1-4 en qc-iso9000-sgq - ulisboa · planos da qualidade (especificam como o sq é aplicado a um...

Quality in Construction September 2015

Nuno Marques de Almeida 1

Set 2013 Luís Alves Dias, Nuno Marques de Almeida

ISO 9001Quality Management System – 1st and 2nd level requirements

1 Scope1.1 General1.2 Application

2 Normative references

3 Terms and definitions

4 Quality management system4.1 General requirements4.2 Documentation requirements

5 Management responsibility5.1 Management commitment5.2 Customer focus5.3 Quality policy5.4 Planning5.5 Responsibility, authority and communication5.6 Management review

6 Resource management6.1 Provision of resources6.2 Human resources6.3 Infrastructure6.4 Work environment

7 Product realization7.1 Planning of product realization7.2 Customer-related processes7.3 Design and development7.4 Purchasing7.5 Production and service provision7.6 Control of monitoring and measuring equipment

8 Measurement, analysis and improvement8.1 General8.2 Monitoring and measurement8.3 Control of nonconforming product8.4 Analysis of data8.5 Improvement






5 Management responsability5.1 Management commitment5.2 Customer focus5.3 Quality policy5.4 Planning5.5 Responsibility, authority and communication5.6 Management review

ISO 90011 - Scope


1.1 - General

Aim and motivation for implementing the QMS:

- Aim: promotion of the work quality; demonstration of the quality in the execution of a construction works;

- Motivation: Avoid interventions during the warranty period; owner demand.

1.2 - Application

Activities :

• All activities of the organization; activity in a specific department; • Activities performed in certain types of construction works; activity performed in a specific construction project;•…

Territory:

• Activity performed in the entire national territory; activity performed on a certain region; • Activity performed in a given city;•... exclusions are limited to requirements within Clause 7 (Product realization) and must be justified









ISO 90012 - Normative references

2 Normative referencesNo sub-requirements

2 - Normative references

Examples:

• ISO 9001 (ISO 9004 ?);

• Organization’s Quality Manual ( construction project);

• Construction project Quality Management Plan ( subcontract);

• EU public procurement directives ( public construction projects);

• Construction project specifications; Detailed design;

• …







ISO 90013 - Terms and definitions

3 Terms and definitionsNo sub-requirements

3 -Terms and definitions

•Terms and definitions ISO 9000:2005;

• Construction project specific vocabulary (technical terms, construction schedule, equipment plan, …);

• …




1 Scope



4 Quality management system

5 Management responsibility

6 Resource management

7 Product realization

8 Measurement, analysis andimprovement


4.2.1 General4.2.2 Quality manual4.2.3 Control of documents4.2.4 Control of records

ISO 9001Requirement 4 - Quality management system



4.1 – General requirements• Identification of the processes (WHAT IS DONE ?)

• Determine the sequence and interaction of these processes (HOW IS IT DONE ?)

• Determine criteria and methods for process operation and control (HOW TO CONTROL ?)

• Ensure the availability of resources (WHAT SUPPORT ?)

• Monitor, measure and analyze processes (CHECKING IS MANDATORY !)

• Actions necessary to achieve planned results and continual improvement (FEEDBACK !)

Outsourced processes (performed by an external party) that affects conformity shall becontrolled by the organization

ISO 9001Requirement 4.1 - General requirements





4.2.1 General4.2.2 Quality manual4.2.3 Control of documents4.2.4 Control of records

ISO 9001Requirement 4.2 - Documentation requirements

QUALITY PLAN(engineering design or construction project)

Manualda Qualidade

Procedimentos

documentados, Instruções de

Trabalho e Elementos desenhados

Planos da Qualidade

(especificam como o SQ é aplicado a um produto, projecto ou contrato)

Registos da Qualidade

(fornecem evidências objectivas das actividades desenvolvidas ou resultados atingidos)

Empresa

Projecto

ou Obra

Establish who and how to ...

• approve;• review and update (and reapprove);• change and ensure current version status;• make available at points of use;• remain legible and readily identifiable• identify and distribute documents of

external origin;• prevent the use of obsolete documents.

