composed of Professional Engineersperforming Construction Engineering Management under the direction of the AVP ofConstruction - who directs the efforts of Resident Construction Managers (RCM)provided by the GEC. The Construction Engineering Manager (CEM) is responsible foroversight of construction management, cost, and schedule aspects of facilities projects.January 2005 - 7 - DART QAP Rev. 06

DART Quality Assurance ProgramThis team will coordinate and interface with other DART personnel, engineeringcontractors, and other agencies in order to obtain support necessary to complete theconstruction contract work.• The Technical Services Division - directs the Systems Integration Consultant (SIC) andProject Controls Consultant (PCC) in the performance of their scope of work as indicatedbelow:a) SIC - manages the organizational and technical interfaces between the GEC andSDC - and solicits input from DART Maintenance, Transportation, and otherdepartments as necessary.b) PCC - serves as independent program oversight and reporting function for theCapital Improvement Program. Project Controls is responsible for tracking andforecasting cost, schedule, and document issues for the Program as a whole.4.3.3 Design ReviewDesigns are reviewed in accordance with Design Review Procedures and each contractrequirement. DART's Project Management staff, GEC, SDC, PCC, SIC, and outside agenciesperform technical reviews. The DART Quality Assurance Manager participates in designreviews to ensure that quality considerations are included. The 65% package for SystemsEngineering work is submitted for industry review prior to initiating a two-step procurementprocess.DART's Operation and Maintenance Departments participate during the design phase to ensureoperability and maintainability of the system being designed.The design review process is further described in DART's Design Review Procedures. NOTE:DART's design reviews do not relieve the designers/contractors of the responsibility to checktheir own work. Design firms implement their own Quality Assurance/Quality Control reviewsprior to submitting the design to DART. As a quality control measure, someone other than theindividual who performed the work checks all work.4.3.4 Design Verification and ValidationDesign reviews, design checks, alternate calculations, performance tests and other reviews areperformed and documented by personnel (with equal qualifications) other than those whooriginated the design. This approach, based on independent verification, is included in QualityAssurance/Quality Control plans of contractors performing design work.Constructability Reviews are performed and documented throughout the design phases.Construction personnel and the GEC perform an in-depth constructability review at the DARTand Agency submittal level. Systems Engineering personnel review the design to ensure that thesystems elements are coordinated and can be properly installed.4.3.5 Design ChangesDesign changes are checked, coordinated, documented and reviewed to the same level as theoriginal design, in accordance with DART's Change Control Procedures. Superseded designdocuments are marked and retained for information only.January 2005 - 8 - DART QAP Rev. 06

DART Quality Assurance Program4.4 DOCUMENT AND DATA CONTROLDART Project Management establishes and maintains documented procedures to controldocuments and data related to Capital Improvement Projects. Internal documents are distributedin accordance with Project Management File Room (PMFR) Procedures and controlled inaccordance with Engineering Document Control (EDC) Procedures. Incoming and outgoingcorrespondence is processed in the Project Management File Room as described in the PMFRProcedures. This system ensures that project documents are secured, maintained and readilyretrievable for use when needed. Documents from projects that are in-progress are managed inthe field office of the Contracting Officer's Representative until project completion, at whichtime they are turned over to PMFR for record retention.Contractors describe their procedures for document control within their quality plan, based onrequirements of the contract documents.Configuration Management uses established procedures to maintain a database of controlleddocuments for use in revision and distribution tracking.DART document control procedures require that changes to all controlled documents:• Be reviewed and approved by the same functions/personnel that approved the originaldocument• Designated functions/personnel have access to pertinent background information, in orderto base their review and approval• Where practical, changes are identified within the documentConfiguration Management maintains an internal website with current revisions of manuals andprocedures available to DART personnel. Further control measures shall ensure that:• Appropriate documents are available to those performing the work• Obsolete documents are either removed, or marked, to safeguard against unintended use• Obsolete documents retained for legal purposes are identified, and filed per DART'sProject Management File Room ProceduresConfiguration Management maintains the record and as-built plans for completed projects.4.5 PURCHASINGDART Procurement Regulations require contractors/suppliers service performance be inaccordance with specifications and contract documents. Quality requirements are included inthese contract documents and are implemented in an approved supplier's Quality Control Plan.January 2005 - 9 - DART QAP Rev. 06

