TRC Quality - CES QMP

• Document No.

• Audit Title

• Client / Site

• Conducted on

  Date

• Prepared by

• Location
  Address

• Personnel

• Business Confidential -- For Internal Use Only

GENERAL AUDIT INFORMATION

• Project(s) Reviewed, Project Number and Name:

• Audited Organization/Project Representative:

• Purpose and Objective: To evaluate the implementation of the CES Quality Management Plan (QMP) and to identify opportunities to improve the quality systems and procedures.

• Scope: This audit reviewed the project(s) referenced above to evaluate conformance to the applicable procedures in the CES QMP and to evaluate the effectiveness of quality procedures used on the project.

• Describe the activities, processes, and/or aspects of the project(s) reviewed.

• List any aspects of the project(s) excluded from the audit.

• Date of Opening Meeting:

  Date

• Date of Exit/Closing Meeting:

  Date

CES QMP COMPLIANCE - Do projects adopt applicable quality procedures in the QMP?

• Use the questions below to guide your review of objective evidence to evaluate whether the project conforms to the applicable quality procedures and/or requirements in the TRD QMP. How effective are the project procedures with controlling quality of the project?

1. Project Set-Up and Launch

• 1.1 Do project team members have the skill sets and/or qualifications needed for their assignments?

  Select 1 - No Evidence of Conformance 2 - Minimal Conformance 3 - Moderate Conformance 4 - Some Conformance 5 - Full Conformance Not Applicable

  • 1 - No Evidence of Conformance
  • 2 - Minimal Conformance
  • 3 - Moderate Conformance
  • 4 - Some Conformance
  • 5 - Full Conformance
  • Not Applicable

• QMP 5.1.4 & 5.3 Examples for Evidence: experience matrix, organization chart, resumes, other documentation of qualifications Notes/Comments:

• 1.2 Are budgets, schedules, and cost controls adequate for a successful project? - sufficient to complete the scope of work including quality controls

  Select 1 - No Evidence of Conformance 2 - Minimal Conformance 3 - Moderate Conformance 4 - Some Conformance 5 - Full Conformance Not Applicable

  • 1 - No Evidence of Conformance
  • 2 - Minimal Conformance
  • 3 - Moderate Conformance
  • 4 - Some Conformance
  • 5 - Full Conformance
  • Not Applicable

• QMP 5.3 Examples for Evidence: project schedules or timelines reflecting all tasks & quality procedures, budget breakdown, statements from team Notes/Comments:

• 1.3 Did the Project Manager confirm that team members understand specifically what they are expected to do?

  Select 1 - No Evidence of Conformance 2 - Minimal Conformance 3 - Moderate Conformance 4 - Some Conformance 5 - Full Conformance Not Applicable

  • 1 - No Evidence of Conformance
  • 2 - Minimal Conformance
  • 3 - Moderate Conformance
  • 4 - Some Conformance
  • 5 - Full Conformance
  • Not Applicable

• QMP 5.1.4, 5.5.3, 5.8 Examples for Evidence: email communication with project team, meeting minutes or agenda, statements from project team Notes/Comments:

2. Requirements and Risk Management

• 2.1 Did the project have a process to communicate applicable requirements to project team and confirm conformance? - Contract with client - Professional Engineer standards - State/local laws and codes, municipal zoning and subdivision regulations - ICC/ANSI A117 1-2009, Accessibility & Usable Buildings & Facilities - Client codes and specifications

  Select 1 - No Evidence of Conformance 2 - Minimal Conformance 3 - Moderate Conformance 4 - Some Conformance 5 - Full Conformance Not Applicable

  • 1 - No Evidence of Conformance
  • 2 - Minimal Conformance
  • 3 - Moderate Conformance
  • 4 - Some Conformance
  • 5 - Full Conformance
  • Not Applicable

• QMP 3.1, 3.2 Examples for Evidence: project records listing project-specific quality-related requirements - kept in location accessible to the project team Notes/Comments:

• 2.2 Has the Project Manager (or designee) confirmed that project team understands and incorporates requirements for permits, insurance certificates, and any other work clearance or authorization, and Project Manager confirms that schedule accommodates?

  Select 1 - No Evidence of Conformance 2 - Minimal Conformance 3 - Moderate Conformance 4 - Some Conformance 5 - Full Conformance Not Applicable

  • 1 - No Evidence of Conformance
  • 2 - Minimal Conformance
  • 3 - Moderate Conformance
  • 4 - Some Conformance
  • 5 - Full Conformance
  • Not Applicable

• QMP 5.1.4 Examples for Evidence: e-mail communication with project team, meeting minutes or agenda, statements from project team Notes/Comments:

3. Work Procedures and Quality Control

• 3.1 Are self checks performed?