Records provide evidence ofconformity to requirements

Documented procedure shall beestablish in view of:• Identification• Storage• Protection• Retrieval/recovery• Time of retention• Disposition of records


ISO 9001The importance of a well structured QMS

Prevention

Inspection costs

Costs of failure and

rework

Prevention

Inspection costs

Costs of failure and

rework

Failure costsavoided

CoQwithouta well

structuredQMS

Addedprevention and

reducedfailures/re-work

througheffective

implementationof QMS




1 Scope








5 Management responsability5.1 Management commitment5.2 Customer focus5.3 Quality policy5.4 Planning

5.4.1 Quality objectives5.4.2 Quality management system planning

5.5 Responsibility, authority and communication5.5.1 Responsibility and authority5.5.2 Management representative5.5.3 Internal communication

5.6 Management review5.6.1 General5.6.2 Review input5.6.3 Review output

ISO 9001Requirement 5 - Management responsibility



How does the top management commit itself?

• communicating to the organization the importance of meeting customer as well as statutory andregulatory requirements

• establishing the quality policy

• establishing quality objectives (% reduction of claims, …)

• conducting management reviews (req. 5.6)

• ensuring the availability of resources (financial, material, human)

ISO 9001Requirement 5.1 - Management commitment




ISO 9001Requirement 5.2 – Customer focus



ISO 9001Requirement 5.3 - Quality policy





Quality objectives shall

be measurable

ID Task Name Duration Start Finish

1 ELABORAÇÃO DO PROJECTO 227 days 30-09-1999 11-08-2000

2 Programa Preliminar 5 days 30-09-1999 06-10-1999

3 Organização processo de concurso 15 days 07-10-1999 27-10-1999

4 Abertura do concurso 1 day 28-10-1999 28-10-1999

5 Apreciação das propostas 30 days 29-10-1999 09-12-1999

6 Notificação da adjudicação 1 day 10-12-1999 10-12-1999

7 Assinatura do contrato 15 days 13-12-1999 31-12-1999

8 Programa Base 20 days 03-01-2000 28-01-2000

9 Estudo Prévio 30 days 31-01-2000 10-03-2000

10 Aprovação do Estudo Prévio 5 days 13-03-2000 17-03-2000

11 Anteprojecto 25 days 20-03-2000 21-04-2000

12 Aprovação do Anteprojecto 5 days 24-04-2000 28-04-2000

13 Projecto de Execução 60 days 01-05-2000 21-07-2000

14 Aprovação do Projecto de Execução 15 days 24-07-2000 11-08-2000

15 FISCALIZAÇÃO 68 days 13-03-2000 14-06-2000


17 Concurso 20 days 03-04-2000 28-04-2000

18 Apresentação das propostas 1 day 01-05-2000 01-05-2000





23 EXECUÇÃO DA OBRA/EMPREITADA 453 days 01-05-2000 23-01-2002


25 Concurso 30 days 22-05-2000 30-06-2000

26 Apresentação das propostas 1 day 03-07-2000 03-07-2000





31 Consignação 15 days 10-08-2000 30-08-2000

32 Execução física dos trabalhos 365 days 31-08-2000 23-01-2002

33 RECEPÇÃO DA OBRA/EMPREITADA 388 days 24-01-2002 21-07-2003

34 Pedido de Vistoria 1 day 24-01-2002 24-01-2002

35 Vistoria 5 days 25-01-2002 31-01-2002

36 Recepção Provisória 1 day 01-02-2002 01-02-2002

37 Pedido de Vistoria 365 days 04-02-2002 27-06-2003

38 Vistoria 15 days 30-06-2003 18-07-2003

39 Recepção Definitiva 1 day 21-07-2003 21-07-2003

Sep Oct Nov Dec Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec Jan Feb2000 2001

Planning of the QMS to meet requirement 4.1

Plan and implement changes to the QMS

ISO 9001Requirement 5.4 - Planning

5 Management responsibility5.1 Management commitment5.2 Customer focus5.3 Quality policy5.4 Planning

5.4.1 Quality objectives5.4.2 Quality management system planning

5.5 Responsibility, authority and communication5.6 Management review


ISO 9001Requirement 5.5 - Responsibility, authority and communication

5 Management responsibility5.1 Management commitment5.2 Customer focus5.3 Quality policy5.4 Planning5.5 Responsibility, authority and communication