DART Quality Assurance ProgramThe DART Quality Assurance Manager reviews solicitations, specifications, and drawings forverification of completeness, relevant standards, and quality. The Quality Assurance Managerauthorizes release of the procurement documents when quality requirements have been included.The Procurement Department has exclusive responsibility for the procurement processes withinthe Capital Improvement Program.4.6 PRODUCT IDENTIFICATION AND TRACEABILITYDART requires contractors to establish and maintain documented procedures for identifying andcontrolling products delivered for use in construction/installation. Traceability requirements formaterials, parts, equipment and services important to the function of safety related systems andsubsystems are included in DART contract documents, as applicable. Instructions relating totesting and inspection include requirements to verify and document that items are as identified inapplicable certifications and reports (qualification and functional test reports, data reports,nondestructive examination reports, etc.).4.7 PROCESS CONTROLProcess controls are addressed in quality control plans submitted for each project.Special processes are controlled and accomplished by qualified personnel using approvedprocedures and/or instructions in accordance with applicable codes, standards or specifications/contractual requirements. Records pertaining to procedures and personnelqualification/certification are maintained in project files.When special processes are in use, quality personnel verify qualifications and the use ofapproved procedures through personal witness, reviews, and audits of documentation. Recordsof verification are maintained in the project files, according to contract documents.4.8 INSPECTIONS AND TESTING4.8.1 GeneralDART requires the Contractor's Quality Control Representatives to provide continuousinspection and testing of the contract work. Contractor's quality control staff documentsinspection of critical work hidden by subsequent construction/installation activities. Certainconstruction/installation activities require the contractor to notify the Contracting Officer'sRepresentative in advance, so that Quality Assurance oversight can be provided. Theserequirements are included in contract documents.The contractor is responsible for engaging an independent testing agency that meets ASTM E329to ensure that testing and inspection is carried out in accordance with contract requirements.DART and its consultants (GEC, SDC, etc.) monitor the work of its contractors utilizingconstruction management (quality assurance) inspectors and accredited independent testinglaboratory personnel. However, this does not relieve the contractor of their responsibility toJanuary 2005 -10 - DART QAP Rev. 06

DART QualityAssurance Programprovide for quality control inspection and testing. The contractor's quality control plan includesa project specific testing and inspection plan. Inspection and testing is planned, performed, anddocumented by qualified personnel who are independent from the work being performed.4.8.2 Incoming InspectionThe contractor establishes procedures for inspection of incoming materials. DART'sContracting Officer's Representatives, through their quality personnel, verify that materials usedare in accordance with contract documents.4.8.3 In-Process Inspection and TestingConstruction contractors utilize a multi-phase inspection process that includes preparatory, initialand follow-up inspections; which is documented in accordance with their approved QualityControl Plan. Additional special inspections may be required and are identified by contractdocuments. Certain activities require hold or witness points; beyond which work does notproceed until required inspections have been conducted, or test results evaluated. These areaddressed in contractor quality control plans.4.8.4 Final Inspection and TestingThe contractor and consultant's QA/QC personnel, DART Quality Assurance, other departments,and jurisdiction authorities perform substantial completion inspections. Inspection punchlists aredocumented and maintained until such a time when open items have been completed and closed.DART's Contracting Officer's Representatives verify that inspections are completed prior toproject closeout.4.8.5 Inspection and Test RecordsManufacturers and construction contractors submit certified inspection and testing reports to theContracting Officer's Representative for review and archival in the project files. Such reportsare numbered sequentially and traceable to the contract, location, lot, part, test and retest number.Contractors provide certified test and inspection reports to the Contracting Officer'sRepresentative. Inspection and tests are documented, (including results) on inspection dailyreports.DART's independent testing laboratory provides test and inspection reports, separate from thecontractor, as a quality assurance and verification measure. This testing is performed throughour General Engineering Consultant (GEC).4.9 CONTROL OF INSPECTION, MEASURING AND TEST EQUIPMENT4.9.1 GeneralDART contractors are required to document their procedures for identification, control,calibration and maintenance of inspection, measuring and test equipment in their Quality ControlPlans.January 2005 -11 - DART QAP Rev. 06

