Quality Management System Plan (QMSP) : Washington Metropolitan Area Transit Authority (WMATA) August 2018
Quality Management System Plan (QMSP) : Washington Metropolitan Area Transit Authority (WMATA) August 2018
Quality Management System Plan (QMSP) : Washington Metropolitan Area Transit Authority (WMATA) August 2018
Revision History ii
Table of Contents v
Preface.......................................................................................................................................................................... viii
Purchasing...................................................................................................................................................... 28
Non-Conformance ...................................................................................................................................... 37
Training ...........................................................................................................................................................43
Customer Focus........................................................................................................................................... 44
3.13.1 Internal Customers ..................................................................................................... 44
3.13.2 External Customers ..................................................................................................... 45
4 Appendices 46
References ......................................................................................................................................................46
Acronyms........................................................................................................................................................ 47
Definitions ......................................................................................................................................................48
QMSP Procedures........................................................................................................................................54
QMP Template.............................................................................................................................................. 55
PREFACE
The Office of Quality Assurance, Internal Compliance and Oversight (QICO) developed this Quality
Management System Plan (QMSP) for the Washington Metropolitan Area Transit Authority (WMATA,
“Metro”, or “the Authority”) to describe how the agency defines and approaches quality.
The QMSP represents a governing document and guiding vision to direct and focus what will be a multi-
year effort to comprehensively implement a WMATA Quality Management System (QMS). This document
lays out the structure and responsibilities for managing quality in every department, for every process,
every time.
This document will first provide a brief introduction to Quality Management Systems and their importance
to WMATA, followed by a detailed overview of WMATA’s plan and framework to implement a QMS.
Subsequent sections provide specific requirements of core QMS standards.
The Plan is a living document that is based on current realities and assumptions, and it is therefore
expected that it will be subject to future revisions. Please join us in the implementation of this ambitious
but essential program to assure the continued future delivery of quality services to the entire region.
Angel Peña
Managing Director
Office of Quality Assurance, Internal Compliance, & Oversight (QICO)
Washington Metropolitan Area Transit Authority (WMATA)
WMATA CONTEXT
Every day, a vast number of people and assets come together at WMATA to operate Washington, DC’s
regional public transportation system:
Additionally, WMATA’s Capital Improvement Program expends roughly $1 billion dollars per year to
rehabilitate, replace, and expand the asset base.
An organization as large, complex, and critical as WMATA – with nearly countless daily interactions and
handoffs between thousands of people and thousands of assets – justifies a comprehensive and
coordinated Quality Management System to assure meeting the requirements of its stakeholders,
particularly those of its riding customers, member jurisdictions, and the regulations established by
oversight bodies.
QUALITY MANAGEMENT
A quality management system (QMS) is a formalized system that documents processes,
procedures, and responsibilities for achieving quality policies and objectives. A QMS
helps coordinate and direct an organization’s activities to meet customer and regulatory
requirements and improve its effectiveness and efficiency on a continuous basis.
- American Society for Quality
Promotes reliability, with quality assets and services performing consistently, without fail
The QMS affects every aspect of an organization's operations and performance. The QMS integrates
quality policy throughout the organization by creating a common language, and describing common
quality principles for use by the entire organization. The QMS includes all documents that together specify
quality requirements, resources, and practices, including the activities and processes necessary to deliver
assets, services, projects, contracts, tasks.
In the establishment of standardized and comprehensive strategic, tactical, and directive documents
governing the day-to-day work of WMATA departments, these can be identified and structured based
on several components/perspectives of quality, including:
Asset Quality: Ensuring that WMATA’s assets meet the requirements of policies, procedures,
specifications, contract documents, industry practices, regulations, and other applicable
documents.
Customer Service Quality: The collection and analysis of customer feedback, communication of
key results internally, and adoption of strategies to enhance customer service and satisfaction.
Design Quality: The organization, procedures, and documents used to control and verify that
designs meet the specified design criteria, contractual requirements, and agency regulations.
Service Delivery Quality: The organization, procedures, inspections, tests, and documentation
implemented by the Authority, its Consultants, and its Contractors to ensure the safety and
reliability of its facilities and operations.
Procurement Quality: The procedures employed ensure that purchased assets and services meet
the Authority’s specified requirements.
This Quality Management System Plan will be used both internally and externally. It will guide employees
through WMATA’s expectations and standards that must be met and maintained to ensure compliance
with requirements. The responsibilities, procedures, and documents comprising the QMS, including this
QMSP, apply to all offices, departments, and projects within the Authority’s responsibility. The QMSP will
also be used externally to introduce the QMS to the Authority’s customers, stakeholders, contractors,
suppliers, and vendors.
The Plan is a living document that is based on current realities and assumptions, and it is therefore subject
to future revision.
The Managing Director of Quality Assurance, Internal Compliance, and Oversight (QICO) will serve as the
designated management representative responsible for ensuring that the Quality Policy is implemented
and maintained.
The QICO Managing Director or designee will conduct formal reviews of the Policy at regular intervals to
ensure that it remains applicable to the Authority’s work and is effective at all levels of WMATA, and will
maintain a direct reporting relationship to the WMATA General Manager.
2.2.1.1 Policy & Commitment
All work must be performed to meet or exceed WMATA standards to ensure the safety of our employees,
contractors and traveling public, while consistently delivering quality service and customer satisfaction.
2.2.1.2 Quality Program Objectives
WMATA has adopted the above Quality Policy and is establishing a supporting Quality Management
System to achieve the following primary quality objectives:
Delivery of services safely, reliably, efficiently, and in compliance with all applicable regulations
and requirements;
Value added to WMATA’s assets, resources, and the greater Washington region; and
Continuous improvement of and dedication to the quality of WMATA’s public services and
facilities.
2.2.1.3 Quality Principles
WMATA employees, consultants, contractors, and vendors shall adhere to the following quality principles
inherent in the Quality Policy and critical to achieving the above:
A Customer Focus that determines customer needs and expectations, converts them to
requirements, and meets the requirements with the goal of enhancing customer satisfaction.
Effective Leadership that instills a “Culture of Quality” by promoting the Quality Policy, affirming
the Management Commitment, and fully implementing the Quality Management System.
A Process Approach to plan, coordinate, supervise, monitor, and direct the Authority’s
maintenance of assets and operations through checking, testing, documentation, periodic
reviews, assessments, and audits.
