SAN FRANCISCO PUBLIC UTILITIES COMMISSION INFRASTRUCTURE DIVISION PROCEDURES MANUAL PROGRAM AND PROJECT MANAGEMENT

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1 SAN FRANCISCO PUBLIC UTILITIES COMMISSION INFRASTRUCTURE DIVISION PROCEDURES MANUAL PROGRAM AND PROJECT MANAGEMENT SECTION 6: QUALITY ASSURANCE PROCEDURE: PM 6.02 TITLE: QUALITY ASSURANCE AUDITS DATE: REVISION: 2 1. POLICY This procedure defines the organizational responsibilities and describes the Quality Assurance (QA) auditing process to be conducted for all San Francisco Public Utilities Commission major capital projects. This procedure, being one of the seven (7) key Infrastructure Division Procedures, shall be used in conjunction with the other key procedures: PD 3.02 Engineering Drawings PM 2.01 Project Development Process PM 2.02 Project Management Plan PM 5.02 Project Change Management PM 6.01 Quality Assurance Program PM 7.01 Environmental Review Implementation 2. DEFINITIONS 2.1 Quality Assurance (QA): Those functions of quality management that are focused on providing confidence that QC requirements are being fulfilled. The goal of QA is to achieve and maintain technical excellence through the establishment of organizational responsibilities and implementation of approaches to verify that QC activities are occurring in accordance with procedures implemented by each Project Team. QA ensures the delivery of projects that will meet the requirements of the Operations Division and applicable regulatory agencies. Page 1 of 5

2 2.2 Quality Assurance Audits (QA Audits): QA Audits are planned and systematic verifications necessary to provide sufficient confidence that each Project Team consistently implements procedures, follows QC requirements and properly documents QC activities. 2.3 Quality Control (QC): Those functions of quality management that are focused on fulfilling project requirements. QC is the responsibility of each Project Team, through complete design review, thorough checking, inspection, testing and timely feedback to ensure that necessary corrective actions are taken. 2.4 Quality Management (QM): Uses QA and QC measures and various types of project reviews to ensure the technical quality, completeness and accuracy of work products. It is a useful tool to manage the risks of design errors and omissions and minimize construction changes and claims. 2.5 Project Quality Assurance Plan (Project QA Plan): The Project Team is responsible for the preparation of a Project QA Plan (Attachment 1), which is a component of a Project Management Plan (Reference: Procedure PM 2.02 Project Management Plan). The approved Project QA Plan forms the framework for a QA Audit Plan. There are three parts of a typical Project QA Plan: Project Reviews Procedures Documents (Deliverables) Produced Refer also to Definitions List (edocs DM #488573) for other Definitions and Responsibilities. 3. RESPONSIBILITIES 3.1 Assistant General Manager (AGM), Infrastructure Division, oversees the Infrastructure Division QA Program to enforce and ensure compliance to the requirements of Infrastructure Division Policies, Procedures, and Standards. 3.2 Bureau Managers, Program Control and Support Bureau (PCSB), Project Management Bureau (PMB), Engineering Management Bureau (EMB), Construction Management Bureau (CMB) and Bureau of Environmental Management (BEM) are responsible for enforcing and ensuring compliance to the QA requirements for their respective Bureau s deliverables. 3.3 Chief Engineer-Quality & Standards (CEQS) is responsible for managing the Infrastructure Division QA Section. The QA Section is responsible for QA audits, administration of the Infrastructure Procedures, QA training and assistance for QA support, and, where applicable, coordination with the consultant s Review Manager for independent technical reviews and constructability reviews. PM 6.02 Quality Assurance Audits, Rev. 2, Page 2 of 5

