Plan Quality Control / Quality Assurance ManualTABLE OF CONTENTSSection 1 - Introduction . 31.1 Defining Plan Quality . 31.2 Definition of Terms and Abbreviations . 41.3 Purpose . 51.4 Objective . 51.5 Requirements for Quality Control . 6Section 2 - Project Quality Control Requirements . 72.1 Plans Development Requirements for Review . 72.2 Conformance to CAD Standards . 82.3 Plans Reviews . 82.4 Design Documentation Requirements . 8Section 3 - Organization . 83.1 Process. 83.2 Quality Control Responsibilities. 9Section 4 - Quality Control Reviews. 114.1 Design Review Requirements . 114.2 General. 124.3 Phase reviews . 124.3.1 Review process . 124.3.2 Review Reports. 134.3.3 Checking Drawings . 134.4 Right-of-Way, Constructability, and Biddability Reviews . 134.4.1 Right-of-Way Reviews. 134.4.2 Constructability Review. 144.4.3 Biddability Review . 144.5 Resolution of Disputes . 14Section 5 - Method of Documentation of Comments, Coordination and Responses . 155.1 Documentation of Comments and Responses . 155.2 Requests for Changes to the Scope. 15Section 6 - Quality Assurance . 156.1 General. 156.2 QA of Consultant Projects . 166.2.2 DOTD Reviews of Consultant Designs . 166.3 Feedback. 166.4 Process Improvement . 176.5 Accountability . 17References . 18-2-September 2013

Plan Quality Control / Quality Assurance ManualSection 1 - Introduction1.1Defining Plan QualityThe dictionary defines Quality Control as the inspection, analysis and action required toensure quality of output; the operational techniques and the activities used to fulfill andverify requirements of quality; a procedure for keeping quality of inputs or outputs tospecifications.In an effort to define plan quality LA-DOTD has concluded that the following characteristics(The 5 C’s) should provide an indication of the quality of the plans:Complete The plans will be an accurate and thorough representation of the existing projectsite and terrain features. The plans will be an accurate and thorough representation of the proposed projectfeatures and details to be constructed. The plans will be supported by a thorough and detailed documented developmentprocess. The plans will be developed with the active involvement of all affected parties anddevelopmental stage owners throughout all stages of development.Consistent All plans developed by and for LADOTD will be consistent in format and in contentand will comply with all standards and guidelines set by the LADOTD designmanuals, AASHTO design guidelines and electronic standards.Clear Instructions provided in the plans and specifications will leave little room forsubjectivity.Correct The plans will not contain any design errors or omissions which will cause the delay,postponement, or cancellation of the project letting.ConstructibleThe plans will present a project that can be constructed and will not contain design errorsor omissions that require change orders.It is recognized that good communication and significant effort by all “stakeholders” isnecessary to meet the 5 C’s and achieve the desired result of a quality set of plans.-3-September 2013

Plan Quality Control / Quality Assurance Manual1.2Definition of Terms and AbbreviationsThe use of some key terms used in this document will be understood to have the followingmeanings:Quality Control (QC)Quality Control is defined as the operational techniques and the activities used to keep thequality of inputs or outputs to specifications; to fulfill and verify requirements of quality.Quality Assurance (QA)Quality Assurance refers to those actions, procedures, and methods employed at themanagement and senior technical levels to observe and ensure that prudent qualityprocedures are in place and are being carried out and that the desired result of a qualityproduct is achieved.Engineer of Record (EOR)The Engineer of Record is a licensed, professional engineer responsible for the directcontrol and personal supervision of engineering work.Phase ReviewPhase Review refers to the formal review by various disciplines at various stages of theplans development process. Phase reviews typically occur at the 30%, 60%, 90% and planin-hand (95%) completion stages for preliminary plans and at the 60% and 95% (ACP)completion stages for final plans, but other reviews are required as listed in the “Stage 3Distribution of Plans” list in the “Roadway Design Procedures and Details” manual (figure 18). The distribution list details the DOTD section responsible for reviewing plans at eachphase. Additional reviews and submittals may be required as directed by the ProjectManager. Additional information on phase reviews and plan submittals can be found in the“Consultant Contracts Services Manual”.Project Manager (PM)The PM is the person responsible for the planning, coordination and controlling of a projectfrom inception to completion, meeting the project's requirements and ensuring that eachproject is completed on time, within budget, within scope and to required qualitystandards. The project manager insures that all phase reviews have occurred and havebeen completed, that all comments have been satisfactorily addressed and that all formsand checklists have been completed by the appropriate personnel. The PM is ultimatelyresponsible for each project’s adherence to the quality control plan.Project Quality Control Plan-4-September 2013

