Quality Assurance and Quality Control Plan

Number Three Wind Farm ● Lewis County, New York

Case 16-F-0328

May 2018

1 Project Information
Number Three Wind LLC (NTW) proposes installation of the Number Three Wind Farm (the Project) in
Lewis County, New York. The Project will consist of up to 43 wind turbine generators (WTG) and
associated improvements, including buried electric cables, pad-mount transformers, access roads, an
electrical substation, overhead electric lines, permanent meteorological towers, and an operations and
maintenance building.

2 Introduction

2.1 Purpose of this Quality Assurance and Quality Control Plan

NTW has prepared this preliminary Quality Assurance and Quality Control Plan (QA/QC Plan) to outline
how NTW and its balance of plant (BOP) Contractors will monitor and assure conformance of facility
installation with all applicable design, engineering and installation standards and criteria. It represents a
systematic management approach for planning, implementing, verifying, and documenting construction to
ensure the final product satisfies technical, administrative and quality objectives. The QA/QC Plan
encompasses the policies and procedures, authorities, requirements, and guidance necessary for
implementation and assessment of work in compliance with contractual requirements and governing
specifications.

This plan will apply to work, inspections, and testing activities performed under the terms of the BOP
contracts, including work performed by subcontractors, fabricators, and suppliers. It includes control
measures for verifying the quality of equipment and materials, processing submittals, monitoring
construction activities and testing.

2.2 Plan Implementation and Oversight

The BOP Contractors will be responsible for constructing the Project in accordance with applicable codes
and permit conditions and implementing a project-specific QA/QC Plan, which shall incorporate the
general concepts and requirements of this preliminary QA/QC Plan and must be approved by NTW prior
to the commencement of construction. NTW’s contract with its BOP Contractors will require
implementation of the QA/QC Plan. Effective implementation of the QA/QC Plan requirements and
procedures will assure that the completed Project complies with all applicable design, engineering and
installation standards and criteria.

During construction, NTW will have a Construction Site Manager and assistant on-site. They will work
with a Chicago-based project manager to oversee daily construction activities and ensure the BOP
contractors construct the Project in accordance with the terms of the BOP contracts and industry

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standards, including implementation of the QA/QC Plan. NTW’s Construction Site Manager will have at
least five years of experience with construction of heavy industry and commercial power generation
projects. Each BOP Contractor will also have a designated site manager on-site daily during the period
when that contractor is providing services.

3 Quality Control

3.1 General Organization

Project personnel and quality control staff are essential in achieving project success and will be
responsible for reporting issues that could adversely affect the safety, scope definition, cost control,
schedule performance and the expected level of quality. The project quality control staff will be trained
and responsible for identifying, reporting, documenting, and verifying that the appropriate remedial and/or
corrective actions have been implemented to ensure items and services conform to the specified
requirements. The quality control staff will maintain a close working relationship with project management
and will keep management advised of situations which if not corrected or controlled could adversely affect
delivery of the expected level of quality of the project. This section describes and documents the
organization and authority for the development, approval, and implementation of the QA/QC Plan
including verification of work activities. It documents the organizational structure, functional
responsibilities, levels of authority,and lines of communication.

3.2 Organization, Duties, Responsibilities, and Authorities

It is the responsibility of all personnel involved in project activities that may affect the quality, construction,
operation, or other quality related functions to be aware of and to implement the quality policies and
practices set forth by the QA/QC Plan.

The Project Manager (PM) shall serve as the single point of contact for coordination with the Project. As
the chief contract representative, the PM technically and administratively manages the contract and has
authority and is responsible for the following activities:

• Issue and authorize, in conjunction with the Quality Assurance Manager, stop-work orders when
necessary

• Ensure that relevant portions of the work plan are implemented through audits and observations
of project activities.

• Interface directly with the owner to maintain an awareness in planning and scheduling processes

• Implement the approved site-specific plans

The Vice President of Environmental, Safety, and Quality (ESQ) will ensure the necessary independence
required for unbiased and objective assessments. The responsibilities of the Vice President of
Environmental, Safety, and Quality or designee include the following activities:

• Review and approve the project-specific QA/QC Plan and subsequent revisions

• Provide QA/QC discipline direction and support to project QA/QC staff

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 • Periodically evaluate the effectiveness of the project-specific QA/QC Plan through observations,
audits, or independent assessments

The Site Quality Assurance Manager (QAM), responsibilities include, but are not limited to, the following:

• Establish a document management system for project quality records that ensures detail,
accessibility, and ensure document security.

• Review submittals for compliance with specifications and construction drawings

• Perform and document assessments, observations, and inspections to verify construction is

implemented in accordance with required standards and methods given in specifications, and
construction drawings.

• Issue, in conjunction with PM stop-work orders when necessary

• Ensure instruments, tools, and testing equipment that require calibrations are current and
documented.

• Train, qualify, and evaluate the quality control staff

• Assign, direct and support the Project quality control staff

• Provide clarification and guidance to personnel concerning QA/QC matters

• Implement the Three Phase Inspection Process as defined in section 4

• Review inspection and testing documents

• Issue Non-Conformance Reports (NCR), review, and verify corrective actions as defined in
section 6

• Create punch lists on substantially complete work

4 Submittal Review and Management

The PM and QAM, or authorized designees, will review submittals for completeness, accuracy and
conformance. Any submittals requiring modifications or changes will be returned to the originating
organization for correction and then resubmitted for review and approval by the PM and QAM prior to
submittal to NTW.

The PM or designee is responsible for the preparation and maintenance of the required project
submittals. Submittals will be listed in the project submittal log. The date of submittal distribution and
approval will be recorded in the submittal log. The log will be updated and distributed periodically by the
PM or designee.