3 3.4 Project Manager (PM) complies with the requirements of this procedure and commits funding for QA Audits. The PM prepares Project QA Plans for projects in Planning Phase. 3.5 Environmental Project Manager (EPM) complies with the requirements of this procedure and prepares Project QA Plan for projects in Environmental Phase. 3.6 Project Engineer (PE) complies with the requirements of this procedure and prepares Project QA Plans for projects in Design Phase. 3.7 Resident Engineer (RE) complies with the requirements of this procedure and prepares Project QA Plans for projects in Construction Phase. 3.8 Quality Assurance Audit Team (Audit Team with one Lead Auditor and typically one Auditor) conducts QA Audits for projects in Planning, Environmental, Design and Construction Phases to verify compliance of the requirements of project reviews, Infrastructure Procedures, Project QA Plan, and other policies and procedures as determined by the Audit Team and Project Team. Audit Team will conduct internal QA Audits of the Project Teams, and external QA Audits of other City departments and consultants. 4. IMPLEMENTATION 4.1 Project Team prepares Project QA Plan (Attachment 1) at the beginning of each Project Phase: PM for the Planning Phase EPM for the Environmental Phase PE for the Design Phase RE for the Construction Phase 4.2 PM, EPM, PE, or RE forwards copy of an approved Project QA Plan for the appropriate Project Phase to Infrastructure QA Section. 4.3 Lead Auditor schedules audits at each Project Phase in accordance with the following criteria: Planning Phase: Between Final Alternative Analysis Report (AAR) and Draft Conceptual Engineering Report (CER) Environmental Phase: Six (6) months before first Administrative Draft of Environmental Impact Report or Negative Declaration Design Phase: Before 50% Design PM 6.02 Quality Assurance Audits, Rev. 2, Page 3 of 5

4 4.3.4 Construction Phase: 20% elapsed time from start of construction (subject to new requirements by Program Director) 4.4 AGM, Infrastructure Division, at his/her discretion, will order audits at random and on other components required for project delivery. 4.5 Lead Auditor issues QA Audit Notification & Audit Plan (Attachment 3) to: PM and PE for projects in Planning Phase PM and EPM for projects in Environmental Phase PM and PE for projects in Design Phase PM and RE for projects in Construction Phase Note: The Lead Auditor makes every attempt to issue the QA Audit Notification & Audit Plan sufficient in advance of the audit date, to allow the availability and participation of key Project Team Members. 4.6 Lead Auditor chairs an Audit Opening Meeting to formally kick-off the QA Audit and introduce Audit Team Member(s) to key Project Team Members. 4.7 Audit Team conducts interviews with Project Team Members and reviews project documents to verify compliance of the requirements of project reviews, Infrastructure Procedures, Project QA Plan, and other policies and procedures. 4.8 Audit Team identifies findings on Corrective Action Reports (CARs, Attachment 5), and highlights positive practices and noteworthy suggestions by Project Team. 4.9 Lead Auditor will forward copy of the Review Comments to the Review Manager (Reference: PM 6.01 Quality Assurance Program), who will fold the Review Comments into the Independent Technical Review process Upon completion of the audit, the Lead Auditor chairs an Audit Closing Meeting with the key Project Team Members to summarize the audit findings and review the CARs AGM, Infrastructure Division, issues Audit Report with CARs to the responsible Bureau Managers Within ten (10) working days, PM, PE, EPM, or RE and their respective Bureau Managers, provide meaningful responses to address corrective action for improved performance, which must be regarded as top priority Audit Team maintains a Corrective Action Report Status Log (Attachment 5). PM 6.02 Quality Assurance Audits, Rev. 2, Page 4 of 5

5 4.14 Audit Team verifies the implementation of corrective action and closes the outstanding CAR. 5. REFERENCES Refer to other Key Procedures listed on Page 1 and rest of the Infrastructure CIP Procedures (edocs DM #767614). 6. ATTACHMENTS (1) Project Quality Assurance Plans (Planning, Environmental, Design and Construction Samples) (2) Quality Assurance Audit Flowchart (3) Quality Assurance Audit Notifications & Audit Plans (Planning, Environmental, Design and Construction Samples) (4) Sample Corrective Action Report (5) Corrective Action Report Status Log PM 6.02 Quality Assurance Audits, Rev. 2, Page 5 of 5

