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New South Wales Government

Quality Management Systems Guidelines


for Construction

June 2005 (amended April 2006)

Quality Management Systems Guidelines These Quality Management Systems Guidelines are designed to assist construction industry service providers to the NSW Government and its agencies meet their obligations with systematic quality management.

The Construction Agency Coordination Committee (CACC) has developed this document and the NSW Government Construction Quality Management Systems model as described therein. The CACC membership includes representation of: Department of Housing Department of Commerce Hunter Water Corporation Rail Infrastructure Corporation Roads and Traffic Authority Rail Corporation New South Wales Sydney Catchment Authority Sydney Olympic Park Authority Sydney Water TransGrid Transport Infrastructure Development Corporation

June 2005 DC Report no. 05036


NSW Department Commerce Cataloguing-in-Publication data New South Wales, Department of Commerce

Quality management systems guidelines for construction. Electronic version is available from http://www.construction.nsw.gov.au ISBN 0 7347 4334 8 (electronic version) 1. Construction industry New South Wales Quality control. Title. II. Series (Capital Project Procurement Manual).

2.

354.944 (DDC 21)


This work is copyright. Apart from any use as permitted under the Copyright Act 1968, no part may be reproduced by any process without written permission from the NSW Department of Commerce. Requests and inquiries concerning reproduction and rights should be addressed to:

Construction Agency Coordination Committee Level 11, McKell Building Rawson Place SYDNEY NSW 2000 Website: http://www.construction.nsw.gov.au Email: construction@commerce.nsw.gov.au

Contents
1 INTRODUCTION 1.1 Scope and purpose 1.2 Why quality management? 1.3 Definitions and abbreviations 1.4 Key aspects of the Guidelines 2 REQUIREMENTS AND APPLICATION 2.1 Requirements 2.2 Application 3 SYSTEM COMPONENTS 3.1 Standard 3.2 Quality Management System 3.3 Quality Management Plans 3.4 Design plans 3.5 Inspection and Test Plans 3.6 Audit plans 4 REQUIREMENTS FOR AGENCIES AND OTHER CUSTOMERS 4.1 Organisational activities 4.2 Project and contract activities 5 REQUIREMENTS FOR SERVICE PROVIDERS 5.1 Organisational activities 5.2 Project and contract activities 6 ACCREDITATION OF A SERVICE PROVIDER'S QUALITY MANAGEMENT SYSTEM 6.1 Accreditation requirements 6.2 Accreditation assessment process 6.3 Accreditation decision 6.4 Accreditation register 6.5 Withdrawal and re-instatement of accreditation 7 AUDITS 7.1 General 7.2 Scope 7.3 Responsibility 7.4 Conduct 7.5 Reports 7.6 Actions APPENDICES 3 3 3 3 4 5 5 5 7 7 7 7 8 8 8 9 9 10 12 12 12 14 14 14 14 14 15 16 16 16 16 17 17 17 18

Quality Management Systems Guidelines

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1.1

Introduction
Scope and purpose

The NSW Government relies on service providers that are committed to continual improvement in their efficiency and effectiveness. For this reason, the Government and its agencies seek service providers that take a systematic approach to the management of quality and in so doing better control and improve performance. These Quality Management Systems Guidelines are designed to assist agencies and other customers in the subcontract delivery chain, and their service providers, in agency construction works (including ancillary asset maintenance and operation) procurement, by providing a framework, based on AS/NZS ISO 9001:2000, Quality management systems Requirements, for applying a systematic approach to the management of quality. This includes: customers developing and implementing Quality Management Systems; service providers developing and implementing Quality Management Systems, Quality Management Plans, and Inspection and Test Plans; service providers needing an agency accredited Quality Management System for agency contracts valued at $1 million or more with sufficient risk to quality, as determined by the agency, from a date to be determined by the agency; and accreditation of Quality Management System conformity with the Guidelines by, and to suit the business activities of, the NSW Government Construction Agency Coordination Committee member agencies.

1.2

Why quality management?

The implementation of quality management and the Guidelines are designed to encourage and assist: the management of projects and contracts by all customers and service providers to consistently achieve the required outcomes; a better customer service approach by service providers; continual improvement in the delivery of project and contract outcomes; and a consistent approach by agencies in specifying, and service providers in providing/implementing, Quality Management Systems, Quality Management Plans (including design plans), and Inspection and Test Plans, and in monitoring their implementation.

1.3

Definitions and abbreviations

The terms defined in AS/NZS ISO 9000:2000, Quality management systems Fundamentals and vocabulary apply to these Guidelines. The following definitions also apply and take precedence: accreditation (by an agency of a potential service providers Quality Management System) means the acceptance by an agency that the QMS is sufficient for the potential service provider to be considered and used as a service provider to the agency for particular contracts. agency means a NSW Government department, authority, corporation or other entity established by an Act of the NSW Parliament, excluding (for the purposes of the Guidelines) state owned corporations not represented on the Construction Agency Coordination Committee. The terms Government agency, agency or agencies may be used interchangeably. Agencies may be customers. audit means an examination of a random or particular sample of processes to determine whether or not correct plans/procedures are being followed, and includes a document review or an examination of activities or an examination of documents and activities, to assess their conformity with requirements.
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Quality Management Systems Guidelines

certification (of a Quality Management System) is the attestation by certificate that the QMS meets certain defined provisions of AS/NZS ISO 9001:2000 for use for a certain scope of activities. Usually this would be provided following a 3rd party certification audit by an organisation accredited under a Joint Accreditation System of Australia and New Zealand (JAS-ANZ) recognised product certification scheme or another scheme acceptable to the relevant agency. construction includes all organised activities concerned with demolition, building, landscaping, maintenance, civil engineering, process engineering, heavy engineering and mining. customer means an entity calling for tenders and awarding a contract, including a customer as defined in AS/NZS ISO 9000:2000. Each contract involves a customer and a service provider. Guidelines means Quality Management Systems Guidelines. ITP means Inspection and Test Plan. QMP means Quality Management Plan (including design plan). QMS means Quality Management System. service provider (or "organisation" as defined in AS/NZS ISO 9000:2000) means a contractor, consultant and supplier, and their service providers, that contract with a customer to carrying out asset construction, provide other products (including goods) and/or provide services.

1.4
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Key aspects of the Guidelines


AS/NZS ISO 9001:2000 substantially revises the approach in earlier quality standards, including a major change of emphasis from quality assurance to quality management. The Standard also involves more emphasis on the involvement of top management, managing processes and customer satisfaction. The Guidelines follow the Standard and provide additional guidance for construction works procurement. The Guidelines are for both customers and service providers. The Guidelines outline the recommended requirements with applicable projects for the effective preparation and implementation of Quality Management Systems, Quality Management Plans, and Inspection and Test Plans. Checklists and guides in the Appendices are provided to assist in the assessment and preparation of Quality Management Systems, Quality Management Plans, and Inspection and Test Plans. Quality Management Systems accredited as conforming with the Guidelines (and any other agency requirements) will be required from service providers for agency contracts valued at $1 million or more involving sufficient risk to quality, and for substantial consultancies and product supplies that involve sufficient risk to quality. The applicable agency will determine and specify the quality management requirements for each agency contract to suit the assessed risks. Agencies may vary the Quality Management System accreditation requirements set out in the Guidelines. The certification and other evidence of conformity with the requirements of an agency specified in Section 6 will be accepted by the agency as indicating a service providers Quality Management System complies with accreditation requirements. As outlined in Section 6 an agency may accept the Quality Management System accreditation determined by another agency where relevant, however, accreditation by one agency may not necessarily be recognised by another agency. Service provider quality management related information may be exchanged between agencies. Previous accreditation of service providers Quality Management Systems will remain acceptable to agencies until a date determined and advised by the applicable agency.

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Quality Management Systems Guidelines

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2.1

Requirements and application


Requirements

To assist the productivity and performance of service providers and the continual improvement in their efficiency and effectiveness, services providers will be required to implement quality management based on AS/NZS ISO 9001:2000 and these Guidelines for agency construction works procurement. Each agency will assess the likelihood of nonconforming work arising, the extent of the associated adverse impacts, and thus the level of risk, for each contract between the agency and its service providers (see Section 4.2.1). The outcome of this risk assessment and the value and type of contract involved will help (with any other agency specific criteria) the agency determine the contract quality management requirement for a Quality Management System, and/or a Quality Management Plan (including any design plan) and Inspection and Test Plans. Service providers will, in turn, assess the level of risk in the same way for their service providers, and specify the requirements accordingly to suit each subcontract involved. The contract quality management requirements for service providers will be determined using the following table as a guide. Appropriate contract clauses would be included in the contract between the agency and service provider and related subcontracts to suit the requirements determined. TYPE OF WORK AND RISK UNDER THE CONTRACT
COMPLEX, with a definite possibility of nonconformity with the specification and significant impacts HIGH Service provider must have an agency accredited Quality Management System, and implement a Quality Management Plan and ITPs MEDIUM Service provider must implement a Quality Management Plan and ITPs HIGH Service provider must have an agency accredited Quality Management System and implement a Quality Management Plan MEDIUM Service provider must implement a Quality Management Plan and certify service conformity HIGH Product supplier must have an accredited Quality Management System and provide test certificates and product certification of product conformity with requirements MEDIUM Product supplier must provide test certificates and certification of product conformity with requirements SIMPLE, or simple and repetitive with some or little possibility of nonconformity with the specification MEDIUM Service provider must implement a Quality Management Plan and ITPs LOW Service provider must have and implement ITPs MEDIUM Service provider must implement a Quality Management Plan and certify service conformity LOW Service provider must implement a basic Quality Management Plan and certify service conformity LOW Agency (customer) will rely on delivery inspections and/or the provision of certification of product conformity with requirements LOW Agency (customer) will rely on delivery inspections and/or the provision of certification of product conformity with requirements

Construction Contracts Consultancies or Service Provision Product Supply

Valued at $1m or more Valued at under $1m Valued at $100,000 or more Valued at under $100,000 Valued at $50,000 or more Valued under $50,000

Agencies may require potential service providers to have an agency accredited Quality Management System for smaller, lower valued, high risk and specialist contracts where the table does not indicate this. Agencies may develop their special requirements for the partial Systems, Quality Management Plans and/or Inspection and Test Plans.

VALUE AND TYPE OF CONTRACT

Quality Management Systems Guidelines

2.2

Application

The Guidelines apply for agency construction works procurement projects and activities, and the provision of related services and products. This includes the provision of services and products with all the project activities, ranging from feasibility studies and concept development to asset construction, operation, maintenance, and ultimately demolition and disposal where applicable. That is, all the procurement process stages allowed for in the NSW Government Procurement Policy as outlined below. It also includes the procurement of public infrastructure for the Government, financed either completely or partly by the private sector, such as with Privately Financed Projects. Further information is available at http://www.treasury.nsw.gov.au/procurement/procure-intro.htm regarding procurement, including specific procurement planning and delivery guidelines. Refer also to Appendix B. The Guidelines are for the use of: agencies and other customers in helping to specify, address and monitor quality management requirements of service providers with construction works and related procurement; and service providers in meeting the quality management requirements specified by agencies and other customers in the subcontract delivery chain.
Service Demand Identification Service Delivery Options
Identify and quantify a service demand for a genuine delivery need in an outcomes strategy

Identify service delivery options for meeting the need, with stakeholder and preliminary risk analysis

Justification of Proposed Options P R O C U R E M E N T P R O C E S S S T E P S

Justify proposed option with option evaluation, some financial/economic appraisal and a strategy report

Project Definition

Define preferred project with brief, risks/benefits analysis, business case and authority to proceed

Procurement Strategy

Determine procurement strategy, including procurement methodology and processes

Confirm project brief, risk analysis, risk management plan and fund commitment

Specification

Tender for/engage consultants (using this delivery process), and partly/fully design work

Obtain approval of tender documents and pre-tender estimate, and to call tenders for each contract, closing in tender box

The Guidelines will assist in dealing with the processes and service providers involved with these steps, including tenders for/ engagement of service providers using this delivery process

Service Provider Selection

Evaluate tenders, select preferred tenderer, make recommendation and obtain approval to award contract(s) Service provider(s) carries out contract work, with performance monitoring, assessment and reporting, and valuing and payment for work done Contract work reaches completion, service provider rectifies any defects arising during post completion period and then contract finalised

Project Implementation

Operation

Evaluation
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Report on performance overall and during post completion period and confirm needs met

Quality Management Systems Guidelines

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3.1

System components
Standard

The Guidelines are based on AS/NZS ISO 9001:2000, and are designed to provide additional guidance and assist in implementing the standard for construction works procurement.

