TRC Quality - EV 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 EV 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 EV 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

TRD 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 or qualifications needed for their assignments? 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 5.1.3 & 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 records - project schedule or timeline, budget breakdown, statements from project team

• 1.3 Did the Project Manager distribute project instructions (or equivalent) to communicate logistical (e.g., budget, schedule), technical (e.g., codes, scope of work, SOPs), and designated QA/QC procedures to the project team?

  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 5.1.3 Examples for Evidence: project instructions, or equivalent documentation of the information, including distribution list or meeting minutes

• 1.4 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 5.1.3 & 5.3 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 the project team and confirm that procedures used will support meeting the client expectations?

  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, in a location accessible to the project team, and review mapping requirements with procedures. Notes/Comments:

• 2.2 Has the Project Manager (or designee) confirmed that project team understands and incorporates requirements for permits, insurance certificates, and/or other work clearance or authorization and has confirmed 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

3. Work Procedures and Quality Control

• 3.1 Were the procedures (including but not limited to QA and QC procedures), as identified by the Project Manager and/or in project work plans or QAPPs, followed on the project?

  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 Examples for Evidence: project records, including in-progress drafts and/or client deliverables Notes/Comments:

• 3.2 Were sample custody procedures followed? - custody-related recordkeeping - handling to safeguard sample integrity - handling, packaging, shipping based on matrix and analytical methods - uniquely labeled to support traceability

  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

• 5.15 Examples for Evidence: chain-of-custody records in project files

4. Engineering Design and Construction Services

• 4.1 Does the project design criteria include applicable standards, client-specific design software and specifications, drawing standards, specification standards, and client approval?

  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 5.9.2 Examples for Evidence: approved design criteria in project files Notes/Comments:

• 4.2 Were calculations checked by a designated Peer Reviewer (e.g., the designated Professional Engineer) for completeness, mathematical accuracy, suitability of reference data, compliance with applicable codes and requirements, and adherence to the design concepts?

  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 5.9.2 Examples for Evidence: calculations and corresponding peer review records in project file Notes/Comments:

• 4.3 Do drawings clearly show: - Work required & products to be furnished/installed? - Arrangements and dimensions of equipment? - Locations of work tied to the identified datum?

  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 5.9.3 Examples for Evidence: project file copies of drawings and corresponding records to indicate applicable items to feature in drawings

5. Measurement and Test Equipment

• 5.1 Were test equipment calibrations performed in accordance with SOPs or manufacturers' manuals?

  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: equipment calibration logs or records in the project file

• 5.2 did the Project Manager (or designee) maintain an inventory of test equipment including an assigned unique identifier for each piece of equipment and use/history of each piece of test equipment (for traceability)?

  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: equipment inventory, identification numbers of test equipment on field data collection records, equipment logs

• 5.3 Were test equipment removed from service when accuracy was suspect?

  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: Red Tags (or equivalent) attached to equipment to indicate out-of-service, sticker communicating problem

6. Peer Review

• 6.1.a Did each document or deliverable on which the client may base environmental or business decisions undergo a peer review prior to release?

  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

• 6.1.b Did the proposal and/or cost estimate undergo peer review 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

• 6.1.c Did each draft document or deliverable undergo a peer review 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

• 6.1.d Did final project deliverable packages undergo a peer review prior to release?

  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 Examples for Evidence: project records showing peer review prior to delivery Notes/Comments:

• 6.2 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:

• 6.3 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:

• 6.4.a In-house design reviews (e.g., at 30%, 60%, 90%, 100% complete) were conducted to evaluate the constructability, technical completeness, safety considerations, and quality of design work products?

  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

• 6.4.b In-house inter-disciplinary reviews were conducted to evaluate the constructability, technical completeness, safety considerations, and quality of design work products?

  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 5.9.2 Examples for Evidence: project records showing peer reviews and indication of scope of the reviews.

7. Procurement and Subcontractor/Subconsultant Management

• 7.1 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:

• 7.2 Were subcontractors selected based on their ability to perform he services required? - technical/engineering expertise - safety record and procedures per CP017 - 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:

• 7.3 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 5.1.3 & 5.4 Examples for Evidence: project records (e.g, deliverables status list, meeting minutes) showing review of subcontractor services Notes/Comments:

8. Project Deliverables

• 8.1 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 5.1.3 Examples for Evidence: project review records Notes/Comments:

• 8.2 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:

• 8.3 Were final engineering drawings, specifications, or engineering reports signed and sealed by a licensed Professional Engineer? (N/A if not required by contract and/or if no engineering drawings, specifications, or engineering reports.)

  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 5.9.3 Examples of Evidence: PE seals on file copies of work products / deliverables 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