Click here to load reader

APPENDIX D QUALITY ASSURANCE (QA)/QUALITY ... ... (QA)/Quality Control (QC) guidance for National Environmental Policy Act (NEPA) documents is designed to provide a functional and

  • View
    1

  • Download
    0

Embed Size (px)

Text of APPENDIX D QUALITY ASSURANCE (QA)/QUALITY ... ... (QA)/Quality Control (QC) guidance for National...

  • APPENDIX D QUALITY ASSURANCE (QA)/QUALITY CONTROL (QC) GUIDANCE FOR NEPA DOCUMENTS

  • THIS PAGE INTENTIONALLY LEFT BLANK

  • Appendix D - Quality Assurance (QA)/Quality Control (QC) Guidance For NEPA Documents

    Page D-i August 2017

    Version 5

    APPENDIX D QUALITY ASSURANCE (QA)/QUALITY CONTROL (QC) GUIDANCE FOR NEPA DOCUMENTS CONTENTS

    Page 1.0 INTRODUCTION ------------------------------------------------------------------------------------------------------------------- D-1

    1.1 PURPOSE ---------------------------------------------------------------------------------------------------------------- D-1

    1.2 SCOPE -------------------------------------------------------------------------------------------------------------------- D-2

    1.3 ENGINEERING DESIGN AND ENVIRONMENTAL ANALYSIS -------------------------------------------- D-3

    2.0 PROJECT MANAGEMENT ------------------------------------------------------------------------------------------------------ D-4 2.1 PROJECT TEAM ------------------------------------------------------------------------------------------------------- D-4

    2.2 PROJECT TEAM RESPONSIBILITIES --------------------------------------------------------------------------- D-5

    2.2.1 PROJECT MANAGER --------------------------------------------------------------------------------------D-6

    2.2.2 QUALITY ASSURANCE MANAGER -------------------------------------------------------------------D-6

    2.2.3 HIGHWAY DESIGN TASK LEAD ------------------------------------------------------------------------D-7

    2.2.4 TRANSPORTATION ANALYSIS TASK LEAD -------------------------------------------------------D-7

    2.2.5 ENVIRONMENTAL/PUBLIC INVOLVEMENT TASK LEAD --------------------------------------D-8

    2.2.6 TECHNICAL EDITOR ---------------------------------------------------------------------------------------D-8

    3.0 RECORDS AND DOCUMENTS ------------------------------------------------------------------------------------------------ D-9 3.1 GUIDELINES FOR DOCUMENT RETENTION ----------------------------------------------------------------- D-9

    3.2 FORMAT FOR TITLES OF ELECTRONIC FILES ----------------------------------------------------------- D-11

    3.3 AUDIT-------------------------------------------------------------------------------------------------------------------- D-12

    3.4 OPEN RECORDS REQUEST ------------------------------------------------------------------------------------- D-12

    4.0 QUALITY ASSURANCE PROCESS ---------------------------------------------------------------------------------------- D-13 4.1 NEPA DOCUMENT REVIEW QUALITY ASSURANCE PROCESS ------------------------------------- D-13

    5.0 SUMMARY ------------------------------------------------------------------------------------------------------------------------- D-15 6.0 REFERENCES -------------------------------------------------------------------------------------------------------------------- D-16

  • THIS PAGE INTENTIONALLY LEFT BLANK

  • Appendix D - Quality Assurance (QA)/Quality Control (QC) Guidance For NEPA Documents Page D-1 August 2017 Version 5

    1.0 INTRODUCTION The Colorado Department of Transportation (CDOT) is strongly committed to sound engineering design, application of sound scientific principles in its analyses, and the production of quality documents. This Quality Assurance (QA)/Quality Control (QC) guidance for National Environmental Policy Act (NEPA) documents is designed to provide a functional and easily understood set of guidelines to maintain and ensure quality during the preparation of NEPA documents including: Categorical Exclusion (CatEx) documentation, Environmental Assessments (EA), and Environmental Impact Statements (EIS). These documents are public documents that are referenced by private individuals, companies, government agencies, and non-governmental organizations. The public nature of these documents requires them to be based upon accurate technical information and environmental analysis, to be well-written, easy to read, and to provide full and honest disclosure.