3.2

Quality Management System

A Quality Management System provides a structure, including documentation and processes, which enables the delivery of products and services to be controlled and managed to consistently meet the specified requirements. The extent and detail of the documentation and processes included in a service providers Quality Management System would be determined to suit the products, services, practices and characteristics of the service provider, its customers requirements, and the needs of its personnel and its own service providers. Establishing and implementing a Quality Management System involves: Identifying the areas and assessing the associated level (likelihood and impact) of risk of products and services not conforming with the specified requirements; developing processes, generally documented as plans and procedures, to manage the risks; identifying and providing resources and allocating responsibilities to suit the plans and procedures; implementing the plans and procedures; monitoring, auditing and improving the implementation of plans and procedures; and regularly reviewing and improving the Quality Management System. A Quality Management System may be integrated with other management systems (such as those for environmental and occupational health & safety management) or it may be separately documented. For some contracts an agency may require the service provider to use nominated quality management documentation developed by the agency or others. Appendix A and Appendix C provide further guidance regarding the requirements for Quality Management Systems.

3.3

Quality Management Plans

A Quality Management Plan is a project or contract specific plan developed by the service provider by applying an appropriate quality management system to plan and carry out the work involved, to ensure conformity with the requirements for the project/contract and to manage the quality risks. The Quality Management Plan is used and updated regularly during the life of the project or contract. A Quality Management Plan would include clearly defined: project or contract objectives; resources to be used, including management structure/personnel and their training for the work; personnel responsibilities and authorities; process controls to be used to deal with the work and risks involved, including quality procedures, and ITPs and associated checklists, with methods for measurement/analysis; methods to be used to monitor and audit implementation; methods to be used to identify nonconformities, and implement corrective and preventive actions; and

Quality Management Systems Guidelines

methods to be used for document control and records management, including maintaining, securing/protecting/storing, identifying, retrieving and otherwise controlling records for the periods required and then their disposal. Appendix A and Appendix D provide further guidance regarding the documentation requirements for Quality Management Plans.

3.4

Design plans

Design activities require reviews, verification, validation and change control as detailed in AS/NZS ISO 9001:2000, Appendix C and Appendix D. A design plan covering this for the design activities for each phase or stage of the design would be prepared, implemented and updated by each service provider involved in design as part of its Quality Management Plan. The design plan would identify the competent personnel to undertake these activities, with their details, qualifications, authorities and responsibilities; the organisation structure involved, showing reporting relationship and technical interfaces, including with the customer and service providers; the design inputs and output processes and documents required; the design reviews, verification, validation and change control required; and the co-ordination and other processes and procedures involved. Each service provider QMS and QMP must detail the controls they will use for the design processes to be carried out by their service providers to ensure all requirements will be satisfied.

3.5

Inspection and Test Plans

For construction activities (which may include design), Inspection and Test Plans are required in documenting the procedure to be undertaken and providing evidence (including reviews and verification points) that a particular work process/product or activity conforms to the specified requirements. Inspection and Test Plans may also be used to incorporate health & safety, environmental and regulatory requirements, and identify and trace nonconforming work. For complex processes ITPs may need to be supplemented with method statements and other documentation. The content of Inspection and Test Plans is based on the contract drawings, contract specifications/conditions and other sources such as standards, legislation and regulatory requirements. An Inspection and Test Plan would: detail the inspections and tests required, including Hold and Witness Points; identify acceptance criteria, sampling and testing methods and frequency of sampling/testing; identify responsibilities for inspection and testing and product/service approval; and detail the records to be provided, including those required for identification and traceability. Appendix A and Appendix E provide further guidance on, and samples and examples of, the documentation of Inspection and Test Plans.

3.6

Audit plans

As outlined in the Appendices, audits and reviews are part of the implementation of any Quality Management System and Quality Management Plan. An audit plan would be included in a QMP to cover the arrangements and requirements for a project/contract, in accordance with Section 7.

Quality Management Systems Guidelines

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4.1

Requirements for agencies and other customers


Organisational activities

Agencies and other customers will select and specify appropriate quality management requirements in their request for tender documents and contract documents. Activities will then be planned to implement quality management, including monitoring the conformity of service providers with quality requirements. Only service providers with a demonstrated ability to effectively implement appropriate quality management practices/processes would be used. 4.1.1 Allocating resources For each procurement activity, customers will allocate sufficient resources to manage quality, including personnel with the appropriate knowledge, skills and experience, to cover the defined practices/processes and procedures required for tender/contract documentation, management and activities generally. 4.1.2 Providing training Appropriate training will be provided to personnel, including in: the quality management requirements for construction as outlined in the Guidelines; the principles, standards and codes applicable to Quality Management Systems; specification of quality requirements; assessment of a potential service providers Quality Management System; review of a service providers Quality Management System documentation, including any Quality Management Plan, and Inspection and Test Plans, submitted in connection with a contract; and monitoring, reviewing and auditing of a service providers implementation of the required quality management, and notifying the service provider where any action is required. 4.1.3 Developing procedures Procedures will be developed and implemented to: define and control the quality of products and services; identify the requirements for Quality Management Systems, Quality Management Plans, and Inspection and Test Plans; assess a potential service providers quality management documentation and ability to meet specified quality management requirements; accredit or confirm the accreditation of a service providers Quality Management System where accreditation is required; verify that service providers implement the required quality management; manage an audit/review program; and maintain records of assessed service provider performance. Accreditation processes are further described in Section 6. 4.1.4 Maintaining records Records will be maintained of the following: assessments of Quality Management Systems, where applicable; agency accreditation of Quality Management Systems, where applicable; reviews of Quality Management Plans, and Inspection and Test Plans, as applicable;
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Quality Management Systems Guidelines

audit and other reports on the implementation of Quality Management Systems, Quality Management Plans, and Inspection and Test Plans, as applicable; performance reports on service providers; and related correspondence with service providers.

4.1.6 Exchanging information with other agencies Agencies may exchange information about service providers such as review results, assessments, accreditation status, audit results and other reports on the performance of service providers. The exchange of information would be carried out in accordance with the Contractor Performance Reporting and Exchange of Reports between Government Agencies Guidelines (or Consultant Performance Reporting and Exchange of Reports between Government Agencies Guidelines) available at http://www.construction.nsw.gov.au/.

4.2

Project and contract activities

A process chart showing project/contract activities and responsibilities generally applying for quality management is provided in Appendix B. 4.2.1 Assessing contract risk The level of risk must be determined for each contract. The probability or likelihood and consequences or impact of nonconformity with specified requirements (including quality, technical, health and safety, environmental, financial and operational) determine the level of risk. The table in Section 2 provides general guidance on assessing the level of risk. For suitable projects, the risk level could be determined using the methods outlined in AS 4360, Risk Management and the Total Asset Management Risk Management Guideline (TAM 04-12) available at http://www.treasury.nsw.gov.au/tam/tam-assess.htm. 4.2.2 Specifying quality requirements Contract requirements for a Quality Management System, Quality Management Plan, and Inspection and Test Plans, will be specified in the request for tender and contract documents. Suggested contract requirements based on the level of risk are shown in the table in Section 2. The need for, and scope of, monitoring activities for a contract would be assessed and contract conditions allowing for such activities included in the contract documents. These may include audits/reviews arranged and resourced by both the service provider (1st party) and the agency or other customer (2nd party). Customers may use the results of service provider audits/reviews. The minimum standard to be met by tenderers (as potential service providers) for their tender to be considered, such as having an agency accredited Quality Management System, and the other related evaluation criteria by which the tenderers will be judged, must be stated in request for tender documents. Some suggested standard contract conditions and conditions of tendering are given in Appendix F. 4.2.3 Assessing quality management abilities Potential service providers quality management abilities would be assessed in a tender evaluation process, using the identified evaluation criteria. Possible evaluation criteria include: the status of their Quality Management System; and/or the nature of the quality management implemented on current and/or recent comparable contracts. This may include assessment of a potential service providers past Quality Management Plans, and/or past Inspection and Test Plans. Where the relative abilities of the potential service providers are known, or it is assessed that they will not affect the tender evaluation outcome (such as with low risk contracts), consideration of Quality

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Quality Management Systems Guidelines

Management Plans (and design plans) and/or Inspection and Test Plans may not be required in a tender process. Where there is a limited number of potential service providers with documented Quality Management Systems, or having a QMS is assessed as unnecessary for the risks involved with the type and nature of the proposed contract, the agency may accept a service provider that demonstrates it has alternative, adequate and relevant process control in place. This may involve, for products, appropriate product test certificates from a NATA (or equivalent) registered test facility, and for consultant services, appropriate Quality Management Plans covering the service delivery. 4.2.4 Monitoring implementation during the contract The service providers Quality Management Plan and/or Inspection and Test Plans would be reviewed for conformity with the requirements at the commencement of the contract. Subsequent reviews, audits, inspections, and witness and surveillance activities to adequately monitor the QMS, QMP and ITP implementation would also be planned, resourced and undertaken. The level of risk involved with the contract, together with the performance of the service provider and the results of any 1st party reviews and audits, would be considered in assessing the need for 2nd party reviews and audits. Audits/reviews would be undertaken in accordance with Section 7. Audit/review findings would be reviewed, with any comment obtained from the service provider, and the appropriate corrective action and verification would be sought from the service provider. If inspection, witnessing or surveillance indicated that implementation of a QMS or QMP or ITP was not satisfactory, further auditing/reviewing and other such activities to verify conformity would be undertaken. Confirmation of the satisfactory completion of audits, reviews, inspections and tests, and the corrective action undertaken by the service provider to meet contract requirements would be obtained from the service provider, and assessed progressively and when making progress payments for completed work. The performance of the service provider in meeting quality requirements would be evaluated and included in regular performance reports prepared for and addressed under the contract. Records of the above contract management activities would be maintained.

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5
5.1

Requirements for service providers


Organisational activities

5.1.1 Developing a Quality Management System The scope and extent of documentation in a service provider's Quality Management System will depend on the products and services delivered by the service provider and the particular customer requirements, including those of the agencies with which they wish to work. Service providers must allocate resources, including personnel with sufficient knowledge, skills and experience in quality management, and have corporate procedures for developing, implementing and maintaining their Quality Management System, Quality Management Plans, and Inspection and Test Plans, as applicable, and to monitor their effective implementation with contracts. Service providers that purchase or subcontract products and/or services would ensure each customers quality requirements are reflected in the applicable purchase or subcontract documents. 5.1.2 Addressing agency requirements Service providers interested in tendering for agency contracts must address the applicable agency Quality Management System accreditation requirements and other conditions of tendering for the type and value of products and services involved. 5.1.3 Submitting applications for accreditation Applications for Quality Management System accreditation must include documents as corporate templates that meet requirements and demonstrate its consistent implementation, including documentation that demonstrates the applicants ability to provide the required quality management for applicable contracts.

5.2

Project and contract activities

5.2.1 Identifying requirements for tenders and contracts The requirements for a service provider's Quality Management System, Quality Management Plan, and Inspection and Test Plans will be as specified in the request for tender documents and contract documents. Appendix A shows the recommended documentation requirements where conformity with the Guidelines, and a Quality Management System, a Quality Management Plan and/or Inspection and Test Plans are specified. Individual agencies may determine and specify different requirements for a contract. Appendix A is based on AS/NZS ISO 9001:2000. Standards Australia handbook HB90.3-2000, The Construction Industry Guide to ISO 9001:2000, provides further guidance for service providers in the construction industry. When only Inspection and Test Plans are required, the necessary documentation is shown in the ITP column in Appendix A. When a Quality Management Plan is required, Inspection and Test Plans will also be necessary, and the documentation recommended is shown in the Quality Management Plan and ITP columns in the Appendix. When a Quality Management System is required, a contract-specific Quality Management Plan and Inspection and Test Plans will also be necessary, and the required documentation is as shown in all three columns in the Appendix. Where needed, the requirements for consultant Quality Management Plans would be adapted to suit the service to be provided. Where "documented procedures" or "methods" are required, they may be separate procedures or methods or be included as part of other procedures. "Process documentation" involves all the

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documents needed to ensure the effective planning, implementation and control for the process involved. For contracts requiring accredited Quality Management Systems, tenders would normally only be sought from potential service providers with an accredited QMS. To determine the QMS status of potential service providers in tender processes (including applications for a pre-qualification list for use with several tender processes and expressions of interest for pre-registration for a particular tender process) tenderers may be required to provide: a description of their Quality Management System; evidence of meeting the QMS requirements; and/or other documentation to demonstrate their ability to meet other accreditation conditions. Ability to meet quality management requirements may be assessed as either pass/fail criteria (that is the service provider has the required QMS or not) and/or on merit relative to other tenders (that is their relative capability/capacity). A potential service providers ability to undertake quality management for a contract not requiring it to have a QMS accredited by the agency would normally be assessed by the agency on the compliance with the Guidelines and other agency critieria of the organisations QMS, documented procedures to the degree they are developed, and past Quality Management Plans, and Inspection and Test Plans, used on recent comparable contracts. 5.2.2 Submitting tenders To demonstrate how the potential service provider will meet the tender and proposed contract requirements, a tender must provide the information sought by the customers tender documents with any additional information needed to demonstrate the ability sought. This will include evidence of accreditation of a QMS where this is required, and may include documented procedures, and samples of past Quality Management Plans, and Inspection and Test Plans, implemented on recent comparable contracts. 5.2.3 Contract requirements The contract conditions would normally include, as a minimum: preparation of a Quality Management Plan and/or Inspection and Test Plans for the work, covering the service provider and its service providers, or allowing for each to provide a QMP and ITPs, and the submission of these or certification of their conformity to the contract Principal before applicable work commences; reviewing and updating the Quality Management Plan and/or Inspection and Test Plans; planning and conducting its reviews, audits, inspections, witnessing and surveillance of the implementation of the Quality Management System (where applicable), Quality Management Plan and/or Inspection and Test Plans; controlling nonconforming services/products and undertaking appropriate corrective and preventive actions; claiming for payment for the work with evidence of conformity with requirements; establishing, and maintaining records of the above actions; and providing access to the work sites, information, documentation, records, explanations, personnel and accommodation necessary for any 2nd party audits/reviews. A typical set of tender/contract conditions specifying such requirements is included in Appendix F.

