Massachusetts bay transportation authority quality assurance plan



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MASSACHUSETTS BAY TRANSPORTATION AUTHORITY
QUALITY ASSURANCE PLAN

REVISION 2



September, 2009

TABLE OF CONTENTS

TABLE OF CONTENTS ……………………………………………….. i
MISSION STATEMENT AND PLAN APPROVAL …….……………. iii

1.0 MANAGEMENT RESPONSIBILITY …………………………….. 1

FIGURE 1 MBTA DESIGN & CONSTRUCTION ORGANIZATION…5
FIGURE 2 MBTA QUALITY ASSURANCE ORGANIZATION …..…6
FIGURE 3 QA PLAN DOCUMENT PRECEDENCE ………………… 7
2.0 DOCUMENTED QUALITY MANAGEMENT SYSTEM ………. 8
3.0 DESIGN CONTROL …………………………………………….. 10
4.0 DOCUMENT CONTROL ………...…………………………….. 12
5.0 PURCHASING ………….…..…………………………………… 14
6.0 PRODUCT IDENTIFICATION AND TRACEABILITY...……… 16


  1. PROCESS CONTROL ……………….………………….……… 18

8.0 INSPECTION AND TESTING.………………………………….. 19


9.0 INSPECTION, MEASURING AND TEST EQUIPMENT …...…. 21


  1. INSPECTION AND TEST STATUS …………………………….. 22




  1. NONCONFORMANCE …………………………………………. 23




  1. CORRECTIVE ACTION ………………………………………… 25




  1. QUALITY RECORDS ………………..………………………… 26




  1. QUALITY AUDITS …….……………………………………….. 28




  1. TRAINING …………..…………………………………………… 30


Massachusetts Bay Transportation Authority

Quality Assurance Plan




Mission Statement

The Massachusetts Bay Transportation Authority (MBTA) is committed to the implementation of a Quality Assurance Plan (QAP) that meets the requirements of the U.S. Department of Transportation Quality Assurance/Quality Control Guidelines, FTA-MA-IT-90-5001-02.1. This plan is applied to each and every transit system project and covers all capital contract work from development of specifications through project completion. The plan ensures compliance with all requisite contract documents, codes and standards during the design, installation and test phases of the project. It ensures that completion of the consultant’s and contractor’s work are verified and documented in accordance with the Project Quality Assurance Plan and that the contracts lead to safe, on-time and cost effective transit service.


The plan will ensure that designs are in accordance with engineering requirements. Following the plan will allow for early detection and correction of potential problems, minimize costs and prevent delays. It will also set standards for testing equipment during development, manufacturing and installation. The plan includes a uniform system of documentation that allows easy access for audit and evaluation of adherence to the plan for specific project(s).
The plan is integral to the MBTA commitment to improve efficiency, quality, service and management system wide. The plan is critical to the development of a management environment that produces excellence and accountability. Use and implementation of this Quality Assurance Plan will enable the MBTA to meet the present and future transportation needs of the Commonwealth.
_________________________________

Richard A. Davey

General Manager
______________________________

Date



  1. MANAGEMENT RESPONSIBILITY




    1. The MBTA management team is responsible for establishing and demonstrating commitment to the MBTA Quality Policy as stated in the Mission Statement. The MBTA management team is charged with ensuring that the Quality Policy is understood, implemented and maintained throughout all appropriate levels of Design & Construction and other Departments that participate in project activities.

1.2 This QAP provides specific requirements for program implementation, including the assignment of primary responsibility for implementation.