Plan Quality Control / Quality Assurance ManualThe methods and processes defined in this manual will serve as the Project Quality ControlPlan (PQCP) for each project. Every set of construction plans prepared by or for DOTD arerequired to follow this process.Quality Assurance CertificationQuality Assurance Certification refers to a signed statement by the Project Managercertifying that a written, pre-approved Project Quality Control Plan is in place and has beenadhered to.1.3PurposeThe LA DOTD Plans Quality Control / Quality Assurance Manual is intended to establish abenchmark for effective development of a quality control plan and to assure that qualitycontrol has been effectively implemented. The manual provides for coordinated processeswhich will assist project development by providing mechanisms for:1) Identifying design considerations which DOTD experience has shown repeatedlyrequire specific attention.2) Providing helpful checklists developed by each major discipline for each phase ofproject development.3) Providing sufficiency checklists which enumerate the items and the documentsrequired to be submitted with phase submittals. Completion and submittal ofthe checklists are required with each phase review and is the responsibility ofthe designer.This manual has been developed by DOTD to promote communication among the designsections, various Department review disciplines, the designers, engineering consultants,and Project Managers. The DOTD's interest in preparing this manual is to emphasize theneed for a systematic approach to prepare, review and document the plan developmentprocess to insure a quality project.1.4ObjectiveThe main objective of the Quality Control process for design projects is to provide amechanism by which all construction plans can be subject to a systematic and consistentreview. The outcome of the review should create a set of quality project plans, whichshould be substantially error free.-5-September 2013

Plan Quality Control / Quality Assurance ManualA secondary objective of the Quality Control process is to provide for a well documented“trail” of the design process. A properly documented project file should be a by-product ofthe quality control process. The Department, as a whole, should be able to substantiate itsposition from properly documented project files if any legal, social or procedural issuesarise regarding the project.Another secondary objective of the Quality Control process is to provide informationfeedback from reviews to the designers. The designer’s improved expertise and generalincrease in knowledge from feedback should result in product improvement at early stageseven before a project review is started. The Quality Control process thus serves as aparallel training program.It is not the intent of this manual to supersede the “Roadway Design Procedures and DetailsManual” or any other manuals, policies or standards of the Department. This manual isintended to be a living document which will be reviewed and updated periodically toensure compliance with changes to plans preparation requirements, processes andorganizational structure.1.5Requirements for Quality ControlThe Quality Control process includes quality planning, training, providing clear decisionsand directions, constant supervision, immediate review of completed activities for accuracyand completeness, and documenting all decisions, assumptions and recommendations.In the construction plan development process, it is the clear responsibility of the designerto ensure all project elements are economical, accurate, properly prepared, coordinated,checked, and completed. In order for the DOTD to consistently meet the needs andexpectations of our citizens, quality must be as important as the schedule and budget.All designers and reviewers must recognize that quality is the result of several processes.It requires many individuals performing many appropriate activities at the right timeduring the plans development process. Quality Control does not solely consist of a reviewafter a product is completed. It is an approach and a realization that quality is somethingthat occurs throughout the design process. Quality requires performing all activities inconformance with valid requirements, no matter how large or small their overallcontribution to the design process. Good CAD techniques, attention to detail and ensuringthe plans are correct and useful to the contractor are also essential to quality.Design personnel shall follow established design polices, procedures, standards andguidelines in the preparation and review of all design products.-6-September 2013

