Project Development Manual

Appendix 12
Quality Control and Quality Assurance
December 2004
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APPED!" 12
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Contents Pa*e
Provide guidelines on the format and content of the Region=s Design Quality Control/Assurance
Plan...................................................................................................................................................................1
Describe the roles of the Main ffice !unctional "nits #M!"s$............................................................1
Detailed inde%endent chec& of %ro'ect design dra(ings for com%liance (ith De%artment )tandard
Details and design calculations......................................................................................................................1
Revie(s of the various design %roducts are accom%lished inde%endently...............................................*
Revie(s of a %articular design related %roduct are accom%lished utili+ing an a%%roach that (ill
%romote Regional consistency #Develo%/ado%t revie( chec&list that %rovide a consistent and
acce%table level of ,uality$.............................................................................................................................*
Revie(s are accom%lished by or under the direction of a %rofessional engineer....................................*
-o( the design ,uality control function (ill be integrated into the organi+ational structure of the
Region..............................................................................................................................................................*
.ist of Master Control Documents including regional %olicies and s%ecifications..................................*
-o( the design ,uality control features in the %lan (ill be im%lemented #i.e./ (hat revie(s (ill be
%erformed/ to (hat e0tent/ (ho is res%onsible for the revie( and (hat form of documentation (ill be
maintained$......................................................................................................................................................*
Assistance needed from the Main ffice during im%lementation.............................................................*
1he training needs of the %ersons assigned to the ,uality control function.............................................*
A schedule for im%lementation.....................................................................................................................*
23)D1 Pro'ect Develo%ment Manual #PDM$.........................................................................................*
23)D1 -igh(ay Design Manual.............................................................................................................*
23)D1 )tandard )heets............................................................................................................................*
23)D1 )tandard )%ecifications for -igh(ay 4ridges...........................................................................*
23)D1 4ridge Manual..............................................................................................................................*
23)D1 4ridge Detail )heets.....................................................................................................................*
23)D1 )tandard )%ecifications for Construction and Materials.........................................................*
23)D1 Manual of "niform 1raffic Control Devices.............................................................................5
23)D1 )urveying )tandards and Procedures Manual..........................................................................5
23)D1 Right of 6ay Ma%%ing Procedure Manual...............................................................................5
APPED!" 12
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Contents Pa*e
23)D1 Materials 4ureau Materials Methods........................................................................................5
23)D1 7nvironmental Procedures Manual...........................................................................................5
23)D1 Manual of "niform Record 8ee%ing 14 #Construction 9ns%ection Manual$.........................5
23)D1 Manual of "niform Record 8ee%ing : #Materials 9ns%ection Manual$.................................5
23)D1 ;eotechnical 7ngineering 4ureau Manuals and Procedures..................................................5
23)D1 )%ecial )%ecifications...................................................................................................................5
23)D1 CADD )tandards and Procedure Manual.................................................................................5
23)D1 9nstructions on ;eogra%hical 9nformation )ystem...................................................................5
23)D1 Com%rehensive Pavement Design Manual................................................................................5
23)D1 7ngineering 9nstructions.............................................................................................................5
23)D1 7ngineering 4ulletins...................................................................................................................5
23)D1 7ngineering Directives.................................................................................................................5
-igh(ay Ca%acity Manual ..........................................................................................................................5
!ederal Manual of "niform Control Devices..............................................................................................5
MAP <.1:=1*/ Quality Assurance of 6or& >one Maintenance and Protection of 1raffic.....................5
A Policy on ;eometric Design of -igh(ays and )treets. American Association of )tate -igh(ay and
1rans%ortation fficials #AA)-1$............................................................................................................5
Roadside Design ;uide #AA)-1$.............................................................................................................5
A Policy on Design )tandards ? 9nterstate )ystem #AA)-1$................................................................5
1he Regional Design Quality Control 7ngineer (ill be res%onsible for maintaining the Master
Control Documents. 1hese documents should be accessible to all design staff. 1he ,uality
control/,uality assurance revie(s shall be based on these documents......................................................5
1he Regional Director may %ro%ose alternative methods for accom%lishing ,uality control. !or
e0am%le/ establishing small committees/ to revie( certain design %roducts or elements/ is one
a%%roach. -o(ever/ as a minimum each Region must have a Quality Control 7ngineer to coordinate
such activities and to be a liaison for QC/QA (ith the Main ffice. 1he Regional Design Quality
Control 7ngineer needs to be a Professional 7ngineer #P.7.$ and desirably have e0tensive design
e0%erience........................................................................................................................................................@
1able A1:=1 summari+es the minimum inde%endent revie( elements to be included in a Regional
Design QA/QC %lan......................................................................................................................................1A
Attending %ublic information meetings.....................................................................................................1B
APPED!" 12
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Contents Pa*e
Dialogues (ith localities during the %ro'ect develo%ment %rocess..........................................................1B
Cisiting a %ro'ectDs site during construction and %re%aring a Pro'ect Cisitation Re%ort.....................1B
9nvolvement in the evaluation of change orders or %ost=construction revie(s......................................1B
Partici%ating in %ost P)E7 MP1 activities...............................................................................................1B
.eadershi% and Quality )ystem training...................................................................................................1B
Peer Revie(s = 1he Regional ffice may re,uest a %eer revie( for a %ro'ect/ an element of a %ro'ect/
and/or %rocess ste%s for a %ro'ect. 1he M!"s (ill (or& closely (ith the Region to determine the
%ur%ose/ sco%e/ and schedule of the %eer revie(. As a%%ro%riate/ the Main ffice may reach out to
!-6A/ other state agencies/ national associations to obtain and %rovide the necessary su%%ort to the
region.............................................................................................................................................................1*
Pro'ects (ith many %ossible %rocedural snags due to federal or state re,uirements #e.g./ there are
many agencies involved and/or com%le0 environmental im%acts are antici%ated$................................1*
Pro'ects (ith many com%le0 engineering issues #e.g./ %ro%osed -igh ccu%ancy Cehicle lanes/ ma'or
maintenance and %rotection of traffic or construction se,uencing %roblems/ modification of free(ay
access/ roundabouts/ etc.$ ............................................................................................................................1*
