Ministry of Transportation

Transcription

1 Ministry of Transportation Consultant Quality Control (QC) Plan Process Procedures Guide Highway Design Office August,

2 1.0 General The Consultant Quality Control Plan (QC) Process has been in place since 1997, as a part of agreements for Ministry assignments. The Consultants have been required to submit a Quality Control of TPM Services Plan for each assignment, upon award. The Consultant is fully responsible for the quality control of all services in accordance with the Quality Control (QC) Plans that have been approved by the Ministry. The Prime Consultant shall be responsible for the Quality Control Plans of all Specialties including the Plans of Sub-Consultants and take the appropriate corrective measures, in order to ensure the quality of services. The Ministry requires that consultant / sub-consultant staff directly involved in the work will not be checking their own work for the purposes of Quality Control Plan. The quality control checks for all Specialties, including the work of sub-consultant(s), shall be conducted by the staff within a consultant / sub-consultant firm who have not been directly involved with that component of the work. A senior level staff (Auditor) within a consultant / sub-consultant firm will be responsible to oversee the process of checking, resolving all problems, ensuring that all provisions of the QC Plans have been adhered to and providing timely audit report to the Ministry Project Manager. During the assignment at the dates agreed and at completion, the Auditor shall certify that the Quantity Control process has been duly executed. The process for submission, registration and administration for Consultant Quality Control Plans has been streamlined, as discussed in this document. It is required that Consultant Quality Control Plan is submitted through Registry, Appraisal & Qualification System (RAQS) in the following three components: - Core Plan - Generic Category Plan - Supplementary Specialty Plan (project specific) The Core Plan is to provide the Consultant s corporate policy, best practices and procedures on Quality Control. Only one Core Plan is required from a firm registered in RAQS. The Generic Category Plan will outline the process, which a Consultant generally follows to ensure the quality of work for the Categories and Specialties, for which a Consultant has been registered by the Ministry. A Generic Category Plan is required for each Category where a consultant firm is registered under one or more Specialties. Please note that only one Generic Category Plan is allowed regardless of the number of Specialties the firm is registered in. The Core Plan and the Generic Category Plan components are submitted to the Ministry, after a firm has been registered to do the work under the specific Specialties. Upon approval by the Ministry staff, the Core and Generic Category Plans are registered in RAQS. A Supplementary Specialty Plan, which is project specific, is required from the successful consultant at the Award of an assignment. A Supplementary Specialty Plan is project specific and outlines how a consultant or sub-consultant shall ensure quality control of the individual Phases / Tasks for all Specialties included in an assignment. Only upon the acceptance of the Supplementary Specialty Plan by the Ministry Project Manager by the date specified and by the duly signed / executed Legal Agreement, the consultant shall proceed with the assignment. During the assignment and at completion, the consultant s Auditor shall submit reports on quality control (Milestone Quality Report(s)) to the Ministry Project Manager. The Milestone Quality Reports are subject to acceptance by the Ministry Project Manager. The Ministry Project Manager may request clarification(s) or additional information as deemed necessary. 2

