FTA Quality Management Systems Update

1. FTA Quality Management Systems Update Presented by: Dale Wegner – Moderator William T. Thomsen, PE Andrew G. Royston, PE Edwin J. Williamson, PE Mathew E. Trzepacz, PE, PhD 2019 Capital Project Management Workshop

2. Agenda • FTA Guidelines Update - William T. Thomsen, PE • OP-24 LACMTA Examples - Andrew G. Royston, PE • ESA/SAS - Edwin J. Williamson, PE • Dulles Corridor- Mathew E. Trzepacz, PE, PhD 2019 Capital Project Management Workshop

3. FTA Quality Management Systems Guidelines Presented by: William T. Thomsen, PE 2019 Capital Project Management Workshop

4. Background – FTA Quality Guidelines • MARCH 1992 –ORIGINAL QA/QC GUIDELINES ISSUED • Contained 15 elements modeled after ISO 9000:1987 that contained 20 elements • 2002 –QA/QC Guidelines Revision • Contained Same 15 Elements • 2012 –QMS Guidelines Revision • Contained same 15 elements • Changed title to Quality Management System Guidelines • Added Appendix for Operations and Maintenance • Added a team of transit quality managers and other quality professionals 2019 Capital Project Management Workshop

5. Background – NTI Quality Course • 2002-NTI’s QA and QC in transit projects course developed by Urban Engineers in 2002 • Based on revised February 2002 FTA QA/QC Guidelines • Focused on design and construction • Rolled out in February 2003 • Revised in 2010 to incorporate ISO 9001:2000/2008 • Added four modules – construction, vehicles, operations and maintenance • Revised in 2016 to incorporate ISO 9001:2015 • Through March 2019 Urban has taught 55 courses 2019 Capital Project Management Workshop

6. NTI 2016 Course Update • NTI COURSE UPDATED IN 2016 BY URBAN • Risk management emphasized throughout course • Management commitment to quality highlighted • Some case studies and exercises revised/added • Relates FTA’s 15 elements to ISO 9001:2015 2019 Capital Project Management Workshop

7. FTA 15 Elements 2019 Capital Project Management Workshop

8. 2015 Guidelines Team • 19 Members • 13 team members from 2012 • 10 Transit Quality Managers/Directors • Boston, New York City, Baltimore, Charlotte, Miami, Denver, Seattle, Portland, San Francisco, and Los Angeles • 7 team members from 2012, highlighted above • 9 other participants 2019 Capital Project Management Workshop

9. Team Members 2019 Capital Project Management Workshop

10. Guidelines Team • Each member assigned one of the 15 elements to review and update • Team members reviewed draft prior to submittal to FTA • Transit quality managers encouraged to submit revised procedures and case studies • BART and CATS quality managers revised Appendix B – “Quality in Transit Operations and Maintenance” 2019 Capital Project Management Workshop

11. Chapter 1 “Introduction” Highlights • Emphasized risk management • Highlighted management commitment • Updated quality definitions • Placed more emphasis on root cause analysis • Added more project related tools • Added details on subcontractor quality plans • Included additional examples of quality costs 2019 Capital Project Management Workshop

12. Chapter 2 “Essential Elements of Quality Management System” Highlights • Included information about ISO 9000:2015 and updated a table showing the relationship to FTA’s 15 elements • Placed additional focus on both internal and external organizational context (including stakeholders) • Emphasized quality objectives, continual improvement, document control, and control of subcontractors throughout 2019 Capital Project Management Workshop

13. Chapter 3 “Organization of a Quality Management System” Highlights • Included an overview of the use of independent assurance programs • Updated section on test lab accreditation • Updated section on software quality assurance 2019 Capital Project Management Workshop

14. Chapter 4 “Developing a Project Quality Plan” Highlights • Encouraged project-specific quality objectives • Encouraged quality plans to be submitted with proposals/bids • Stressed that the Project Manager (PM) is ultimately responsible for the quality plan 2019 Capital Project Management Workshop

15. OP24 – Quality Assurance/Quality Control Review Presented by: Andrew G. Royston, PE

16. Contractor Scope of Work • PMOC shall review the Adequacy and soundness of the project sponsor’s QA/QC Program Plan • Request for Entry into Engineering • Request for Receipt of FFGA or SSGA • At FTA Request • OP 24 contains milestones for desired outcomes and expected completion of elements within QA/QC Program Plan 2019 Capital Project Management Workshop