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6
6.1

Accreditation of a service provider's Quality Management System


Accreditation requirements

An agency may require potential service providers to have accredited Quality Management Systems for particular contracts for them to be considered for those contracts. Where an agency determines accreditation is required for a particular type of contract, it must determine and document the accreditation requirements to be used, and potential service providers must demonstrate conformity with the agencys requirements. Accreditation by one agency will not mean automatic accreditation by another agency. Accreditation of a service providers Quality Management System may be granted following one or more of the processes outlined below, but agencies may specify other requirements to suit their business needs. certification of the QMS to AS/NZS ISO 9001:2000 by an organisation accredited under a scheme recognised by JAS-ANZ or another scheme acceptable to the agency; assessment, by document review or audit, by the agency, or another skilled and experienced organisation acceptable to the agency, of the suitability of the QMS for the contracts proposed by the agency (See Appendix C for a sample Quality Management System assessment checklist); demonstration to the satisfaction of the agency that the QMS has been successfully and recently implemented using Quality Management Plans, and Inspection and Test Plans, on comparable contracts to those proposed by the agency; and/or current accreditation of the QMS by another agency as meeting the accreditation requirements for comparable contracts. These requirements may be updated from time to time.

6.2

Accreditation assessment process

If an agency requires the Quality Management Systems of its potential service providers to be accredited, then the agency must: develop, document and publish its accreditation requirements and provide a contact point; inform potential service providers of the necessity to, and how to, seek accreditation; provide potential service providers seeking accreditation with an application form; and receive the applications, and assess the suitability of each applicants QMS for accreditation.

6.3

Accreditation decision

Following an assessment by an agency of a service provider's application for accreditation and QMS, a decision on the application will be provided to the service provider by the agency. The service provider will be given an opportunity to respond to the decision. The agency will consider the response and, where justified, review the decision and advise the service provider of any change or other outcome.

6.4

Accreditation register

Each agency requiring service provider Quality Management System accreditation will maintain a register of service providers with an agency accredited QMS. Information on QMS accreditation may be made available to another agency, on request.

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6.5

Withdrawal and reinstatement of accreditation

A service providers Quality Management System accreditation may be withdrawn by an agency at the discretion of the agency where the service providers performance or other information indicates that the service providers QMS is not being implemented satisfactorily or is nonconforming. Decisions regarding withdrawal will only be made after the service provider has been given an opportunity to respond to a review, audit or performance report, and the agency has considered the service providers response. An agency may limit the currency of a service provider's Quality Management System accreditation to a particular period. An agency may renew or reinstate an accreditation, where recent performance, reviews and/or audits confirm QMS conformity with agency requirements.

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7
7.1

Audits
General

One of the essential features of a Quality Management System is the assurance its use provides to the customer that appropriate quality management is being implemented. Although service provider performance without such an assurance may be satisfactory, there is less risk of unsatisfactory outcomes when systematic management is in place, including effective audit and corrective action arrangements. The resources a customer needs to manage quality can be reduced when effective audits (including reviews) demonstrate the service provider is managing the contract quality risks. Audits may be: 1st party audits (commonly known as internal but may be carried out by an external auditor organisation) carried out or arranged by a service provider to evaluate its own conformity with the requirements. The notification and conduct of such audits are not as formal as for an 2nd or 3rd party audit. 2nd party audits (commonly known as external audits) carried out by, or arranged by, an agency or other customer to evaluate the activities of its service providers. The notification and conduct procedures for the audit are formal and necessitate more planning and preparation. 2nd party audits may use the results of the 1st party audits. 3rd party audits (commonly known as certification audits) carried out for a the service provider by an independent organisation accredited under a JAS-ANZ recognised scheme, or equivalent, to certify that a service providers QMS, and/or its implementation, meet defined requirements for a specified scope of services or products or both. These audits are generally the most formal. Internal and certification audits may provide assurance to the customer that the required level of performance can be, and/or is being, achieved, without the customer resorting to extensive external auditing. Audits may involve: document reviews or system audits to ensure that the service provider has plans/procedures in place to cover all the required aspects of a Quality Management System; and compliance (or procedural) audits to ensure that the specified plans/procedures are being implemented and are effective.

7.2

Scope

The number of audits and reviews and the scope of each would be determined to suit: the risks identified and risk levels assessed with the contract; the contract documents and Quality Management System; and the service provider's performance, including the previous nonconformities identified and the effectiveness of its audit/review arrangements and other controls. The scope and format of each audit and review would be documented. Appendix G includes three examples of typical audit/review arrangements. The specific audit arrangements used would be customised to meet the requirements of each particular contract. Simpler performance reviews may also be implemented.

7.3

Responsibility

The service provider is responsible for engaging auditors for 1st and 3rd party audits. The agency or other customer is responsible for 2nd party audits.
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Any appointed auditor organisation or other auditor would manage the audits, in consultation with the responsible party in accordance with the contractual and other rights and obligations of the contracting customer and service provider parties. Customers may require evidence of 1st and 3rd party audits under their contracts with service providers, and service providers would then provide notice of impending and completed audits. Reasonable notice of impending 2nd party audits, the appointment/name of an auditor and the scope of audit would be provided to the service provider.

7.4

Conduct

The auditor would be required to carry out an audit honestly and fairly, with appropriate skill and care, based on the established facts, and in a timely, practical and helpful manner. Unless agreed otherwise between the applicable agency or other customer and the service provider, the auditor would not divulge any confidential information, or audit findings, to parties other than the applicable agency, other customer or service provider. The information made available to a customer, auditor organisation and other auditor may be restricted for commercial reasons.

7.5

Reports

Each auditor would provide a written report on audit findings and any nonconformities. Any constraints that impair the ability of an auditor to expressing an opinion would be noted in the report.

7.6

Actions

Essential components of a Quality Management System are the service providers management commitment and action to continuously improve the Quality Management System. Following receipt of an audit report the service provider would explain to the customer the action proposed to correct any nonconformities and prevent their recurrence, and to verify the action taken.

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Quality Management Systems Guidelines

Appendices
A - Quality Management System documentation requirements guide B - Contract responsibilities for quality management C - Quality Management System assessment checklist D - Quality Management Plan assessment checklist E - Guideline for Inspection and Test Plans F - Typical contract and tender clauses and schedule G - Typical audit arrangements

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Quality Management Systems Guidelines

Appendix A - Quality Management System documentation requirements guide


AS/NZS ISO 9001:2000 reference Quality Management System Quality Management Plan Inspection and Test Plan

4 Quality Management System 4.2 Documentation requirements 4.2.3 Control of documents 4.2.4 Control of records

Contract specific ITPs Contract specific Documented Quality Quality Management Management System Plan Controlled documents Controlled documents Documented procedures Inspection & test Method of control and Documented records controlled maintenance of procedures contract records identified Documentation not required Documentation not required Top management commitment documented Process documentation for incorporating customer requirements for contracts Service provider's policy documented Service provider's objectives documented Planning documented Process documentation Planned system reviews documented

5 Management responsibility 5.1 Management commitment 5.2 Customer focus

Customer specified Customer contract requirements included requirements identified

5.3 Quality policy 5.4.1 Quality objectives 5.4.2 Quality Management System planning 5.5 Responsibility, authority and communication 5.6 Management review

Documentation not required Activity objectives documented

Documentation not required Contract objectives documented

Not applicable to ITPs Not applicable to a Plan Documented for ITPs Documented for to suit activity contract Documentation not Planned contract required specific reviews documented

Quality Management Systems Guidelines

AS/NZS ISO 9001:2000 reference 6 Resource management 6.1 Provision of resources

Quality Management System Quality Management Plan Inspection and Test Plan Resources to carry out inspections and tests identified Competent people identified to carry out inspections and tests Equipment, facilities and supporting services identified for inspections and tests Contract work resources identified Process documentation for identifying and providing resources for contract work Competent people Process identified for contract documentation for work assigning competent people to contract work Equipment, facilities Process and supporting documentation to services identified for ensure equipment, contract work facilities and supporting services provided for contract work Critical working Critical environments environments for that affect product/ contract identified and service conformity conditions of work documented and documented (to suit linked to applicable risk levels) standards/work methods Quality Management Plan Documented procedures

6.2 Human resources

6.3 Infrastructure

6.4 Work environment

7 Product realisation 7.1 Planning of product realisation 7.2 Customer related processes

Critical working environments for inspections and tests identified and conditions of work documented (to suit risk levels) Inspection and Test Plans Identification of inspections and tests required to verify customer, statutory, regulatory and company i Inspections and tests to verify and validate design identified

Customer, statutory, Process regulatory and service documentation provider requirements identified for contract work Design plan with competent personnel and their tasks identified for design and development, reviews, verification and validation Process documentation

7.3 Design and development

Quality Management Systems Guidelines

AS/NZS ISO 9001:2000 reference 7.4 Purchasing

7.5 Production and service provision

7.6 Control of monitoring and measuring devices

Quality Management System Quality Management Plan Inspection and Test Plan Inspections and tests Purchased product identified to ensure identified, with purchased product process for specifying meets requirements and verifying, including control of subcontracted work Inspections and tests Controlled conditions necessary to verify and work methods controlled conditions identified and work methods are identified Monitoring and Monitoring and measuring devices measuring devices used in Inspections identified for contract and tests identified work and controls referenced Inspection and tests identified Documentation not required Documentation not required Conformity sign-off identified Documentation not required Documentation not required Documentation not required Documentation not required Methods identified Methods identified Methods identified Methods identified Documentation not required Methods identified Methods identified Methods identified

Process documentation

Process documentation

Process documentation

Measurement, analysis and improvement 8.2 Monitoring and measurement 8.2.1 Customer satisfaction 8.2.2 Internal audit 8.3 Control of non conforming products 8.4 Analysis of data 8.5 Improvement 8.5.2 Corrective action 8.5.3 Preventive action

Process documentation Process documentation Documented procedures Documented procedures Process documentation Documented procedures Documented procedures Documented procedures

Quality Management Systems Guidelines

Appendix B - Contract responsibilities for quality management


Agency/customer (refer to Section 4 of the QMS Guidelines)
Identify and assess quality risks and risk levels with proposed contract

Service provider (refer to Section 5 of the QMS Guidelines)

Determine and include quality management requirements in requests for tender to suit risks

Identify quality management requirements for tendering Obtain QMS accreditation by agency separately and/or demonstrate in a tender how quality management requirements are/would be met Implement continuous improvements by agency/customer and service provider at all stages of project

Assess organisation ability to implement quality management requirements in tender evaluation Award contract Review and assess quality management plan/ITPs and comment on conformity with contract requirements

Prepare and submit quality management plan/ITPs and/or certification to meet quality management requirements Implement and update plan/ITPs, and ensure and verify quality. Plan for, resource and implement quality management, including audit/review, corrective action and record processes Demonstrate internal audit, nonconformity corrective and preventive action, document control and record management processes Demonstrate performance to suit contract and quality requirements

Plan for, resource (with training and processes) and implement inspection, surveillance and reviews/auditing of the service provider, and its plan and ITP use, commensurate with assessed risks

Assess performance of the service provider and report to the service provider in accordance with the agency system

Assess evidence of satisfactory quality management for progress payments

Claim for payment with evidence of conformity with quality requirements

Maintain database of performance assessments and exchange information with other agencies

Maintain records of quality management and other contract activities

Maintain other records of evaluation, inspection, surveillance, reviews/audits and assessments and of service provider performance

Quality Management Systems Guidelines

Appendix C - Quality Management System assessment checklist


This checklist has been designed to assist Government agencies and others in assessing a service providers Quality Management System. It may also assist them, other customers and service providers as a guide in developing their Quality Management Systems. The number references are to clause numbers in AS/NZS ISO 9001:2000. Key to symbols to be used in check-boxes is: = Yes = No O = Not applicable 4 QUALITY MANAGEMENT SYSTEM 4.2.2 Quality manual Does the Quality Manual include: a description of the scope of the Quality Management System, including details of, and justifications for, any exclusions? documented procedures, as part of the Quality Management System, or reference to them? a description of the interaction between the processes of the Quality Management System? 4.2.3 Control of documents Is a documented procedure established to define the controls needed to: approve documents for adequacy prior to use? review and update as necessary and re-approve documents? ensure the changes to, and the current version status of, documents are identified? ensure that applicable documents are available at point of use? ensure that documents remain legible and readily identifiable? ensure that documents of external origin are identified and their distribution controlled? prevent unintended use of obsolete documents, and apply suitable identification to obsolete documents where they are to be retained? 4.2.4 Control of records Are procedures documented for the identification, storage, protection, retrieval, retention time and disposition of records needed to provide evidence of conformity of contract work and of the effective operation of the Quality Management System? 5 MANAGEMENT RESPONSIBILITY 5.1 Management commitment Has top management shown evidence of its commitment by: communicating to service provider personnel the importance of meeting customer, statutory and regulatory requirements? establishing and implementing the quality policy? ensuring quality objectives are established? conducting management reviews? ensuring the availability of appropriate resources? 5.2 Customer focus Are processes documented, and implemented by top management, covering processes for determining and meeting customer requirements, and enhancing customer satisfaction?