DART Quality Assurance ProgramCalibrations reference standards traceable to the U.S. National Institute of Standards andTechnology. Certified calibration reports are either kept with the equipment or readily availablefrom the organization responsible for the equipment.The contractor establishes calibration intervals based on manufacturer's recommendation, usage,accuracy, and maintenance history, but in no case to exceed one year.Equipment is marked in a manner that is readily visible to the operator, but does not hamperoperation of the equipment, indicating calibration status for that piece of equipment.The contractor keeps a log of equipment requiring calibration: the log identifies the equipmentby make, model number, serial number, and current calibration status.Contractor's Quality Control staff monitors calibration status of measuring and test equipment.Items inspected and tested with devices proven to be out of calibration are re-inspected or retestedand the validity of previous inspections and tests are assessed and documented.4.10 INSPECTION AND TEST STATUSDART specifications identify required inspections and tests for each definable feature of work.Based on the contract documents, contractors submit an inspection and test plan for approvalprior to start of work. Test status for all projects are continuously updated and monitored by thecontractor, and available for the Contracting Officer's Representative and/or DART QualityAssurance's review, to ensure compliance with the approved test plan and the contractdocuments.4.11 CONTROL OF NONCONFORMING PRODUCT4.11.1 GeneralNonconforming materials, equipment, components, parts and work is identified, documented andsegregated (when possible) to prevent their inadvertent or unauthorized use. Contractors includeprocedures for control of nonconforming products within their quality control plans. Thecontractor's daily report indicates nonconformances. Contractors provide original copies of allreports dealing with nonconforming items to the Contracting Officer's Representative.DART Quality Assurance representative's monitor the contractor's Quality Control program.Identification of discrepancies and/or nonconformances by the contractor is monitored throughcontractor audits, and daily oversight provided by the Contracting Officer's Representative.DART Quality Assurance representatives document discrepant materials and workmanship in adaily report.4.11.1.1 Deficiency NoticeDART QA representatives document and notify the contractor when non-compliant work isidentified. This information is noted on QA/QC reports of both the contractor and theContracting Officer's Representative. Deficiencies identified are tracked on a Deficiency LogJanuary 2005 - 12 - DART QAP Rev. 06

PART Quality Assurance Program(Exhibit 1). Once a deficiency has been identified, the contractor takes necessary actions tobring the deficiency into conformance. The deficiency is not considered closed until theContracting Officer's Representative is satisfied that the deficiency has been corrected ortransferred to a nonconformance.4.11.1.2 Written Nonconformance ReportNonconforming items and deficiencies that affect follow-on work or deficiencies that have notbeen corrected are transferred to a Nonconformance Report (Exhibit 2) and NonconformanceDisposition Continuation Sheet (Exhibit 2A). The NCR shall be processed according to theinstruction included in (Exhibit 2B), and annotated on the NCR Log (Exhibit 2C).4.11.2 Review and Disposition of Nonconforming ProductNon-conforming items are dispositioned as follows:• REJECT: The item is unsuitable for its intended use and economically or physicallyincapable of being repaired/reworked.• REWORK: The item can be brought into conformance with original requirements.• REPAIR: The item can be made acceptable for its intended purpose; however, it may notmeet all requirements.• USE-AS-IS: The item will be used without modifications; and will meet engineeringfunctional requirements for performance and fit.Contractors shall develop procedures for dispositioning nonconformances identified by theirrespective QC staffs as REWORK, REPAIR or USE-AS-IS. Contractors shall provide originalcopies of all reports dealing with nonconforming items to the Contracting Officer'sRepresentative. Contractors shall address nonconformances within their daily reports. Itemsdispositioned as REWORK, REPAIR or USE-AS-IS are inspected and verified by theContracting Officer's Representative prior to NCR closure.The DART Contracting Officer's Representative shall determine if items identified by DARTQuality Assurance representatives will be dispositioned as REJECT or REWORK.If the recommendation is to REPAIR or USE-AS-IS, the item must be dispositioned on a DARTNonconformance Report, regardless of who originally identified the nonconformance. TheContracting Officer's Representative shall ensure that the form is completed properly, and thatall required signatures are obtained.DART and its representatives make the determination a/whether a credit is due to the agency foritems dispositioned as REPAIR or USE AS IS, in accordance with contract documents, andDART's Procurement Regulations.4.12 CORRECTIVE AND PREVENTIVE ACTION4.12.1 Corrective ActionJanuary 2005 - 13 - DART QAP Rev. 06