3 The performance of the consultant will be tracked on the adherence to the accepted Quality Control Plan, the timely delivery of Milestone Reports and any follow up clarifications or additional information requested by the Ministry Project Manager. The areas of conformance / non-conformance will be documented. The consultant is fully responsible to correct the areas of non-conformance. The Ministry may inform the Consultant in writing to correct major violations of the Quality Control Plans. If after written notice, the major violations are not corrected, the Ministry may at its own discretion, issue Infraction Report / Penalty (ies) including for stoppage of work, until conformance is demonstrated or appropriate revisions to the plans are approved, such that any additional work to obtain conformance shall not constitute a Scope Change under the TPMA. Upon request, the Ministry shall be given access at any time to all records produced in the performance of the Services including inspection records, test results and testing facilities, and to conduct sampling, direct observation of testing as necessary, to enable the Ministry to track adherence to the Quality Control Plans for Services and other requirements of the TPMA. The Consultant shall be solely and fully accountable for the quality of the Deliverables. The Ministry reserves the right to reasonably undertake to recover costs which result from errors, omissions or other actions or inaction of the TPM Consultant, pursuant to the construction administration of the assignment. 2.0 Consultant Quality Plan Components 2.1 Core Plan The Core Plan outlines the Consultant s corporate policy and procedures on Quality Control. The requirements for the Core Plan are outlined below: Company Policy in Quality Control This Section shall contain a statement of the TPM Consultant s policy regarding Quality Control of the work. Document and Data Control This Section shall outline the procedures to be followed to ensure that all documents and data impacting the quality of the product are approved by authorized personnel prior to their use, and are made available to the appropriate individuals. It shall also describe how the use of obsolete or inappropriate documents and data will be avoided. The process outlined must address origin, access, review, status, handling and filing, storage, currency, approval and issue. All processes and procedures to be followed by the Consultant s team shall be detailed in the documentation developed and made available to all team members. The documentation shall detail the processes, procedures and documentation requirements at each stage of the project including the activities, approvals and acceptance referred to in the Quality Control Plan. The Quality Reports and supporting documents shall be maintained by the Consultant and will include, but not be limited to: - An index of all documents arranged in a chronological order; - A copy of the initial Quality Control Plan or approved modified versions; - Minutes of all meetings between the Ministry and Consultant's Milestone Auditor(s); - Confirmation of peer reviews and outcome of findings; - All Internal Audit Reports, including all supporting forms, comments, recommendations and decisions by senior officials of the firm; - Itemized list of deficiencies and non-conformances with clearly detailed description of corrective 3

4 action taken. It is necessary, within reason and cost effectiveness, for the fundamental cause of the problem to be identified and removed to prevent recurrence; - The names, role(s) and position(s) of the Consultant's Quality Control Team including Auditor(s) responsible for the corrective action; - All non-conformance reports generated by the Ministry, including evidence of Consultant's corrective action and subsequent compliance with the Legal Agreement; - Documents to be provided in hard copy format but available in digital form where possible; - Pertinent dates, signatures and seals must be shown on documents where required; - Name of Consultant's staff responsible for retrievals of manuals and any support documents when requested by the Ministry; and - A clear audit trail shall be maintained by the Quality Auditor(s) and documentation made available to the Ministry staff, throughout the life of the project. All documents to be used by or created by the project team in performance of the Work shall be controlled throughout the duration of the project. A documented process must address: origin, access, review, status, handling and filing, storage, currency, approval and issue. Control of Sub-Consultant Work This Section shall describe the procedures the Consultant will use to monitor and verify the quality of the work performed by Sub-Consultants. It shall also include the specific measures the Consultant will take to rectify deficiencies in the work performed by Sub-Consultants. Control of Non-Conforming Work This Section shall describe in detail the methods to be used by the Consultant in dealing with nonconforming work. As a minimum, describe: - How a corrective action shall be implemented in the case of non-conforming work; and - Identify what proof of remedial action taken to ensure that non-conforming work is not incorporated into the deliverables. Other Related Items to Quality Control This Section shall describe any other related items that the Consultant has in place within their organization which are relevant to the quality control during the execution of an assignment. 2.2 Generic Category Plan A Generic Category Plan outlines the processes which a Consultant will generically follow to ensure the required quality of work for the Categories and the Specialties under those, for which a Consultant has been approved / registered to perform the work. The following sections of this document specify the minimum requirements for the Generic Category Plan, for the completion of an assignment. The requirements approved under these sections will form a part of the overall Quality Control Plan for an assignment. Process Control The Process Control shall be in place to ensure the delivery of Quality Products (reports, documentation, paper trail). Each task shall be broken down into discrete and sequential components, separated by milestones at which sign-off on the deliverables of the process component takes place. The Process Control shall apply to one or more of the following Categories (and the corresponding Specialties) the firm has been registered for. 1. ADVANCED TRAFFIC MANAGEMENT SYSTEMS 4

