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MINNESOTA DEPARTMENT OF TRANSPORTATION

Quality Management Plan


Template
Design-Build Program

The contents of this document provide the minimum level of quality expected from the design-build
Contractor. Each Contractor shall update and modify this manual on each project. The Contractor shall
update any forms, procedures, and processes within this template to reflect the most recent standards
and provisions outlined in Book 1, Book 2, and Book 3 of the RFP.
XXXX Design-Build Project
{Contractor} S.P. XXXX
QUALITY MANAGEMENT PLAN
District: X Rev {date} 2 of 32

The information presented in this document define the Quality Management System that complies with
the project requirements. This signature page establishes the {enter team name} commitment to the
Quality Management Plan, Design Quality Plan, Construction Quality Plan, and Document Management
Plan .

, Quality Manager

, Construction Quality Manager

, Design Quality Manager

, Contractor Project Manager

, Design Manager

, Construction Manager

, Executive Management Committee

, Executive Management Committee

, Executive Management Committee

MnDOT Design-Build Quality Template (June, 2011)


XXXX Design-Build Project
{Contractor} S.P. XXXX
QUALITY MANAGEMENT PLAN
District: X Rev {date} 3 of 32

1.0 SCOPE AND EXCLUSIONS......................................................................................................... 5


1.1 General ............................................................................................................................................... 5
1.2 Project ............................................................................................................................................... 5
2.0 TERMS AND DEFINITIONS ....................................................................................................... 6
2.1 General ............................................................................................................................................... 6
2.2 Acronyms .......................................................................................................................................... 6
2.2 Definitions......................................................................................................................................... 7
3.0 QUALITY MANAGEMENT SYSTEM ..................................................................................... 15
3.1 General ............................................................................................................................................. 15
3.3 Quality Organization ........................................................................................................................ 15
3.3.1 Quality Control Organization.................................................................................................... 16
3.3.2 Quality Assurance Organization ............................................................................................... 16
3.4 Quality Manual Documentation ....................................................................................................... 19
3.4.1 General ...................................................................................................................................... 19
3.4.2 Writing Quality Procedures ...................................................................................................... 19
3.4.3 Updating and Maintaining Quality Procedures ................................................................... 20
3.5 Resource Management Training ...................................................................................................... 21
4.0 MANAGEMENT RESPONSIBILITY ....................................................................................... 22
4.1 Management Commitment .............................................................................................................. 22
4.2 Responsibility and Authority ......................................................................................................... 22
4.3 Management Review .................................................................................................................. 22
4.4 Quality Incentives (optional to contractor) ............................................................................... 23
5.0 NON-CONFORMANCES ............................................................................................................ 24
5.1 General ................................................................................................................................ 24
5.2 Roles and Responsibilities .................................................................................................. 24
5.3 Reporting, Documenting and Resolving NCR Process....................................................... 25
6.0 STOP WORK ................................................................................................................................ 27
6.1 General ........................................................................................................................................ 27
6.2 Responsibilities ........................................................................................................................... 27
6.3 Procedure .................................................................................................................................... 27
7.0 MEASUREMENT, ANALYSIS AND IMPROVEMENT......................................................... 28
7.1 General ........................................................................................................................................ 28
7.2 Monitoring and Measurement ..................................................................................................... 28
7.2.1 Quality Management System Performance ......................................................................... 28
7.2.2 Measurement and Monitoring of Design ............................................................................ 29
7.2.3 Measurement and Monitoring of Construction ................................................................... 29
7.2.4 Worker Identified Opportunity for Improvement (WI-FI) .................................................. 30
7.3 Improvement ............................................................................................................................... 30
7.3.1 General ................................................................................................................................ 30
7.3.2 Corrective and Preventative Actions ................................................................................... 30
7.4 Reporting..................................................................................................................................... 31

MnDOT Design-Build Quality Template (June, 2011)


XXXX Design-Build Project
{Contractor} S.P. XXXX
QUALITY MANAGEMENT PLAN
District: X Rev {date} 4 of 32

LIST OF FORMS

Number Title Date

QM501FA Non-Conformance Report

QM501FB Non-Conformance Report Log

QM603FA Stop Work Notification

QM603FB Stop Work Notification Log

QM720 Audit Findings

QM725 WI-FI Form


Corrective and Preventive Action Process
QM730
(CAP)
QM740FA Monthly Quality Program Report Summary
Month Quality Program Certification
QM740FB
Statement

MnDOT Design-Build Quality Template (June, 2011)


XXXX Design-Build Project
{Contractor} S.P. XXXX
QUALITY MANAGEMENT PLAN
District: X Rev {date} 5 of 32

1.0 SCOPE AND EXCLUSIONS


Rev , Date

1.1 General
This Quality Management Plan (QMP), as part of the Quality Manual (QM), contains the
general policies and specific procedures for the design- and construction-related
activities of XXXXXX. The Quality Manual, procedures, work instructions, and records
comprise the Quality Management System (QMS).

1.2 Project

This Quality Manual is written to meet the requirements of the Request for Proposals
(RFP) for the XXXXXXX Project S.P. XXXX-XX.

1.3 Scope

This Quality Manual addresses both the design- and construction-related Quality
Management System requirements of the conformed RFP. The systems defined in this
document will meet the requirements and promote a seamless, transparent interface
with MnDOT in which MnDOT staff have the opportunity to observe all deliverables for
the Project as they are developed.

This Quality Management Plan is not ISO-compliant and is not required to be so unless
deemed necessary by the Contractor.

This Quality Manual will be maintained by the Quality Manager, who will review and
update the manual at least every three months, based on the discussion and findings of
quality management meetings. The Quality Manual is considered a living document
and is subject to revision as necessary to facilitate and improve the quality process for
the Project. The Quality Manual will not be revised without prior written approval
from MnDOT.