1.3 It is the policy of the MBTA that projects that are the responsibility of Design and Construction shall be planned, designed and constructed with the highest regard for quality. The Project Quality Assurance Plan (PQAP) submitted to the MBTA for projects by contractors, subcontractors, consultants and sub-consultants, shall meet the mandates outlined in the contract documents and be executed independently of cost and schedule project functions. In accordance with FTA’s “Quality Assurance and Quality Control Guidelines, February 2002” these PQAPs will be required to specify quality-related activities and assign responsibilities for ensuring that the activities are performed properly and achieve the stated level of quality.
1.4 Consultants and Contractors are required by contract to develop and implement a PQAP tailored to their scope of work. The PQAPs shall provide for implementation of administrative and control measures during engineering and design, construction, testing, and start-up as appropriate. The administrative and control measures shall be prepared and implemented in such a manner as to contribute to and document the attainment of a safe, reliable, and economical transit system. PQAPs from Contractors, subcontractors, consultants and sub-consultants above will outline specific requirements for individual activities.
1.5 The following MBTA project management team members are responsible for ensuring or controlling quality on projects.
A. The Acting General Manager guided by Administration goals and Board of Directors’ policy, directs the Massachusetts Bay Transportation Authority’s daily operations and administrative functions, and charts the Authority’s long-term strategy. The Acting General Manager’s office establishes management policies and practices and sets standards of excellence. The Office of the Acting General Manager ensures the Authority’s accountability to the taxpayers of the Commonwealth. The Acting General Manager directs the Authority’s support of the Commonwealth’s environmental, legislative, and economic agendas. In addition, the Acting General Manager has the responsibility to assure the development, establishment, implementation, maintenance, and evaluation of this QAP for the MBTA. The Acting General Manager has delegated this responsibility to the Assistant General Manager of Design & Construction.
B. The Assistant General Manager for Design and Construction (AGM for D & C) has the ultimate responsibility for establishment and execution of the MBTA Quality Assurance Plan. The AGM is also responsible for coordinating and contracting design and construction activities. The AGM has the final decision on quality conflicts brought to his attention by the Deputy Directors of Design & Construction.
C. The Director of Design reports to the AGM for D&C and oversees the design of all MBTA projects. This position is currently vacant. Responsibility for these tasks has been temporarily delegated to the Deputy Director of Design.
D. The Director of Construction reports to the AGM for D&C and oversees the construction of all MBTA construction contracts.
E. The Director of Design & Construction – Silverline reports to the AGM for D&C and oversees all Silverline design and construction contracts and performs other administrative duties within Design & Construction.
F. The Director of Contract Administration governs the Authority’s solicitation, award and administration of architect-engineer contracts, and coordinates the award of construction contracts.
G. The Director of Materials governs the Authority’s procurement of goods and services through public advertising and competitive bidding. The Director of Materials reports to the MBTA Chief Operating Officer.
H. The Directors of Interfacing Organizations are responsible for providing various project functions and report to the AGM for Design & Construction for their project activities e. g. Director of Operation, Director Systemwide Maintenance and Improvements, Director of Planning, etc. In these instances the Directors are required to adhere to the requirements of this QA Plan.
I. The Deputy Director of Administration & Finance reports to the AGM and maintains a staff including budget analysts who provide services relating to project budgeting, finance, contract modifications and day-to-day payments.
J. The Deputy Director of Design reports to the Director of Design and oversees the design of all MBTA projects.
K. The Deputy Directors of Design and Construction report administratively to the AGM for D & C. The Deputy Directors have overall responsibility for the design and/or construction of each project assigned to his/her staff Project Managers. For project execution the Deputy Directors report to the Director of Design and/or Director of Construction as appropriate.
L. The Project Manager has the responsibility to oversee the day-to-day activities of the design consultant or construction contractors. The Project Manager reports to the Deputy Director of Design and Construction or the Director of Silverline, as appropriate and coordinates with the Design Department, Railroad/Subway/Bus Operations, Engineering and Maintenance, Systemwide Maintenance and Improvements, Contract Administration, the Real Estate Department, the Legal Department, Environmental Department, Systemwide Accessibility Department and outside or external regulatory agencies as appropriate to bring the project to completion.
M. The Resident Engineer inspects the construction process and facilitates communication between the MBTA and construction contractors.
N. The Deputy Director of Design & Construction, Quality Assurance reports to the AGM, who has designated the Deputy Director of QA as the person with the responsibility and authority to ensure that the MBTA quality policy is implemented and maintained on projects. The Deputy Director of Design & Construction, Quality Assurance has the necessary freedom, to implement quality related activities in all areas of MBTA projects; to identify quality problems; to initiate, recommend or provide solutions to project management, and to verify implementation of solutions. In matters related to quality on projects, the Deputy Director of Design & Construction, Quality Assurance will have complete and ready access to the project management team and the AGM.
1. The Deputy Director of Design & Construction, Quality Assurance is responsible for implementation of this QAP and ensuring that consultants and contractors submit the appropriate PQAPs to the MBTA for review and approval.
2. The Deputy Director of Design & Construction Quality Assurance conducts periodic reviews of the QAP and quality policy to ensure that the program remains suitable and effective.