5 2. BRIDGE ENGINEERING 3. CONSTRUCTION 4. DRAINAGE AND HYDROLOGY ENGINEERING 5. ELECTRICAL ENGINEERING 6. ENGINEERING MATERIALS TESTING AND EVALUATION (Aggregate Resources Prospecting and Evaluation only) 7. ENVIRONMENTAL 8. FOUNDATIONS ENGINEERING 9. HIGHWAY ENGINEERING 10. PAVEMENT DESIGN AND ROAD INFRASTRUCTURE MANAGEMENT 11. SURVEYING 12. TRAFFIC ENGINEERING The description of the process control for each Category shall include, but is not necessarily limited to, the breakdown into the Phases / Tasks similar to identified in the Table Below. Each Phase / Task will be complemented by: Methodology: Discuss the type of work carried out during the Phase / Task identified. Project Deliverables: Documentation / Recommendations for the Task / Phase in the project, both interim as would be required for presentation at progress meetings and final deliverables at the completion of the task. Reference Manuals: Indicate the manuals, which shall be used for the proper performance of the tasks (list only significant items) Independent Technical s: Include both the Procedure(s) for the technical reviews / checking and the corresponding Documentation (activity checklists, memos, paper trail, etc.) Generic Q.C. Staff Assigned: Identify the generic staff position(s) to complete the tasks / phases and to perform QC audit(s) of the tasks (check the work & provide QC documentation). Milestone Quality s: Each Generic Category Plan will identify Milestone Quality s at the intervals specified. The Consultant shall deliver the Quality Reports at the identified milestone unless modified by the Supplementary Specialty Plan. Quality Reports shall include the documentation of Independent Technical s (Procedures used and the corresponding Documentation), Quality Audit Memos / Reports of the Auditor. 5

6 Generic Category Plan Template Generic Category: Consultant/Sub-Consultants Name: Date: No. Phase /Task Methodology Deliverables Reference Manuals Independent Technical Procedure Documentation Generic Staff Assigned/ Qualifications (1) (2) (3) (4) (5) (6) (7) (8) 1 Reference Document (Familiarization) Records Project Manger, Designer, Checker/Qualifications 2 Data Collection/ Field Investigations Records/Minutes 3 External Stakeholder Consultation (Ministry, Agencies, Public, ) Correspondence/ Records/ Minutes 4 Design Alternatives/ Evaluation/ Selection Reports/ Recommendations 5 Technical Reports Reports/ Recommendations 6 Final Design Documentation 7 Clearances and Approvals Plans/ Quantities 8 Final Contract Tender Preparation Stage Tender package (Specifications, special provisions, etc) 9 10 Design Turnover for Consultant Consultant Liaison * Milestone Quality Design Sections, Templates, Working Drawings, etc. Minutes/Records of Design Changes/Clarification Quality Report * To be inserted at appropriate milestone. 6

7 Internal s and Checking Project Technical s / Acceptance This Section shall identify all Technical s and Acceptance Checking to be undertaken by the Consultant, including the milestones when Technical s will be undertaken and basis of technical acceptance by the Consultant. The Consultant shall establish a sequence of activities and approval/acceptance steps in order to establish technical accuracy (including constructability) of the services and conformance to the Technical Standards and Specifications being used for a category. The Consultant shall use competent and trained staff to carryout independent checks of the critical tasks, as required. The Consultant shall ensure that the checks, when required, are to be independent and the staff assigned to check have not been directly involved in the project. The checks shall provide traceable documentation in: - Methodology or approach to doing the work; - Policies, Procedures, Standards and Specifications used; and - Accuracy and completeness of data, reports, measurements and calculations. Prior to issuing the deliverables to the Ministry, the TPM Consultant shall conduct a final review of the completed work to ensure that all requirements of the TPMA have been met. Milestone Quality s This section shall detail all identified Milestone Quality s to be undertaken by the Consultant throughout the duration of the assignment. The Quality s are independent examinations to determine whether the Quality measures and related results comply with the quality objectives of the agreed QC Plan. The comparison is therefore between the actually recorded activities against those specified in the Plan. The Consultant shall conduct all Milestone Quality s agreed upon, at the Milestone deliverable completions or whenever there are perceived deviations from the Quality Control Plan. Quality Auditor (s) who shall be a responsible individual(s) in the Consultant s organization with sufficient authority to impact the performance of the services and enable a successful implementation of the Plan shall carry out the Quality s. The Quality findings shall be documented in Quality Reports provided solely for that purpose. The Quality Auditor(s) shall notify the Consultant of the non-conformities to the Quality Control Plan. The Consultant shall take action to resolve the non-conformities in a timely manner. These non-conformities, their resolution and corrective action shall also be recorded in the Quality Report(s). The Consultant shall provide the Ministry with the Quality Reports within seven (7) business days after each Quality completion. These Reports must also be easily retrievable and available for perusal by MTO staff or its agents upon request. Quality Control Records The Generic Category Plan shall identify the format to be used for reporting results under the headings identified below: Project Technical s/acceptance Milestone Quality s For each type of review, a checklist shall be provided, listing what will be checked and how it will be reported, and how actions taken as result of the reviews will be documented. 7