MnDOT Design-Build Quality Template (June, 2011)


XXXX Design-Build Project
{Contractor} S.P. XXXX
QUALITY MANAGEMENT PLAN
District: X Rev {date} 6 of 32

2.0 TERMS AND DEFINITIONS


Rev , Date

2.1 General
This section provides standardized definitions for the terms used in this Quality
Management Plan. It also identifies frequently used abbreviations and acronyms.
Should any discrepancies exist; definitions set forth in the Contract will take precedence
over definitions contained in this QMP.

2.2 Acronyms
The following terms and definitions supplement the acronyms in Book 1, Exhibit A and
Book 2.

CAP Corrective or Preventive Action Plan


CAPM Critical Activity Point Manager
CD Construction Documents
COC Certificate of Compliance
CQM Construction Quality Manager
CR Constructability Review
DCR Discipline Coordination Review
DQAM Design Quality Assurance Manager
DQCM Design Quality Control Manager
DQMP Design Quality Management Plan, part of the QMP
DTM Design Task Manager
FDC Field Design Change
IAST Independent Assurance Sampling and Testing
IS Information Systems
ISO International Standards Organization
ITR Independent Technical Review
MnDOT Minnesota Department of Transportation
NCR Nonconformance Report
NDC Notice of Design Change
QAM Quality Assurance Manager
QCM Quality Control Manager
QM Quality Manual

MnDOT Design-Build Quality Template (June, 2011)


XXXX Design-Build Project
{Contractor} S.P. XXXX
QUALITY MANAGEMENT PLAN
District: X Rev {date} 7 of 32

QMP Quality Management Plan


QMS Quality Management System
QP Quality Procedure
RCF Review Comment Form
RDC Request for Document Clarification
RFC Released for Construction
RFI Request for Information
RFP Request for Proposal
RFR Request for Revision
TI Testing and Inspection Procedure
WI-FI Worker-Identified Opportunities for Improvement

2.2 Definitions
The following terms and definitions supplement the definitions in Book 1, Exhibit A and
Book 2.

Acceptance Criteria Specified limits placed on characteristics of an item, facility,


process, or service defined in codes, standards, or other
design documents.

Audit A systematic, independent and documented activity


performed in accordance with written procedures or
checklists to verify, by examination and evaluation of
objective evidence, that applicable elements of the quality
program have been developed, documented, and effectively
implemented in accordance with specified requirements. An
audit differs from surveillance or inspection activities.

Audit Finding A deficiency or discrepancy of an item, activity, or document


identified during audit and recorded on an Audit Finding
Sheet.

Auditor Any individual who conducts an audit.

Back Checker Person who reviews the Checker's comments. Except in


extraordinary circumstances, the Back Checker should be
the Originator.

MnDOT Design-Build Quality Template (June, 2011)


XXXX Design-Build Project
{Contractor} S.P. XXXX
QUALITY MANAGEMENT PLAN
District: X Rev {date} 8 of 32

Basis of Design The requirements upon which the detailed design is to be


based, provided by the Design-Build Contract.

Certificate of A document signed or otherwise authenticated by an


Compliance authorized individual or qualified party attesting that the
materials, items, or services are in accordance with
specified requirements and accompanied by additional
information to substantiate the statement.

Certification The act of determining, verifying, and attesting, in writing, to


the qualifications of personnel, processes, procedures,
materials or items in accordance with applicable
requirements.

Checker The person assigned by the Design Manager to check


documents developed by designers and drafters in a
particular discipline or section. Except in extraordinary
circumstances, the Checker should also serve as the
Verifier.

Check List A list of items required to be considered as part of a quality


procedure. Serving as documentation of completion, a
check list is a required part of the Project record.

Check Print Copy of Document Original in final format used for checking
and recording additions, deletions, and corrections.

Check Print Stamp A special stamp to be affixed on the face of document (or on
the back of the document, if room is not available in front) to
record who performed various checks and reviews and the
dates those activities were completed.

Computer Assisted Software to support engineering calculations and drawings,


Design and Drafting used to create plan sheets; in particular, GEOPAK for
(CADD) engineering calculations and MicroStation for drafting.

Construction Quality The person assigned to implement construction quality


Manager (CQM) activities and supervise the quality inspection and testing
personnel. Verifies that the construction-related work is
being properly implemented, inspected, and tested by
trained staff. This individual reports to the Executive
Management Committee.

MnDOT Design-Build Quality Template (June, 2011)


XXXX Design-Build Project
{Contractor} S.P. XXXX
QUALITY MANAGEMENT PLAN
District: X Rev {date} 9 of 32

Controlled Document Any document subject to documented control procedures to


ensure information is disseminated completely and recorded
properly. Examples of controlled documents include QMP
and plans that have been reviewed or released for
construction.

Corrective Action Measures taken to rectify conditions adverse to quality and,


where necessary, to preclude repetition or an undesirable
occurrence.

Critical Activity Point A specific point in the design or construction process at


which further activity associated with the deliverable is
suspended until formal acceptance of the interim product is
obtained. Acceptance is formally obtained when all issues
and design changes have been resolved, all materials
testing and inspection procedures have been performed and
provide passing results, and the Work meets Contract
requirements. The Critical Activity Point Manager, the
foreman in charge of the activity, and MnDOT will sign off at
the Critical Activity Point to provide formal acceptance.

Design Technical and management processes that commence with


identification of design input (requirements) and lead to and
include the issuance of design output documents that define
the characteristics (specifications) of the expected product
or process.

Design Disciplines Technical specialties within the Design Organization that


comprise the primary engineering skill areas and operations.

Designer See Engineer of Record.