  1. In cases where conflicts regarding quality cannot be resolved between the Deputy Director of Design & Construction, Quality Assurance and the Director of Design or Construction or Silverline, final resolution will rest with the AGM.

1.6 The organization charts for the MBTA Project Management Team (MBTA employees only) are provided in Figures 1 & 2 and reflect the relationship of the personnel discussed above. Figure 3 depicts the precedence levels of documents that specify quality requirements or actions.




    1. The MBTA recognizes that the quality of the work conducted for the Project has a direct effect on future revenue service, maintenance costs and operating efficiency for the entire MBTA transit system. The success of the MBTA is reliant upon quality, which is the measure that their existing ridership and new riders using the system will determine the value of the Massachusetts transit system. It therefore follows that the quality policies and procedures identified in this QAP, and the PQA Plans submitted to the MBTA, must be faithfully implemented by every Project participant.


Figure 1 MBTA Design and Construction Organizational Chart


Acting General Manager

W. Mitchell Jr.

Director

Of Construction

E. Hunter



Director

Of Design

(Vacant)

Director

Of D & C.- Silverline

M. Ainsley

Director

Of Contract Admin.

M. Hinkle

Dep. Director

Of Design

M. Lackner

Dep. Director

Of D&C, Quality Assurance

J. Donovan

Deputy Directors Of Design & Construction

James Jackson

Tom Nee, John Schwarz

Snr/Project Managers

Resident Engineers

Inspectors

Managers of Project Design

Engineers

Dep. Director

Of Admin & Finance

J. Thornton

Budget Analysts

Snr Project Mngr (Vacant)

Project Manager



Coord. Team

Contract Administration

Staff.



AGM


for D&C

F. DePaola




Directors

Of Interfacing MBTA Organizations



Legend: Administration

Project Direction




Figure 2 MBTA Design & Construction

Quality Assurance Organization

Deputy Director Of Design & Construction, Quality Assurance

Jack Donovan



Project Manager

Quality Assurance

Materials Testing Engineer

Snr. Quality Control Engineer

Field Construction

Specialist

Auditors


(Vacant)

Materials Testers




Figure 3 Quality Assurance Plan Document Precedence


Standard


Specifications



Departmental Policy Documents


Level I
Quality

Commitments

and Responsibilities

Quality Assurance Plan (QAP)

Purchasing Department Procedures





Project Contract Specifications

Level II

Quality

Task

Implementation


Project Management Manual (SOP’s)



Design/Engineering

Procedures




L
Vehicle Procurement Procedures

Purchase Orders


evel III



Quality

Actions


Quality Assurance Procedures


Resident Engineer’s Manual




2.0 DOCUMENTED QUALITY MANAGEMENT SYSTEM
2.1 The MBTA has established a documented quality management system for projects. This system is documented in this QAP, the Project Management Manual-Standard Operating Procedures, the Quality Assurance Procedures Manual and the Resident Engineers Manual. Figure 3, Quality Assurance Plan Document Precedence contains the procedural manuals that comprise the MBTA Quality System. In addition, consultants and contractors and their subcontractors and suppliers, are required to establish documented quality management systems meeting the requirements of current FTA Quality Assurance and Quality Control Guidelines.
2.2 Written procedures and instructions will be developed for activities affecting quality including:

 Inspection

Testing

 Non-Destructive Examinations

 Desposition of Non-Conforming Products

 Corrective Actions

 Maintenance of Quality Records

 Testing

 Quality Audits

 Training



Procedures utilized on projects will contain a statement of the purpose and scope and will reference codes, standards, or specifications as applicable. When developing quality procedures during the course of projects, consideration will be given to identifying and acquiring any inspection equipment, skills, or special quality processes needed to ensure quality performance. Inspection and testing techniques will be kept up-to-date. Where new techniques are being used for construction or manufacturing, adequate time will be allowed to develop appropriate quality procedures for the new techniques. Procedures and instructions will contain formats for the quality records needed to ensure that the procedures and instructions are followed and documentation requirements are understood.
2.3 Project personnel conducting oversight activities, including quality audits and surveillance and inspection activities shall be independent of those having direct responsibility for the activities being overviewed or inspected. Checking of design documents shall be conducted by individuals that are qualified and experienced and are capable of conducting such design work.