6 ATTACHMENT 1 PROJECT QUALITY ASSURANCE PLANS (SAMPLES) SFPUC Infrastructure Division PROJECT QUALITY ASSURANCE PLAN Planning Phase Rev. Date Project Manager Senior Project Manager PMB Bureau Manager Signature Signature Signature Project No. Key Members of Project Team 1. Project Reviews (in accordance with PM 6.01) 2. Procedures (Boldface indicates the 7 Key Procedures) 3. Documents produced (Boldface indicates documents from the 7 Key Procedures) Project Title Project Engineer Resident Engineer Operations Representative AAR CER Technical Peer Review Tech. Advisory Panel Review Steering Committee Review Value Engineering Review Project Management Review PM 1.15 Engineering Archives PD 1.04 Engineering Work Plans and PM 1.17 External Communications Budgets for Planning and Design Approach & Coordination PD 2.01 Needs and Alternatives PM 1.20 Arts Commission Project Review Identification Funding & Civic Design Review PD 2.02 Alternatives Analysis & Evaluation Process PD 2.03 Conceptual Engineering Report PM 2.01 Project Development Process PD 3.06 Security Coordination and PM 2.02 Project Management Plan Development PM 3.16 Consultant Performance Evaluat. PD 3.07 Corrosion Control PM 5.02 Project Change Management PD 3.08 Safety in Design PM 5.06 Construction Cost Est. Review PD 3.09 SCADA Coordination and PM 6.01 Quality Assurance Program Development PM 6.03 Lessons Learned (review Lessons) Management directives PM 7.01 Environmental Review Implem. Other Procedures as determined by Project PM 7.02 Environ. Permit Acquisition Team PD 1.03 Meetings Project Reviews (PM 6.01, Attach 1.X) Approved Needs Assessment Report Approved Alternatives Analysis Report Draft Conceptual Engineering Report Project Management Plan with signatures (including all Work Plans and other documents listed in PM 02.02, Attach. 1, e.g. Project QA Plan, ROW Acquisition Plan/Status) Project Development Process (PM 2.01) o Needs Assessment Checklist o AAR Checklist o CER Checklist AAR Checklist for Environmental Review (PM 7.01) CER Checklist for Environmental Review (PM 7.01) Permit Analysis Checklist (PM 7.02) Change Authorization Forms (PM 5.02) Change Authorizations (PM 5.02, changes to scope, budget, schedule) Cost Estimate Package (PM 5.06, Baseline, AAR, and/or CER) Request for Security Assessment and Checklists (PD 3.06) Request for Corrosion Control Assessment (PD 3.07) Request for SCADA Assessment and Coordination and Deliverables Table (PD 3.09) Other documents as determined by Project Team cc: PM, PE, RE, OR, Senior PE, Senior PM, PMB Manager, Infrastructure QA PM 6.02 Quality Assurance Audits, Rev. 2, Attachment 1, Page 1 of 4

7 ATTACHMENT 1 PROJECT QUALITY ASSURANCE PLANS (SAMPLES) SFPUC Infrastructure Division PROJECT QUALITY ASSURANCE PLAN Environmental Phase Rev. Date Environmental PM Senior EPM BEM Bureau Manager Signature Signature Signature Project No. Project Title Key Members of Project Team Project Manager Project Engineer Operations Representative 1. Environmental BEM Internal Review EP Review Phase Activities Prepare Initial Study 1. X Determine CEQA Document 2. X Prepare NOP 3. X Issue NOP 4. X Conduct Scoping 5. X 6. X Prepare 1 st Admin Draft EIR 7. X 8. X 2. Procedures PM 1.17 External Communications Approach & Coordination (Boldface indicates PM 2.01 Project Development Process the 7 Key PM 2.02 Project Management Plan Procedures) PM 7.01 Environmental Review Implementation PM 7.02 Environmental Permit Acquisition PM 5.02 Project Change Management PM 5.05 Schedule & Budget Forecasting PM 6.02 Quality Assurance Audits PD 1.03 Meetings PD 1.04 Engineering Work Plans and Budgets for Planning and Design PD 2.03 Conceptual Engineering Report (CER) Management directives Other procedures as determined by Project Team 3. Documents produced (Boldface indicates documents from the 7 Key Procedures) Final Conceptual Engineering Report Project Management Plan Components o Project Quality Assurance Plan o Contracting Plan o Project Communications Strategy Plan (also see PM 1.17, Attach 1) o Environmental Mitigation Strategy Plan o Permits Matrix (Also see Permits Handbook) o Right of Way Acquisition Plan/Status Environmental Work Plans o EPM s Work Plan o Environmental Consultant s Work Plan o Resource-Loaded critical path schedule Project Specific Deliverables: At six months following Environmental Consultant s NTP: o Phase 2 AAR Checklist (PM 2.01, Attach. 5) o AAR Checklist for Environmental Review (PM 7.01) o Phase 3 CER Checklist (PM 2.01, Attach. 5) o CER Checklist for Environmental Review (PM 7.01) o Monthly Report showing status of Environmental Phase (including key milestones, deliverables, cost and duration of remaining Environmental work) o Permit Analysis Checklist (PM 7.02) o Change Authorization Form(s) (PM 5.02) Other documents cc: EPM, PM, PE, OR, Senior EPM, BEM Manager, Infrastructure QA PM 6.02 Quality Assurance Audits, Rev. 2, Attachment 1, Page 2 of 4

