Appendix B: Selections Form Long Island Railroad

Capital Program Procedures 315, “Project Quality Plan”

Signal Engineering Operations, “Quality System Procedure”


CAPITAL PROGRAM PROCEDURE 315

PROJECT QUALITY PLAN

Revision No. 1
Date Approved: December 26, 2000
J.E. Ferrara, Chief Engineer - CPM


1.0 Purpose

To establish the requirements for preparation and maintenance of a Project Quality Plan (PQP).

2.0 General

2.1 The PM shall ensure that the PQP is developed prior to completion of the preliminary design.

2.2 The Quality Assurance (QA) Representative shall monitor and assess the project quality and advise the members of the project team at the Project Progress Meetings, as appropriate.

3.0 Content

The PQP shall delineate the following project-specific requirements:

3.1 The level of Quality for each design/construction element.

3.2 The processes to achieve the Quality (e.g., standards, specifications, etc.)

3.3 Allocation of responsibilities and resources during each stage of the project.

3.4 Method of verifying conformance to the requirements, as appropriate.

3.5 Inspection and testing, at appropriate stages (e.g., design, procurement, installation/construction).

3.6 Documents and records to be maintained to verify conformance.

3.7 The primary Capital Program procedures to be followed during the execution of the project. 

3.8 A documented procedure for changes and modifications in the Quality Plan as the project proceeds.

4.0 Preparation

Development of the PQP shall be compatible with the Project Management Plan, Project Plan, the Inspection and Test Program, awarded Contracts, Value Engineering Concepts, Constructability Review Requirements, and available resources, as well as address the following, as appropriate:

Note: For additional details regarding the development of PQP, refer to ATT-1.

5.0 Plan Adoption and Maintenance

5.1 The PM shall obtain the concurrence of QA Department as well as each department affected by the Plan prior to approval by the Director - CPM and the Chief Engineer - CPM (see ATT-2).

5.2 The PQP shall be maintained throughout the project duration.  Revisions shall be incorporated into the PQP as they are identified.

5.3 Approval of revisions shall be as per 5.1 above.

5.4 At a minimum, the approved PQP and each revision shall be distributed to each affected Department.

1. General

a) Does the PQP define project quality objectives?

b) Does it indicate specific records to be maintained such as:

c) Are the requirements for monitoring and control of the project (with respect to material, equipment, and workmanship) clear and adequate?

2. Design Phase

a) How were the project requirements defined? Are the requirements complete,  reasonable and consistent?

b) Has the project team been organized with clear delineation of responsibilities?

c) Will in-house specialists, or outside consultants, perform value engineering studies, analyze traffic flow patterns, and perform Geotechnical evaluations (as applicable)?

d) Should the project be implemented in phases or stages?  Are the deliverables for each element clearly identified?

e) Are the cited standards appropriate for the Work?

f) Have minimum personnel qualifications been established?

g) Are field surveys required?

h) Will the design address Safety, Constructibility, Environmental Impacts, Operations and Real Estate and, who will review these aspects?

i) What environmental factors such as Rain, Fog, Humidity, Solar Radiation, Salt/Corrosion, Dust, Vibration, Shock, Bounce (Vehicular) need special care and attention?

j) Are acceptance criteria clearly defined and adequate?

k) Are requirements with respect to submittals and their monitoring clear?

l) Which working drawings are to be stamped by a Professional Engineer (PE)?

m) Will design assumptions, calculations, and analyzes be checked?  If yes, by whom?

n) Will the drawings be coordinated among disciplines?  If yes, by whom?

o) Will the specifications and drawings be coordinated?  If yes, by whom?

3. Implementation Phase

a) Will any critical item(s) be purchased by the LIRR?

b) Should there be special material processing such as plating, encapsulation, casting required?  If yes, what type(s) and should inspection be required?

c) Will a Vendor Inspection Plan be required?  If yes, who will approve and monitor?

d) Should inspection or field-testing of materials (concrete, paint, etc.,) be required?  If yes, by whom? 

e) Should the testing of systems be performed?  If yes, by whom?

f) Should in-process testing and monitoring be required? If yes, who will perform or monitor?

g) Will testing by an outside Independent Testing Laboratory be required?

h) Upon completion of work, should acceptance testing be required? If yes, by whom?

i) What in-house support will be provided?

j) Will certification of equipment operators, welders, etc., be required? If yes, what documentation or verification will be required?

