MASSACHUSETTS BAY TRANSPORTATION AUTHORITY

QUALITY ASSURANCE PLAN

REVISION 2
September, 2009

TABLE OF CONTENTS
TABLE OF CONTENTS .. i
MISSION STATEMENT AND PLAN APPROVAL .. iii
1.0

MANAGEMENT RESPONSIBILITY .. 1

FIGURE 1 MBTA DESIGN & CONSTRUCTION ORGANIZATION5

FIGURE 2 MBTA QUALITY ASSURANCE ORGANIZATION ..6
FIGURE 3 QA PLAN DOCUMENT PRECEDENCE 7
2.0

DOCUMENTED QUALITY MANAGEMENT SYSTEM . 8

3.0

DESIGN CONTROL .. 10

4.0

DOCUMENT CONTROL ..... 12

5.0

PURCHASING ... 14

6.0

PRODUCT IDENTIFICATION AND TRACEABILITY... 16

7.0

PROCESS CONTROL .. 18

8.0

INSPECTION AND TESTING... 19

9.0

INSPECTION, MEASURING AND TEST EQUIPMENT .... 21

10.0 INSPECTION AND TEST STATUS .. 22

11.0 NONCONFORMANCE . 23
12.0 CORRECTIVE ACTION 25
13.0 QUALITY RECORDS .. 26
14.0 QUALITY AUDITS ... 28
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15.0 TRAINING .. 30

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Massachusetts Bay Transportation Authority

Quality Assurance Plan
Mission Statement
The Massachusetts Bay Transportation Authority (MBTA) is committed to
the implementation of a Quality Assurance Plan (QAP) that meets the
requirements of the U.S. Department of Transportation Quality
Assurance/Quality Control Guidelines, FTA-MA-IT-90-5001-02.1. This
plan is applied to each and every transit system project and covers all capital
contract work from development of specifications through project
completion. The plan ensures compliance with all requisite contract
documents, codes and standards during the design, installation and test
phases of the project. It ensures that completion of the consultants and
contractors work are verified and documented in accordance with the
Project Quality Assurance Plan and that the contracts lead to safe, on-time
and cost effective transit service.
The plan will ensure that designs are in accordance with engineering
requirements. Following the plan will allow for early detection and
correction of potential problems, minimize costs and prevent delays. It will
also set standards for testing equipment during development, manufacturing
and installation. The plan includes a uniform system of documentation that
allows easy access for audit and evaluation of adherence to the plan for
specific project(s).
The plan is integral to the MBTA commitment to improve efficiency, quality,
service and management system wide. The plan is critical to the
development of a management environment that produces excellence and
accountability. Use and implementation of this Quality Assurance Plan will
enable the MBTA to meet the present and future transportation needs of the
Commonwealth.
_________________________________
Richard A. Davey
General Manager
______________________________
Date

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1.0 MANAGEMENT RESPONSIBILITY

1.1 The MBTA management team is responsible for establishing and
demonstrating commitment to the MBTA Quality Policy as stated in the
Mission Statement. The MBTA management team is charged with ensuring
that the Quality Policy is understood, implemented and maintained
throughout all appropriate levels of Design & Construction and other
Departments that participate in project activities.
1.2 This QAP provides specific requirements for program
implementation, including the assignment of primary responsibility for
implementation.
1.3 It is the policy of the MBTA that projects that are the responsibility of
Design and Construction shall be planned, designed and constructed with the
highest regard for quality. The Project Quality Assurance Plan (PQAP)
submitted to the MBTA for projects by contractors, subcontractors,
consultants and sub-consultants, shall meet the mandates outlined in the
contract documents and be executed independently of cost and schedule
project functions. In accordance with FTAs Quality Assurance and Quality
Control Guidelines, February 2002 these PQAPs will be required to specify
quality-related activities and assign responsibilities for ensuring that the
activities are performed properly and achieve the stated level of quality.
1.4 Consultants and Contractors are required by contract to develop and
implement a PQAP tailored to their scope of work. The PQAPs shall
provide for implementation of administrative and control measures during
engineering and design, construction, testing, and start-up as appropriate.
The administrative and control measures shall be prepared and implemented
in such a manner as to contribute to and document the attainment of a safe,
reliable, and economical transit system. PQAPs from Contractors,
subcontractors, consultants and sub-consultants above will outline specific
requirements for individual activities.
1.5 The following MBTA project management team members are
responsible for ensuring or controlling quality on projects.
A. The Acting General Manager guided by Administration goals and
Board of Directors policy, directs the Massachusetts Bay Transportation
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Authoritys daily operations and administrative functions, and charts the

