quality management plan - honolulu county,...

of 59 Honolulu Rail Transit Project

Quality Management Plan Rev. 1.0 March 5, 2012

QUALITY MANAGEMENT PLAN

REVISIONSNecessary modification to this document will be made to conform to evolving project needs. As major revisions occur, the entire manual will be reproduced, bound, and distributed and prior versions of the manual shall be destroyed. For minor revisions, only the affected pages will be issued.All minor revisions will be dated and signed by the Executive Director or designee, and previous minor revisions of the document shall be destroyed.

REV DATE SECTION(S) DESCRIPTION0 1/11/11 ALL PMOC – Approved for Final

Design1 3/5/12 ALL Transition to HART, incorporation of

FTA/PMOC OP 24 Comments and Record of Decision (ROD)



TABLE OF CONTENTS

1 INTRODUCTION .......................................................................... 7

2 MANAGEMENT RESPONSIBILITY .......................................... 9

2.1 Scope......................................................................................................9

2.2 Duties and Responsibilities .....................................................................9

2.3 Interface Control ...................................................................................10

2.4 Departmental Responsibility .................................................................11

3 DOCUMENTED QUALITY MANAGEMENT SYSTEM......... 123.1 Scope....................................................................................................12

3.2 Responsibilities.....................................................................................12

3.3 Control and Distribution of the QMP ....................................................13

3.4 Revisions to the QMP ...........................................................................14

3.5 Orientation, Training and Qualification of Personnel.............................14

3.6 Management Review of the QMP .........................................................15

4 DESIGN CONTROL .................................................................... 164.1 Scope....................................................................................................16

4.2 Definition, Initiation and Coordination of Activities..............................17

4.3 Development of Design Documents, Specifications, Procedures and Instructions ...........................................................................................17

4.4 Design Review and Documents Approval .............................................18

4.5 Design Support during Construction......................................................19

5 PURCHASING ............................................................................. 205.1 Scope....................................................................................................20


5.3 Code 01.5 – Professional Services Contracts .........................................21

5.4 Code 01.4 – Construction Contracts ......................................................22

5.5 Contracts...............................................................................................24



5.6 Changes and Amendments to Procurement Documents .........................24

5.7 Request for Proposal or Invitation to Bid...............................................25

6 INSTRUCTIONS, PROCEDURES AND DRAWINGS ............. 266.1 Scope....................................................................................................26


7 DOCUMENT CONTROL............................................................ 287.1 Scope....................................................................................................28

7.2 List of Documents.................................................................................28

7.3 Storage and Distribution........................................................................29

7.4 Obsolete Documents .............................................................................29

7.5 Coordination of Activities .....................................................................29

8 PURCHASED MATERIALS, MACHINERY, EQUIPMENT, AND SERVICES........................................................................... 308.1 Scope....................................................................................................30


9 PRODUCTS IDENTIFICATION AND TRECEABILITY........ 329.1 Scope....................................................................................................32

9.2 Definition, Initiation, and Coordination of Activities.............................32

10 PROCESS CONTROL................................................................. 3410.1 Scope....................................................................................................34


11 INSPECTION ............................................................................... 3511.1 Scope....................................................................................................35


12 TESTING ...................................................................................... 3712.1 Scope....................................................................................................37




13 INSPECTION, MEASURING AND TEST EQUIPMENT........ 3913.1 Scope........................................................................................................39


14 HANDLING, STORAGE, SHIPPING, AND PRESERVATION4114.1 Scope.......................................................................................................41


15 INSPECTION AND TEST STATUS........................................... 4315.1 Scope....................................................................................................43


16 NONCONFORMANCE ............................................................... 4516.1 Scope....................................................................................................45


16.3 Internal Nonconformance......................................................................46

16.4 External Nonconformance.....................................................................47

17 CORRECTIVE ACTION............................................................. 4817.1 Scope....................................................................................................48


17.3 Corrective Action Records ....................................................................49

18 QUALITY RECORDS ................................................................. 5018.1 Scope....................................................................................................50


19 QUALITY AUDITS...................................................................... 5219.1 Scope....................................................................................................52


19.3 Management Review.............................................................................53

20 TRAINING.................................................................................... 54

20.1 Scope......................................................................................................54



GLOSSARY ............................................................................................ 56

ACRONYMS........................................................................................... 58

APPENDICES:

Appendix 1 Contract SP 4.7 Quality ManagementAppendix 2 Contract Deliverable Requirement List (CDRL)Appendix 3 Inspection and Test Plan Appendix 4 Nonconformance Report Form Appendix 5 Nonconformance Report LogAppendix 6 Comparison Matrix between HART QMP, FTA QA/QC Guidelines,

ISO 9001-2008, and AAR Section J (M-1003)Appendix 7 City Procurement Code 01.4 - Construction Contracts Appendix 8 City Procurement Code 01.5 - Professional Services ContractsAppendix 9 HART Project Wide Document Control Procedure (No. 2.PA-04)Appendix 10 QIP-19 Quality Audit ProcedureAppendix 11 HART Training Procedure (No. 2.PA-07)Appendix 12 CMS Reviewer Comments Sheet Appendix 13 GEC II Scope of Work: Task 04 – Quality Management



1 INTRODUCTION

Quality Management is one of the most important aspects of any Project Management Program.

During the Planning and Preliminary Engineering (PE) Phases of the Honolulu Rail Transit Project (the Project) a Project Management Plan (PMP) was established (Revision 3) which depicted the required quality assurance and quality control for the Project. The PE and Environmental Impact Statement (EIS) were completed employing the RTD Quality Plan (Revision 2). The Final EIS (FEIS) was also completed and approved by the FTA on June 14, 2010 employing these documents (QP Revision 2 and PMP Revision 3).

On January 18, 2011, the FTA issued an Environmental Record of Decision (ROD) for the Project. As stated in the ROD, the Project must incorporate all the mitigations of adverse effects presented in the Final EIS, the Section 106 Programmatic Agreement and the ROD. The FTA also required that the City and County of Honolulu must immediately notify the FTA of any proposed change to the Project that would differ in any way from what the Final EIS states.

Progressing to the Final Design, Construction, Integrated Testing, Pre-revenue Operations and Operations Phases of the Project, the PMP was revised (starting on Revision 4) to include Section 3.1.3 Quality Management. It requires that HART establish a Quality Management Program to assure that: track and structures; signals and controllers; communications systems; traction power systems; rolling stock; yard and maintenance facilities; stations, including ADA access provisions; parking lots; and ticket vending machines are designed, procured, and constructed in accordance with established design, engineering, and quality requirements. These requirements provide the controls for design, procurement, construction, inspection and testing, which will enable HART to be assured that the quality necessary for safe and reliable operation of its transit system is achieved.

The Quality Management Plan (QMP) articulated herein provides general requirements and guidance for the establishment and execution of quality assurance and environmental compliance assurance for the design and engineering, construction, testing, operation and maintenance of the dynamic system, and civil installations for the Honolulu Authority for Rapid Transportation (HART).

The QMP is founded upon accepted concepts and processes, which are recognized by the American Public Transportation Association (APTA) and the Federal Transit Administration (FTA) and which have been applied successfully on other public transit projects.



The QMP intends to meet the requirements of the FTA Quality Assurance (QA)/Quality Control (QC) Guidelines (FTA-IT-90-5001-02.1 February 2002 Issue). The 15 Essential Elements of the FTA QA/QC Guidelines are as follows:

Element 1: Management ResponsibilityElement 2: Documented Quality Management SystemElement 3: Design ControlElement 4: Document ControlElement 5: PurchasingElement 6: Product Identification and TraceabilityElement 7: Process ControlElement 8: Inspection and TestingElement 9: Inspection, Measuring, and Test EquipmentElement 10: Inspection and Test StatusElement 11: NonconformanceElement 12: Corrective ActionElement 13: Quality RecordsElement 14: Quality AuditsElement 15: Training

This QMP also intends to meet the International Organization for Standardization -Quality Management Systems Requirements ISO 9001-2008, and AAR Section J (M-1003). These standards and specification are normally used in long lead time equipment (e.g., rolling stock, tracks and appliances, ticket vending machines, signals and controllers, traction power systems, etc) contracts and purchases as articulated in the PMP section 3.1.3 Quality Management. A comparison Matrix between this QMP, FTA QA/QC Guidelines, ISO 9001-2008 and M-1003 is shown on Appendix 6.

Some sections of this QMP are supplemented with Quality Implementing Procedures (QIP) to provide detailed steps and guidelines in performing work related to quality. EachQIP is controlled and maintained autonomously and included as an Appendix to this QMP.