17. Contractor Scope of Work • PMOC responsible for evaluation of: • Quality Assurance: • Quality Management activities • Capability of establishing quality systems • Identification of Quality problems • Provision of solutions • Quality Control: • Implementation of Quality Management activities • Documentation of Implementation 2019 Capital Project Management Workshop

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20. LACMTA • Regional Connector Project • 1.8 mile light rail line • Three underground stations: Little Tokyo/Arts District, Historic Broadway, and Grand Ave Arts/Bunker Hill • Connecting Existing Metro Blue, Gold and Expo Lines • Provides one seat ride from Azuza via the Gold Line to either Santa Monica (expo line) or Long Beach (Blue Line) through downtown Los Angeles, essentially connecting Union Station to 7th Street/Metro Center • Westside Purple Line Extension (WPLE) section 1 project • Initial 3.9-mile portion of a 9-mile, dual-track, underground heavy rail transit extension of the existing Metro Rail Purple Line • Three new stations: Wilshire/La Brea, Wilshire/Fairfax and Wilshire/La Cienega • East-West travel corridor from the current terminus at the Wilshire/Western Station in the Koreatown neighborhood (west of downtown Los Angeles) ending just within the City of Beverly Hills 2019 Capital Project Management Workshop

21. LACMTA-Urban Engineers Oversight • Urban has been providing recurring oversight for the Regional Connector and Westside Purple Line Extension projects in Los Angeles since 2014. • Urban monitors Quality issues via weekly review of open nonconformance reports and site visits • Urban reviews updated Project Management Plans (PMP) following the guidance of OP-20 including quality plans • Both projects utilize a program-wide Quality Management Program Manual and Quality Management Plan (QMP). 2019 Capital Project Management Workshop

22. LACMTA-OP24 Review • The PMOC suggested, and FTA Region IX concurred, that as a result of PMP reviews, a detailed QA/QC review based on OP-24 would be beneficial to the projects and the Project Sponsor • The purpose of the OP-24 review was to ascertain whether the Project Sponsor’s procedures and activities support their organization and the Regional Connector and WPLE Section 1 projects with respect to project quality objectives • The PMOC’s OP-24 review included: • Review of the Project Sponsor’s existing QMPM, QPM and supporting documents • Interviews with LACMTA’s Program-wide Quality Management as well as project staff and the respective QA/QC representative on each project • The PMOC evaluated whether the Project Sponsor has assigned qualified personnel, independent of those having direct responsibility for the work being performed  2019 Capital Project Management Workshop

23. LACMTA – OP24 Conclusions, Recommendations and Resolution • The PMOC identified 15 conclusions and recommendations including that LACMTA: • Consider updating several of their Quality documents to reflect consistency between the program procedures based on ambiguities identified in the QMP, project staff and consultant roles and responsibilities • Consider conducting more than one audit each year • Perform regular Quality management surveillances on consultants as well as contractors • Assign a senior quality engineer to the regional connector project • Consider implementing project-specific quality plans • With FTA approval, the PMOC shared the OP-24 review report with LACMTA, which is currently under review by LACMTA’s Quality Department • LACMTA will be providing responses to the PMOC’s recommendations in the next several weeks. The PMOC will consider the responses and resolve any differences of opinion prior to issuing an amended final report to the FTA 2019 Capital Project Management Workshop

24. PMOC Quality Oversight of Project Sponsors Presented by: Edwin J. Williamson, PE 2019 Capital Project Management Workshop

25. General Confirmation that the Project Sponsor has: • Documented quality procedures and activities to support the entire organization, as well as a project based Quality Management Program (QMP) • A project quality system covering all Quality Plan Elements • Sufficient quality management capabilities and capacity • Adequately defined its quality policy and the quality responsibilities of the project team • Assigned qualified personnel, independent of those having direct responsibility for the work being performed, to be responsible the project SAY WHAT YOU DO AND DO WHAT YOU SAY 2019 Capital Project Management Workshop

26. Quality Plan Elements Confirmation that the Project Sponsor has: • Document control program • Design Control Plan within its QA/QC Program • Procurement plan • QA/QC plan for construction testing/inspection • System for use and control of test equipment • Procedures for handling non-conformances and corrective action • Procedures for conducting quality audits 2019 Capital Project Management Workshop