DART Quality Assurance ProgramContractors are to respond promptly to deficiencies, nonconformances and audit findings. Suchresponses include an investigation by the contractor to determine what caused the deficiency ornonconformity and what will be done to prevent its reoccurrence. Root cause analysis is used bymanagement to identify trends, based on analysis of non-conformance and audit findings.If DART or its representatives determine that a breakdown has occurred in the contractor'squality control program that could have an adverse impact on quality, the Contracting Officer'sRepresentative initiates a Corrective Action Report (CAR - Exhibit 3). CARs indicate a negativetrend or systemic problem that requires immediate attention by the contractor. The CorrectiveAction Report (CAR) is processed according to the instruction included in Exhibit 3A, andannotated on the CAR Log (Exhibit 3B).If the CAR proves ineffective, punitive measures may be invoked in accordance with DART'sProcurement Regulations, up to and including termination of the contract.Contractors describe their internal corrective action procedures within their quality planssubmitted to DART.4.12.2 Preventive ActionPreventive action includes submittal and approval of Quality Plans prior to start ofconstruction/installation. Effective testing and inspection programs, regular quality meetings,quality audits, and appropriate certifications for personnel and subcontractors performing specialprocesses. Contractors identify preventive measures within their quality plans.4.13 HANDLING, STORAGE, PACKAGING, PRESERVATION ANDDELIVERYDART includes requirements for handling, storage, packaging, preservation, and delivery ofmaterials, parts, assemblies and end product within contract documents in order to ensure thatproper care is taken by DART's contractors and suppliers. Storage of consumable items iscontrolled to protect and maintain their integrity and quality until final installation and use.Although DART provides these requirements, it is still the contractors/suppliers responsibility toensure proper methods are used.4.14 CONTROL OF QUALITY RECORDSQuality records are collected, stored, and preserved in a manner, which precludes damage, lossor deterioration. Storage requirements are defined in the contract documents.Contractors/suppliers are responsible for safeguarding quality records during construction,assembly, installation and testing. At the conclusion of the contract, quality records are turnedover to DART's Configuration Management Division. Archival of quality records for completedprojects is described in DART's Project Management File Room Procedures.Quality records are available upon request, and are subject to review by quality assuranceauditors.January 2005 - 14 - DART QAP Rev. 06

DART Quality Assurance ProgramChanges made to quality records receive the same level of review and approval as the originaldocument.4.15 QUALITY AUDITS4.15.1 GeneralAudits are based on risk assessment, status, and activity importance. Audits and follow-upactivities are performed and documented in accordance with the process identified in Exhibit 4.Additional exhibits for auditing are identified in the Audit Process (Exhibits 4, 5, 6, 6A, and 6B).DART's Quality Assurance Manager ensures that a comprehensive program of planned andperiodic audits is used to verify that applicable elements of the Quality Assurance Program areacceptable, have been developed, documented, and effectively implemented in accordance withspecified requirements.Audit results are documented and reviewed with the personnel having responsibility for the areabeing audited. Auditors maintain an Audit Status Log. Follow-up audits are conducted, asnecessary, to ensure that proposed corrective actions have been effectively implemented.The DART Quality Assurance Manager is responsible for assigning auditors and resources(within contractual requirements) to ensure that DART's internal activities, consultants,contractors, subcontractors and suppliers are actively implementing their QA/QC programs.When applicable guidelines and standards will be used.4.15.2 Auditor QualificationsAuditors shall have experience or training commensurate with the scope, complexity or specialnature of the activities being audited and are independent of the activity being audited.4.16 TRAININGDART Project Management provides training for in-house employees in accordance withDART's Administrative Employment Manual. Contractors and Consultants comply with trainingrequirements within their QA/QC Plan for activities performed that affect quality. Contractortraining records are subject to DART QA audits.January 2005 - 15 - DART QAP Rev. 06

DART Quality Assurance ProgramGLOSSARYThe following definitions are provided to assure a uniform understanding of terms as they applyto the Quality Assurance Program.ASTM International - Formerly American Society for Testing and Materials (ASTM)Audit - A documented activity performed in accordance with written processes to verify, byexamination and evaluation of objective evidence, that applicable elements of the qualityassurance program have been developed, documented and effectively implemented inaccordance with specified requirements.Capital Improvement Program - The collection of capital projects undertaken by DART toprovide new transit systems, facilities and services throughout the DART service area.Contract Documents - Specifications, drawings, provisions, etc. for an awarded contract.Construction Engineering Manager fCEM) - The individual responsible for overseeing andmanaging construction for Capital Improvement Projects.Contracting Officer's Representative (COR) - The individual appointed by DART'sContracting Officer who is responsible for providing contractor oversight to ensure that allcontractual requirements are met. This includes, but is not limited to Quality Assurance, safety,cost, and schedule adherence.Contractor - Any organization under contract for furnishing items or services. It includes theterms architect, engineer, construction manager, contractor, consultant, vendor, supplier,subcontractor, sub-consultant, and sub tier levels of these where appropriate.Corrective Action -Action planned or being implemented to resolve a known and identifiedcondition or conditions adverse to quality.Corrective Action_Repqrt_(CAR) - A document issued to the senior management of a groupwhose activities are not meeting requirements. This is a significant document that, in effect,warns the Contractor that continuing deficient activities will result in consideration of severecontract remedies, which may include contract default.COCR - Contractor's Quality Control RepresentativeDisposition - A statement describing the manner in which a verbal deficiency ornonconformance is to be resolved.January 2005 - 16 - DART QAP Rev. 06