Authoritys long-term strategy. The Acting General Managers office
establishes management policies and practices and sets standards of
excellence. The Office of the Acting General Manager ensures the
Authoritys accountability to the taxpayers of the Commonwealth. The
Acting General Manager directs the Authoritys support of the
Commonwealths environmental, legislative, and economic agendas. In
addition, the Acting General Manager has the responsibility to assure the
development, establishment, implementation, maintenance, and
evaluation of this QAP for the MBTA. The Acting General Manager has
delegated this responsibility to the Assistant General Manager of Design
& Construction.
B. The Assistant General Manager for Design and Construction (AGM
for D & C) has the ultimate responsibility for establishment and
execution of the MBTA Quality Assurance Plan. The AGM is also
responsible for coordinating and contracting design and construction
activities. The AGM has the final decision on quality conflicts brought to
his attention by the Deputy Directors of Design & Construction.
C. The Director of Design reports to the AGM for D&C and oversees the
design of all MBTA projects. This position is currently vacant.
Responsibility for these tasks has been temporarily delegated to the
Deputy Director of Design.
D. The Director of Construction reports to the AGM for D&C and
oversees the construction of all MBTA construction contracts.
E. The Director of Design & Construction Silverline reports to the
AGM for D&C and oversees all Silverline design and construction
contracts and performs other administrative duties within Design &
Construction.
F. The Director of Contract Administration governs the Authoritys
solicitation, award and administration of architect-engineer contracts, and
coordinates the award of construction contracts.
G. The Director of Materials governs the Authoritys procurement of
goods and services through public advertising and competitive bidding.
The Director of Materials reports to the MBTA Chief Operating Officer.
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H. The Directors of Interfacing Organizations are responsible for

providing various project functions and report to the AGM for Design &
Construction for their project activities e. g. Director of Operation,
Director Systemwide Maintenance and Improvements, Director of
Planning, etc. In these instances the Directors are required to adhere to
the requirements of this QA Plan.
I. The Deputy Director of Administration & Finance reports to the AGM
and maintains a staff including budget analysts who provide services
relating to project budgeting, finance, contract modifications and day-today payments.
J. The Deputy Director of Design reports to the Director of Design and
oversees the design of all MBTA projects.
K. The Deputy Directors of Design and Construction report
administratively to the AGM for D & C. The Deputy Directors have
overall responsibility for the design and/or construction of each project
assigned to his/her staff Project Managers. For project execution the
Deputy Directors report to the Director of Design and/or Director of
Construction as appropriate.
L. The Project Manager has the responsibility to oversee the day-to-day
activities of the design consultant or construction contractors. The
Project Manager reports to the Deputy Director of Design and
Construction or the Director of Silverline, as appropriate and coordinates
with the Design Department, Railroad/Subway/Bus Operations,
Engineering and Maintenance, Systemwide Maintenance and
Improvements, Contract Administration, the Real Estate Department, the
Legal Department, Environmental Department, Systemwide Accessibility
Department and outside or external regulatory agencies as appropriate to
bring the project to completion.
M. The Resident Engineer inspects the construction process and
facilitates communication between the MBTA and construction
contractors.
N. The Deputy Director of Design & Construction, Quality Assurance
reports to the AGM, who has designated the Deputy Director of QA as
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the person with the responsibility and authority to ensure that the MBTA
quality policy is implemented and maintained on projects. The Deputy
Director of Design & Construction, Quality Assurance has the necessary
freedom, to implement quality related activities in all areas of MBTA
projects; to identify quality problems; to initiate, recommend or provide
solutions to project management, and to verify implementation of
solutions. In matters related to quality on projects, the Deputy Director of
Design & Construction, Quality Assurance will have complete and ready
access to the project management team and the AGM.
1. The Deputy Director of Design & Construction, Quality Assurance is
responsible for implementation of this QAP and ensuring that
consultants and contractors submit the appropriate PQAPs to the
MBTA for review and approval.
2. The Deputy Director of Design & Construction Quality Assurance
conducts periodic reviews of the QAP and quality policy to ensure
that the program remains suitable and effective.
3. In cases where conflicts regarding quality cannot be resolved between
the Deputy Director of Design & Construction, Quality Assurance and
the Director of Design or Construction or Silverline, final resolution
will rest with the AGM.
1.6 The organization charts for the MBTA Project Management Team
(MBTA employees only) are provided in Figures 1 & 2 and reflect the
relationship of the personnel discussed above. Figure 3 depicts the
precedence levels of documents that specify quality requirements or actions.
1.7 The MBTA recognizes that the quality of the work conducted for the
Project has a direct effect on future revenue service, maintenance costs and
operating efficiency for the entire MBTA transit system. The success of the
MBTA is reliant upon quality, which is the measure that their existing
ridership and new riders using the system will determine the value of the
Massachusetts transit system. It therefore follows that the quality policies
and procedures identified in this QAP, and the PQA Plans submitted to the
MBTA, must be faithfully implemented by every Project participant.