8 2.3 Supplementary Specialty Plan A Supplementary Specialty Plan is prepared in keeping with the project delivery schedule, identifying the quality checks / reviews and the Quality / Audit Staff. - Each specialty identified in the assignment requires a fully completed Supplementary Plan Table. - Project specific variations from Generic Category Plan for a Phase / Task and Internal s and Checking are covered in the Table. - It is the responsibility of the Consultant to ensure the submission, implementation and administration of Quality Control Plans for all Specialties in the assignment including Sub-Consultants Quality Control Plans and to take the appropriate corrective measures, to ensure the required quality of services to be provided by the Sub-Consultants. - The Consultant shall ensure that different staff is utilized to complete the work associated with each Phase/Task, Quality s/checks and Audits. - The completion dates for the Project Specific Supplementary Plans shall reflect the overall project plans and schedule for the assignment. - The Consultant shall commit to the timely delivery of quality / audit documentation (Milestone Quality Reports) by the staff and dates identified in the Supplementary Specialty Plan. The consultant is responsible for the timely delivery of the Milestone Quality Reports, any related documentation, any clarification(s) and / or additional information as requested by the Ministry Project Manager. - The Supplementary Specialty Plan is subject to acceptance by the Ministry staff. Consider the following in completing the Template for Supplementary Plan for a Specialty: - When preparing the Project Specific Supplementary Plans, utilize the same row numbering and Phases / Tasks as listed in the approved Generic Category Plan where applicable. - The number of Milestone Quality s shall be based on the type and complexity of an assignment. Depending on an assignment, the Phases / Tasks and Milestone Quality Reports in the Supplementary Specialty Plan may be similar or vary compared with a registered Generic Category Plan in RAQS. - If a Phase / Task in the Project Specific Supplementary Plan is the same as in the approved Generic Category Plan in RAQS, utilize the same row number as in the Generic Category Plan. Do not repeat the information in columns 3 through 5. Add the phrase same as in Generic Category Plan. - Depending on the assignment, new Phases / Tasks may be created or existing combined. For these Phases / Tasks complete all cells in the row, from columns 1 through 9. - The following information is required in columns 6, 7,8 and 9. o Staff that will prepare the work associated with each Phase/Task; o Staff that will conduct the Quality / Check for each Phase/Task; o Auditor for each Milestone ; and o Dates for quality review / check for each Phase/Task and Milestone Quality Reports 8

9 Project Specific Supplementary Plan Template: Planning / Engineering Assignments GWP No.: Highway No.: Consultant/Sub-Consultants Name: Specialty: Purchase Order No.: Location: Date: No. Phase /Task Methodology Deliverables Reference Manuals Independent Technical Procedure Quality Documentation Quality Control and Auditor Staff Completion Date For Milestone Quality (1) (2) (3) (4) (5) (6) (7) (8) (9) 1 Reference Document Data Collection/ Field Investigations External Stakeholder Consultation (Ministry, Agencies, Public, ) Design Alternatives/ Evaluation/ Selection Milestone Quality Technical Reports 6 Final Design 7 Clearances and Approvals Audit Memo / Report 8 Final Contract Tender Preparation Stage 9 10 Milestone Quality Design Turnover for Consultant Consultant Liaison Milestone Quality Audit Memo / Report Audit Memo /Report 9