Quality Management Systems Guidelines

5.3

Quality policy Is documented quality policy appropriate for the product/services that the service provider wants to provide to the customer? Does quality policy include a commitment to comply with customer requirements and continually improve the effectiveness of the Quality Management System? Does quality policy provide a framework for establishing and reviewing quality objectives? Are there procedures for communicating the quality policy, and for top management to verify it is understood?

Are there procedures for reviewing the quality policy for continuing suitability, and for top management to regularly verify its suitability? 5.4 Planning 5.4.1 Quality objectives Are the quality objectives established and documented, that are measurable and consistent with the quality policy and products/services provided, for relevant service provider functions and levels? Are there procedures for reviewing the quality objectives for continuing suitability, and for top management to regularly verify this suitability? 5.4.2 Quality management system planning Does the planning process documented and implemented meet the quality management requirements and quality objectives? Are there procedures for reviewing the planning process implementation, and for top management to regularly verify process suitability and the achievement of objectives? Have Quality Management Plan templates been included or are procedures documented to ensure that required processes (where they are documented only in the Quality Management Plans) will be consistently applied, where relevant? Are there procedures for ensuring the integrity of the Quality Management System maintained when changes to the Quality Management System are planned and implemented, and for top management to regularly verify their implementation and suitability? Responsibility, authority and communication Are persons identified with their responsibilities and authorities defined and communicated within the service provider organisation. Are processes documented for the communication, and reviewing the definition and communication procedure for continuing suitability, and for top management to regularly verify this suitability? Is the corporate management representative appointed with appropriate responsibilities and authority (Clause 5.5.2)? Management review Has top management planned, carried out and recorded regular reviews of the Quality Management System and verified its suitability, adequacy and effectiveness? Are the planned system reviews documented?

5.5

5.6

Quality Management Systems Guidelines

6 RESOURCE MANAGEMENT 6.1 Provision of resources Has the service provider developed and implemented a process, with documentation, to plan, determine and provide the resources needed: to implement the Quality Management System and continually improve its effectiveness? to enhance customer satisfaction by better meeting customer requirements? 6.2 Human resources Has the service provider documented and implemented procedures for processes to: determine the necessary competence of personnel performing work affecting product and service quality? provide personnel with the required skills and experience, and to provide training or take other actions to address deficiencies in competence and evaluate the effectiveness of the actions taken? ensure personnel are aware of how their roles contribute to achieving quality objectives? maintain appropriate records of education, training, skills and experience? 6.3 Infrastructure (may be addressed in QMP) Has the service provider documented and implemented a process to determine, provide and maintain the infrastructure (facilities, equipment and services) needed to achieve product/service requirements? Work environment (may be addressed in QMP)

6.4

Has the service provider documented and implemented a process to determine, identify and manage the work environment (including identifying/assessing risks) needed to achieve product/service requirements? 7 PRODUCT REALISATION 7.1 Planning of product realisation Has the service provider documented and implemented procedures for a process to plan product realisation, including determining the following, as appropriate: quality objectives and requirements for the product/service? the need to establish processes, documents and provide resources specific to the product/service? required verification, validation, monitoring, inspection and test activities specific to the product/service and the criteria for product/service acceptance? records needed to provide evidence that the realisation processes and resulting product/service meet requirements? Does planning include the preparation of contract QMPs and associated documents, including guidelines and procedures for determining contract-specific requirements in accordance with Clause 7.2.1?

Quality Management Systems Guidelines

7.2 Customer-related processes In the processes documented and implemented by the service provider: Does the service provider determine the customers requirements, including those specified, those not specified but necessary for the customers intended use, and relevant statutory and regulatory requirements? (Clause 7.2.1) Is a review carried out and recorded, before submitting a tender, to check that customers tender documents adequately define the requirements for work under the contract? (Clause 7.2.2) Is action taken to resolve any differences with requirements previously expressed or otherwise expected? (Clause 7.2.2) Does the review of tender documents include confirmation that the service provider has the ability to meet the defined requirements confirmed? (Clause 7.2.2) Does the service provider deal with changes to customer requirements and ensuring that documents are amended and personnel are made aware of the changes? (Clause 7.2.2) Does the service provider deal with customer communications/feedback, including customer complaints? (Clause 7.2.3) 7.3 Design and development (may be addressed in QMP/design plan) 7.3.1 Design and development planning In the processes documented and implemented by the service provider: Does the service provider provide for the determination of the design stages, including the review, verification and validation appropriate that are to each design stage? Is provision made for personnel/group responsibility and authority to be determined for the design processes? Is provision made for the interfaces between different groups involved in the design processes to be managed to ensure effective communication and clear assignment of responsibility? 7.3.2 Design and development inputs In the processes documented and implemented by the service provider: Is provision made to determine and record design input requirements, including: functional and performance requirements? applicable statutory and regulatory requirements? other essential requirements and, where applicable, information from previous similar designs? Is provision made for the design inputs to be reviewed for adequacy, including consistency and completeness?

Quality Management Systems Guidelines

7.3.3 Design and development outputs In the processes documented and implemented by the service provider: Does the service provider provide for the outputs of design and development to be in a form that enables verification against the design inputs and approval prior to release? Does the service provider provide for ensuring that in the design outputs: all design input requirements have been met? appropriate information is provided to enable the procurement of relevant materials and products/services? relevant acceptance criteria for completed work are provided or referenced? characteristics essential for safe and proper use of products (during construction and postconstruction, as applicable) are specified? 7.3.4 Design and development review In the processes documented and implemented by the service provider, is provision made: For systematic design reviews at suitable design stages by relevant personnel to evaluate whether the design meets requirements and to identify any problems and propose any necessary actions? For records of the results of design reviews and any necessary actions to be maintained? 7.3.5 Design and development verification In the processes documented and implemented by the service provider, is provision made: For the design to be verified at appropriate stages to confirm that the design outputs have met the design input requirements? For records of the results of design verification and any necessary actions to be maintained? 7.3.6 Design and development validation In the processes documented and implemented by the service provider, is provision made: For the design to be validated (preferably before delivery/use) to show that the resulting designed product will be capable of meeting the specified requirements? For records of the results of design validation and any necessary actions to be maintained? 7.3.7 Control of design and development changes In the processes documented and implemented by the service provider, is provision made: For design changes to be identified, reviewed (including the consequences with other product parts), verified and validated, as appropriate, and approved before being implemented? For records of the results of the review of changes and any necessary actions to be maintained?

Quality Management Systems Guidelines

7.4 Purchasing 7.4.1 Purchasing process In the processes documented and implemented by the service provider, is provision made: For providing effective control over planning for, placing orders for, and verifying purchased products/services, and over the suppliers/service providers, to ensure that specified requirements are met? For the service provider to evaluate and select its service providers on the basis of their ability to meet specified requirements, including their past performance? For the service provider to establish criteria for selection, evaluation and re-evaluation of its service providers? For records to be maintained of the results of the control and evaluation processes and any necessary actions arising from the processes? 7.4.2 Purchasing information In the processes documented and implemented by the service provider, is provision made: For the description of the product/service to be purchased, including where applicable: requirements for approval of service, product, procedures, processes and equipment? requirements for qualifications of personnel? quality management system/plan/ITP requirements? verification arrangements, including at its service providers premises and the method of product release? For the service provider to ensure the adequacy of specified purchase requirements before being communicated to its potential and actual service providers? 7.4.3 Verification of purchased product In the processes documented and implemented by the service provider, is provision made: For the service provider to ensure the purchased product/service meets the specified requirements (including release/accept of the product/service and the specification)? For the service provider to plan, specify and implement surveillance and inspection of its service providers operations/activities, to verify conformity with quality systems and with specified product/service quality requirements? 7.5 Production and service provision 7.5.1 Control of production and service provision In the processes documented and implemented by the service provider, is provision made: To plan, document, implement and monitor the controlled conditions needed for each work process, including: information that describes the product/service characteristics? the availability of work instructions, as necessary? the use of suitable equipment? the availability and use of monitoring and measuring devices? the implementation of monitoring and measurement? the implementation of release, delivery and post-delivery activities, as applicable? methods for monitoring the effectiveness of new or changed processes (Clause 8.2.3)?
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Quality Management Systems Guidelines

7.5.2 Validation of processes for production and service provision In the processes documented and implemented by the service provider, is provision made: To identify work processes for which the resulting output cannot be fully verified by subsequent monitoring, inspection and testing? For work process descriptions, indicating the criteria for process review/approval, equipment approval and operator qualifications, equipment controls, method for validating process outputs and records to be kept (as appropriate)? For performing process validation and keeping validation records, when appropriate? 7.5.3 Identification and traceability In the processes documented and implemented by the service provider, is provision made: For the service provider to progressively identify work output by subdividing work into lots or discrete work areas and uniquely identifying each lot or work area? To identify samples and test results against the lot or work area to which they relate? 7.5.4 Customer property (may be addressed in QMP) In the processes documented and implemented by the service provider, is provision made: To identify, verify, protect and safeguard the customers property provided for use or for incorporation into the product? To advise the customer of any loss or damage to, or unsuitability of, the property, to act to correct this, and to keep appropriate records? 7.5.5 Preservation of product (may be addressed in QMP) In the processes documented and implemented by the service provider, is provision made: For the service provider to preserve the conformity of products/services during internal processing and delivery, including identification, handling, packaging, storage and protection? 7.6 Control of monitoring and measuring devices (may be addressed in QMP) In the processes documented and implemented by the service provider, is provision made for the service provider to: Determine the monitoring and measurement to be undertaken to provide evidence of conformity of product/service to specified requirements? Determine, provide and maintain the monitoring and measurement devices/equipment required to provide evidence of conformity of product/service to specified requirements? Implement the monitoring and measurement required? 8 MEASUREMENT, ANALYSIS AND IMPROVEMENT 8.1 General In the processes documented and implemented by the service provider, is provision made: To plan, document and implement the monitoring, measurement (such as performance statistics), analysis and improvement processes/methods, and their use frequency, needed to: demonstrate conformity of the product/service? (may be addressed in QMP) ensure conformity of and with the Quality Management System? continually improve the effectiveness of the Quality Management System?