Pro'ects (here an overall %eer revie( outside the Region is desired.....................................................15
Rest area and comfort station construction/reconstruction....................................................................15
Construction of com%le0 or controversial bicycle and %edestrian %ro'ects...........................................15
9nformation centers.....................................................................................................................................15
Com%le0 facilities for %ersons (ith disabilities.........................................................................................15
Com%le0 landsca%e develo%ment %ro'ects ................................................................................................15
Pro'ects (ith com%le0 or controversial issues related to aesthetics........................................................15
79) %ro'ects..................................................................................................................................................15
Design A%%roval Documents that involve com%le0 environmental issues.............................................15
Any re%ort that the Regional 7nvironmental Contact #R7C$ decides it (ill add value to the %ro'ect
and/or benefit staff........................................................................................................................................15
Pro'ects that involve com%le0 environmental re,uirements and coordination (ith many agencies...15
Pro'ects (hich have to meet Congestion Management )ystem re,uirements.......................................1@
Pro'ects having corridor studies.................................................................................................................1<
Pro'ects (hich involve mobility/ca%acity issues/ es%ecially those having to meet Congestion
Management )ystem re,uirements involving significant state(ide and regional corridors and
APPED!" 12
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Contents Pa*e
facilities (ithin those corridors #e.g. %referential lane treatments/ 91) elements/ ma'or 1ravel
Demand Management/1rans%ortation )ystem Management #1DM/1)M$ %ro'ects/ linear ca%acity
e0%ansion/ intermodal access/ ma'or metro%olitan trans%ortation investment %ro'ects/ etc.$..............1<
Pro'ects (hich involve changes in control of access to an 9nterstate......................................................1<
Pro'ects (hich involve changes in control of access to a free(ay (here the original right=of=(ay (as
%urchased (ith !ederal funds.....................................................................................................................1<
Access management %ro'ectsF %ro'ects involving state(ide trade corridors/ intercity %assenger
corridors/ tourism corridors and facilities (ithin those corridors/ commuter corridors and facilities
(ithin those corridors...................................................................................................................................1<
Pro'ects for (hich an 7nvironmental 9m%act )tatement or 7nvironmental Assessment is re,uired
that may have ma'or metro%olitan trans%ortation investment or congestion management issues......1<
7nvironmentally sensitive %ro%erty #i.e./ %ar&lands or (etlands involving re%lacement %ro%erty$.. .1<
-a+ardous (aste sites..................................................................................................................................1<
Pro%erty o(ned by the federal government or other state agencies.......................................................1G
Pro%erty dedicated to cemetery use...........................................................................................................1G
1he non=conformance issue is clearly described and the li&ely conse,uences are identified/ if not
obvious...........................................................................................................................................................:A
1he a%%licable %olicy/ regulation/ %rocedure/ or standard is identified/ if necessary for clarification.
........................................................................................................................................................................:A
A recommended a%%roach to resolving the non=conformance issue is %resented. 9f this
recommendation to the Regional Director includes %utting further %rocessing of the %ro'ect on hold
until the comment is resolved/ the revie(er must %rovide a substantive reason for believing that a
change to the re%ort or %lans must be made before %roceeding to the ne0t ste% in the design %rocess/
or before sending a re,uest for action and/or a%%roval to the a%%roving authority for a %articular
%ro'ect. .........................................................................................................................................................:A
7very attem%t should be made to resolve issues at the lo(est %ossible level. -o(ever/ it is the
res%onsibility of the Regional Director to ensure ,uality of their %ro'ects. Pro'ects must be
%rogressed using good %ro'ect management techni,ues. As such/ the cost/ schedule and ,uality of
every %ro'ect must be continually monitored and assessed......................................................................:A
Hob managers should submit one revised co%y to each involved Main ffice "nit. 6hen !-6A is
involved/ an additional revised co%y should be sent to the Main ffice liaison for submittal to
!-6A............................................................................................................................................................:1
December 2004 APPED!" 12
Quality Control and Quality Assurance
1+0 !%('D#C%!'
1+1 P#(P')E
The purpose of this Appendix is to
Describe the !egion=s "uality control and "uality assurance roles and
responsibilities.
#ro$ide guidelines on the format and content of the !egion=s Design Quality
Control%Assurance #lan.
Describe the roles of the &ain 'ffice (unctional )nits *&'()s+.
1+2 DE,!!%!')
Quality , The degree to -hich a product or ser$ice satisfies defined expectations
representing a balance of identified customer re"uirements.
Quality Control -QC. , Actions to catch defects. Quality Control is the independent
checking of -ork and use of control points *appro$als+ to ensure a high le$el of
confidence that each product -ill meet expectations.
The responsibility for Quality Control rests -ith the office producing the product. (or the
purpose of this document. Quality Control includes. but not limited to
$ Detailed independent check of compliance -ith Department policies and
procedures.
$ Detailed independent check of compliance -ith /0#A and 10Q! re"uirements.
$ Detailed independent check of compliance -ith Department Design 1tandards.
$ Detailed independent check of all computations.
$ Detailed independent check of pro2ect design dra-ings for compliance -ith
Department 1tandard Details and design calculations.
Quality Assurance -QA. , Actions to pre$ent defects or make impro$ements. Quality
Assurance is a function that identifies. documents. and re$ie-s for impro$ement the
processes that deli$er products. Quality Assurance is the policies. procedures. and
systematic actions established in the Design Di$ision and the !egions for the purpose of
ensuring "uality.
Although the ma2ority of design "uality assurance responsibilities reside in the &ain
'ffice. !egions also ha$e a "uality assurance responsibility to assure the execution of
the re"uired "uality control acti$ities. and de$elopment of the !egional process and
procedures that fit the region=s operation or organi3ation.
4
APPED!" 12 December 2004
Quality Control and Quality Assurance
2+0 Q#A$!%& C'%('$/ Q#A$!%& A))#(ACE -QC/QA.
2+1 (E0!'=) (E)P')!1!$!%!E)
$ Designate a #rofessional 0ngineer *#.0.+ to be the !egion=s Design Quality
Control 0ngineer *!DQC0+ to o$ersee QC%QA acti$ities and related issues in the
!egion.
$ #repare a !egional Design Quality Control%Assurance plan and use it as the
basis for their QC%QA acti$ities+
$ #erform Quality Control on all in,house pro2ect de$elopment and design
products.
$ 0stablish a process to ensure that consultants. outside agencies. and &ain
'ffice &'()s perform their o-n "uality control acti$ities on all pro2ect products
produced for the !egion.
$ 1ubmit a certification of compliance -ith re"uired Quality Control measures -ith
pro2ect appro$al re"uests.
2+2 (E0!'A$ DE)!0 Q#A$!%& C'%('$ E0!EE(=) ('$E) AD
(E)P')!1!$!%!E)
The !egional Design 0ngineer shall designate a #.0. as the !egional Design Quality
Control 0ngineer *!DQC0+ to o$ersee the design "uality control%assurance efforts in
each !egion. The !DQC0 responsibilities may include but are not limited to
!egional Design 5roup "uality control and "uality assurance program *QC%QA+.
The purpose of this program is to
o De$elop. maintain. and $erify implementation of the !egional Design
QA%QC program and ensure management goals. needs and ob2ecti$es
are met.
o 0nsure that !egional Design 5roup support units de$elop. maintain and
execute their o-n QC%QA processes. and that these QC%QA processes
are in compliance -ith the o$erall !egional Design 5roup "uality
assurance program.
o 0nsure that &ain 'ffice (unctional )nit%!egional Design 5roup support
unit communication and feedback is incorporated into the QA program.
o Coordinate !egional Design 5roup design "uality assurance program
acti$ities -ith other !egional 5roups.