Figure 1 MBTA Design and Construction Organizational Chart

Acting General
Manager
W. Mitchell Jr.

AGM
for D&C
F. DePaola

Director
Of Construction
E. Hunter

Deputy Directors Of
Design & Construction
James Jackson
Tom Nee, John Schwarz

Dep. Director
Of Admin &
Finance
J. Thornton

Snr/Project
Managers

Coord.
Team

Resident
Engineers

Director
Of Design
(Vacant)

Director
Of D & C.- Silverline
M. Ainsley

Dep. Director
Of Design
M. Lackner

Dep. Director
Of D&C, Quality
Assurance
J. Donovan

Managers of
Project Design

Budget Analysts

Director
Of Contract Admin.
M. Hinkle

Snr Project
Mngr (Vacant)
Project
Manager

Engineers

Legend:

Administration
Project Direction

Inspectors

Contract
Administration
Staff.

Directors
Of Interfacing MBTA
Organizations

Figure 2 MBTA Design & Construction

Quality Assurance Organization

Deputy Director Of Design &

Construction, Quality Assurance
Jack Donovan

Project Manager
Quality Assurance

Auditors
(Vacant)

Materials Testing
Engineer

Materials Testers

Snr. Quality Control

Engineer

Field Construction
Specialist

Figure 3

Level I
Quality
Commitments
and Responsibilities

Quality Assurance Plan Document Precedence

Standard
Specifications

Departmental Policy
Documents

Quality Assurance
Plan (QAP)

Level II
Quality
Task
Implementation

Level III
Quality
Actions

Project Contract
Specifications

Purchasing
Department
Procedures

Project
Management
Manual (SOPs)

Design/Engineering
Procedures

Vehicle Procurement
Procedures

Purchase Orders

Resident Engineers
Manual

Quality Assurance
Procedures

2.0 DOCUMENTED QUALITY MANAGEMENT SYSTEM

2.1 The MBTA has established a documented quality management system
for projects. This system is documented in this QAP, the Project
Management Manual-Standard Operating Procedures, the Quality Assurance
Procedures Manual and the Resident Engineers Manual. Figure 3, Quality
Assurance Plan Document Precedence contains the procedural manuals that
comprise the MBTA Quality System. In addition, consultants and contractors
and their subcontractors and suppliers, are required to establish documented
quality management systems meeting the requirements of current FTA
Quality Assurance and Quality Control Guidelines.
2.2 Written procedures and instructions will be developed for activities
affecting quality including:
Inspection
Testing
Non-Destructive Examinations
Desposition of Non-Conforming Products
Corrective Actions
Maintenance of Quality Records
Testing
Quality Audits
Training
Procedures utilized on projects will contain a statement of the purpose and
scope and will reference codes, standards, or specifications as applicable.
When developing quality procedures during the course of projects,
consideration will be given to identifying and acquiring any inspection
equipment, skills, or special quality processes needed to ensure quality
performance. Inspection and testing techniques will be kept up-to-date.
Where new techniques are being used for construction or manufacturing,
adequate time will be allowed to develop appropriate quality procedures for
the new techniques. Procedures and instructions will contain formats for the
quality records needed to ensure that the procedures and instructions are
followed and documentation requirements are understood.
2.3 Project personnel conducting oversight activities, including quality
audits and surveillance and inspection activities shall be independent of
those having direct responsibility for the activities being overviewed or
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inspected. Checking of design documents shall be conducted by individuals

that are qualified and experienced and are capable of conducting such design
work.