3.0 DESIGN CONTROL
3.1 The MBTA provides design direction to the consultant. The consultant has been contracted by the MBTA for the technical adequacy of the design work. The consultant in conjunction with their sub-consultants will direct day-to-day efforts in the conduct of their design work and have the primary responsibility for design control during the design process. The Consultant will establish and maintain procedures that meet the current requirements of the FTA Quality Assurance and Quality Control Guidelines for design control in order to ensure that the design criteria and other design input document requirements are met by the output documents. Within 30 days of Notice To Proceed, the consultant will submit their Project Quality Assurance Plan to the MBTA identifying who has responsibility for the different design tasks including design verification activities. The QA Plans will also identify the various organizational interfaces required between various design disciplines and sub-consultants producing and commenting on the design. QA Plans will address design interfaces with MBTA operational and maintenance departments. Design verification activities will include the independent checks of design calculations, specifications, drawings, and contract documents, conducting and documenting design reviews. If appropriate, carrying out of alternative calculations, undertaking qualification tests and demonstrating or comparing the design with a similar proven design, if available will be used to verify the design. Design reviews include reviews for constructability, operability, and maintainability.
3.2 Designs will be based upon MBTA design criteria and standards, incorporate local jurisdiction requirements and criteria to safeguard functional operations as detailed in the scope of work contained in the Contract Documents. The MBTA will provide Consultants, as appropriate, with MBTA design input requirements. MBTA supplied design input documents will be reviewed by the MBTA and any ambiguities in the documents will be resolved between the MBTA and the consultant.
3.3 The MBTA will conduct reviews of all design output documents received from the consultant. In addition, the MBTA will approve key consultant personnel, including QA personnel, staff levels, qualifications of specialty design subcontractors, the consultant PQAP and conduct quality audit reviews. The MBTA maintains procedures for conducting design reviews of consultant output design documents and for other MBTA oversight activities. The review procedures will ensure that consultant design output documents are reviewed by appropriate personnel from MBTA Design & Construction, Quality Assurance, Operations, Maintenance and other MBTA Departments, as necessary.
3.4 If the MBTA determines that the proposed design does not meet the general requirements of the design input documents the MBTA will resolve these issues during the design review process. If there is a compelling reason to deviate from the design input documents, then the MBTA shall document any deviation. A request to deviate will be prepared outlining the deviation, its justifications, proposed effects, and resulting impact if not granted. The Project Manager will recommend a modification to the design input documents to the Deputy Director and AGM.


    1. Specifications and drawings will be prepared following a standard format. Specifications will identify each Section and paragraph by number. Complete drawing lists will be established and the total number of drawings, the titles of the drawings, the revision status, and the dates the drawings were approved will be recorded. Changes to approved drawings and specifications will be reviewed by the same departments and organizations that reviewed the original design.




    1. Contract specifications will require as-built drawings to be prepared at project close-out as part of the final design documentation.

4.0 DOCUMENT CONTROL


    1. The MBTA has established project procedures for control of MBTA project documents that ensure that all relevant documents are current and available to all users who require them. In addition, MBTA consultants, contractors and their subcontractors and suppliers, are required to establish and maintain procedures that describe their methods to control documents on the project.




    1. Project document control procedures address the requirements for the review and approval of documents by authorized personnel, the distribution and storage of these documents, the elimination of obsolete documents to prevent inadvertent use, and the control of changes to the documents. Copies of documents are required to be available at the locations that need them for the effective functioning of the quality management system and obsolete documents that exist in hard copy are required to be promptly eliminated from each work location. Hard copy superseded documents retained for the record at work locations must be clearly identified as such. Unless otherwise specifically authorized by governing procedures, changes to documents are to be reviewed and approved by the same authorized personnel who reviewed and approved the originals. When the design needs to be adjusted during construction, the required documentation needs to be issued, approved and recorded. Changes to documents are required to be promptly distributed to work locations and lists of documents made available that enumerates the current revision levels of documents.

4.3 Project documents requiring control include but are not limited to:

 MBTA Quality Assurance Plan

 Project Management Plan

 Contracts, Subcontracts, Purchase Orders and changes

 Project QA Plans

 Project procedures (Including inspection & testing procedures)

 Project correspondence

 Project Implementation Plans, if used

 Project Procurement Plan, if used

 Design criteria and associated standards and specifications and changes

 Drawings

 Specifications

 Calculations

 Design Change Requests

 Non-Conformance Reports

 Requests for Information.
4.4 Documents will be logged, indexed, and maintained in file cabinets with access restricted to authorized personnel. Documents will be protected from deterioration during storage and fire protection will be afforded to important documents. Electronic files will be indexed and access controlled.
5.0 PURCHASING


    1. The majority of purchasing for projects is performed by contractors and consultants. For MBTA supplied materials and Contracts, the MBTA has established procedures for the control of MBTA purchasing activities. Consultants and contractors establish purchasing procedures to cover their activities and assure that their sub-consultants and suppliers maintain QA Plans for project activities. The MBTA performs quality audits and surveillance inspections for monitoring the performance of consultants and contractors to assure that purchasing documents are reviewed by appropriate personnel and include appropriate quality requirements.