 

Project No.  Project Title
Prepared By:
Project Manager - CPM Date
Concurred By:
Manager - QA Surveillance Date
Concurred By:
Department Head Date
Department Head Date
Department Head Date
Department Head Date
Approved By:
Director - CPM  Date
Chief Engineer - CPM  Date
Issue Date: Revision No.

 


 


SIGNAL ENGINEERING OPERATIONS

QUALITY SYSTEM PROCEDURE

QSP-02-02, Rev. 0 - 06/26/2001

 

Every User of Procedures which implement the Signal Quality System is responsible for ensuring that Work is performed in accordance with the latest approved procedure revision/change.

Revision No. Change No. Date Approved
0 - 06/06/2001
     
     
     
     

PROCEDURE APPROVED BY: ____________________________ ACP - Communications/Signal


1. PURPOSE

1.1 The purpose of this procedure is to define the method and instructions, and to assign responsibilities for the development of a Signal Project Quality Plan (PQPlan) for use as a management tool to ensure that designs, materials, and equipment, and the workmanship of fabrication, installation, and construction is in accordance with specified requirements.

2. SCOPE

2.1 The scope of this procedure covers the facilitation of scheduling, performing, and documenting the verification processes necessary for the project. Monitoring of the overall activities of Capital funded projects from design to final construction, shall be by Corporate Quality Assurance (CQA) conducting Quality Assurance Surveillances/Audits.

3. ESSENTIAL FUNCTIONS

3.1 Develop a detailed PQPlan specific to the requirements of the individual project, in accordance with this procedure.

3.2 Identify areas of responsibility to ensure the Quality activities in the PQPlan are performed and documented, and the records are maintained.

3.4 Prepare and process revisions to the PQPlan as may be required.

4. PROCEDURE

4.1 Project Quality Plan Content

4.1.1 The PQPlan shall describe how Quality requirements and Quality inspections will be applied to all designs, materials and equipment, as well as the workmanship of all fabrication, installation and construction efforts furnished under the project.

4.1.2 The PQPlan shall include a checklist for each discipline review and inspection that will be performed, and describe how the information will be documented and maintained.

4.1.2 The PQPlan shall clearly identify the parties who will have the responsibility to:

4.1.3 The development of the PQPlan shall reflect input from all relevant LIRR departments in implementing the project.  This shall include, but not be limited to, the User department, the CPM Department, and any LIRR departments who have personnel materially involved in design, procurement, installation, construction, or inspection and testing activities.

4.2 Project Quality Plan Preparation

4.2.1 The PM shall prepare a PQPlan in narrative form for each project.

4.2.2 The cover sheet of the PQPlan, Attachment QSP0202­1, shall indicate the project name, project number, date of PQPlan approval/issue, revision number, name and title of PM, and approval by the Chief Engineer and the DQA.

4.2.3 The PM shall develop checklists tailored to the specific needs of the project to organize information in preparing the PQPlan. This information shall identify the activities and functions required to control the project Quality as shown on the Checklist for Development of a Project Quality Plan, Attachment QSP0202­2.

4.2.4 The PM shall ensure that requirements are addressed for each project stage:

A. Project Description and Organization

B. Design Stage

C. Procurement Stage

D. Installation/Construction Stage

E. Maintenance Schedule

A. Project Description and Organization B. Design Stage

30% Design ­ Process Flow Plan

Develop a 30% Design following the steps identified in the process flow plan and assign a control number to each related document:

30% DESIGN PROCESS

No.

Process Steps

Applicable Documents/actions

1

Review Management Expectations/ Requirements for Proposed Project

ACO to Define Goals

2

Review existing conditions at Planned Locations

Design Construction , PM and Maintenance Representatives visit field locations

3

Develop preliminary 30% Scope and Design Criteria

Comply with SEOM  & current preferences of Maintenance

4

Develop 30% Design Review Checklist

 

5

Present Draft 30% Scope & Design criteria for review by Signal Department

 

6

Issue a Final 30% Design Document ( Signed by Authorized Personnel) ­ Incorporating required changes

Form _______Rev ___
Signed by authorized personnel

7

Note: A Request for Changes, affecting estimate, Scope of Work and/or schedule, to be submitted in writing, and approved by ACO Signals. Copy to PM

 

8

Determine distribution of the 30% design document

 

9

Ensure that Original Draft copy of 30 % Design has been made obsolete

 

10

Issue the Final 30% Design to Signal Construction to initiate next step(s) in the Project Plan by obtaining approval/concurrence from Engineering disciplines for Signal Layout

 

Develop a  30% Checklist  that includes  (as a minimum):

Scope of Work: Confirm  the scope of work and maintain records of concurrence from all disciples participating in the project, following the 30 % review.  Signal Construction shall compile information from all the supporting Engineering Disciplines and provide Design Engineering the final Project Configuration and Scope of Work. This document shall be used by Design Engineering to complete the 90% design.