DART Quality Assurance ProgramFTA - Federal Transit AdministrationGeneral Engineering Consultant (GEC) - Responsible for design and engineering ofconstruction for LRT, commuter rail, and bus facilities to include civil, mechanical, electrical,and architectural design of track, structures, buildings, maintenance facilities, stations, parkinglots, transit centers, etc.Hold Point - A point in the construction, assembly, or installation process which requires aspecific inspection, or a waiver of that specific inspection, before proceeding.Independent Testing Laboratory - An independent testing laboratory that holds and maintainsan active accreditation in accordance with ASTM E329 throughout the course of the contract.Nonconformance - A discrepancy in characteristic, documentation, or procedure which affectsform, fit or function and renders the quality of an item unacceptable or indeterminate in regard tomeeting all relevant project requirements.Nonconformance Report (NCR) - A form used to identify a nonconformance and to documenta proposed disposition for consideration by the appropriate organization, i.e. Resident Engineer,Design Engineer, Quality Assurance, etc.Project Controls Consultant (PCC) - Responsible for management and support of ProjectControl Systems for the Capital Improvement Program.PMOC - Project Management and Oversight Contractor.Procurement Documents - Contractually binding documents that identify and define therequirements that items or services must meet, in order to be considered acceptable by thepurchaser.Project Management File Room fPMFR) - Responsible for distribution, tracking, and archivalof official correspondence within the DART Project Management Department.Quality Assurance - 1) All planned or systematic actions necessary to provide confidence that aproduct, process or service will satisfy given needs 2) All planned or systematic actions neededto provide desired confidence that a product or service will satisfy given requirements. Provideoversight of contractors Quality Control Program and perform quality audits of the contractor'srecords documents.Quality Control - The operational techniques and activities that are used to fulfill requirementsfor quality. QC refers to the act of taking measurements, testing, and inspecting a process orproduct to assure that it meets specification. It also includes actions by those performing thework to control the quality of work. QC also refers to the process of witnessing or attesting to,and documenting such actions.January 2005 - 17 - DART QAP Rev. 06

DART Quality Assurance ProgramReject - A disposition, which indicates that an item is unsuitable for its intended use andeconomically or physically incapable of being repaired/reworked.Repair - A disposition, which indicates that an item can be made acceptable for its intendedpurpose; however, it may not meet all requirements. DART and its representatives make thedetermination of whether a credit is due to the agency for items dispositioned as REPAIR, inaccordance with contract documents, andDART'sProcurementRegulations.Resident Construction Manager (RCM) - The individual responsible for day-to-dayadministration of Facilities Engineering capital improvement contracts.Rework - A disposition, which indicates that an item can be brought into conformance withoriginal requirements.System Design Consultant (SDC) - Responsible for design, specifications, and constructionmanagement of traction electrification, communications, signals, and fare collection systems..System Element Manager (SEM) - The individual responsible for technical oversight of thedesign and construction of Systems Engineering project elements.Systems Integration Concultant (SIC) - Responsible for management and support of systemsintegration for LRT and other projects as required.Use-As-Is - A disposition which indicates the discrepancy will result in no adverse condition andthat the item under consideration will continue to meet all engineering functional requirementsincluding performance, maintainability, fit and safety. DART and its representatives make thedetermination of-whether a credit is due to the agency for items dispositioned as USE AS IS, inaccordance with Contract Documents, andD ] ART's Procurement Regulations.January 2005 -18 - DART QAP Rev. 06