Team Building and Empowerment with appropriately-trained, competent, and skilled personnel.
Quality Management represents one of several key supporting management functions and approaches
that WMATA will apply to support the core business units to deliver safe, reliable, and financially
responsible service to its riders and the region.
Maintenance MetroRail
Operations Mgmt.
MetroBus Customer
Engineering
Construction
Metro Access Satisfaction
Planning MTPD
Co re Supp ort P ro ce s se s
Safety Management
Q ua l i t y Ma na g em e nt
Managers,
Execution
Just as the General Manager specifies strategy and direction for the WMATA Chiefs to delegate and
execute, so too does the Quality Management System Plan, an enterprise governance document,
provides strategy and direction for the development of Quality Management Plans comprised of
appropriate standards, policies, and procedures that reflect the implementation of the Core QMS
Standards identified in the QMSP.
QMP DEVELOPMENT
Quality Management Plans (QMPs) will form the “glue” that binds together the components of the QMS,
by organizing and connecting the work instructions, forms, and procedures executed daily by staff into a
consistent Quality framework across the Authority.
In some cases, development of a QMP means gathering, organizing, and refreshing existing
documentation to conform to the WMATA QMS system. Where gaps or deficiencies in procedures, work
instructions, or quality processes are identified, a new or revised QMP will reflect the development of new
documentation and training, as applicable, to correct the gap.
In all cases, QICO will partner with, and support departments, in developing required QMP material and
training plans, and with implementation. QICO has developed a QMP Template (see Appendix 4.6) to
facilitate the gathering and development of essential QMS standards and components.
The QMP and supporting documents (procedures, work instructions) integrate the requirements of the
QMSP. In this way, each office/department develops its own best way for contributing to the safety,
reliability and fiscal responsibility of WMATA. Specific quality procedures translate requirements into the
actions producing desired outcomes. The QMP with supporting documents describes the practices,
assigns the personnel (by name or position), the inspection and testing requirements, and the acceptance
criteria. It includes any legal requirements, regulations, industry standards, organization policies, internal
guidelines, and best practices necessary to provide the desired outcome.
The QMP:
Provides traceability
Departmental QMPs,
The requirements to develop and maintain a particular QMP of one of the above types are described
below.
2.3.2.1 Departmental QMPs
WMATA departments will develop and maintain QMPs to assure the quality of ongoing operations.
Initially, QMPs will be developed at a minimum, at the Chief Level. The following WMATA organizational
chart indicates the anticipated minimal departmental requirements for QMP development, with the intent
of defining the Quality Management Plan structure, based on the direct reports to the General Manager
of WMATA (which may change):
General Manager
Departmental QMPs must only address the QMS standards that are applicable to the operation and
responsibilities of that department. In Section 2.3.3 below, QICO has provided a preliminary analysis of
which categories of standards are to be addressed for which department.
2. The rehabilitation or modernization of an existing fixed guideway with a total project cost in
excess of $100 million; or
QICO anticipates that this matrix will be updated pending input and discussion from the various
departments. The matrix in its ongoing form will be the basis of a continual “gap assessment” to target
potential weak areas in WMATA’s QMS to target QMP development efforts.
QMS Standards
Preliminary QMS Responsibility Matrix P = Primary Role S = Secondary/Supporting Role
Non-Conformance
Document Control
Customer Focus
WMATA Organizational Structure
Quality Records
Process Control
Design Control
Purchasing
Equipment
Training
Material
System
Chief Department
10.
11.
12.
13.
14.
15.
1.
2.
3.
4.
5.
6.
7.
8.
9.
Human Resources (CHRO) P P P S P P P P S P P
Information Technology (IT) P P P P S P P P P P P P P P P
Internal Business Fair Practice (FAIR) P P P S P P P P S P P
Operations (IBOP) Occupational Health & Wellness P P P S P P P P S P P
(OHAW)
Procurement (PRMT) P P P P S P S S P P P P P
Labor Relations (LABR) P P P S P P P P P P
Customer Service, Communications,
and Marketing (CSCM) P P P S P P P P S P P
External Relations (EXRL)
Government Relations (GOVR) P P P S P P P P P P
Sustainability (SUST) P P S P S S P S S P P P S P P
Capital Planning & Program Support & Strategic Initiatives P P S P S P P P P P P
(PSSI)
Program Management Capital Program Management (OCPM) P P P P S P P P P P P P S P P
(CPPM) Planning (PLAN) P P S P S P P P P P P
Fare Payment (FARE) P P S P S P P P P S P P
Management and Budget Services P P P S P P P P S P P
(OMBS)
Accounting (ACCT) P P P S P P P P S P P
Finance (CFO)
Treasurer (TRES) P P P S P P P P P P
Real Estate & Station Planning (LAND) P P P P S P S S P P P P P
Bus Services (BUS) P P P P S P P P P P P P P P
Rail (RAIL) P P P P S P P P P P P P P P
Metro Police Department (MTPD) P P P S P P P P P P
Operations (COO) Access Services (ACCS) P P P P S P P P P P P P P P P
Department of Design and Construction P P P P S P P P P P P P P P P
(DECO)
Budget, Performance & Planning (BPP) P P P S S P S S P P P P P
Support Services (SSRV) P P S P S P P P P P P P P P
Safety & Environmental Management (SAFE) P P S P P P P P P P P P P
Management Audits, Risk, and
P P P S P P P P P P P P
Compliance (MARC)
Internal Compliance (INCP) Quality Assurance, Internal Compliance
& Oversight (QICO) P P P S P P P P P P P P
2. Review, Comment, and Revision: QICO reviews the draft QMP and returns comments to the
responsible organization. The responsible organization revises and re-submits the QMP as
warranted.
3. QMP Approval: QICO provides written approval of the QMP to the responsible organization, and
publishes the approved and adopted QMP as part of the Documented Quality Management
System.
The size and composition of a Quality Management Plan review team will be determined by the QICO
Managing Director or designated WMATA Quality Manager (WMATA employee or consultant
representative) for the given program, project, contract, or procurement. For office/departmental QMPs
and projects without designated quality managers, the QICO Managing Director will appoint appropriate
review teams.
For some projects, third party representatives (e.g. utilities, adjacent property owners, public safety,
municipalities, etc.) may be required to participate in QMP reviews as specified in Memoranda of
Agreement (MOA) or other agreements. The QICO Managing Director or designated WMATA Quality
Manager for the project will determine the level of QMP review participation required.