&onitor pro2ect de$elopment%design product "uality.
o )se $arious indicators to e$aluate the !egion=s QC%QA program
*sampling plans. re$ie-ing $isitation reports. 06C feedback. etc.+
o De$elop and implement "uality measures and indicators throughout the
pro2ect de$elopment process.
o 6dentify design "uality problems and analy3e customer feedback.
o 0nsure compliance -ith the pro2ect "uality program%plan.
6mplement and monitor "uality impro$ement initiati$es.
2
December 2004 APPED!" 12
Quality Control and Quality Assurance
o Ad$ise !egional Design 5roup management of design "uality issues.
o 6dentify and implement "uality impro$ement initiati$es or correcti$e
actions for procedural. product. and%or process deficiencies. *7ased on
"uality indicators. customer feedback. etc.+
o !ecommend training in $arious standard operating procedures.
o Assist !egional Design 5roup support units in de$eloping "uality
assurance policies and procedures.
o #ro$ide feedback to &ain 'ffice &'()s regarding design and process
"uality issues of Department -ide interest.
2+2 0#!DACE ' DE3E$'P!0 Q#A$!%& C'%('$ P$A -QCP.
2.8.4 Quality Control Process
4. Document the process that is currently used or -ill be used to insure that the
!egion is prepared to accomplish the "uality control function and that the
necessary procedures and personnel are or -ill be in place.
2. The !egional Director. or his%her designee. submits the QC# to the Design
Quality Assurance 7ureau for re$ie- and comment.
8. The Design Quality Assurance 7ureau Director and the !egional Director. or
his%her designee. 2ointly resol$e any issues resulting from re$ie- of the QC#.
6ssues that cannot be resol$ed -ill be referred to the Chief 0ngineer for
resolution.
4. The !egional Director submits the !egional QC# to the Deputy Chief 0ngineer
for final appro$al.
9. )pon appro$al by the Deputy Chief 0ngineer. the !egional Director. or his%her
designee implements all elements of the !egional QC#. and -hen accomplished
certifies to the Deputy Chief 0ngineer that the appro$ed !egional QC# is in
place and functioning effecti$ely.
:. Compliance -ith the adopted QC# -ill be an element of &ain 'ffice "uality
assurance re$ie-s of !egional acti$ities. (rom time to time the QC# may need
to be re$ised and resubmitted as outlined abo$e.
2.8.2 (e4uired Content 5or t6e (e*ional Quality Control Plan
Design "uality control can be accomplished in a $ariety of -ays and should be tailored to
a particular !egion=s circumstances. 6t is strongly suggested that the !egional Director
establish and ade"uately staff a Quality Control )nit -ithin the !egional Design 5roup
as the means for accomplishing the abo$e acti$ities.
;orking on behalf of the !egional Director. the !egional Design 0ngineer *!D0+ or his
designee assesses. in consultation -ith the appropriate &ain 'ffice (unctional )nit.
8
APPED!" 12 December 2004
Quality Control and Quality Assurance
current !egional design "uality control practices in order to determine -hether the
current mechanisms in place are satisfactory and consistent -ith the re"uirements of
this section. &onitoring reports. re$ie- comments *such as the number of le$el 6
comments generated+. number of amendments. number of field changes. etc.. should be
used to help make this determination. The !egional Quality Control #lan *QC#+ is the
responsibility of the !egional Director and should. regardless of the approach taken.
ensure that
$ !e$ie-s of the $arious design products are accomplished independently.
$ !e$ie-s of a particular design related product are accomplished utili3ing an
approach that -ill promote !egional consistency *De$elop%adopt re$ie- checklist
that pro$ide a consistent and acceptable le$el of "uality+.
$ !e$ie-s are accomplished by or under the direction of a professional engineer.
The proposal should be specific relati$e to
$ <o- the design "uality control function -ill be integrated into the organi3ational
structure of the !egion.
$ =ist of &aster Control Documents including regional policies and specifications.
$ <o- the design "uality control features in the plan -ill be implemented *i.e.. -hat
re$ie-s -ill be performed. to -hat extent. -ho is responsible for the re$ie- and
-hat form of documentation -ill be maintained+.
$ Assistance needed from the &ain 'ffice during implementation.
$ The training needs of the persons assigned to the "uality control function.
$ A schedule for implementation.
2+4 C'%('$ D'C#ME%)
The Department is committed to Quality &anagement through continuous process
impro$ements. These impro$ements are reflected in regular updates of its manuals.
procedures. policy statements. bulletins. standards. rules. regulations and other
publications used for pro2ect de$elopments. To assure design "uality. it is important that
designers be a-are of and uses the up,to,date design standards and specifications in
de$eloping capital pro2ects. !egions shall assure an up to date. complete set of control
documents are being used by utili3ing those posted on the 6ntradot -hen a$ailable
and%or maintaining a master copy of them. The master control documents shall include
the up,to,date $ersions of the follo-ing design policies. standards. specifications. and
guidelines
$ />1D'T #ro2ect De$elopment &anual *#D&+
$ />1D'T <igh-ay Design &anual
$ />1D'T 1tandard 1heets
$ />1D'T 1tandard 1pecifications for <igh-ay 7ridges
$ />1D'T 7ridge &anual
$ />1D'T 7ridge Detail 1heets
$ />1D'T 1tandard 1pecifications for Construction and &aterials
4
December 2004 APPED!" 12
Quality Control and Quality Assurance
$ />1D'T &anual of )niform Traffic Control De$ices
$ />1D'T 1ur$eying 1tandards and #rocedures &anual
$ />1D'T !ight of ;ay &apping #rocedure &anual
$ />1D'T &aterials 7ureau &aterials &ethods
$ />1D'T 0n$ironmental #rocedures &anual
$ />1D'T &anual of )niform !ecord ?eeping 47 *Construction 6nspection
&anual+
$ />1D'T &anual of )niform !ecord ?eeping 2 *&aterials 6nspection &anual+
$ />1D'T 5eotechnical 0ngineering 7ureau &anuals and #rocedures
$ />1D'T 1pecial 1pecifications
$ />1D'T CADD 1tandards and #rocedure &anual
$ />1D'T 6nstructions on 5eographical 6nformation 1ystem
$ />1D'T Comprehensi$e #a$ement Design &anual
$ />1D'T 0ngineering 6nstructions
$ />1D'T 0ngineering 7ulletins
$ />1D'T 0ngineering Directi$es
$ <igh-ay Capacity &anual
$ (ederal &anual of )niform Control De$ices
$ &A# @.42,44. Quality Assurance of ;ork Aone &aintenance and #rotection of
Traffic
$ A #olicy on 5eometric Design of <igh-ays and 1treets. American Association of
1tate <igh-ay and Transportation 'fficials *AA1<T'+
$ !oadside Design 5uide *AA1<T'+
$ A #olicy on Design 1tandards B 6nterstate 1ystem *AA1<T'+
Additionally. due to special needs. !egions often de$elop their o-n regional design
policies and special specifications. The &aster Control Documents should also include
these regional policies and specifications.