8 ATTACHMENT 1 PROJECT QUALITY ASSURANCE PLANS (SAMPLES) Rev. Date Project Engineer Senior Project Engineer EMB Bureau Manager Signature Signature Signature Project No. Project Title Key Members of Project Team Project Manager Resident Engineer Operations Representative 1. Project Reviews (in DCR 35% accordance with PM Technical Peer Review 6.01) Tech. Advisory Panel Review Cost Estimate Review Independent Technical Review Constructability Review Steering Committee Review Value Engineering Review Project Management Review 2. Procedures (Boldface indicates the 7 Key Procedures) 3. Documents produced (Boldface indicates documents from the 7 Key Procedures) SFPUC Infrastructure Division PROJECT QUALITY ASSURANCE PLAN Design Phase PM 1.15 Engineering Archives PM 1.17 External Communications Approach and Coordination PM 2.01 Project Development Process PM 2.02 Project Management Plan PM 5.02 Project Change Management PM 5.06 Construction Cost Est. Review PM 6.01 Quality Assurance Program PM 6.02 Quality Assurance Audits PM 7.01 Environmental Review Implementation PM 7.02 Environmental Permit Acquisition PD 1.03 Meetings PD 1.04 Engineering Work Plans and Budgets for Planning and Design PD 1.08 Eng. & Ops Des. Interface & Coord. PD 1.09 Equip. ID & Numbering System PD 1.10 Construction Cost Estimating PD 1.11 Design Progress Reporting Project Reviews (PM 6.01, Attach. 1.X) Approved CER Completed Design Criteria (signed by PM, PE and stakeholders) Current, complete set of Drawings and Technical Specifications (35% minimum) Project Management Plan with signatures (including all Work Plans and other documents listed in PM 2.02, Attach. 1, e.g. Project QA Plan, ROW Acquisition Plan/Status) Interim Check Prints showing internal cross discipline reviews Permit Analysis Checklist (PM 7.01) Change Authorization Form(s) (PM 5.02, changes to scope, budget, schedule) cc: PE, PM, RE, OR, Senior PE, EMB Manager, Infrastructure QA PD 2.04 Design Criteria PD 2.05 Basic Eng. Design Data Sheets PD 3.01 Engineering Calculations PD 3.02 Engineering Drawings PD 3.03 Project Specifications PD 3.05 Project Design Review Checklists PD 3.06 Security Coordination & Development PD 3.07 Corrosion Control PD 3.08 Safety in Design PD 3.09 SCADA Coordination & Development PD 4.05 As-Built CADD Drawings (Spec ) PD 5.01 Basics of Quality Control PD 5.04 Value Engineering PD 5.05 Design Reviews CM 2.01 Constructability Review Management directives Other Procedures as determined by Project. Team Cost Estimate Package (PM 5.06) Environmental Work Plan Request for Security Assessment and Checklists Request for Corrosion Control Assessment Safety In Design Checklists (PD 3.08) Request for SCADA Assessment (PD 3.09, Attach. 6), Coordination and Deliverables Table (PD 3.09, Attach. 3) Monthly and Weekly Progress Reports Project Design Review (PD 5.05) Engineering Calculations, Engineering Calculation Log, Cover Sheet Progress Meeting Minutes, Agenda, Action Items Log Other documents PM 6.02 Quality Assurance Audits, Rev. 2, Attachment 1, Page 3 of 4