Quality Management Systems Guidelines

8.2 Monitoring and measurement 8.2.1 Customer satisfaction In the processes documented and implemented by the service provider, is provision made: For the service provider to follow a determined method to monitor and measure performance as the customer perceives it, and act to address any lack of performance and misconceptions? For the determination and/or description of the method, including obtaining and using the information required? 8.2.2 Internal audit In the procedures documented and implemented by the service provider, is provision made: For the service provider to conduct internal audits at planned intervals to determine whether the Quality Management System conforms to the planned arrangements and specified requirements, and that the Quality Management System is being effectively implemented and maintained? For the audit program to take into consideration the status and importance of the processes and work areas to be audited as well as the results of previous audits? For audits to be conducted with objectivity and impartiality, by auditors who are not directly responsible for or involved in the activity being audited? For the audit criteria, scope, frequency and methods to be defined? For audit results to be recorded and brought to the attention of the responsible personnel for prompt action and follow-up? For the responsibilities and requirements to be defined for planning and conducting audits, and for reporting results and maintaining records? For the management responsible for the area being audited to ensure that actions are taken without undue delay to eliminate detected nonconformities and their causes? For the follow-up activities to include the verification of the actions taken and the reporting of the verification results? 8.2.3 Monitoring and measurement of processes (may be addressed in QMP) In the processes documented and implemented by the service provider, does the service provider allow for monitoring, and where applicable, measuring the ability of quality management processes to achieve planned results? 8.2.4 Monitoring and measurement of product (may be addressed in QMP) In the processes documented and implemented by the service provider, does the service provider allow for progressively (as planned) monitoring, and measuring the characteristics of products/services to ensure requirements have been met? 8.3 Control of nonconforming product In the procedures documented and implemented by the service provider, is provision made: For the controls and related responsibilities for ensuring that product/service which does not conform to product/service requirements is identified and controlled to prevent its unintended use or delivery? For the service provider to deal with nonconforming product or service by one or more of the following ways: by taking action to eliminate the detected nonconformity? by authorising its use, release or acceptance under a concession by a relevant authority and, where applicable, by the customer? by taking action to preclude its original intended use or application?
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Quality Management Systems Guidelines

For reworked and repaired products and rectified services to be re-inspected, re-tested or evaluated to demonstrate conformity with the requirements? For records to be maintained of the nature of nonconformities and any subsequent actions taken, including concessions obtained? For the service provider to take action appropriate to the effects, or potential effects, of the nonconformity when a nonconforming product/service is detected after delivery or use has started? Analysis of data

8.4

In the processes documented and implemented by the service provider, is provision made for the service provider to determine, collect and analyse (including trends) appropriate data to demonstrate the suitability and effectiveness, and for the improvement, of the Quality Management System (including to suit Clause 8.2)? 8.5 Improvement 8.5.1 Continual improvement In the procedures documented and implemented by the service provider, is provision made for the service provider to continually improve the Quality Management System? 8.5.2 Corrective action In the procedures documented and implemented by the service provider, is provision made: For the action the service provider will take to eliminate the causes of nonconformities in order to prevent their recurrence, including requirements for: reviewing nonconformities (including customer complaints)? determining the causes of nonconformities? evaluating the action needed to ensure that nonconformities do not recur? determining and implementing the action needed and appropriate to the effects of the nonconformities encountered? recording the results of the action taken? reviewing the corrective action taken? 8.5.3 Preventive action In the procedures documented and implemented by the service provider, is provision made: For the action the service provider will take to eliminate the causes of potential nonconformities in order to prevent their occurrence, including requirements for: determining potential nonconformities and their causes? evaluating the action needed to prevent the occurrence of nonconformities? determining and implementing the action needed? recording the results of the action taken? reviewing the preventive the action taken?

Quality Management Systems Guidelines

Appendix D - Quality Management Plan assessment checklist


This checklist has been designed to assist Government agencies and other customers in assessing their service providers Quality Management Plans. It may also assist service providers in developing their Quality Management Plans (QMP). An agency/customer may specify other items that will be addressed in the service providers Quality Management Plans to support the control of risks. The number references are to clause numbers in AS/NZS ISO 9001:2000. = No O = Not applicable Key to symbols to be used in check-boxes is: = Yes 4 4.2.2 QUALITY MANAGEMENT PLAN Quality manual (Quality Management Plan) Has a QMP been developed for the contract? Does the QMP include the required documented methods/procedures or reference them? 4.2.3 Control of documents Are all documents in the QMP identified and revision status shown? Does QMP describe how changes to contract related documents are identified and approved, and how documents are reviewed/updated and distributed, and obsolete versions withdrawn? 4.2.4 Control of records Does the QMP describe how the quality records will be stored and maintained for the time required so that they are readily retrievable, in facilities that provide a suitable environment to minimise deterioration or damage, and prevent loss of the records? 5 MANAGEMENT RESPONSIBILITY 5.2 Customer focus Do the procedures/processes documented in the QMP include a process to identify and meet customer requirements, and enhance customer satisfaction? 5.4 Planning 5.4.1 Quality objectives Does the QMP document appropriate and measurable quality objectives for the service provider personnel that are relevant to the products and services required under the contract? 5.5 Responsibility, authority and communication Are persons identified in the QMP, with their responsibilities and authorities defined with a method for communicating them to all service provider personnel? Is the contract quality representative nominated in the QMP with appropriate responsibilities and authority? Management review

5.6

Does the QMP include a requirement and method for the regular review of the adequacy and effectiveness of the QMP by the service provider's top and other management and indicate a timetable and agenda? 6 RESOURCE MANAGEMENT 6.1 Provision of resources Does the QMP show the resources proposed: to implement the Quality Management Plan and continually improve its effectiveness?

Quality Management Systems Guidelines

to enhance customer satisfaction by better meeting customer requirements? 6.2.2 Competence, awareness and training Does the QMP: Identify the necessary skills and experience of the personnel performing the contract work, with procedures for making personnel aware of their roles, addressing deficiencies in competence and evaluating the effectiveness of the actions taken? Include a site-specific induction and training plan, with induction and training procedures describing the competences held and required, who is to be trained, when and how, and recording competencies and training? Nominate the personnel with responsibility and authority for planning and implementing training and induction procedures for the contract work? Infrastructure In the procedures described in the QMP, does the service provider document processes to determine, provide and maintain the infrastructure (such as office space, other facilities, equipment and services) needed to achieve product/service requirements? Work environment Do the procedures/processes described in the QMP allow for the service provider to determine, document and manage the work environment (including identifying/assessing risks) needed to achieve product/service requirements? PRODUCT REALISATION Customer-related processes Does the QMP identify the customer, statutory/regulatory and other related contract requirements? Does the QMP include procedures covering customer communications/feedback, including customer complaints? Design and development Does the QMP identify and allow for the use of competent persons to carry out design and development, reviews and verification (to suit a design plan)? Does the QMP include procedures covering design and development planning, inputs, outputs, reviews, change control, verification and validation? Does the QMP describe methods/procedures for the service providers control and verification of design activities by its service providers, and for their activities when they dont have a quality management system or plan, or otherwise lack the procedures required? 7.4 Purchasing 7.4.1 Purchasing process Where subcontracted work is involved, does the QMP document procedures: Covering how the service provider will evaluate its potential service providers ability, select subcontractors and record the results of the evaluation, including selection/evaluation criteria? For verifying purchased products/services, and the performance of suppliers/service providers? 7.4.2 Purchasing information Does the QMP document how the subcontract requirements will be confirmed and specified in tender documents, subcontracts and purchase orders whenever applicable? Does the QMP provide for documenting the method and results of evaluation of supplier or other service provider ability to perform and performance (when applicable)? Does the QMP provide for subcontract work process control documentation (when applicable)?

6.3

6.4

7 7.2

7.3

Quality Management Systems Guidelines

7.4.3

Verification of purchased product Does the QMP include the methods/procedures for surveillance/inspection/other verification and the release/acceptance of the product/service that will be implemented for subcontracted work, and for their specification in subcontracts (when applicable)? 7.5 Product and service provision 7.5.1 Control of product and service provision Does the QMP include process control documentation for all work processes? 7.5.2 Validation of process for production and service provision Does the QMP provide for the service provider to identify work processes for which the resulting output cannot be fully verified by subsequent monitoring, inspection and testing, requiring other verification/validation? Does the QMP provide work process descriptions, indicating the criteria for process review/approval, equipment approval and qualifications of operators/personnel, equipment controls, method for validating process outputs and records to be kept? 7.5.3 Identification and traceability Does the QMP allow for process documentation with identification and traceability for the contract? Does the QMP describe the method(s) for subdividing the contract work into lots or discrete work areas and for allocating lot numbers? Does the QMP describe how monitoring output, samples and test results will be recorded against the lot to which they relate, and the traceability of nominated materials/products will be maintained, when appropriate? 7.5.4 Customer property Does the QMP describe how Clause 7.5.4 will be implemented to protect any materials or equipment supplied, or other property provided, by the customer? 7.5.5 Preservation of product Does the QMP describe how Clause 7.5.5 will be implemented to preserve conformity during internal processing and delivery of products to their intended destination? 7.6 Control of monitoring and measuring devices Does the QMP describe how Clause 7.6 will be implemented for monitoring and measuring equipment used, including setting out, constructing and verifying the work under the contract to ensure: monitoring and measurement is carried out in a manner that is consistent with the monitoring and measuring requirements? measuring equipment is calibrated or verified at specified intervals, or prior to use, against appropriate measurement standards, and records are kept? certified external calibration is arranged or suitable internal calibration procedures are used to check calibration? measuring equipment is identified to determine the calibration status? measuring equipment is safeguarded from adjustments that would invalidate the measurement result? measuring equipment is protected from damage and deterioration during handling, maintenance and storage? the validity of previous inspection and test results is verified if measuring equipment is damaged or out of calibration, and records are kept?

Quality Management Systems Guidelines

the ability of computer software to satisfy its intended application is confirmed when used in monitoring and measuring to suit specified requirements? Is responsibility defined in the QMP for the above control measures? 8 MEASUREMENT, ANALYSIS AND IMPROVEMENT 8.1 General In the procedures/processes documented in the QMP is provision made: For the service provider to plan and implement the monitoring, measurement, analysis and improvement processes/methods, and their frequency, needed to demonstrate conformity of the product/service? (may be addressed in ITPs) For the method for identifying and controlling the inspection and test status of all product/service conformity under the contract? 8.2 Monitoring and measurement 8.2.1 Customer satisfaction Does the QMP describe a method for the contract of monitoring/measuring performance, as the customer perceives it, and acting in it to suit? 8.2.2 Internal audit Does the QMP describe methods for internal auditing/reviewing its implementation for the contract? Is responsibility identified in the QMP for scheduling audits/reviews and acting on audit/review results for the contract? 8.2.3 Monitoring and measurement of processes Does the QMP describe how Clause 8.2.3 will be implemented, where appropriate, to monitor and measure the effectiveness of the work processes used for the contract? 8.2.4 Monitoring and measurement of product Does the QMP describe how Clause 8.2.4 will be implemented to monitor and measure the characteristics of the product/service to ensure product requirements are met? (may be addressed in the ITPs) Does the QMP document a suitable method for closing out work area conformity and acceptance? Does the QMP include an effective traceability/closure procedure for any work areas that may have to be covered up before the results of all conformity tests are known? Control of nonconforming product Does the QMP describe a method established which describes the controls and related responsibilities to ensure that a product/service which does not conform to requirements is identified and controlled to prevent its unintended use or delivery? Does the above method provide for the service provider to deal with nonconforming products/services by one or more of the following ways: by taking action to eliminate the detected nonconformity? by authorising its use, release or acceptance under a concession by a relevant authority and, where applicable, by the customer? by taking action to preclude its original intended use or application? Does the above method require reworked and repaired products and rectified services to be reinspected and re-tested or evaluated to demonstrate conformity with the requirements?

8.3

Quality Management Systems Guidelines

Does the method provide for records to be maintained of the nature of nonconformities and any subsequent actions taken, including any concessions obtained? Does the method provide for the service provider to take action appropriate to the effects, or potential effects, of the nonconformity when a nonconforming product/service is detected after delivery or use has started? Does the QMP define the responsibility and authority of personnel for identifying, acting on and recording quality nonconformity issues? (As for Clause 5.5) 8.5 Improvement 8.5.2 Corrective action Does the QMP describe the methods and actions the service provider will adopt to eliminate the causes of nonconformities in order to prevent their recurrence, including requirements for: reviewing nonconformities (including customer complaints)? determining the causes of nonconformities? evaluating the need for, and appropriateness of, action to ensure that nonconformities do not recur? determining and implementing the action needed as appropriate to the effects of the nonconformities encountered? recording the results of the action taken? reviewing the corrective action taken? Does the QMP define the responsibility and authority of personnel for ensuring corrective action is implemented and effective? 8.5.3 Preventive action Does the QMP describe a method for preventive action to eliminate the causes of potential nonconformities in order to prevent their occurrence, including requirements for: determining potential nonconformities and their causes? evaluating the action needed to prevent the occurrence of nonconformities? determining and implementing the action needed? recording the results of the action taken? reviewing the preventive the action taken?

Quality Management Systems Guidelines

Appendix E - Guideline for Inspection and Test Plans


1 Preparing Inspection and Test Plans
This Guideline is provided to assist service providers in preparing Inspection and Test Plans (ITPs) for construction contracts. Although AS/NZS ISO 9001:2000 does not cover ITP with inspection and testing, service providers will be required to develop and implement ITPs. 1.1 Purpose and scope The purpose of an Inspection and Test Plan is to put together in a single document that records all inspection and testing requirements relevant to a specific process. On a construction contract the process is likely to be a construction activity, element of work, trade work or providing a product section. An Inspection and Test Plan identifies the items of materials and work to be inspected or tested, by whom and at what stage or frequency, as well as Hold and Witness Points, references to relevant standards, acceptance criteria and the records to be maintained. Inspection and Test Plans, when properly implemented, help ensure that, and verify whether, work has been undertaken to the required standard and requirements, and that records are kept. Glossary Hold Point A hold point defines a point beyond which work may not proceed without the authorisation of a designated service provider or authority.