Develop a 60% Design: A 60 % Design review shall be conducted only when there is a major change in the (1) Scope of Work, (2) Schedule, and/or (3) Budget; as determined by the ACO Communications/Signal. When a 60% Design review is required, a formal evaluation as described in the 30% Design process shall be conducted and documented. All changes shall be approved/concurred by all disciplines associated with the project.

Development of 90% and 100% Design

90 % 100% DESIGN PROCESS

No.

Steps in the Process

Applicable Documentation
and/or Actions

1

Obtain data/information from Signal Construction

 

2

Issue a Draft 90% Design

Designate Document Number

3

Issue request for review and changes

 

4

Issue a Final 90% Design Document

Designate Rev. to original Draft Document

5

Issue 100% Design Document after an Independent Checking

Designate Document as 100%

 

Development of 90% and 100% Design Review Checklist

90% and 100% Design Review Checklist

No.

Drawing and Material Attributes

Yes

No

N/A

1

All new cable alignment and the new hut/case locations are shown.

     

2

Drawing shows numbers, branch, milepost, and circuit description.

     

3

Drawing has been signed and dated by Designer and Draftsman/checker.

     

4

Drawing shows materials requirements and the Item Number of Materials are indicated on the Plan.

     

5

Drawing has revision blocks with revision description and dates.

     

6

Revisions, where applicable, have approval signatures.

     

7

All changes are bubbled “X” and “O” with assigned revision number.

     

8

Notes are properly indicated and worded correctly.

     

9

Material specifications have been prepared, approved, and sent to vendor for procurement and delivery.

     

10

Physical properties have been indicated e.g., location stations, Mileposts, signal and switch locations, and all track grade and curves.

     

11

All applicable routings are shown. All locations in the project are included. Copy of CASCOL Run attached, as applicable.

     

12

100% Design Completed.

     

Comments _________________________________________________________________

Completed by: _________________ Signature: ___________________ Date: _____________
Name (Print)

Note
: Selection of materials, parts, and equipment shall comply with safety and functionality requirements of the components and systems.

Specification Development, when required, that covers, as a minimum:

C.  Procurement Stage

 NOTE: Source evaluation, when conducted, shall consider the criteria of Attachment QSP0202­3, LIRR Procurement Guidelines.

D.  Installation/Construction Stage

E. Maintenance Schedule

Following installation, construction, and cutover, the PM shall coordinate with the Manager FRA/LIRR, the preparation of a Maintenance Schedule. Records of actual maintenance activities and Inspections and Tests, shall be documented and retained in accordance with the applicable FRA requirement.

4.3 Project Quality Plan Approval

4.3.1 The PM, with assistance from the Corporate Quality Assurance Department and other Department Heads as required, shall review the PQPlan, make comments as necessary and either approve the plan and obtain the Chief Engineer and Director Quality Assurance signatures, or continue development of the PQPlan.  Upon final approval of the PQPlan, the PM shall ensure that the PQPlan is understood and properly implemented by the project personnel.

4.3.2 If during the progress of a project it becomes necessary to revise the PQPlan due to scope, budget, and/or schedule changes, and/or refinements to design, fabrication, installation, or construction procedures, the review and approval cycle of the PQPlan shall follow the same routing as that of the original PQPlan.

4.3.3 Any revisions required to be made to the PQPlan as a result of changes that are not related to scope, budget or schedule, shall be incorporated into the PQPlan as they are identified.

5. ATTACHMENTS

5.1 Attachment QSP0202­1, Cover Sheet for a Project Quality Plan

5.2 Attachment QSP0202­2, Checklist for Development of a Project Quality Plan

5.3 Attachment QSP0202­3, LIRR Procurement Guidelines

 

Attachment QSP-02-02-1
Sheet 1 of 1

LIRR SIGNAL
PROJECT QUALITY PLAN
(PQPlan)

Revision X

Project No. Name:
Prepared By: (Project Manager) Date
Concurred By: (ACO - Communications/Signal) Date
Approved By: (Chief Engineer) Date
Approved By: (Director - Quality Assurance) Date

 

Attachment QSP-02-02-2
Sheet 1 of 1

Checklist for Development of Project Quality Plan

Item

Planning Activities/Functions

Completed
(x)

1.

Introduction

 

2.