Plan Quality Control / Quality Assurance ManualDesign consultants are agents for the DOTD with the primary responsibility for preparationof construction plans. Consultants must ensure quality and adhere to established designpolicies, procedures, standards and guidelines in the preparation and review of all designproducts for compliance and good engineering practice as directed by a Project QualityControl Plan.The Department will review plans for compliance with policies, standards, procedures andgood engineering practice but that does not limit the responsibility or liability of thedesigner. LADOTD has no obligation to insure the quality of plans prepared byconsultants.The DOTD Project Manager shall monitor the Quality Control efforts used by in-house staffand by consultants.Section 2 - Project Quality Control RequirementsThe methods and processes defined in this manual will serve as the Project Quality ControlPlan for each project. Every set of construction plans prepared by or for DOTD are requiredto follow this process.The Project Quality Control Plan details the proposed methods or processes of providingquality control for all work products. This plan will be kept current with the workrequirements. The plan shall include, but is not limited to, the following areas: OrganizationQuality Control ReviewsProposed method of documentation of comments, coordination responses andquality assurance recordsQuality Assurance Certification at major milestonesPlans prepared by consultants for DOTD must, at a minimum, follow the procedures setforth in this manual. Consultants may prepare their own Project Quality Control Plan to besubmitted to the PM for approval.2.1Plans Development Requirements for ReviewAll phase submittals will be checked prior to presentation to the Department’s ProjectManager for review. Properly completed QA Checklists for all applicable disciplines, signed-7-September 2013

Plan Quality Control / Quality Assurance Manualand dated by the checker, will be submitted with the review prints to demonstrate that allitems were checked.2.2Conformance to CAD StandardsAll plans must meet the CAD/Drafting standards as specified in the engineering contractand/or in the LaDOTD Software and Deliverable Standards for Electronic Plans documentwhich outlines the DOTD CAD standardization process. The document can be found on theDOTD web site under "Doing Business with DOTD".2.3Plans ReviewsIn addition to plans checking, the designer will conduct a design review of all documentsprior to submitting the documents to the Department’s Project Manager. This review shallinclude, as a minimum, the following activities:1)2)3)4)Compliance with project requirements.Technical accuracy and adequacy.Compatibility with other associated project documents.Compliance with previous review comments.The designer will prepare a memorandum documenting the basis of the review, the specificitems that were reviewed, the findings of the review, and the follow-up, if any, that wasaccomplished. Copies of this memorandum will accompany each review submittal.2.4Design Documentation RequirementsTo facilitate QC reviews of each project, the designer will prepare a written "Project DesignCriteria Report" at the onset of the work. A copy of this document will be submitted at theonset of work for the project and will serve as the basis for reports, design analyses, andplans preparation.Section 3 - Organization3.1ProcessDOTD and external partners as a whole must be committed to the QC/QA process to insure aquality product. The reviewing sections and individuals have specific responsibilities aspart of the process. Phase reviews are detailed in Section 4 of this manual andresponsibilities of the individuals are described below (Section 3.2).-8-September 2013

Plan Quality Control / Quality Assurance Manual3.2Quality Control ResponsibilitiesThe Project Manager is the person responsible for the planning, coordination andcontrolling of a project from inception to completion, meeting the project's requirementsand ensuring that each project is completed on time, within budget and to required qualitystandards. The PM is typically responsible for the distribution of review prints at the phasereviews. The PM may review plans for general quality, appearance, accuracy andcompleteness. The PM insures that all phase reviews have occurred and have beencompleted, that all comments have been satisfactorily addressed and that all forms andchecklists have been completed by the appropriate personnel. The PM is ultimatelyresponsible for each project’s adherence to the quality control plan.The Designer (Design Consultant or in-house Designer) or the Engineer of Record isresponsible for accuracy and completeness of the plans and related designs prepared for theproject. The designer is responsible for the quality of work of each person involved in theefforts to bring individual projects to production readiness. The designer or designconsultant is responsible for the use of the standardized QC procedures and is responsiblefor completing and submitting to the PM all checks and checklists, review reports,computations, and other project documentation.The Road Design Section will review all project plans during the phase reviews foradherence to DOTD road design criteria.The Hydraulic Design Unit will review all project plans during the phase reviews forconformance to DOTD hydraulic design criteria.The Bridge Design Section is responsible for review of bridge plans and other structuraldetails, such as retaining walls, guardrail standards, sign supports, and barrier rails. Thissection also has an electrical design unit and a mechanical design unit. The electrical unitwill review plan details for electrical systems for buildings, movable bridges, roadwaylighting, and overhead signs. The mechanical unit will review plan details of mechanicalcomponents, usually in moveable bridges or in building systems.The District Area Engineer will review all project plans during the phase reviews forconstructability and biddability, review areas of possible conflicts and review the adequacyof the Traffic Control Plan. The District Area Engineer shall evaluate project plans forcompliance with applicable elements from the Construction QC Plan to ensure that specificrequirements are addressed during design related activities. The District Area Engineer willreview all project plans during the phase reviews to determine maintainability, site-specificexisting problems not addressed in the plans and areas of conflict with maintenanceoperations.-9-September 2013