DART Quality Assurance ProgramDNNO.DEFICIENCY NOTICEDESCRIPTIONEXHIBIT 1DEFICIENCY LOGCONTRACT |NUMBER:ORIGINATORISSUEDATEDATEDUEVERIFIEDBY/DATEPa2e i ofDISPOSITIONSTATUSJanuary 2005 -19- DART QAP Rev. 06

DART Quality Assurance ProgramEXHIBIT 2NONCONFORMANCE REPORT1. ContractNo.: 2. Location: 3. Date: 4. NCR No.5. Contractor / Supplier 6. Spec/Drawing No.: 7. Originator: Phone:8. Nonconformance Description:9. Reviewed by: Date: 10. Request Reply 1 1. Reply DueFrom: ' Date:12. Root Cause of the Problem:13. Action To Prevent Recurrence:14. Disposition:D REJECT D REWORK REPAIR USE AS IS15. Disposition Instructions:CQCR Signature:16.EffectivityDate:17. RCM/COR Recommended Approval: 18. Designer of Record Approval: Date:19. Project Manager Concurrence: Date: 2C). SDC/GEC QC Mgr. Concurrence: Date:21. DART SEM/CEM Concurrence: Date: 21'.. DART QA Mgr. Acknowledgment: Date:23. Verification Nonconforming Condition _ 24* . FinalQ A Acceptance:Corrected:Date:January 2005 -20- DART QAP Rev. 06

DART Quality Assurance ProgramEXHIBIT 2ANONCONFORMANCEDISPOSITION CONTINUATION SHEETCONTRACT NUMBER:I NCR#January 2005 - 21 - DART QAP Rev. 06

DART Quality Assurance ProgramEXHIBIT 2BInstructions for Completing Nonconformance Report1. Enter contract number and description.2. Enter the location of nonconformance (station, building, structure, plant, etc.)3. Enter date the NCR was prepared.4. Enter the next sequential NCR number from the NCR log for the contract.5. Enter prime contractor who will respond and/or supplier if applicable.6. Enter the applicable specifications and/or drawing that apply.7. Enter the originator of the NCR; typically the COR, field engineer, or QA/QC inspectorfamiliar with the problem. Include a phone number.8. Describe the nonconformance, without trying to determine cause or fix blame. Cite theapproved contract documents description of the item/condition, then state "contrary to theabove" and describe the item/condition as found. Refer to any attachments or exhibitsthat provide further explanation for analysis.9. Enter date and name of the reviewer (should not be the same person as the originator).10. Enter the person responsible for investigating and replying to the NCR. This should bethe contractor's quality control representative/manager.11. Enter date the response is due back in the COR's office, (ten working days after date ofissue).12. The CQCR shall describe the root cause of the nonconformance.13. The CQCR shall document actions to prevent reoccurrence of nonconformance.14. The CQCR shall propose a disposition for the nonconforming work or material.15. The CQCR shall provide/disposition instructions for the nonconforming work ormaterial, sign and date.16. Enter the date when the contractor will implement the corrective action.17. *The Contracting Officer's Representative (COR)/Resident Construction Manager(RCM) shall sign this block indicating his/her recommended approval of the proposeddisposition. If the COR does not recommend approval of the proposed disposition, thenthe NCR shall not be forwarded any further. In this case, an alternate proposal shall beagreed to between the COR and contractor.18. *The designer of record (engineer or architect) shall analyze the proposed disposition,and sign this block indicating approval. If the proposed disposition is disapproved thedesigner of record shall return the NCR to the COR with written guidance for anacceptable disposition.19. *The DART Project Manager shall sign and date indicating concurrence.20. *The SDC/GEC QA/QC Manager shall sign and date indicating concurrence.21. *TheDART (SEM/CEM) Managers shall sign and date indicating concurrence.22. *The DART QA Manager shall sign and date indicating acknowledgment, andverification that the nonconformance process was followed and closed.23. The QA representative (COR, inspector, etc.) shall complete this block indicating whatsteps were taken to verify and accept closure of the corrective actions.24. The QA representative shall sign indicating acceptance of the corrective actions.* Blocks 17 through 24 are required for REPAIR andUSE-AS-IS dispositions.* Blocks 17, 19, 20, 22, and 24 are required for REJECT and REWORK dispositions.January 2005 - 22 - DART QAP Rev. 06

DART Quality Assurance ProgramEXHIBIT 2CNONCONFORMANCE REPORT LOGNCRNO.NONCONFORMANCE REPORTLOGDN# DESCRIPTIONCONTRACTNUMBER:BIDITEMORIGINATORISSUEDATEPage 1 ofDATE DATEDUE CLOSEDJanuary 2005 -23- DART QAP Rev. 06