Project Overview Name, Purpose, Number, Location of Work, Physical Layout, Description of Work, Standards and Governing Documents, Assignment of Personnel and Responsibilities, Flow Chart of Activities, Project Schedule, and Document Control Log

 

3.

30% Design Steps in the process, Checklist, Submittals, Formal Review, Project Plan Layout  ( 60% Design Review, if required)

 

4.

Design Approval / Concurrence from Engineering Disciplines

 

5.

90 % and 100 % Design and Specifications

 

6.

Control of Purchased Products

 

7.

Material/Signal Equipment by Location and required Inspections and Tests

 

8.

Construction Signal Department & Engineering Disciplines

 

9.

Inspection, Measuring, and Test Equipment

 

10.

Cutover Inspections and Tests for Final Acceptance

 

11.

Control of Nonconforming and Punchlist Items

 

12.

Update/generate As-in-Service Drawings

 

13.

Maintenance Schedule

 

14.

Other (as appropriate)

 

Project Manager __________________________ Date ___________________________
 

Attachment QSP-02-02-3
Sheet 1 of 5

LIRR Procurement Guidelines

1. FOREWORD

1.1 During the period of purchase order performance, a LIRR Engineering, Procurement, and/or Quality Assurance representative may visit the Supplier facility to monitor the items being manufactured for the LIRR. The representative(s) may assess both the product and the quality procedures to determine compliance with quality requirements.  The LIRR will provide advance notification of such visits wherever possible to avoid disruption of schedules.

2. PRODUCT VERIFICATION

2.1 In some cases, mutual interest can best be served by verification of product quality at the Supplier plant prior to delivery.  Conditional acceptance made at the Supplier facility by an LIRR representative through product verification shall consist of the review of objective evidence of conformance or actual verification of measurements or tests performed.  Although product verification is performed at that suppliers facility, final acceptance will be accomplished at the LIRR.

2.2 Receiving Inspection and Test Based upon adequate product control by the Supplier, the LIRR may use sampling plans to inspect and test received material.  Acceptance and rejection may be based upon the use of the sampling plans.  Defective material will be reported to the Supplier via a LIRR Nonconformance Report (NCR) whether or not the LIRR elects to return the material to the Supplier.  Each LIRR NCR requires action and a prompt reply by the Supplier to ensure that subsequent shipments are satisfactory. The Supplier reply must include the following:

3. SUPPLIER QUALITY SYSTEM

3.1 The Supplier must have in place a series of operational controls, systems and guidelines which must be in place in order for them to manufacture and deliver a reliable and trouble free product.

The Supplier Quality System must provide for:

3.1.1 Distributors/Contractors

Distributors and Contractors are required to have selected as sources for materials and products furnished to the LIRR only those sources determined to be qualified and capable of performance in accordance with the applicable specifications. The distributor Quality System shall include:

3.2 Statement of Quality and Objective Quality Evidence

3.2.1 Manufacturers

Suppliers are required to maintain and to make available for examination upon request objective evidence in the form of records or data attesting to the quality control applied to the product and the quality of the furnished product.  The Supplier shall provide with each shipment, a Statement of Quality for the material.

3.2.2 Distributors

Distributors are required to furnish a Statement of Quality signed by an authorized agent of the Supplier.

3.2.3 Contractor/Consultant

Contractors/Consultants are required to furnish a Statement of Quality that the material and services supplied meet the terms and conditions of the Contract.  Lists of subcontractors and vendors must be submitted to the LIRR by Contractors/Consultants.  Any Subcontractors and Vendors must be approved by the LIRR.  The LIRR Supplier Quality Requirements in addition to terms and conditions of the Contract may be binding on all Contractors/Consultants, Vendors and Subcontractors.

3.3 Purchase Orders

The LIRR P&MM Department issues purchase orders  which specify the items required as well as other pertinent data.  The specifications or drawings referenced on the purchase order may in turn reference other requirements.  It is the Supplier responsibility to obtain and be cognizant of all specifications prior to commencement of his production cycle.  The LIRR will supply required LIRR drawings and specifications.

3.4 Drawing and Specification Revision Level

When the revision level of drawings or specifications is not given on the face of the purchase order, the Supplier shall conform to the revision level specified on the LIRR Statement of Work.  If neither indicate the revision level, the Project Manager shall ensure that the Supplier receives the correct information.

3.5 Purchase Order Changes

Purchase order changes shall be effected in accordance with the terms and conditions of LIRR procedures for the Procurement of Materials.

3.6 Workmanship Standards

The minimum standards of workmanship applicable to items furnished via LIRR purchase orders are described within this procedure.  These standards are applicable except when the standards of workmanship are specified by other specifications listed in the purchase order or referenced in documents listed in the purchase order.