5.5.1 Responsibility and authority5.5.2 Management representative5.5.3 Internal communication

5.6 Management review



Set 2013 Luís Alves Dias, Nuno Marques de Almeida27

Plan intervals for reviewing the QMS:

• assess opportunities for improvement• assess need for changes to the QMS

Output from the management review(decisions and actions)

• improvement of the QMS• improvement of product• resource needs


5.6.1 General5.6.2 Review input5.6.3 Review output

Input to management review (information)• results of audits• customer feedback• nonconformities• status of preventive and corrective actions• follow-up from previous reviews• changes that could affect the QMS• recommendations for improvement• ...

ISO 9001Requirement 5.6 - Management review


1 Scope








6 Resource management6.1 Provision of resources6.2 Human resources

6.2.1 General6.2.2 Competence, training and awareness

6.3 Infrastructure6.4 Work environment

ISO 9001Requirement 6 - Resource management







ISO 9001Requirement 6.1 - Provision of resources





ISO 9001Requirement 6.2 - Human resources







6.3 Infrastructure

The organization shall determine, provide and maintain the...

• buildings, workspace and associated utilities• process equipment (both hardware and software)• supporting services (transport, communication, …)

ISO 9001Requirement 6.3 - Infrastructure





ISO 9001Requirement 6.4 - Work environment




1 Scope








7 Product realization7.1 Planning of product realization7.2 Customer-related processes

7.2.1 Determination of requirements related to the product7.2.2 Review of requirements related to the product7.2.3 Customer communication

7.3 Design and development7.3.1 Design and development planning7.3.2 Design and development inputs7.3.3 Design and development outputs7.3.4 Design and development review7.3.5 Design and development verification7.3.6 Design and development validation7.3.7 Control of design and development changes

7.4 Purchasing7.4.1 Purchasing process7.4.2 Purchasing information7.4.3 Verification of purchased product

7.5 Production and service provision7.5.1 Control of production and service provision7.5.2 Validation of processes for production and service provision7.5.3 Identification and traceability7.5.4 Customer property7.5.5 Preservation of product

7.6 Control of monitoring and measuring equipment

ISO 9001Requirement 7 - Product realization



ISO 9001Requirement 7.1 - Planning of product realization




7 Product realization7.1 Planning of product realization7.2 Customer-related processes

7.2.1 Determination of requirements related to the product7.2.2 Review of requirements related to the product7.2.3 Customer communication

7.3 Design and development7.4 Purchasing7.5 Production and service provision7.6 Control of monitoring and measuring equipment

ISO 9001Requirement 7.2 - Customer-related processes


7 Product realization7.1 Planning of product realization7.2 Customer-related processes7.3 Design and development

7.3.1 Design and development planning7.3.2 Design and development inputs7.3.3 Design and development outputs7.3.4 Design and development review7.3.5 Design and development verification7.3.6 Design and development validation7.3.7 Control of design and development changes

7.4 Purchasing7.5 Production and service provision7.6 Control of monitoring and measuring equipment

ISO 9001Requirement 7.3 - Design and development

Designer Supervision Constructor

• Execution of design• Technical assistance• Changes to design• Design errors and omissions• ...

• Constructability review of the design• Approval of design by the constructor• Changes to design• Design errors and omissions• Change orders• ...

• Constructability review of the design (example1? example2?);• Design of the construction site (temporary installations,

infrastructures for water and energy supply, sewers, waste);• Design for provisional structures (formworks and shoring

systems, scaffolding, stairs);• Variants to the engineering design;• ...

