Quality Management Toolkit

RIBA Quality
Management Toolkit:
Guidance
1 Topic Guidance
2 Documentation Tasks
Compiled by Keith Snook October 2006

Part of the RIBA Quality Management Toolkit
Updated version January 2007
RIBA
QUALITY MANAGEMENT TOOLKIT - GUIDANCE

PART 1 - TOPIC GUIDANCE
PART 1 TOPIC GUIDANCE
The need for a Management System
The RIBA QM Toolkit
The Quality System Standard
The Customer, Product, Supplier and Specification
Management of Quality
Notes on Documentation
Bought in Services and Products
Project Quality Planning
Inspection, Checking and Subsequent Action
10
Documenting the Management System
11
Overview Of The RIBA QM Toolkit Procedures Manual
PART 2 DOCUMENTATION TASKS
Practice Management
Project Management
Design and Production Management
Office Management
Last edited: 30 January 2007

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THE NEED FOR A MANAGEMENT SYSTEM
To have a perfect system is impossible to have a system is invaluable

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

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THE RIBA QUALITY MANAGEMENT TOOLKIT
INTRODUCTION
Background
The RIBA Quality Management Toolkit was originally developed under the supervision of the RIBA
Practice Committee and first made available in 1998 on the member intranet discussion forum
RIBANet. It was subsequently made available on the member area of the RIBA web site and has
since been updated to accommodate revisions to the Quality Systems Standard 1 BS EN ISO 9001
2000 Quality Management Systems. It has recently been revised further in support of the
requirement for Quality Management in the Chartered Practice Scheme.
Principle of Toolkit
It has been developed to be a self-help tool to assist architectural practices in installing a quality
management system appropriate to the practice of architecture (using a generalist practice model). It
is in two levels and the full system is compliant with the International Standard if conscientiously
applied. It can therefore help produce a system suitable for external assessment and third party
certification 2 if desired or required. It provides an acceptable basis for the requirements of the RIBA
Chartered Practice Scheme for practices to have an appropriate quality management system 3 .
Coverage
The Toolkit covers normal architectural services (eg 1998 Plan of Work stages A-M/ 2007 Outline
Plan of Work stages A - L). We have no immediate plans to extend it to cover other services/activities
(such as planning supervision under the CDM regulations or party wall surveys etc) but we do hope to
cover these issues in time. Currently there are links to other authoritative information on some of
these subjects.
A full quality management system concerns itself with both the processes/procedures directly related
to running projects and those more related to running the practice. The RIBA Quality Management
System (QMS) covers these aspects.
Whilst it will be of significant comfort to the client for a small project to know that a practice has good
procedures related to all the processes of practice, their principal interest will be that the practice has
proper procedures related to their project. In providing the RIBA Project Quality Plan for Small
Projects (PQPSP) we have recognised this and it provides a mechanism for us to differentiate on the
basis of size and sophistication between small and large practices. The RIBA Project Quality Plan for
Small Projects has been prepared based on the Project Quality Plan section from the full QMS so, for
practises in growth or taking-on larger projects, a transition to the full QMS will not create difficulties of
incompatibility.
Extract from the Chartered Practice Manual
Small practices (up to 10 staff in total) are required at least to use the RIBA QM Project
Quality Plan, or equivalent, on each project.
Medium practices (11 to 49 staff) are required to use the RIBA QM Toolkit
(incorporating the RIBA QM Project Quality Plan), or equivalent, on all projects and for
office procedures.
Large practices (50+ staff) are to have an externally-certified BS EN ISO9000-2000
Quality Management System in use. This could be based on the RIBA QM Toolkit or
an equivalent system.
Links to other internal and external sources are indicated by blue underlined text. To return use the Back button (or green
left pointing arrow) in the standard MS Word or web browser toolbar.
2
The term accredited is often erroneously used for this process. It is the certification body that is accredited to certify to
applicants following thorough assessment of their systems.
3
This can also be achieved by using a proprietary system (such as the Tim Jefferies book published by RIBA Enterprises) or
other system of similar rigour
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Fig 1 The components of the Toolkit
RIBA Quality
Management
Toolkit
Overview
RIBA QMS
Guidance
RIBA
Project
quality plan
for small
projects
Incorporatin
g
Short form
project
quality plan
RIBA QMS
Quality
Manual
RIBA QMS
Procedures
Manual
ISO 9001
Third party
certificate
Incorporatin
g
Forms and
instructions
RIBA Quality Management Toolkit