2 MANAGEMENT RESPONSIBILITY

2.1 Scope

2.1.1 The HART Functional Organization Chart is shown in Figure 1 of this section. Based on the Functional Organization Chart, the organizational structure, levels of authority, and lines of communication for activities affecting quality and environmental compliance are clearly established and delineated. This section describes the tasks for which the departments are responsible and the duties/functions that they shall perform.

2.1.2 The QA personnel shall have the authority and responsibility to assure that the QA system is correctly and effectively executed and verified, and to assure a direct access to the HART Executive Director, where appropriateaction can be affected.

2.1.3 The HART QA Manager shall have authority and organizational freedom to assure that all HART projects and operations are designed and engineered, constructed, tested, operated and maintained in accordance with the plans, specifications, and contract requirements. The HART Statement of Authority and Policy for Quality is shown in Figure 2 of this section.

2.2 Duties and Responsibilities

2.2.1 Executive Director (ED): The ED has the overall responsibility for the prudent and proper management of the Project, and implementation of HART policies and procedures including QA, System Safety and Security. The ED also ensures integration and coordination between other city divisions and state agencies.

2.2.2 System Safety and Security (SS&S): The Chief Safety & Security Officer (CSSO) shall be responsible for the safe and secured operation of the transit system. The CSSO shall establish, manage, and implement the HART Safety and Security Management Plan (SSMP) including the System Safety and Security Certification Program to assure that Certifiable Elements are tested, verified and validated prior to use. The CSSO is also responsible for organizing and coordinating the HARTSafety and Security Certification Review Committee.

2.2.3 Quality Assurance (QA): The HART QA Manager is responsible for establishing and implementing the Quality Management Plan (QMP). The



HART QA Manager shall assure that all HART employees, consultants, contractors, vendors including their subs, comply with this QMP and contracts requirements. The consultants, contractors and vendors shall establish the appropriate and applicable Quality Assurance Plans (QAP)for their respective contract, products or services, which will require approval of the HART QA Manager prior to use. The HART QA Manager is responsible for the overall QA/QC oversight of: employees, consultants, contractors and vendors; and internal and external QA Audits. External Audits maybe performed by HART jointly with the consultant (GEC) or GEC only per the HART-approved QAP.

2.2.4 Chief Project Officer (CPO): The CPO shall provide oversight on allphases (Planning including EIS, Preliminary Engineering, Final Design, Construction, Testing and Commissioning) of the Project. The Projectconsists of the entire transit system, which includes: elevated guideways,stations, traction power and controls, rolling stock, maintenance andstorage facilities, and other ancillary facilities to operate the transit systemefficiently and safely.

2.2.5 Deputy Chief Project Officer, Administration and Controls (DAC): TheDAC shall be responsible for the controls and administration of theprojects for the entire system. Reporting to the DAC are the managers of: administration and human resources; configuration control; grants and finance; project controls; procurement and contract administration; and right of way, including land acquisition.

2.2.6 Deputy Chief Project Officer, Engineering and Construction (DEC): The DEC shall be responsible for managing the design, engineering,construction, testing, and safety and security certification of projects. TheDEC shall also be responsible for HART Environmental CompliancePrograms. Reporting to the DEC are the Assistant Project Officers for: design-build contracts (guideways, and maintenance and storage facilities); design-bid-build contracts (stations); facilities; design-build-operate-maintain contract for core system; and planning andenvironmental. Also reporting to the DEC are the General Engineering Consultants (GEC) and Construction Engineering & Inspection firms.

2.3 Interface Control

2.3.1 All departments shall be responsible for assuring that all projects,products, and services offered by HART to the public are in compliancewith federal, state, county, and local regulations. Specific interface duties,



responsibilities, and functions of each organization/department that affect quality are defined and documented in various sections of this QMP.

2.4 Departmental Responsibility

2.4.1 Whenever a specific organization is addressed on this QMP, the respective officers and department managers shall be responsible for all required operations to be performed. Each officer/manager may designate any or all of the work to others within his/her own department only. This person shall assure that the specific departmental activities are met.

2.4.2 Every officer/manager shall be responsible for assuring that the QMPrequirements applicable to his/her domain are observed.

2.4.3 A Legal Counsel is assigned to HART by the Office of the Corporation Counsel for legal advice and issues. The City also requires that Procurement Documents, including Change Orders (CO) are reviewed by the Legal Counsel.

2.4.4 The DAC shall procure required professional services, construction, and other items through the City Budget and Fiscal Services, Purchasing Division. During the preparation and approval of procurement document, the DAC shall assure that quality requirements per FTA QA /QC Guidelines are included in the contracts, which are issued by the Purchasing Division



3 DOCUMENTED QUALITY MANAGEMENT SYSTEM

3.1 Scope

3.1.1 The Quality Management System (QMS) as described in this QMP is established to:

A. Include consideration of the technical aspects of the activities affecting quality and environment;

B. Provide control over activities affecting quality to an extent consistent with their importance;

C. Provide for the planning and accomplishment of activities affecting quality under suitably controlled conditions. Controlled conditions shall include: Using appropriate equipment and suitable environmental conditions for accomplishing the activity, and providing assurance that the prerequisites for a given activity have been satisfied;

D. Provide for any special controls, processes, test equipment, tools and skills to attain required quality and for necessary verification of quality such asinspection or test;

E. Provide orientation and training, as necessary, of personnel performing activities affecting quality to assure that suitable proficiency is achieved and maintained; and

F. Monitor project public communication and outreach program, which relates to government relations, community relations, media communication, and Project Team communications; and

G. Providing HART Executive Director Assessments of the adequacy of the QMP and assure its effective implementation, regularly.

3.2 Responsibilities

3.2.1 HART performs the function of and has overall responsibility for contracting and procuring design, engineering, and construction (e.g., structures, facilities, betterments, etc.), items (e.g. structures, materials, tools, equipment, systems, etc.) and services (health and environmental; public relations and community outreach; operations and maintenance).The QA personnel shall have the authority and responsibility to assure that



the QMP is correctly and effectively executed and verified, and to assure a direct access to the HART Executive Director, where appropriate action can be affected.

3.2.2 Contractors, consultants and suppliers providing design, engineering, construction, items and services to HART shall be required to submit a Quality Assurance Plan (QAP) that meets the QMP, which is applicable for their respective scope of work, for approval. Upon the HART QA Manager’s approval the QAP shall be employed to their specific projects/contracts, services, or items required by HART.

3.2.3 All work required for the operations, maintenance of systems and equipment (MOSE), maintenance of way (MOW), and dispatching shall be performed in accordance with the FTA and APTA regulatory requirements, and the HART approved QAP.

3.2.4 The HART QA Manager shall have the authority and organizational freedom to assure that all HART projects and operations are designed and engineered, constructed, tested, and maintained in accordance with the plans, specifications, contract requirements and this QMP. The HART QA Manager shall be responsible for monitoring, oversight, and QA audits ofthe HART-established QMP internally, and all contractors, consultants,and suppliers to assure that their respective HART-approved QAP areeffectively implemented.

3.3 Control and Distribution of the QMP

3.3.1 The Master Copy of the QMP and all revisions made on the QMP shall be maintained and controlled by the HART QA Manager. The most current revision of the QMP (Master Copy) shall be published on the HART-established Oracle Contract Management System (CMS) under controlled documents in PDF file format and shall be made available to all appropriate personnel as “Read Only.”

3.3.2 Any paper printed copy of the QMP shall be deemed “Uncontrolled Copy” and will not be subjected for updates and audits.

3.3.3 Appropriate personnel shall be notified officially by the HART QA Manager through the Document Control Manager, of the availability of the QMP on the HART CMS, and required to acknowledge the notification memorandum issued. A list of personnel who were notified will be maintained and controlled by the Document Control Manager.



3.4 Revisions to the QMP

3.4.1 The HART QA Manager shall be responsible for the revisions of the QMP. The revisions shall be reviewed and approved in the same manner as the original issue. The QMP will be reviewed and updated when: FTA QA/QC Guidelines are updated; FTA approved Project Management Plan (PMP) is revised (PE, FD, and FFGA), which impacted the QMP; changes are needed for process improvements; audits results (nonconformance, corrective and preventative actions) are from system inadequacies and inefficiencies; results from the management review of the adequacy of the QMP implementation necessitates a change; and major changes in the Functional Organization Chart. These changes shall be toward an enhancement of the QMP and not the other way around.

3.4.2 All revisions made to the QMP shall be identified in the revision control sheet, which will indicate the latest revision level and the affected section(s) and page (s). The revision level of the QMP shall also be identified by the revision level and date shown on the Cover Page. The revised QMP shall be published on the HART CMS with the revised cover page indicating latest QMP revision level and date of CPO approval.