    1. The Contract Administration Department performs the following activities on MBTA projects for Professional Service Contracts and Construction Contracts:




  1. Selects and awards contracts for consultants to provide professional

services contracts
B. Advertises and awards construction contracts


  1. Reviews consultant contract amendments and construction change

Orders.


    1. The Materials Department performs the following activities when procurements are made by the MBTA on a project:




  1. Procures materials and services for MBTA Design and Construction projects when requested




  1. Utilizes bidding methods including competitive bidding, competitive negotiations and two-phase procurement




  1. Recommends award of materials and services contracts.

5.4 Purchasing procedures utilized by the MBTA, contractors, consultants and subcontractors will address the following requirements:




  1. Documented lists of acceptable suppliers and contractors will be established for the desired service or product, consistent with applicable procurement requirements. Selection of suppliers and contractors will be based upon their ability to meet contract requirements, including quality requirements.

B. The level of quality requirements applied to consultants, contractors, and subcontractors will be based upon the complexity and importance of the service or product being supplied.


C. The contract or purchase document will clearly specify the expectations of the purchaser, including relevant standards, drawings, specifications, process requirements, inspection instructions, and approval criteria for materials, processes and product. Purchasing documents are reviewed and approved by a designated contractor or consultant authority for adequacy of specified requirements, including quality requirements, prior to release. The purchaser of services or product will ensure that the supplier fully understands the contract, agrees with the contract, and has the capacity to perform as required.
D. The contract or purchase agreement will specify the right of the MBTA or their representative and the purchaser to carry out reviews, examination, audit, or inspection and test of the work at the location of the work.
E. Upon receipt, material will be inspected to verify that the work or product meets requirements. Such provisions will not absolve the supplier of the responsibility to provide acceptable work or product nor will these provisions preclude subsequent rejection.
F. Where special equipment procurement is involved, the purchaser will define, as appropriate, the means and methods for handling, storage, packaging, and delivery of product. Otherwise the product will be shipped, handled and stored as recommended by the manufacturer. The purchaser will establish procedures to receive, inspect, store, and maintain equipment procured as specified. Any equipment that is damaged or is otherwise unsuited for use will be documented and reported to the supplier.

6.0 PRODUCT IDENTIFICATION AND TRACEABILITY
6.1 MBTA, contractors and subcontractors and suppliers, shall address product identification and traceability requirements in their PQAPs and procedures. Traceability means that items are traceable to a particular project, specific warranty, test report, or supplier; point in time, purchase order, or through production. Raw materials will be traceable back to a particular batch number, shipment number, packing slip, or invoice and will be accompanied by applicable test data sheets and material certifications, if applicable.
6.2 These PQAPs, procedures, work instructions and monitoring information will require the identification and control of items of production (batch, materials, parts, and components) to prevent the use of incorrect items and to ensure that only correct and acceptable items are used and installed.
6.3 Materials and equipment requiring traceability to its origins for purpose of laboratory analysis, etc. will be uniquely identified and tracked to assure that acceptable materials are installed in the appropriate end use. These items will be traceable to heat, lot or batch or laboratory analysis. Examples of items requiring traceability up to installation include but are not limited to:

 Structural Steel

 Welding consumables – up to installation (Weld rod and wire, inserts, backing rings etc.)

 rebar


 paint

 raw materials requiring laboratory analysis


6.4 Physical identification and control will be used as required by the specifications and drawings such as bar codes, model or serial numbers, etc. Markings and other means of identification will be approved by the Authority. For items where physical identification is not stated or is impractical, physical separation, procedural control, or other appropriate means will be employed. Items that fail to possess identification, or items for which record traceability has been lost, or items that do not conform to requirements will be separated if practicable, or identified by other means, to prevent use or installation. Items will be required to be identified by how they are marked or where they are located. Store room or inventory tracking procedures will allow items to be traceable back to a particular order number, batch number, date received, test lot, or other pertinent source.
7.0 PROCESS CONTROL
7.1 The MBTA will identify and plan the production and installation processes that directly affect quality and assure these processes are performed under controlled conditions. Special processes, the results of which cannot be verified by subsequent inspection and testing of the product, should be continuously monitored.

