Quality Management Toolkit

RIBA Quality Management Toolkit: Guidance 1 Topic Guidance 2 Documentation Tasks

Compiled by Keith Snook – October 2006 Part of the RIBA Quality Management Toolkit Updated version – January 2007

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QUALITY MANAGEMENT TOOLKIT - GUIDANCE PART 1 - TOPIC GUIDANCE

PART 1 – TOPIC GUIDANCE

1

The need for a Management System

2

The RIBA QM Toolkit

3

The Quality System Standard

4

The Customer, Product, Supplier and Specification

5

Management of Quality

6

Notes on Documentation

7

Bought in Services and Products

8

Project Quality Planning

9

Inspection, Checking and Subsequent Action

10

Documenting the Management System

11

Overview Of The RIBA QM Toolkit Procedures Manual

PART 2 – DOCUMENTATION TASKS

1

Practice Management

2

Project Management

3

Design and Production Management

4

Office Management

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1

THE NEED FOR A MANAGEMENT SYSTEM

“To have a perfect system is impossible – to have a system is invaluable” G K Chesterton Any project is a journey and as does a journey it becomes easier to envisage, plan and execute with a good map. It follows that a project is easier to envisage, plan and execute with map in the form of a management system. What is true for a project is also true for your practice (business) generally and having systems for various functions means that the wheel doesn’t have to be constantly reinvented and consistent ways of working can be understood and adopted by everyone. When things don’t go quite according to the plan on a journey, a map can become a lifesaver as it allows you to find a way out of the trouble. You can find where you are and then plot a route around the problem to where you want to be. Similarly one of the main benefits of a management system is that it helps you get around the unforeseen in the most effective way. It does this in two ways. One is the obvious analogy with the map when travelling – • Where am I? • Where do I want to be? • How can I get back on course or find another route? The other is that by having and working-to proven systems and protocols etc significant time is saved and a part of that time (and resources) can be devoted to the real design/creative work and solving real problems. Without systems almost everything can be a ‘problem’, a potential ‘time bandit’, hungry for and wasteful of resources. Errors Chesterton asserted that a system cannot be perfect and it has to be said that the same is true of us! Whilst errors are clearly often quite serious in their own right they are always much more serious if they are either not discovered or are repeated. Systems for managing all kids of things have abounded for a very long time. They continue to proliferate but arguably this is where the particular attributes of incorporating them all into the Quality Management System (QMS) comes into its own. A QMS has a particular emphasis on identifying deficiencies and proposing actions to deal with them. True to the principles noted above there is international agreement, applicable to all types of endeavour, on a framework for dealing with this that is and this is expressed in BS EN ISO 9001.

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THE RIBA QUALITY MANAGEMENT TOOLKIT

INTRODUCTION Background The RIBA Quality Management Toolkit – was originally developed under the supervision of the RIBA Practice Committee and first made available in 1998 on the member intranet discussion forum RIBANet. It was subsequently made available on the member area of the RIBA web site and has since been updated to accommodate revisions to the Quality Systems Standard 1 “BS EN ISO 9001 2000 Quality Management Systems”. It has recently been revised further in support of the requirement for Quality Management in the Chartered Practice Scheme. Principle of ‘Toolkit’ It has been developed to be a self-help tool to assist architectural practices in installing a quality management system appropriate to the practice of architecture (using a generalist practice model). It is in two levels and the full system is compliant with the International Standard if conscientiously applied. It can therefore help produce a system suitable for external assessment and third party certification 2 if desired or required. It provides an acceptable basis for the requirements of the RIBA Chartered Practice Scheme for practices to have an appropriate quality management system 3 . Coverage The Toolkit covers ‘normal’ architectural services (eg 1998 Plan of Work stages A-M/ 2007 Outline Plan of Work stages A - L). We have no immediate plans to extend it to cover other services/activities (such as planning supervision under the CDM regulations or party wall surveys etc) but we do hope to cover these issues in time. Currently there are links to other authoritative information on some of these subjects. A full quality management system concerns itself with both the processes/procedures directly related to running projects and those more related to running the practice. The RIBA Quality Management System (QMS) covers these aspects. Whilst it will be of significant comfort to the client for a small project to know that a practice has good procedures related to all the processes of practice, their principal interest will be that the practice has proper procedures related to their project. In providing the RIBA Project Quality Plan for Small Projects (PQPSP) we have recognised this and it provides a mechanism for us to differentiate on the basis of size and sophistication between small and large practices. The RIBA Project Quality Plan for Small Projects has been prepared based on the Project Quality Plan section from the full QMS so, for practises in growth or taking-on larger projects, a transition to the full QMS will not create difficulties of incompatibility.

Extract from the Chartered Practice Manual • • •

Small practices (up to 10 staff in total) are required at least to use the RIBA QM Project Quality Plan, or equivalent, on each project. Medium practices (11 to 49 staff) are required to use the RIBA QM Toolkit (incorporating the RIBA QM Project Quality Plan), or equivalent, on all projects and for office procedures. Large practices (50+ staff) are to have an externally-certified BS EN ISO9000-2000 Quality Management System in use. This could be based on the RIBA QM Toolkit or an equivalent system.

1

Links to other internal and external sources are indicated by blue underlined text. To return use the “Back” button (or green left pointing arrow) in the standard MS Word or web browser toolbar. 2 The term ‘accredited’ is often erroneously used for this process. It is the certification body that is accredited to certify to applicants following thorough assessment of their systems. 3 This can also be achieved by using a proprietary system (such as the Tim Jefferies’ book published by RIBA Enterprises) or other system of similar rigour Last edited: 30 January 2007 Printed: 30/01/07 10:41

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Fig 1 The components of the Toolkit

RIBA Quality Management Toolkit Overview RIBA QMS Guidance

RIBA Project quality plan for small projects Incorporatin g

Short form project quality plan

RIBA QMS Quality Manual RIBA QMS Procedures Manual

ISO 9001– Third party certificate

Incorporatin g

Forms and instructions

RIBA Quality Management Toolkit The components of the RIBA Quality Management Toolkit are: 1

2

3

4

5

RIBA Quality Management Toolkit – Overview: This document covering the philosophy behind the Toolkit approach and briefly explaining coverage and operation. RIBA Project Quality Plan for Small Projects (PQPSP) This covers aspects to do with running individual projects – it incorporates a simple (single sheet) Short Form for very small projects/consultancy/investigations and the like. RIBA Quality Management System – Guidance. This is primarily for use with parts 4 and 5 below for practices installing and implementing systems that can comply with the requirements of the international Standard. It may be of general interest to others also. It is in two sections: 1) Topic Guidance which explains the benefits of having a QMS and discusses the various topics from definitions of terms to the basis of project quality planning: 2) Documentation Tasks which covers the necessary documentation and approach to it both from a general point of view (including guidance on procedure writing) and the approach used in the Toolkit. RIBA Quality Management System – Quality Manual This is pro forma document. The Quality Manual is the declaration by the practice that they operate and are committed to a quality management system and it is designed to bee seen by clients and others. RIBA Quality Management System – Procedures Manual This is a pro forma document providing essential procedures covering both office and project processes. This incorporates templates for the various forms and more detailed work instructions