Design Change A change to a drawing, specification, or other design


document that has been released for construction.

Design Directives The formal series of memoranda established to describe


and convey drawings, criteria, parameters, or other design
requirements subsequent to establishment of the original
Basis of Design.

Design Input Those criteria, parameters, basis, or other design


requirements upon which detailed design (output) is based.

MnDOT Design-Build Quality Template (June, 2011)


XXXX Design-Build Project
{Contractor} S.P. XXXX
QUALITY MANAGEMENT PLAN
District: X Rev {date} 10 of 32

Design Interface The areas of interaction between design disciplines, or


discrete design sections where one element could invalidate
another's design assumptions or affect the constructability of
the finished design.

Design Output Documents such as drawings, specifications and other


documents that define technical requirements of structures,
systems, and components.

Design Process Technical and management processes that commence with


identification of design input, and lead to and include
Released for Construction plans and specifications.

Design Quality The elements of the overall Project Quality Management


Management Plan System that address intended Quality Control and Quality
(DQMP) Assurance processes to be implemented with the design
activities.

Design Quality The person assigned to perform QA audits on all design


Assurance Manager packages before documents are submitted for review or
(DQAM) released for construction, and who oversees the Quality
Assurance program for all design operations.

Design Revision A revision to a drawing, specification or other design


document during the course of design development and
prior to the release of said documents for construction.

Design Task Manager Person responsible for all design functions, including
schedule, budget, and Design Quality Control functions,
within a specified discipline or area of expertise. The Design
Task Manager may also be the Lead Design Engineer for
any specified area or discipline.

Discipline A formal interdisciplinary review of all or a portion of a


Coordination Review design submittal.
(DCR)

MnDOT Design-Build Quality Template (June, 2011)


XXXX Design-Build Project
{Contractor} S.P. XXXX
QUALITY MANAGEMENT PLAN
District: X Rev {date} 11 of 32

Document A single drawing or a logical compilation of related


calculations, data, report text, design analyses, specification
sections, cost estimates, meeting minutes, or Project-related
correspondence that describe, define, specify, report or
certify activities, requirements, procedures, or results. The
medium can be paper, magnetic, electronic, optical or
computer disc, photograph, master sample or combination
of these.

Document Original The up-to-date original drawing, text, form, or other


document type from which copies to be delivered to the
client will be reproduced.

Drawings The plans or sheets that form the graphical representation of


the designed and planned work, included in the Construction
Documents.

Early Start of Initiation of construction activities based upon plans that


Construction cover preliminary work, such as grading, and do not include
any detail on final construction. Although MnDOT will
accept documents prior to their release for construction,
early start activities are undertaken at Contractor's own risk.

Engineer of Record The designer for the Project.

Existing Conditions The surveys, topographic mapping, utility locations, plans for
existing structures and all other drawings and reports
defining existing physical conditions of a site or facility.

Field Design Change A document produced by the contractor to notify MnDOT of


(FDC) a change in design resulting from situations discovered in
the field after the design package has been Released for
Construction. A Field Design Change (FDC) could affect
Released for Construction documents.

Independent Process to ensure that a documented review on all testers


Assurance Sampling and observers working on the Project is performed on a
and Testing (IAST) yearly basis. The review is an independent check of all
testers and each type of test they run on the Project, in order
to validate proper sampling and testing procedures are
being followed, and that equipment is calibrated correctly.

MnDOT Design-Build Quality Template (June, 2011)


XXXX Design-Build Project
{Contractor} S.P. XXXX
QUALITY MANAGEMENT PLAN
District: X Rev {date} 12 of 32

Internal Audit An unbiased and independent audit of the Quality Control


System being employed by a given Organization in order to
allow self-declaration of conformance.

MnDOT Design Formal MnDOT process of oversight associated with a


Review preliminary, intermediate, Early Start of Construction, or
Released for Construction package.

Notice of Design A document produced by the Designer to notify the


Change (NDC) Contractor of a change in design that could affect previously
Released for Construction documents.

Originals Documents or records in the highest, most complete form in


which they exist in the active project files. This includes but
is not limited to copies of outgoing correspondence, printed
copies of a published document, original copies of
calculations, quantity take-off and other design analyses,
original reproducible drawings, original resident engineer
diaries, and field records.

Originator The engineer, architect, planner, designer, or other person


who develops a specific document. In the case of drawings,
the Originator is the individual who provides the design
information, sketches, and instructions to the CADD
operator.

Over-the-Shoulder Informal meetings between the Contractor and MnDOT


Reviews Design staff during the development of a design package
intended to generate discussion and provide conceptual-
level feedback. No minutes of these meetings are kept and
any Contractor actions based on these meetings are at
Contractors own risk. However, the effort put forth by the
Contractor toward these OTS reviews should help
streamline MnDOT Design Reviews.
Post-Design Services Performs functions of Project Design Manager after design
Manager phase is complete. Reviews submittals, responds to
Reqests for Information (RFIs), FDCs, and NDCs.

MnDOT Design-Build Quality Template (June, 2011)


XXXX Design-Build Project
{Contractor} S.P. XXXX
QUALITY MANAGEMENT PLAN
District: X Rev {date} 13 of 32

Procedure A documented, written specification for performing a


particular activity. It may include specification of duties,
functions, responsibilities, methods to be employed,
equipment or materials to be used, and sequence of
operations.

Qualification The characteristics or abilities gained through training or


experience or both, as measured against established
requirements such as standards or tests specified to qualify
an individual to perform a required function.

Qualified Procedure An approved procedure that has been demonstrated to


meet the specified requirements for its intended purpose.