3.0 DESIGN CONTROL

3.1 The MBTA provides design direction to the consultant. The
consultant has been contracted by the MBTA for the technical adequacy of
the design work. The consultant in conjunction with their sub-consultants
will direct day-to-day efforts in the conduct of their design work and have
the primary responsibility for design control during the design process. The
Consultant will establish and maintain procedures that meet the current
requirements of the FTA Quality Assurance and Quality Control Guidelines
for design control in order to ensure that the design criteria and other design
input document requirements are met by the output documents. Within 30
days of Notice To Proceed, the consultant will submit their Project Quality
Assurance Plan to the MBTA identifying who has responsibility for the
different design tasks including design verification activities. The QA Plans
will also identify the various organizational interfaces required between
various design disciplines and sub-consultants producing and commenting
on the design. QA Plans will address design interfaces with MBTA
operational and maintenance departments. Design verification activities will
include the independent checks of design calculations, specifications,
drawings, and contract documents, conducting and documenting design
reviews. If appropriate, carrying out of alternative calculations, undertaking
qualification tests and demonstrating or comparing the design with a similar
proven design, if available will be used to verify the design. Design reviews
include reviews for constructability, operability, and maintainability.
3.2 Designs will be based upon MBTA design criteria and standards,
incorporate local jurisdiction requirements and criteria to safeguard
functional operations as detailed in the scope of work contained in the
Contract Documents. The MBTA will provide Consultants, as appropriate,
with MBTA design input requirements. MBTA supplied design input
documents will be reviewed by the MBTA and any ambiguities in the
documents will be resolved between the MBTA and the consultant.
3.3 The MBTA will conduct reviews of all design output documents
received from the consultant. In addition, the MBTA will approve key
consultant personnel, including QA personnel, staff levels, qualifications of
specialty design subcontractors, the consultant PQAP and conduct quality
audit reviews. The MBTA maintains procedures for conducting design
reviews of consultant output design documents and for other MBTA
oversight activities. The review procedures will ensure that consultant
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design output documents are reviewed by appropriate personnel from MBTA

Design & Construction, Quality Assurance, Operations, Maintenance and
other MBTA Departments, as necessary.
3.4 If the MBTA determines that the proposed design does not meet the
general requirements of the design input documents the MBTA will resolve
these issues during the design review process. If there is a compelling
reason to deviate from the design input documents, then the MBTA shall
document any deviation. A request to deviate will be prepared outlining the
deviation, its justifications, proposed effects, and resulting impact if not
granted. The Project Manager will recommend a modification to the design
input documents to the Deputy Director and AGM.
3.5
Specifications and drawings will be prepared following a standard
format. Specifications will identify each Section and paragraph by number.
Complete drawing lists will be established and the total number of drawings,
the titles of the drawings, the revision status, and the dates the drawings
were approved will be recorded. Changes to approved drawings and
specifications will be reviewed by the same departments and organizations
that reviewed the original design.
3.6 Contract specifications will require as-built drawings to be prepared at
project close-out as part of the final design documentation.

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4.0 DOCUMENT CONTROL

4.1 The MBTA has established project procedures for control of MBTA
project documents that ensure that all relevant documents are current and
available to all users who require them. In addition, MBTA consultants,
contractors and their subcontractors and suppliers, are required to establish
and maintain procedures that describe their methods to control documents on
the project.
4.2 Project document control procedures address the requirements for the
review and approval of documents by authorized personnel, the distribution
and storage of these documents, the elimination of obsolete documents to
prevent inadvertent use, and the control of changes to the documents. Copies
of documents are required to be available at the locations that need them for
the effective functioning of the quality management system and obsolete
documents that exist in hard copy are required to be promptly eliminated
from each work location. Hard copy superseded documents retained for the
record at work locations must be clearly identified as such. Unless otherwise
specifically authorized by governing procedures, changes to documents are
to be reviewed and approved by the same authorized personnel who
reviewed and approved the originals. When the design needs to be adjusted
during construction, the required documentation needs to be issued,
approved and recorded. Changes to documents are required to be promptly
distributed to work locations and lists of documents made available that
enumerates the current revision levels of documents.
4.3

Project documents requiring control include but are not limited to:
MBTA Quality Assurance Plan
Project Management Plan
Contracts, Subcontracts, Purchase Orders and changes
Project QA Plans
Project procedures (Including inspection & testing procedures)
Project correspondence
Project Implementation Plans, if used
Project Procurement Plan, if used
Design criteria and associated standards and specifications and
changes
Drawings

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Specifications
Calculations
Design Change Requests
Non-Conformance Reports
Requests for Information.

4.4 Documents will be logged, indexed, and maintained in file cabinets with
access restricted to authorized personnel. Documents will be protected from
deterioration during storage and fire protection will be afforded to important
documents. Electronic files will be indexed and access controlled.