The !egional Design Quality Control 0ngineer -ill be responsible for maintaining
the &aster Control Documents. These documents should be accessible to all
design staff. The "uality control%"uality assurance re$ie-s shall be based on
these documents.
2+7 Q#A$!%& '(0A!8A%!' )%(#C%#(E
The !egional organi3ational approach to accomplish the "uality control%"uality
assurance function is an important aspect of the !egional QC#. 6t is strongly suggested
that the !egional Director o$erlay a CQualityD organi3ational structure o$er the existing
organi3ation. Quality responsibility and reporting should be intert-ined throughout the
!egional organi3ation. 6t is suggested that "uality initiati$es be formali3ed but that
"uality reporting not necessarily follo- existing chains of command. The !egional
Design Quality Control 0ngineer *!DQC0+ should act as surrogate in a staff capacity for
the !D0 -ith respect to design "uality and facilitate organi3ational "uality. efficiency.
and effecti$eness initiati$es. The !DQC0 may report CdirectlyD to the !egional Director
and%or the Director. &ain 'ffice Design Quality Assurance. 6t is the responsibility of the
9
APPED!" 12 December 2004
Quality Control and Quality Assurance
!egion Director to decide on the best approach to de$eloping a "uality organi3ational
structure.
The !egional Director may propose alternati$e methods for accomplishing
"uality control. (or example. establishing small committees. to re$ie- certain
design products or elements. is one approach. <o-e$er. as a minimum each
!egion must ha$e a Quality Control 0ngineer to coordinate such acti$ities and to
be a liaison for QC%QA -ith the &ain 'ffice. The !egional Design Quality
Control 0ngineer needs to be a #rofessional 0ngineer *#.0.+ and desirably ha$e
extensi$e design experience.
2+9 (EQ#!(ED Q#A$!%& C'%('$ (E3!E:)
Considering the fact that the organi3ational structure $aries from !egion to !egion. and
that designs are produced by different groups. the follo-ing guideline places the QC%QA
focus on the design products rather than the players. The !egion=s Quality
Control%Quality Assurance #lan is expected to include processes. procedures and
responsible participants to re$ie-. at a minimum. the follo-ing design elements through
the pro2ect de$elopment phases.
1coping
#ro$ide independent re$ie- of the pro2ect 1coping !eport% Design Appro$al Document
-ith emphasis on the follo-ing elements
0lements !e$ie- 5uidelines
5eneral
scope
#ro2ect scope is ade"uately defined. and pro2ect ob2ecti$es reflect the
purpose and need. All feasible and prudent alternati$es are
de$eloped and e$aluated. #rocesses are pro$ided to insure that
designs are cost effecti$e.
Design
criteria
Design criteria are fully described. /on,standard features and%or non,
conforming features are properly documented and addressed.
Capacity
and safety
!eadily a$ailable traffic and accident data are gathered and e$aluated.
Cost and
schedule
The pro2ect preliminary cost estimate and schedule are reasonable.
Community
input
A #ublic 6n$ol$ement #lan is de$eloped *refer to Appendix 2 of this
manual+. Coordination -ith the communities and localities is initiated.
:
December 2004 APPED!" 12
Quality Control and Quality Assurance
#reliminary Design *#hase 6 , 6E+
#ro$ide independent re$ie- on the Draft and (inal Design !eports%0n$ironmental
Documents -ith emphasis on the follo-ing elements
0lements !e$ie- 5uidelines
Design criteria Design criteria are fully described and correct. /on,standard
features and%or non,conforming features are properly documented
and retention 2ustified. Correlation of retained non,standard
features to safety concerns is addressed.
#ublic
6n$ol$ement
#lan
Community input are sought and addressed per #ublic 6n$ol$ement
#lan. #ublic hearing and agency re"uirements are met.
5eometric
selections
Clear 3one and related safety appurtenances are e$aluated.
Capacity and
safety analysis
Traffic and accident data are gathered. and capacity and safety
issues addressed.
&aintenance F
protection of
traffic scheme
#reliminary &#T alternati$es are e$aluated and selected.
0n$ironmental
documents F
permits
0n$ironmental documents and permit preparations are under-ay.
!'; and
A!&
!'; ac"uisitions are ade"uate and necessary. Abstract !e"uest
&aps are prepared on time.
)tility
agreement
)tility in$ol$ements are clearly defined. )tility agreements are
initiated and preparation is under-ay.
Constructability
re$ie-
!egional Construction 5roup is on board. preliminary
constructability re$ie- is sought.
#reliminary
cost estimate
#reliminary cost estimate is prepared. Costs for related -ork are
appropriate.
@
APPED!" 12 December 2004
Quality Control and Quality Assurance
(inal Design *#hase E ,E6+
#ro$ide independent re$ie- on the Ad$anced Detail #lans and (inal #1F0 -ith
emphasis on the follo-ing elements
0lements !e$ie- 5uidelines
7ridge site
data package
7ridge site data are prepared. submitted.
Community
commitments
Community commitments are reflected in plans
&aintenance F
protection of
traffic plans
&#T scheme is appropriate and &#T plans are complete and
-orkable.
1tructures
#lans
1tructure layout agrees -ith site data.
)tility
agreement
)tility agreements are complete or in process
0C'#AC 0C'#AC are prepared and items listed are complete or in
process.
1pecial notes
and
specifications
1pecial notes are complete and appropriate. 1pecial specifications
are submitted for re$ie- and appro$al on time.
0ngineer=s
estimate
0stimate computation sheets are prepared. item prices are $erified.
CADD files
and dra-ings
CADD dra-ings are prepared to the CADD specs.
G
December 2004 APPED!" 12
Quality Control and Quality Assurance
#ost,#1F0
0lements !e$ie- 5uidelines
#ro2ect
Eisitation
!eport
*#E!+
&id,construction meeting is arranged and #E! is prepared.
Analysis of
'rders on
Contract
Designers recei$ed feedback on (ield Change 'rders or 'rders on
Contracts.
#ost,
construction
meeting
Designers attend the post,construction meeting.
H
APPED!" 12 December 2004
Quality Control and Quality Assurance
Table A42,4 summari3es the minimum independent re$ie- elements to be
included in a !egional Design QA%QC plan.