Quality Assurance The total effort of developing, documenting, and


(QA) implementing policies and procedures and defining roles
and responsibilities in order to achieve and verify quality in
accordance with specified requirements. The program's
objectives are to achieve Customer confidence and
satisfaction and to assure that a design output, structure,
facility, system, or component will perform satisfactorily in
service.

Quality Control (QC) The acts of examining, witnessing, inspecting, checking,


and testing and, when necessary, revising in-process or
completed design work, including plan sheets, studies,
charts, and reports, to determine conformity with contract
requirements.

Quality Management The Quality Policy, Quality Objectives, Quality Management


System (QMS) Plans, procedures, work instructions, and records.

Quality Record A completed document or record furnishing evidence of


successful implementation of any given aspect of the
Quality Management Program. These records may include
e any number of formats or media, such as written reports,
electronic media, drawings, or charts.

Request for A request of the Engineer for additional information to clarify


Document design information on plans that have been Released for
Clarification (RDC) Construction.

MnDOT Design-Build Quality Template (June, 2011)


XXXX Design-Build Project
{Contractor} S.P. XXXX
QUALITY MANAGEMENT PLAN
District: X Rev {date} 14 of 32

Request for A formal request for additional information regarding the


Information (RFI) design and construction of the Project that may be initiated
by anyone associated with the Project.

Review Comment The forms used to document all comments and their
Forms resolution. They are generated in project reviews such as
DCR, CR, ITR, and MnDOT reviews.

Shop Drawings Drawings submitted by the Design-Builder depicting the


proposed fabrication and/or assembly of structural elements
or the installation of materials or equipment. Shop Drawings
do not require review and approval from a Registered
Engineer. They are to be submitted to the Design Manager
for review and processing and upon review, copies are to be
forwarded to MnDOT.
Standard The result of a particular standardization effort approved by
a recognized authority.

Temporary Construction activities covered by design documents but not


Construction incorporated into the final constructed Project. MnDOT
does not test or inspect temporary construction. Temporary
construction may include Early Start of Construction items.

Verification The act of reviewing, inspecting, observing, testing


checking, auditing, or otherwise determining and
documenting whether items, processes, services or
documents conform to specified requirements.

Verified Copy A copy of a document that the Design Manager or other


person responsible for reproduction of that item has marked
with his/her signature and date to indicate that the copy
represents a current, complete, and accurate reproduction
of the document as it exists in the Project files.

Verifier The person who verifies that changes recommended by the


Checker and accepted by the Back Checker have been
made on the original document. Except under unusual
circumstances, the Checker is also the Verifier.

MnDOT Design-Build Quality Template (June, 2011)


XXXX Design-Build Project
{Contractor} S.P. XXXX
QUALITY MANAGEMENT PLAN
District: X Rev {date} 15 of 32

3.0 QUALITY MANAGEMENT SYSTEM


Rev , Date

3.1 General
The Contractor has established and, on an ongoing basis, documents, implements, and
maintains a Quality Management System (QMS).

This section describes the QMS to be implemented for this Project. The QMS consists
of general, design, and construction quality procedures and is supported by defined
procedures and programs presented in other documents, which may include the
following:

1. Document Control Plan


2. CADD Standards
3. Safety Management Plan
4. Public Information Plan
5. Environmental Management Plan
6. Visual Quality Management Plan
7. Traffic Management Plan
8. Plan
9. As-Built Documents

3.3 Quality Organization


The Project quality organization includes both design quality staff and construction
quality staff. The organization is depicted graphically below:

Insert Quality Organizational Chart.

MnDOT Design-Build Quality Template (June, 2011)


XXXX Design-Build Project
{Contractor} S.P. XXXX
QUALITY MANAGEMENT PLAN
District: X Rev {date} 16 of 32

3.3.1 Quality Control Organization


Quality Control operates under the Project Manager. Quality Control is the
responsibility of the Contractor during all phases (e.g. design, fabrication, construction,
environmental compliance) of the Project.

Staff performing QC functions have sufficient authority and organizational freedom to


identify quality problems and to initiate, recommend, provide, and verify implementation
of the solutions. The QC may be indirectly or directly involved with design or
construction production activities.

The project QC Organizations functions including the following:

Name (s) Title Role

Design Quality Control Reports to (or is) the Design


Manager (DQCM) Manager, is primarily responsible
for design quality control on the
project

Quality Control (QC) May be a foreman or


Inspector superintendent responsible for
Quality Control activities. The QC
Inspector, is encouraged, but does
not need to hold MnDOT Technical
Certifications associated with this
project.

Quality Control Testers Responsible for performing tests in


(QCT) accordance with the Materials
Control Schedule. The QC Testers
must be MnDOT Certified in the
areas in which they are performing
testing.

contractor to insert other


QC staff}

3.3.2 Quality Assurance Organization


The Project Quality Assurance organization operates under the oversight of the Quality
Manager, who reports directly to the Executive Management Committee and also to
MnDOT. Quality Assurance staff must be independent of QC staff.

MnDOT Design-Build Quality Template (June, 2011)


XXXX Design-Build Project
{Contractor} S.P. XXXX
QUALITY MANAGEMENT PLAN
District: X Rev {date} 17 of 32

Staff performing QA functions have sufficient authority and organizational freedom to


identify quality problems and to initiate, recommend, provide, and verify implementation
of the solutions. The Quality Assurance staff do not report to and are not under the
authority of any design or construction staff.

The project QA Organizations functions including the following:

Establishing and implementing a Quality Program that foster technical


excellence, reduces the risk of errors and omissions, directs proper attention to
liability.
Overall coordination and direction of the Quality Program.
Preparing, coordinating, distributing, and maintaining quality policies, procedures,
standards, and guidelines.
Organizing and conducting audits, and establishing the responsibilities related to
the conduct of such audits as required in determining that engineering and
management activities are being correctly performed.
Approving revisions or waivers from the procedure and obtain MnDOT approval
on these revisions and waivers. MnDOT will review any and all proposed
changes or additions to the QMP for comment and approval. MnDOT will be
notified of all approved revisions or waivers.