The RIBA QM Toolkit can be considered as both progressive and cumulative in relation to practice size and project type. For example, for a small practice experiencing growth there will be nothing in the procedures adopted for the small project quality plan that are different to anything that will be found when they reach the need to adopt the full system. Also for a large practice with a ‘section’, department or other way of separating out the smaller projects, that part of the organisation, provided it is identifiable from the rest, can adopt the either the small practice quality plan or even the short form if the project is suitable. Last edited: 30 January 2007 Printed: 30/01/07 10:41

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Use The Toolkit has been developed to be primarily used by practices electronically. It comprises MS Word documents and assumes some basic knowledge of the use of MS Word. It is however very simple to operate and will provide benefits to the practice. The presentation provides internal links from enquiry points (bookmarks) to reference points as necessary by way of hyperlinks. Some links to useful external sources are also provided for example: ƒ Web-site of Co-ordinating Committee for Project Information for access to the full text of the Code of Procedure for Production Information. ƒ Web-site of the Usable Buildings organisation for advice on the collection and use of feedback/post occupancy data. ƒ British Standards Institution – reference to the International Standard “BS EN ISO 9001 2000 Quality Management Systems”. NB. It has not been possible to provide full text access to Standards from the RIBA Quality Management Toolkit. More detailed instructions for use are contained in the “Overview” component of the Toolkit (see Fig 1)

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3

THE QUALITY SYSTEM STANDARD

DEVELOPMENT OF THE STANDARD In the 1970’s the Ministry of Defence introduced what it called Defence Standards. These were very much influenced by NATO’s Allied Quality Assurance Publications (AQAP). These systems themselves were developed as a result of ever rising cost of inspection of supplies by the purchaser. It was also realised that inspection by the purchaser led to less responsibility being taken by the manufacturer for the control of product quality. The aim was to return the responsibility to the manufacturer by specifying the controls that were required to be effective. Industry in general decided that it should have its own standard and from this BS 5750 emerged and the subsequently ISO 9000 series. The current edition to which this toolkit refers is “BS EN ISO 9001: 2000 Quality Management Systems” It will be seen that the development of the systems was biased towards manufacturing, particularly when producing for large customers. The later editions of the Standard have attempted to widen its application to, for example, the professions and the service sector.

AREAS OF DIFFICULTY Quality systems require that the resulting product satisfies the specified requirements. In a manufacturing industry it is easy to identify the specification and to test the performance of the product for compliance. In architecture and other ‘knowhow’ based consultancy services it was not obvious what the ‘product’ and this led to confusion and among some a feeling that the principle and the Standard simply could not be applied. Over time however it has become generally agreed that for work accepted as ‘normal architectural services’ as described for example in the RIBA appointment document that the product is not the building but the information created to describe it. This toolkit is based on this notion. Quite independently definitive research at the Building Research Establishment (BRE) confirmed this approach when it discovered that the most influential affect the design team can have on the eventual quality of the product (the building) in terms of integrity and function (rather than aesthetic or less tangible qualities) is by the provision of complete, timely and accurate project information particularly the drawings and supporting specifications. See Fig 2

THE STANDARD The Standard consists of five main areas:

a) Quality Management Systems (Clause 4.0) The requirement here is that the quality management system shall be documented, implemented, maintained and improved. b) Management Responsibility (Clause 5.0) This places emphasis on senior personnel (top management) showing a commitment to implementing and improving the quality management system. c) Resource Management (Clause 6.0) Again this is a requirement of top management to ensure adequate resources are available to meet customer satisfaction and implement and improve the quality management system and it is consistent with both the RIBA and ARB Codes of Conduct. d) Product Realisation (Clause 7.0) Last edited: 30 January 2007 Printed: 30/01/07 10:41

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QUALITY MANAGEMENT TOOLKIT - GUIDANCE PART 1 - TOPIC GUIDANCE The planning and implementation of the service offered must be documented such that it can be applied by the relevant personnel and meet the requirements of the organisation’s quality management system.

e) Measurement Analysis and Improvement (Clause 8.0) The quality management system must be able to demonstrate compliance to requirements of the service provided to the client, and show continuous improvement to the service offered and the quality management system.

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THE CUSTOMER, PRODUCT, SUPPLIER and SPECIFICATION

The ISO Standard uses the above terms frequently so we need to understand them in the context of an architectural practice. Customer The recipient of the service provided. This means that the customer may be the ‘client’, the consumer, end user or purchaser. It also follows that in an architectural practice the providing of production documents e.g. drawings to the contractor also defines the contractor as a customer. Supplier Throughout the Standard the manufacturer or the provider of the service is defined as the supplier. This therefore defines the supplier as the Practice providing the architectural service. Product Simply stated, the purpose of a quality system is to ensure that the product always satisfies the stated and implied requirements. The requirements of the ISO 9OO1 are intended to achieve this aim consistently. It is tempting to think that an architect’s job is to produce buildings. Almost whatever the procurement route this is dangerous territory as, in exercising duties as an architect, there is little control over contractors and their sub-contractors. However, the architect does provide a variety of services that result in documentation and most importantly the production of information - drawings, specifications, schedules etc. In the modern office this documentation is often produced, manipulated and transferred electronically. However it is produced, it is on the creation of this information and documentation that the architect’s quality system should concentrate. The Standard was written for the production of an end product that could be measured, and its performance checked, against the specification. Therefore the requirements can be more easily understood and implemented if the information and documents produced as a result of the architectural service are interpreted as the “product”. Specification The interpretation of the term “specification” as used in the Standard is not always straightforward and is potentially confused by the use we understand of the word in architectural design. The client’s brief which, in general terms, is the specification for the service required, can include the terms of engagement and the schedule of requirements for a building. It can also be a partial commission which may be (perhaps up to Plan of Work stage D) for the development of a building brief which is to be the “specification” for further procurement action by the client. This is also entirely consistent with the results of research into the achievement of quality on site. This shows that the largest such cause for problems is poor information and the most influential thing an architect can do to improve the quality of the finished building is to apply rigor and system to the production of the project information. See Fig 2.

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Aspects of workmanship and site management

Lack of skill Lack of care Lack of knowledge Poor planning by tradesman Contractor's organisation problem Lack of protection of completed work Lack of co-ordination of design

Aspects of design or project information

Difficult to build Design will not work Unclear/missing project information Low quality design Designer not understanding materials Other 0

20

40

60

80 100 120 140

Number of quality-related events (QRE) No solution li d applied but not an entirely satisfactory A solution Fig 2

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A satisfactory solution li unresolved d QRE at the time of the BRE visits

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5

MANAGEMENT OF QUALITY

The standard requires that in developing an effective quality system ‘top management’ must address the following issues a) b) c) d)

Quality Policy Allocation of Resources Conduct of Management Reviews Communicating to all employees the importance of meeting customer's needs and expectation.

Quality Policy The Standard requires that a Quality Policy statement be developed which has tangible objectives and outlines the organisation commitment to quality and its continued review of its quality objectives. The policy statement should embrace objectives that are measurable and include the following: a) The organisation's commitment to meeting the needs of its customers. b) That the policy is understood by all employees and they are aware of its implementation c) Review of the effectiveness of the system at planned intervals to establish a system for continuous improvement to the system and the service and/or product offered to the organisations clients. The Quality Policy is quite frequently issued as a separate document and signed by the chief executive. In larger organisations it is often placed in key areas of the organisation. The standard does not require that the quality policy is handled in this way but it can help with implementing (b) above.