  Select 1 - No Evidence of Conformance 2 - Minimal Conformance 3 - Moderate Conformance 4 - Some Conformance 5 - Full Conformance Not Applicable

  • 1 - No Evidence of Conformance
  • 2 - Minimal Conformance
  • 3 - Moderate Conformance
  • 4 - Some Conformance
  • 5 - Full Conformance
  • Not Applicable

• QMP 5.9 Examples for Evidence: project records of work-in-progress showing originator reviewed their work prior to peer review

• 3.2 Were benchmark monuments made and marked during a field survey for horizontal and vertical accuracy, and consistently used during the design process?

  Select 1 - No Evidence of Conformance 2 - Minimal Conformance 3 - Moderate Conformance 4 - Some Conformance 5 - Full Conformance Not Applicable

  • 1 - No Evidence of Conformance
  • 2 - Minimal Conformance
  • 3 - Moderate Conformance
  • 4 - Some Conformance
  • 5 - Full Conformance
  • Not Applicable

• QMP 5.10 Examples for Evidence: survey records in the project file

4. Engineering Design Reviews and Controls

• 4.1 Does the project have written, client approved, design criteria?

  Select 1 - No Evidence of Conformance 2 - Minimal Conformance 3 - Moderate Conformance 4 - Some Conformance 5 - Full Conformance Not Applicable

  • 1 - No Evidence of Conformance
  • 2 - Minimal Conformance
  • 3 - Moderate Conformance
  • 4 - Some Conformance
  • 5 - Full Conformance
  • Not Applicable

• QMP 5.8.3 Examples for Evidence: approved design criteria in project files Notes/Comments:

• 4.2 Are designs backed up with complete, legible, and logically arranged engineering calculations?

  Select 1 - No Evidence of Conformance 2 - Minimal Conformance 3 - Moderate Conformance 4 - Some Conformance 5 - Full Conformance Not Applicable

  • 1 - No Evidence of Conformance
  • 2 - Minimal Conformance
  • 3 - Moderate Conformance
  • 4 - Some Conformance
  • 5 - Full Conformance
  • Not Applicable

• QMP 5.8.3 Examples for Evidence: calculations in project file Notes/Comments:

• 4.3 Were reviews (checks) performed on completed designs including calculations? - Constructible - Functional - Completeness - Adherence to design concepts/criteria - Mathematical accuracy - Consistency with other drawings - Compliance with applicable codes and requirements

  Select 1 - No Evidence of Conformance 2 - Minimal Conformance 3 - Moderate Conformance 4 - Some Conformance 5 - Full Conformance Not Applicable

  • 1 - No Evidence of Conformance
  • 2 - Minimal Conformance
  • 3 - Moderate Conformance
  • 4 - Some Conformance
  • 5 - Full Conformance
  • Not Applicable

• QMP 5.8.3, 5.8.4 Examples for Evidence: project records of reviews/checks, markups, emailed review comments Notes/Comments:

• 4.4 Were design changes, if any, communicated to the project team? How?

  Select 1 - No Evidence of Conformance 2 - Minimal Conformance 3 - Moderate Conformance 4 - Some Conformance 5 - Full Conformance Not Applicable

  • 1 - No Evidence of Conformance
  • 2 - Minimal Conformance
  • 3 - Moderate Conformance
  • 4 - Some Conformance
  • 5 - Full Conformance
  • Not Applicable

• QMP 5.8.5 Examples for Evidence: e-mails to project team, meeting agenda or minutes Notes/Comments:

5. Peer Review

• 5.1.a Was the proposal (e.g., cost estimate, scope of work proposal) reviewed prior to delivery to the client?

  Select 1 - No Evidence of Conformance 2 - Minimal Conformance 3 - Moderate Conformance 4 - Some Conformance 5 - Full Conformance Not Applicable

  • 1 - No Evidence of Conformance
  • 2 - Minimal Conformance
  • 3 - Moderate Conformance
  • 4 - Some Conformance
  • 5 - Full Conformance
  • Not Applicable

• 5.1.b Were conceptual design phase (e.g., 30%) work products reviewed prior to delivery to the client?

  Select 1 - No Evidence of Conformance 2 - Minimal Conformance 3 - Moderate Conformance 4 - Some Conformance 5 - Full Conformance Not Applicable

  • 1 - No Evidence of Conformance
  • 2 - Minimal Conformance
  • 3 - Moderate Conformance
  • 4 - Some Conformance
  • 5 - Full Conformance
  • Not Applicable

• 5.1.c Were design phase (e.g., 60%, 90%) work products reviewed prior to delivery to the client?