The primary individuals within the QA organization include:


Name (s) Title Primary Role and Minimum
Qualifications

Quality Manager (QM) Implements the quality


management plan
Reports to the Executive
Management Committee the
effectiveness of the Quality
Management System,
Quality training
Maintain the QMS at the direction
of the Executive Management
Committee or MnDOT.

MnDOT Design-Build Quality Template (June, 2011)


XXXX Design-Build Project
{Contractor} S.P. XXXX
QUALITY MANAGEMENT PLAN
District: X Rev {date} 18 of 32

Design Quality Assurance Reports to QM.


Manager (DQAM)
Implements the design-related
functions and policies defined in
the Quality Manual,
Trains staff on Design Quality
procedures,
Day-to-day ensurance that
design quality control procedures
are being followed,
Audits deliverables packages

Construction Quality Reports to the QM.


Manager (CQM)
Implements the construction-
related function and policies
identified in the Quality Manual.

Trains staff in the Construction


Quality Procedures

Supervises CAPMs and QA


inspectors

Auditing construction quality


management systems

Coordinating the flow of quality


information from supplier and
subcontractors to the Project,

Critical Activity Point Reports to the CQM.


Managers (CAPM)
Coordinates and compiles
documentation required for
CAPs.
Notifies MnDOT of CAP progress
Must be MnDOT technically
certified in the areas in which
they are overseeing CAPs.
Bridge Inspector Reports to the CQM,

MnDOT Design-Build Quality Template (June, 2011)


XXXX Design-Build Project
{Contractor} S.P. XXXX
QUALITY MANAGEMENT PLAN
District: X Rev {date} 19 of 32

Performing bridge/structure
testing and inspection per the
Construction Quality
Management Plan.

Must be technically certified in


MnDOT Bridge Construction.

May also serve as a CAPM.

contractor to insert other QA


staff}

3.4 Quality Manual Documentation

3.4.1 General
The Quality Management System will be documented within this Quality Manual. This
Quality Manual incorporates several manuals under which the Contractor and its
subcontractors currently operate. It is compliant with or based on relevant sections and
procedures taken from Contractor and Contractors member organizations or suppliers.

3.4.2 Writing Quality Procedures


The Quality Manager, Design Quality Assurance Manager and the Design
Manager, with input from the Construction Team, are responsible for identifying the
project activities that require a procedure for Design.

The Quality Manager, Construction Quality Manager, with input from the design and
construction team, and the Project Manager will identify the project activities that
require a procedure for Construction.

While the quality staff members are responsible for the preparation, coordination,
maintenance and initial approval of the quality procedures, other project staff may be
called upon to initiate or review procedures. The Quality Manager and a designated
member of the Executive Management Committee, along with the MnDOT will review
and approve all procedures before they are distributed and implemented.
Quality Procedures will be written using the following:

1. Quality Procedures are produced with the headers, footers, margins, fonts and
formatting shown in the Design and Construction Quality Procedures.

MnDOT Design-Build Quality Template (June, 2011)


XXXX Design-Build Project
{Contractor} S.P. XXXX
QUALITY MANAGEMENT PLAN
District: X Rev {date} 20 of 32

2. The Design Quality Manager or Construction Quality Manager assigns procedure


numbers prefixed by DQP for the general and design procedures or CQP for the
test and inspection plan. The Quality Procedures address the following areas:

DQP101 through DQP199 General

DQP201 through DQP299 Communication

DQP301 through DQP399 <RESERVED>

DQP401 through DQP499 Design-related

DQP501 through DQP599 Design/Field Coordination

Forms for each procedure are numbered similar to the procedure with the
number followed by FA or FB for the first and second forms associated with a
procedure. For example, DQP404 is the Review Comment Procedure and
DQP404FA is the Review Comment Form.

Testing and Inspection procedures and forms are numbered as follows:

CQP100 through CQP199 General

CQP200 through CQP299 Design/Field Coordination

CQP300 through CQP399 Construction Quality Inspection Procedures

3.4.3 Updating and Maintaining Quality Procedures


The Quality Manager and a designated member of the Executive Management
Committee are responsible for updating and maintaining the quality procedures. The
Department will review and approve all procedures before they are distributed and
implemented.

When a revision is issued to a previously approved procedure the revision will be


incorporated as follows:

Deleted text is colored red and struck-through in red.

Added text is in red (added text).

Changes in the document will be followed by a superscripted number ( 1) denoting


the revision number associated with the change that is numbered.

MnDOT Design-Build Quality Template (June, 2011)


XXXX Design-Build Project
{Contractor} S.P. XXXX
QUALITY MANAGEMENT PLAN
District: X Rev {date} 21 of 32

Revisions are numbered xxx.01, xxx.02, and so on. The revision box in the
header is filled in with the revision number and the date of the revision.

The table of contents is revised to include the new documents and revision
numbers; any eliminated forms/procedures are struck-through in red with red
font, added forms/procedures are in red font.

The revised procedures will be put into practice as soon as they are delivered to
document control. Document control will distribute the updated procedures to all
staff holding copies of the controlled document.

The Quality Manager will approve all quality procedures and revisions to
procedures. Revisions to procedures follow the same general review pattern as
the original procedures. All new or revised DQP and CQP Procedures are
reviewed by the Project Manager and Design Manager, and reviewed and
approved by the Departments Project Manager prior to inclusion in the QMP.