Resources This embraces environment, infrastructure and physical resources where all of these are seen as contributing the objectives of the quality policy. Included in resources will be the appointment of a ‘management representative’ who, in addition to any other duties, has the responsibility for establishing, implementing, and maintaining the quality system. In this respect the management representatives must report independently to top management (whatever their other roles may suggest a management hierarchy).

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Management Reviews The Standard requires that top management must review all aspects of the quality system at planned intervals including: a) The effectiveness of audits of the system. b) The performance of suppliers (eg specialist consultants that may have been engaged, and contractors). c) Review of client feedback and complaints d) In an architects’ Practice the interchange of information, problems and other project related issues, which may be beneficial to other personnel within the Practice. e) A review of the application of the quality system to establish where improvements may be applied. f) It may also be useful to include any new and relevant statutory or regulatory requirements. g) It could also be considered as a useful forum to determine and review CPD and training requirements.

Communication There is no point having a ‘secret system’ so the standard requires that management establish a method of communicating to all staff the quality objectives, quality requirements, achievements etc. Practice intranets particularly lend themselves to this purpose.

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NOTES ON DOCUMENTATION

A QUALITY SYSTEM To comply with the standard the quality management system documentation needs to include: a) quality Policy & Quality Objectives. b) documented procedures (in the 6 specified areas: Documentation requirements, Control of quality records, Internal audit, Control of nonconforming product, Corrective action & Preventive action); c) documents needed by the organisation d) records required by the Standard

It is also required of a quality system that records are kept to demonstrate that the system is being followed and that the "product" (in this case largely information/documentation) complies with its "specified requirements".

TYPE OF DOCUMENTATION Documentation for the RIBA QM Toolkit is compiled in three categories, that reflect a level of detail: Quality Policy Manual, Quality Procedures, Work Instructions.

REQUIREMENTS FOR DOCUMENTS Whatever the system, there are self-evident rules to be applied to all documents They should: a) be uniquely identifiable; b) show the authority under which they are issued; c) be contemporary and show the date and/or number of the issue; d) demonstrate that they are complete; e) be issued by a person who has the defined authority to ensure compliance. There are many ways of presenting the above information. The model documentation included in the "Tool-kit" adapts a commonly favoured format to allow the Toolkit to be used in conjunction with other commercially available aids such as Tim Jefferies’ book on quality Management published by RIBA Enterprises. In the end, each Practice must devise a system of documentation that satisfies its own requirements. Indeed the first step is to write down, in your own words, the procedures that already apply in the Practice.

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All documents should be regularly reviewed and updated. There is nothing which leads to lack of confidence in a document more than to see something obviously out of date, like the name of a person long since departed. Documents with old dates, even though still valid, will not instil confidence. The period for review and the review itself should be documented.

CONTROLLED DOCUMENTS Some quality system documents are referred to as controlled documents. All documents should be issued under controlled conditions as set down in the procedures but those designated “controlled documents” are individually numbered and issued to specific people. These documents should not be photocopied for management purposes. The discipline seems rather tedious and overly formal but no more so than, for example, the accepted protocol of formally agreeing and signing meeting minutes. It enables the issued copies to be identified and checked regularly to ensure that they are up-to-date. The procedures and quality manual are typically controlled documents but the quality manual may be issued to potential or existing clients. In these instances it is advisable to be clear that it is not a controlled copy (sometimes simply stamped “Uncontrolled Copy”) and so not subject to update, unless as the approved source of the document it is your wish to keep it up to date. It is perhaps more imaginative and elegant to state the purpose for the issue. “This copy of the document (ref) is issued (date) for the purposes of ……………. .”

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BOUGHT IN SERVICES AND PRODUCTS

PURCHASING Most processes involve the incorporation of components and materials into the supplier’s product, which have come from an outside source. Some work may also be subcontracted. This applies also to architectural Practice although the terms "purchasing" may seem a little strange and not strictly applicable (see Clause 7.4 Purchasing in the Standard). The aim of this clause is to ensure that services and materials from outside the immediate control of the supplier are controlled in such a way that the specified requirements of your own product are met. In architectural practice the specified requirements are the client’s brief and his expectations, statutory regulations and various standards ranging from the international through national to defacto product standards and the Practice’s own. The services that may be considered "purchased" are those provided by consultants and other data and information that may be used in the design. Some of these services are usually provided by the client or other bodies and are not exactly purchased, however they will affect your product and should be controlled, as far as possible, as if they were. There will be occasions when the Practice does subcontract work out and employ consultants directly. It is not always possible, or desirable, to test all the bought in materials and services, but the quality of the data and services must be responsibly verified.

TECHNICAL DATA The materials purchased to run an office, drawing instruments, paper etc. do not generally affect the quality of the design or the documentation. Therefore, for a quality system, these purchases need not occupy too much effort. The main exception may be computer systems and their software that could have a considerable effect. The control over suppliers need only extend to those products and services that directly affect the clients brief and the service provided by the Practice. The only significant "bought in" product is information/data. The quality system will have to include procedures for controlling and evaluating the data used in the design and calculations. A broad interpretation will need to placed on the term ‘calculations’ as they may include data from manufacturer’s catalogues such as ‘U’ values, construction details, recommended spans and sometimes be as mundane as reading and transferring data from a table in a document etc. The evaluation of information may be based on the following: a)

3rd party assurance – ideally formal quality certification.

b) reliability of the providers of the information – for example data from research bodies and professional institutions is generally considered reliable. c) previous successful use of the data; d) previous successful use of identical details; e) alternative calculations or assessments;

OTHER CONSULTANTS’ CONTRIBUTION

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A major input to the design process is usually provided by consultants who are probably appointed by the client. These therefore are not strictly covered by this clause in the Standard, however it is generally beneficial if they are treated as if they were appointed by the Practice (see below). Some commissions may require the employment of consultants by the Practice and this is becoming a much more common client requirement – the “one-stop-shop”. Some such as model makers are less critical to the delivery of the service to the client. Others such as drafting services are more so and those with significant original input such as landscape designers or maybe even engineers have absolutely critical effect. There is little doubt that the engagement of service providers and particularly of consultants has a major effect on the outcome of the project. It is therefore appropriate that the contributions of consultants should be considered as a supplier/sub-contractor.

SELECTION OF CONSULTANTS The Standard requires that "….The organisation shall evaluate and select suppliers based on their ability to supply product in accordance with the organisation’s requirements. Criteria for selection, evaluation and re-evaluation shall be established. Records of the results of evaluations and any necessary actions arising from the evaluation shall be maintained.” (clause 7.4.1 of the Standard). Evaluation of consultants may be based on the following: a) previous satisfactory experience; b) recommendation from a reliable source (eg another practice); c) interview with the principle and his appointee; d) references from the consultant to similar projects; e) 3rd party quality certification.

Frequently the client will seek advice on the appointment of a suitable consultant and the toolkit provides for this. Should a consultant be appointed by the client whose ability is unknown to the Practice and evaluation impracticable, then special measures should be adopted to evaluate the input as it arrives. Should any misgivings be held when a consultant is appointed, the Practice should advise the client.

BRIEFING THE DESIGN TEAM All projects are the result of team effort. Any consultant is a full member of the team. Generally the architect operates a co-ordinating role in the design process. It is imperative that the design team be properly briefed and knows what the design intentions are and the level of performance required. This information should be documented and stated in such a way that achievement can be determined. The architect is usually responsible, in his commission, to design a building at a price and to a programme and to co-ordinate the work of the consultants. To this end these aspects must be conveyed to the team.