AEC design and development activities

organization shall determine:• design and development stages• the review, verification and validation of each stage• the responsibilities and authorities

Systematic reviews shall be performed to evaluate the ability of thedesign/construction works to meet requirements

Ensure that the design/construction requirements are met (comparisonwith known cases,, calculation, testing)

Ensure that the resulting product is capable of meeting therequirements for the specified application or intended use(APROVED)




7 Product realization7.1 Planning of product realization7.2 Customer-related processes7.3 Design and development7.4 Purchasing

7.4.1 Purchasing process7.4.2 Purchasing information7.4.3 Verification of purchased product

7.5 Production and service provision7.6 Control of monitoring and measuring equipment

ISO 9001Requirement 7.4 - Purchasing

Set 2013 Luís Alves Dias, Nuno Marques de Almeida(Example: Request of subcontractor approval?)

ISO 9001Requirement 7.4.1 – Purchasing process (supply chain)

?? ?



Set 2013 Luís Alves Dias, Nuno Marques de Almeida(Example: Request for approval of materials?)

ISO 9001Requirement 7.4.3 – Verification of purchased product (standard samples)


ISO 9001Requirement 7.4.3 – Verification of purchased product (materials, equipment)

Example (before pouring concrete): concrete oriented? structure oriented?

Example (while pouring concrete): delivery of pre-mixed concrete?

Example (after pouring concrete): testing?




7 Product realization7.1 Planning of product realization7.2 Customer-related processes7.3 Design and development7.4 Purchasing7.5 Production and service provision

7.5.1 Control of production and service provision7.5.2 Validation of processes for production and service provision7.5.3 Identification and traceability7.5.4 Customer property7.5.5 Preservation of product

7.6 Control of monitoring and measuring equipment

ISO 9001Requirement 7.5 - Production and service provision

IdentificationAim: Enable the identification of the product status withrespect to monitoring and measurement requirementsthroughout product realization

Example: Label showing the status (waiting inspection, rejected, approved) of products (sand, etc.).

TraceabilityAim: Enable the identification of origin of materials andparts, trace the processing history and the final applicationor location of product.

Example: Traceability of rebar in a structural concrete slab (originof steel bars, details of the control process during delivery in theconstruction site, details of cutting and bending process, details ofthe placing process, details of checking conformity to design).

Identification andTraceability

Movable products: marking of product enabling traceability(e.g. premolded concrete elements).

Nonmovable products: marking of product or documentedrecords Example ?



ISO 9001Requirement 7.6 - Control of monitoring and measuring equipment

Notes• Determine the monitoring and

measurement to be undertaken, plus theequipment that is required.

• Ensure that all monitoring and measuringequipment is properly calibrated and in proper working condition (constructor, subconstructor, suppliers)

Examples• Geotechnical measurements (inclinometer, measurement of anchor

forces, pore water pressure sensor, soil pressure sensor, …)

• Concrete structures (Extensometer, temperature sensor, …)

• Tape measure (adequate storage of reference tape measure);

• Topographic equipment

• Water related equipment (pressure instruments, flow measurement, …)

• Electrical (digital multimeters , …)

• Post-tensioning systems (jacks, load cells, …);

• ...

Example of procedure ?




ISO 9001Record for monitoring the support equipment and accessories


1 Scope









8.1 General8.2 Monitoring and measurement

8.2.1 Customer satisfaction8.2.2 Internal audit8.2.3 Monitoring and measurement of processes8.2.4 Monitoring and measurement of product

8.3 Control of nonconforming product8.4 Analysis of data8.5 Improvement

8.5.1 Continual improvement8.5.2 Corrective action8.5.3 Preventive action

ISO 9001Requirement 8 - Measurement, analysis and improvement




8 Measurement, analysis and improvement8.1 General8.2 Monitoring and measurement8.3 Control of nonconforming product8.4 Analysis of data8.5 Improvement

ISO 9001Requirement 8.1 - General



8.1 General8.2 Monitoring and measurement

8.2.1 Customer satisfaction8.2.2 Internal audit8.2.3 Monitoring and measurement of processes8.2.4 Monitoring and measurement of product

8.3 Control of nonconforming product8.4 Analysis of data8.5 Improvement

ISO 9001Requirement 8.2 - Monitoring and measurement




Execution procedure ?



Examples of monitoring and measurement records ?