3.5 Resource Management Training


The Project Manager, Quality Manager, Design Quality Assurance Manager, and
Construction Quality Manager will determine the competence necessary for personnel
working on the Project. Where deficiencies are identified, training will be provided or
other personnel secured. The Project Manager, Quality Manager, Design Quality
Assurance Manager, and Construction Quality Manager will make all personnel aware
of the importance of their work and their contribution to quality objectives.

All staff will undergo quality training at the initial stages of the Project to ensure that the
QMS implementation goes smoothly. This training will also make all staff aware of

the relevance and importance of their activities,


how the individual members function as a team, and
how each worker contributes to meeting the quality objectives.

The Quality Manager will keep track of ongoing education, training, skills, experience,
and performance of all staff. These records are maintained corporately and project
managers review these records in order to identify staff for projects of all kinds,
including initial and ongoing needs of long-term projects.

The Design-Builder shall insert their technical certifications


and training plan here.

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QUALITY MANAGEMENT PLAN
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4.0 MANAGEMENT RESPONSIBILITY


Rev , Date

4.1 Management Commitment


Management has established its commitment to quality on this Project with a
comprehensive Quality Management System. Management has committed to the
following:

Establish a quality policy


Establish quality objectives
Communicate the importance of meeting customer, statutory, and regulatory
requirements
Conduct management reviews
Provide resources necessary to meet Project requirements
Continually improve the work processes and deliverables

4.2 Responsibility and Authority


Management has delegated authority and responsibility to the Project Manager to
design and build the Project to the requirements of the RFP, MnDOT Standards, and all
applicable state and federal regulations and laws. The Project Manager has been
directed to use the Quality Management System in the design and construction of the
Project.

To show compliance to MnDOT requirements, workers have been directed to identify


quality problems during design and construction, and to show improvement during the
design and construction process.

The Executive Management Committee has delegated authority and responsibility to


the Quality Manager to develop, implement, and maintain a Quality Management
System consistent with the RFP. The Quality Manager has directed the Design Quality
Assurance Manager and Construction Quality Manager to help implement the QMS.

4.3 Management Review


The Quality Assurance Organization will meet monthly throughout the Project with the
Contractors Executive Management for the express purpose of assessing the
suitability, adequacy, and effectiveness of the QMP. The quality procedures, testing,

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{Contractor} S.P. XXXX
QUALITY MANAGEMENT PLAN
District: X Rev {date} 23 of 32

reviews, analyses, and audit findings will be summarized and presented for review by all
attendees. The review will identify opportunities for improvement and required
modifications to the Quality Management System. MnDOT will be invited to attend and
will be given copies of all reports and summaries.

The review meetings will assess Project quality and the adequacy of the QMP based on
the following agenda items:
Worker-identified problems
Results of audits
MnDOT feedback
Process performance and product conformity
Status of preventative and corrective actions
Follow-up actions from previous review meetings
Changes that affect the QMP
Suggestions for improvement

When it is determined that improvements are needed, one or more of the following
actions will be taken:

Improve the effectiveness of the QMP in general,


Improve the effectiveness of specific processes and procedures,
Improve the product as it relates to customer requirements, and
Improve the availability of necessary resources.

4.4 Quality Incentives (optional to contractor)


The Quality Incentive Program establishes guidelines for use in identifying
improvements and recognizing staff members who have contributed to the performance
of the Contractors team in a manner that conserves project resources, positively
impacts schedule, improves morale and commitment of team members, facilitates
effective communications and exceeds expectations of the Department, the quality staff,
and the Executive Management Committee Members.

The Executive Management Committee has established a budget of XXXXX and the full
amount will be awarded throughout the duration of the project.

{contractor to identify how the incentive plan will be implemented

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{Contractor} S.P. XXXX
QUALITY MANAGEMENT PLAN
District: X Rev {date} 24 of 32

5.0 NON-CONFORMANCES
Rev , Date

5.1 General
Non-conformances apply to any element of the Project not meeting the Contract requirements.

The Quality Management System will identify design documents, materials, products,
and construction that do not conform to Project requirements. Each instance will be
documented, evaluated, resolved, and corrective action taken to prevent a recurrence.

Any person (including MnDOT staff) working on the project has the responsibility to
identify and report nonconforming design or construction to the Quality Manager or any
other QA staff member.

5.2 Roles and Responsibilities

The QM, DQAM, DQCM, and CQM have the responsibility and authority to investigate
the validity, and assist in the closure of all non-conformance reports to achieve
compliance with contract requirements.

The Quality Manager, or designee within the QA organization, is responsible for the
following:

Ensuring that a NCR control number is assigned for tracking purposes


Monitoring the Nonconformance Report Log
Reviewing the nonconformance description for accuracy and completeness
Performing the initial review of NCRs to evaluate their validity
Reviewing the approved NCR disposition to verify that all nonconforming
conditions have been addressed, the NCR disposition status is correctly
indicated and the proposed corrective action is reasonable
Ensuring that the corrective action is accomplished in accordance with the
corrective action stated through inspections by the inspection staff, as required
Reporting to the Executive Management Committee the contents and status of all
NCRs on at least on a monthly basis
Initiating NCRs when warranted or supervising the inspection staff initiating NCRs
Reviewing, determining and reporting any identified trends based on audits of the
NCR process

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QUALITY MANAGEMENT PLAN
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The Project Manager or designee is responsible for the following:

Ensuring that proposed corrective action resolves the nonconformance, prevents


recurrence, and meets specification design requirements
Initiating and coordinating reviews and approvals/acceptance (from construction
and engineering staff, quality control, MnDOT, etc.) as required
Review the status of all open NCRs on at least a monthly basis
Review with Executive Management Committee any reported trends or serious
nonconformances