PROPRIETARY PRODUCTS

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There will be occasions where part of the design uses, or is based on, a proprietary product. This may be as simple as the selection of a particular brick or door furniture, or as complicated as a curtain walling system or platform floor. Current practice generally favours performance specifications. Where a proprietary product is called for in the specification, the architect must evaluate the product and ascertain that it will not detrimentally affect the performance of the project. Ascertaining that the product is as specified will remain the responsibility of the contractor. The evaluation may be based on:

a) 3rd party quality certification. b) satisfactory use in previous projects; c) recommendations by reliable source; d) test certificates; e) independent product evaluation by research bodies;

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PROJECT QUALITY PLANNING

BEHIND THE REQUIREMENTS When an architectural Practice has been in business successfully for some years it can be difficult to understand the need for the extra paperwork implicit in developing and maintaining a quality plan. It may indeed be an extra burden for those Practices whose planning does not satisfy the Standard. However systems, such as the Architects Job Book, are already used by many Practices. These systems often cover more subjects than a quality plan needs. It is never the intention of quality management that there should be duplication of paperwork. Most of the requirements for quality planning will probably have been satisfied in a well regulated Practice and the evidence located somewhere in the files. In a quality system, the information must be readily available for inspection and to demonstrate compliance. Since the Practice will have to carry out internal audits, even if it does not submit itself to external audits, time and therefore expense, will be saved if the critical information is readily available. It is implicit in a quality system that other staff should be able to take over a project at short notice, should the need arise, and maintain the specified program. The quality plan can be a very useful management control mechanism if it is used as such, and not seen as just an additional piece of documentation required for "QA". It may help to understand the concept of the quality plan by calling it a design plan or design file. It can also be of assistance in cases of dispute or for supporting claims for fees for extra work.

THE QUALITY PLAN The Standard requires that the organisation prepare plans for each design and development activity. The plans shall describe or reference the documented procedures and define responsibilities for their implementation. To be of any use and of course to comply with the Standard the plans must be updated as the design evolves. Luckily, there already exists a useful framework for the quality plan with which you will be familiar and, no doubt, already use - the RIBA Plan of Work. Indeed the title is synonymous with the quality plan. However quality planning In QM terms requires the framework to be active and dynamically used. As most projects are unique they will need individual consideration. Were all projects identical, there would be a need for only one standard plan that all jobs would follow. Many of the procedures are standard for most projects and these need not be specified in the individual quality plans. Since projects are frequently intermittent in nature or a commission may initially be for a feasibility study, or to determine a brief only and subsequently may not be extended to include outline proposals or the complete scheme, quality plans have to be continually reviewed and updated. It may be possible to standardise some elements of the quality plan. For example a design review, the procedure for which is defined in the procedures manual, may be implemented always at the end of Plan of Work stages C and D. Responsibilities may be defined in the procedures manual only requiring the personnel to be identified in the quality plan. The schedule of requirements may be filed in, say, the client file, and the quality plan will identify the file. The quality objectives may be common to all projects and be defined in a policy statement. However, the life expectancy of one building may differ from another, reflecting a particular level of specification, and this feature may be best recorded in the quality plan.

ELEMENTS OF A QUALITY PLAN. The elements required to be defined or referred to in a quality plan are set down in ISO 9001 clauses 7.1 and 7.3 some of these will be covered in the procedures manual and need not be repeated in individual plans. The requirements below have been interpreted to apply more specifically to architectural Practice. Last edited: 30 January 2007 Printed: 30/01/07 10:41

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Quality plans should:

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a) Record of the Project Details – name, address and brief description of the project; name, address and responsibilities of: the client other design team members specialist consultants contractors suppliers.

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b) Definition of the client’s brief to include outline of the client’s requirements including: any schedules of accommodation cost plan or limits program or time limits any key design development and construction constraints agreed level of specification(cost/durability and particularly deviations from norms or standards.) c) Definition of the Scope of Services to be provided by the Chartered Practice for the project (generally based on the RIBA Plan of Work). d) Record of any critical processes/procedures to be followed, particularly where they differ from accepted normal office practice. e) Definition of approval/verification activities such as design reviews, drawing and other document checks, submissions to statutory authorities, client presentations and approvals.

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f) Record of Changes and updates on progress relating to the agreed project plan or client’s brief team members any other variations. The Quality Plan should be reviewed and updated at programmed intervals, usually related to plan of work stages and at the time of any significant individual changes. g) Record of any other special actions necessary to meet the project objectives and any unusual circumstances or uncertainties about the project which require further investigations. h) Methods of measuring achievement in the design and production processes, particularly on project completion and monitoring client satisfaction through the project, Including record of dealing with any client complaint

The above requirements may seem onerous when applied to a job that may be completed by one man in a couple of weeks. However there are horses for courses. For a small project, the quality plan may just be a few notes in the front of the project file. Quality systems do not require wordprocessed documents, only legible/intelligible ones! It may be found useful if the documents that demonstrate that the quality plan has been followed are filed with, or as part of the quality planning document. These may include the brief and brief change control documents, statutory approvals, client approvals, design review records, checking records, programs, progress records and architect’s instructions. Alternatively they may be referenced using an office filing system.

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9.

INSPECTION, CHECKING AND SUBSEQUENT ACTION

WORDS USED IN THE STANDARD There are many words used in ISO 9001 that imply the need for checking to be carried out. This process in building design is difficult, time consuming and often ineffective. However sensible response to these requirements must be included. Among the words used in the Standard that imply a checking process are: evaluation; verify, verification; inspection and testing; audit; validation; review (found throughout the Standard). For the RIBA QM Toolkit translating these words into the language of the building design process the following terms apply: a) Evaluate: All sources of information and service; this means some positive process must be carried out and recorded. b) Verify: All incoming information from consultants, the client, suppliers etc. The verification must satisfy the Practice that the information is reliable, complete and of the required standard. Verification does not mean checking, for example, a consultants work; but ascertaining that the consultant has checked it himself. c) Design and development reviews: It is quite appropriate to undertake a review of the design at particular stages to ensure that the solution meets the design intentions, requirements of the client and any other authorities. This may be at key stages on the RIBA Plan of Work and identified with reference to it. d) Checking the product: Having determined that the product is a set of documents, some positive process must be established to ensure that there are no faults in them. This is, of course, easier said than done. However the Practice must evolve a strategy for checking and approving drawings and documents. e) Audit: Is a formal independent check, either by a member of staff or by an outside party to ascertain that procedures are being followed. An audit can be carried out on the management system or on a project. f)

Validation: The Standard is very specific on the meaning of this word (clause 7.3.6). It implies specific checking of the product under conditions of use. The nearest concept we have is of feedback from the site of the performance of the documents and, in the longer term, feedback from the client on the performance of the building in use.

g) Review: This word is used widely throughout the Standard and implies that a formal consideration is given by management to a process or document. Approvals are given or courses of action determined and records are kept.

RESULTS OF CHECKING The results of these checking processes may identify deficiencies. These fall into two groups: a) Nonconforming product: In architectural practice nonconformity can result from either, that the design does not satisfy the brief or some statutory requirement, or the content of a

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QUALITY MANAGEMENT TOOLKIT - GUIDANCE PART 1 - TOPIC GUIDANCE drawing/document does not satisfy the self evident requirement that it be correct and unambiguous.

b) Occurrences requiring corrective action: These are generally identified from reviews, audits, feedback or customer complaints or recurrence of nonconformity. They generally result from failure to follow procedures, from inappropriate or the lack of procedures, or from inadequate training.