Plan Quality Control / Quality Assurance ManualThe District Traffic Operations Engineer will review all project plans during the phasereviews to offer advice to the designer related to operational problems concerning theexisting traffic control elements, will develop remedial measures for safety related issuesand will approve all timing plans for signalization schemes. The DTOE also has manyresponsibilities related to the development on Transportation Management Plans (TMPs).The Environmental Section will perform necessary re-evaluations of the documentssupporting the need for the project and environmental impacts. Commitments made duringthe environmental process will be documented in the Stage 0 Report. The EnvironmentalSection will insure that all environmental commitments have been addressed, but theProject Manager and the Designer are responsible for insuring that the Stage 0commitments are addressed in the project plans when appropriate. The EnvironmentalSection’s Permit Coordinators are responsible for obtaining all required environmentalpermits for the projects, such as Corps of Engineers (COE) and Coast Guard permits (amongothers).The Pavement and Geotechnical Design Section is responsible for the development orreview of pavement structural designs, embankment stability analyses, settlement analysesand soil foundation design, including deep and shallow foundations and retaining walls.Upon request, this section will obtain subgrade soil borings (deep and/or shallow) for use inthese activities. This section will also request the District Laboratory Engineer to obtain thepH and resistivity data for the designer’s use in determining gage and coating requirementsfor metal drainage pipe.The HQ Construction Section reviews design plans at various stages of plan development,should participate in the Plan-in-Hand Inspection and advises the designer on theacceptability of plan details related to constructability.The Traffic Engineering Section is responsible for the review and of all geometric design,construction signing layouts and traffic striping and marking plans. The section is alsoresponsible for the review of plans for permanent highway signs and traffic signals that areincluded in roadway plans. These plans may be prepared by in-house forces or byconsultants. This section will also review and approve traffic engineering reports preparedby District Traffic Engineers.The DOTD Utility Relocation Engineer and District Utility Specialists are responsiblefor coordinating with the owners of utilities located within each project to insure that allutility conflicts are addressed prior to construction. These sections review the plans forpotential utility conflicts and make recommendations as necessary. As part of this function,they prepare relocation cost estimates and review plans prepared by the utility companies.- 10 -September 2013

Plan Quality Control / Quality Assurance ManualThe Contracts and Specifications Section prepares the construction proposal. Thissection reviews plans for conformity to standard bid items and insures the adequacy of theproject specifications.The Location and Survey Section will review and monitor the surveying and mappingwork tasks and will review the right-of-way maps in conjunction with the constructionplans to assure agreement between documents.The Real Estate Section will review the construction plans and right-of-way maps to insurethat issues related to right-of-way acquisition are addressed prior to beginning theacquisition process. This section also prepares real estate estimates for property to bepurchased for the project. What about negotiated items that need to be included in plans(removal of structures, fences, etc )The Value Engineering (VE) Engineer is responsible for the preparation of VE studies onapplicable projects. The VE Engineer will also provide direction and support to maintain anactive VE program throughout the project’s lifespan.The DOTD Railroad Unit will provide direction and support in developing railroadcrossing systems and will obtain all applicable railroad agreements, when required.The Federal Highway Administration (FHWA) will review and approve all plan details atmany of the phase reviews for those projects that require federal review.Section 4 - Quality Control Reviews4.1Design Review RequirementsDuring the entire design period the Department’s Project Manager will monitor thedesigner's implementation of the QC plan and require compliance and documentation.All projects will be reviewed by the appropriate sections within the Department at keystages of development. These “Phase” reviews will take place at the plan submittalmilestones as detailed in the Consultant Contracts Services Manual for both consultant andin-house designs. Phase reviews for major projects include, at a minimum, the 30%, 60%and plan-in-hand (95%) submittal stages for preliminary plans and the 60% and 95% (ACP)submittal for final plans, as outlined in figures 1-7 and 1-8 of the “Roadway DesignProcedures and Details” manual, or as modified by the Contract. When required, theDepartment will review "line and grade" drawings at approximately the 15% complete stageof roadway design development. The purpose of this review is to familiarize theDepartment with the alignment and profile issues addressed by the design. All preservation- 11 -September 2013