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

This document covering the philosophy behind the Toolkit approach and briefly explaining
coverage and operation.
RIBA Project Quality Plan for Small Projects (PQPSP)
This covers aspects to do with running individual projects it incorporates a simple (single
sheet) Short Form for very small projects/consultancy/investigations and the like.
RIBA Quality Management System Guidance.
This is primarily for use with parts 4 and 5 below for practices installing and implementing
systems that can comply with the requirements of the international Standard. It may be of
general interest to others also. It is in two sections: 1) Topic Guidance which explains the
benefits of having a QMS and discusses the various topics from definitions of terms to the
basis of project quality planning: 2) Documentation Tasks which covers the necessary
documentation and approach to it both from a general point of view (including guidance on
procedure writing) and the approach used in the Toolkit.
RIBA Quality Management System Quality Manual
This is pro forma document. The Quality Manual is the declaration by the practice that they
operate and are committed to a quality management system and it is designed to bee seen
by clients and others.
RIBA Quality Management System Procedures Manual
This is a pro forma document providing essential procedures covering both office and project
processes. This incorporates templates for the various forms and more detailed work
instructions
The RIBA QM Toolkit can be considered as both progressive and cumulative in relation to practice
size and project type. For example, for a small practice experiencing growth there will be nothing in
the procedures adopted for the small project quality plan that are different to anything that will be
found when they reach the need to adopt the full system. Also for a large practice with a section,
department or other way of separating out the smaller projects, that part of the organisation,
provided it is identifiable from the rest, can adopt the either the small practice quality plan or even
the short form if the project is suitable.
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Use
The Toolkit has been developed to be primarily used by practices electronically. It comprises MS
Word documents and assumes some basic knowledge of the use of MS Word. It is however very
simple to operate and will provide benefits to the practice.
The presentation provides internal links from enquiry points (bookmarks) to reference points as
necessary by way of hyperlinks. Some links to useful external sources are also provided for example:
Web-site of Co-ordinating Committee for Project Information for access to the full text of the Code
of Procedure for Production Information.
Web-site of the Usable Buildings organisation for advice on the collection and use of
feedback/post occupancy data.
British Standards Institution reference to the International Standard BS EN ISO 9001 2000
Quality Management Systems. NB. It has not been possible to provide full text access to
Standards from the RIBA Quality Management Toolkit.
More detailed instructions for use are contained in the Overview component of the Toolkit (see Fig
1)

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THE QUALITY SYSTEM STANDARD
DEVELOPMENT OF THE STANDARD

In the 1970s the Ministry of Defence introduced what it called Defence Standards. These were
very much influenced by NATOs Allied Quality Assurance Publications (AQAP). These systems
themselves were developed as a result of ever rising cost of inspection of supplies by the
purchaser. It was also realised that inspection by the purchaser led to less responsibility being
taken by the manufacturer for the control of product quality.
The aim was to return the responsibility to the manufacturer by specifying the controls that were
required to be effective.
Industry in general decided that it should have its own standard and from this BS 5750 emerged
and the subsequently ISO 9000 series. The current edition to which this toolkit refers is BS EN
ISO 9001: 2000 Quality Management Systems
It will be seen that the development of the systems was biased towards manufacturing, particularly
when producing for large customers. The later editions of the Standard have attempted to widen
its application to, for example, the professions and the service sector.
AREAS OF DIFFICULTY
Quality systems require that the resulting product satisfies the specified requirements. In a
manufacturing industry it is easy to identify the specification and to test the performance of the
product for compliance. In architecture and other knowhow based consultancy services it was not
obvious what the product and this led to confusion and among some a feeling that the principle
and the Standard simply could not be applied. Over time however it has become generally agreed
that for work accepted as normal architectural services as described for example in the RIBA
appointment document that the product is not the building but the information created to describe it.
This toolkit is based on this notion.
Quite independently definitive research at the Building Research Establishment (BRE) confirmed
this approach when it discovered that the most influential affect the design team can have on the
eventual quality of the product (the building) in terms of integrity and function (rather than aesthetic
or less tangible qualities) is by the provision of complete, timely and accurate project information particularly the drawings and supporting specifications. See Fig 2
THE STANDARD
The Standard consists of five main areas:
a) Quality Management Systems (Clause 4.0)