10 Project Specific Supplementary Plan Template: Construction Administration Assignments The Plan shall supply the following information: Names of personnel for tasks listed in the QC Plan. Dates of when the independent checks will take place. Process for Independent Checks / Audits including who will performance Checks / Audits and check-lists produced. Details of speciality inspections (Name(s) / Firms / Dates). Details for any unique aspects of the project not covered in the Generic Category Plan. 2.4 Milestone Quality Report A Milestone Quality Report provides the audit trail of the quality control conducted during an assignment. A Milestone Quality Report is submitted through RAQS at the date identified in the Supplementary Specialty Plan. One or more Milestone Quality Reports may be required as indicated in the Supplementary Plan accepted. - The Consultant who is signatory to the Legal Agreement is responsible for the submission and correctness of the Milestone Quality Reports for all of the Specialties in an assignment including the work to be performed by Sub-Consultants. - The number of Milestone Reports shall be based on the type and complexity of the project. The number of Milestone Quality Reports to be submitted may vary with the scope of an assignment. - The Ministry Project Manager may request clarification / documentation / additional information on the quality checks / audits and checklist sheets, as deemed necessary. Use the following in completing the Template for a Milestone Quality Report: - The Numbers and Phase/Tasks in columns 1 and 2 should be the same as listed in approved Project Specific Supplementary Plan. - In column 4, list the checklists completed. - In column 5 and 6 identify the Quality staff. Please note that the Quality Staff should be the same as identified in the Supplementary Specialty Plan. Replacement Quality staff must have prior acceptance by the Ministry Project Manager. 10

11 Milestone Quality Report Template: Planning / Engineering Assignments GWP No.: Highway No.: Consultant/Sub-Consultants Name: Specialty: Assignment No: Location: Date: No. Phase /Task Independent Technical Quality Audit Items Checked Check- List(s) Produced Check Completed By / Date Audit Completed By / Date Audit Documentation Produced (1) (2) (3) (4) (5) (6) (7) 1 Reference Document List Items Checked List all items resolved including dates, resolution trail, etc. List any Check Lists produced. List Audit documentation produced. 2 Data Collection / Field Investigations List Items Checked List all items resolved including dates, resolution trail, etc. List any Check Lists produced. List Audit documentation produced. 3 External Stakeholder Consultation (Ministry, Agencies, Public, others) List Items Checked List all items resolved including dates, resolution trail, etc. List any Check Lists produced. List Audit documentation produced. 4 Design Alternatives/ Evaluation/ Selection List Items Checked List all items resolved including dates, resolution trail, etc. List any Check Lists produced. List Audit documentation produced. 5 Any Additional Task List Items Checked List all items resolved including dates, resolution trail, etc. List any Check Lists produced. List Audit documentation produced. Milestone Quality 1 List Items Checked List all items resolved including dates, resolution trail. List any Check Lists produced. List Audit documentation produced. Auditor s Memo / Report 11