While WMATA department Chiefs and Directors are ultimately responsible for the content and efficacy of
their respective Quality Management Plans, QICO will provide ongoing assistance and guidance along
with structured monitoring to support successful development.
The roles & responsibilities of key QICO staff with respect to the QMS are as follows:
In all instances, the success of this surveillance depends on QICO having unrestricted access and full
cooperation from all departments during all Quality related activities under the delegated authority and
direction of the WMATA General Manager.
2.4.2.1 Triennial QMS Review
The QICO Managing Director will be responsible for producing at minimum a triennial (once every 3
years) review of the WMATA QMS in comparison to the framework and requirements outlined in this
QMSP. This comparison and review shall be based on a variety of inputs, including:
Results of internal and external audits, Quality Assessments, and Internal Reviews
Non-conformance data
The draft QMS Review will be presented to the WMATA Executive Management team for comment prior
to finalization and issuance of the final annual QMS Review.
The QMS Review will provide recommendations and/or required actions for maintaining and improving
the QMS, and will inform priorities in QICO’s annual internal review and assessment plans described
below.
2.4.2.2 Internal Reviews & Quality Assessments
In its role overseeing the development and implementation of the WMATA QMS described in this Plan,
QICO will perform two related types of internal assessment:
Quality Assessments are performed to evaluate conformance to the procedures and actions that
are to be documented in Quality Management Plans, as well as success towards achieving
identified quality targets. Quality Assessments are focused on determining the existence and
effectiveness of quality management practices in day-to-day business (for departments) or during
delivery (for projects).
The results of these internal reviews and quality assessments shall be scored based on pre-defined quality
management practice measures, which at a minimum include the following:
Policies, Procedures & Standards – a measure of rules and processes, including the
existence/applicability of and adherence to, as they relate to the reviewed function.
Quality & Compliance – a measure of work performed in accordance with defined requirements,
such as design specifications, workmanship standards, and tolerances.
The QICO Managing Director will present an Annual Review Plan to the WMATA General Manager for
review and approval, which takes into account the scoring results of prior year internal reviews and quality
assessments to drive the identification of focus areas, the scope of examinations and schedule for next
year’s plan. This Annual Review Plan will identify and describe planned internal reviews and major
assessments for the coming calendar year. Upon approval, the Annual Review Plan will be shared with
all WMATA department Chiefs to communicate scheduled major internal reviews.
QICO Managers (see Section 2.4.1) are responsible for planning, scheduling, and coordinating systematic
quality assurance programs, including regular internal reviews and quality assessments, in their respective
assigned areas. QICO Managers will contribute to the development of the Annual Review Plan based on
their ongoing observations and the results of their Quality Assessment programs.
In addition to scheduled reviews and assessments, QICO may from time to time perform unscheduled
assessments on an as-needed basis as determined by the QICO Managing Director, the Chief of Internal
Compliance, and/or the WMATA General Manager. Such assessments may or may not be announced
prior to issuance of the resulting draft report, depending on the requirements of the assessment.
Additional characteristics of Quality Assessments (pertaining to those performed by QICO, and those by
other departments) are described in Section 3.11.
The most up-to-date distributed version of the QMSP and associated QMPs, inclusive of procedures and
forms, shall be made available to all WMATA staff, contractors, consultants, and vendors, in accordance
with document control requirements.
This chapter provides greater specificity regarding the Core QMS Standards as enumerated in Section 2.1
above. These standards are categorized below with their corresponding QMSP Section number:
3.8 Non-Conformance
3.2 Document Control
•Systematic tracking of work performed or material
•Managing information to ensure the most current delivered that does not meet procedures, specs,
approved documents are in use contract requirements, etc.
Departmental QMPs,
Project QMPs,
Departmental QMPs and Project QMPs must minimally address any and all applicable QMS standards.
The preliminary matrix of which categories of standard are assumed applicable for each department is
provided in Section 2.3.3.
Where applicable, policies and procedures to govern these practices are referenced in the Appendices.
Additional applicable policies and procedures are under development.
In all cases, the requirements and principles given here are subject to future revision to better reflect
WMATA’s unique organization and environment. The specific application and implementation of these
standards to each and every quality situation at WMATA is expected to be crafted by the appropriate
subject matter experts and accountable management in the QMP. The guidance herein is not meant to
be overly prescriptive, and is not meant to create excessive administrative and bureaucratic requirements
that do not bring commensurate value in the form of improved quality.
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DESIGN CONTROL
Planning and scheduling activities (e.g. testing, piloting) to verify that the design meets
requirements
WMATA designers, and consultant designers shall develop and submit Design Quality Plans
(DQP) that comply with the requirements specific to each project and this QMSP.
Contract documents
Performance criteria
The WMATA designer, or consultant designer, shall compile all applicable requirements for the
design and submit it to WMATA for review and concurrence prior to engaging in design activity.
Depending on the size and scope of the work or project, the designer may elect to submit
multiple design requirements by discipline or geographic area.
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Over-the-shoulder reviews to ensure that disciplines and design teams execute and
document QC activities in accordance with the DQP, applicable standards, and the design
contract.
The Design Quality Plan must also provide a clear understanding of quality procedures performed
by design sub-consultants. Depending on the scope of work and contract agreement, a sub-
consultant may submit its own plan and procedures for review, approval, and incorporation in
the project DQP, or it may elect to adopt the prime consultant’s plan.
The DQP shall include support of audit activities and resolution of potential audit findings for
audits conducted by WMATA or its representative at any time throughout project delivery.
3.1.2.1 Interfaces
Identification and understanding of the internal and external design interfaces is critical to Design
Quality. The DQP must include processes to ensure effective design coordination and integration
between disciplines, sub-consultants and potential adjacent projects that result in designs ready
for construction. This includes, as applicable:
Identifying organizations external to the design team who will review and approve the
design, and
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Design interfaces with the project following the completion of design shall also be included in
the DQP. This may include, as applicable:
Post-design reviews and responses to requests for information, design changes, or non-
conformances, and
Procedures for hand off to operations, and maintenance, including sufficient information
to ensure assets can be maintained to design standards and configurations.