7.2 Project process control procedures and work instructions will:


A. Specify actions or controls where needed to ensure quality. Actions or controls will address use of suitable production and installation equipment, a suitable work environment, personnel qualifications, and conformance with referenced standards/codes and Quality Plans.
B. Require monitoring and control of processes and product characteristics during production and installation.
C. Require continuous monitoring during the conduct of special processes and/or describe additional controls, such as personnel testing and qualification and process testing and qualification. Special processes include but are not limited to processes such as welding, nondestructive examination, painting and heat treatment, etc.
D. Ensure that work processes are performed in the proper sequence.

8.0 INSPECTION AND TESTING
8.1 MBTA requires contractors and subcontractors, who purchase equipment, perform manufacturing and/or construction, perform installation of equipment, and/or perform testing to develop quality plans and inspection and test procedures. Contract documents will identify mandatory inspections and tests. The project will identify “hold” and “notification” points to contractors, subcontractors and suppliers. Inspections and tests will be performed by qualified individuals and the results reported and documented.

8.2 Personnel performing inspections and tests on the project shall be independent of those having direct responsibility for the construction or installation of the items being inspected or tested.


8.3 Test laboratories that are utilized on projects to conduct testing such as soil testing, aggregate testing, concrete testing, welding inspection & testing, nondestructive examinations, and calibration of measuring and test equipment and any special requirements by the MBTA will be qualified to perform the activity in accordance with the governing codes & standards and jurisdictions.
8.4 Quality plans and related inspection and test procedures will address requirements for in-process and final inspection during production, installation and testing activities.
A. Procedures will address requirements for the conduct of in-process inspection and tests to verify conformance of items or work activities to specified requirements. Both inspection and process monitoring methods will be performed, as necessary, to ensure that the specified requirements for control of work processes and the quality of the item are achieved throughout the duration of the work.


  1. Quality plans and procedures will address requirements for final inspection and test that will ensure that all specified inspections and tests have been satisfactorily completed and documented.

8.5 Quality plans and procedures will address requirements for documentation of inspections and tests with records that show clearly whether the product has passed or failed the inspections or tests in accordance with defined acceptance criteria. Where the product fails to pass inspections or tests, nonconformance control procedures, as addressed in Section 11.0 of this QAP, shall apply.


8.6 Quality plans or inspection and test procedures will make provisions for the MBTA to identify important inspection and test activities that they or their representative may observe. MBTA or their representative will classify each inspection or test activity identified for possible observation as either a hold point or a notification point. Notification of these activities will be made to the MBTA or their representative in advance of the activity in an agreed upon time frame. Inspection and test activities identified as hold points shall not be conducted until the MBTA or their representative is present unless the MBTA or their representative has formally waived the hold point in writing. Assignment of “Hold Points” will consider, as appropriate:

 Items or work affecting quality

 Items that affect system reliability

Items affecting service life

 Long lead items or custom manufactured items

 High visibility items



 Items that affect ADA compliance
Inspection and test activities identified as notification points may be performed as scheduled, with or without the presence of the MBTA or their representative, provided that notification has been made in the agreed upon time frame.
9.0 INSPECTION, MEASURING, AND TEST EQUIPMENT
9.1 The MBTA and its contractors and their suppliers and subcontractors, who use inspection, measuring, and test equipment to carry out inspection and testing on projects will establish procedures that ensure that this equipment is identified, controlled, calibrated, and maintained in order to demonstrate the conformance of work to specified requirements. Procedures will meet the requirements of ISO/DIS 10112. If statistical tracking is required procedures will comply with Part II of the standard.
9.2 Inspection, measuring, and test equipment control procedures will address the following requirements:
A. Inspection, measuring, and test equipment that is selected for use must be capable of the necessary accuracy and precision.
B. Inspection, measuring, and test equipment whose use can affect product quality shall be identified. This equipment will be calibrated at prescribed intervals or prior to use, against equipment having a valid relationship to national standards. If no national standards exist, the basis of calibration shall be documented. Procedures or instructions for performing the calibrations will be established and used and records of calibration results maintained.
C. Inspection, measuring, and test equipment will be identified with a suitable indicator or approved identification record to show the calibration status.
D. Inspection, measuring, and test equipment will be properly maintained to ensure its fitness for use. Suitable environmental conditions shall be maintained when the equipment is in use. When inspection, measuring, and test equipment is found to be out of calibration, the validity of previous inspection and test results shall be assessed and documented.
E. Where test software or test hardware is used for inspection, this software or hardware will be checked to prove it is capable of verifying the acceptability of a product prior to its use and shall be periodically rechecked at proscribed intervals.