SUBSEQUENT ACTION The Standard requires specific actions to be taken if a deficiency is found in these checks: a)

In the small architectural Practice the distinction between control of nonconformity, corrective and preventive action is often somewhat academic. Nevertheless, the following descriptions may help clarify the differences.

b) Nonconformity: The nonconforming drawing or design solution must be clearly identified so that it is not used in a way that would affect a subsequent process. Action should be taken to resolve the problem. A concession may be obtained from the client to accept the nonconformity. c) Corrective action: Steps should be taken to eliminate the immediate cause of the problem, for example introducing or redefining a procedure, providing additional briefing to the design team. You should check to see that the corrective action has eliminated the problem or reduced the level of occurrence. d) Preventive action: This requires a review of the management system with a view to avoiding similar problems in future. Gathering information/experience from previous projects that may be of benefit to others in the Practice. For example, additional training or procedures may be needed, or the procedure for vetting consultants needs improving.

CHECKING DRAWINGS Research has shown that checking drawings is difficult, time consuming and rather ineffective. Drawings usually have boxes for "drawn by" and "checked by" which are filled in, or not, without a clear idea of what it means. Checking a drawing for technical content/completeness by itself is usually rather meaningless, it must be checked against other drawings covering the same subject and against those of other disciplines and the specification. A clear policy must be established for dealing with amendments. Consideration should be given to the following concepts for a checking policy: a) the originator of the drawing must be identified and must be clearly responsible for the completed drawing being correct within itself and for identifying other drawings from which information has been derived such as those of consultants. b) a suitable person (may be the originator), identified in the procedures or quality plan, should check and be clearly responsible on behalf of the Practice, for the set of drawings being acceptable to the next user. This may be done on a schedule listing all the drawings of the set and their amendment letter, and those of other disciplines used in the production of the set, including their amendment status;

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b) At defined stages, for example prior to issue for tender purposes, a suitable person, identified in the procedures or the quality plan, should approve the issue after satisfying him/herself that all the checking procedures have been followed.

CAD In Terms of printed output as the product of the use of CAD all of the above will apply in the same way. However there are both protocols to be observed – such as establishing and following an SMP (Standards Methods and Procedures) and built-in or plug-in tools for checking. Fortunately the best way to achieve good information is well documented in the industry standard “Production Information: A code of procedure for the construction industry down-loadable from the CPIC 4 Web site at www.productionimformation.org

4

CPIC – Co-ordinating Committee for Project Information RIBA, RICS, CIBSE, ICE and CC

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10

DOCUMENTING THE MANAGEMENT SYSTEM

THE QUALITY MANUAL To comply with the standard the quality manual includes: a) the organisation’s quality policy b) the scope of the quality management system, including details of and justification for any exclusions, c) the documented procedures established for the quality management system, or reference to them, and d) a description of the interaction between the processes of the quality management system.

The quality manual in this toolkit is set out in the order of the clauses in the Standard and only makes reference to the procedures.

THE PROCEDURES MANUAL The procedures manual is an entirely process related document and should not need to define professional responsibilities as these are adequately documented elsewhere. The procedures should set down the means by which these responsibilities are carried out, the responsibilities in the office, the delegations of authority and the results recorded. The procedures should be written bearing in mind the skill and professional background of the personnel who will use them

WORK INSTRUCTIONS AND FORMS Specific instructions for carrying out procedures described in the manual are sometimes written as separate documents. These are often referred to as work instructions, but they may be given other names such as "practice notes". They are often associated with standard letters or forms for recording the actions and findings resulting from the procedure. If you decide to use work instructions then it is useful if there is a section within each procedure that cross-references work instructions, other manual sections and other documents that apply. NOTE: The examples given do not contain work instructions. From experience few architectural Practices use work instructions, preferring to incorporate them in with the procedures. This is particularly relevant if the number of work instructions, and the number of people, who may have to refer to them, is small.

CONFIDENTIALITY Some Practices may consider their procedures confidential. Each Practice must make a commercial decision regarding at what level to expose its procedures to external assessors. Third party assessments are accepted as confidential. As a note of caution, a documented quality system can be a two edged sword. Following established procedures can act as a protection in times of dispute; demonstrably failing to follow them can more plainly demonstrate fault.

THE ‘QUALITY MANAGER’

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Top management shall appoint a member of the management who, irrespective of other responsibilities, shall have responsibility and authority that includes: a) ensuring that processes needed for the quality management system are established, implemented and maintained, b) reporting to top management on the performance of the quality management system and any need for improvement, and c) ensuring the promotion of awareness of customer requirements throughout the organisation.”

The term "quality manager" has been used in the manual to satisfy this function, as it seems more appropriate from the viewpoint of the Practice. Some of the tasks allotted to the quality manager may be delegated to any appropriate staff. The role of quality manager need not be considered a full time job; the incumbent will inevitably wear any number of hats in a small Practice. It must be stressed that quality is the responsibility of staff at all levels.

CHOOSING THE FORMAT The prime concern of a Practice when documenting its management system is to avoid producing a system that is cumbersome. Do not add ‘frills’ to procedures simply in the act of documenting them. The resulting system must aid rather than hinder the smooth flow of work. The format offered in this paper and the examples within the tool-kit, should be used as sources of ideas rather than a rigid model.

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11 OVERVIEW OF THE RIBA QM TOOLKIT PROCEDURES MANUAL Below is a summary of the requirements of ISO 9001 interpreted for use in an architect’s office. The order has been devised to suit the management and processes of a Practice. The ISO 9001 subsection numbers are retained as a check to ensure all requirements are covered, although the titles have been changed to reflect building design usage.

1. PRACTICE MANAGEMENT - those clauses that relate to the management of the Practice and the control of the management system: Management responsibility: Policy statement Organisation & responsibilities

5.1, 5.3, 5.4.1 5.5

Management review

5.6, 8.5.1

The management system: Management system documentation The quality manual The procedures manual Quality plans Issue, control and review

4.1, 4.2 4.2.2 4.2 5.4.2, 7.1 4.2.3

Internal quality audits: General principles Audit objectives Audit program Choice of quality auditor

8.2.2 8.2.2 8.2.2 8.2.2

2. PROJECT MANAGEMENT - those clauses that apply to projects generally rather than individual projects or actions to be taken before a project commences: Commissions Commission file and number Commission review Client agreement Amendments to the commission Speculative Work

7.5.3 5.2, 7.2.2 7.2.2 7.2.2, 7.3.7 7.2.2

Project document control Project documents Project document numbering Issue of documents Incoming project documents

4.2.1, 4.2.3, 4.2.4. 7.5.3 4.2.3, 7.5.3 7.4.3, 7.5.4

Drawing and document checking Verification Checking consultants’ work Drawing and schedule checking Checking project specifications Checking calculations Control of revisions Quality records

7.3.5 7.4.3, 8.2.4 7.3.3, 8.2.4 7.3.3, 8.2.4 7.3.3, 8.2.4 7.3.7, 8.5.2 4.2.4

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Selection of consultants and contractors Professional consultants List of consultants List of Contractors Feed-back