3.1.2.2 Documentation
The Design Quality Plan shall describe how design and design quality documents will be
generated, stored, and transmitted throughout the project. This includes both hard copy and
electronic documents.
All procedures described in a Design Quality Plan should have corresponding sample or template
documents that will be used to accurately and comprehensively record the results of Design
Quality activities. Such documents may include (but not be limited to):
Audit checklists
Document logs
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Designer-initiated changes: Design changes that are identified by the design team and
must be pushed out to maintenance, construction, or construction management teams.
The DQP procedures for these changes shall include review and approval processes, timeframes
for review and response, request forms, systems for logging and tracking change requests, and
processes for revising and transmitting design drawings and specifications.
A p p l i e s t o : A l l W MA T A d e p a r t m e n t s
DOCUMENT CONTROL
WMATA departments and projects must include procedures for receiving, transmitting,
reviewing, approving, disseminating, and archiving critical documents in their respective
QMPs. These procedures shall apply to both hardcopy and electronic documents, including
pre-existing WMATA documentation (see Section 3.2.7).
3.2.1 Standardization
3.2.2 Receiving/Transmitting
Guidelines for transmittal media (e.g. hard copy, disks, electronic transfer, number
of copies, etc.)
Routing and approval chains for documentation and documents required by this
QMSP
Signatures and seals required to release or certify documents (e.g. Released for
Construction drawings)
3.2.4 Controlling
Processes to ensure only current revisions of documents are available for use, and
that obsolete or superseded documents are prevented from unintended use
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3.2.5 Disseminating
3.2.6 Archiving
Document and data storage procedures, both during execution and upon
completion.
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Quality in Practice
Managers, auditors, and others can verify whether, when, and by whom
new procedures, directives, and other management documents were
reviewed and authorized
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PURCHASING
WMATA managers must ensure that all purchased services, assets and materials meet the
Authority’s requirements.
For many construction and maintenance projects, the scope and complexity of the work will
be such that managers can utilize WMATA’s existing procurement resources and procedures.
Large scale, long-term, and highly complex programs or projects may require separate
procurement and contract management personnel who will establish purchasing procedures
as part of the project-specific QMPs.
Quality in Practice
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The Authority’s assets, including the materials, assemblies, and components installed on those
assets, must be compliant with specifications and they must be identified and tracked as
compliant through all stages of their lifecycle.
WMATA QMPs will include policies and procedures that ensure that all assets to be installed
or maintained within the existing system by the respective department or project are identified
and traceable through all stages of delivery, installation, and operation.
Quality in Practice
Being able to trace assets and raw materials is essential to ensure that WMATA
delivers quality, safe, and reliable service to the public. Strategically and
effectively identifying and tracing material and assets supports critical asset
management needs such as:
Identifying unreliable and failing Ensuring inspection & maintenance
components to remove from of every single one of thousands of
service for repair/replacement critical assets throughout the system
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PROCESS CONTROL
Each department and project shall include and describe in its QMP the processes that bring
together resources, equipment, and activities resulting in work products, assets and services.
In the context of WMATA Quality Management, this primarily means the comprehensive and
consistent development and documentation of Standard Operating Procedures (SOPs) and/or
Administrative Policies that specify the work performed by a department.
Policies and procedure instructions must be maintained in accordance with Section 3.2 above.
Records of Process Control shall be maintained in accordance with Section 3.10 below.
Quality in Practice
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Safety requirements
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All work performed on WMATA assets and inventory by the Authority and/or contracted
organizations will be subjected to appropriate testing to verify that purchased parts, work or
services delivered meet the Authority’s specified requirements as well as compliance to
applicable federal, state, and local laws and regulations.
Each WMATA QMP shall incorporate appropriate documentation of inspection and testing
requirements consistent with the needs of the project/program or asset.
Inspection: The act of observing, documenting, and reporting the work, task, or
maintenance procedure to verify whether the practices, processes, and assets comply
with the contract documents and safety requirements. This includes at the source
inspections, receiving inspections of purchased assets, first article inspections, in-
process inspections, and final inspection activities to verify compliance with contract
requirements and requirements of the project specific QMP.
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Each defined inspection and test that is performed on a WMATA asset must:
Identify whether or not the item has met specifications or has any identified non-
conformances during the reporting period.
All reports will be reviewed and approved by the direct supervisor of the WMATA
representative performing the inspection/testing, or the WMATA representative responsible
for overseeing inspection and testing performed by consultants, contractors or vendors. The
Quality Manager of the respective project or operations department will ensure all required
inspection and testing has been performed and documented prior to placing a product into
service.
QMPs shall also include any software or data systems to be used to assist in creation and
organization of inspection and test documentation. The QMP shall include guidelines for
electronic file naming and archiving, and should include provisions for WMATA
representatives to access electronic documents.
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QMPs must include procedures for identifying inspection and test status for work items
throughout production and installation processes as well as inspection and test status for
existing assets in service.
3.6.3.1 Procedures
Procedures for identifying the asset or work item status shall at a minimum include:
Method for identifying the status of each item, i.e. conformance or non-conformance
No asset or item shall be placed in service until the status of all testing and inspection(s)
required by the specified QMP is completed and documented as meeting contract
requirements or WMATA’s internal procedures, standards, and specifications.
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equipment
All inspection, measuring, and testing equipment utilized by the Authority or its agents and
contractors to assure that assets, purchased materials, work or services meet requirements
must be uniquely identified, calibrated, verified, and maintained.
The Authority will maintain equipment logs and records that will include at a minimum:
Equipment Type
Manufacturer
Model and/or Serial Number
Calibration date and frequency required
Calibration method or procedure
Results of calibration/verification
Service records
Inspection, measuring, and testing equipment used will have a visible label, when physically
possible, that displays the latest calibration date as well as the upcoming due date for
calibration of the equipment.
QMPs must identify any applicable equipment under the purview of the respective
department and/or project. Calibration or verification shall be performed in accordance with
applicable national standards, such as the American section of the ASTM (American Society
for Testing and Materials) International standards, or defined standards within the QMP (for
cases in which national standards do not exist) on a pre-set schedule. Individuals performing
calibration or verification activities must be qualified in the appropriate calibration methods.