Ex6ibit 12;1 0uidelines 5or (e*ional Desi*n QC/QA Plan
0lements
*at minimum.
re"uiring
independent
re$ie-+
#hases
1coping
*#1!+
6
*Draft
DAD+
66
*Agency
!e$ie-+
666
*#ublic
<earing+
6E
*DAD+
E
*AD#+
E6
*#10
+
#ost,
#10
5eneral scope
Design criteria
#ublic 6n$ol$ement
acti$ities

Cost%0stimate
5eometric
selections

Capacity and
1afety analysis

&#T
0n$ironmental
document%permit

!'; and A!&
)tility agreement
Constructability
re$ie-

7ridge site data
package

1tructures #lan
1pecial /otes
1pecial
1pecification

CADD files and
dra-ings

#ro2ect Eisitation
!eport

Analysis of ''C
#ost,construction
40
December 2004 APPED!" 12
Quality Control and Quality Assurance
meeting
2.:.4 (evie< (esponsibility
Due to $ariation of the organi3ational structure from !egion to !egion. the abo$e
guideline for the !egional Design QC%QA #lan does not specify the responsible groups
or indi$iduals to conduct the re$ie-. The !egions should designate re$ie-ers for each of
the re$ie- elements in their !egional Design QC%QA #lan. 6t is recommended that
design check lists of re$ie- responsibilities for the $arious !egional (unctional )nits be
included in the #lan.
&ain 'ffice #rogram Areas also play a $ital role of assuring design "uality. The re$ie-
responsibilities for &ain 'ffice #rogram Areas are listed in the succeeding sections of
this Chapter. <o-e$er. it is the !egionIs responsibility to re"uest appropriate re$ie-s.
At a minimum. &.'. Design Quality Assurance 7ureau. 0n$ironmental Analysis 7ureau
and the =egal Department must re$ie- all 061s prior to title sheet signature. 'ther
&'()s should re$ie- pro2ects as the !egion deems necessary to pro$ide ade"uate
technical and procedural o$ersight. 6t is recommended that appropriate &'()s be
brought into the design process early for all complex pro2ects.
2.:.2 Correspondence
(or all correspondence -ithin D'T 1end a memorandum directly to the leader
in charge of the section doing the re$ie-. 6f the submittal re"uires appro$al by
Chief 0ngineer or (<;A. the re"uest should be addressed to the 7ureau
Director. Correspondence should indicate the person*s+ performing the -ork and
the leader in charge of the section doing the -ork. The correspondence should
state clearly the desired -ork *e.g.. re$ie- a design report+. the re"uested
completion date. any unusual circumstances. and the person -ho is to be
contacted in the e$ent of "uestions. 6n cases -here documents are sent to
multiple groups. note all recipients of the correspondence and appropriately
indicate -ho recei$ed attachments. (or concurrent *i.e.. D'T%(<;A+ re$ie-s
address correspondence directly to (<;A as indicated belo-.

(or general correspondence to (<;A 1end memorandums to the Di$ision
Administrator. attn Area 0ngineer. -ith copy to the &.'. =iaison *see Chapter 4.
exhibit 4,4 of this manual for a listing of =iaison offices.+
(or correspondence to outside agencies !egional protocols should be follo-ed.
2.:.8 Electronic (evie<s
The use of #ro2ect;ise as the file management system for the Department facilitates
progressing technical and procedural pro2ect re$ie-s electronically. )tili3ing electronic
re$ie-s using #ro2ect;ise -ill expedite the re$ie- and create a paperless re$ie-
process. 7efore initiating an electronic re$ie- please contact the appropriate &'() to
make sure they are ready and familiar -ith the process.
44
APPED!" 12 December 2004
Quality Control and Quality Assurance
(ollo-ing are the recommended steps for electronic re$ie-s
0ach &ain 'ffice #ro2ect =iaison *&'#=+ office responsible for the
re$ie-s should create a generic e,mailboxJ for example DQA7,!egional
=iaison 1ection has the account d"ab,rlsKdot.state.ny.us. The creation
of a generic e,mailbox makes it easy to track pro2ects coming into a unit.
pre$ents the clogging of managers e,mail boxes and ha$ing e,mails go to
the -rong person.
!e"uests for electronic re$ie-s to (<;A must be sent to
ne-york.fh-aKfh-a.dot.go$ .
The !egion stores pro2ect documents in the appropriate #ro2ect;ise
directory.
The !egion sends an e,mail to the generic e,mailbox informing the &'#=
*per Table 4,4+%(<;A that the pro2ect *#6/+ is ready for re$ie-. The e,
mail should list the names and locations of the documents in #ro2ect;ise.
a brief description of the content of the files. and a statement specifying
the details of the re"uest.
The &'#=%(<;A re$ie-s the document*s+ and pro$ides comments in
&'#=Is #ro2ect;ise directory.
The &'#=%(<;A e,mails the person -ho sent the re"uest from the
region notifying him%her that comments are a$ailable in the #ro2ect;ise
&'#=%(<;A directory.
!e"uests for 0n$ironmental determination. /on,standard (eature
appro$al and%or Design Appro$al should be made -ith the appropriate
re"uest memos and hardcopies as outlined in Chapter 4 and Appendix 8.
2.:.4 (e*ional and Main '55ice ,unctional #nits !mprovement/,eedbac=
(esponsibility
Throughout the course of pro2ect de$elopment. general pro2ect re$ie-s and post pro2ect
re$ie-s. engineers de$elop elements of design. design processes. and engineering
practice -hich result in general impro$ements for the Department. 'ccasionally. a
!egion may de$elop their o-n standard to gain the efficiencies of an impro$ed "uality
design. 6t is the responsibility of all !egions and the &'()s to pro$ide feedback to the
appropriate design policy group regarding significant design impro$ements. both
planned and implemented. The !egion QC# must designate the depository of planned.
implemented or proposed design engineering or design process impro$ements. )sually.
this -ould fall in the pur$ie- of the !egion Design Quality Control 0ngineer.
(urthermore. it is the responsibility of the !egion to periodically submit to the appropriate
&ain 'ffice (unctional )nit Director. a summary of these impro$ements -ith appropriate
documentation *i.e.. samples of the impro$ements. if a$ailable. or detailed suggestions+.
'ccasionally. the designated regional representati$e of proposed. planned and
implemented design policy impro$ements is expected to attend "uality impro$ement
meetings. <e%she is responsible for pro$iding input to design process impro$ements.
The intent is to share -ith other !egions and &'()s the design impro$ements and
pro$ide a mechanism for Department impro$ement.
42
December 2004 APPED!" 12
Quality Control and Quality Assurance
2+> %(A!!0 ,'( DE)!0 Q#A$!%&
Training for design "uality means training for both technical skills and "uality attitude.
1taff expertise in speciali3ed fields such as traffic analysis. geometric design. CADD.
etc.. affects the "uality of the design. #ro$iding opportunities for continuing education
can be costly. but -ill pay di$idends in terms of design "uality. The !egional Design
QC%QA #lan should include regional guidelines for designers to recei$e sufficient
technical training.