The requirement here is that the quality management system shall be documented,
implemented, maintained and improved.
b) Management Responsibility (Clause 5.0)
This places emphasis on senior personnel (top management) showing a commitment to
implementing and improving the quality management system.
c) Resource Management (Clause 6.0)
Again this is a requirement of top management to ensure adequate resources are available
to meet customer satisfaction and implement and improve the quality management system
and it is consistent with both the RIBA and ARB Codes of Conduct.
d) Product Realisation (Clause 7.0)
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The planning and implementation of the service offered must be documented such that it
can be applied by the relevant personnel and meet the requirements of the organisations
quality management system.
e) Measurement Analysis and Improvement (Clause 8.0)

The quality management system must be able to demonstrate compliance to requirements
of the service provided to the client, and show continuous improvement to the service
offered and the quality management system.

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

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Aspects of workmanship and site

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

information
Difficult to build
Design will not work
Unclear/missing project information
Low quality design
Designer not understanding materials
Other
0
20
40
60
80 100 120 140
Number of quality-related
events (QRE)
No solution
li d applied but not an entirely satisfactory
A solution
Fig 2

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A satisfactory solution
li unresolved
d
QRE
at the time of the BRE visits
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MANAGEMENT OF QUALITY
The standard requires that in developing an effective quality system top management must address
the following issues
a)
b)
c)
d)
Quality Policy
Allocation of Resources
Conduct of Management Reviews
Communicating to all employees the importance of meeting customer's needs and
expectation.
Quality Policy
The Standard requires that a Quality Policy statement be developed which has tangible objectives
and outlines the organisation commitment to quality and its continued review of its quality objectives.
The policy statement should embrace objectives that are measurable and include the following:
a) The organisation's commitment to meeting the needs of its customers.
b) That the policy is understood by all employees and they are aware of its implementation
c) Review of the effectiveness of the system at planned intervals to establish a system for
continuous improvement to the system and the service and/or product offered to the
organisations clients.
The Quality Policy is quite frequently issued as a separate document and signed by the chief
executive. In larger organisations it is often placed in key areas of the organisation. The standard
does not require that the quality policy is handled in this way but it can help with implementing (b)
above.
Resources
This embraces environment, infrastructure and physical resources where all of these are seen as
contributing the objectives of the quality policy. Included in resources will be the appointment of a
management representative who, in addition to any other duties, has the responsibility for
establishing, implementing, and maintaining the quality system.
In this respect the management representatives must report independently to top management
(whatever their other roles may suggest a management hierarchy).

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Management Reviews
The Standard requires that top management must review all aspects of the quality system at planned
intervals including:
a) The effectiveness of audits of the system.
b) The performance of suppliers (eg specialist consultants that may have been engaged, and
contractors).
c) Review of client feedback and complaints
d) In an architects Practice the interchange of information, problems and other project related
issues, which may be beneficial to other personnel within the Practice.
e) A review of the application of the quality system to establish where improvements may be
applied.
f) It may also be useful to include any new and relevant statutory or regulatory requirements.
g) It could also be considered as a useful forum to determine and review CPD and training
requirements.
Communication
There is no point having a secret system so the standard requires that management establish a
method of communicating to all staff the quality objectives, quality requirements, achievements etc.
Practice intranets particularly lend themselves to this purpose.