A p p l i e s t o : A l l W MA T A d e p a r t m e n t s
NON-CONFORMANCE
1. Identify when a work item, existing asset, or task does not conform to requirements
(whether contractual, technical, procedural);
2. Ensure that work items or existing assets that do not conform to contract documents
and specifications are immediately identified and, if applicable, removed or prevented
from being placed into service until an appropriate disposition is determined and
approved;
In the case of maintenance departmental QMPs, it is expected for that most non-conformance
tracking will be satisfied using the work order functionality of WMATA’s Asset Management
system, Maximo. Where applicable, such QMPs would therefore present the procedures and
instructions that ensure the correct documentation of each required step in the Asset
Management system.
Quality in Practice
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WMATA QMPs will establish and document corrective action procedures to evaluate,
remediate, and prevent reoccurrence of non-conforming work or assets. These procedures
shall investigate the root cause of nonconforming work and implement action plans to address
the root cause and prevent recurring non-conformance.
Departments should maintain their own internal processes for undertaking internal or external
corrective & preventive actions, as part of instilling a culture of continual improvement.
Additionally, internal reviews or quality assessments performed by the QICO department or
external audits performed by oversight authorities such as the FTA may result in findings and
required internal or external corrective and preventive action.
Identifying the root cause of the non-conformance. The root cause of a non-
conformance must be identified prior to the responsible party proposing or
implementing an effective corrective action.
Determining a corrective action plan sufficient to address the root cause and prevent
recurrence of the non-conformance. Upon identification of the root cause, the
responsible party shall determine and propose an action plan that will address the root
cause and prevent future occurrence of the non-conformance.
Evaluating effectiveness of the corrective action performed. The corrective action shall
be implemented by an agreed upon date and subsequently reviewed to ensure it is
effective in addressing the root cause and preventing the recurrence of the non-
conformance. If found to be ineffective, actions shall be taken to determine if either
the action was not implemented as planned, or the root cause has not been identified
and/or addressed.
Document and maintain records of the root cause and corrective actions taken.
Corrective actions, including root cause analysis, performed to address non-
conformance shall be documented on a traceable report by the Authority’s quality
representative, and maintained as a quality record in accordance with the QMSP.
The elements of a Preventive Action process are essentially the same, however they are based
on a continuous risk assessment to identify potential non-conformances and take action to
prevent a non-conformance from occurring, rather than responding to one that has already
occurred.
A p p l i e s t o : A l l W MA T A d e p a r t m e n t s
QUALITY RECORDS
Quality records are the documents which provide objective evidence that procedures, work
instructions, policies, processes, etc., have been executed as required. They are the
documented evidence that work has been performed in accordance with the specifications,
policies, procedures, requirements of office/department QMPs, project-specific QMPs and
this QMSP.
WMATA QMPs will include procedures for the filing, archiving, maintenance and disposition
of quality records. Established procedures will outline the following processes for the quality
records:
Identification: QMPs will define the quality records for the office/department,
project/program, maintenance operation, and operations group. Documents that shall
be considered as quality records include, but are not limited to:
Collection: QMPs will identify the Authority’s representative responsible for ensuring that
quality records are comprehensive and completed and collected within the specified
timeline.
Filing: QMPs will establish a process for organizing and indexing quality records. The
established filing system of quality records shall allow for the ability to readily retrieve
documents as needed for review and use. The filing process may also include the use
of metadata or file naming conventions to facilitate ready retrieval.
Storage: QMPs will describe the method by which quality records are stored to prevent
damage or loss. This shall include the security and back-up of electronic data. The means
for storage of quality records shall allow for the ability to readily retrieve documents as
needed for review and project use.
Disposition: QMPs will specify retention times, in accordance with contract requirements,
of quality records as well as establish the process for final disposition. Quality records
that are associated with on-going litigation or claims shall be maintained as directed by
the legal department. Quality records related to the safety of a work item will be
maintained while that work item is in service.
A p p l i e s t o : A l l W MA T A d e p a r t m e n t s
Internal reviews and quality assessments comprise a key component of the Authority’s
assurance programs – illustrated in the QICO organization Chart, Section 2.4.1. They are
foundational to the successful implementation of the QMSP through their assurance of
compliance with the requirements and procedures established in QMPs.
Required elements and characteristics of reviews and assessments are summarized below.
3.11.1 Planning
Reviews and assessments shall be scheduled at a frequency commensurate with the
importance, risk profile, and previous performance of the activity or its performing
organization. Frequencies may be increased as needed, to more closely monitor performance
or risk.
A p p l i e s t o : A l l W MA T A d e p a r t m e n t s
In preparation for a review or assessment, the lead reviewer shall notify the reviewee(s) of
the upcoming activity and shall develop a review plan to include scope, methodology, and
schedule. The lead reviewer may designate a review team, to include any subject matter
experts who can provide specific insight into the areas under review. The lead reviewer shall
also identify potential participants from the department or office under review, assessment
locations (e.g. office, field, off-site), and any associated logistical requirements such as
software access, travel, and site safety considerations.
3.11.2 Performance
Elements selected for review shall be evaluated against documented requirements and shall
be verified through objective evaluation of evidence either provided by the reviewee or
observed by the reviewers. Objective evidence may include certifications, test reports,
approved submittals, and other quality records.
The lead reviewer will assess each element according to the requirement and the objective
evidence and assign an evaluation using the following terminology:
3.11.3 Reporting
QMPs shall establish guidelines and templates for summarizing and recording, and reporting
the results of reviews and assessments. QMP’s will also, when warranted, include
requirements and/or forms for reporting and tracking findings resulting from assessments,
Reviews, and other audits, to include response and resolution in accordance with the
corrective action processes defined per Section 3.9.
Completed reports, and checklists shall be maintained as Quality Records in accordance with
Section 3.10.
A p p l i e s t o : A l l W MA T A d e p a r t m e n t s
3.11.4 Scoring
At the conclusion of each internal review the results of what was examined are quantified
and scored based on the reviewee’s performance in the quality management (QM) practice
measure categories defined in Section 2.4.2.2, and a risk evaluation based on the severity of
review findings. Illustrated below are the elements of an internal review that QICO uses to
determine the quality score. This scoring methodology is a component of WMATA’s overall
strategy to drive continual improvement through quantifiable review and assessment results.
A p p l i e s t o : A l l W MA T A d e p a r t m e n t s
TRAINING
All personnel who perform work for WMATA shall be qualified based on education,
experience, and training as outlined in the QMP. QMPs will establish training procedures for
the identified personnel who perform the work. At a minimum, the QMP will outline the
following processes for training:
Establish the process by which project or operations teams are trained in the QMP and
understand the importance of quality and their impact on overall quality.