7.4.1, 7.4.2, 7.4.3. 7.4.1 7.4.1 7.4.3, 8.4

3. DESIGN AND PRODUCTION MANAGEMENT - those clauses that apply to the running of individual projects. This section follows the RIBA Plan of Work stages: Plan of Work RIBA Plan of Work Quality plans

7.1, 7.3.1

Design control The design team Design input Verification of technical data Statutory authorities and utilities CDM Regulations Calculations Design reviews Brief change control

6.1, 6.2, 6.3, 7.3.1 7.2.1, 7.3.2 7.3.2, 7.3.5 7.3.2 5.2, 7.3.1, 7.3.2, 7.3.3, 7.3.4 7.3.2, 7.3.3 7.3.1, 7.3.4 7.3.7

Production control Program and progress Drawing production Project specifications Proprietary products Checking and approval

7.1 4.2.3 4.2.3 7.4.1, 7.4.2, 7.4.3 7.3.5, 7.5.3

Tender action Tender invitation Receipt of tenders Tenders let Contract documents

7.5.1 7.5.1 7.5.1 4.2.3, 4.2.4

Post contract services Construction information Inspection of the works Issue of architects’ instructions Interim and final valuations Practical completion Defects liability period

7.5.1 7.5.1 7.5.1 7.5.1 7.5.1, 7.5.2 7.5.2

Feed-back Project evaluation Client and user comments Customer complaints

7.3.6, 8.4, 8.5 8.2.1 8.3

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4. OFFICE MANAGEMENT - those clauses that apply to running the office generally: Office document control Commission files Project files Administration files Correspondence control – incoming/outgoing Electronic communications Reference specification Standard drawings Computer software Technical library Office procedures

4.2.3, 4.2.4, 7.3.2 4.2.3, 4.2.4 4.2.3, 4.2.4 4.2.3, 4.2.4 4.2.3, 4.2.4 4.2.3, 4.2.4 4.2.3, 4.2.4 4.2.3, 4.2.4 4.2.3, 4.2.4 4.2.3, 4.2.4

Inspection and measuring equipment Equipment held Inspection and review

7.6 7.6

Handling, storage and delivery of documents Handling and storage Computer held documents Packaging and delivery Archive

7.5.4, 7.5.5 7.5.4, 7.5.5 7.5.4, 7.5.5 7.5.4, 7.5.5

Quality records Identification of quality records Schedule of project records Schedule of management records

4.2.4 4.2.4 4.2.4

Training New staff Training records Staff review Continuing professional development

6.2.1, 6.2.2 6.2.1, 6.2.2 6.2.1, 6.2.2 6.2.1, 6.2.2

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QUALITY MANAGEMENT TOOLKIT PART 2 – DOCUMENTATION TASKS

PART 2 – DOCUMENTATION TASKS

Tasks under the headings of: Practice Management Project Management Design and Production Management Office Management

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THE TOPIC GUIDANCE The topic guidance, dealt with the principles of quality management and of the issues applying Quality Management to architectural practice. It concluded with an overview of the structure of the procedures Manual proposed in the RIBA QM toolkit. The Guidance on documentation discussed how this is not the only way to structure the document and that for any practice it is important that the structure reflects the way that they work and are comfortable with. We emphasis there fore that these appendices are purely examples of the level/rigour of information and not suggestions on how a Practice should be run. THE PROCEDURES MANUAL 1. Bear in mind that:

2.

•

The procedures manual is a working document the sole purpose of which is to support the efficient running of the Practice. ‘Compliance’ with the Standard is, however, both also easily achievable and may have commercial as well as practical advantages particularly for the larger practice.

•

There may, of course, be other procedures required for good management, which are not covered by the Standard. These should not be ignored when documenting your procedures.

The decisions to be made and the procedures to be devised for complying with the Standard are set down under the headings which could form the layout of your procedures manual. These headings are used in the example manual in appendix B of the tool-kit: 1. 2. 3. 4.

Practice management Project management Design and production management Office management.

They are further divided into sub-headings to suit architectural practice and cover the requirements of the Standard. 3.

To assist in the tool-kit approach there is an alphabetical index of familiar subjects. This is included to help in selecting procedures to be developed and more formally documented as they are needed. The alphabetical index shows both the ISO 9001 reference and where the requirement is covered in the procedures manual format.

DEVELOPING THE PROCEDURES 4.

Many of the requirements will already have been satisfied and procedures will be in operation in a well-organised practice. It is intended that you should write down, in your own words, the means by which you currently tackle the requirement; there will be some that you have not yet considered.

5.

A quality system is essentially a documented and demonstrable system. Where there is a procedure, there should also be the means of demonstrating that it has been followed. It should also be possible for appropriately qualified staff to take over a project, at a moment’s notice, with no detrimental effect on the progress of the project.

6.

In the following chart, the requirements are shown in the left-hand column and the ISO 9001:2000 references in the right hand column (some ISO 9004-1 references are also shown). Not all numbered clauses in the Standard generate a specific requirement and some numbered clauses generate several requirements so there is not necessarily a specific response to each numbered clause.

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9.

At the beginning of each main section is an explanation of the content of the section. The subsequent headings are selected to cover subjects appropriate to architectural Practice and satisfy the requirements of the Standard.

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THE REQUIREMENT

ISO 9001:2000

0. PRELIMINARY PAGES The preliminary pages are the title page and the means of controlling the issue of the document. They may also contain cross-references to the Standard. Sometimes the policy statement, signed by the principal, is included as in this example. Title page Policy statement: Identify the Practice’s policy with regard to quality objectives, commitment to quality and its implementation and maintenance throughout the Practice

5.3

Quality policy

Content and amendment record: Devise the means of distributing the manual and amendments under controlled conditions. Ensure that the latest issues are identified.

4.2.3

Control of documents

ISO 9001 compliance: This is useful for ensuring that all the requirements of the Standard have been covered and to facilitate outside assessments of the system.

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1. PRACTICE MANAGEMENT This section deals with policy statements and those requirements relating to the management of the Practice, delegation of authority and the running of the management system. 1.1 Management responsibility

Organisation: Define the organisation of the Practice with special regard to the authority and interrelation of those who manage, perform and verify work affecting quality. An organisation chart is useful and job descriptions define responsibilities and delegation of authority. Appoint a member of staff with the defined responsibility for ensuring that the quality system is implemented and maintained.

5.5.1

Responsibility and authority

5.5.2

Management representative

5.6 5.6.1 5.6.2 5.6.3 8.5.1

Management review General Review input Review output Continual improvement

Management system documentation: Decide on the documents that define the management system, e.g. quality manual, procedures manual, work instructions.

4.1 4.2.2

General requirements Quality manual

Quality manual: The standard requires the production of a quality manual which outlines the policy and procedures and includes the Policy Statement, organisation and responsibilities, scope and justification for any exclusions. In a small Practice this could be combined with the procedures manual, however you may consider your procedures confidential.

4.2.2

Quality manual

Procedures manual: Prepare a manual identifying and defining the way the Practice operates to satisfy declared objectives and the requirements of the Standard.

4.2.1

General

Work instructions: Prepare work instructions and forms as required to instruct and record actions. Standard letters may also be considered.

4.2.1

General

Management review: Define the procedures and frequency for reviewing the management system to ensure its continuing suitability and effectiveness and that the stated quality policy and objectives are being met. Include future resource requirements for the Practice.