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NOTES ON DOCUMENTATION
A QUALITY SYSTEM
To comply with the standard the quality management system documentation needs to include:
a) quality Policy & Quality Objectives.
b) documented procedures (in the 6 specified areas:
Documentation requirements,
Control of quality records,
Internal audit,
Control of nonconforming product,
Corrective action &
Preventive action);
c) documents needed by the organisation
d) records required by the Standard
It is also required of a quality system that records are kept to demonstrate that the system is being
followed and that the "product" (in this case largely information/documentation) complies with its
"specified requirements".
TYPE OF DOCUMENTATION
Documentation for the RIBA QM Toolkit is compiled in three categories, that reflect a level of detail:
Quality Policy Manual,
Quality Procedures,
Work Instructions.
REQUIREMENTS FOR DOCUMENTS

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

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All documents should be regularly reviewed and updated. There is nothing which leads to lack of
confidence in a document more than to see something obviously out of date, like the name of a
person long since departed. Documents with old dates, even though still valid, will not instil
confidence. The period for review and the review itself should be documented.
CONTROLLED DOCUMENTS
Some quality system documents are referred to as controlled documents. All documents should be
issued under controlled conditions as set down in the procedures but those designated controlled
documents are individually numbered and issued to specific people. These documents should not
be photocopied for management purposes. The discipline seems rather tedious and overly formal but
no more so than, for example, the accepted protocol of formally agreeing and signing meeting
minutes. It enables the issued copies to be identified and checked regularly to ensure that they are
up-to-date. The procedures and quality manual are typically controlled documents but the quality
manual may be issued to potential or existing clients. In these instances it is advisable to be clear
that it is not a controlled copy (sometimes simply stamped Uncontrolled Copy) and so not subject to
update, unless as the approved source of the document it is your wish to keep it up to date. It is
perhaps more imaginative and elegant to state the purpose for the issue. This copy of the document
(ref) is issued (date) for the purposes of . .

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BOUGHT IN SERVICES AND PRODUCTS
PURCHASING
Most processes involve the incorporation of components and materials into the suppliers product,
which have come from an outside source. Some work may also be subcontracted. This applies also
to architectural Practice although the terms "purchasing" may seem a little strange and not strictly
applicable (see Clause 7.4 Purchasing in the Standard).
The aim of this clause is to ensure that services and materials from outside the immediate control of
the supplier are controlled in such a way that the specified requirements of your own product are met.
In architectural practice the specified requirements are the clients brief and his expectations,
statutory regulations and various standards ranging from the international through national to defacto
product standards and the Practices own. The services that may be considered "purchased" are
those provided by consultants and other data and information that may be used in the design. Some
of these services are usually provided by the client or other bodies and are not exactly purchased,
however they will affect your product and should be controlled, as far as possible, as if they were.
There will be occasions when the Practice does subcontract work out and employ consultants
directly.
It is not always possible, or desirable, to test all the bought in materials and services, but the quality of
the data and services must be responsibly verified.
TECHNICAL DATA
The materials purchased to run an office, drawing instruments, paper etc. do not generally affect the
quality of the design or the documentation. Therefore, for a quality system, these purchases need not
occupy too much effort. The main exception may be computer systems and their software that could
have a considerable effect. The control over suppliers need only extend to those products and
services that directly affect the clients brief and the service provided by the Practice.
The only significant "bought in" product is information/data. The quality system will have to include
procedures for controlling and evaluating the data used in the design and calculations. A broad
interpretation will need to placed on the term calculations as they may include data from
manufacturers catalogues such as U values, construction details, recommended spans and
sometimes be as mundane as reading and transferring data from a table in a document etc.
The evaluation of information may be based on the following:
a)
3rd party assurance ideally formal quality certification.
b) reliability of the providers of the information for example data from research bodies and
professional institutions is generally considered reliable.
c) previous successful use of the data;
d) previous successful use of identical details;
e) alternative calculations or assessments;
OTHER CONSULTANTS CONTRIBUTION