8.1 General8.2 Monitoring and measurement8.3 Control of nonconforming product8.4 Analysis of data8.5 Improvement

ISO 9001Requirement 8.3 - Control of nonconforming product

Nonconformity and defects• Nonconformity non-fulfilment of a requirement

• Defect non-fulfilment of a requirement related to an intended or specified use

NÃO-CONFORME

Verificado por

___/___/___

Registado por

___/___/___

Corrigir até _____/_____/_____

Aceite para ________________

Rejeitado

NONCONFORMITY

Correction until

Accepted for

Rejected

Registered by Checked by



8.1 General8.2 Monitoring and measurement8.3 Control of nonconforming product8.4 Analysis of data8.5 Improvement

8.5.1 Continual improvement8.5.2 Corrective action8.5.3 Preventive action

ISO 9001Requirement 8.5 - Improvement

Records of the results of improvement actions:

Nonconformance report – Example 1 ?

Nonconformance report – Example 2 ?

Corrective action

Versus

Preventive action• Corrective action action to eliminate the cause

of a detected nonconformity or other undesirablesituation (taken to prevent recurrence)

Correction: action to eliminate a detected nonconformity

• Preventive action action to eliminate the cause of a potential nonconformity or other undesirablepotential situation (taken to prevent occurrence)




Written/documented procedure

Organization(Example of index)

1 – Goal

2 – Revision status

3 – Description of the procedure

4 – Responsibilities

5 – Reference documents

6 – Records

Annexes (if aplicable)

What is a procedure?Specified way to carry out an activity or a

process

(procedures can be documented or not)

What is a documented procedure?

Procedure that is established, documented, implemented and maintained


ISO 9001Mandatory documented procedures

Only 6 procedures (other examples?)

1 - Control of documents (4.2.3) (Example?)

2 - Control of records (4.2.4) (Example?)

3 - Internal audit (8.2.2)

4 - Control of nonconforming product (8.3) (Example?)

5 - Corrective action (8.5.2)

6 - Preventive action (8.5.3)




ISO 9001Documented procedures

Example of common non-mandatory documentedprocedures in construction projects

• Procurement and Logistics Procedure (commercial sensitive)• Codification of Documents and Drawings (Doc. Control procedure?)• Design and Production Procedure (Design, Design-Build, …)• Subcontracting Procedure (qualification, evaluation, …) • TemporaryWorks Procedure (safety sensitive, design, construction, …)• Management of Plant & Equipment (maintenance plans, inspection regimes, …)• Handover, As-Built and Completion Procedure (handover of records to Client, …)• Inspection and Quality Control Procedure (framework for site inspections, …)• Surveying and Setting out Procedure• Material Approvals (first-party inspected, Client approval, …)• Reporting Procedure (format, frequency, …)• Cost Control Procedure• Administration & Correspondence• Calibration Procedure• Assessing Client satisfaction• Request for Information Procedure (changes, clarifications, …)• Design Field Change Procedure• Training Procedure


Only 19 mandatory records (some may not be applicable)

1 - Management review (5.6.1);

2 - Competence, training and awareness (6.2.2);

3 - Evidence that the realization processes and resulting product meet requirements (7.1);

4 - Review of requirements related to the product (7.2.2);

5 - Design and development inputs (7.3.2);

6 - Design and development review (7.3.4);

7 - Design and development verification (7.3.5);

8 - Design and development validation (7.3.6);

9 - Control of design and development changes (7.3.7); (…)

Records provide evidence that requirements are fulfilled and that the QMS is being implemented

ISO 9001Mandatory records (1/2)




...

10 - Purchasing process (7.4.1);

11 -Validation of processes for production and service provision (7.5.2);

12 - Identification and traceability (7.5.3);

13 - Customer property (7.5.4);

14 - Control of monitoring and measuring equipment (7.6);

15 - Internal audit (8.2.2);

16 - Monitoring and measurement of product (8.2.4);

17 - Control of nonconforming product (8.3);

18 - Corrective action (8.5.2);

19 - Preventive action (8.5.3).



...

10 - Purchasing process (7.4.1);

11 -Validation of processes for production and service provision (7.5.2);

12 - Identification and traceability (7.5.3);

13 - Customer property (7.5.4);

14 - Control of monitoring and measuring equipment (7.6);

15 - Internal audit (8.2.2);

16 - Monitoring and measurement of product (8.2.4);

17 - Control of nonconforming product (8.3);

18 - Corrective action (8.5.2);

19 - Preventive action (8.5.3).