1.2 The management system

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QUALITY MANAGEMENT TOOLKIT PART 2 – DOCUMENTATION TASKS 5.4.2 7.1

Quality management system planning Planning of product realisation

general principles: Establish procedures for planning and implementing audits to verify that procedures are being followed and the system remains effective.

8.2.2 8.2.3

Internal audit Monitoring and measurement of processes

Audit objectives: Define the objectives of the audit and what the auditor is looking for. Define the procedure for identification and processing of deficiencies. (See topic paper 7).

8.2.2 8.2.3

Internal audit Monitoring and measurement of processes Control of nonconforming product

Audit programme: Establish the requirement and responsibility for planning audits.

8.2.2 8.2.3

Internal audit Monitoring and measurement of processes

Choice of quality auditor: Determine the qualifications or training for auditing.

6.1 6.2.1

Provision of resources General

Quality plans: Define the way in which quality planning will be carried out and documented. Identify the circumstances under which individual project quality plans are to be produced. (See topic paper 6), eg. RIBA Plan of Work.

1.3 Internal quality audits

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8.3

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2. PROJECT MANAGEMENT This section covers those requirements applying to projects generally and may apply to particular projects prior to commencement or at various plan of work stages. 2.1 Commissions

Commission file and number: Establish procedures for identifying commissions and the ensuing projects and filing documents relating to the client agreement.

7.5.3

Identification and traceability

Commission review: Establish procedures for reviewing the terms of the commission, the adequacy of the project brief, availability of resources and lines of communication with the client, before acceptance.

5.2 6.1 6.2.1 7.2.1

Customer focus Provision of resources General Determination of requirements related to the product Review of requirements related to the product Customer communication

7.2.2 7.2.3

Client agreement: Define the procedure and parameters for establishing a contract with the client.

5.2 7.2.1 7.2.2 7.2.3

Customer focus Determination of requirements related to the product Review of requirements related to the product Customer communication

Amendments to the commission: Establish procedures for agreeing amendments to the commission with the client. (See also brief change control procedures under 3.2 Design control)

7.2.2

Review of requirements related to the product

Speculative work: Establish review procedures for speculative work.

5.2 7.2.1

Customer focus Determination of requirements related to the product Review of requirements related to the product Customer communication

7.2.2 7.2.3

CDM regulations: establish procedures for advising the client on the statutory requirements under CDM

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7.2.1 7.3.2

Determination of requirements related to the product Design and development inputs

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2.2 Project document control

Project documents: Differentiate between documents for controlling the management system and those which are the product of the . (See topic sections 2 & 4)

4.2.3 6.3 6.4 7.5.1 7.5.2

Control of documents Infrastructure Work environment Control of production and service provision Validation of processes for production and service provision

Project document numbering: Establish procedures for numbering drawings and documents, including amendment and checked status.

7.5.3

Identification and traceability

Issue and receipt of documents: Define the procedure for recording the issue and receipt of project documents, including those supplied by the client.

4.2.3 7.5.3 7.5.4

Control of documents Identification and traceability Customer property

7.1 7.3.4 7.3.5 7.4.3 7.5.3 8.1 8.2.4

Planning of product realisation Design and development review Design and development verification Verification of purchased product Identification and traceability General Monitoring and measurement of product Internal audit Monitoring and measurement of processes

2.3 Drawing and document checking

Verification: Identify the various types of checking performed during the course of the project. (See topic paper 7)

8.2.2 8.2.3

Checking consultants’ work: The consultants should have checking procedures compatible with your own, however it may be wise to ensure that their work has been checked. You will not be expected to check it’s technical content.

7.5.3 8.2.4

Identification and traceability Monitoring and measurement of product

Drawing and schedule checking: Determine a strategy for checking. e.g. Define the responsibility implied by ‘drawn by’, ‘checked by’, ‘approved by’. Determine the authority under which drawings are released. (See Topic paper 7)

7.5.3 8.2.4

Identification and traceability Monitoring and measurement of product

Checking project specifications: Determine the procedure for checking project specifications to ensure completeness and compatibility with drawings.

8.2.4

Monitoring and measurement of product

Checking calculations: Determine the procedure for recording and checking calculations.

8.2.4

Monitoring and measurement of product

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QUALITY MANAGEMENT TOOLKIT PART 2 – DOCUMENTATION TASKS

Control of revisions: Where deficiencies and faults are found during a checking processes, set procedures for ensuring the drawing, document or design solution is not be used for further processes until it has been corrected or accepted by the client.

8.3

Control of nonconforming product

Quality records: These are generally the results of the checking process but also may be generated by many procedures throughout the management system. They need to be identified and registered to facilitate easy recovery.

4.2.4

Control of quality records

List of consultants: Consultants are normally appointed by the client, however, it is recommended that procedures be established to identify and list acceptable consultants. Determine the means of vetting consultants. (See Topic paper 5)

7.4.1 7.4.2 7.4.3

Purchasing process Purchasing information Verification of purchased product

List of Contractors: Establish procedures for identify and listing approved contractors. (See Topic paper 5)

7.4.1 7.4.2 7.4.3

Purchasing process Purchasing information Verification of purchased product

Feed-back: Establish procedures for recording the performance of consultants and contractors.

7.4.1 7.4.2 7.4.3

Purchasing process Purchasing information Verification of purchased product

2.4 Selection of consultants and contractors

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3. DESIGN AND PRODUCTION MANAGEMENT This section includes requirements to be applied to the individual projects. The main vehicle for the control of design and production management is the RIBA plan of work. The defined procedures are applied at the appropriate stage. 3.1 Plan of work

RIBA Plan of work: establish the use of a plan of work such as that published by the RIBA

7.3.1

Design and development planning

Quality plans: Determine the format and use of quality plans for individual projects of various sizes and complexity; determine the method of organising the documents comprising, and demonstrating compliance with, the quality plan. (See Topic paper 6)

5.4.2 7.1 7.3.1

Quality management system planning Planning of product realisation Design and development planning

The design team: Establish procedures for briefing design team members, including consultants, define roles, brief requirements and the means of communication etc.

7.3.1 7.4.2

Design and development planning Purchasing information

Design input: Establish procedures for ensuring that design input, including the statement of requirements, regulations, technical data, manufactures data is relevant and current. The input data is to be identified and documented and reviewed.

7.2.1

Determination of requirements related to the product Design and development inputs

Verification of technical data: Establish procedures to ensure that technical data used in the design process is appropriate, current, and from a reliable source.

7.2.1

Statutory authorities and utilities: Establish procedures for ensuring that timely negotiations are carried and requirements of authorities and utilities are complied with.

7.2.1

CDM Regulations: Define procedures to ensure compliance with the requirements during the design stage.

7.2.1 7.3.2

Determination of requirements related to the product Design and development inputs

Calculations: Define procedures for performing, recording and checking calculations during the design stage.

7.3.5

Design and development verification

3.2 Design control

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7.3.2

7.3.2

7.3.2

Determination of requirements related to the product Design and development inputs

Determination of requirements related to the product Design and development inputs

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QUALITY MANAGEMENT TOOLKIT PART 2 – DOCUMENTATION TASKS

Design reviews: Establish a procedure for reviewing the design at appropriate stages with all involved; the purpose of the review is to ensure that design satisfies the design input requirements, is practical and buildable; these reviews should be distinct from project progress meetings.

