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RIBA Quality Management Toolkit Guidance PDF
RIBA Quality Management Toolkit Guidance PDF
Management Toolkit:
Guidance
1 Topic Guidance
2 Documentation Tasks
RIBA
Management of Quality
Notes on Documentation
10
11
Practice Management
Project Management
Office Management
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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.
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.
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
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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
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.
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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:
Web-site of Co-ordinating Committee for Project Information for access to the full text of the Code
of Procedure for Production Information.
Web-site of the Usable Buildings organisation for advice on the collection and use of
feedback/post occupancy data.
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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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:
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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 architects 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 architects 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
clients 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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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
Difficult to build
Design will not work
Unclear/missing project information
Low quality design
Designer not understanding materials
Other
0
20
40
60
Number of quality-related
events (QRE)
No solution
li d applied but not an entirely satisfactory
A solution
Fig 2
A satisfactory solution
li unresolved
d
QRE
at the time of the BRE visits
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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.
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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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PURCHASING
Most processes involve the incorporation of components and materials into the suppliers 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 clients brief and his expectations,
statutory regulations and various standards ranging from the international through national to defacto
product standards and the Practices 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
manufacturers 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)
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;
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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 organisations 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.
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:
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b) Definition of the clients brief to include outline of the clients 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.
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 architects instructions. Alternatively they may be referenced using
an office filing system.
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9.
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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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)
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
CPIC Co-ordinating Committee for Project Information RIBA, RICS, CIBSE, ICE and CC
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10
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.
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.
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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.
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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
Management review
5.6, 8.5.1
4.1, 4.2
4.2.2
4.2
5.4.2, 7.1
4.2.3
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
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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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
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
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
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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
7.6
7.6
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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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.
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.
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 Practices policy with regard to quality
objectives, commitment to quality and its implementation
and maintenance throughout the Practice
5.3
Quality policy
4.2.3
Control of documents
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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
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
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.
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RIBA
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
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.
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8.3
RIBA
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
7.5.3
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
7.2.2
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
Issue *: month/year
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7.2.1
7.3.2
RIBA
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
7.5.3
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
Verification:
Identify the various types of checking performed during the
course of the project. (See topic paper 7)
8.2.2
8.2.3
7.5.3
8.2.4
7.5.3
8.2.4
8.2.4
Checking calculations:
Determine the procedure for recording and checking
calculations.
8.2.4
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RIBA
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
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
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
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RIBA
7.3.1
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
7.3.1
7.4.2
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
7.2.1
7.2.1
CDM Regulations:
Define procedures to ensure compliance with the
requirements during the design stage.
7.2.1
7.3.2
Calculations:
Define procedures for performing, recording and checking
calculations during the design stage.
7.3.5
Issue *: month/year
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7.3.2
7.3.2
7.3.2
RIBA
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
7.2.2
7.3.7
6.3
6.4
7.5.1
7.5.2
6.3
6.4
7.5.1
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
7.5.3
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RIBA
7.5.1
7.5.5
Contract documents:
Establish procedures for safeguarding contract documents.
7.5.1
7.5.5
7.5.1
7.5.1
Architects instructions:
Define the procedures for issuing architects instructions
and their classification to assist feedback.
7.3.6
8.3
7.5.1
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
7.5.1
7.5.5
CDM Regulations:
Define procedures for satisfying the regulations during the
construction stage.
Issue *: month/year
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7.3.6
7.3.6
RIBA
3.6 Feed-back
Architects instructions:
Define procedures to review the effectiveness of the
project documentation during the construction stage.
7.3.6
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
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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RIBA
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
4.2.3
Control of documents
4.2.3
Control of documents
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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RIBA
Office procedures:
Define those procedures which may affect the quality of the
Practices output. It may be convenient also to include
other general office procedures.
4.2.3
Control of documents
7.6
7.5.1
7.5.5
4.2.4
List of equipment:
identify and list each piece of equipment(e.g. surveying
tapes, moisture meters)
Archive:
Define procedures for storage and identification of
documents from completed projects.
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RIBA
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.
Issue *: month/year
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6.2.2