The #lan must also place as much emphasis on the de$elopment of a A"uality attitude@
*so,called intangible training+ as it does on technical capabilities. 0xamples of intangible
training could be
$ Attending public information meetings.
$ Dialogues -ith localities during the pro2ect de$elopment process.
$ Eisiting a pro2ectIs site during construction and preparing a #ro2ect Eisitation
!eport.
$ 6n$ol$ement in the e$aluation of change orders or post,construction re$ie-s.
$ #articipating in post #1F0 &#T acti$ities.
$ =eadership and Quality 1ystem training.
These actions or acti$ities pro$ide good feedback to the designers and allo-s them to
learn from past experiences. 1uch actions or acti$ities also send a message to the
others that the Department is concerned about accountability and continuous
impro$ement.
The !egion is encouraged to contact the Design Quality Assurance 7ureau and other
&'()s for ad$ice and assistance -hile de$eloping and implementing their Quality
Control #lan. The continuation of this cooperati$e relationship after implementation is
essential to success
6n addition to this formali3ed and independent "uality control function in the !egion. it is
essential that all design staff. particularly pro2ect designers *2ob managers+. understand
and accept the premise that they are the most important factor in "uality control. Their
responsibility is to do it right the first time. e$ery time. by adhering to Department
policies. procedures. rules. regulations and good engineering practice.
2+? MA! ',,!CE ('$E
As explained in 1ections 4.2 and 2.4. the office producing the product is responsible for
all aspects of "uality control. The &ain 'ffice role is to support the !egions by pro$iding
the follo-ing
Quality Assurance , The &ain 'ffice de$elops and impro$es standards. policies
and procedures.
48
APPED!" 12 December 2004
Quality Control and Quality Assurance
#ro$ides training.
DQA7 pro$ides periodic QC%QA engineersI meetings to promote the sharing of
best practices.
#ro$ides periodic meetings of Design 1taff from $arious !egions to allo- for
sharing of best practices. learn of upcoming de$elopments. and to pro$ide
feedback to &ain 'ffice staff.
#ro$ides technical and procedural assistance to regional staff and consulting
engineers to ensure the successful completion of capital pro2ects.
=iaison Acti$ities B
o &.'. pro2ect liaison coordinates (<;A re$ie-s and appro$als as
appropriate.
o &.'. pro2ect liaison coordinates &'()s re$ie-s as re"uested by the !egion.
Quality Assurance !e$ie- ,The &ain 'ffice pro2ect liaison
engineer *refer to Chapter 4. 0xhibit 4,4 for a listing of liaison offices+ -ill perform
a "uality assurance re$ie- -hene$er design appro$al or title sheet signature is
re"uired from the Deputy Chief 0ngineerJ or -hene$er en$ironmental
determination or design appro$al is re"uired from (<;A and the process
re"uires &'() liaison in$ol$ement. see T0A,24 &atrix and process steps in
Chapter 4. This re$ie- focuses on. but not limited to. compliance -ith the control
documents identified in 1ection 2.4. /0#A. 10Q!. 0xecuti$e 'rders and other
pro$isions of 1tate and (ederal =a-.
#eer !e$ie-s , The !egional 'ffice may re"uest a peer
re$ie- for a pro2ect. an element of a pro2ect. and%or process steps for a pro2ect.
The &'()s -ill -ork closely -ith the !egion to determine the purpose. scope.
and schedule of the peer re$ie-. As appropriate. the &ain 'ffice may reach out
to (<;A. other state agencies. national associations to obtain and pro$ide the
necessary support to the region.
(ormal comments -ill be pro$ided and resol$ed in accordance -ith 1ection 4.8 of this
appendix. !e$ie- guidelines for the most commonly contacted &'()s are as follo-s
*see Chapter 4. exhibit 4,4 of this &anual for a listing of =iaison 'ffices+.
2.G.4 Desi*n Quality Assurance 1ureau; (e*ional $iaison )ection -DQA1;($).
DQA7,!=1 should be in$ol$ed early. beginning -ith a re$ie- of the scoping document.
especially on complex pro2ects -here they -ill be the design liaison -ith (<;A. DQA7,
!=1 is to be re"uested to perform a Quality Assurance re$ie- on all 061 pro2ects. 6n
addition to the re"uired pro2ects re$ie-s. it -ould be appropriate to re"uest DQA7,!=1
in$ol$ement for
$ #ro2ects -ith many possible procedural snags due to federal or state
re"uirements *e.g.. there are many agencies in$ol$ed and%or complex
en$ironmental impacts are anticipated+
$ #ro2ects -ith many complex engineering issues *e.g.. proposed <igh 'ccupancy
Eehicle lanes. ma2or maintenance and protection of traffic or construction
se"uencing problems. modification of free-ay access. roundabouts. etc.+
44
December 2004 APPED!" 12
Quality Control and Quality Assurance
$ #ro2ects -here an o$erall peer re$ie- outside the !egion is desired.
6f unsure of -hether &ain 'ffice in$ol$ement is appropriate. contact the !egional Design
0ngineer. the !egional Quality Control 0ngineer. or the Design Quality Assurance
7ureau liaison for your region.
2.G.2 $andscape Arc6itecture 1ureau -$A1.
=A7 should be in$ol$ed early. beginning -ith a re$ie- of the scoping document. on the
more complex pro2ects that in$ol$e landscape architecture expertise. especially those
-here they -ill be the design liaison -ith (<;A. 0xamples of pro2ects -here =A7
re$ie-s may be appropriate are
$ !est area and comfort station construction%reconstruction
$ Construction of complex or contro$ersial bicycle and pedestrian pro2ects
$ 6nformation centers
$ Complex facilities for persons -ith disabilities
$ Complex landscape de$elopment pro2ects
$ #ro2ects -ith complex or contro$ersial issues related to aesthetics
6f unsure of -hether a =A7 re$ie- is appropriate. contact the !egional =andscape
Architect.
2.G.8 )tructures Desi*n and Construction Division %ec6nical (evie<s
The 1tructures Di$ision maintains a continuing role in the re$ie- of scoping documents.
draft design appro$al documents. structure study package. preliminary plans. ad$ance
detail plans. and #1F0Ls for certain types of bridge pro2ects. regardless of fund source.
!efer to 1ection 20 of the 7ridge Design &anual for specific guidance relati$e to
structural design re$ie- considerations. 6f unsure of -hether a 1tructures re$ie- is
appropriate. contact the 1tructures Design and Construction Di$ision. Design Quality
Assurance 7ureau.
2.G.4 Environmental Analysis 1ureau
0n$ironmental re$ie-s by the 0n$ironmental Analysis 7ureau *0A7+ include
$ 061 pro2ects
$ Design Appro$al Documents that in$ol$e complex en$ironmental issues.
$ Any report that the !egional 0n$ironmental Contact *!0C+ decides it -ill add
$alue to the pro2ect and%or benefit staff.