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A major input to the design process is usually provided by consultants who are probably appointed by
the client. These therefore are not strictly covered by this clause in the Standard, however it is
generally beneficial if they are treated as if they were appointed by the Practice (see below).
Some commissions may require the employment of consultants by the Practice and this is becoming
a much more common client requirement the one-stop-shop. Some such as model makers are
less critical to the delivery of the service to the client. Others such as drafting services are more so
and those with significant original input such as landscape designers or maybe even engineers have
absolutely critical effect.
There is little doubt that the engagement of service providers and particularly of consultants has a
major effect on the outcome of the project. It is therefore appropriate that the contributions of
consultants should be considered as a supplier/sub-contractor.
SELECTION OF CONSULTANTS
The Standard requires that ".The organisation shall evaluate and select suppliers based on their
ability to supply product in accordance with the organisations requirements. Criteria for selection,
evaluation and re-evaluation shall be established. Records of the results of evaluations and any
necessary actions arising from the evaluation shall be maintained. (clause 7.4.1 of the Standard).
Evaluation of consultants may be based on the following:
a) previous satisfactory experience;
b) recommendation from a reliable source (eg another practice);
c) interview with the principle and his appointee;
d) references from the consultant to similar projects;
e) 3rd party quality certification.
Frequently the client will seek advice on the appointment of a suitable consultant and the toolkit
provides for this.
Should a consultant be appointed by the client whose ability is unknown to the Practice and
evaluation impracticable, then special measures should be adopted to evaluate the input as it arrives.
Should any misgivings be held when a consultant is appointed, the Practice should advise the client.
BRIEFING THE DESIGN TEAM

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

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There will be occasions where part of the design uses, or is based on, a proprietary product. This
may be as simple as the selection of a particular brick or door furniture, or as complicated as a curtain
walling system or platform floor. Current practice generally favours performance specifications.
Where a proprietary product is called for in the specification, the architect must evaluate the product
and ascertain that it will not detrimentally affect the performance of the project. Ascertaining that the
product is as specified will remain the responsibility of the contractor.
The evaluation may be based on:
a) 3rd party quality certification.

b) satisfactory use in previous projects;
c) recommendations by reliable source;
d) test certificates;
e) independent product evaluation by research bodies;

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PROJECT QUALITY PLANNING
BEHIND THE REQUIREMENTS

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

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

The elements required to be defined or referred to in a quality plan are set down in ISO 9001 clauses
7.1 and 7.3 some of these will be covered in the procedures manual and need not be repeated in
individual plans. The requirements below have been interpreted to apply more specifically to
architectural Practice.
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Quality plans should:
a) Record of the Project Details

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

the agreed project plan or clients brief
team members
any other variations.
The Quality Plan should be reviewed and updated at programmed intervals, usually related to
plan of work stages and at the time of any significant individual changes.
g) Record of any other special actions necessary to meet the project objectives and any
unusual circumstances or uncertainties about the project which require further investigations.
h) Methods of measuring achievement in the design and production processes, particularly on
project completion and monitoring client satisfaction through the project, Including record of
dealing with any client complaint
The above requirements may seem onerous when applied to a job that may be completed by one
man in a couple of weeks. However there are horses for courses. For a small project, the quality
plan may just be a few notes in the front of the project file. Quality systems do not require wordprocessed documents, only legible/intelligible ones!
It may be found useful if the documents that demonstrate that the quality plan has been followed are
filed with, or as part of the quality planning document. These may include the brief and brief change
control documents, statutory approvals, client approvals, design review records, checking records,
programs, progress records and architects instructions. Alternatively they may be referenced using
an office filing system.

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9.
INSPECTION, CHECKING AND SUBSEQUENT ACTION
WORDS USED IN THE STANDARD