5.3 Reporting, Documenting and Resolving NCR Process


1. NCRs will be written to document work not conforming to contract requirements.
The originator will fill out boxes 2, 3, 4, 5, 6, 7, 8, and 9 on Form QM 501FA.
2. All NCRs will be delivered to the Quality Manager, who will assign the NCR
Control (box 1), determine if the NCR is required (Box 10) and record the NCR
in the log (Form QM 501FB).
3. If the NCR is required, the Quality Manager will assign the responsibility to
individual/organization to investigate the NCR. This person/organization will
determine the root cause of the non-conformance (Box 13) and identify corrective
actions to prevent recurrence (Box 14) and disposition status (Box 15),
identifying if a design change is required (Box 16), and sign Box 18.
4. Within five days of the origination of the NCR, the QM (or CQM or DQAM),
Design Engineer, PM and MnDOT will review the proposed NCR disposition,
verify that all nonconforming conditions identified have been addressed, and the
proposed corrective action is reasonable. If agreed, parties will sign boxes 18,
19, 20 and 21. The QM will update the log.
5. Quality Assurance staff will conduct inspections to verify that corrective actions
are completed in accordance with the NCR instructions. The method of
verification and the results of the verification/inspections are documented on the
Daily Field Report. If acceptable, QA staff will sign box 22..
6. The QM will retain all records of the NCR in document control and provide
MnDOT with a copy.

7. If a nonconformance is found at a construction Critical Activity Point, the


appropriate corrective actions will be completed in accordance with the NCR
instructions and the NCR will be closed prior to the Critical Activity Point Manager
signing off at the Critical Activity Point.

8. The nonconforming designs, material, product, or construction will be marked or


tagged to prevent its unintended use. The material product or construction will

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QUALITY MANAGEMENT PLAN
District: X Rev {date} 26 of 32

not be used until the nonconformance is resolved. When the nonconformance is


corrected, additional tests or inspections will be performed to verify the material,
product, or construction is proper for the intended use.

FORMS
QM501FA Non-Conformance Report
QM501FB Non-Conformance Report Log

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{Contractor} S.P. XXXX
QUALITY MANAGEMENT PLAN
District: X Rev {date} 27 of 32

6.0 STOP WORK


Rev , Date

6.1 General
Stop Work procedures apply when design and construction will not meet project
requirements, when eminent safety issues exist, or when environmental permit
compliance is in jeopardy.

6.2 Responsibilities
The PM, QM, DQAM, DQCM, CQM, Traffic Engineer, Safety Manager, and
Environmental Compliance Manager all have authority to stop work.

The PM has the authority to resume work only with the concurrence of the QM.

6.3 Procedure
1. Notification No matter who or how the identified potential stop work issue came to
be known by either the QM, DQAM, CQM, DM, PM or MnDOT PM, all shall be
notified via email and voice messaging that a Stop Work Notification (SWN) is
planned. The Quality Manager is ultimately responsible to notify all parties.
2. Upon notification the QM will investigate the issue or item of work and determine the
need for a Stop Work Notification (SWN). In the event that the QM is not
immediately available the progression of authority to investigate and issue a Stop
Work Notice will be CQM, and then the DQAM.
3. If the QM determines that the work needs to be stopped, the QM will issue a SWN in
writing to the PM.
4. Project Manager will stop work activities per the SWN.
5. The work shall stop until the QM and MnDOT approve the required corrective
actions, and when the Project Manager determines it is appropriate to proceed.
6. The QM will work with the CQM or DQAM to issue NCRs relating to any
nonconformances associated with the SWN.
7. The QM ensures that the SWN Log is updated as required and that the SWN paper
copy is maintained in file for reference and is uploaded to the DCS website.
8. All SWNs and resolution will be documented in electronic document control system.

FIGURES AND FORMS


QM603FA Stop Work Notification
QM603FB Stop Work Notification Log

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XXXX Design-Build Project
{Contractor} S.P. XXXX
QUALITY MANAGEMENT PLAN
District: X Rev {date} 28 of 32

7.0 MEASUREMENT, ANALYSIS AND IMPROVEMENT


Rev , Date

7.1 General
Quality staff will review all data gathered through formal and informal audits or any of
the monitoring procedures discussed above to assess performance against plans,
objectives, and other defined Project goals and Design-Build Program goals. Through
this and other analysis, the Quality Manager, CQM, and DQAM will seek to determine
the root cause of the nonconformity.

Analysis for individual assessments will be defined prior to gathering the data.

7.2 Monitoring and Measurement


7.2.1 Quality Management System Performance

7.2.1.1 MnDOTSatisfaction

MnDOT satisfaction will be monitored on an ongoing basis via the following:

Executive Management Committee meetings, attended by the MnDOT, where


feedback will be solicited.
Review of correspondence, meetings, and memos/letters from the MnDOT.

All personnel are responsible to report all incidents of MnDOT dissatisfaction to the
Quality Manager. The Quality Manager will determine the cause of the dissatisfaction,
and work with the Project Manager to prevent a recurrence.

7.2.1.2 Internal Audits

It is the policy of the Contractor to conduct internal audits of the Quality Management
System. The Quality Manager is responsible for planning and carrying out the audits.
The audits will focus on conformance to the quality requirements established by the
Contractor and the use and effectiveness of the Quality Management System. The
audit results will be part of the review input given the Executive Management
Committee.

Internal audits to be completed during the Project include the following:

Audits of deliverables to the MnDOT or other stakeholders before they are


delivered

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Audits of the document control system


Periodic informal spot-audits of MnDOT comment forms, internal comment forms,
RFIs, and Design Change paperwork to spot trends, problem areas, or
inefficiencies
Audits of quality activities

All audits will be documented and filed as part of the Project record (Form QM 702 Audit
Findings).