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5 Procedures for Inspections and Acceptance Testing

5.1 General
Procedures contained in this QA/QC Plan define requirements for planning and performing quality control
activities for each definable feature of work. The procedures establish control of inspections and tests.
Implementation of the three phase inspection process (preparatory, initial, follow-up) allows for the PM
and QAM to plan work to ensure that actions have been completed, work is understood by project
personnel, submittal obligations are fulfilled and required materials and test equipment are available. The
three phase inspections will be performed for each definable feature of work. To ensure compliance with
technical specifications and contract requirements specific activities associated with the work may warrant
additional inspection or testing. Inspection and testing shall be performed as necessary to ensure the
appropriate level of project quality.

5.2 Definable Feature of Work

A definable feature of work is a task which is separate and distinct from other tasks and which has
separate control requirements. The definable features of work for the project may include but are not
limited to the following.

• Environmental Controls

• Road Construction

• WTG Foundations

• WTG Erection

• Collection System

• Point of Interconnection Switchyard Construction

• Project Substation Construction

• O&M Building Construction

• MET Tower Construction

5.3 Preparatory Phase

Preparatory phase inspections will be performed prior to starting the definable feature of work listed
above. The preparatory phase inspection meeting will be conducted by the QAM and Construction
Manager and attended by the foreman and responsible construction and testing personnel, any
applicable subcontractor involved with the feature of work. The preparatory inspection meeting includes,
but is not limited to:

• Reviewing of pertinent contract requirements

• Reviewing Specification requirements

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 • Reviewing of required control inspections and test requirements

• Reviewing the required hold points

• Verifying previous hold points required to begin the feature of work a complete and conforms to
approved drawings and submittal data

• Verifying that the required materials and equipment for commencement of the work are on hand
or available for use on the feature of work and that equipment is properly calibrated and in proper
working condition

• Reviewing safety hazards, mitigation, and protective equipment

• Establishing acceptable levels of workmanship required to meet contract requirements for the
definable features of work

The preparatory inspection meeting results will be documented by the QAM using a preparatory
inspection checklist. Additional inspections will be conducted if the project staff change, if problems
develop, or if work resumes after a substantial stoppage.

5.4 Initial Phase Inspection

An initial phase inspection will be conducted by the QAM at the beginning of each definable feature of
work. The inspection will be performed as soon as a sufficient portion of the work has been accomplished
to evaluate the following criteria:

• Compliance with the specifications, drawings, inspection, and testing requirements

• Acceptable levels of quality in workmanship

• Compliance with material specifications

The initial inspections will include the participation of the QAM, Construction Manager, Foreman,
responsible construction and testing personnel, and any applicable subcontractor involved with the work.

The initial inspection results will be documented by the QAM using the initial inspection checklist.
Additional inspections will be conducted if the project staff change, if problems develop, or if work
resumes after a substantial stoppage.

5.5 Follow-Up Phase

Follow-up will be performed as needed. Follow will be determined by results of daily inspections and
testing. The follow-up phase results will be documented by the QAM using a follow-up inspection
checklist.

5.6 Acceptance Testing

The testing laboratory and qualified personnel are responsible for conducting construction material tests
and inspections in accordance with standards referenced in specifications and construction drawings. The
laboratory will be certified/accredited by a nationally recognized agency. Testing equipment will be

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currently certified/calibrated, maintained, and used in accordance with specifications and applicable
standards. The certified/accredited testing results generated by the laboratory will be used by the BOP
contractors to verify compliance. Performance and results of acceptance tests will be continuously
monitored and reviewed by the Construction Manager, QAM, and PMs. Nonconforming materials or
conditions shall be immediately addressed.

6 Job Books

6.1 General
The QAM shall review the contract, specifications, and drawings to identify the required documentation
and develop an organizational system for maintaining such documentation. Hard copy documentation
including material certifications, receiving inspections, inspection checklists, and test reports shall be
maintained continuously throughout the duration of the project. The QAM or designee shall be
responsible for reviewing and maintaining test reports, certifications, inspection reports and other
documentation throughout the duration of the project. Documentation will be continuously populated in
the job books, which will be available digitally to authorized persons.

6.2 Storage of Job Books

Job books will be prepared to furnish documentary evidence of the quality of in situ materials and
components. Job books will be maintained and stored at the project site until submitted to NTW. Hard
copy records will be readily available for review and auditing purposes for owner or representative with
reasonable notice. The job books will be controlled in a manner that prevents loss, or damage.

7 Non-Conformance and Corrective Actions

7.1 General
Quality control is the primary responsibility of those performing the work and not the sole domain of a
single quality control group or person. Anyone can and should report non-conforming components,
materials, or conditions to the QAM. Early identification of components, materials, or conditions not
conforming to the specifications or contract requirements may not require official disposition but will be
reported to the QAM. Any non-conformance discovered during inspection or testing shall be reported to
the QAM. Best practice will dictate if conditions necessitate a Non-Conformance Report (NCR).

7.2 Non-Conformance Reports (NCR)

The QAM or designee will create the NCR and distribute to the PM and applicable Site Supervisor. The
NCR will detail the nonconforming condition and recommend corrective action. QAM and PM will
determine the severity of the non-conformance and request engineering assistance for corrective action
recommendations or approvals if necessary.

If the non-conformance is severe or the approved corrective action will cause a schedule impact or design
change PM will notify the owner in accordance with the contract. The NCR will remain open until the
nonconforming condition has been resolved and verified by QAM, or designated person. The QAM will
maintain a NCR log including date created, brief description of the condition, level of severity, and date
closed.