9 ATTACHMENT 1 PROJECT QUALITY ASSURANCE PLANS (SAMPLES) SFPUC Infrastructure Division PROJECT QUALITY ASSURANCE PLAN Construction Phase Rev. Date Resident Engineer Senior Construction CMB Bureau Manager Manager Signature Signature Signature Project No. Project Title Key Members of Project Team Project Manager Project Engineer Operations Representative 1. Procedures PD 1.09 Equipment Identification & Numbering System (Boldface indicates PD 4.04 Engineering Support During Construction the 7 Key PD 4.05 As-Built CADD Drawings Procedures) PM 1.15 Engineering Archives PM 2.01 Project Development Process PM 2.02 Project Management Plan PM 5.02 Project Change Management PM 6.01 Quality Assurance Program PM 6.02 Quality Assurance Audits PM 7.01 Environmental Review Implementation PM 7.02 Environmental Permit Acquisition PM 3.08 Startup Testing and Training CM 1.03 CM Budget Work Hours Planning CM 2.04 Monthly Field Construction Status Report CM 3.01 Project Photographs CM 3.02 Change Order and Contract Modification CM 3.03 Construction Contract Submittals CM 3.04 Preconstruction Conference CM 3.05 RE and Inspector Construction Contract Field Reports CM 3.09 Request for Information or Clarification CM 3.15 Monitoring Status of RFI CM 3.16 Administration of Force Account CM 4.04 Notice of Contractor Non-Compliance CM 4.05 Construction Risk Analysis CM 6.01 Safety Training CM 6.02 Construction Site Safety Reporting Program-specific procedures and management directives Other Procedures as determined by Project Team 2. Documents Plans and Specifications (provide before Audit Conformed set preferred) produced (Boldface indicates Project Management Plan with signatures (including all Work Plans and other documents listed in PM 2.02, Attach. 1, e.g., Project QA Plan, ROW Acquisition Plan/Status) documents from Project Development Process, Construction Checklist the 7 Key Startup Test Plan and Test and Startup Plan/Operations Training Procedures) Change Authorization Form(s) (PM 5.02, changes to scope, budget, schedule) Safety Plan RE/Inspector s Daily Reports and Log Correspondence Log Submittals Log and Test Reports and Log RFI Log PCO/CO Log Force Account Reports Interim and Final Contractor s Record Drawings Notice of Non-Compliance and Log Other documents cc: RE, PM, PE, OR, Senior CM, CMB Manager, Infrastructure QA PM 6.02 Quality Assurance Audits, Rev. 2, Attachment 1, Page 4 of 4

10 ATTACHMENT 2 QUALITY ASSURANCE AUDIT FLOWCHART PM, PE, EPM, or RE prepares Project QA Plan and forwards copy to Infrastructure QA Lead Auditor issues Audit Notification & Audit Plan to PM, PE, EPM, or RE Lead Auditor chairs Audit Opening Meeting Audit Team conducts Audit and records Findings on Draft Corrective Action Reports (CARs) Lead Auditor chairs Audit Closing Meeting AGM Infrastructure issues Audit Report with CARs to responsible Bureau Managers Responsible Bureau responds with proposed corrective action within 10 Days Audit Team maintains CAR Log Responsible Bureau completes Corrective Action No Completion of Corrective Action? Yes Audit Team closes Outstanding CAR PM 6.02 Quality Assurance Audits, Rev. 2, Attachment 2, Page 1 of 1