10.0 INSPECTION AND TEST STATUS
10.1 Consultants will establish processes and procedures to assure design documents are reviewed at appropriate intervals and their status is maintained throughout the design development process.
10.2 Prior to production and/or installation MBTA contractors, subcontractors and their suppliers will establish processes and procedures that identify the inspection and test status of work during production and installation.


    1. Test and inspection status will be identified by means of markings, stamps, tags, labels, routing cards, inspection records, test software, physical location, or other suitable means. Status indicators will indicate the conformance or nonconformance with regard to the inspections and tests performed.

10.4 Construction progress and status is documented in Contractor Inspection Reports, MBTA Inspection reports and Inspector diaries and in the Resident Engineers Diary. Additionally, status is verified during the monthly cost estimate processing system.



11.0 NONCONFORMANCES
11.1 MBTA contractors and their suppliers and subcontractors, who purchase equipment, perform manufacturing and/or construction, perform installation of equipment, and/or perform testing will develop and submit procedures for the control of nonconforming work. These procedures will be written to ensure that nonconforming work is not inadvertently used or installed.
The following nonconformance-related definitions apply to the Project:

 Nonconformance- A discrepancy in characteristic, documentation, or procedure that affects form, fit or function and renders the quality of an item unacceptable or indeterminate in regard to meeting all relevant project requirements. Examples of nonconformances include physical defects; test failures; incorrect or inadequate documentation; or deviation from prescribed processing, inspection, or test procedures.


 Accept-as-is - A disposition of a nonconforming item when it can be established that the item is satisfactory for its intended use. The Authority will establish a format for accepting compensation for “Accept-as-is” dispositioned work.

 Rework- A disposition of a nonconforming condition that indicates that the deficiency can be brought into conformance with the original requirements through re-machining, reassembly, reprocessing, reinstallation, or completion of the required operations.


 Repair - A disposition of a nonconforming condition that indicates that an item can be made acceptable for its intended use, even though it is not restored to a condition that meets all specification requirements.
 Reject – A disposition of a nonconforming condition that indicates that the item cannot be reworked or repaired to meet specification requirements.
11.2 Project nonconformance procedures will address the following requirements:
A. Nonconforming work will be identified, documented, and evaluated to determine appropriate disposition. Nonconforming items will be clearly identified as nonconforming and where practicable, segregated to prevent inadvertent installation. The organization performing activities affected by the nonconforming work will be notified.
B. The responsibility for review and disposition of nonconforming work will be defined. Nonconformances will be dispositioned as accept-as-is, rework, repair or reject. Dispositions will be documented. All dispositions will be reviewed and approved by the responsible design organization.
C. Reworked or repaired work will be reinspected in accordance with established procedures.
D. The project group responsible for maintaining the status of nonconformances will be identified.


    1. All Nonconformances will be approved by the MBTA. Non-conformances will be documented on Authority standard non-conformance forms.

11.4 The status of nonconformances will be maintained by the project office.


12.0 CORRECTIVE ACTION
12.1 The MBTA has established project procedures for identifying, documenting, correcting, and preventing recurrence of conditions adverse to quality. In addition, MBTA contractors and their subcontractors and suppliers, are required to establish corrective action procedures.
12.2 Project corrective action procedures will be established for:
A. Investigating the cause of nonconforming product and taking the corrective actions needed to prevent recurrence
B. Analyzing processes to detect and eliminate potential causes of nonconforming product or conditions adverse to quality
C. Initiating preventive actions to deal with problems to a level corresponding to the risks encountered
D. Ensuring that corrective actions are taken and that they are effective