1.2

This designated service provider or authority might be an agency's or other customers representative/authorised person, or a regulatory authority (such as a council, Sydney Water, WorkCover and the like) representative, or it may be the service provider inspecting its service provider or employee or agent. Witness Point - A witness point provides a party (such as the customer, service provider and a regulatory authority) with the opportunity to witness the inspection or test or aspect of the work, at their discretion. Surveillance Intermittent monitoring of any stage of the work in progress (whether by the service provider or customer).

Self inspection - Where the service provider performing the work verifies the quality progressively - often with the aid of checklists. Work area A discrete section of the whole work, usually defined by location, where any trade work or activity would be completed before it moves onto another area. Examples include a wall, a room, a building, a length of pipeline between manholes and the like. Also referred to as lots.

1.3

Roles and Responsibilities There are no set rules as to who, in a service provider organisation, should document Inspection and Test Plans. It is appropriate, however, that they receive input from those with a good technical and practical knowledge of, and experience in, the activities involved. The use, understanding and acceptance of ITPs by inspectors and other personnel will generally be greatly enhanced if they are involved in their preparation. The service provider is responsible for ensuring that all the required Inspection and Test Plans are prepared, including those covering work or processes to be carried out by its service providers. While it is preferable that its service providers prepare the ITPs for their own work, in the final analysis some may require the service providers involvement.
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A senior representative of the service provider would be made responsible for approving Inspection and Test Plans, and any subsequent amendments, prior to their submission or submission of compliance/conformity certification to the customer. The contract conditions would define the submissions to the customer and any responses required. 1.4 Overview The following steps are involved in documenting Inspection and Test Plans for a construction contract: Step 1 Read the contract documents (including the technical specifications) and prepare a list of any discrepancies, ambiguities, missing information and standards of materials and/or workmanship that it is considered are inappropriate. Step 2 Contact the customer and resolve the issues listed as a result of Step 1. Step 3 Examine the scope of work and divide it into separate areas requiring an Inspection and Test Plan (where not already prescribed in the contract documents). As a general guide it is normally most convenient to document a separate Inspection and Test Plan for each trade or work area/section. Step 4 Note the Hold and Witness Points required by the customer (including as listed in the contract documents). Step 5 Review the contract documents again and note the requirements that have the most impact on the quality of the finished work. For each ask the question What will be the consequences if it is not made sure this is right? Be certain to include any references to tests, submitting information to the customer, obtaining approvals and Hold and Witness Points (see 1.6.9 for further information). Step 6 Determine from Step 5 which items or aspects of each inspection will need to be recorded on checklists and prepare these. Step 7 Discuss the checklists with those directly involved with the work and obtain their input. This input should particularly be directed at identifying those issues that have caused problems (and involved extra costs) in the past, and therefore warrant checking at the earliest opportunity to avoid unnecessary and costly rectification. Step 8 Prepare each Inspection and Test Plan to reflect the requirements of the contract documents. Reference the ITP in the Quality Management Plan and cross-reference to the other related ITPs. Step 9 Issue each Inspection and Test Plan and/or associated certification to the customer for consideration within a reasonable period prior to commencing the work described in the Plan and adjust them to suit any comment received (or act as otherwise required in the contract documents). Step 10 Decide how best to divide the whole of the work into work areas for control purposes and indicate these locations either on a schedule (with reference to grids and levels) or by marking up drawings. Step 11 Prepare and issue checklists for each work area and identify them according to location. Step 12 Train those directly involved with each of the ITP in their use. Formalise a procedure for the notification of Witness and Hold Points to the appropriate person(s). Step 13 Carry out inspections and tests in accordance with the Inspection and Test Plans, provide notices to the customer and/or regulatory authorities for Hold or Witness Points, as designated or applicable, and record the results on checklists. Contract particulars Record the following contract particulars on each of the Inspection and Test Plans: 2

1.5

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1.6

Contract Name Contract Number Description of process/activities for that particular Inspection and Test Plan. Inspection and Test Plans

1.6.1 General 1.6.2 to 1.6.9 inclusive describe what needs to be considered for each component of an Inspection and Test Plan. They explain the components and how to select the relevant information required for each. 1.6.2 Description of operation or stage of work requiring inspection or test Because 100% inspection and testing in most cases is neither practical nor desirable, it is necessary to adopt a testing frequency and sampling process which provides a representative indication of the work to suit the risks involved, as is addressed in 1.6.4. Inspections and tests are often best done after a number of separate activities, but prior to a major one that will cover up previous work. Service providers would carry out preliminary tests to assist in obtaining an early indication of conformity. Determining the type and extent of inspections and tests (along with the characteristics (see 1.6.3)) is probably the most challenging aspect of documenting an Inspection and Test Plan. The approvals required are sometimes easier to determine as they are usually specified and identify particular work/stages requiring inspections and tests. The type, timing and frequency of inspections and tests vary to suit the risks and work involved. The what to test, how to test and when to test is governed by: What the work is and how complex it is Accessibility for inspections and sampling Consequences of failure, including as follows: - Cost of remedial work - Effect on construction program - Accessibility for rectification - Disruption to use of building or structure - Consequential damage to other elements - Threat to safety of workers and public - Availability of resources. The type, timing and frequency (the what, when and how often) of inspections and tests are best determined in conjunction with the consideration of the characteristics to be verified. 1.6.3 Characteristics of inspection/test/approval The characteristics of a work item can be defined as a distinguishable property of an item, material or process. Examples of characteristics are colour, texture, size, strength, flatness, alignment, capacity and the like. The characteristics to be verified will frequently determine the stage at which the inspection or test must take place if the potential for subsequent nonconformities is to be avoided. This further work might also cover up or deny access for the purposes of verifying certain characteristics. Some characteristics can only be considered after one particular operation and before another, such as the inspection of steel reinforcement after installation but prior to the pouring of concrete.

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1.6.4 Stage/frequency The inspection/test stage/frequency will often be determined by the requirements of the contract documents or by the type of inspection and/or test and the characteristics under consideration, as outlined above. In the latter case however, there is the potential for a considerable range in what constitutes the most appropriate frequency and sampling process. It is suggested that a representative sampling of the work to suit the risks involved be used as a guide initially. Thereafter, frequencies would be increased and processes reviewed for problem work activities and decreased where consistent conformity was evidenced. 1.6.5 Records Records are essential to quality management because they provide the documented evidence necessary to verify that a product/service is in accordance with the contract requirements. The records would be in various forms, and would include the checklists, test certificates, certificates of compliance/conformity, survey data, written approvals and the like. Inspection and Test Plans would help define the records required. 1.6.6 Specification/standard The standards against which conformity is measured can take various forms. The most common source is usually the contract technical specification. Other standards would often be referenced in this document, and may include any of the following: Contract documents/specification generally Contract drawings Approved workshop drawings and/or calculations Approved technical details/procedures Approved samples and/or prototypes Regulatory requirements Australian Standards International Standards Standard specifications Manufacturers recommendations. 1.6.7 Acceptance criteria Acceptance criteria would normally be defined in the contract documents (either directly or by reference to other standards such as Australian Standards). Where this is not the case it would be necessary to identify them and possibly to agree them with the customer. It is preferable to establish acceptance criteria with the customer (where they are not specified or clear) to agree the yardsticks (such as test panels/sections or previous work) against which a product/service is to be declared conforming or nonconforming. 1.6.8 Inspection/test procedures For many inspections/tests, the methods employed will be specified or self evident and determined by the characteristics being examined. In other cases, however, the precise manner in which the inspection/test is carried out would need to be identified and described. A clearly described test procedure will usually be necessary to help achieve consistent and reliable results. A typical test procedure using statistical techniques might, for example, cover: reference to work areas/lots or batches frequency of sampling
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method of taking samples method of conducting a test (including conditions) qualifications of test personnel and equipment calibration/condition/specification method of documenting results. In some cases it may be possible to satisfy the requirements simply by referencing the requirements of Australian Standards and the like. 1.6.9 Hold and Witness Points It is the service provider's responsibility to identify the Hold and Witness Points (with the people responsible for the inspection/test/endorsement and other requirements) that are required for its service providers and employees doing the work. The service provider would do this to the extent that is necessary to be confident that the work is being carried out to the standards required. The customer usually retains the option to inspect the work at any stage and may identify Hold and Witness Points requiring the customers attendance. When preparing an ITP, the word Surveillance would be shown against all selected inspection or test points that are not otherwise covered by Hold or Witness Points. 1.6.10 Checklists As noted in 1.6.2, with some work, the logical stage to carry out an inspection or test is often after a number of separate activities, but prior to a major one that will cover up previous work. It is often useful to complete checklists at such stages and with each inspection and test - where they will, in effect, summarise the procedures that have, and should have, taken place up to the particular point in the work process. Checklists are useful reminders to the person doing the work of all the matters that are to be addressed. They are used to confirm all the matters have been attended to. They are also reminders to the person inspecting the work of all the matters that should be checked. A checklist also gives an opportunity to record any special or unusual conditions under the contract, and draw these to the attention of the people doing the work. For example, special precautions for protecting existing work, notifications to the public, and other matters that might not normally be required for the particular trade or activity, may be included. The fact that checklists exist, and that their use and content have been verified, would give a customer confidence that the person doing the work is aware of all the important steps, attributes and matters to be addressed, and the standards that should be complied with, and that conformity is being verified.

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Inspection and Test Plan assessment checklist

The following typical checklist for Inspection and Test Plans has been designed to assist customers in assessing service providers ITPs. It may also assist service providers in developing their ITPs, as a guide to the content of ITPs. The customer may specify other items that would be addressed in the service providers ITPs to support the control of risks. The Clause references are to those in AS/NZS ISO 9001:2000. Key to symbols to be used in check-boxes is: = Yes = No O = Not applicable 2.1 4.2 Planning of inspection and testing INSPECTION AND TEST PLAN Have ITPs been developed for all the relevant contract activities? (Clause 4.2) Are there ITPs for each activity affecting quality? (Clause 4.2) Are all the Plan documents identified and their revision status shown? (Clause 4.2.3) Are all the Plan records legible, readily identifiable and retrievable? (Clause 4.2.4) 5 MANAGEMENT RESPONSIBILITY Does the service provider identify and include all customer requirements in ITPs (Clause 5.2)? Is the contract quality representative nominated in the ITPs? (Clause 5.5.3) Do the ITPs nominate the person responsible on site for all key and related construction activities? (Clause 5.5.3) 6 RESOURCE MANAGEMENT Do the ITPs identify the resources proposed to carry out inspections and tests? (clause 6.1) Do the ITPs include the minimum required qualifications and experience of the people that are to carry out inspections and tests? (Clause 6.2) Do the ITPs identify the required equipment, facilities and supporting services? (Clause 6.3) Do the ITPs identify each critical working environment? (Clause 6.4) 7 PRODUCT REALISATION Are the ITPs updated to reflect changes to customer requirements? (Clause 7.2) Do the ITPs identify inspections and tests to verify/validate design? (Clause 7.3) Do the ITPs identify the inspections and tests required to ensure the products/services meet the requirements? (Clause 7.4) Do the ITPs reflect the control of conditions required for inspection and testing? (Clause 7.5) Do the ITPs identify whether the monitoring and measuring devices are calibrated and to specification? (Clause 7.6)

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MEASUREMENT, ANALYSIS AND IMPROVEMENT Does the service provider plan and implement in the ITPs the monitoring, measurement, and analysis needed to demonstrate the conformity of all work? Does the service provider state in the ITPs who is responsible for receiving, in-process and final inspection and testing for all work activities and for closing out work areas? Do the ITPs include the methods for indicating when nonconformity control is initiated and for closing out work areas?

Have inspection and test forms been developed and implemented for recording inspection and testing for each activity? (each stage in a process may be on separate but linked forms) Receiving inspection Do the ITPs define responsibility for verifying conformity of the supplied product before using it in the constructed works? Do the ITPs adequately address the inspection and testing requirements for the supplied product before it is used in the constructed works? In-process inspection Do the ITPs define responsibility and provide for in-process inspection and testing? Do the ITPs adequately address the inspection and testing requirements for all the products/services during construction of the works? Final Inspection and Testing Do the ITPs define responsibility and provide for final (or acceptance) inspection and testing? Does the service provider have a method and define responsibility in the ITPs for final review of all inspection/test results to confirm that all inspections and tests have been carried out to completely verify conformity for each work area? 2.2 Inspection and test forms Do the ITP forms indicate: all the inspection and testing required by the customer? inspections and tests to verify and validate design (where applicable)? inspection and tests required for the supplied product before it is used in the works? inspection and tests required for the products/services during construction of the works? who performs the inspection or test and at what stage of the contract work? how each inspection or test is to be carried out and recorded? (such as a documented testing procedure or by reference to a standard test method) the acceptance criteria and frequency of testing, including customer's requirements? (reference to a contract specification clause alone may not be acceptable) the record reference verifying conformity of materials/product or preceding work? who reviews inspection/test results, evaluates whether work conforms, determines what to do next if work does not pass a required inspection or test, and closes out completed and conforming work areas? when statistical analysis of test results is required? provision for confirmation that all inspections and tests have been carried out to completely verify the conformity in each work area?

