Appendix S
Preparation Guidelines for Project Study Report-Project Development Support (PSR-PDS)
Project Initiation Documents
Chapter 5, Article 9, Quality Management Plan
September 30, 2011
ARTICLE 9
QUALITY MANAGEMENT PLAN
For Locally Implemented Projects on the State Highway System
General Guidance:
The purpose of the Quality Management Plan is to facilitate an effective and efficient process for the
development, review and approval of PIDs for State Highway System (SHS) projects sponsored by
others. The project sponsor and/or implementing agency must develop and follow a Quality Management
Plan that meets the standards of professional practice and satisfies requirements of the project scope and
schedule. The Project Managers from Caltrans and the Lead Agency shall ensure that all Project
Development Team (PDT) members, including consultants, utilize the Quality Assurance/Quality Control
(QA/QC) elements as described in this document during the production and review of PIDs. QA/QC will
be performed before deliverables are submitted to Caltrans for review.
Each team member must understand the project objectives, apply sound engineering principles and is
expected to produce quality, accurate, and complete documents within the project schedule and budget.
Project documents will be prepared in accordance with current Caltrans regulations, policies, procedures,
manuals, and standards including compliance with Federal Highway Administration (FHWA)
requirements.
The information provided in the Quality Management Plan describes the quality procedures that will be
implemented for work performed during all phases of development, review and approval of locally
sponsored and/or implemented PIDs.
The Quality Management Plan template is to be modified to fit project needs, reporting relationships, and
general circumstances.
Appendix S
Preparation Guidelines for Project Study Report-Project Development Support (PSR-PDS)
Project Initiation Documents
Chapter 5, Article 9, Quality Management Plan
September 30, 2011
Quality Management
Plan
For Preparation of Project Initial Documents for Locally Implemented Projects on the
State Highway system
Date
EXAMPLE AGREEMENT COVER SHEET
QUALITY MANAGEMENT PLAN
FOR
(Project Name)
Approved by ________________________________________ ________________
Name, Caltrans Project Manager Date
Approved by ________________________________________ ________________
Lead Implementing Agency Date
________________________________________
Name, Lead Agency Project Manager
Approved by ________________________________________ ________________
Name, Consultant Project Manager Date
Abstract: This section briefly addresses the quality assurance and quality control procedures that will
be implemented for the development, review and approval of Project Initial Documents (PIDs) for
Highway System Projects Sponsored and/or implemented by local and regional agencies and others.
.
Appendix S
Preparation Guidelines for Project Study Report-Project Development Support (PSR-PDS)
Project Initiation Documents
Chapter 5, Article 9, Quality Management Plan
September 30, 2011
TABLE O
F CONTENTS
Introduction
Quality Control Reviews ..............................................................................................................................
Checking of Calculations ..............................................................................................................................
Checking of Drawings ...................................................................................................................................
Quality Assurance .........................................................................................................................................
Reporting Structure ......................................................................................................................................
QA/QC Duties and Responsibilities .............................................................................................................
Document Control .........................................................................................................................................
Control of Subconsultants ............................................................................................................................
EXHIBITS
Exhibit A Example General List of Deliverables and Assigned QC Reviewers
Exhibit B Example Quality Control Review Form
Appendix S
Preparation Guidelines for Project Study Report-Project Development Support (PSR-PDS)
Project Initiation Documents
Chapter 5, Article 9, Quality Management Plan
September 30, 2011
Introduction
The purpose of the Quality Management Plan is to facilitate an effective and efficient process for the
development, review and approval of Project Initial Documents (PIDs) for State Highway System (SHS)
projects sponsored by others. The project sponsor and/or implementing agency must develop and follow
a Quality Management Plan that meets the standards of professional practice and satisfies requirements of
the project scope, cost, and schedule. The Project Managers from Caltrans and the Lead Agency shall
ensure that all Project Development Team (PDT) members utilize the Quality Management Plan elements
as described in this document during the production and review of PIDs. QA/QC will be performed
before deliverables are presented to Caltrans for review. Each team member must understand the project
objectives, apply sound engineering principles and is expected to produce quality, accurate, and complete
documents within the project schedule and budget. Project documents will be prepared in accordance
with current Caltrans regulations, policies, procedures, manuals, and standards including compliance with
Federal Highway Administration (FHWA) requirements.
The following information describes the quality procedures that will be implemented for work performed
during all phases of development, review and approval of locally implemented PIDs.