3.4.3 Appropriate personnel shall be notified officially of the revisions made to the QMP on the HART CMS, and required to acknowledge the notification memorandum issued. A list of personnel who were notified of the revisions will be maintained and controlled by the Document Control Manager.

3.5 Orientation, Training and Qualification of Personnel

3.5.1 Orientation, training, and qualification of personnel shall be performed to assure that suitable proficiency is achieved and maintained. HART shallprovide orientation, training, and qualification of personnel. All personnel performing activities that affect quality shall be properly trained and qualified prior to their performance of such activities. The HART QA Manager shall be responsible for the QMS orientation and training of personnel. A Training Matrix will be established by the HART QA Manager to assure training and certification of personnel.

3.5.2 The HART QA Manager shall be responsible for assuring that the QMP is efficiently and effectively implemented. The HART QA Manager’s qualifications shall be as follows:



A. A Bachelor’s degree in engineering, a P.E. registration is preferable; B. At least six (6) years experience in QA/QC;C. A working knowledge of quality related codes, systems, standards, guidelines and regulatory requirements.D. Knowledge in preparation of quality procedures and instructions;E. Experience in QA Audits and Surveillance; F. The ability to prescribe, apply, and assess compliance with the

applicable requirements; and G. Effective in oral presentation and written communication.

3.6 Management Review of the QMP

3.6.1 The HART QA Manager shall schedule a meeting with the ED, CPO and Deputies bi-annually to review the adequacy of the QMP. During the meeting the overall effectiveness of the QMP will be discussed. Records of the review meeting shall be kept by the HART QA Manager.

3.6.2 The QMP shall be updated: if the results of the bi-annual review of the adequacy and effectiveness of the QMP was not met; if continuous improvement is necessary; new FTA QA/QC Guidelines are published; and new regulations. Updates, when needed, shall be presented and discussed during the bi-annual management review meeting by the HART QA Manager prior to change and use.



4 DESIGN CONTROL

4.1 Scope

4.1.1 This section is established to assure that:

A. Design specifications, regulatory and code requirements, engineering standards, and recommended practices are correctly translated into drawings, specifications, procedures, and instructions;

B. The FTA approved environmental compliance documents (EA, DEIS, FEIS, technical reports and studies, and ROD including Section 106 Programmatic Agreement) and sustainability are included in the plans, construction and operation of the transit system. Sustainability design features can range from simple conservation features through intelligent integration of technology with nature. Environmental conditions and Mitigation requirements including permitting are included;

C. Appropriate quality standards are specified into the design documents;

D. Selection and review for application of materials and processes that are essential to construction are suitable;

E. Design review/checking, and certification by appropriate licensed professionals are performed;

F. All design documents and their respective changes are reviewed and approved by HART; and

G. Issuance and distribution of all design documents are properly controlled.

4.1.2 Design Control shall be achieved through the requirements stipulated in this QMP and the HART-approved QAP submitted by the consultant, contractor, or supplier as required by the contract and/or procurement documents. The QAP shall assure that:

A. Adequate resources are available;

B. Organizational aspects are appropriate, specially where different organizations are involved;

C. HART specification and contract requirements are fully understood and all statutory requirements are incorporated;

D. Input can be expressed into drawings, reports, plans, and specifications;

E. Design actually meets the requirements as set in the input;

F. Design will produce what was originally intended;



G. Actual results of the design fulfils the HART requirements;

H. Where revisions occur to the design documents, there is a method of keeping everyone informed, and the latest design clearly identified; and

I. Final Design Drawings and related Reports are certified by appropriate Professional Engineer (P.E.) or Architect registered in the State of Hawaii.

4.2 Definition, Initiation and Coordination of Activities

4.2.1 HART generally does not perform actual design work internally. The work is being performed by consultants, contractors, or suppliers. All technical and quality requirements are specified in the contract documents issued by HART to the consultants, contractors and/or suppliers. HARTshall be responsible for maintaining QA oversight and audits of the consultants, contractors, and suppliers.

4.2.2 The DEC shall define and establish in the contract or purchase order (PO)what activities are to be carried out by the consultants, contractors, and/or suppliers, and what design documents and deliverables are to be prepared and submitted to HART. The DEC shall also be responsible to coordinate the work and verify that the consultants, contractors, and/or suppliers have all the applicable design basis specifications, codes and regulations, acceptance criteria and limits, quality standards and other contractual requirements during the performance of their work.

4.3 Development of Design Documents, Specifications, Procedures and Instructions

4.3.1 All design documents (drawings, design reports and calculations) required shall be developed by the consultants, contractors, and/or suppliers in accordance with the requirements defined by the contract or PO, and revisions thereof in accordance with their QAP approved by HART. The consultants, contractors, and/or suppliers shall review and check the documents during their development stage and assure that the design calculations and reports prepared by the licensed professionals are incorporated into the design documents.

4.3.2 All design documents shall be properly identified with the name of the project/contract, location, project/contract number, sheet or page number, revision level, and date of issuance, and shall be properly controlled in accordance with their HART-approved QAP.



4.4 Design Review and Documents Approval

4.4.1 The consultants, contractors, and/or suppliers shall submit the design documents to HART for review and approval, in five (5) stages as stipulated in Contract SP 4.7 Quality Management (Appendix 1), whichare: 1) Definitive Design; 2) Interim Design; 3) Final Design; 4) Work Plans including Shop Drawings; and 5) As- Built Drawings in accordance with their respective HART-approved QAP and Design Control Plan and Design Review Procedure. The DEC shall be responsible for the receipt, distribution and control of design documents issued by the consultants, contractors and in accordance with No. 2.PA – 04 PROJECT WIDE DOCUMENT CONTROL PROCEDURE (Appendix 9).

4.4.2 The consultants, contractors, and/or suppliers shall perform and coordinate with HART and other involved third parties (e.g., FTA, environmental agencies, City officials, State authorities, utility companies) required design reviews, environmental compliance process documents reviews (EA; DEIS; FEIS), right-of-way reviews, constructability reviews, plan checks, peer reviews, and value engineering. Public outreach and coordination may be needed during these review meetings.

4.4.3 The DEC shall be responsible for the coordination and issuance of comments received from HART and third parties (consultants, appropriate departments, committees, agencies, and regulators) to the consultants. The DEC shall distribute and control the comments to design documents issued by the consultants, contractors and suppliers using the CMS Reviewer Comment Sheet (Appendix 12). A Review Comments Log shall be maintained for each Contract in the CMS in accordance with No. 2.PA –04 PROJECT WIDE DOCUMENT CONTROL PROCEDURE (Appendix 9).

4.4.4 The DEC shall also be responsible for resolution of comments when there is a difference of opinions or conflicts received from various parties. The consultants, contractors, and/or suppliers shall incorporate all agreed uponcomments on CMS Reviewer Comment Sheet (Appendix 12) and the affected design documents on a timely basis.

4.4.5 The consultants, contractors, and/or suppliers shall submit the Final Design documents to HART in accordance with No. 2.PA – 04 PROJECT WIDE DOCUMENT CONTROL PROCEDURE (Appendix 9). The appropriate licensed professional in the State of Hawaii shall certify the final design documents. The licensed professional in the State of Hawaii shall



assure that the final design documents have been reconciled with the design calculations and reports prior to their certification.

4.4.6 All design document revisions shall require the same approval, review/check and certification cycle as the original issue using the CMSReviewer Comments Sheet (Appendix 12). A Change Management Log shall be maintained on each Contract in the CMS in accordance with No. 2.PA-04 PROJECT WIDE DOCUMENT CONTROL PROCEDURE (Appendix 9). Each revision shall be easily and readily distinguished in the design documents.

4.5 Design Support during Construction

4.5.1 The consultants, contractors, and/or suppliers shall perform design support services during construction. The designers shall: interpret the design documents, if interface conflicts arises, resolution of nonconformance, incorporation of Field Change Notices (FCN) and Design Change Notices (DCN), assure conformance with the System Configuration Management and preparation of As-Built documents.



5 PURCHASING

5.1 Scope


A. Design and engineering, construction, items (e.g., materials, machinery and equipment, etc.) and services are procured in accordance with the City’s Procurement Code under HRS Chapter 103D, BFS Policies and Procedures Manual and FTA Circular 4220;

B. Contract and quality requirements; procurement documents and contractsare prepared and reviewed to include technical, quality and commercialrequirements; and

C. Consultants, contractors and suppliers are competent, reliable, licensed and qualified.

5.1.2 Procurement control shall be achieved through the requirements stipulated in this QMP, CITY PROCUREMENT POLICY and PROCEDURES (Code 01.4 – Construction Contracts [Appendix 7] and Code 01.5 –Professional Services Contracts [Appendix 8]).