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5.0 PURCHASING
5.1 The majority of purchasing for projects is performed by contractors and
consultants. For MBTA supplied materials and Contracts, the MBTA has
established procedures for the control of MBTA purchasing activities.
Consultants and contractors establish purchasing procedures to cover their
activities and assure that their sub-consultants and suppliers maintain QA
Plans for project activities. The MBTA performs quality audits and
surveillance inspections for monitoring the performance of consultants and
contractors to assure that purchasing documents are reviewed by appropriate
personnel and include appropriate quality requirements.
5.2 The Contract Administration Department performs the following
activities on MBTA projects for Professional Service Contracts and
Construction Contracts:
A. Selects and awards contracts for consultants to provide professional
services contracts
B. Advertises and awards construction contracts
C. Reviews consultant contract amendments and construction change
Orders.
5.3 The Materials Department performs the following activities when
procurements are made by the MBTA on a project:
A. Procures materials and services for MBTA Design and Construction
projects when requested
B. Utilizes bidding methods including competitive bidding, competitive
negotiations and two-phase procurement
C. Recommends award of materials and services contracts.
5.4 Purchasing procedures utilized by the MBTA, contractors, consultants
and subcontractors will address the following requirements:

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A. Documented lists of acceptable suppliers and contractors will be

established for the desired service or product, consistent with

applicable procurement requirements. Selection of suppliers and
contractors will be based upon their ability to meet contract
requirements, including quality requirements.
B. The level of quality requirements applied to consultants, contractors,
and subcontractors will be based upon the complexity and importance
of the service or product being supplied.
C. The contract or purchase document will clearly specify the
expectations of the purchaser, including relevant standards, drawings,
specifications, process requirements, inspection instructions, and
approval criteria for materials, processes and product. Purchasing
documents are reviewed and approved by a designated contractor or
consultant authority for adequacy of specified requirements, including
quality requirements, prior to release. The purchaser of services or
product will ensure that the supplier fully understands the contract,
agrees with the contract, and has the capacity to perform as required.
D. The contract or purchase agreement will specify the right of the
MBTA or their representative and the purchaser to carry out reviews,
examination, audit, or inspection and test of the work at the location
of the work.
E. Upon receipt, material will be inspected to verify that the work or
product meets requirements. Such provisions will not absolve the
supplier of the responsibility to provide acceptable work or product
nor will these provisions preclude subsequent rejection.
F. Where special equipment procurement is involved, the purchaser will
define, as appropriate, the means and methods for handling, storage,
packaging, and delivery of product. Otherwise the product will be
shipped, handled and stored as recommended by the manufacturer.
The purchaser will establish procedures to receive, inspect, store, and
maintain equipment procured as specified. Any equipment that is
damaged or is otherwise unsuited for use will be documented and
reported to the supplier.

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6.0 PRODUCT IDENTIFICATION AND TRACEABILITY

6.1 MBTA, contractors and subcontractors and suppliers, shall address
product identification and traceability requirements in their PQAPs and
procedures. Traceability means that items are traceable to a particular
project, specific warranty, test report, or supplier; point in time, purchase
order, or through production. Raw materials will be traceable back to a
particular batch number, shipment number, packing slip, or invoice and will
be accompanied by applicable test data sheets and material certifications, if
applicable.
6.2 These PQAPs, procedures, work instructions and monitoring
information will require the identification and control of items of production
(batch, materials, parts, and components) to prevent the use of incorrect
items and to ensure that only correct and acceptable items are used and
installed.
6.3 Materials and equipment requiring traceability to its origins for
purpose of laboratory analysis, etc. will be uniquely identified and tracked to
assure that acceptable materials are installed in the appropriate end use.
These items will be traceable to heat, lot or batch or laboratory analysis.
Examples of items requiring traceability up to installation include but are not
limited to:
Structural Steel
Welding consumables up to installation (Weld rod and wire, inserts,
backing rings etc.)
rebar
paint
raw materials requiring laboratory analysis
6.4 Physical identification and control will be used as required by the
specifications and drawings such as bar codes, model or serial numbers, etc.
Markings and other means of identification will be approved by the
Authority. For items where physical identification is not stated or is
impractical, physical separation, procedural control, or other appropriate
means will be employed. Items that fail to possess identification, or items for
which record traceability has been lost, or items that do not conform to
requirements will be separated if practicable, or identified by other means, to
prevent use or installation. Items will be required to be identified by how
16

they are marked or where they are located. Store room or inventory tracking
procedures will allow items to be traceable back to a particular order
number, batch number, date received, test lot, or other pertinent source.