Quality Control Reviews
1. Quality Control (QC) Reviews shall be conducted for all deliverables. A project schedule shall be
developed with the consensus of the PDT that identifies anticipated reports, submittal dates and
review periods.
2. Prior to submission to Caltrans, each deliverable will be subject to review by senior staff and the
Local Agency Project Manager.
3. Project documents will be reviewed for conformance with project design criteria, legibility, and
completeness and compliance with regulatory and code requirements.
4. All QC comments will be evaluated by the lead author for the document, discussed with the QC
reviewer as needed and, if appropriate, incorporated into the deliverable. The Local Agency and
Caltrans Project Manager will review and approve the resolution of each comment.
5. The Project Quality Control Coversheet, as shown in Appendix B, shall be used to document all
quality control reviews.
Checking of Calculations
Final report calculations associated with the conceptual alternatives, cost estimates, and traffic technical
reports shall be checked for reasonableness. All calculations shall be reviewed by the Lead.
Checking of Drawings
Conceptual geometric plans figures, mapping, and preliminary bridge plans (if applicable) shall be
checked in accordance with established standards (e.g. Highway Design Manual and local standards).
Appendix S
Preparation Guidelines for Project Study Report-Project Development Support (PSR-PDS)
Project Initiation Documents
Chapter 5, Article 9, Quality Management Plan
September 30, 2011
Quality Assurance
The Project Managers from Caltrans and the Lead Agency, along with its consultant(s) will be responsible
for the development of deliverables and assure that the stated quality control procedures are being
followed. A Quality Assurance Log that includes dates when documents were received reviewed, and
names of the QC reviewers shall be maintained for each report or work product.
Reporting Structure
An organization chart that describes the reporting structure and assigned staff that are involved in the
QA/QC shall be developed at the beginning of the PID project.
QA/QC Duties and Responsibilities
Quality control begins with assigning the most appropriate person to each task. Each member of the team
should be responsible for controlling the quality of the product, beginning with the project staff through to
the Project Managers. The qualifications of the team members overseeing and doing the work should be
identified. All team members should be in constant communication with the each other and their
respective Principals and Project Managers in regards to project status, schedule, and any issues that
might arise during the development of the PID.
The duties and responsibilities of each of the project members in coordinating and guiding the project
efforts are described below:
a. Principals-in-Charge (PICs) – Responsible for allocation of resources and monitoring of the
project to ensure adherence to the project objectives, schedule, budget, approvals, and ensuring
that the QC/QA plan is in place and being implemented. Provides periodic audits of technical
work and performance of respective staff.
b. Caltrans Project Manager - Responsible for Independent Quality Assurance as described in the
Cooperative Agreement.
c. Local Agency Project Managers – Responsible for completion of project scope and tasks, and
adherence to project schedule and budget, including QA/QC program. The Project Managers
allocate resources to various elements of the work, establish and implement the Quality
Management Plan, schedule the various activities and adjust plans as the work progresses to
identify potential problem areas and resolve them in a timely manner. Responsible for technical
review and approval of project documents before issuance to the reviewing agency; certifies that
each submittal has been prepared and checked in accordance with Caltrans standards, policies,
and procedures, sound engineering practices and represents a quality product; and maintains
frequent contact and communication with the Caltrans Project Manager to assure satisfaction with
the progress and performance.
d. Consultant Project Manager - The Consultant Project Manager reviews and monitors the
implementation of the QA/QC practices and processes and ensures consistency with Caltrans
standards, policies, and procedures. The Consultant Project Manager identifies the quality
control actions required to be taken, the resources to be applied to these quality control actions,
Appendix S
Preparation Guidelines for Project Study Report-Project Development Support (PSR-PDS)
Project Initiation Documents
Chapter 5, Article 9, Quality Management Plan
September 30, 2011
and
interaction of these activities with the other elements of work. In this process, it is essential
that the Consultant Project Manager clearly identify the personnel involved and their duties;
allocate time, effort, and resources to the quality control function; and reviews and revises the
allocated resources appropriately as the work progresses. The Consultant Project Manager is
responsible for production of the technical work produced by their staff. They also assist the
Project Managers in the execution of the Quality Management Plan. The Consultant Project
Manager reports administratively to the Project Managers and works closely with them in the
early identification and resolution of any product deficiencies. This includes but is not limited to:
• Perform periodic reviews of quality control documentation;
• Identification and control of nonconforming conditions
d. Technical Staff – Technical staff are responsible to their Consultant Project Manager for the
quality of the work produced within their respective disciplines. In this capacity, technical staff
establishes operating guidelines and areas of responsibility within the activity; monitors the work
periodically to assure adherence to the contract scope of services and to the established reviewing
procedures to ensure consistency with Caltrans standards, policies, and procedures, advises the
Consultant Project Manager regarding the progress of work and of any circumstances that may
require particular attention; reviews work prior to submittal to the Project Managers for quality
control review; resolves QC review comments; insures comments are incorporated into the final
document and reviews completed work before it is transmitted to the Project Managers for
approval and submittal to the reviewing agencies.