5.1.3 Procurement documents shall include provisions for Quality Management during design, construction, operation and maintenance of the transit system. See Appendix 1: Contract SP 4.7 QUALITY MANAGEMENT in all procurement documents and contracts. However, for GEC Quality Management requirement, see Appendix 13: GEC II Scope of Work: Task04 – Quality Management. All procurement documents including addenda and/or Change Orders for consultant, contractors and/or suppliers shall be reviewed by the HART QA Manager.


5.2.1 All HART Projects/Contracts (design and engineering, real estate, construction, equipment and services) are procured, acquired, or contracted to consultants, contractors, land owners, or suppliers. HARTgenerally does not perform actual design and engineering, construction, manufacturing, maintenance and servicing functions internally. However, HART plans, procures, manages, and controls all projects/contracts and operations including maintenance. HART shall be responsible for maintaining QA oversight and audits of contractors, consultants, and



suppliers. Contractors, consultants, and suppliers, when applicable, will be required to submit a QAP for HART approval, prior to execution of the work.

5.2.2 The DEC shall be responsible for the preparation, review, and approval of Technical Specifications, Special Conditions/Provisions, Cost Estimates, and Cost Analysis for approved projects/contracts.

5.2.3 The DAC shall be responsible for the preparation, review, approval, andissuance of procurement documents (PO, Contracts, and General Conditions/Provisions, including Amendments and Change Orders) to selected and approved consultants, contractors, and suppliers.

5.2.4 In compliance with the federal and city procurement requirements, the DAC shall be responsible for soliciting bids (ITB) or Requests for Proposals (RFP) for all appropriate procurement (e.g., Design-Bid-Build,Design-Build, Design-Build-Operate-Maintain, etc.).

5.2.5 The DEC, DAC and CPO shall support the ED in appointing the project “Selection Committee” who will be responsible for the evaluation, and selection of consultants, contractors, and suppliers. Selection shall be based on cost, responsibility qualification, reliability, competency, responsiveness, and compliance to federal, state, county and local requirements. The “Selection Committee” shall employ the results of evaluation of the proposals and/or bids performed by designated reviewers of various trades and expertise.

5.2.6 The Budget and Fiscal Services Purchasing Division (City Purchasing Division) shall perform all procurement activities for HART through the DAC. The DAC shall keep and maintain all original contracts, procurement records and supporting documents.

5.3 Code 01.5 – Professional Services Contracts

5.3.1 Those services within the scope of the practices of architecture, landscaping, engineering, land surveying, real property appraisal, or any practices defined as professional by the laws of the state or the professional and scientific occupation series contained in the U.S. Office of Personnel Management’s Qualifications Standards Handbook shall be procured in accordance with the City’s Procurement Code 01.5

5.3.2 The DEC shall be responsible for the preparation of purchase requisitions.The DEC shall define and establish in the purchase requisitions what



activities are to be carried out by the consultants and contractors, and whatdeliverables are to be prepared and submitted to HART. The purchaserequisition shall include the following as applicable:

A. General Description (Design Guidelines and Specifications);

B. Scope of Work

C. Deliverables;

D. Schedule;

E. Compensation;

F. Technical, safety, and quality requirements;

G. Environmental and other project specialty requirements;

H. Initiator and Date; and

I. Approver and Date.

The DEC, upon completion of the purchase requisition, shall forward therequisition documents to DAC, requesting that the contract be issued formally and executed to the selected consultant or contractor.

5.4 Code 01.4 – Construction Contracts

5.4.1 The process of building, altering, repairing, improving, or demolishing any public structure or building, or other public improvements of any kind to public real property shall be procured in accordance with the City’sProcurement Code 01.4.

5.4.2 The DEC shall prepare a draft of bid specifications and a set of plans to DAC for review. The plans and specification shall include the following information:

A. Project name;

B. Location;

C. Quantity and description of the project or work;

D. Brand, model, catalog number or approved equivalent, if applicable;

E. Codes and standards, if applicable;

F. Material requirements and specifications;

G. QAP requirements, if applicable;

H. Records and documentation requirements;

I. Special handling, storage and shipping requirements;



J. Provisions for inspection and audit access by HART and/or the FTA;



K. Initiator and Date;

L. Approver and Date; and

M. Cost Estimates. (Confidential)

5.4.3 The DAC, upon receipt of the plans and specification, shall submit thedocuments to the City Purchasing Division to call for bids or requests forproposals and contract all materials and services required for the construction. DAC shall request from the Director of Budget and Fiscal Services their approval through the City Purchasing Division.

5.4.4 Blanket PO may be issued for non-safety related materials (e.g., officesupplies, cleaning materials, consumables, gasoline, oil, etc.) and services(e.g., office equipment, repair and maintenance, cleaning, courier, etc.). The Blanket PO shall have time and cost limits.

5.5 Contracts

5.5.1 Contracts are usually applied to large and/or special projects (e.g., construction, operations, design and engineering, construction management and inspection, maintenance, testing, etc.), where purchase orders are not practical. The DAC shall be responsible for the preparation and execution of the commercial aspects of all contracts. Appropriate organization/department managers shall review all contracts for all projects prior to approval by the ED and execution by DAC through the City Purchasing Division. The contracts shall contain all the information and requirements specified in the approved plans and specifications.

5.6 Changes and Amendments to Procurement Documents

5.6.1 Changes and amendments to procurement documents shall be handled by change orders (CO) or amendments. All COs or Amendments shall be prepared by the requesting department and issued by the DAC after EDapproval. The CO or amendment shall contain all information and requirements specified in the new approved configuration and submitted by the organization/department responsible for the original contract baseline configuration.

5.6.2 Revisions to procurement documents shall be clearly identified with revision number and date for traceability and document controls.



5.7 Request for Proposal or Invitation to Bid

5.7.1 The DAC, through the City Purchasing Division, shall be responsible for solicitation activities, preparation of bid documents or requests for proposals, invitations to bid, issuance of bid documents, coordination during questions and answers period, and receipt and opening of bids or proposals.

5.7.2 The DEC shall assist the DAC during the solicitation by preparingtechnical specifications and special conditions, reviewing bid documents, scheduling, responding to technical questions, and reviewing alternate designs of bidders or Offerors.

5.7.3 Upon receipt and opening of bids or proposals, the DAC and DEC, and their designated reviewers, who are of different trades and expertise including the HART QA Manager, shall jointly perform an evaluation of the bids or proposals. The CPO, DAC and DEC shall support the appointed “Selection Committee” to select the contractor based on the cost, responsiveness, qualifications, reliability, competency, historical background, licenses and compliance with federal, state, county, and local requirements.

5.7.4 After the selection and clarification meeting with the selected contractor, the DAC and ED shall recommend to the City Purchasing Division to engage the services of the selected contractor and to enter into an agreement with the contractor. The DAC, after execution of the contract will issue the Notice-To-Proceed (NTP) per contract terms and conditions.

5.7.5 The DAC shall be responsible for the storage and maintenance of all the contracts, bid documents, evaluation records, and other legal documents that pertain to the solicitation/bidding process.



6 INSTRUCTIONS, PROCEDURES AND DRAWINGS

6.1 Scope

6.1.1 This section describes the manner in which instructions, procedures, anddrawings used in design, construction, operations, maintenance will be applied to the Project and the appropriate agencies and regulators (e.g., HDOT, MPO, EPA, DOH, Local Fire Marshall, City Planning and Permitting, etc.) involved.

6.1.2 Instructions, procedures, and drawings shall prescribe appropriate quantitative and qualitative acceptance criteria.

6.1.3 Instructions, procedures, and drawings are developed, approved and controlled in accordance with this QMP and the HART-approved QAP submitted by the consultants, contractors and/or suppliers.


6.2.1 HART does not generally perform actual design and engineering, construction, operations, maintenance, manufacturing, or servicing functions. Nearly all projects, items and services are procured and/or contracted to consultants, contractors, and suppliers. However, HARTplans, manages, procures, and controls all projects. HART shall be responsible for maintaining QA oversight and audits of consultants, contractors, and suppliers.

6.2.2 The requirements for the development, review, approval, and control of drawings, procedures and instructions shall be the responsibility of consultants, contractors and/or suppliers in accordance with their respective HART-approved QAP and Implementing Procedures. Instructions, procedures and drawings shall be approved by HART prior to use. Control and tracking of the status of the instructions, procedures and drawings shall be performed in accordance with No. 2.PA – 04 PROJECT WIDE DOCUMENT CONTROL PROCEDURE (Appendix 9) and using the CMS Reviewer Comment Sheet (Appendix 12) and Reviewer Comments Logs for proper control.