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7.0 PROCESS CONTROL

7.1 The MBTA will identify and plan the production and installation
processes that directly affect quality and assure these processes are
performed under controlled conditions. Special processes, the results of
which cannot be verified by subsequent inspection and testing of the
product, should be continuously monitored.
7.2

Project process control procedures and work instructions will:

A. Specify actions or controls where needed to ensure quality. Actions or
controls will address use of suitable production and installation
equipment, a suitable work environment, personnel qualifications, and
conformance with referenced standards/codes and Quality Plans.
B. Require monitoring and control of processes and product
characteristics during production and installation.
C. Require continuous monitoring during the conduct of special
processes and/or describe additional controls, such as personnel
testing and qualification and process testing and qualification. Special
processes include but are not limited to processes such as welding,
nondestructive examination, painting and heat treatment, etc.
D. Ensure that work processes are performed in the proper sequence.

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8.0 INSPECTION AND TESTING

8.1 MBTA requires contractors and subcontractors, who purchase
equipment, perform manufacturing and/or construction, perform installation
of equipment, and/or perform testing to develop quality plans and inspection
and test procedures. Contract documents will identify mandatory
inspections and tests. The project will identify hold and notification
points to contractors, subcontractors and suppliers. Inspections and tests
will be performed by qualified individuals and the results reported and
documented.
8.2 Personnel performing inspections and tests on the project shall be
independent of those having direct responsibility for the construction or
installation of the items being inspected or tested.
8.3 Test laboratories that are utilized on projects to conduct testing such
as soil testing, aggregate testing, concrete testing, welding inspection &
testing, nondestructive examinations, and calibration of measuring and test
equipment and any special requirements by the MBTA will be qualified to
perform the activity in accordance with the governing codes & standards and
jurisdictions.
8.4 Quality plans and related inspection and test procedures will address
requirements for in-process and final inspection during production,
installation and testing activities.
A. Procedures will address requirements for the conduct of in-process
inspection and tests to verify conformance of items or work activities
to specified requirements. Both inspection and process monitoring
methods will be performed, as necessary, to ensure that the specified
requirements for control of work processes and the quality of the item
are achieved throughout the duration of the work.
D. Quality plans and procedures will address requirements for final
inspection and test that will ensure that all specified inspections and
tests have been satisfactorily completed and documented.
8.5 Quality plans and procedures will address requirements for
documentation of inspections and tests with records that show clearly
whether the product has passed or failed the inspections or tests in
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accordance with defined acceptance criteria. Where the product fails to pass
inspections or tests, nonconformance control procedures, as addressed in
Section 11.0 of this QAP, shall apply.
8.6 Quality plans or inspection and test procedures will make provisions
for the MBTA to identify important inspection and test activities that they or
their representative may observe. MBTA or their representative will classify
each inspection or test activity identified for possible observation as either a
hold point or a notification point. Notification of these activities will be
made to the MBTA or their representative in advance of the activity in an
agreed upon time frame. Inspection and test activities identified as hold
points shall not be conducted until the MBTA or their representative is
present unless the MBTA or their representative has formally waived the
hold point in writing. Assignment of Hold Points will consider, as
appropriate:

Items or work affecting quality

Items that affect system reliability

Items affecting service life

Long lead items or custom manufactured items

High visibility items

Items that affect ADA compliance

Inspection and test activities identified as notification points may be
performed as scheduled, with or without the presence of the MBTA or their
representative, provided that notification has been made in the agreed upon
time frame.

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9.0 INSPECTION, MEASURING, AND TEST EQUIPMENT

9.1 The MBTA and its contractors and their suppliers and subcontractors,
who use inspection, measuring, and test equipment to carry out inspection
and testing on projects will establish procedures that ensure that this
equipment is identified, controlled, calibrated, and maintained in order to
demonstrate the conformance of work to specified requirements. Procedures
will meet the requirements of ISO/DIS 10112. If statistical tracking is
required procedures will comply with Part II of the standard.
9.2 Inspection, measuring, and test equipment control procedures will
address the following requirements:
A. Inspection, measuring, and test equipment that is selected for use must
be capable of the necessary accuracy and precision.
B. Inspection, measuring, and test equipment whose use can affect
product quality shall be identified. This equipment will be calibrated
at prescribed intervals or prior to use, against equipment having a
valid relationship to national standards. If no national standards exist,
the basis of calibration shall be documented. Procedures or
instructions for performing the calibrations will be established and
used and records of calibration results maintained.
C. Inspection, measuring, and test equipment will be identified with a
suitable indicator or approved identification record to show the
calibration status.
D. Inspection, measuring, and test equipment will be properly maintained
to ensure its fitness for use. Suitable environmental conditions shall be
maintained when the equipment is in use. When inspection,
measuring, and test equipment is found to be out of calibration, the
validity of previous inspection and test results shall be assessed and
documented.
E. Where test software or test hardware is used for inspection, this
software or hardware will be checked to prove it is capable of
verifying the acceptability of a product prior to its use and shall be
periodically rechecked at proscribed intervals.
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10.0 INSPECTION AND TEST STATUS