  Select 1 - No Evidence of Conformance 2 - Minimal Conformance 3 - Moderate Conformance 4 - Some Conformance 5 - Full Conformance Not Applicable

  • 1 - No Evidence of Conformance
  • 2 - Minimal Conformance
  • 3 - Moderate Conformance
  • 4 - Some Conformance
  • 5 - Full Conformance
  • Not Applicable

• 5.1.d Was the final design package (e.g., 100%, IFC), or equivalent, reviewed prior to delivery to the client?

  Select 1 - No Evidence of Conformance 2 - Minimal Conformance 3 - Moderate Conformance 4 - Some Conformance 5 - Full Conformance Not Applicable

  • 1 - No Evidence of Conformance
  • 2 - Minimal Conformance
  • 3 - Moderate Conformance
  • 4 - Some Conformance
  • 5 - Full Conformance
  • Not Applicable

• QMP 5.1.4, 5.2, & 5.2.4 Examples for Evidence: project records showing peer review prior to delivery Notes/Comments:

• 5.2 Are the Peer Reviewer(s) independent of the work activity or work product(s) reviewed?

  Select 1 - No Evidence of Conformance 2 - Minimal Conformance 3 - Moderate Conformance 4 - Some Conformance 5 - Full Conformance Not Applicable

  • 1 - No Evidence of Conformance
  • 2 - Minimal Conformance
  • 3 - Moderate Conformance
  • 4 - Some Conformance
  • 5 - Full Conformance
  • Not Applicable

• QMP 5.2.2 Examples for Evidence: peer review records, compare who produced the work product with who reviewed Notes/Comments:

• 5.3 Do Peer Reviewers have qualifications / skill sets needed to understand the material reviewed? How were they selected?

  Select 1 - No Evidence of Conformance 2 - Minimal Conformance 3 - Moderate Conformance 4 - Some Conformance 5 - Full Conformance Not Applicable

  • 1 - No Evidence of Conformance
  • 2 - Minimal Conformance
  • 3 - Moderate Conformance
  • 4 - Some Conformance
  • 5 - Full Conformance
  • Not Applicable

• QMP 5.2.2 Examples for Evidence: Peer Reviewer qualifications (e.g., resume, examples of prior experience) Notes/Comments:

6. Procurement and Subcontractor/Subconsultant Management

• 6.1 Was procurement documentation consistent with TRC Purchase Order and Procurement Procedure requirements on TRCNet? - Example: POs processed in Vision (materials & subcontractors >$1,000) prior to invoice receipt. - Example: Required approvals included.

  Select 1 - No Evidence of Conformance 2 - Minimal Conformance 3 - Moderate Conformance 4 - Some Conformance 5 - Full Conformance Not Applicable

  • 1 - No Evidence of Conformance
  • 2 - Minimal Conformance
  • 3 - Moderate Conformance
  • 4 - Some Conformance
  • 5 - Full Conformance
  • Not Applicable

• QMP 5.4 Examples for Evidence: PO records (materials & subcontractors) in Vision/Sceris prior to invoice receipt Notes/Comments:

• 6.2 Were subcontractors/subconsultants selected based on their ability to perform he services required? - technical/engineering expertise - safety record and procedures - quality standards and procedures - financial standards

  Select 1 - No Evidence of Conformance 2 - Minimal Conformance 3 - Moderate Conformance 4 - Some Conformance 5 - Full Conformance Not Applicable

  • 1 - No Evidence of Conformance
  • 2 - Minimal Conformance
  • 3 - Moderate Conformance
  • 4 - Some Conformance
  • 5 - Full Conformance
  • Not Applicable

• QMP 5.4 Examples for Evidence: records showing review of subconsultant/subcontractor qualifications and/or basis in selection process Notes/Comments:

• 6.3 Did the Project Manager (or designee) monitor quality of subcontractor services to confirm completion of established scope of service? How?

  Select 1 - No Evidence of Conformance 2 - Minimal Conformance 3 - Moderate Conformance 4 - Some Conformance 5 - Full Conformance Not Applicable

  • 1 - No Evidence of Conformance
  • 2 - Minimal Conformance
  • 3 - Moderate Conformance
  • 4 - Some Conformance
  • 5 - Full Conformance
  • Not Applicable

• QMP 5.1.4 & 5.4 Examples for Evidence: project records (e.g, deliverables status list, meeting minutes) showing review of subcontractor services Notes/Comments:

7. Project Deliverables

• 7.1 Did the Project Manager review all final deliverables and/or confirm that an appropriate review was performed prior to delivery?