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SAMPLE FORMS Inspection and Test Plan


Customer: Contract Number: Contract/Project Name: Ref Operation or stage of work Description Characteristics INSPECTION AND TEST PLAN for: (Insert work activity) Work area: (Insert work area) Stage/ Records Requirement Acceptance Inspection/ frequency / standard/ criteria test specification procedure Insert Contractor Identification and/or Logo

Inspection *what/who Employee Service Customer provider

*W = Witness Point; H = Hold Point; H(A) = Inspection/Test by Authority; U(C) = Inspection/Test by Consultant; S = Surveillance or monitoring; X = Self inspection by performer of work.

Checklist
INSPECTION AND TEST PLAN CHECKLIST for: (To be completed by the person(s) directly responsible for the work) Contract Number: Work area: Contract/Project Name: Contractor: Subcontractor Work Items/activities to be verified Reference Checklist Number:

Initialled/OK Comments

I have carried out all necessary inspections and verify that the above items/activities conform to the contract specification/documents

Name: Signature: Date:

I have carried out all necessary inspections and verify that the above items/activities conform to the contract specification/documents

Name: Signature: Date:

I have carried out all necessary inspections and verify that the above items/activities conform to the contract specification/documents I have carried out all necessary inspections and verify that the above work for this work area has been completed and conforms to the contract specification/documents

Name: Signature: Date: Name: Signature: Date:

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EXAMPLES Inspection and Test Plan


Customer: Contract Number: Contract/Project Name: Ref Operation or stage of work Description Characteristics 1 INSPECTION AND TEST PLAN for: PAINTING Work area: (Insert work area) Stage/ Records Requirement/ frequency standard/ specification Delivery Orders as dockets/ placed Checklist Checklist Specification, as attached Acceptance Inspection/ criteria test procedure Check against orders Visual Insert Contractor Identification and/or Logo Inspection *what/who Employee Service Customer provider H W

Incoming materials Conform to order Each inspection delivery Storage and protection Preliminary activities

4 5

Surface preparation Painting

Pre-handover activities

GPC approved & colour sched. Each Safe, secure/ As specified week adequate protection Task completion Each Checklist Specification, as All tasks work area attached, OHS completed practice & Regulation Ready to paint, Each Checklist Specification, as Smooth and clean and smooth work area attached clean Full & uniform Each Checklist Specification, as Checklist and cover, smooth, work area attached test panel colour All matters Each Checklist Specification, as Completed to finalised, clean work area attached spec./ clean and tidy and tidy

Visual

Visual Visual

H X

H S, H(C)

W S

Final inspection

*W = Witness Point; H = Hold Point; H(A) = Inspection/Test by Authority; U(C) = Inspection/Test by Consultant; S = Surveillance or monitoring; X = Self inspection by performer of work. Customer: Contract Number: Contract/Project Name: Ref Operation or stage of work Description Characteristics 1 Incoming materials Conform to order inspection Storage and protection Preliminary activities As specified INSPECTION AND TEST PLAN for: ELECTRICAL Work area: (Insert work area) Stage/ Records Requirement/ Acceptance Inspection/ frequency standard/ criteria test specification procedure Each delivery Each week Delivery Orders as dockets/ placed Checklist Checklist Specification, as attached Specification Check & codes against orders Safe, secure/ Visual adequate protection All tasks Visual completed Insert Contractor Identification and/or Logo Inspection *what/who Employee Service Customer provider H S

Task completion

4 5

Pre-start Carry out work

Pre-handover activities

Ready to commence work To trade codes and authority requirements All matters finalised, clean and tidy

Each Checklist Specification, work area as attached, OHS practice & Regulation Each Checklist Specification, work area as attached Each Checklist Specification, work area as attached Each Wiring Specification, work area diagrams/ as attached Checklist

To authority Checked requirements Checklist and Checked test panel All items Final completed to inspection specified

H H(A)

W W

S S

*W = Witness Point; H = Hold Point; H(A) = Inspection/Test by Authority; U(C) = Inspection/Test by Consultant; S = Surveillance or monitoring; X = Self inspection by performer of work.

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Customer: Contract Number: Contract/Project Name: Ref Operation or stage of work Description Characteristics 1 Preliminary activities (requiring Principals notification) Preliminary activities (requiring Contractors acceptance) Order concrete Notification provided

INSPECTION AND TEST PLAN for: REINFORCED CONCRETE Work area: (Insert work area) Stage/ Records Requirement/ frequency standard/ specification Prestart concrete work Acceptance Inspection/ criteria test procedure Submit details

Insert Contractor Identification and/or Logo

Checklist Specification, as All tasks attached completed

Inspection *what/who Employee Service Customer provider H H H

Approvals Prestart required obtained concrete work To specification Each pour

Checklist Specification, as All tasks attached completed

Review

Copy of order

Pre pour inspection Task completion

Each pour

5 6

Slump test Concrete test cylinder Concrete pour

30 Mpa NATA lab. H W S minimum Correct 7 Visual X W S placement Finish/ 8 Stripping & curing Visual X W S curing/ maintained All matters Each 9 Pre-handover Checklist Specification, as Completed to Final visual H H H activities finalised, clean pour attached spec./ clean inspection and tidy and tidy *W = Witness Point; H = Hold Point; H(A) = Inspection/Test by Authority; U(C) = Inspection/Test by Consultant; S = Surveillance or monitoring; X = Self inspection by performer of work.

Workability of mix Each delivery Concrete 2 per strength pour To specification Each pour To specification Each pour

Specification, as attached, OHS practice & Regulation Checklist Specification/ drawings, as attached Attached Specification, as record attached Test lab Specification, as certif. attached Checklist Specification, as attached Checklist Specification, as attached

Reflects spec./ safe, secure

Review

Right levels & Visual/ dimensions/ measure clean/ safe 50 to 100 mm Measure

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Checklist
INSPECTION AND TEST PLAN CHECKLIST for: PAINTING (To be completed by the person(s) directly responsible for the work) Contract Number: Work area: Contract/Project Name: Contractor: Subcontractor: Work Items/activities to be verified Reference Initialled/OK Comments Preliminary Access permission obtained activities Access obtained Equipment approved/on site Scaffold/ladders Signage/barricades Brushes/rollers/drop sheets Materials approved/on site Filler/thinners Paints/colours Repairs completed I have carried out all necessary inspections and verify that the above items/activities conform Name: to the contract specification/documents Signature: Date: Surface Notification of power disruption preparation Protective measures Isolate appropriate circuits Filled correctly Free of oil/grease Free of dirt and loose particles Sanded smooth Washed down Spot primed I have carried out all necessary inspections and verify that the above items/activities conform Name: to the contract specification/documents Signature: Date: Painting Humidity/temperature appropriate Protective measures Paint applied to manufacturers instructions Each coat free of imperfections such as runs, patchiness, pinholes, misses etc. Drying time between coats appropriate I have carried out all necessary inspections and verify that the above items/activities conform Name: to the contract specification/documents Signature: Date: Pre-handover Replace fixtures activities Touch up Remove protective measures Final inspection confirms conforming Remove scaffold/ladders, clean up etc. I have carried out all necessary inspections and verify that the above items/activities conform Name: to the contract specification/documents Signature: Date: I have carried out all necessary inspections and verify that the above work for this work area Name: has been completed and conforms to the contract specification/documents Signature: Date: Checklist Number:

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INSPECTION AND TEST PLAN CHECKLIST for: ELECTRICAL (To be completed by the person(s) directly responsible for the work) Contract Number: Work area: Contract/Project Name: Contractor: Subcontractor: Work Items/activities to be verified Reference Preliminary Access permission obtained activities Access obtained Equipment approved/on site Scaffold/ladders Signage/barricades Other Materials approved/on site -

Checklist Number:

Initialled/OK Comments

I have carried out all necessary inspections and verify that the above items/activities conform to the contract specification/documents Pre-start Fixtures removed Protective measures Install temporary power (where necessary)

Name: Signature: Date:

I have carried out all necessary inspections and verify that the above items/activities conform to the contract specification/documents Carry out work Apply safety procedures at all stages Protective measures Carry out work as per specification, AS 3000 and other relevant codes

Name: Signature: Date:

I have carried out all necessary inspections and verify that the above items/activities conform to the contract specification/documents Carry out all testing and safety checks Restore power supply to all isolated circuits Remove temporary power supply Remove protective measures Final inspection confirms conforming Remove scaffold/ladders, clean up etc. I have carried out all necessary inspections and verify that the above items/activities conform to the contract specification/documents I have carried out all necessary inspections and verify that the above work for this work area has been completed and conforms to the contract specification/documents Pre-handover activities

Name: Signature: Date:

Name: Signature: Date: Name: Signature: Date:

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INSPECTION AND TEST PLAN CHECKLIST for: REINFORCED CONCRETE (To be completed by the person(s) directly responsible for the work) Contract Number: Work area: Contract/Project Name: Contractor: Subcontractor Work Items/activities to be verified Reference Initialled/OK Comments Preliminary Structural design check activities (requiring Concrete supplier/ formworker Principals Admixtures notification) Formwork design I have carried out all necessary inspections and verify that the above items/activities conform Name: to the contract specification/documents Signature: Date: Preliminary Access obtained activities (requiring Signage/barricades/falsework Contractors Reinforcing scheduled and ordered acceptance) Testing and sampling equipment Instruction to Subcontractors on ITP requirements I have carried out all necessary inspections and verify that the above items/activities conform Name: to the contract specification/documents Signature: Date: Order concrete Strength Slump Water/cement ratio Type of cement Admixture Delivery notice and arrangements I have carried out all necessary inspections and verify that the above items/activities conform Name: to the contract specification/documents Signature: Date: Pre pour inspection Formwork checked (dimensions, levels and capacity) Formwork design certified Foundation (clean, scabbled, starter bars etc) Cover to reo. Laps as specified Termite treatment Membranes Blockouts Expansion strips/water stop I have carried out all necessary inspections and verify that the above items/activities conform Name: to the contract specification/documents Signature: Date: Concrete pour Slump test taken/ results recorded Concrete test cylinders taken and marked Time for delivery Time for pour Pouring techniques conform (height, vibration, tremmying, pumping) I have carried out all necessary inspections and verify that the above items/activities conform to the contract specification/documents Stripping & curing When stripped Repairs Curing method Curing maintained .. days Name: Signature: Date: Name: Signature: Date:

Checklist Number:

I have carried out all necessary inspections and verify that the above items/activities conform to the contract specification/documents Pre-handover Finish

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activities

Levels/ dimensions Equipment cleaned and site clean Test results for concrete cylinders Name: Signature: Date: Name: Signature: Date:

I have carried out all necessary inspections and verify that the above items/activities conform to the contract specification/documents I have carried out all necessary inspections and verify that the above work for this work area has been completed and conforms to the contract specification/documents

INSPECTION AND TEST PLAN CHECKLIST for: STORAGE AND PROTECTION (To be completed by the person(s) directly responsible for the work) Contract Number: Work area: Contract/Project Name: Contractor: Subcontractor: Materials/ components/ Location of storage Date equipment

Checklist Number:

Initials Pass

Comments Fail

INSPECTION AND TEST PLAN CHECKLIST for: INCOMING INSPECTION (To be completed by the person(s) directly responsible for the work) Contract Number: Work area: Contract/Project Name: Contractor: Subcontractor: Materials/ components/ Purchase Delivery Quantity/size verified Inspected for equipment Order No. Docket No. Against PO Against DD Damage Technical details

Checklist Number:

Date Marketing

Initial

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Quality Management Systems Guidelines

Appendix F - Typical contract and tender clauses and schedule


Agencies will develop their own clauses to suit their requirements. Typical clauses as samples of what may be included in conditions of tendering and contracts are shown below:

In the conditions of tendering


For contracts using the GC21 General Conditions of Contract and valued at or over $1m with a high risk of quality nonconformity, as determined by the agency: Quality management
The Principal may elect to pass over a tender if the Tenderer has not obtained accreditation by the Principal of its corporate Quality Management System as complying with the NSW Government Quality Management Systems Guidelines, available at: http://www.construction.nsw.gov.au/docs/cppm/Qms_Guidelines.pdf Refer to General Conditions of Contract Contract clause Quality management and Specification clause Quality management requirements. Submit, when requested, one of the following: - evidence of current certification of the Tenderers Quality Management System as meeting AS/NZS ISO 9001:2000 by a certifying body registered with the Joint Accreditation System - Australia and New Zealand; or - evidence that the Tenderers Quality Management System complies with the Quality Management Systems/Guidelines and/or meets the requirements of another NSW Government agency, for works comparable (in value and type) to the Works; or - a successfully implemented Quality Management Plans and associated Inspection and Test Plans complying with the Quality Management Systems Guidelines on works comparable (in value and type) to the Works in the last twelve months.