10.1 Consultants will establish processes and procedures to assure design
documents are reviewed at appropriate intervals and their status is
maintained throughout the design development process.
10.2 Prior to production and/or installation MBTA contractors,
subcontractors and their suppliers will establish processes and procedures
that identify the inspection and test status of work during production and
installation.
10.3 Test and inspection status will be identified by means of markings,
stamps, tags, labels, routing cards, inspection records, test software, physical
location, or other suitable means. Status indicators will indicate the
conformance or nonconformance with regard to the inspections and tests
performed.
10.4 Construction progress and status is documented in Contractor
Inspection Reports, MBTA Inspection reports and Inspector diaries and in
the Resident Engineers Diary. Additionally, status is verified during the
monthly cost estimate processing system.

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11.0 NONCONFORMANCES
11.1 MBTA contractors and their suppliers and subcontractors, who
purchase equipment, perform manufacturing and/or construction, perform
installation of equipment, and/or perform testing will develop and submit
procedures for the control of nonconforming work. These procedures will be
written to ensure that nonconforming work is not inadvertently used or
installed.
The following nonconformance-related definitions apply to the Project:
Nonconformance- A discrepancy in characteristic, documentation, or
procedure that affects form, fit or function and renders the quality of
an item unacceptable or indeterminate in regard to meeting all
relevant project requirements. Examples of nonconformances include
physical defects; test failures; incorrect or inadequate documentation;
or deviation from prescribed processing, inspection, or test
procedures.
Accept-as-is - A disposition of a nonconforming item when it can be
established that the item is satisfactory for its intended use. The
Authority will establish a format for accepting compensation for
Accept-as-is dispositioned work.
Rework- A disposition of a nonconforming condition that indicates
that the deficiency can be brought into conformance with the original
requirements through re-machining, reassembly, reprocessing,
reinstallation, or completion of the required operations.
Repair - A disposition of a nonconforming condition that indicates that
an item can be made acceptable for its intended use, even though it is
not restored to a condition that meets all specification requirements.
Reject A disposition of a nonconforming condition that indicates
that the item cannot be reworked or repaired to meet specification
requirements.
11.2 Project nonconformance procedures will address the following
requirements:

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A. Nonconforming work will be identified, documented, and evaluated to

determine appropriate disposition. Nonconforming items will be
clearly identified as nonconforming and where practicable, segregated
to prevent inadvertent installation. The organization performing
activities affected by the nonconforming work will be notified.
B. The responsibility for review and disposition of nonconforming work
will be defined. Nonconformances will be dispositioned as accept-asis, rework, repair or reject. Dispositions will be documented. All
dispositions will be reviewed and approved by the responsible design
organization.
C. Reworked or repaired work will be reinspected in accordance with
established procedures.
D. The project group responsible for maintaining the status of
nonconformances will be identified.
11.3 All Nonconformances will be approved by the MBTA. Nonconformances will be documented on Authority standard non-conformance
forms.
11.4 The status of nonconformances will be maintained by the project
office.

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12.0 CORRECTIVE ACTION

12.1 The MBTA has established project procedures for identifying,
documenting, correcting, and preventing recurrence of conditions adverse to
quality. In addition, MBTA contractors and their subcontractors and
suppliers, are required to establish corrective action procedures.
12.2 Project corrective action procedures will be established for:
A. Investigating the cause of nonconforming product and taking the
corrective actions needed to prevent recurrence
B. Analyzing processes to detect and eliminate potential causes of
nonconforming product or conditions adverse to quality
C. Initiating preventive actions to deal with problems to a level
corresponding to the risks encountered
D. Ensuring that corrective actions are taken and that they are effective
D. Implementing and recording changes in procedures resulting from
corrective action.
12.3 Revised procedures prompted by corrective actions will be approved
by the appropriate Authority personnel.