6.2.3 The DEC and HART QA Manager, shall assure that all submittals and approval requirements for drawings, procedures and instructions are specified in the contracts issued to consultants, contractors, and suppliers.



7 DOCUMENT CONTROL

7.1 Scope

7.1.1 This section describes the issuance, approval, distribution, retention, andmaintenance of drawings, specifications, reports, procedures, and qualityrelated documents applicable to the design and engineering, construction, testing, operation, maintenance, and servicing of HART projects. AllProject documents and documents that are regulatory in nature and specify quality requirements or prescribed activities affecting quality shall be controlled and maintained to assure that correct documents are being employed where work is being done.

7.1.2 Control of all Project documents and data shall be in accordance with this QMP; Procedure No. 2.PA-04 PROJECT WIDE DOCUMENT CONTROL PROCEDURE (Appendix 9), and the HART-approved QAPsubmitted by the consultants, contractors, and/or suppliers.

7.2 List of Documents

7.2.1 The Contract Deliverables Requirement List (CDRL) as shown on Appendix 2 is the basis of the documents to be controlled and maintained by HART. Document control shall be in accordance with this QMP; the HART-approved QAP submitted by the consultants, contractors, and/orsuppliers; and Procedure No. 2, PA-04 PROJECT WIDE DOCUMENT CONTROL PROCEDURE (Appendix 9).

7.2.2 After completion and checking of the documents required for a project, theDEC shall assure that only the approved design documents are issued for construction. These documents shall be identified as “Release for Construction.”

7.2.3 When documents included in the CDRL are revised, the CDRL shall be updated to reflect the status of revised documents. The revised CDRL shall indicate the new date of issuance and revision level.

7.2.4 The DEC shall be responsible for the distribution of the CDRL and all revisions thereof to the DAC, and HART consultants (GEC).



7.3 Storage and Distribution

7.3.1 When required, the DEC shall receive and distribute copies of the documents to the appropriate agencies and regulators for approval through the HART Document Control Manager. Upon approval of the documents, the DEC shall issue these documents to the contractors, suppliers, andGEC.

7.3.2 All master copies of the documents prepared by the contractors, consultants, and suppliers shall be kept and maintained by the contractors, consultants, and suppliers who prepare and revise the document until the completion of the contract. The responsible organization who prepares and revises the documents shall assure that approved changes are included in the documents before implementing the change and that the documents are available where work is to be done before the work is initiated. The DEC shall be responsible for the distribution of documents to appropriate organization.

7.3.3 After completion of the project and/or termination of the contract, all original documents shall be submitted by the originator, collected, and properly stored by the HART Document Control.

7.4 Obsolete Documents

7.4.1 Obsolete documents that had been distributed to contractors and suppliers for use shall be destroyed or marked “OBSOLETE” or “VOID.” When information is written in the obsolete document for reference use, the obsolete document will then be stamped or marked “SUPERSEDED” and isolated from the current, latest revision of the documents.

7.5 Coordination of Activities

7.5.1 Document and data control of consultants, contractors, and suppliers shall be in accordance with this QMP, and the HART-approved QAP submitted by the consultant, contractor, and/or supplier.

7.5.2 HART shall be responsible for maintaining QA oversight and external audits of contractors, consultants, and suppliers. HART document and data control system implementation shall be subject to QA monitoring and internal audits.



8 PURCHASED MATERIALS,MACHINERY, EQUIPMENT, AND SERVICES

8.1 Scope

8.1.1 This section is established in order to assure that purchased items (e.g., materials, machinery, and equipment) and services performed and delivered by consultants, contractors, and suppliers are in conformance with the requirements stipulated in the contract and are properly identified and verifiable to the documents submitted.


8.2.1 HART generally does not perform actual design and engineering, construction, operation manufacturing, maintenance, or servicing functions. All projects are procured and/or contracted to consultants, contractors, and suppliers in accordance with Section 5 of this QMP.However, HART plans, procures, manages, and controls all projects.HART may hire consultants or experts to perform inspection of purchased items and services.

8.2.2 The DEC shall assure that technical and quality requirements for items and services are specified in the contracts issued to consultants, contractors, and suppliers.

8.2.3 The DAC shall include these requirements in the procurement documents and furnish the DEC and consultants (GEC and/or CE&I firm) copies of the procurement documents and documents submitted by the contractor and/or suppliers including the required Inspection and Test Plans (ITP) for their use to verify and inspect purchased items. Control of purchased materials, machinery, equipment and services shall be performed by contractors and/or suppliers in accordance with their HART-approved QAP and Implementing Procedures and construction contract.

8.2.4 Verification of purchased items and services shall be performed by GEC and/or CE&I firm in accordance with their respective HART-approved QAP and Implementing Procedure and professional services contract. The GEC and/or CE&I shall use the HART-approved ITP during verification and inspection activities.



8.2.5 The HART QA Manager shall monitor the QA activities and audit of HART, consultants, contractors, and/or suppliers to assure their compliance with this QMP and the professional services and construction contracts.



9 PRODUCTS IDENTIFICATION AND TRACEABILITY

9.1 Scope


A. All materials, parts, and components are properly identified and controlled;

B, Identification is maintained by part number, serial number or other appropriate means either on the item or on the records that are traceable to the item as required throughout fabrication or construction of the item; and

C, Nonconforming work, materials, parts, or components are prevented from being incorporated into the final product.

9.2 Definition, Initiation, and Coordination of Activities

9.2.1 Identification requirements shall be determined during the development of the specifications and design drawings by the consultants. Identification of materials, parts and components shall be traceable to the appropriate documentation, such as drawings, specifications, contracts, manufacturing and inspection documents, deviation reports, and test reports.

9.2.2 The DEC shall assure that verification of identification and control of materials, parts, and components are performed during the design reviews, construction inspections and testing. The DEC shall also assure that only the latest approved drawings are being followed at the fabrication, construction, or test sites. The GEC and/or CE&I firm shall perform verification work during design reviews and construction.

9.2.3 Control requirements shall be determined during fabrication, assembly, construction, and testing of the materials, parts and components by the contractors or suppliers. Control measures shall be in accordance with the HART-approved QAP and Implementing Procedures of consultants, contractors, and/or suppliers, respectively.

9.2.4 Verification of identification and control of materials, parts, and components are be performed by GEC and/or CE&I firm in accordance with their HART-approved QAP and Implementing Procedures and contracts.



9.2.5 The HART QA Manager shall monitor the QA activities and audit of HART, consultants, contractors, and/or suppliers to assure theircompliance with of this QMP and the professional services and construction contracts.



10 PROCESS CONTROL

10.1 Scope

10.1.1 This section is established to assure that special processes including, but not limited to welding, heat treating, stress relieving, and non-destructive testing are properly controlled and performed by qualified personnel using approved procedures in accordance with the applicable codes, and engineering standards and practices under suitable conditions.


10.2.1 HART does not perform any special processes. Special processes are procured or contracted to selected qualified contractors independently or included in the construction contract.

10.2.2 Control of special processes shall be performed by the contractor and/or supplier in accordance with their HART-approved QAP and Implementing Procedures and construction contract.

10.2.3 Verification of special processes shall be performed by the GEC and/or CE&I firm in accordance with their HART-approved QAP and Implementing Procedures and professional services contract.

10.2.4 The HART QA Manager shall monitor the QA activities and audit of HART, consultants, contractors and/or suppliers to assure their compliance with this QMP and the professional services and construction contracts.



11 INSPECTION

11.1 Scope

11.1.1 This section is established to assure that the consultants, contractors, and suppliers are in compliance with the requirements of procurement documents and contracts (e.g., drawings, specifications, instructions, regulatory requirements, applicable codes, standards and practices, etc.).

11.1.2 The consultants, contractors and/or suppliers shall be completely responsible for compliance with the requirements of procurement documents and the contracts. Inspection of work by HART in no way relieves the consultants, contractors, and suppliers of their responsibilities.


11.2.1 The DEC shall specify the inspection work required to be performed by contractors and/ suppliers, and designated GEC and/or CE&I firm. The DAC shall include the inspections requirement on the procurement documents and contracts in accordance with Procurements Code 01.4 Construction Contracts and Code 01.5 Professional Services Contracts, respectively.

11.2.2 The GEC and/or CE&I firm shall implement their HART-approved QAP and Implementing Procedure during inspection to assure compliance with this QMP, construction contracts and professional services contracts.