The QM and/or CQM will audit selected suppliers. Project requirements will be
reviewed with the supplier. The suppliers' quality system will be reviewed along with
test records from previous production and reporting of quality data during production.

7.2.2 Measurement and Monitoring of Design

The Design Manager and design Quality Assurance staff will consider several
processes for monitoring and measuring at the beginning of each project. None of
these or more than one may be tracked for the entire project or for a given period.
Consideration will be given to the number of staff hours required to track the
measurements vs. the risks and costs of nonconformance. Processes to be considered
for monitoring include:

Evaluation of MnDOT comments type of comments and how they change over
time.
Evaluation of internal DCR, ITR and/or CR comments usefulness, impacts on
cost reduction, time required to complete them, effectiveness as loss prevention
tool.
Evaluation of RFIs, FDCs and/or NDCs necessity, impacts on costs, time
required to complete them, effectiveness at resolving issue in field and ongoing
design tasks.
Evaluation of time or labor hours required to complete various processes,
including such things as preparation of deliverable packages of various types, or
time required for formal comment processes, from disbursement of comment
forms to final resolution of all comments.

7.2.3 Measurement and Monitoring of Construction

All personnel are responsible for identifying quality problems during construction using
the Worker-Identified Opportunity for Improvement Program (the WI-FI Program).
Quality deficiencies will be reported to the Quality Manager, Construction Quality
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QUALITY MANAGEMENT PLAN
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Manager, and all inspectors and testers. The deficiencies will be recorded,
investigated, evaluated, and resolved by the Quality Manager.

The quality activities will be documented in test sheets, inspection forms, audit reports,
and other record documents. The forms will contain acceptance criteria and the person
certifying conformance. The records will be kept in electronic form on the Project's
electronic document system.

7.2.4 Worker Identified Opportunity for Improvement (WI-FI)


All project staff are encouraged to present suggestions that will improve processes and
deliverables that will help the design and construction teams meet or exceed the
expectations of MnDOT, the Executive Committee, positively impact the project
schedule, improve quality, improve communication, or enhances the value of the
project.

Project staff will submit ideas to the QM, DQAM, or CQM using the WI-FI Form
(QM725).

The review team will include the Design Manager, Design Task Managers, Construction
Supervisors, and Executive Committee Members. The review team will determine the
ease of implementation, the potential benefits and make an initial decision on whether
to pursue the improvement. The Quality Manager must concur with the decision by
signing form QM725..

If the Review Team decides to pursue the improvement, they will undertake the
Preventive Action Process described in procedure for Implementing Corrective or
Preventive Actions.

7.3 Improvement

7.3.1 General

The Contractor will continually seek to improve the effectiveness and efficiency of the
processes of the organization, rather than wait for a problem to reveal opportunities for
improvement. Improvements can range from small-step ongoing continual improvement
to strategic breakthrough improvement projects.

7.3.2 Corrective and Preventative Actions

The Contractor will determine the cause of nonconformities identified by the Quality
Management System and MnDOT. The Project Manager or Design Manager and
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QUALITY MANAGEMENT PLAN
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Quality Manager are responsible for implementing a Corrective and Preventive Action
Plan (CAP) and for determining whether the Corrective and Preventive Action is
effective. The CAP will be focused on eliminating the root cause of the problemand
determining modification(s) to work processes to improve the delivery of services,
design packages, and construction activities.

Nonconformities can result from:

Significant or repetitive nonconformance.


Internal and external audit findings.
Management Review of the Quality System.
Improvements suggested by staff (WI-FI process) and MnDOT

1. The Quality Manager performs an analysis, evaluates the CAP and determines the
severity, priority and impact to the organization for the project.

2. The Quality Manager assigns a control number to CAP.

3. The Quality Manager will work with design and/or construction staff to determine the
root cause, developing the Corrective and Preventive Action Plan and determining
the implementation time schedule. The Corrective or Preventive Action Plan will
identify any immediate needs required to limit damage or liability associated with the
CAP.

4. The Quality Manager will submit the CAP to the Design Manager (design-related)
or Project Manager (construction-related) for implementation.

5. Once accepted, the Design Manager or Project Manager shares the results with
the Department and ensures that the Corrective or Preventive Action Plan is
implemented.

6. The Quality Manager is responsible for verifying the effectiveness of the


Corrective or Preventive Action. Once verified, through collection of documented
objective evidence, it is noted on the CAP Report and the CAP is closed. The Quality
Manager submits a copy of this CAP Report to the Design Manager, Project Manager,
Originator and MnDOT when the CAP is closed.

7. The Quality Manager is responsible for updating the Quality Manual to reflect
the Corrective and Preventive Action Plan. The Quality Manager may delegate this to
the DQAM or the CQM.

7.4 Reporting

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QUALITY MANAGEMENT PLAN
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The Quality Manager will draft a report following the format of the Monthly Quality
Program Support Report (Form QM740FA).

1. The Quality Manager (QM) will draft a report following the format of the Monthly
Quality Program Summary Report.
2. The QM, DQAM, CQM, and DQCM will review and sign the report and
certification statement.
3. The QM will transmit the original signed certification statement to the Project
Manager (Form QM740FB).
4. The Project Manager will review and sign the PMs Certification Statement.
5. The Project Manager will submit originals of both Certification Statements to
MnDOT with the monthly report for the project.
6. The QM will transmit the quality summary report and a copy of the Quality
Certification Statement to the Executive Management Committee, with a cc: to
the Project Manager.

FIGURES AND FORMS


1. QM720 Audit Findings
2. QM725 WI-FI Form
3. QM730 Corrective and Preventive Action Process (CAP)
4. QM740FA Monthly Quality Program Summary Report
5. QM740FB Monthly Quality Program Certification Statement

MnDOT Design-Build Quality Template (June, 2011)