Evaluate the effectiveness of the training. QMPs shall outline a procedure for reviewing
the effectiveness of training and determine if revisions or additional training is required.
Maintain all training and qualification documents per Section 3.10. This shall include
documentation associated with each training session (i.e., attendance lists, agendas,
test results, etc.). The results of training evaluations shall be recorded and maintained.
Additionally, project staff qualifications, including completed training, certifications, and
licenses, shall be maintained within project or department files.
A p p l i e s t o : A l l W MA T A d e p a r t m e n t s
CUSTOMER FOCUS
Meeting the requirements and expectations of our paying customers and stakeholders is
paramount. WMATA’s Transportation functions directly serve our riders. The delivery of
quality service to the riding public depends also on numerous departments providing
quality services to internal customers.
Departmental QMPs must identify the department’s customers, define how quality can be
described or measured, and identify targets or goals for quality. In this way, the Customer
Focus standard of the Quality Management System goes hand-in-hand with WMATA’s
programs for Business Planning and Performance Measurement programs.
Quality in Practice
Traction
•Maintains power supply so
Power that...
Maintenance
A p p l i e s t o : A l l W MA T A d e p a r t m e n t s
The QMPs for departments responsible for the above functions will identify the process and
method by which these functions are carried out and scoped to best reflect what aspects
of quality are most important to the riding public, and how that information is delivered to
internal customers.
QMPs for departments that utilize this information will describe the processes by which
information is obtained and fed back into decision-making and prioritization in a continual
improvement process. Where applicable, QMPs will emphasize efforts that impact the key
drivers of customer satisfaction.
Source: WMATA’s Vital Signs Report for the third quarter of 2017.
REFERENCES
Federal Transit Administration Circular: Third Party Contracting Guidance: FTA C 4220.1F, Rev. 4, March 18, 2013.
Federal Transit Administration Quality Assurance and Quality Control Guidelines : FTA-IT-90-5001-02.1
Tunnel Security for Public Transit, American Public Transportation Association, Infrastructure Security Working
Group, APTA SS-SIS-RP-16-15, March 2015
ACRONYMS
DEFINITIONS
Assessment – See “Quality Assessment” below.
Assessment Finding or Issue – Record of evidence that a criterion for audit, assessment, or review is being
met (compliance/conformance) or that is not being met (non-compliance/non-conformance).
Assets – An item, part, system, assembly, vehicle or thing that has potential or actual value to WMATA in
maintaining its system in providing reliable service to the public, including but not limited to rolling stock, track,
structures, systems, facilities, stations, major equipment, etc.
Audit – One time or periodic, independent, and documented review and verification of activities, records and
processes to determine their conformity to requirements.
Calibration – a comparison of two instruments, measuring devices, or standards, one of which is known to be
accurate. Calibration is performed to detect, correlate, eliminate, and report by adjustments any variation in
accuracy of the instrument or measuring device.
Closeout – The process of completing the actions required under a corrective action plan.
Compliance – An affirmative indication or judgment that a product or service has met the requirements of the
relevant specification, contract, or regulation.
Conformance – An affirmative indication or judgment that a product or service has met the requirements of
the relevant specifications, contract, or regulation.
Core QMS Standards – The 15 distinct categories of characteristics, requirements, and best practices whose
development and implementation are essential to WMATA’s adoption of a Quality Management System that
aligns with industry practices.
Corrective Action – Problem remediation, root cause identification, elimination, and prevention of recurrence.
Contract Documents – refers to the documents included in a contract or purchase order that detail the
requirements, specifications, final design, and operating procedures of a procured product or service; contract
documents are used to determine a product’s compliance or conformance with the contract agreement.
Corrective Action Plan - A plan or set of tasks that outline corrective measures planned or already taken to
address external audit recommendations and related deficiencies or findings.
Corrective Action Request - A document requesting corrective action that is issued when activities are not
meeting quality requirements. This action is taken to identify root causes of nonconforming processes or
elements, and is aimed at eliminating the future recurrence of a problem of the same nature.
Deficiencies – Failures associated with internal controls required to meet the desired objective.
Design Input – Criteria, parameters, basis, or other design requirements upon which detailed design is based.
Design Output – Drawings, specifications, and other documents defining technical requirements of structures,
systems, and components.
Design Review – Formal review of existing or proposed designs to detect and remedy design deficiencies that
would affect fitness-for-use and environmental aspects of the product, process, or service, and/or the
identification of potential improvements of performance, safety, and economic aspects.
Discrepancies – Variation between the actual state versus the required state of a process, service or asset.
Engineer of Record – The individual responsible for the development of Contract documents, and who, as a
registered Professional Engineer endorses (signs and seals) the Record Drawings.
Entrance Meeting – Entrance meetings or discussions signify the beginning of an assessment, review, or audit,
typically include department management and administrative staff involved, and are an opportunity to discuss
the scope, available resources, and other concerns.
Executive Management Team – Senior WMATA managers (primarily titled “Chief” or “Assistant General
Manager”) reporting directly to the General Manager and Chief Executive Officer (GM/CEO).
Exit Meeting – An Exit Meeting signifies the end of fieldwork phase of an assessment or review, and provides
an opportunity for management to discuss the results with the Review Team prior to issuance of reports.
External Audit – Independent and objective review performed by a non-WMATA entity or oversight body that
reports to a third party. This would include, but not limited to, actions taken by the Federal Transit
Administration (FTA); Safety Oversight Board; Federal Emergency Management Agency (FEMA); Department
of Homeland Security (DHS); Jurisdictional Reviews – Operating and Capital (District of Columbia, Maryland,
and Virginia); Government Accountability Office (GAO); External Financial Auditors; External Payroll Auditors
related to Labor Contracts; and consulting firms commissioned or contracted by WMATA management or the
Board of Directors; or the National Transportation Safety Board (NTSB) (collectively “External Auditors”). The
NTSB and WMATA’s Office of Inspector General (OIG) also conduct audits and investigations; however,
resulting recommendations will be tracked and managed in the same manner.
First Article Inspection – A design verification of a given manufacturing process performed by both a supplier
and purchaser to ensure the production process reliably produces what is specified.