There are many words used in ISO 9001 that imply the need for checking to be carried out. This
process in building design is difficult, time consuming and often ineffective. However sensible
response to these requirements must be included.
Among the words used in the Standard that imply a checking process are:
evaluation;
verify, verification;
inspection and testing;
audit;
validation;
review (found throughout the Standard).
For the RIBA QM Toolkit translating these words into the language of the building design process the
following terms apply:
a) Evaluate: All sources of information and service; this means some positive process must be
carried out and recorded.
b) Verify: All incoming information from consultants, the client, suppliers etc. The verification
must satisfy the Practice that the information is reliable, complete and of the required
standard. Verification does not mean checking, for example, a consultants work; but
ascertaining that the consultant has checked it himself.
c) Design and development reviews: It is quite appropriate to undertake a review of the design
at particular stages to ensure that the solution meets the design intentions, requirements of
the client and any other authorities. This may be at key stages on the RIBA Plan of Work and
identified with reference to it.
d) Checking the product: Having determined that the product is a set of documents, some
positive process must be established to ensure that there are no faults in them. This is, of
course, easier said than done. However the Practice must evolve a strategy for checking and
approving drawings and documents.
e) Audit: Is a formal independent check, either by a member of staff or by an outside party to
ascertain that procedures are being followed. An audit can be carried out on the
management system or on a project.
f)
Validation: The Standard is very specific on the meaning of this word (clause 7.3.6). It
implies specific checking of the product under conditions of use. The nearest concept we
have is of feedback from the site of the performance of the documents and, in the longer
term, feedback from the client on the performance of the building in use.
g) Review: This word is used widely throughout the Standard and implies that a formal
consideration is given by management to a process or document. Approvals are given or
courses of action determined and records are kept.
RESULTS OF CHECKING
The results of these checking processes may identify deficiencies. These fall into two groups:
a) Nonconforming product: In architectural practice nonconformity can result from either, that the
design does not satisfy the brief or some statutory requirement, or the content of a

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drawing/document does not satisfy the self evident requirement that it be correct and
unambiguous.
b) Occurrences requiring corrective action: These are generally identified from reviews, audits,
feedback or customer complaints or recurrence of nonconformity. They generally result from
failure to follow procedures, from inappropriate or the lack of procedures, or from inadequate
training.
SUBSEQUENT ACTION
The Standard requires specific actions to be taken if a deficiency is found in these checks:
a)
In the small architectural Practice the distinction between control of nonconformity,

corrective
and preventive action is often somewhat academic. Nevertheless, the following descriptions
may help clarify the differences.
b) Nonconformity: The nonconforming drawing or design solution must be clearly identified so

that it is not used in a way that would affect a subsequent process. Action should be taken to
resolve the problem. A concession may be obtained from the client to accept the
nonconformity.
c) Corrective action: Steps should be taken to eliminate the immediate cause of the problem, for
example introducing or redefining a procedure, providing additional briefing to the design
team. You should check to see that the corrective action has eliminated the problem or
reduced the level of occurrence.
d) Preventive action: This requires a review of the management system with a view to avoiding
similar problems in future. Gathering information/experience from previous projects that may
be of benefit to others in the Practice. For example, additional training or procedures may be
needed, or the procedure for vetting consultants needs improving.
CHECKING DRAWINGS
Research has shown that checking drawings is difficult, time consuming and rather ineffective.
Drawings usually have boxes for "drawn by" and "checked by" which are filled in, or not, without a
clear idea of what it means. Checking a drawing for technical content/completeness by itself is
usually rather meaningless, it must be checked against other drawings covering the same subject and
against those of other disciplines and the specification.
A clear policy must be established for dealing with amendments.
Consideration should be given to the following concepts for a checking policy:
a) the originator of the drawing must be identified and must be clearly responsible for the
completed drawing being correct within itself and for identifying other drawings from which
information has been derived such as those of consultants.
b) a suitable person (may be the originator), identified in the procedures or quality plan, should
check and be clearly responsible on behalf of the Practice, for the set of drawings being
acceptable to the next user. This may be done on a schedule listing all the drawings of the
set and their amendment letter, and those of other disciplines used in the production of the
set, including their amendment status;

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b) At defined stages, for example prior to issue for tender purposes, a suitable person, identified
in the procedures or the quality plan, should approve the issue after satisfying him/herself
that all the checking procedures have been followed.
CAD
In Terms of printed output as the product of the use of CAD all of the above will apply in the same
way. However there are both protocols to be observed such as establishing and following an SMP
(Standards Methods and Procedures) and built-in or plug-in tools for checking. Fortunately the best
way to achieve good information is well documented in the industry standard Production Information:
A code of procedure for the construction industry down-loadable from the CPIC 4 Web site at
www.productionimformation.org
CPIC Co-ordinating Committee for Project Information RIBA, RICS, CIBSE, ICE and CC