11.2.3 The contractors and/or suppliers shall be responsible for preparation and planning of inspections required by the contracts. The contractors and/or suppliers shall prepare an Inspection and Test Plan (ITP) as shown in Appendix 3, and submit to for review and approval prior to use. The ITP shall also include: inspection and test requirements, specification, responsibility, schedule/frequency, witness points and hold points, measuring and testing equipment, applicable codes and standards, applicable procedures, and specific training/qualification and certification requirements of inspectors and testers.

11.2.4 The HART QA Manager shall be consulted by the GEC and/or CE&I firm during the review of the contractor and/or supplier ITP. The HART QA Manager shall assign on the ITP, the HART Witness Points (WP) andHold Points (HP) during fabrication and construction work. The contractors and/or suppliers shall notify the HART QA Manager through



the GEC and/or CE&I firm when the assigned WP and HP activities will be conducted. HP assigned by the HART QA Manager may be waived only by written consent from the HART QA Manager.

11.2.5 HART shall be responsible for the review and approval of all ITP. The GEC and/or CE&I firm shall assist the HART QA Manager in the review approval of ITP and monitoring the execution of the approved ITP by the contractors and/or suppliers. Inspection results shall be documented by the contractors and/or suppliers, and reports shall be reviewed and confirmedby the GEC and/or CE&I firm.




12 TESTING

12.1 Scope


A. All testing required to demonstrate that the items, components, and systems will perform satisfactorily in service are done in accordance with approved procedures;

B. Test procedures include all prerequisite requirements and acceptance criteria specified in the applicable codes, engineering standards and practices; State (HDOT) and City standards; and procurement documents; and

C. Tests results are evaluated by a responsible and competent person.


12.2.1 The DEC shall specify the tests required to be performed by contractors and/ suppliers, and designated GEC and/or CE&I firm. The DAC shall include the tests requirement on the procurement documents and contractsin accordance with Procurements Code 01.4 Construction Contracts and Code 01.5 Professional Services Contracts, respectively.

12.2.2 All tests (e.g., structural integrity tests, material sampling and testing, leak tests, functional tests, ground tests, circuitry tests, etc.) shall be performedin by contractors and/or suppliers in accordance with their HART-approved QAP and Implementing Procedures. Test personnel and organization qualifications and appropriate certifications shall be verified by the GEC and/or CE&I firm. The contractors and/or suppliers shall maintain a List of their qualified and certified personnel and organizations, including appropriate training record.

12.2.3 The GEC and/or CE&I firm shall implement their respective HART-approved QAP and Implementing Procedure during testing to assure compliance with this QMP, construction contract and their professional services contracts.

12.2.4 The contractors and/or suppliers shall be responsible for preparation and planning of tests required by their specific contracts. The contractors and/or suppliers shall prepare an ITP and submit to HART for review and approval prior to use. The ITP shall also include: inspection and test



requirements, specification, responsibility, schedule/frequency, witness points and hold points, measuring and testing equipment, applicable codes and standards, applicable procedures, and specific training/qualification and certification requirements of inspectors and testers.

12.2.5 The HART QA Manager shall be consulted by the GEC and/or CE&I firm during the review of the contractor and/or supplier ITP. The HART QA Manager shall assign on the ITP, the HART Witness Points (WP) andHold Points (HP) during fabrication and construction work. The contractors and/or suppliers shall notify the HART QA Manager through the GEC and/or CE&I firm when the assigned WP and HP activities will be conducted. HP assigned by the HART QA Manager may be waived only by written consent from the HART QA Manager.

12.2.6 The GEC and/or CE&I firm shall be responsible for monitoring the execution of the approved ITP by the contractors and/or suppliers. Tests results shall be documented by the contractors and/or suppliers, and certified reports shall be reviewed and confirmed by the GEC and/orCE&I firm.

12.2.7 Test Reports shall contain the following information, as applicable:

A. A description of the type of observation;

B. Date when test was performed;

C. Data and results of the test;

D. Information related to non-conformances;

E. Inspector or data recorder identification;

F. Evidence of the acceptability of the test; and

G. Measuring and test equipment used (including ID Number).




13 INSPECTION, MEASURING AND TEST EQUIPMENT

13.1 Scope


A. Tools, gauges, instruments and other measuring and testing devices used in activities affecting quality and safety are properly controlled, calibrated, and adjusted at specified periods to maintain accuracy within necessary limits;

B. Calibration is traceable to the National Institute of Standards and Technology (NIST) or manufacturers recommendations;

C. Records of issuance and calibration are properly maintained; and

D. Measuring and test equipment are identified by equipment number and marked to indicate calibration status.


13.2.1 The DEC shall specify the inspection and test required to be performed by contractors and/ suppliers, and designated GEC and/or CE&I firm. The DAC shall include the inspections and tests requirement on the procurement documents and contracts in accordance with Procurements Code 01.4 Construction Contracts and Code 01.5 Professional Services Contracts, respectively.

13.2.2 The contractors and/or suppliers shall be responsible for the control of all measuring and test equipment in accordance with their HART-approved QAP and Implementing Procedures and construction contract.

13.2.3 The GEC and/or CE&I firm shall implement their respective HART-approved QAP and Implementing Procedure during inspections and test to assure compliance with this QMP, construction contract and their professional services contracts.

13.2.4 The contractors and/or suppliers shall be responsible for preparation and planning of inspections and tests required by their specific contracts. The contractors and/or suppliers shall prepare an ITP and submit to HART for review and approval prior to use. The ITP shall also include: inspection and test requirements, specification, responsibility, schedule/frequency,



witness points and hold points, measuring and testing equipment, applicable codes and standards, applicable procedures, and specific training/qualification and certification requirements of inspectors and testers.


13.2.6 The GEC and/or CE&I firm shall be responsible for monitoring the execution of the approved ITP by the contractors and/or suppliers.Inspection and test results shall be documented by the contractors and/or suppliers, and reports shall be reviewed and confirmed by the GEC and/orCE&I firm.

13.2.7 Inspection and Test Reports shall contain the following information, as applicable:

A. Description of the type of observation;










14 HANDLING, STORAGE, SHIPPING,AND PRESERVATION

14.1 Scope

14.1.1 This section is established to control the handling, storage, shipping, cleaning, and preservation of materials and equipment to prevent damages, deterioration, or loss.

14.1.2 This section also applies to all items, materials, tools and equipment prepared, manufactured and shipped from the mainland and other countries overseas. All Shipments shall not contain any evasive species that are native to the State of Hawaii. Shipments including Manifest are subject to review and inspection by the local US Customs.


14.2.1 The DEC shall specify the inspection required for handling, storage, shipping and preservation to be performed by contractors and/ suppliers, and designated GEC and/or CE&I firm. The DAC shall include the inspection requirement on the procurement documents and contracts in accordance with Procurements Code 01.4 Construction Contracts and Code 01.5 Professional Services Contracts, respectively.

14.2.2 The contractors and/or suppliers shall be responsible for the control of all handling, storage, shipping, cleaning, and preservation of materials and equipment to prevent damages, deterioration or lost in accordance with their HART-approved QAP and Implementing Procedures and construction contract.

14.2.3 The GEC and/or CE&I firm shall implement their respective HART-approved QAP and Implementing Procedure during inspections to assure compliance with this QMP and their professional services contracts.

14.2.4 The contractors and/or suppliers shall be responsible for preparation and planning of inspections and tests required by their specific contracts. The contractors and/or suppliers shall prepare an ITP and submit to HART for review and approval prior to use. The ITP shall also include: inspection and test requirements, specification, responsibility, schedule/frequency, witness points and hold points, measuring and testing equipment, applicable codes and standards, applicable procedures, and specific



training/qualification and certification requirements of inspectors and testers.


14.2.6 The GEC and/or CE&I firm shall be responsible for monitoring the execution of the approved ITP by the contractors and/or suppliers.Inspection and Tests results shall be documented by the contractors and/or suppliers, and certified reports shall be reviewed and confirmed by the GEC and/or CE&I firm.

14.2.7 Inspection Reports shall contain the following information, as applicable:

A. Description of the type of observation;










15 INSPECTION AND TEST STATUS

15.1 Scope

15.1.1 This section is established to assure that all fabricated or manufacturedequipment, components, or systems have satisfactorily passed all requiredinspection, examination, and testing.


15.2.1 The DEC shall specify the inspection and testing required to be performed by contractors and/ suppliers, and designated GEC and/or CE&I firm. The DAC shall include the inspection requirements on the procurement documents and contracts in accordance with Procurements Code 01.4 Construction Contracts and Code 01.5 Professional Services Contracts, respectively.