Inspection – The act of observing, documenting, and reporting the work in progress to verify whether the
practices, processes, and assets or parts comply with the procedures, work instructions, specifications, or
contract requirements.
Internal Corrective and Preventive Action (iCAPA) – A formal written strategic plan to address issues of
concern, required actions and recommendation resulting from internal reviews or quality assessments.
Internal Review – A type of internal assessment performed by QICO that comprehensively studies and
observes functional areas of WMATA’s operations, and may span multiple departments with broad scopes.
Maintenance – The fixing, repairing, restoring, rehabilitating, and updating of the assets used to deliver service.
Measure – A pre-defined quality or safety & security criterion utilized during an internal review or quality
assessment to score and categorize the results of said review or assessment. QICO has defined a set of Quality
and Safety & Security Measures for this purpose.
Non-conforming Work – Work performed that does not meet the procedure, work instruction, specification,
or contract requirements, and documented by a Non-conformance Report (NCR), requiring review of root-
causes and approval for use-as-is or repair dispositions.
Objective Evidence – Any statement of fact, information, or record, either quantitative or qualitative,
pertaining to a product, process, or service and based on observation, measurement, or test that can be
verified.
Observation – A fact of evidence discovered during an audit and substantiated by objective evidence. Failure
to act in response to an observation may result in a non-conformance.
Operations – The coordinated interaction of assets and personnel that result in the safe, reliable transportation
of people.
Organization – Any entity or grouping of people performing activities that affect the operations of WMATA.
Owner – WMATA in general, or the WMATA department identified as having responsibility for completing a
corrective action. This may also include WMATA’s designated agent or representative.
Owner’s Quality Oversight – The act of overseeing the implementation of a Quality Management Plan by
WMATA or its representative.
Preventive Action – A proactive action implemented to ensure a potential non-conformity does not occur.
Process – A set of interrelated resources and activities which transform inputs into outputs or outcomes.
Product – The outcome or result of coordinated business activities, which may comprise a tangible and
discernible item, a service rendered, or a public facility.
Program – A group of related projects managed in a coordinated way to obtain efficiencies or benefits that
would not be realized if the projects were managed individually.
Project – A temporary endeavor undertaken to achieve a specified, unique defined outcome in service,
product, methods, systems, or assets.
Quality Assurance – All planned and systematic activities necessary to provide confidence to management
that a product or service will satisfy given requirements for quality. In the WMATA QMS context, the Quality
Assurance function is performed independently from departments directly performing the work.
Quality Assessment – A type of internal assessment performed by QICO to evaluate conformance to the
procedures and actions documented in Quality Management Plans, as well as success towards achieving
quality targets. Quality Assessments are focused on determining the existence and effectiveness of quality
management standards and practices in day-to-day departmental operations.
Quality Assurance Inspection – The practice of verifying that the appropriate QC processes are followed
consistently, through an independent auditing and confirmation program.
Quality Control – The process by which factors involved in the creation and delivery of assets and services are
verified against specifications and requirements. In the WMATA QMS context, Quality Control is the
responsibility of the process owner (the department directly performing work).
Quality Control Inspection – Activities which provide a means to control and measure characteristics as they
relate to established requirements. This includes techniques and activities that sustain the Quality of an item
to satisfy given needs and use of such techniques and activities.
Quality Management System – A system of processes and procedures as defined and identified in the QMSP,
comprised of policies, objectives and management plans developed to document requirements for assets,
parts, and services.
Quality Record – Any documents generated by the Quality Organizations that provides objective evidence of
fulfillment of contractual requirements or documents the inspection and testing provided in confirmation of
work activities.
Service – The provision of an intangible benefit, which is usually a significant element of a tangible product.
Surveillance - The unannounced act of monitoring or observing specific acts or activities to verify conformance
to the specified requirements.
Risk – An uncertain event or condition that, if it occurs has a positive or negative effect on the organization’s
objectives and operations (both threats and opportunities).
Risk Rating – Is assessed on the combination of the probability of occurrence of risk and the severity of the
risk.
Reject – Disposition indicating the item is unsuitable for its intended purpose and economically or physically
incapable of being either reworked or repaired.
Rework – Disposition that indicates the deficiency can be brought into conformance with the original
requirements through reassembling, reprocessing, reinstallation, or completion of the required operations. It
is also an action to restore nonconforming work to bring it into compliance.
Root Cause Analysis – Process to identify the primary cause of a non-conformance which, if corrected, will
prevent reoccurrences of non-conformance, failures, or unacceptable deviations.
Testing - Subjecting an item to a set of physical, chemical, environmental, or operating conditions to verify
the item meets requirements.
Traceability – The ability to track the history, application, or location of an element, by means of recorded
identifications.
Validation – Confirmation by examination and provision of objective evidence that the particular requirements
for a specific intended use are fulfilled.
Verification – The act of reviewing, inspecting, testing, checking, assessing, or otherwise establishing and
documenting whether items, processes, services, or documents, conform to specified requirements.
Work – the act of producing and installing the product or service to be furnished and provided by WMATA or
its contractors including, design, engineering, construction, supply of vehicles and related systems, utility
adjustments, financing services, operations, maintenance, other work of reconstruction, or reinstatement.
Working Drawings – An accurate measured, detailed, and scale drawing that serves as a guide to workers for
constructing or manufacturing permanent or temporary elements of the project.
QMS PROCEDURES
These top level core QMS Procedures are strategic level documents (refer to Section 2.2.3 QMS Hierarchy), and
by virtue of association with the QMSP, they, too, are considered approved by the GM, the Chief of INCP, and
the Managing Director of QICO, and do not require their additional signatures for approval.
QMP TEMPLATE
See attached
Revision [#]
[Date of Last Revision]
[Department/Project Name] Quality Management Plan TEMPLATE
REVISION HISTORY
Revision No. Revision Date Description of Changes
Add section/location of revision(s), if not the initial release
[Name] Date
Title (Acronym)
[Name] Date
Title (Acronym)
[Name] Date
Title (Acronym)
[Name] Date
Managing Director, Quality Assurance, Internal Compliance & Oversight (QICO)
INTRODUCTION
Rather than being a very large and unwieldy document containing every single relevant document and
piece of information, the Quality Management Plan is intended to provide verifiable summaries and
references to demonstrate that all applicable standards are in place.