6n addition. coordination -ith 0A7 should occur early in the pro2ect de$elopment process
for the follo-ing types of pro2ects
$ #ro2ects that in$ol$e complex en$ironmental re"uirements and coordination -ith
many agencies.
49
APPED!" 12 December 2004
Quality Control and Quality Assurance
$ #ro2ects -hich ha$e to meet Congestion &anagement 1ystem re"uirements
The en$ironmental resource sections in 0A7 are 4+ Air Quality. 2+ ;ater%0cology. 8+
1ocio,0conomic%Cultural !esources%#rocess. 4+ <a3ardous ;aste. and 9+ /oise. 6f a
copy is pro$ided for each section in 0A7 that needs to re$ie- the en$ironmental
document. 0A7=s en$ironmental resource sections can re$ie- the document
concurrently and pro$ide a reduced turn,around.
6f unsure of terms such as Congestion &anagement 1ystem or -hether an 0A7 re$ie-
is appropriate contact the !0C.
2.G.9 %ec6nical )ervices Division %ec6nical (evie<s
'n pro2ects -ith substantial technical content *ne- or reconstructed pa$ements. bridge
replacements. substantial earth-ork. retaining -alls. etc.+ the Ad$ance Detail #lans
should be submitted to the Technical 1er$ices+ Di$ision for re$ie-. This re$ie- is most
useful at AD# design stage -here the technical items ha$e been detailed. but not
finali3ed.
2.G.9.4 5eotechnical 0ngineering 7ureau
7ecause of the speciali3ed nature of soils analysis and design re"uired during the
design stage. the !egional 5eotechnical 0ngineer should be in$ol$ed in the de$elop,
ment and re$ie- of the scoping document. the design appro$al document. and Ad$ance
Detail #lans for pro2ects -ith soils related -ork. 1coping documents. design appro$al
documents. and information on the a$ailability of plans should be made a$ailable to the
5eotechnical 0ngineering 7ureau through the !egional 5eotechnical 0ngineer.
!e$ie-s by the 5eotechnical 0ngineering 7ureau are typically done for the stability of
permanent and temporary -alls and sheeting systemsJ foundation%piling analysisJ sign.
signal. and light foundations in soft soilsJ etc. 6f unsure of -hether a re$ie- is
appropriate. contact the !egional 5eotechnical 0ngineer.
2.G.9.2 &aterials 7ureau
6n most cases. the regular !egional (unctional 5roup re$ie- is all that is needed. &ain
'ffice &aterials 7ureau re$ie-s should be considered for pro2ects that ha$e unusual
types of -ork. such as cold%hot in,place recycling. rubbli3ing. or unusual special
specifications. (or these pro2ects. a re"uest for re$ie- of the scoping documents or
draft design appro$al documents or Ad$ance Detail #lans is appropriate. Documents for
re$ie- and an explanation of -hat is to be re$ie-ed should be de$eloped in con2unction
-ith the !egional &aterials 0ngineer and submitted to the &ain 'ffice through the
!egional &aterials 0ngineer. 6f unsure of -hether a re$ie- is appropriate. contact the
!egional &aterials 0ngineer.
2.G.: %ra55ic En*ineerin* @ Ai*6<ay )a5ety Division -%E@A).
!e$ie-s by the T0F<1 are recommended for pro2ects ha$ing unusual or contro$ersial
issues related to traffic safety. operations. or access to pri$ate de$elopment. !e$ie-s
should also be considered for ne- or inno$ati$e safety and%or operational impro$ements.
4:
December 2004 APPED!" 12
Quality Control and Quality Assurance
0xamples of pro2ects -here a re$ie- by T0F<1 -ould be appropriate are 6T1. ma2or
traffic signal system. ne- traffic control de$ices. 1ince these issues can impact the
scope of a pro2ect. the T0F<1 should be in$ol$ed early at the scoping stage and
throughout the design stage. 6f unsure of -hether a re$ie- is appropriate. contact the
!egional Traffic 0ngineer. Also. Appendix :. 6ntelligent Transportation 1ystems *6T1+.
1coping &ethodologies of this manual contains further guidance on the de$elopment of
6T1 type pro2ects.
2.G.@ '55ice o5 transportation Policy and )trate*y ; Mobility Mana*ement 1ureau
!e$ie-s by the &obility &anagement 7ureau are recommended for the follo-ing types
of pro2ects
$ #ro2ects ha$ing corridor studies.
$ #ro2ects -hich in$ol$e mobility%capacity issues. especially those ha$ing to meet
Congestion &anagement 1ystem re"uirements in$ol$ing significant state-ide
and regional corridors and facilities -ithin those corridors *e.g. preferential lane
treatments. 6T1 elements. ma2or Tra$el Demand &anagement%Transportation
1ystem &anagement *TD&%T1&+ pro2ects. linear capacity expansion. intermodal
access. ma2or metropolitan transportation in$estment pro2ects. etc.+.
$ #ro2ects -hich in$ol$e changes in control of access to an 6nterstate.
$ #ro2ects -hich in$ol$e changes in control of access to a free-ay -here the
original right,of,-ay -as purchased -ith (ederal funds.
$ Access management pro2ectsJ pro2ects in$ol$ing state-ide trade corridors.
intercity passenger corridors. tourism corridors and facilities -ithin those
corridors. commuter corridors and facilities -ithin those corridors.
$ #ro2ects for -hich an 0n$ironmental 6mpact 1tatement or 0n$ironmental
Assessment is re"uired that may ha$e ma2or metropolitan transportation
in$estment or congestion management issues.
6t is also recommended for these pro2ects that the &obility &anagement 1ection be
in$ol$ed early. at the scoping stage and throughout the design stage. -hen deemed
appropriate. Contact the !egional #lanning F #rogram &anager for further assistance
on !egional efforts such as congestion management system. 6T1. TD&%T1&. etc. or
-hether a re$ie- is appropriate. Also see section 2.G.: abo$e for additional guidance.
2.G.G (eal Estate Division
!e$ie-s by the !eal 0state Di$ision are recommended for pro2ects that -ill re"uire the
follo-ing types of takings
$ 0n$ironmentally sensiti$e property *i.e.. parklands or -etlands in$ol$ing
replacement property+
$ <a3ardous -aste sites
4@
APPED!" 12 December 2004
Quality Control and Quality Assurance
$ #roperty o-ned by the federal go$ernment or other state agencies
$ #roperty dedicated to cemetery use
These re$ie-s should begin during the 1coping 1tage and continue through the Design
1tage. 6f you are unsure of -hether a re$ie- is appropriate. contact the !egional !eal
0state 'fficer.
2.G.H Passen*er %ransportation Division
!e$ie-s by the 'ffice of #assenger and (reight Transportation. #assenger
Transportation Di$ision are recommended for pro2ects -ith a significant share of the
impro$ements intended to enhance exclusi$e bike and%or pedestrian access. or other
intermodal access.