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13.0 QUALITY RECORDS

13.1 The MBTA has established procedures for the accumulation and
storage of project-related quality records. In addition, MBTA contractors and
their subcontractors and suppliers, will establish and maintain procedures for
accumulation, turnover and storage of quality records.
13.2 Project quality plans and procedures related to quality records identify
which records will be kept, the responsibility for production and collection,
and responsibility for indexing, filing, storage, maintenance, and disposition
of quality records. Quality records will be maintained to show achievement
of quality objectives and appropriate functioning of the quality management
system. Each organization generating quality records will prepare a quality
records list that identifies every type of document generated as a result of
implementing the quality program. Types of quality records include but are
not limited to:
Design reviews
Drawings and specifications
Calculations
Design changes
Procurement documents
Procedures and instructions
Quality plans
Calibration records
Audit and surveillance reports
Corrective actions
Test data
Geotechnical reports
Survey reports
Inspection reports (Including Nonconformance Reports).
13.3 Quality records shall be complete, legible, specify the work involved,
and be kept in an environment to minimize deterioration and damage.
Access to quality records will be controlled to prevent alteration, damage, or
loss. Where specified by contract, quality records should be made available
to the purchaser or purchaser's representative.

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13.4 Quality records shall be maintained until the completion of projects,

in accordance with MBTA records retention policies. MBTA project quality
records are maintained by the responsible groups until the project is
completed.

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14.0 QUALITY AUDITS

14.1 To ensure that each projects quality system are functioning as
intended, the MBTA has established procedures for the conduct of internal
and external quality audits of consultant and general contractor quality
assurance programs. In addition, contractors, subcontractors, suppliers and
consultants will establish procedures that address their audit process.
14.2 Project procedures for quality audits shall address the following
requirements:
A. Audit schedules will be issued and periodically updated. Audit
frequency will depend upon the status and importance of the activity
being audited. For internal audits, each element of the applicable
quality program shall be audited at least annually.
B. Lead auditors and auditors will be qualified based on education,
experience or training and documented. The qualifications
requirements for auditors will be defined. Audits shall be carried out
by personnel independent of those having direct responsibility for the
activity being audited.
C. Audit checklists will be provided to audited organizations in advance
of each audit. Audits will be conducted using checklists prepared in
advance of the conduct of the audit and approved by the Deputy
Director of Design & Construction, Quality Assurance.
D. The results of audits shall be presented to the management of the
audited organization by the audit team at the conclusion of the audit.
This presentation will be followed by the timely issuance of a written
audit report by the audit team leader. The audit report will be issued to
the management of the audited organization and the AGM with copies
to management of other affected organizations as appropriate.
E. The management of the audited organization will correct any
deficiencies identified by the audit in a timely manner. The
organization that conducted the audit will track audit deficiencies,
report on their status, and perform corrective action audits as
necessary.

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14.3 Audit reports are provided to the Deputy Director of Design &
Construction, Quality Assurance who will check on the status audit
deficiencies on a monthly basis. Copies of audit reports are provided to the
AGM of Design & Construction, the Director of Design and/or Director of
Construction, the Director of Design & Construction Silverline, the
Deputy Director of Design & Construction, the Deputy Director of Design &
Construction, Quality Assurance and the Project Manager, as appropriate.

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15.0 TRAINING
15.1 MBTA personnel assigned to projects are trained and qualified in
accordance with the requirements of this QAP and project procedures.
Training procedures are established and ensure personnel performing
activities affecting quality are qualified on the basis of appropriate
education, experience and/or training.
15.2 The AGM ensures that all MBTA personnel that are assigned
responsibilities on projects are qualified based upon education, skills,
abilities, experience, and/or training.
15.3 Records are maintained of employee qualifications and training. It is
the responsibility of each MBTA Manager to assess the training needs for
their direct reports. A training plan will be developed as necessary that will
ensure that the direct report is properly trained to perform all work assigned
to them. The training plan must identify appropriate training needs to fill
gaps in the direct reports qualifications and abilities and the resources
required to meet the training needs.
15.4 The MBTA Project Manager shall identify the key Project-related
documents, including this QAP, the Project Management Plan if used,
MBTA procedures, etc., that his or her personnel must be familiar with or
understand and document these requirements on training matrices. Training
on these documents may be by reading assignment or classroom instruction.
All such training will be documented.
15.5 The Project Manager is responsible to ensure that key non-project
MBTA staff assigned project responsibilities are adequately trained in
project requirements as necessary.
15.6 The Project Manager shall maintain a training matrix summarizing
training courses attended by project personnel.

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