Document Control
The designated agency or consultant shall make available and maintain electronic records and hard copies
of drafts and final reports for inspection upon request during the development of the PSR-PDS.
Control of Sub-Consultants
If a portion of the scope of work is subcontracted out by the implementing agency’s consultant, then all
sub-consultants will have the same responsibilities as the Lead Agency consultant.
Appendix S
Preparation Guidelines for Project Study Report-Project Development Support (PSR-PDS)
Project Initiation Documents
Chapter 5, Article 9, Quality Management Plan
September 30, 2011
EXHI
BIT A
EXAMPLE GENERAL LIST OF DELIVERABLES AND ASSIGNED QC REVIEWERS
Task
No
Deliverable Consultant Reviewer Lead Agency Reviewer
1.0 Project Management Plan Name Name
1.1 Project Schedule
1.2 QA/QC Plan
2.0 Draft Project
Need
Purpose and
3.0 Corridor Study Base
Mapping
4.0 Alternatives Evaluation &
Screening
4.1
Right of Way Data Sheet
and Cost Estimate
Mapping
5.0 Traffic Analysis
Workplan
6.0 Environmental Evaluation
Workplan
7.0 Stormwater Data Report
8.0 Geometric Evaluation
Workplan
9.0 Other discipline areas to
be evaluated
10.0 Draft PID Report Review
11.0 Final Report Approval
Appendix S
Preparation Guidelines for Project Study Report-Project Development Support (PSR-PDS)
Project Initiation Documents
Chapter 5, Article 9, Quality Management Plan
September 30, 2011
EXHI
BIT B - EXAMPLE QUALITY CONTROL REVIEW FORM
Quality Control Review Sign-Off Form
Client:
Date to Reviewer:
Project Name:
Client & Job Number:
Review Deadline:
Actual Review Date:
Project Manager:
Reviewer:
Deliverable Due Date:
Actual Hours:
Production Coordinator:
Item Reviewed:
Project Task or Phase:
Project Type:
Task/Activity:
Deliverable %:
Internal Review External Review
Type of Review
Comment Sheet
Attached/Emailed
Completed by Reviewer
Initial Date
Reports:
Environmental
Master Plans
Reports and Documents
Technical Memorandum
Other:
Design:
Architectural
Calculations
Civil
Cost Estimates
Electrical
Spec and/or Front-Ends
Instrumentation & Control
Mechanical
Plan & Profile (Pipeline)
Process
Structural
Stormwater
Other:
Miscellaneous:
Submittal/Previous QC
Backcheck
Drafting Backcheck
Project Guide
O&M Manuals
Survey Datums & Sea Level Rise
Other:
Notes:
Please return "signed" QC Review Sign-off Form and markups to your assigned Production Coordinator.
Appendix S
Preparation Guidelines for Project Study Report-Project Development Support (PSR-PDS)
Project Initiation Documents
Chapter 5, Article 9, Quality Management Plan
September 30, 2011
Signatures:
Project Manager Date - Response to Comments
QC Reviewer Date - Resolution Accepted
Instructions:
1) Project Manager fills out QC Review form & transmits to assigned QC Reviewer with document(s); 2) After
review, QC Reviewer returns reviewed document/completed QC Review form to PM with comments: 3) Project
Manager is responsible for reviewing comments, making appropriate changes/notations, & informing QC Reviewer
of changes made; 4) QC Reviewer completes form upon resolution.
QA-QC Program Coord.
Signature Date
Source Acknowledgement: Project Quality Management Plan developed for SR 152 Corridor Management Study,
prepared for VTA by HDR Engineering, Inc., July 2009.