  Select 1 - No Evidence of Conformance 2 - Minimal Conformance 3 - Moderate Conformance 4 - Some Conformance 5 - Full Conformance Not Applicable

  • 1 - No Evidence of Conformance
  • 2 - Minimal Conformance
  • 3 - Moderate Conformance
  • 4 - Some Conformance
  • 5 - Full Conformance
  • Not Applicable

• QMP 5.1.4 Examples for Evidence: project review records Notes/Comments:

• 7.2 Are dates printed on the work products (e.g., drawings, documents) transmitted to the client?

  Select 1 - No Evidence of Conformance 2 - Minimal Conformance 3 - Moderate Conformance 4 - Some Conformance 5 - Full Conformance Not Applicable

  • 1 - No Evidence of Conformance
  • 2 - Minimal Conformance
  • 3 - Moderate Conformance
  • 4 - Some Conformance
  • 5 - Full Conformance
  • Not Applicable

• QMP 5.5.1 Examples for Evidence: project records - file copies of project documents, drawings, etc. delivered to the client Notes/Comments:

• 7.3 As applicable, has the Project/Design Engineer(s) "sealed" plans and specifications to acknowledge the project meets all federal, state, and local requirements?

  Select 1 - No Evidence of Conformance 2 - Minimal Conformance 3 - Moderate Conformance 4 - Some Conformance 5 - Full Conformance Not Applicable

  • 1 - No Evidence of Conformance
  • 2 - Minimal Conformance
  • 3 - Moderate Conformance
  • 4 - Some Conformance
  • 5 - Full Conformance
  • Not Applicable

• QMP 5.1.4 Examples for Evidence: PE seals on project deliverables Notes/Comments:

• 7.4 Is a copy of each client deliverable in the project file (digital and/or hard copy)?

  Select 1 - No Evidence of Conformance 2 - Minimal Conformance 3 - Moderate Conformance 4 - Some Conformance 5 - Full Conformance Not Applicable

  • 1 - No Evidence of Conformance
  • 2 - Minimal Conformance
  • 3 - Moderate Conformance
  • 4 - Some Conformance
  • 5 - Full Conformance
  • Not Applicable

• QMP 5.11 Examples of Evidence: work products / deliverables in project files Notes/Comments:

• Additional Comments or Notes

• Business Confidential -- For Internal Use Only

QUALITY CULTURE - What motivates quality-influencing behavior within TRC?

• Use a few of the questions below to guide interviews with project personnel. Listen for indications of potential quality issues, improvement opportunities, and strengths or weaknesses in TRC's quality culture.

• General Questions for Anyone on the Project

• Briefly describe the project and your role.

• What were/are the top quality issues on this project?

• What recommendations for improvement do you have?

• Describe a best practice others could learn from, or a success story from this project.

• Questions for Project Managers

• How do you identify and manage risk specific to this, or any, project?

• How do you capture requirements and communicate them with your project team?

• How do you handle inter-discipline handoffs on the project?

• When changes occur (e.g., design change, change in scope of work), how do you communicate them to your project team?

• Do the people on your project team have the right experience and/or skill sets?

• How and when do you select Peer Reviewers?

• In hindsight, would you propose on the project differently? (e.g., revise work plan, schedule, budget)

• Any issues with invoicing?

• Questions for Project Team Members

• How do you know:
  - What your project assignment(s) are?
  - Your roles on the project?
  - What is expected from you?

• How are your budget and schedule communicated to you?

• Describe the QC checking process on this project, or other quality procedures used.

• Are the QC checking procedures sufficient? Why or Why Not?

• Where do you run into quality impacting issues?

• Questions for Peer Reviewers

• How did you know you were the Peer Reviewer for this project?

• Describe how the project requirements and objectives were communicated to you.

• Has anything limited you from providing substantive reviews? (e.g., schedule, budget, skills or experience)

• How do you communicate your peer review comments to the project team?

• Were your review comments resolved to your satisfaction?

• Have you had any quality-impacting challenges on this project within the role of peer reviewer?

• Additional and/or General Comments or Notes

Positive Observations, Strengths, and/or Best Practices

Non-Conformance Reports and/or Opportunities for Improvement

• Non-Conformance Report (NCR)

NCR

• Grades of NCRs<br> Major - systematic breakdown / requires corrective action <br> Minor - violation of QMP or standard / requires corrective action <br> Observation - warrants management attention

  Major

  Minor

  Observation

• Describe the activity not meeting applicable requirements and/or the observed quality failure. Include a reference to the QMP Section or source and the requirement not met.

• Opportunities for Improvement

Opportunities

• Describe your findings or observations of the potential quality-impacting issue and/or area for improvement.

Audit Conclusions

• Report Distribution:

  Select Project Manager Practice Leader Sector Director National Quality Director

  • Project Manager
  • Practice Leader
  • Sector Director
  • National Quality Director

• Lead Auditor Signature

  Sign

• Select date

  Date