We know about quality standards !

… what’s next ?

What is the goal ?

To implement a QMS in the organization ? design company; supervision body; construction company.

To implement a QMS in a specific context ? engineering or architectural design activities; supervision of construction works; execution of construction works; construction project.


Interaction of various QS/QP in a construction project

QS / QP

Designer

QS / QP

Supervision

QS / QP

Contractor

• Internal records;• 1st and 2nd part audit

reports;• Minutes of meetings;• ….





• Monitoring and measuring records;• Control of monitoring and measuring equipment;• Nonconformance records;• ….

Avoids duplications




Implementing a QS in construction-relatedorganizations or construction projects

...

It consists of ...

Identification and production of system documentation Quality Manual (applicable to Organizations); (example contractor?)

Quality Plan (applicable to design/construction projects); Execution procedures/work instructions (How is it done ?); System procedures (Who does what and when ?) Quality records (What are the evidences of what was done ?)

Communication and application of what is established bythe system Promote training actions at different levels (cascade !); Schedule dates for the application of what is establishes; Make the Quality Policy visibly known; ...


QualityManual

Documented procedures,

Work instructions, Drawings,

Technical specifications

Quality Plan

(Detailed description for applying the QMS to a product, project or contract)

Quality Records

(provide objective evidence of undertaken activities or achievedresults)

Hierarchy of QMS documents- Construction company -

Specifications (requirements)

Guides (recommend. / sugest.)




QualityManual

Documented procedures,

Work instructions, Drawings,

Technical specifications

Quality Plan

(Detailed description for applying the QMS to a product, project or contract)

Quality Records

(provide objective evidence of undertaken activities or achievedresults)

Hierarchy of QMS documents- Supervision bodies -

Specifications (requirements)

Guides (recommend. / sugest.)


Example of organization of a Quality Manual /Plan

Promulgation Order (Date of implementation)

Index1 - Introduction

1.1 –Title, objective and application1.1.1 Title (QM, QP, …)

1.1.2 Goal (activity or department in the organization, type of construction projects covered, geographical are, …)

1.1.3 Application (exclusions that are justified and acceptable - limited to requirements within clause 7)

1.2 – Documents of reference (standards, regulations mentioned in the document)

1.3 –Terms and definitions (annex A), and abbreviations (annex B)

1.4 – Revisions (revision – description of changes – date)

1.5 – Distribution (record of copies / controlled copies; non-controlled copies)

2 – Presentation of the company (or project or construction work)3 – Policy and quality objectives4 – Quality Management System5 – Management responsibility6 – Resource Management7 – Product realization8 – Measurement, analysis and improvementAnnexes




Example of organization of a Quality Manual /Plan

Promulgation Order (Date of implementation)

Index1 - Introduction

1.1 –Title, objective and application1.1.1 Title (QM, QP, …)

1.1.2 Goal (activity or department in the organization, type of construction projects covered, geographical are, …)

1.1.3 Application (exclusions that are justified and acceptable - limited to requirements within clause 7)

1.2 – Documents of reference (standards, regulations mentioned in the document)

1.3 –Terms and definitions (annex A), and abbreviations (annex B)

1.4 – Revisions (revision – description of changes – date)

1.5 – Distribution (record of copies / controlled copies; non-controlled copies)

2 – Presentation of the company (or project or construction work)3 – Policy and quality objectives4 – Quality Management System5 – Management responsibility6 – Resource Management7 – Product realization8 – Measurement, analysis and improvementAnnexes

Example of contents of Quality Plans for construction projects:

1) Management Responsibility

2) Documented Quality Management System

3) Design Control

4) Document Control

5) Purchasing

6) Product Identification and

Traceability

7) Process Control

8) Inspection andTesting

9) Inspection, Measuring, andTest Equipment

10) Inspection andTest Status

11) Nonconformance

12) Corrective Action

13) Quality Records

14) Quality Audits

15) Training