27. East Side Access (ESA) • Currently, Long Island Rail Road (LIRR) patrons travel to/from Penn Station on Manhattan’s west side • ESA Provides a new LIRR terminal at the existing Grand Central Terminal on the east side of Manhattan • ESA will generate an estimated 35,000 additional trips and a total of 160,000 daily trips to Grand Central Terminal • FTA FFGA executed – December 2006 • Major Construction Work – commenced 2006 • Revenue Operation Date – December 2022 • Current Estimate-at-Completion – $11.133 billion 2019 Capital Project Management Workshop

28. East Side Access (ESA) 2019 Capital Project Management Workshop

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30. Second Avenue Subway (SAS) 2019 Capital Project Management Workshop

31. Second Avenue Subway (SAS) 2019 Capital Project Management Workshop

32. Second Avenue Subway (SAS) – Phase 1 Phase One opened on Jan. 1, 2017 at a total cost of $4.550 billion and includes: • Tunnels from 105th Street and Second Avenue to 63rd Street • Three new stations – 72nd, 86th, and 96th Streets • Extensive modifications to the existing Lexington Av/63rd St Station • Existing service carries nearly 200,000 weekday riders • Includes a reroute, connection, and extension of the existing Q train service in Manhattan from Second Avenue through the 63rd Street tunnel to existing tracks for service to West Midtown and Brooklyn 2019 Capital Project Management Workshop

33. ESA and SAS Quality Organization • MTACC Chief OF Quality, System certification and Site Security • One deputy • East side access quality manager • Six quality contract managers • Second avenue subway quality manager • Four quality contract managers 2019 Capital Project Management Workshop

34. Examples of Corrective Action • Revising a specification, drawing, and/or procedure • Issuing a new document to provide instructions • Modifying or procuring new equipment, fixtures, or tooling • Changing a process • Incorporating additional inspections or tests • Training the individual that caused the nonconformance 2019 Capital Project Management Workshop

35. Audit Findings When PMOC Performs Audits • Nonconformance: a lack of conformance to the specifications requiring a Non-Conformance Report (NCR) • Observation: indicates that the specification is met, but continuing as-is could result in a future nonconformance or lack of satisfactory project quality • Opportunity For Improvement (OFI): a finding that meets the specification, but the auditors believe that a change would positively affect quality • Best Practice: performance that goes above and beyond the specification and may be beneficial if implemented in other projects and/or areas, or is otherwise noteworthy. 2019 Capital Project Management Workshop

36. Sample Audit Action Item List 2019 Capital Project Management Workshop

37. Meetings/Observations/Reports • PMOC Attendance at selected project sponsor meetings • PMOC Observation of project sponsor audits • Preparation of trip reports and forward to the FTA 2019 Capital Project Management Workshop

38. PMOC Attendance at Selected Project Sponsor Meetings 2019 Capital Project Management Workshop

39. Closeout Audits • Closeout Binder • Record As-Builts • Owner Controlled Insurance Program (OCIP) • Nonconformance Reports (NCRs) • Training • Code Compliance Unit (CCU) • Contract Modifications (MODS) • Systems Safety Certification • Substantial Completion • Metro-North Railroad (MNR):Submittals • Open Items List 2019 Capital Project Management Workshop

40. PMOC Observation of Project Sponsor Audits 2019 Capital Project Management Workshop

41. PMOC Observation of Project Sponsor Audits 2019 Capital Project Management Workshop

42. Dulles Corridor Metrorail Project Phase 2 Presented by: Mathew E. Trzepacz, PE, PhD 2019 Capital Project Management Workshop

43. Dulles Corridor Metrorail • Construction Managed by the Metropolitan Washington Airports Authority (MWAA) • Washington Metropolitan Area Transit Authority (WMATA)will be the operator 2019 Capital Project Management Workshop

44. Dulles Corridor Metrorail 2019 Capital Project Management Workshop

45. Dulles Corridor Metrorail • Concrete Quality Issues • Precast Florida I Beam Girders • Camber in Crossover Intermediate Ties • Precast Panels in Yard Buildings • Precast Panels in Stations 2019 Capital Project Management Workshop

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