Plan Quality Control / Quality Assurance Manualtype projects shall be reviewed by the Department at the preliminary plan submittal andACP stages at a minimum.Discipline specific checklists are available on the DOTD website. The checklists should notbe considered as including all items necessary for a review by discipline, but should beconsidered as a guide to be expanded or reduced as necessary for each individual project.Design review checklists are intended to assist the designer in preparing an adequatesubmittal. The sufficiency checklists establish the submittal requirements which must bemet to sufficiently document the requirements for each review. The designer's attention isdirected to the documentation items required for a complete submittal. Missing items candelay or halt a review.The plans reviewers will check plan elements. If an error is found in a plan element,additional elements will be checked to determine if the procedural error was repeated.On subsequent submittals, the reviewer will review the disposition of comments from theprevious submittal. It is important for the designer to recognize that a review comment isnot a directive to make changes to the plans. Comments are frequently made to ensure thedesigner has considered an option. Responses should indicate the designer's reasoning.4.2GeneralEvery project will undergo a quality control review. The reviewer will be an experienceddesign professional who was not actively involved in the preparation of the product.Checking procedures for these quality control reviews are discussed in Sections below.Also, note that there is an overlap among reports, calculations and plans. Most reports andcalculations are incorporated into the plans. Checks should be made to ensure thatcalculations/reports are correctly incorporated into the plans.4.3Phase reviews4.3.1 Review processAll projects are required to be reviewed at the phase reviews as noted in Section 4.1. Figure1-7 from the “Roadway Design Procedures and Details” manual define those tasks whichshould be completed by each submittal and those items that will be reviewed. The PlansDistribution list (“Roadway Design Procedures and Details” manual figure 1-8) clearlyoutlines who is to receive and review prints at each phase review. At each submittal stage,the Project Manager will review the submittal for the degree of completeness required bythat phase. Plans will be returned to the designer if they are incomplete, which could causedelays to the project’s schedule. Plans will be distributed by the Project Manager as detailed- 12 -September 2013

Plan Quality Control / Quality Assurance Manualon the Plans Distribution list. The Project Manager will provide a date by which allcomments are to be received by the PM. It is the responsibility of each reviewer to reviewthe plans in accordance with their area of expertise and return their comments to the PM bythe date specified. Any breakdown in the review process or untimely comments can resultin plan errors, delays and increased project costs.4.3.2 Review ReportsComments from phase reviews can be in the form of marked-up plans, meeting minutes (asin a plan-in-hand review meeting) or review memoranda. It is the responsibility of eachreviewer to insure that their comments are submitted to and recorded with the ProjectManager. It is the Project Manager’s responsibility to compile comments, document thecomments and distribute the comments to the designer and others as necessary. It is thenthe designer’s responsibility, in consultation with the Project Manager, to review thecomments and to determine how each comment will be addressed. The designer willprepare a formal response to the PM stating how the comment will be addressed. TheProject Manager will forward these responses to the appropriate reviewer and will insurethat all comments and responses have been documented in the project files. It is thedesigner’s responsibility to insure that comments are incorporated into the constructionplans as appropriate.4.3.3 Checking DrawingsDrawings are prepared under the direction of an assigned designer. They are developedprogressively by an interactive process using sources of information such as survey data,reports, record data, preliminary sketches, samples, official maps, etc, in conformance withthe requirements, design criteria, and standards and guidelines required by DOTD. Before adrawing is considered final, it will be independently checked for (n

certifying that a written, pre-approved Project Quality Control Plan is in place and has been adhered to. 1.3 Purpose . The LA DOTD Plans Quality Control / Quality Assurance Manual is intended to establish a benchmark for effective development of quality control a and to assure that qualit