11 ATTACH. 3 Q.A. AUDIT NOTIFICATION & AUDIT PLANS (SAMPLES) To:, Project Manager, Project Engineer Date: mm/dd/yy QA Audit No.: Year-XX Project No.: CUW-3YYYY Project Title: Audit Opening Meeting: TBD Auditors: (Lead), Scope of Audit: Planning Phase Audit Goal: Verify compliance with the requirements of Infrastructure Division Policies and Procedures 1. Project Reviews to be AAR CER verified as having been Technical Peer Review performed (in accordance Tech. Advisory Panel Review with PM 6.01) Steering Committee Review Value Engineering Review Project Management Review 2. Procedures PM 1.15 Engineering Archives PD 1.04 Engineering Work Plans and (Boldface indicates PM 1.17 External Communications Budgets for Planning and Design the 7 Key Procedures) Approach & Coordination PD 2.01 Needs and Alternatives PM 1.20 Arts Commission Project Review Funding & Civic Design Review Process Identification PD 2.02 Alternatives Analysis & Evaluation PD 2.03 Conceptual Engineering Report PM 2.01 Project Development Process PD 3.06 Security Coordination and PM 2.02 Project Management Plan Development PM 3.16 Consultant Performance Eval. PD 3.07 Corrosion Control PM 5.02 Project Change Management PD 3.08 Safety in Design PM 5.06 Construction Cost Est. Review PD 3.09 SCADA Coordination and PM 6.01 Quality Assurance Program Development PM 6.03 Lessons Learned (review Lessons) Management directives PM 7.01 Environmental Review Implem. Other Procedures as determined by Audit PM 7.02 Environ. Permit Acquisition Team/Project Team 3. Documents produced (provide completed items to Audit Team or be prepared to show; boldface indicates documents from the 7 Key Procedures) SFPUC Infrastructure Division QA AUDIT NOTIFICATION & AUDIT PLAN Planning Phase PD 1.03 Meetings Project Reviews (PM 6.01, Attach 1.X) Approved Needs Assessment Report Approved Alternatives Analysis Report Draft Conceptual Engineering Report Project Management Plan with signatures (including all Work Plans and other documents listed in PM 02.02, Attach. 1, e.g., Project QA Plan, ROW Acquisition Plan/Status) Project Development Process (PM 2.01) o Needs Assessment Checklist o AAR Checklist o CER Checklist AAR Checklist for Environmental Review (PM 7.01) CER Checklist for Environmental Review (PM 7.01) Permit Analysis Checklist (PM 7.02) Change Authorizations (PM 5.02, changes to scope, budget, schedule) Cost Estimate Package (PM 5.06, Baseline, AAR, and/or CER) Request for Security Assessment and Checklists (PD 3.06) Request for Corrosion Control Assessment (PD 3.07) Request for SCADA Assessment and Coordination and Deliverables Table (PD 3.09) Other documents as requested by Audit Team Change Authorization Forms (PM 5.02) 4. Project Staff Current Team Organization Chart (provide before Audit) Estimated Duration of Audit: 10 days Anticipated Date of Audit Closing Meeting: TBD cc: Senior PE, Senior PM, EMB Bureau Manager, PMB Bureau Manager, File QAYear-XX-CUW3YYYY PM 6.02 Quality Assurance Audits, Rev. 2, Attachment 3, Page 1 of 4

12 ATTACH. 3 Q.A. AUDIT NOTIFICATION & AUDIT PLANS (SAMPLES) To:, Project Manager, Environmental Project Manager Date: mm/dd/yy QA Audit No.: Year-XX Project No.: CUW-3YYYY Project Title: Audit Opening Meeting: TBD Auditors: (Lead), Scope of Audit: Environmental Phase Audit Goal: Verify compliance with the requirements of Infrastructure Division Policies and Procedures 1. Environmental Phase Activities BEM Internal Review EP Review 2. Procedures (Boldface indicates the 7 Key Procedures) SFPUC Infrastructure Division QA AUDIT NOTIFICATION & AUDIT PLAN Environmental Phase Prepare Initial Study (1) X Determine CEQA Document (2) X Prepare NOP (3) X Issue NOP (4) X Conduct Scoping (5) X (6) X Prepare 1 st Admin Draft EIR (7) X (8) X PM 1.17 External Communications Approach & Coordination PM 2.01 Project Development Process PM 2.02 Project Management Plan PM 7.01 Environmental Review Implementation PM 7.02 Environmental Permit Acquisition PM 5.02 Project Change Management PM 5.05 Schedule & Budget Forecasting PM 6.02 Quality Assurance Audits PD 1.03 Meetings PD 1.04 Engineering Work Plans and Budgets PD 2.03 Conceptual Engineering Report (CER) Management directives Other documents as determined by Audit Team/Project Team 3. Documents produced Final Conceptual Engineering Report (provide completed items to Project Management Plan Components Audit Team or be prepared to o Project Quality Assurance Plan show; boldface indicates documents from the 7 Key o Contracting Plan Procedures) o Project Communications Strategy Plan (also see PM 1.17, Attach 1) o Environmental Mitigation Strategy Plan o Permits Matrix (Also see Permits Handbook) o Right of Way Acquisition Plan/Status Environmental Work Plans o EPM s Work Plan o Environmental Consultant s Work Plan o Resource-Loaded critical path schedule Project Specific Deliverables: At six months following Environmental Consultant s NTP: o Phase 2 AAR Checklist (PM 2.01, Attach. 5) o AAR Checklist for Environmental Review (PM 7.01) o Phase 3 CER Checklist (PM 2.01, Attach. 5) o CER Checklist for Environmental Review (PM 7.01) o Monthly Report showing status of Environmental Phase (including key milestones, deliverables, cost and duration of remaining Environmental work) o Permit Analysis Checklist (PM 7.02) Change Authorization Form(s) (PM 5.02) Other documents as requested by Audit Team 4. Project Staff Current Team Organization Chart (provide before Audit) Estimated Duration of Audit: 10 days Anticipated Date of Audit Closing Meeting: TBD cc: Senior EPM, Senior PM, BEM Bureau Manager, PMB Bureau Manager, File QAYear-XX-CUW3YYYY PM 6.02 Quality Assurance Audits, Rev. 2, Attachment 3, Page 2 of 4