DART Quality Assurance ProgramEXHIBITSCORRECTIVE ACTION REPORT1 .Responsible Individual / Organization: 2. CAR No.:4. Response Date:3. Date Issued:5. Originator:Phone:6. Reviewed by: Date: V.DN/NCR/AFRNo.:8. Contract No.: 9. Spec/DrawingNo.: 10. Item Location:11. Requirement Reference and Description of Condition:12. Root Cause:13. Corrective Action Taken:14. Actions Taken to Prevent Recurrence:15. Prepared By: 16. Response Date: 17. Proposed Corrective ActionDate:19. GEC/SDC QA Mgr18. RCM Approval Signature:Accept D RejectConcurrence:Date:Date:21. Verification of Corrective Action:20. DART QA MgrAcknowledgment:Date:22. Corrective Action Implementation:D Accept D Reject23. RCM/COR Approval-Date:January 2005 -24- DART QAP Rev. 06

DART Quality Assurance ProgramEXHIBIT 3AInstructions for Completing Corrective Action ReportBlocks 1 through 11 to be completed bv individual issuing Corrective Action Report (CAR),1. Enter the name of the responsible individual/organization that will respond.2. Enter the CAR number.3. Enter the date of the CAR.4. Enter the date the response is due back to the originator, normally ten working days afterdate of issue.5. Enter the name of the individual issuing the CAR, typically the COR. Include a phonenumber.6. Enter the name and the date of the reviewer (should not be the same person as theoriginator).7. Reference Deficiency (DN) number, Nonconformance Report (NCR) number, and AuditFinding Report (APR) number if applicable.8. Enter contract number.9. Enter applicable specifications and/or drawings.10. Enter the location of incident, material, hardware, etc. (line section, station, structure,plant, etc.)11. Reference the requirement, and describe the condition.The individual responsible for responding to the CAR shall complete blocks 12 through 17.12. Describe the problems root cause.13. Describe the corrective action that will be taken.14. Describe action taken to prevent recurrence.15. Signature of the individual preparing item #12.16. Enter the response date.17. Enter implementation date of the proposed corrective action.18. COR will review corrective action, and check Accept or Reject, sign and date.19. Signature and date of QA Manager (GEC/SDC) for concurrence.20. DART Quality Assurance Manager will review CAR, sign and date foracknowledgement.21. The DART QA representative (COR, inspector, field engineer, etc.) shall complete thisblock indicating what steps were taken to verify and accept closure of the correctiveactions.22. The DART QA representative shall either accept/reject corrective action implementation.23. Enter signature of individual and date, verifying corrective action implementation.Original shall remain with the project files; send copies to DART Quality Assurance Manager,GEC/SDC Quality Assurance Manager, Systems Element Managers, and ConstructionEngineering Managers.January 2005 - 25 - DART QAP Rev. 06

DART Quality Assurance ProgramEXHIBIT 3BCORRECTIVE ACTION REPORT LOGCONTRACT NUMBER:DATE:PAGE: lofCAR NO.DESCRIPTIONORIGINATORISSUEDATEDATEDUEVERIFIEDBY/DATEJanuary 2005 -26- DART QAP Rev. 06