3.7 Supplier Services

The Supplier shall select as sources for parts, materials and processes applicable to the LIRR purchase order item(s), only those sources which he has determined to be qualified and in conformance to the applicable specification.  The LIRR may, upon request, assist suppliers by suggesting the names of sources found to be satisfactory for plating, heat treating, welding, and other processes, products or services.  The LIRR also reserves the right to disapprove sources which have not demonstrated satisfactory performance.  The LIRR Quality Assurance will, upon request of a supplier, perform an assessment of a source not currently approved and grant approval if satisfactory.  Approvals are usually limited to specific products, processes, services and plant location, and it should not be assumed that approval extends to other products, processes, services or other divisions or plant locations.

3.8 LIRR Supplier Assessment

The LIRR reserves the right to visit the plant of the supplier or his sources to perform an assessment of the facilities and systems to determine satisfactory conformance to the applicable specifications.  When field inspection is invoked or required, the Supplier shall provide notice when ready and make available to the field inspector and facilities and assistance as may be reasonably required in his conduct of product, process or service quality verification.  With reasonable advance notice, the LIRR may require retest or re-measurement of any product found to be unsatisfactory when received or where correction cannot be obtained.

3.9 Unsatisfactory Performance

As a result of unsatisfactory performance by the Supplier, as determined by LIRR Inspection or Quality Assurance, the LIRR reserves the right to require any or all of the following as appropriate:

Unsatisfactory performance may also result in a reassessment and reconsideration of approval status.  The requirements of paragraph 3.10 are applicable to distributors only to the extent that the distributor shall act for the LIRR to obtain the required information from their sources.

3.10 Specific Requirements for Categories of Parts, Assemblies, Castings, and Raw Materials

3.10.1 Small Electronic Assemblies, Boards and Components

3.10.2 Synthetic Rubber Products, Potting Compounds, Epoxies, and Age Sensitive Adhesives, Sealants and Compounds

3.10.3 Castings, Sheet, Tubular, and Bar Stock, Solder, and other Bulk Metals and Alloys

NOTE: The LIRR encourages the marking of materials in this category with classification, temper, etc. as appropriate even when not a specification requirement.

3.10.4 Welding Operations

3.10.5 Support

Wires should be properly dressed, neatly grouped and routed to prevent movement and damage from abrasion, heat or other detrimental conditions.  Individual wire breakouts should have sufficient stock to preclude stress on connections.  Wire bundles and parts should be supported so that soldered electrical connections are not subjected to mechanical stress.  Wires and cables should be positioned or protected to avoid contact with rough or irregular surfaces and sharp edges.  Wires in a continuous run between two terminals should not be spliced except as authorized by the design.

3.10.6 Protective Finish

Exposed metal surfaces, with the exception of corrosion resistant metals and track shall have a protective finish.  The finish shall be free from imperfections such as scratches, chips, or other damage which detracts from the appearance or corrosion resistance. NOTE: This provision is applicable to only electronic housings and assemblies.

3.10.7 Foreign Material

After fabrication, all chassis parts, components,. and assemblies shall be clean and free of dirt, and grease; loose, splattered or excess solder or other foreign material.

3.10.8 Controls and Indicators

Control devices should provide for maximum operator control, accuracy and convenience.  Important considerations include:

3.10.9 Threaded Parts or Devices Screws, nuts and bolts shall show no evidence of cross threading, mutilation, detrimental or hazardous burns.  Additionally, all screw type fasteners shall be tight.  The word tight means the screw shall be firmly secured and that there shall be no relative movement possible between the attached parts.

3.10.10 Riveting

The riveting operation shall be carefully performed in order to assure that rivets are tight and satisfactorily headed with the rivet heads tightly seated against their bearing surface.

3.10.11 Calibration

Inspection, measuring and test equipment, used by the contractors in the inspection and test of the procured item, shall be calibrated at schedule intervals against certified standards, which have known, valid relationships to national standards, within the state-of-the-art limitations.

3.10.12 Identification (End Item)

Unless otherwise specified by LIRR purchase orders, each end-item shall be legibly and permanently identified with the manufacturer's name, model and serial number. Equipment not normally serialized shall be directly traceable to the manufacturer's identification system.

3.10.13 Safety Provisions

The design and construction of the equipment shall provide maximum safety for operating and servicing personnel:

Warning Notices

Grounding

Conditions Harmful to Personnel

3.10.14 Preparation for Shipment

3.11  Supplier Cooperation