13 ATTACH. 3 Q.A. AUDIT NOTIFICATION & AUDIT PLANS (SAMPLES) To:, Project Manager, Project Engineer Date: mm/dd/yy QA Audit No.: Year-XX Project No.: CUW-3YYYY Project Title: Audit Opening Meeting: TBD Auditors: (Lead), Scope of Audit: Design Phase Audit Goal: Verify compliance with the requirements of Infrastructure Division Policies and Procedures 1. Project DCR 35% Reviews to be Technical Peer Review verified as Technical Advisory Panel Review having been Cost Estimate Review performed Independent Technical Review Constructability Review Steering Committee Review Value Engineering Review Project Management Review 2. Procedures (Boldface indicates the 7 Key Procedures) 3. Documents produced (provide completed items to Audit Team or be prepared to show; boldface indicates documents from the 7 Key Procedures) SFPUC Infrastructure Division QA AUDIT NOTIFICATION & AUDIT PLAN Design Phase PM 1.15 Engineering Archives PM 1.17 External Communications Approach and Coordination PM 2.01 Project Development Process PM 2.02 Project Management Plan PM 5.02 Project Change Management PM 5.06 Construction Cost Est. Review PM 6.01 Quality Assurance Program PM 6.02 Quality Assurance Audits PM 7.01 Environmental Review Implementation PM 7.02 Environmental Permit Acquisition PD 1.03 Meetings PD 1.04 Engineering Work Plans and Budgets for Planning and Design PD 1.08 Eng. & Ops Des. Interface & Coord. PD 1.09 Equip. ID & Numbering System PD 1.10 Construction Cost Estimating PD 1.11 Design Progress Reporting Project Reviews (PM 6.01, Attach. 1.X) Approved CER Completed Design Criteria (signed by PM, PE and stakeholders) Current, complete set of Drawings and Technical Specifications (35% minimum) Project Management Plan with signatures (including all Work Plans and other documents listed in PM 2.02, Attach. 1, e.g., Project QA Plan, ROW Acquisition Plan/Status) Interim Check Prints showing internal cross discipline reviews Permit Analysis Checklist (PM 7.01) Change Authorization Form(s) (PM 5.02, changes to scope, budget, schedule) PD 2.04 Design Criteria PD 2.05 Basic Eng. Design Data Sheets PD 3.01 Engineering Calculations PD 3.02 Engineering Drawings PD 3.03 Project Specifications PD 3.05 Project Design Review Checklists PD 3.06 Security Coordination & Development PD 3.07 Corrosion Control PD 3.08 Safety in Design PD 3.09 SCADA Coordination & Development PD 4.05 As-Built CADD Drawings (Spec ) PD 5.01 Basics of Quality Control PD 5.04 Value Engineering PD 5.05 Design Reviews CM 2.01 Constructability Review Management directives Other Procedures as determined by Audit Team/ Project Team Cost Estimate Package (PM 5.06) Environmental Work Plan Request for Security Assessment and Checklists Request for Corrosion Control Assessment Safety In Design Checklists (PD 3.08) Request for SCADA Assessment (PD 3.09, Attach. 6), Coordination and Deliverables Table (PD 3.09, Attach. 3) Monthly and Weekly Progress Reports Project Design Review (PD 5.05) Engineering Calculations, Engineering Calculation Log, Cover Sheet Progress Meeting Minutes, Agenda, Action Items Log Other documents as requested by Audit Team 4. Staff Current Team Organization Chart (provide before Audit) Estimated Duration of Audit: 10 days Anticipated Date of Audit Closing Meeting: TBD cc: Senior PE, Senior PM, EMB Bureau Manager, PMB Bureau Manager, File QAYear-XX-CUW3YYYY PM 6.02 Quality Assurance Audits, Rev. 2, Attachment 3, Page 3 of 4

