TRC Quality - GDR/GEI 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 GDR/GEI 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 GDR/GEI 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 in this quality audit.

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

• Date of Opening Meeting:

  Date

• Date of Exit Meeting:

  Date

GDR/GEI 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 the qualifications of inspection, testing, or analysis personnel documented to show compliance with the requirements of applicable codes and 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 5.12 Examples for Evidence: personnel qualification and training records

• 1.3 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:

• 1.4 Did the Project Manager distribute project instructions (or equivalent) to communicate logistical (e.g., budget, schedule), technical (e.g., codes, standards, 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 5.1.4 Examples for Evidence: project records of work instructions, requirements, and/or procedures to follow

• 1.5 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, 5.3 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 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 Was drilling, sampling, and testing activities (GDR) performed in accordance with procedures referenced in the contract, applicable ASTM or AASHTO standards, or applicable DOT 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 5.10 Examples for Evidence: field logs or other field records, reports attesting to and addressing the applicable standards and compliance

• 3.2 Was testing performed according to written and approved test procedures based on recognized standards and methods (e.g., AASHTO, ASTM, ACI), as applicable?

  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 5.12 Examples for Evidence: lab records, lab reports attesting to applicable methods, analytical data collected per method requirements

• 3.3 Were project-specific sample custody procedures and procedures appropriate to safeguard sample integrity and to minimize deterioration of equipment and materials followed?

  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 5.15 Examples for Evidence: sample custody or traceability records, records demonstrating sample handling and how containerized samples are transported

4. Test Equipment

• 4.1 Were area-specific procedures followed for measuring and test equipment selection, control, calibration, and maintenance?

  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 for Evidence: SOPs and corresponding records to demonstrate alignment with the SOPs.

• 4.2 Did the Project Manager (or designee) maintain an inventory of test equipment including assigned unique identifier for each piece of equipment and the use/history of each piece of test equipment (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 5.11 Examples for Evidence: equipment logs, ID tags or labels on equipment, sampling/testing records showing which piece of equipment was used. Notes/Comments:

• 4.3 IS test equipment removed from service when accuracy is 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 5.11 Examples for Evidence: "red tags", designated area to segregate faulty pieces of equipment or those with overdue calibration Notes/Comments:

5. Peer Review

• 5.1.a Was the proposal / cost estimate 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 draft 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 final 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

• QMP 5.1.4, 5.2 Examples for Evidence: peer review forms, track changes showing reviewer comments/edits, e-mails from Peer Reviewers, sign-offs

• 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 & 5.4.2 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, laboratory test reports) 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, lab reports, etc. delivered to the client 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 and/or Laboratory Personnel

• 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