12 Milestone Quality Report Template: Construction Administration Assignments A Milestone Quality Report will supply the following information: Names of personnel who have performed Checks / Audits of the Task listed Supplementary Specialty Plan for CA. Dates when the independent checks were performed and check-lists produced. Details when speciality inspections were carried out (Name(s) / Firms / Dates). Details for any unique aspects of the project not covered in the Milestone Quality Report. 3.0 Revised Quality Control (QC) Plan Process: Implementation Procedures Effective July 2, 2002, the revised QC Plan Process will apply to all consultant assignments as: The revised QC Plan Process applies to all consultant assignments (RFP, RFQ Retainer), advertised on RAQS Public Website. At EOI Stage, the following requirements will apply: Only the firms registered for the Prime Specialty identified in EOI Notice shall be considered. In addition, a firm must have for the minimum, the prior registration of their Core Plan and the Generic Category Plan for the Category where the Prime Specialty is located. At RFQ Stage, the following requirements will apply: Only the firms registered for the Specialty identified in RFQ Notice will be considered. In addition, a firm must have the prior registration of their Core Plan and the Generic Category Plan for the Category where the RFQ Specialty is located. At Award (RFP, RFQ, Retainer) Upon award, a firm is to submit within ten (10) working days through RAQS, a completed Supplementary Specialty Plan together with Templates for the Specialties identified in the proposal submitted by the successful consultant. In case a sub-consultant included in a proposal does not have a prior registration of Core and Generic Category Plans, it will be responsibility of the Prime Consultant to submit those to the Ministry Project Manager at the time of submission of Supplementary Plan. Consultant s submission of Supplementary Specialty Plan (and any Core and Generic Category Plan for a sub-consultant, if not already registered) are reviewed and accepted by the Ministry Project Manager. The Ministry Project Manager may provide comments on the Supplementary Plan submitted and request clarification or additional information from the consultant, as warranted. Failure to provide an acceptable Supplementary Specialty Plan in RAQS within twenty (20) working days may result in the cancellation of the Award and the consultant may not proceed further with the assignment. During the assignment, the consultant is to submit through RAQS, the Milestone Quality Report(s) of the check / audit conducted the staff at the dates identified in the approved Supplementary Plan. The Ministry Project Manager may accept the Milestone Quality Reports or may request any clarification(s) or 12

13 additional information, as appropriate. The consultant / prime consultant who is signatory to the Legal Agreement is fully responsible for all aspects of Quality Control of an assignment including the quality control of work by sub-consultant(s). The consultant is fully responsible for the timely submission of Supplementary Specialty Plan and Milestone Quality Report(s), accuracy of quality documents submitted and any clarifications or additional information requested by the Ministry Project Manager. The performance of the consultant will be tracked for the timely delivery of QC deliverables / reports for accuracy of reporting and any follow up clarification / additional information requested by the Ministry Project Manager. 4.0 Ongoing Submission / Approval of Core and Generic Category Plans A majority of registered consultants have already submitted their Core and Generic Plans in RAQS. However, the process of submission and registration of Core and Generic Category Plans continues to be available for the new consultant firm or where a consultant is updating a plan previously submitted / approved. Registration Procedure / Steps All consultants currently registered in RAQS are required to submit through RAQS, one Core Plan for the firm. In addition, a firm must submit a Generic Category Plan for each Category where the firm is registered in one or more Specialties. The requirement applies to all consultants regardless of whether they may be sub-consultants in future assignments. The Categories requiring the submission of Generic Plans include Highway Engineering, Bridge Engineering, Pavement & Infrastructure Engineering, Foundation Engineering, Environmental, Engineering Materials Testing (Aggregate Resources Prospecting and Evaluation only), Traffic Engineering, Electrical Engineering, Drainage & Hydrology Engineering, Advance Traffic Management System (TMS), Construction Administration and Surveys. Core and Generic Plans are to be submitted separately. The submission in RAQS allows attaching the electronic files, as necessary. Regardless of the number of Specialties registered for in a Category, only one Generic Category Plan is allowed for a Category. Each Generic Category Plan submitted must include a completed Table with all the pertinent tasks and milestones and the related rows / columns filled in. A Generic Table / Template is available in this Document: Core and Generic Category Plan submissions are reviewed by a MTO Team. If a Plan meets MTO criteria, it is registered in RAQS. The registered Plans are available to the Ministry Project Manager for the purposes of an assignment. Registered Core and Generic Category Plans of a sub-consultant will form a Sub-Plan of the prime consultant's overall QC Plan. The Sample Tables below for the Categories are available at the RAQS Public Website for downloading. These Tables may be used for aid in preparing the Generic Category Plan Tables for submission. Please note that these Tables are Sample only and not totally inclusive. These should not be used as checklists. 13