  1. Implementing and recording changes in procedures resulting from corrective action.

12.3 Revised procedures prompted by corrective actions will be approved by the appropriate Authority personnel.



13.0 QUALITY RECORDS
13.1 The MBTA has established procedures for the accumulation and storage of project-related quality records. In addition, MBTA contractors and their subcontractors and suppliers, will establish and maintain procedures for accumulation, turnover and storage of quality records.
13.2 Project quality plans and procedures related to quality records identify which records will be kept, the responsibility for production and collection, and responsibility for indexing, filing, storage, maintenance, and disposition of quality records. Quality records will be maintained to show achievement of quality objectives and appropriate functioning of the quality management system. Each organization generating quality records will prepare a quality records list that identifies every type of document generated as a result of implementing the quality program. Types of quality records include but are not limited to:

 Design reviews

 Drawings and specifications

 Calculations

 Design changes

Procurement documents

 Procedures and instructions

 Quality plans

 Calibration records

 Audit and surveillance reports

 Corrective actions

 Test data

 Geotechnical reports

 Survey reports



 Inspection reports (Including Nonconformance Reports).
13.3 Quality records shall be complete, legible, specify the work involved, and be kept in an environment to minimize deterioration and damage. Access to quality records will be controlled to prevent alteration, damage, or loss. Where specified by contract, quality records should be made available to the purchaser or purchaser's representative.
13.4 Quality records shall be maintained until the completion of projects, in accordance with MBTA records retention policies. MBTA project quality records are maintained by the responsible groups until the project is completed.

14.0 QUALITY AUDITS
14.1 To ensure that each project’s quality system are functioning as intended, the MBTA has established procedures for the conduct of internal and external quality audits of consultant and general contractor quality assurance programs. In addition, contractors, subcontractors, suppliers and consultants will establish procedures that address their audit process.
14.2 Project procedures for quality audits shall address the following requirements:
A. Audit schedules will be issued and periodically updated. Audit frequency will depend upon the status and importance of the activity being audited. For internal audits, each element of the applicable quality program shall be audited at least annually.
B. Lead auditors and auditors will be qualified based on education, experience or training and documented. The qualifications requirements for auditors will be defined. Audits shall be carried out by personnel independent of those having direct responsibility for the activity being audited.
C. Audit checklists will be provided to audited organizations in advance of each audit. Audits will be conducted using checklists prepared in advance of the conduct of the audit and approved by the Deputy Director of Design & Construction, Quality Assurance.
D. The results of audits shall be presented to the management of the audited organization by the audit team at the conclusion of the audit. This presentation will be followed by the timely issuance of a written audit report by the audit team leader. The audit report will be issued to the management of the audited organization and the AGM with copies to management of other affected organizations as appropriate.
E. The management of the audited organization will correct any deficiencies identified by the audit in a timely manner. The organization that conducted the audit will track audit deficiencies, report on their status, and perform corrective action audits as necessary.
14.3 Audit reports are provided to the Deputy Director of Design & Construction, Quality Assurance who will check on the status audit deficiencies on a monthly basis. Copies of audit reports are provided to the AGM of Design & Construction, the Director of Design and/or Director of Construction, the Director of Design & Construction – Silverline, the Deputy Director of Design & Construction, the Deputy Director of Design & Construction, Quality Assurance and the Project Manager, as appropriate.
15.0 TRAINING
15.1 MBTA personnel assigned to projects are trained and qualified in accordance with the requirements of this QAP and project procedures. Training procedures are established and ensure personnel performing activities affecting quality are qualified on the basis of appropriate education, experience and/or training.
15.2 The AGM ensures that all MBTA personnel that are assigned responsibilities on projects are qualified based upon education, skills, abilities, experience, and/or training.
15.3 Records are maintained of employee qualifications and training. It is the responsibility of each MBTA Manager to assess the training needs for their direct reports. A training plan will be developed as necessary that will ensure that the direct report is properly trained to perform all work assigned to them. The training plan must identify appropriate training needs to fill gaps in the direct report’s qualifications and abilities and the resources required to meet the training needs.


    1. The MBTA Project Manager shall identify the key Project-related documents, including this QAP, the Project Management Plan if used, MBTA procedures, etc., that his or her personnel must be familiar with or understand and document these requirements on training matrices. Training on these documents may be by reading assignment or classroom instruction. All such training will be documented.



    1. The Project Manager is responsible to ensure that key non-project MBTA staff assigned project responsibilities are adequately trained in project requirements as necessary.




    1. The Project Manager shall maintain a training matrix summarizing training courses attended by project personnel.


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