    Quality Assurance is the process that is followed to ensure the preparation of quality NEPA documents, while Quality Control refers to the systems in place to evaluate quality.

    1.1 Purpose The purpose of QA is to ensure that the project team’s processes are sound and that QC is properly provided on every project. In other words, QA is an oversight (or audit) function to make sure that QC is being properly conducted. The purpose of this QA/QC guidance is to provide a framework to ensure that:

     Quality work is consistently performed and that quality deliverables are consistently produced

     Multi-disciplinary data acquisition and design efforts are coordinated

     Design is sufficiently complete to produce a planning-level cost estimate for the purposes of project funding and supporting the impact and mitigation analysis in a NEPA document

     Project continuity occurs in record-keeping and document review  Orderly procedures are established to provide QC for engineering

    design and scientific calculations, drawings, and specifications  Environmental and design attributes meet established industry or

    agency standards and comply with applicable agency requirements  Project documents have undergone the necessary technical editing

    (including grammar, punctuation, and spelling), proofreading, and editorial process

    “To provide the best multi- modal transportation system for Colorado that most effectively moves people, goods and information”

    - CDOT’s Mission Statement

    “The ultimate goal is to produce better NEPA documents for public use, improve the legal defensibility of the document and process, comply with the intent of NEPA, and make better project decisions.”

    - AASHTO/ACEC/FHWA Improving the Quality of Environmental Documents

  • Appendix D - Quality Assurance (QA)/Quality Control (QC) Guidance For NEPA Documents Page D-2 August 2017 Version 5

    1.2 Scope A QA/QC plan shall be prepared for each project. The intent of the QA/QC plan is to specify all QA/QC activities that will be implemented for work on the project. Just as CatEx, EA, and EIS documents vary in scope and complexity, the QA/QC plan prepared will be project-specific and tailored to meet the needs of the project and project team. Since professional staff at CDOT, consultants working on CDOT projects, and local agency staff are the primary audiences for this Manual, the objective of this guidance is not to be overly prescriptive. The author of the QA/QC plan should be defined in the project-specific scope of work. Example QA/QC Table of Contents from projects QA/QC plans are included in Attachments 1 and 2.

    At a minimum, CDOT recommends the QA/QC plan contain the following sections:

     Name of the Quality Assurance Manager (defined in Section 2.2)  Name of a designated staff member to conduct the technical editing

    of the NEPA document, including technical memoranda, reports, and supporting documentation, prior to CDOT, the Federal Highway Administration (FHWA), and other agency review. This may be the same person as the Quality Assurance Manager.

     Brief description of the project scope of work and key deliverables  Project leadership organization chart  Names of the Project Manager and each major discipline task

    manager, including sub-consultants and/or vendors  One major point of contact from the project team who will be

    responsible for coordination between the project team, CDOT, FHWA, and other agencies

     Concise discussion of the responsibilities of the Project Manager and each major discipline task manager

     Project team contact list  Outline of the filing system to be used for the project, including

    procedures for geographic information system (GIS) data management, computer aided design and drafting (CADD) data management, and computer file maintenance, as appropriate

     Verify that all environmental and design attributes meet established industry or agency standards and comply with all applicable jurisdictional codes and requirements

     Ensure engineering design is sufficiently complete to produce a preliminary, planning-level cost estimate for the purposes of project

    CDOT has committed to complying with the intent and requirements of NEPA for all transportation activities, regardless of whether or not they are federally funded.

    - CDOT Environmental Stewardship Guide

    Planning is the beginning. Quality in work is not an accident.

  • Appendix D - Quality Assurance (QA)/Quality Control (QC) Guidance For NEPA Documents Page D-3 August 2017 Version 5

    funding (for complete design, construction, and implementation of required mitigation) and to support environmental analysis

     Summary of the procedures to be used for document proofreading, quality, and completeness and accuracy. Chapter 8 of this Manual establishes a procedure for FHWA and CDOT review of documents prepared for CDOT NEPA projects.

    1.3 Engineering Design and Environmental Analysis

    CDOT is committed to maintaining the quality and integrity of the engineering design and environmental analyses performed in support of the NEPA process. The purpose of this section is to acknowledge that engineering de

Search related