For contracts using the GC21 General Conditions of Contract and valued at or over $1m with a low risk of quality nonconformity, and contracts valued at under $1m with the definite possibility of quality nonconformity, as determined by the agency: Quality management
Tenderers must demonstrate their capacity to systematically plan and manage the quality of work, and to implement an effective Quality Management Plan and Inspection and Test Plans in accordance with the NSW Government Quality Management Systems Guidelines, available at: http://www.construction.nsw.gov.au/docs/cppm/Qms_Guidelines.pdf Refer to General Conditions of Contract Contract clause Quality management and Specification clause Quality management requirements. Submit with the tender a Quality Management Plan and associated Inspection and Test Plans successfully implemented on a previous comparable contract.

In the contract conditions


For contracts using the GC21 General Conditions of Contract and valued at or over $1m with a high risk of quality nonconformity, as determined by the agency: Quality management requirements
.1 Refer to General Conditions of Contract clause Quality management regarding quality management requirements. Maintain the Contractors Quality Management System as meeting AS/NZS ISO 9001:2000 or equivalent requirements. Develop, document and implement a Quality Management Plan and Inspection and Test Plans (ITPs) for the Contract that are in accordance with; the NSW Government Quality Management Systems Guidelines, available at: http://www.construction.nsw.gov.au/docs/cppm/Qms_Guidelines.pdf .2 Obtain evidence from proposed Subcontractors and certify that Subcontractors quality management systems meet the requirements of the Contractors Quality Management System.
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.2A Submit the Quality Management Plan within 28 days of the Date of Contract, covering the relevant elements of the Contractors Quality Management System. Include an index of the Contractors quality procedures proposed Inspection and Test Plans (with associated checklists) and a schedule of proposed internal audits for the Contract. .2B Submit certification that each Subcontractors/Consultants quality management plan and/or ITPs meet requirements no later than 14 days before work for which they apply commences. Do not start that work before the certification is submitted.

For contracts using the GC21 General Conditions of Contract and valued at or over $1m with a low risk of quality nonconformity, and contracts valued at under $1m with the definite possibility of quality nonconformity, as determined by the agency: Quality management requirements
.1 Developed, document and implement a Quality Management Plan and Inspection and Test Plans (ITPs) for the Contract that are in accordance with the NSW Government Quality Management Systems Guidelines, available at: http://www.construction.nsw.gov.au/docs/cppm/Qms_Guidelines.pdf .2 Submit the Quality Management Plan and ITPs (for activities nominated in the Contract and certification of compliance for other activities), and certification of the compliance of Subcontractors/Consultants plans and ITPs, no later than 14 days before work for which they apply commences. Do not start that work before the documentation is submitted.

For all contracts add:


.3 As part of the Quality Management Plan, prior to commencing design work, prepare and implement a Design Plan for the design work under the Contract, covering each phase of the design and the key activities for each phase. .4 The Principal will undertake surveillance (monitoring) of all work associated with the Contract. The Principal may inspect work at nominated Witness points, but this work may proceed without endorsemant. Do not proceed beyond a nominated Hold and without the endorsemant of the Principal. Endorsemant by the Principal at Hold point Witness points will not release the Contractor from its obligation to achieve the specified requirements of the Contract. Give at least 24 hours notice prior to reaching such points. .5 Submit Inspection and Test Plans, plus any necessary associated checklists, for the following particular activities to the Principal at least 14 days prior to commencing work on that activity. Incorporate the listed Hold and Witness points which require attendance by the Principal. Activity requiring Inspection & Test Plan As identified elsewhere in the Contract Stage of work requiring inspection or test As identified elsewhere in the Contract H or W point (for attendance by Principal) As identified elsewhere in the Contract

.6 Submit copies of conformity records as specified, including: Product/Service Conformity Records Completed Inspection & Test Plans and associated checklists (including inspection and certification of formwork and scaffolding) Test results obtained from testing laboratories and the like Quality or test records obtained from manufacturers and suppliers Time Records Required With each Payment Claim as specified, and when otherwise required by the Principal With each Payment Claim as specified, and when otherwise required by the Principal With each Payment Claim as specified, and when otherwise required by the Principal

Contractors certification of quality conformity With each Payment Claim and when and performance otherwise required by the Contract Work as executed documents (including operation and maintenance manuals/work as executed drawings) Progressively and prior to Completion

Quality Management Systems Guidelines

Register of product and service conformity records

Progressively and prior to Completion

.7 If at any time the Contractor fails to comply with the requirements of this clause Quality management requirements, the Principal may implement such inspections and tests as the Principal determines and the cost incurred by the Principal will be a debt due from the Contractor.

In the GC21 General Conditions of Contract


17 Quality management
.1 The Contractor must systematically manage its processes in accordance with the Quality Management Systems, Plans, standards and codes specified in the Contract. .2 The Contractor must: .1 submit documentation required by the Contract by the time or times specified in the Contract; .2 review and update the Contractors quality management procedures and documentation so they remain adequate at all times to manage and ensure the quality of the Works complies with the requirements of the Contract; .3 control non-conforming services and/or products and undertake corrective and preventative action as and when necessary; .4 establish, maintain and keep records of all activities related to the management of quality; and .5 provide sufficient access to the workplace, and to information, records and other relevant documentation, resources (including personnel), and all other things necessary to allow the Principal to carry out reviews, surveillance and audit of the Contractors procedures and conformance with the contractual quality management requirements. .3 The Contractor must demonstrate to the Principal, whenever requested, that it has met and is meeting at all times its obligations under clauses 17.1 to 17.3.

Quality Management Systems Guidelines

Appendix G - Typical audit arrangements


A contract requiring Inspection and Test Plans only
Inspection and Test Plan Internal (1st party) audit, organised and resourced by the service provider. Requirements 1 Review of process Frequency: Ongoing daily inspection Scope: Ensure: (a) Inspection and tests are carried out; (b) attendance as noted in ITP; (c) records of inspections and tests are maintained; and (d) work is acceptable or corrective action taken. By: Service providers authorised person or delegate, eg site foreman 2 Compliance audit/review of implementation Frequency: As per contract needs and procedures (typically every month) Scope: As for 1 By: Auditor or project manager/officer External (2nd party) audit, organised and resourced by the customer. Requirements 1 Surveillance and monitoring at Hold and Witness Points. Frequency: At Hold and Witness Points Scope: Specified in contract documents By: Customer's authorised person or delegate 2 Sighting initially and review with claims for payment Frequency: At provision and claims for payment (typically monthly) Scope: Satisfactory ITP provision/implementation By: As for 1 3 Compliance audit/review of implementation Frequency: As necessary in accordance with the assessed risk of nonconformity Scope: ITP being applied in accordance with procedures and records maintained By: Customer audit/review personnel

A contract requiring Inspection and Test Plans and a Quality Management Plan
Inspection and Test Plan Internal (1st party) audit, organised and resourced by the service provider. Requirements 1 Review of process Frequency: Ongoing daily inspection Scope: Ensure: (a) Inspection and tests are carried out; (b) attendance as noted in ITP; (c) records of inspections and tests are maintained; and (d) work is acceptable or corrective action taken. By: Service providers authorised person or delegate, eg site foreman 2 Compliance audit/review of implementation Frequency: As per contract needs and procedures (typically every month) Scope: As for 1 By: Auditor or project manager/officer External (2nd party) audit, organised and resourced by the customer. Requirements 1 Surveillance and monitoring at Hold and Witness Points. Frequency: At Hold and Witness Points Scope: Specified in contract documents By: Customer's authorised person or delegate 2 Sighting initially and review with claims for payment Frequency: At provision and claims for payment (typically monthly) Scope: Satisfactory ITP provision/implementation By: As for 1 3 Compliance audit/review of implementation Frequency: As necessary in accordance with the assessed risk of nonconformity Scope: ITP being applied in accordance with procedures and records maintained By: Customer audit/review personnel Requirements 1 Review of Plan Frequency: As per contract and customer requirements and procedures (typically at commencement of contract and as determined by the performance of the service provider) Scope: Verify service provider is maintaining and implementing the Plan By: Customer's authorised person or delegate 2 Compliance audit of implementation Frequency: As necessary in accordance with the assessed risk of nonconformity (typically review for each phase of the contract) Scope: Examine processes in accordance with the assessed risk of nonconformity By: Auditor or audit/review personnel

Quality Management Plan

Requirements 1 Review and update of Plan Frequency: As per contract and procedures (typically every 4 months) Scope: Ensure Plan is current and meets requirements of the contract By: Service providers authorised person or delegate 2 Compliance audit of implementation Frequency: As per contract and procedures (typically every 4 months) Scope: Ensure Plan is being implemented By: Auditor or audit/review personnel

Quality Management Systems Guidelines

A contract requiring an accredited Quality Management System


Internal (1st party) audit, organised and resourced by the service provider. Inspection and Test Requirements Plan 1 Review of process Frequency: Ongoing daily inspection Scope: Ensure: (a) Inspection and tests are carried out; (b) attendance as noted in ITP; (c) records of inspections and tests are maintained; and (d) work is acceptable or corrective action taken. By: Service providers authorised person or delegate, eg site foreman 2 Compliance audit/review of implementation Frequency: As per contract needs and procedures (typically every month) Scope: As for 1 By: Auditor or project manager/officer External (2nd party) audit, organised and resourced by the customer. Requirements 1 Surveillance and monitoring at Hold and Witness points. Frequency: At Hold and Witness Points Scope: Specified in contract documents By: Customer's authorised person or delegate 2 Sighting initially and review with claims for payment Frequency: At provision and claims for payment (typically monthly) Scope: Satisfactory ITP provision/ implementation By: As for 1 Certification (3rd party) audit, requested by the service provider Requirement 1 Check compliance with System procedures Frequency: As part of certification audit for conformity/ nonconformity with System procedures Scope: To meet the requirement of the System procedures By: Organisation and auditor acceptable to the customer

3 Compliance audit/review of implementation Frequency: As necessary in accordance with the assessed risk of nonconformity Scope: ITP being applied in accordance with procedures and records maintained By: Customer audit/review personnel Quality Management Requirements Requirements Requirement Plan 1 Review and update of Plan 1 Review of Plan 1 Check compliance with System procedures Frequency: As per contract and Frequency: As per contract and customer procedures (typically every 4 months) requirements and procedures (typically at Frequency: As part of certification commencement of contract and as audit for conformity/ nonconformity Scope: Ensure Plan is current and determined by the performance of the with System procedures meets requirements of the contract service provider) Scope: To meet the requirement of By: Service providers authorised Scope: Verify service provider is maintaining the System procedures person or delegate and implementing the Plan By: Organisation and auditor By: Customer's authorised person or acceptable to the customer 2 Compliance audit of implementation delegate Frequency: As per contract needs and procedures (typically every 4 2 Compliance audit of implementation months) Frequency: As necessary in accordance with Scope: Ensure Plan is being the assessed risk of nonconformity (typically implemented review for each phase of the contract) By: Auditor or audit/review personnel Scope: Examine processes in accordance with the assessed risk of nonconformity By: Auditor or audit/review personnel Quality Management Requirements Requirement Requirements System 1 Review of System 1 Compliance audit/review of System 1 System and compliance audit (recertification/agency assessment) Frequency: As described in System Frequency: procedures to meet the requirements (a) At pre-registration/pre-qualification; Frequency: Every three years of the standard (typically every 12 (b) At tender (for some contracts); Scope: Requirement specified by months) (c) During contract (in accordance with the certification organisation accredited risk of nonconformity) Scope: Ensure System suitability, as meeting JAS-ANZ or other scheme adequacy and effectiveness. Scope: Verify System meets requirements of requirements or alternative the agency acceptable to the agency By: Top management. By: Auditor or audit/review personnel By: Accredited certifying organisation auditor or alternative 2 Compliance and system audit acceptable to the agency Frequency: As described in System procedures to meet the requirements 2 System and compliance audit of of the standard (typically on a 12 critical aspects monthly program) Frequency: Typically every 6 months Scope: Ensure System (a) meets requirements of standard and of the Scope: Requirement of the System agency and (b) is effectively procedures and/or specified by the implemented and maintained. customer By: Auditor or audit/review personnel By: Organisation and auditor acceptable to the customer