DART Quality Assurance ProgramEXHIBIT 4AUDIT PROCESS1) The auditor shall notify the auditee, in writing, a minimum of five days prior to theaudit in order to ensure that key personnel are available. Provide a copy of the auditchecklist items.2) Prior to conducting the audit, the auditor holds an opening meeting with the auditee toprovide for introductions, clarify audit scope and objectives, arrange logistics, answerquestions, and review items on the audit checklist (Exhibit 5).3) During conduct of the audit, the auditee provides the auditor with access to allappropriate documents and personnel necessary to achieve the audit objectives. Theaudit includes, but is not limited to:a) Review of documentation for compliance with approved quality procedures;b) Interviews with individuals performing work activities, to ascertainunderstanding of quality requirements; andc) Review of operations associated with the audit item, to include witnessingselected operations to determine adherence to written procedures.4) After the audit, the auditor holds a post-audit meeting with the auditee to:a) Confirm audit findings/observationsb) Resolve misunderstandingsc) Provide the auditee with an opportunity to present additional information priorto fmalization of the audit report, andd) Establish corrective action commitment from the auditee5) The auditor issues a formal audit report summarizing the scope of the audit,observations, and findings, which is transmitted to the auditee. Deficiencies thatrequire corrective action are documented in an Audit Finding Report (Exhibit 6),according to the instructions in Exhibit 6A. Audit reports include sufficient detail toaid the auditee in determining cause and magnitude of the deficiency. The auditorcopies the DART Quality Assurance Manager on audit reports and responses.6) Upon receiving the audit report, the auditee responds in writing within ten workingdays. Audit responses describe what caused the deficiency, what corrective actionsare being taken, who is responsible for corrective action, and when corrective actionwill be implemented. The auditor, in consultation with D ART'S Quality AssuranceManager, either approves or rejects audit responses. (NOTE: Corrective actions arereviewed for effectiveness during follow-up audits). Rejected audit responses areresubmitted by the auditee within ten working days.7) An Audit Status Log reflecting the audit number and significant dates will be kept bythe auditor (Exhibit 6B).8) If the contractor does not respond to the Audit Finding Report as required, theContracting Officer's Representative may issue a Corrective Action Report.9) The auditor notifies management of the audited function, and the DART QualityAssurance Manager upon closure of open items.January 2005 - 27 - DART QAP Rev. 06

DART Quality Assurance ProgramEXHIBITSAUDIT CHECKLISTContract No:Audit No:AuditElementCrossReferenceSpecificationRequirementsResultsJanuary 2005 -28- DART QAP Rev. 06

DART Quality Assurance ProgramEXHIBIT 6AUDIT FINDING REPORT1. Contract Number: 2. Location:3. Audit Number: 4. Subject:5. AFR Number: 6. Discussed with:Phone Number:7. Issue Date: 8. Responsible Authority:9. Auditor:Phone Number:Phone Number:10. Requirement Reference and Description of Condition:11. Response Due Date: 12. ActualResponse Date:13. Implementation Date:14. Proposed Corrective Action:15. Corrective Action: || Accept LJ Reject 16. Auditor Date:17. Reason for Rejection:18. GEC/SDC QA/QC Manager Concurrence: Date:1. Implementation:20. Auditor: Date:[~l AccentReject21. DART QA Manager Concurrence: Date:January 2005 -29- DAUT QAP Rev. 06

DART Quality Assurance ProgramEXHIBIT 6AInstructions for Completing Audit Finding Reports.The auditor will complete blocks 1 through 11.1. Enter the contract number and project name.2. Enter the project location.3. Enter the audit number (contract number and sequence number; ex. C-99000001-01)4. Enter the audit subject (vendor, contractor, etc.)5. Enter the APR number (audit number and sequence number; ex. C-99000001-01-01)6. Enter the name and phone number of the individual contacted to discuss the findings.7. Enter the issue date.8. Enter the name and phone number of the individual responsible for the corrective action.9. Enter the name and phone number of the auditor.10. Reference the requirement, and description of the condition.11. Enter the date the response is due back to the auditor, normally ten working days afterdate of issue.Blocks 12 through 14 will be completed bv the individual responsible for responding to the APR,12. Enter the actual date of response.13. Enter the implementation date.14. Describe action to correct and prevent recurrence of the problem.Blocks 15 through 17 to be completed bv the auditor,15. Check either Accept or Reject, as they pertain to the proposed correctiveaction/preventive actions in block 14.16. Auditor sign and date.17. Identify reason for rejection (if none, state NA for Not Applicable).18. The GEC/SDC QA Manager shall sign and date this block indicating concurrence withthe corrective actions proposed in block 14, and the auditors' acceptance or rejection inblock 15.Blocks 19 through 21 to be completed on follow-up audit,19. Check either Accept or Reject, as they pertain to the effectiveness/completeness ofcorrective/preventive actions proposed in block 14.20. Auditor sign and date.21. The DART QA Manager shall sign and date this block indicating concurrence ofimplementation acceptance.Original shall remain with the project files; send copies to DART Quality Assurance Manager,Systems Element Manager, GEC/SDC Quality Assurance Managers, and ConstructionEngineering Manager.January 2005 - 30 - DART QAP Rev. 06

DART Quality Assurance ProgramEXHIBIT 6BAUDIT STATUS LOGAUDITNO.DESCRIPTIONAUDITDATESCHEDULEDRETURNACTUALRETURNCOMMENTS/OPENITEMSCLOSEDATEJanuary 2005 -31 - DART QAP Rev. 06