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10
DOCUMENTING THE MANAGEMENT SYSTEM
THE QUALITY MANUAL

To comply with the standard the quality manual includes:
a) the organisations quality policy
b) the scope of the quality management system, including details of and justification for any
exclusions,
c) the documented procedures established for the quality management system, or reference to
them, and
d) a description of the interaction between the processes of the quality management system.
The quality manual in this toolkit is set out in the order of the clauses in the Standard and only makes
reference to the procedures.
THE PROCEDURES MANUAL

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

Specific instructions for carrying out procedures described in the manual are sometimes written as
separate documents. These are often referred to as work instructions, but they may be given other
names such as "practice notes". They are often associated with standard letters or forms for
recording the actions and findings resulting from the procedure.
If you decide to use work instructions then it is useful if there is a section within each procedure that
cross-references work instructions, other manual sections and other documents that apply.
NOTE: The examples given do not contain work instructions. From experience few architectural
Practices use work instructions, preferring to incorporate them in with the procedures. This is
particularly relevant if the number of work instructions, and the number of people, who may
have to refer to them, is small.
CONFIDENTIALITY
Some Practices may consider their procedures confidential. Each Practice must make a commercial
decision regarding at what level to expose its procedures to external assessors. Third party
assessments are accepted as confidential.
As a note of caution, a documented quality system can be a two edged sword. Following established
procedures can act as a protection in times of dispute; demonstrably failing to follow them can more
plainly demonstrate fault.
THE QUALITY MANAGER

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Top management shall appoint a member of the management who, irrespective of other
responsibilities, shall have responsibility and authority that includes:
a) ensuring that processes needed for the quality management system are established,
implemented and maintained,
b) reporting to top management on the performance of the quality management system and any
need for improvement, and
c) ensuring the promotion of awareness of customer requirements throughout the organisation.
The term "quality manager" has been used in the manual to satisfy this function, as it seems more
appropriate from the viewpoint of the Practice. Some of the tasks allotted to the quality manager may
be delegated to any appropriate staff. The role of quality manager need not be considered a full time
job; the incumbent will inevitably wear any number of hats in a small Practice. It must be stressed
that quality is the responsibility of staff at all levels.
CHOOSING THE FORMAT

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

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11 OVERVIEW OF THE RIBA QM TOOLKIT PROCEDURES MANUAL

Below is a summary of the requirements of ISO 9001 interpreted for use in an architects office. The
order has been devised to suit the management and processes of a Practice. The ISO 9001 subsection numbers are retained as a check to ensure all requirements are covered, although the titles
have been changed to reflect building design usage.
1. PRACTICE MANAGEMENT - those clauses that relate to the management of the Practice and the
control of the management system:
Management responsibility:
Policy statement
Organisation & responsibilities
5.1, 5.3, 5.4.1

5.5
Management review
5.6, 8.5.1
The management system:

Management system documentation
The quality manual
The procedures manual
Quality plans
Issue, control and review
4.1, 4.2
4.2.2
4.2
5.4.2, 7.1
4.2.3
Internal quality audits:

General principles
Audit objectives
Audit program
Choice of quality auditor
8.2.2
8.2.2
8.2.2
8.2.2
2. PROJECT MANAGEMENT - those clauses that apply to projects generally rather than individual
projects or actions to be taken before a project commences:
Commissions
Commission file and number
Commission review
Client agreement
Amendments to the commission
Speculative Work
7.5.3
5.2, 7.2.2
7.2.2
7.2.2, 7.3.7
7.2.2
Project document control

Project documents
Project document numbering
Issue of documents
Incoming project documents
4.2.1, 4.2.3, 4.2.4.

7.5.3
4.2.3, 7.5.3
7.4.3, 7.5.4
Drawing and document checking

Verification
Checking consultants work
Drawing and schedule checking
Checking project specifications
Checking calculations
Control of revisions
Quality records
7.3.5
7.4.3, 8.2.4
7.3.3, 8.2.4
7.3.3, 8.2.4
7.3.3, 8.2.4
7.3.7, 8.5.2
4.2.4

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Selection of consultants and contractors

Professional consultants
List of consultants
List of Contractors
Feed-back
7.4.1, 7.4.2, 7.4.3.