7.3.4 7.3.5

Design and development review Design and development verification

Brief change control: establish procedures to document and obtain approval to any changes in the brief, whether instigated by the design team or the client; particularly those that have financial or programme implications

7.2.2

Review of requirements related to the product Control of design and development changes

7.3.7

3.3 Production control

Programme and progress: Establish procedures for programming the work and ascertaining the progress. Alternative systems may be needed for large and small jobs.

6.3 6.4 7.5.1 7.5.2

Drawing production, Standard drawings, CAD: Establish procedures for the production of drawings (e.g. BS1192, CPIC Production Information Code 5 ) and the method of recording revisions; include procedures for CAD and standard drawings if applicable.

6.3 6.4 7.5.1

Project specifications, schedules etc.: Establish procedures for the production of project specifications from standard or reference specifications 5 (e.g. CPIC Production Information Code , NBS).

6.3 6.4 7.5.1

7.5.2

7.5.2

Infrastructure Work environment Control of production and service provision Validation of processes for production and service provision Infrastructure Work environment Control of production and service provision Validation of processes for production and service provision Infrastructure Work environment Control of production and service provision Validation of processes for production and service provision

Proprietary products: Establish procedures for reviewing proprietary products selected for incorporation in the design; consider recommendations, inspection of installed examples, test certificates, QA certificates etc.

7.4.2

Purchasing information

Checking and approval: It may be convenient here, at the end of production control, to remind readers of the checking and approval procedures before release of documents.

7.5.3

Identification and traceability

5

Production Information: A code of procedure for the construction industry ISBN 0-9512662-6-8 ( www.productioninformation.org )

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QUALITY MANAGEMENT TOOLKIT PART 2 – DOCUMENTATION TASKS

3.4 Tender action Tender invitation: Define procedures for preparing tender lists, collating tender documents, establishing tender period.

7.5.1 7.5.5

Control of production and service provision Preservation of product

Receipt of tenders, tender let: Define procedures for receiving tenders, checking for acceptability and reporting to the client, and signing the construction contract.

Contract documents: Establish procedures for safeguarding contract documents.

7.5.1 7.5.5

Control of production and service provision Preservation of product

3.5 Post contract services Construction information: Establish procedures for delivering construction information to the contractor. Agree outstanding information with contractor and dates for delivery. Further design may depend on information from the contractor.

7.5.1

Inspection of the works: Define the responsibilities and procedures for administering the contract; consider inspection and progress of the work, attending meetings, witnessing tests, evaluating contractors alternative offers.

7.5.1

Control of production and service provision

Architect’s instructions: Define the procedures for issuing architects instructions and their classification to assist feedback.

7.3.6 8.3

Design and development validation Control of nonconforming product

Interim and final valuations Define procedures for valuing the works and issuing the appropriate certificates for payment.

7.5.1

Control of production and service provision

Practical completion: Define procedures for final inspection of the works, production of ‘as built’ drawings, compilation of defects list, hand over of the building to the client etc.

7.5.1

Control of production and service provision Design and development validation

Defects liability period: Define procedures for identifying and recording defects, confirming remedial action by the contractor and issuing the appropriate certificate.

7.5.1

7.5.5

Control of production and service provision Preservation of product

CDM Regulations: Define procedures for satisfying the regulations during the construction stage.

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7.3.6

7.3.6

Control of production and service provision Design and development validation

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QUALITY MANAGEMENT TOOLKIT PART 2 – DOCUMENTATION TASKS

3.6 Feed-back Architect’s instructions: Define procedures to review the effectiveness of the project documentation during the construction stage.

7.3.6

Design and development validation

Project evaluation: Define procedures for evaluating the performance of the design team and contractor, consider the working relationships, communications, programme keeping, effectiveness of the design solutions, adequacy of the documentation.

7.3.6 8.5.2 8.5.3

Design and development validation Corrective action Preventive action

Performance reports: Define procedures for evaluating and recording the performance of contractors and consultants, ensure that these are reviewed and approved lists annotated.

7.4.1

Purchasing process

Customer feedback: Define procedures for identifying, recording and reviewing comments and complaints from clients and customers in the widest sense i.e. Contractors, consultants, and subsequent users.

8.5.2 8.5.3

Corrective action Preventive action

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QUALITY MANAGEMENT TOOLKIT PART 2 – DOCUMENTATION TASKS

4. OFFICE MANAGEMENT This section covers those procedures that are required to run the office, provide support to project staff, provide and record staff training and maintain reference documents and records. Additional procedures may be included in this manual by individual Practices that are not covered by the Standard. 4.1 Office document control

Management system documents: Establish procedures for the issue and control of documents and their withdrawal when obsolete.

4.2.3

Control of documents

Commission, Project, administration files: Define the content, location and control of the filing system; determine who is responsible and how the files are opened and held.

4.2.3

Control of documents

Incoming and outgoing correspondence: Define procedures for dealing with correspondence, both incoming and outgoing.

4.2.3

Control of documents

Electronic communications: Define procedures for controlling and recording electronic communications including the transfer of documents, drawings, E-mail etc.

4.2.3

Control of documents

Reference specifications: Define the procedures for controlling, reviewing and updating reference specifications from which project specifications are produced; decide if NBS is used and under what circumstances.

4.2.3

Control of documents

Standard drawings: Define procedures for using, reviewing and updating standard drawings be they hard copy or electronic.

4.2.3

Control of documents

Computer software: Define procedures for the review of software before use and the control and updating after acceptance; define procedures for the control, maintenance and updating of manuals.

4.2.3

Control of documents

Technical Library: Define the operation and content of the technical library and who is responsible for review, update and organisation, ensuring that only relevant and current information is available.

4.2.3

Control of documents

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QUALITY MANAGEMENT TOOLKIT PART 2 – DOCUMENTATION TASKS

Office procedures: Define those procedures which may affect the quality of the Practice’s output. It may be convenient also to include other general office procedures.

4.2.3

Control of documents

4.2 Inspection and measuring equipment

7.6

Control of monitoring and measuring devices

7.5.1 7.5.5

Control of production and service provision Preservation of product

4.2.4

Control of quality records

List of equipment: identify and list each piece of equipment(e.g. surveying tapes, moisture meters)

Inspection and review: Define procedure for maintaining equipment in a condition suitable for its purpose and set review period.

4.3 Handling, storage and delivery of documents

Handling and storage: Define method of storing project drawings and documents both during production and after completion; define methods of storing project documents received from others.

Computer held documents: Define procedures for storing and indexing CAD files, Email if not copied in project files and other electronic transfers of data or drawings of completed projects.

Packaging and delivery: Define procedures to ensure that the next user receives complete and approved documents at the appropriate time.

Archive: Define procedures for storage and identification of documents from completed projects.

4.4 Quality records

Identification of quality records: Identify those records which demonstrate that the project output conforms to the requirements, and that the quality system is operating effectively.

Schedules of project and management records: Schedule each record, the person responsible, its location, and period to be held.

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QUALITY MANAGEMENT TOOLKIT PART 2 – DOCUMENTATION TASKS

4.5 Training

New staff: Define introductory training with particular reference to the management system manuals.

Training records: Maintain records of staff qualifications, internal and external training and experience.

Staff review: Prepare programme and procedure for reviewing staff performance and special training needs.

Continuing professional development: Prepare CPD programme for each professional staff member.

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6.2.2

Competence, awareness and training