15.2.2 The contractors and/or suppliers shall be responsible for the assuring that inspection, examination and testing of fabricated or manufactured equipment, components or system has been performed and satisfactorily passed in compliance with their HART-approved QAP and Implementing Procedures and construction contract.

15.2.3 All inspection, examination and tests (e.g., structural integrity tests, material sampling and testing, leak tests, functional tests, ground tests, circuitry tests, etc.) of fabricated or manufactured equipment, components or system shall be performed in by contractors and/or suppliers. Their personnel and organization qualifications and certifications shall be verified by the GEC and/or CE&I. The contractors and/or suppliers shall maintain a List of their qualified and certified persons and organizations, including appropriate training records.

15.2.4 The GEC and/or CE&I firm shall implement their respective HART-approved QAP and Implementing Procedures during inspection and testing to assure compliance with this QMP, construction contract and their professional services contracts.

15.2.5 The contractors and suppliers shall also submit all Inspection and Test Reports and the Operation and Maintenance (O&M) Manual including recommended Spare Parts List for all equipment, components, or systems to HART through the GEC and/or CE&I.



16 NONCONFORMANCE

16.1 Scope

16.1.1 This section is established to assure that all nonconforming work or conditions, materials, parts and components are:

A. Prevented from being incorporated in all installation work or into the final product;

B. Properly identified, put on hold or segregated from conforming items while awaiting disposition; and

C. Reported for immediate disposition of nonconformance.


16.2.1 Nonconformity is a deficiency in characteristics, documentation, or procedures which renders the quality of an items or activity unacceptable or indeterminate.

16.2.2 Employees of HART shall report to the HART QA Manager any non-conformances detected during the performance of their duties and resolved in accordance with this QMP.

16.2.3 All consultants including the GEC and/or CE&I firm shall assure that nonconforming work or conditions, materials, parts and components are not inadvertently used or installed within their organization or the construction site. GEC and CE&I shall be responsible for managing and controlling the nonconformance and its disposition in accordance with their HART-approved QAP and Implementing Procedures and professional services contract. All “closed-out” Nonconformance Reports generated by the GEC and/or CE&I shall be submitted to HART.

16.2.4 All contractors and/or suppliers shall assure that nonconforming work or conditions, materials, parts and components are not inadvertently used or installed. The contractor and/or supplier shall be responsible for managing and controlling the nonconformance and its disposition in accordance with their HART-approved QAP and Implementing Procedures and construction contract. All “closed-out” Nonconformance Reports generated by the contractor and/or supplier shall be submitted to HARTthrough the GEC and/or CE&I.



16.2.5 The HART QA Manager has the overall responsibility for monitoring and auditing the nonconformance systems autonomously established by the consultants, GEC and/or CE&I, and contractor and/ supplier in accordance with their respective HART-approved QAP and Implementing Procedures.

16.2.6 All “closed-out” Nonconformance Reports shall be submitted to HARTand shall be included in the Project Quality Records File.

16.3 Internal Nonconformance

16.3.1 All non-conformances initiated by HART employee(s) shall be documented on a Nonconformance Report (NCR) Form (Appendix 4) and submitted to the HART QA Manager. The HART QA Manager shall log the NCR on the NCR Log (Appendix 5), which is maintained by the HART QA Manager. The NCR shall include the following as minimum information:

A. Project;

B. Item Identification;

C. Report Number;

D. Date of Occurrence;

E. Description of Non-conformance;

F. Disposition (repair, rework, or scrap);

G. Cause of Non-conformance; and

H. Corrective Action to preclude or prevent recurrence.

16.3.2 The responsible organization/department shall review reported nonconformance and shall recommend a disposition with justification.They shall also determine the root cause of the non-conformance and provide corrective action to prevent recurrence. The responsible organization/department shall then forward the report to the HART QA Manager for review, approval, and authorization of the recommended disposition.

16.3.3 The responsible organization/department shall correct the non-conformance in accordance with the disposition approved and authorized by the HART QA Manager and the appropriate department manager. The HART QA Manager shall verify that the nonconformance is disposed off and corrected properly.



16.3.4 All internal “closed-out” Nonconformance Reports shall be submitted to HART and shall be included in the Project Quality Records File.

16.4 External Nonconformance

16.4.1 Nonconformance discovered by consultants, contractors, suppliers and the GEC and/or CE&I firm shall be resolved in accordance with their respective HART-approved QAP and Implementing Procedures and respective contracts. If necessary, the concurrence of the appropriate Engineer of Record (EOR) shall be acquired on nonconformance and its disposition.

16.4.2 All external “closed-out” Nonconformance Reports shall be submitted to HART and shall be included in the Project QA Records File.



17 CORRECTIVE ACTION

17.1 Scope

17.1.1 This section is established to:

A. Assure that conditions which are adverse to quality are promptly identified and corrected;

B. Determine the root cause of non-conformance and take corrective measures to prevent recurrence;

C. Document and report to appropriate management all records and procedures used in correcting the condition of non-conformance; and

D. Assure that corrective actions resulting from QA Audits are properly corrected and immediately responded to.


17.2.1 Corrective action shall be required for all nonconformance and QA Audit Findings.

17.2.2 The HART QA Manager shall be responsible for defining the corrective action request to the responsible organization. The corrective action request shall include the following, as applicable:

A. Person or organization responsible for defining the corrective action;

B. Violated documents;

C. Description of the discrepancy;

D. Date when response is required;

E. Action to be taken to prevent recurrence, and date when corrective action is completed or will be completed;

F. Initiator and date of issuance;

G. Corrective Action Acceptance and

H. Closeout.

17.2.3 The individual or organization responsible for the nonconformance or QA Audit Findings shall determine the root cause of the problem, and identify and implement corrective action to preclude recurrence.



17.2.4 The HART QA Manager shall review and approve the proposed corrective action with the concurrence of the appropriate organization/department manager, and if necessary, also the approval of the EOR.

17.2.5 Follow-up actions to verify corrective action implementation shall be performed by the HART QA Manager. Follow-up actions shall be performed by either of the following methods:

A. The responsible organization shall submit documentary evidence to verify the completion of the indicated corrective action; or

B. The corrective action will be verified by the HART QA Manager at the responsible individual or organization’s premises. This verification shall be documented on the corrective action request.

17.3 Corrective Action Records

17.3.1 The HART QA Manager shall be responsible for storage and maintenance of corrective action records.



18 QUALITY RECORDS

18.1 Scope


A. All sufficient QA related documents and evidences are properly accumulated, maintained, organized and protected from deterioration or loss; and

B. All documents are properly identified, controlled, and stored in a well defined location.


18.2.1 The HART QA Manager shall be responsible for the establishment and control of the required quality documents. The HART QA Manager shall assure that documents and evidences are properly accumulated, maintained, organized, and protected. Quality Records control shall be in accordance with No. 2.PA-04 Project Wide Document Procedure (Appendix 9)

18.2.2 The DEC shall prepare a Project Final Documentation Checklist (PFDC). All documents listed in the PFDC shall be controlled and identified with the project number, description of document, document reference number, revision level, date prepared and/or performed. The filing code systems shall be in accordance with the City-established Records Management Program Plan.

18.2.3 The HART Document Control Manager shall be responsible for the preparation of proper record indexes and shall control withdrawal of documents so that records can be easily retrieved and put back into the project files. The HART Document Control shall retain a copy of all Lifetime Records at the HART office for quick reference and interface with the City Records Management staff during the transfer of Projects File originals.

18.2.4 All records for projects in progress shall be controlled and maintained by the DEC. Upon completion of the project, the following required “Lifetime Records” shall be transferred to the HART Document Control for retention and use for Configuration Management and Control:



A. Index to the records including revision numbers;

B. Project Conformed Specifications;

C. Design Documents (e.g. drawings, calculations, studies, etc.);

D. As-built Drawings;

E. Test Reports (e.g. materials, functional, structural, pressure, leak, etc.)

F. Nonconformance Reports, if any;

G. Operation and Maintenance Manuals, including Warranties;

H. Any CDRL document specially specified as Project Record ; and

I. Permits (Environmental, Building, Occupancy, etc.)

18.2.5 All contractual and non-Lifetime Records shall also be transferred to the City Record Management Branch through the HART Document Control Manager. All non-Lifetime Records shall be maintained, controlled, and purged by the Records Management staff in accordance with the City Records Management Policies.

18.2.6 All Contracts shall be “closed-out” and require a “Certificate of Final Acceptance” in accordance with Procedure No. 5.CA-06 PROJECT-CONTRACT CLOSEOUT PROCEDURE. This will assure that all required deliverables (products, materials, etc.) including documentation were received from Contractors, Consultants and Suppliers.