QMP Content
While there are 15 Core QMS Standards identified in the WMATA QMSP, not all standards are necessarily
applicable to every department or project. As such, not all standards are necessarily addressed in this
QMP. For additional information on QMPs and their relation to the QMSP framework, please reference
Section 2.3 of the WMATA QMSP.
This QMP template’s prompts and questions are answered using one or more of the following, as
appropriate and applicable to the context:
Tables
Text/paragraph answers
Graphics
Staff from the Office of Quality Assurance, Internal Compliance & Oversight (QICO) assigned to support,
monitor, and provide guidance in the development and implementation of this QMP, are available to
provide ongoing assistance in determining the appropriate format in which to document compliance with
the standards.
Assessment Finding or Issue – Record of evidence that a criterion for audit, assessment, or review is being
met (compliance/conformance) or that is not being met (non-compliance/non-conformance).
Assets – An item, part, system, assembly, vehicle or thing that has potential or actual value to WMATA in
maintaining its system in providing reliable service to the public, including but not limited to rolling stock, track,
structures, systems, facilities, stations, major equipment, etc.
Audit – One time or periodic, independent, and documented review and verification of activities, records and
processes to determine their conformity to requirements.
Calibration – a comparison of two instruments, measuring devices, or standards, one of which is known to be
accurate. Calibration is performed to detect, correlate, eliminate, and report by adjustments any variation in
accuracy of the instrument or measuring device.
Closeout – The process of completing the actions required under a corrective action plan.
Compliance – An affirmative indication or judgment that a product or service has met the requirements of the
relevant specification, contract, or regulation.
Conformance – An affirmative indication or judgment that a product or service has met the requirements of
the relevant specifications, contract, or regulation.
Core QMS Standards – The 15 distinct categories of characteristics, requirements, and best practices whose
development and implementation are essential to WMATA’s adoption of a Quality Management System that
aligns with industry practices.
Corrective Action – Problem remediation, root cause identification, elimination, and prevention of recurrence.
Contract Documents – refers to the documents included in a contract or purchase order that detail the
requirements, specifications, final design, and operating procedures of a procured product or service; contract
documents are used to determine a product’s compliance or conformance with the contract agreement.
Corrective Action Plan – A plan or set of tasks that outline corrective measures planned or already taken to
address external audit recommendations and related deficiencies or findings.
Corrective Action Request – A document requesting corrective action that is issued when activities are not
meeting quality requirements. This action is taken to identify root causes of nonconforming processes or
elements, and is aimed at eliminating the future recurrence of a problem of the same nature.
Deficiencies – Failures associated with internal controls required to meet the desired objective.
Design Input – Criteria, parameters, basis, or other design requirements upon which detailed design is based.
Design Output – Drawings, specifications, and other documents defining technical requirements of structures,
systems, and components.
Department Scope
[Briefly define the mission, scope, and responsibilities of the department]
Organization of Functions
[Provide materials or link to an updated functional organization chart demonstrating the reporting
relationship of all functional areas under the Accountable Executive for this department/project, down to
the lowest managerial level.]
Management Responsibility
[Identify the managers responsible for Quality Management practices throughout the
department/project; a table format would be ideal]
2 DESIGN CONTROL
For Departmental QMPs
[Provide materials or link to the processes for managing and tracking changes to the design or
configuration of operating assets under the custody of the department.]
3 DOCUMENT CONTROL
[Provide materials or link to the processes governing revision and approval of controlled documents.]
[Ensure that the process includes how controlled documents are initiated, revised, reviewed, stored,
tracked, officially released, etc.]
4 PURCHASING
For Department QMPs:
[Identify the types of tangible items and services that the department procures. E.g. vehicle parts, bulk
materials, construction services, consulting services.]
[Identify who is responsible for initiating and assuring what types of purchases, and who is responsible
for development of specifications/scopes of work.]
[Describe the process by which the qualification of vendors and their ability to successfully
deliver/perform is managed and incorporated into the Purchasing process.]
For Project QMPs, if non-WMATA-administered procurement is utilized for lower-tier goods and services:
Address all the above, plus:
[Describe the organizational framework and procedures used to execute the procurement of goods and
services in support of project delivery.]
[Who is responsible for the accurate identification & traceability of these assets & material]?
6 PROCESS CONTROL
Controlled Processes
[Identify the tasks performed by the department that are controlled processes.]
[Identify where process documents are stored and how are updates disseminated.]
[Identify who performs Inspection and Testing, and the cycles on which they are performed.]
[Identify who is responsible for establishing Inspection & Testing procedures and cycles.]
[Identify who is accountable for the timely and compliant completion of inspection and testing.]
[Identify where standards and instructions are stored, and who is responsible for this.]
[What are the calibration standards used for each type of equipment? Reference WMATA, OEM, or other
documents that establish standards and procedures.]
[Identify procedures that ensure compliance with QMSP-SOP-003, particularly with verifying that only
calibrated equipment is available for use and that any “Out of Cal” equipment is removed from service.]
9 NON-CONFORMANCE
[Describe how work items or assets that do not conform to requirements are identified.]
[How are identified Non-Conformances tracked? E.g. in an asset management system, in a tracking
spreadsheet, whiteboard, etc.]
[What processes and controls are in place to ensure non-conforming work items are not released into
service or in production?]
[How is dissemination and training addressed for any procedures, instructions, or practices that are
modified, added, or removed as part of Correction Action Plan implementation?]
[Identify current active Corrective Action Plans and their corresponding responsible parties.]
11 QUALITY RECORDS
[Identify the types of quality records generated by the department/projects, which may include any of
the types identified in QMSP Section 3.11.]
[Provide materials or link to the governing processes, procedures, and parties responsible for
maintenance, accuracy, and availability of the above types of quality records.]
13 TRAINING
[Describe the process or system by which skillset requirements are established, staff are evaluated against
requirements, and training is scheduled and provided to address gaps. This process or system should
include description of the responsibilities of appropriate levels of management.]
[Describe the processes by which training is typically provided, and by whom. (e.g. in-house, contracted)]
[Describe where and how records of training, qualification, and certification are maintained, and by
whom.]
14 CUSTOMER FOCUS
[Who are the primary customers of the department? (Internal and/or External)]
[What factors drive the satisfaction of the customer, and how would the customer define “Quality”?]
[How are the answers to the previous question established? E.g. Rider surveys, senior management
directives, peer discussions, etc.]