14 ATTACH. 3 Q.A. AUDIT NOTIFICATION & AUDIT PLANS (SAMPLES) SFPUC Infrastructure Division QA AUDIT NOTIFICATION & AUDIT PLAN Construction Phase To:, Project Manager, Resident Engineer Date: mm/dd/yy QA Audit No.: Year-XX Project No.: CUW-3YYYY Project Title: Audit Opening Meeting: TBD Auditors: (Lead), Scope of Audit: Construction Phase Audit Goal: Verify compliance with the requirements of Infrastructure Division Policies and Procedures 1. Procedures PD 1.09 Equipment Identification & Numbering System (Boldface indicates PD 4.04 Engineering Support During Construction the 7 Key PD 4.05 As-Built CADD Drawings Procedures) PM 1.15 Engineering Archives PM 2.01 Project Development Process PM 2.02 Project Management Plan PM 5.02 Project Change Management PM 6.01 Quality Assurance Program PM 6.02 Quality Assurance Audits PM 7.01 Environmental Review Implementation PM 7.02 Environmental Permit Acquisition PM 3.08 Startup Testing and Training CM 1.03 CM Budget Work Hours Planning CM 2.04 Monthly Field Construction Status Report CM 3.01 Project Photographs CM 3.02 Change Order and Contract Modification CM 3.03 Construction Contract Submittals CM 3.04 Preconstruction Conference CM 3.05 RE and Inspector Construction Contract Field Reports CM 3.09 Request for Information or Clarification CM 3.15 Monitoring Status of RFI CM 3.16 Administration of Force Account CM 4.04 Notice of Contractor Non-Compliance CM 4.05 Construction Risk Analysis CM 6.01 Safety Training CM 6.02 Construction Site Safety Reporting Program-specific procedures and management directives Other Procedures as determined by Audit Team/Project Team 2. Documents produced Plans and Specifications (provide before Audit Conformed set preferred) (provide completed items to Audit Team Project Management Plan with signatures (including all Work Plans and other documents listed in PM 2.02, Attach. 1, e.g., Project QA Plan, ROW Acquisition Plan/Status) or be prepared to Project Development Process, Construction Checklist show; boldface Startup Test Plan and Test and Startup Plan/Operations Training indicates documents Change Authorization Form(s) (PM 5.02, changes to scope, budget, schedule) from the 7 Key Safety Plan RE/Inspector s Daily Reports and Log Procedures) Correspondence Log Submittals Log and Test Reports and Log RFI Log PCO/CO Log Force Account Reports Interim and Final Contractor s Record Drawings Notice of Non-Compliance and Log Other documents as requested by Audit Team 3. Project Staff Current Team Organization Chart (provide before Audit) Estimated Duration of Audit: 10 days Anticipated Date of Audit Closing Meeting: TBD cc: Senior CM, Senior PM, CMB Bureau Manager, PMB Bureau Manager, File QAYear-XX-CUW3YYYY PM 6.02 Quality Assurance Audits, Rev. 2, Attachment 3, Page 4 of 4

15 ATTACHMENT 4 SAMPLE CORRECTIVE ACTION REPORT PM 6.02 Quality Assurance Audits, Rev. 2, Attachment 4, Page 1 of 2

16 ATTACHMENT 4 SAMPLE CORRECTIVE ACTION REPORT PM 6.02 Quality Assurance Audits, Rev. 2, Attachment 4, Page 2 of 2

17 ATTACHMENT 5 CORRECTIVE ACTION REPORT STATUS LOG CARs Tracking CCE CAR Closing / Status Audit # Project # Title (M$) Phase Auditor Issued PMB EMB CMB PCSB Other PM 6.02 Quality Assurance Audits, Rev. 2, Attachment 5, Page 1 of 1