2.G.40 '55ice o5 $e*al A55airs
A re$ie- by the 'ffice of =egal Affairs is re"uired for all Draft and (inal 061=s during
Design #hase 6 and 6E.
2+B '%AE( )%A%E '( ,EDE(A$ A0EC& (E3!E:)
1ubmissions for information and comment to state and federal agencies *other than
(<;A+. -hether re"uired or optional. -ill be made directly to the agencies by the
!egion. The listings of state and federal agencies from -hich comments are usually
solicited are referenced in Appendix 8 of this manual. <o-e$er. for pro2ects that re"uire
or may re"uire a Coast 5uard #ermit. submissions to the Coast 5uard should be sent
$ia the 1tructures Design and Construction Di$ision. This is discussed further under the
(ederal Ad$isory Agency listing for MCoast 5uardM in Appendix 8.
2+0 P('CEC% (E3!E:) AD C'MME% (E)'$#%!'
2+1 P#(P')E AD APP$!CA%!'
The purpose of this section is to establish a uniform method for pro$iding re$ie-
comments and documenting their resolution. This procedure applies to all pro2ect
re$ie-s conducted by &ain 'ffice staff regardless of -hether they are re"uired re$ie-s
or optional peer re$ie-s.
2+2 )#1M!))!')
1ubmissions should be addressed as follo-s
o (or Chief 0ngineer or (<;A appro$al send re"uest to 7ureau
Director.
o (or all other pro2ect re$ie- send re"uest to the appropriate
4G
December 2004 APPED!" 12
Quality Control and Quality Assurance
1ection =eader.
!e"uests for re$ie-s should include a statement specifying the details
of the re"uest and indicating the areas of concern.
Document should include a detailed table of contents as sho-n in
Appendix @ of this manual. This -orks $ery -ell as a time sa$er for
re$ie-s -here />1D'T and (<;A re$ie-ers are only looking for
selected information. and for outside agency re$ie-s that are only
interested in a fe- sections *e.g. utility companies. railroads. Coast
5uard. Army Corps of 0ngineers. 1<#'. etc.+
2+2 (E3!E: %!ME) ,'( MA! ',,!CE (E3!E:)
&any of the #rogram and #ro2ect &anagement *##&+ documents and other issuances
stress the importance of including ade"uate re$ie- times in pro2ect schedules for
!egional (unctional )nit re$ie-ers. !egional Quality Control )nit re$ie-s. &ain 'ffice
re$ie-s. and outside agency re$ie-s.
##& procedures re"uire that re$ie- times be mutually agreed to by the 2ob manager
and the re$ie-ers. A 2ob manager should not establish the re$ie- times for a pro2ect
unilaterally nor reduce agreed to re$ie- times -ithout agreement by the re$ie-er*s+. 6t
is recommended that early re$ie-er in$ol$ement in the pro2ect de$elopment process be
maintained. Concurrent re$ie-s -ith the &ain 'ffice and outside agencies *especially
(<;A+ may be desirable for some pro2ects and can reduce re$ie- times.
)nder normal -orkload and for normal pro2ects. the 2ob manager should allo- t-o to
four -eeks from date of receipt for &ain 'ffice re$ie- based on the pro2ect type and
complexity. Acti$ities that re"uire re$ie-s include the transmittal of reports. plans. etc.
for appro$al by the (ederal <igh-ay Administration *(<;A+. and design appro$al
re"uest memos to the Chief 0ngineer.
!e$ie- times for complex pro2ects -ill be longer. the designer should contact the &ain
'ffice =iaison to establish appropriate re$ie- time.
2+4 CA%E0'(!E) ', (E3!E: C'MME%)
!e$ie- comments -ill be categori3ed under one of the follo-ing t-o categories
8.4.4 Major Comments
&a2or comments concern issues of non,conformance -ith Department or (ederal
policies. procedures. standards. rules and regulations including -hether supporting
explanations are ade"uate.
0ach ma2or comment -ill be presented in a manner that ensures the follo-ing
4H
APPED!" 12 December 2004
Quality Control and Quality Assurance
The non,conformance issue is clearly described and the likely conse"uences are
identified. if not ob$ious.
The applicable policy. regulation. procedure. or standard is identified. if
necessary for clarification.
A recommended approach to resol$ing the non,conformance issue is presented.
6f this recommendation to the !egional Director includes putting further
processing of the pro2ect on hold until the comment is resol$ed. the re$ie-er
must pro$ide a substanti$e reason for belie$ing that a change to the report or
plans must be made before proceeding to the next step in the design process. or
before sending a re"uest for action and%or appro$al to the appro$ing authority for
a particular pro2ect.
8.4.2 Comments and (ecommendations 5or Project !mprovement
Comments and recommendations for pro2ect impro$ement are intended to impro$e the
"uality of the pro2ect and its documentation
2+7 C'MME% (E)'$#%!' AD (EQ#!(ED D'C#ME%A%!'
8.9.4 Major Comments
The !egion is expected to address the ma2or comment by modifying the -ork or
other-ise explaining the issue in the pro2ect record. and pro$iding a disposition of
comments memo to the re$ie-ers for information. The &ain 'ffice =iaison for the
pro2ect should recei$e a copy of the comments resolutions.
0$ery attempt should be made to resol$e issues at the lo-est possible le$el.
<o-e$er. it is the responsibility of the !egional Director to ensure "uality of their
pro2ects. #ro2ects must be progressed using good pro2ect management
techni"ues. As such. the cost. schedule and "uality of e$ery pro2ect must be
continually monitored and assessed.
8.9.2 Comments and (ecommendations 5or Project !mprovement
1ince comments and recommendations for pro2ect impro$ement are usually items of
engineering and professional 2udgments more than policy matters. the !egion decides
ho- to re$ise the design or report to reflect the re$ie- comments.
The dispositions of the comments should be included in the pro2ect file and a copy sent
to re$ie-ers for their information at the !egionIs discretion. Comments resolutions
should in$ol$e discussions -ith the re$ie-er to clarify and resol$e the issues and
concerns.
20
December 2004 APPED!" 12
Quality Control and Quality Assurance
2+9 (E3!)ED )#1M!))!')
All ma2or comments need to be formally disposed of for the record. e$en -hen the
Design Appro$al Document has been re$ised. 0ither one of the follo-ing guidelines
should be used to streamline and simplify the re$ised submission process
#ro$ide a memo listing the comments and explaining corresponding resolution.
1ubmit a re$ised document -ith the changes highlighted. <ighlight re$ised text.
use a different font. or use $ertical bars in the margins. The transmittal memo
should explain ho- to interpret the changes.
Nob managers should submit one re$ised copy to each in$ol$ed &ain 'ffice )nit.
;hen (<;A is in$ol$ed. an additional re$ised copy should be sent to the &ain
'ffice liaison for submittal to (<;A.
24