19 QUALITY AUDITS

19.1 Scope

19.1.1 This section is established to:

A. Verify implementation and compliance with all aspects of the QMS and to determine the effectiveness of the system;

B. Assure that audits are performed in accordance with a written checklist by qualified personnel;

C. Assure that all audit results are documented and reviewed by management responsible for the area audited; and

D. Assure that follow-up actions and actual verification, including re-audit of deficient areas are performed.

19.1.2 Audits shall be professionally conducted in accordance with QIP 19 –AUDIT PROCEDURE (Appendix 10).


19.2.1 Audits shall be planned and conducted by HART or a consultant qualified and competent in the field of QA audits. The HART QA Manager shall be responsible for assuring that an audit of each element of the QMS is performed at least annually.

19.2.2 Special audits may also be performed in areas affecting quality when major changes are made in the QMS, or if any area or activity is suspected to be deficient and/or ineffective.

19.2.3 Audits shall be performed in accordance with written procedures and checklist by competent and experienced QA auditors selected and certified by HART and/or ASQ and who do not have direct responsibility for performing the activities being audited. Auditors are qualified and certified by the HART QA Manager and shall have sufficient authority and organizational freedom to make the audit process meaningful and effective.

19.2.4 After each audit, a report will be prepared by the QA auditor(s). The report shall describe the results of the audits and findings and submitted to the HART QA Manager for evaluation and approval and then forwarded



to the ED, CPO, DEC, DAC, and the department and senior management of organization audited for information and corrective action, if required.

19.2.5 All negative findings and deficiencies shall require corrective actions.Corrective actions shall be identified and implemented in accordance with Section 17.0 – CORRECTIVE ACTION of this QMP.

19.2.6 The HART QA Manager shall analyze audit data and reports to determine quality trends and the effectiveness of the QMS and its implementation.

19.2.7 QA Audit Reports shall be distributed in accordance with No. 2.PA-04 Project Wide Document Control Procedure (Appendix 9). Audit records shall be maintained by the HART QA Manager.

19.3 Management Review

19.3.1 Copies of Internal and External QA Audit Reports shall be distributed to the responsible organization/department and the ED, CPO, DEC and DAC.

19.3.2 Internal and External Audit Reports shall be reviewed with the ED, CPO, DEC, DAC and appropriate department managers by the HART QA Manager. This review shall be performed during the annual management review and assessment of the adequacy and effectiveness of the established QMS. Records of the annual meeting shall be kept by the HART QA Manager.



20 TRAINING

20.1 Scope

20.1.1 This section is established to assure that the QMP include documented procedures for scheduling and performing of training for key personnel on quality system and implementing procedures to assure that suitable proficiency is achieved and maintained.

20.1.2 All personnel whose duties will affect quality within the scope of this QMP are trained to the extent necessary by their respective manager, supervisor, and/or qualified trainer designated by the HART QA Manager to ensure that the employees have a working knowledge of the QMP and that the employees are committed to implement it.

20.1.3 Seminars and training courses offered by schools, professionalorganizations, suppliers, manufacturers, and other educational institutionsmay be utilized to train personnel in the tools and techniques necessary toperform their jobs safely, efficiently, and effectively.

20.1.4 The HART QA Manager shall perform QA oversight and audit of HART, contractors, consultants and suppliers.


20.2.1 The CPO, DAC, DEC, QA Manager, CSSO and their direct reports shall be responsible for the proficiencies, qualifications and certifications needed of subordinates in their respective organizations.

20.2.2 The No. 2.PA – 07 Training Procedure (Appendix 11) describing the orientation and training of appropriate personnel, which also include a Matrix, is established and controlled by the HART QA Manager to determine which HART personnel requires training and what subject is provided. The Training Matrix is prepared to include a schedule and list of relevant personnel within HART. This Matrix shall be made accessible to the Administrative Services Officer to assure proficiencies of appropriate personnel.

20.2.3 Records documenting training as described in this section shall be prepared by the designated trainer, manager, and/or supervisor and submitted to the QA Manager, and forwarded to the HART Document



Control Manager for posting to the HART CMS Module. These records shall contain the following information as a minimum:

A. Date,

B. Subject,

C. Attendees, and

D. Instructor/Trainer.

20.2.4 All Contractors, consultants, and suppliers shall include training requirements on their respective QAP-approved by HART. The HART-approved QAP shall include their established implementing procedures to define training and certification program, which is subject to HART QA Audits.



GLOSSARY

Accept: Agree to or concur with. As used herein, acceptance requires signing.

As-Built Drawings: Drawings reflecting as constructed and that have been reconciled with the Design Report.

Audit: A documented activity performed in accordance with written procedure to verify, by examination and evaluation of objective evidence, that selected elements of the quality system have been developed, documented, and implemented in accordance with specified requirements. An audit does not include surveillance or inspection for the purpose of process control oracceptance of materials or items.

Corrective Action: An action undertaken to identify the cause of a deficiency, discrepancy, or nonconformity in order to correct a condition adverse to quality and safety and prevent recurrence.

Design Documents: These documents include Design Specifications, Design Calculations, Design Drawings, and Design Reports.

Disposition: An action to resolve a non-conformance.

Item: Any product, material, structure, system and/or components.

Hold Point: Hold point at which work is stopped and witnessing is required by HART and indicated in the Inspections and Tests Plans (ITP), Purchase Order or Contract.

Lifetime Records: Records that are to be controlled and maintained during the duration of the existence of a structure, item, equipment, parts and components.

Non-conformance: A deficiency in characteristic, documentation, or procedure which renders the quality of an item or activity unacceptable or indeterminate.

Procedure: A step-by-step instruction for carrying out a process, inspection, control, examination, and/or test.

Quality Assurance: All those planned and systematic actions necessary to provide adequate confidence that all items designed and constructed will perform satisfactorily in service.

Quality Control: The examination of the physical characteristic of a material or item to establish conformance to the acceptance standards associated with those examinations.



Repair: An activity undertaken to attempt to restore a non-conforming item or material to an acceptable condition although it does not meet the original requirements.

Review: Examine in detail. Reviewing of documents shall always require signing and dating by the authorized reviewer, either on the documents or on records traceable to the documents. Whenreview is performed, it is for acceptance or approval.

Rework: An activity undertaken with a previously used process or technique on the item to restore the item to the original condition and design requirement.

Scrap: Non-conforming items which are unfit to be used as is, repaired, reworked, or returned to supplier. Scrap shall be identified and segregate from conforming items.

Signing and Sign-off: When used herein, means signing, initialing, or stamping and always dated.

Supplier: A material supplier, material manufacturer, service supplier, or contractor.

Survey: A documented evaluation of an organization’s ability to perform activities as verified by a determination of the adequacy of the organization’s quality system and by a review of the implementation of that system at the location of the work.

Use-As-Is: A disposition to accept a deviation from the original requirement without rework or repair.

Verification: An act of confirming, substantiating, or assuring that an activity or condition hasbeen satisfactorily performed or created in compliance with specified requirements.

Witness Point: An operation which is to be witnessed by HART or designee. Adequate notification time (at least 48 hours advance notice) shall be provided to the assignor. If HART or designee is not present, work shall continue.



ACRONYMS

ANSI American National Standards InstituteAPTA American Public Transportation Association ASQ American Society for QualityCDRL Contract Deliverables Requirement ListCE&I Construction Engineer and Inspection CMM Construction Management ManualCO Change OrderCSSO Chief Safety & Security OfficerCPO Chief Project OfficerDBOM Design-Build-Operate-MaintainDAC Deputy Chief Officer, Administration and ControlsDCO Deputy Chief Officer, OperationsDEC Deputy Chief Officer, Engineering and ConstructionDOH Department of HealthEOR Engineer of RecordEPA Environmental Protection AgencyFTA Federal Transit Administration GEC General Engineering ConsultantED Executive DirectorHART Honolulu Authority for Rapid TransportationHDOT Hawaii Department of TransportationISO International Organization for Standards ITB Invitation to BidITP Inspection and Test Plans MOSE Maintenance of Systems and Equipment MOW Maintenance of WayMPO Metropolitan Planning OrganizationNTP Notice to ProceedO&M Operation and MaintenancePFDC Project Final Documentation ChecklistPO Purchase OrderPR Purchase Requisition QAP Project Quality Assurance Plan QA Quality AssuranceQC Quality ControlQIP Quality Implementing Procedure QMP Quality Management ProgramQMS Quality Management SystemRFP Request for Proposal



RTD Rapid Transit DivisionSS&S System Safety and SecuritySSMP Safety and Security Management Plan USDOT United States Department of Transportation