7.4.1
7.4.1
7.4.3, 8.4
3. DESIGN AND PRODUCTION MANAGEMENT - those clauses that apply to the running of
individual projects. This section follows the RIBA Plan of Work stages:
Plan of Work
RIBA Plan of Work
Quality plans
7.1, 7.3.1
Design control
The design team
Design input
Verification of technical data
Statutory authorities and utilities
CDM Regulations
Calculations
Design reviews
Brief change control
6.1, 6.2, 6.3, 7.3.1

7.2.1, 7.3.2
7.3.2, 7.3.5
7.3.2
5.2, 7.3.1, 7.3.2, 7.3.3, 7.3.4
7.3.2, 7.3.3
7.3.1, 7.3.4
7.3.7
Production control
Program and progress
Drawing production
Project specifications
Proprietary products
Checking and approval
7.1
4.2.3
4.2.3
7.4.1, 7.4.2, 7.4.3
7.3.5, 7.5.3
Tender action
Tender invitation
Receipt of tenders
Tenders let
Contract documents
7.5.1
7.5.1
7.5.1
4.2.3, 4.2.4
Post contract services

Construction information
Inspection of the works
Issue of architects instructions
Interim and final valuations
Practical completion
Defects liability period
7.5.1
7.5.1
7.5.1
7.5.1
7.5.1, 7.5.2
7.5.2
Feed-back
Project evaluation
Client and user comments
Customer complaints
7.3.6, 8.4, 8.5

8.2.1
8.3

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4. OFFICE MANAGEMENT - those clauses that apply to running the office generally:
Office document control
Commission files
Project files
Administration files
Correspondence control incoming/outgoing
Electronic communications
Reference specification
Standard drawings
Computer software
Technical library
Office procedures
4.2.3, 4.2.4, 7.3.2

4.2.3, 4.2.4
4.2.3, 4.2.4
4.2.3, 4.2.4
4.2.3, 4.2.4
4.2.3, 4.2.4
4.2.3, 4.2.4
4.2.3, 4.2.4
4.2.3, 4.2.4
4.2.3, 4.2.4
Inspection and measuring equipment

Equipment held
Inspection and review
7.6
7.6
Handling, storage and delivery of documents

Handling and storage
Computer held documents
Packaging and delivery
Archive
7.5.4, 7.5.5
7.5.4, 7.5.5
7.5.4, 7.5.5
7.5.4, 7.5.5
Quality records
Identification of quality records
Schedule of project records
Schedule of management records
4.2.4
4.2.4
4.2.4
Training
New staff
Training records
Staff review
Continuing professional development
6.2.1, 6.2.2
6.2.1, 6.2.2
6.2.1, 6.2.2
6.2.1, 6.2.2

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QUALITY MANAGEMENT TOOLKIT

Tasks under the headings of:

Practice Management
Project Management
Design and Production Management
Office Management
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THE TOPIC GUIDANCE

The topic guidance, dealt with the principles of quality management and of the issues applying Quality
Management to architectural practice. It concluded with an overview of the structure of the
procedures Manual proposed in the RIBA QM toolkit. The Guidance on documentation discussed
how this is not the only way to structure the document and that for any practice it is important that the
structure reflects the way that they work and are comfortable with. We emphasis there fore that these
appendices are purely examples of the level/rigour of information and not suggestions on how a
Practice should be run.
THE PROCEDURES MANUAL
1. Bear in mind that:
2.
The procedures manual is a working document the sole purpose of which is to support the
efficient running of the Practice. Compliance with the Standard is, however, both also easily
achievable and may have commercial as well as practical advantages particularly for the
larger practice.
There may, of course, be other procedures required for good management, which are not
covered by the Standard. These should not be ignored when documenting your procedures.
The decisions to be made and the procedures to be devised for complying with the Standard are
set down under the headings which could form the layout of your procedures manual. These
headings are used in the example manual in appendix B of the tool-kit:
1.
2.
3.
4.
Practice management
Project management
Design and production management
Office management.
They are further divided into sub-headings to suit architectural practice and cover the
requirements of the Standard.
3.
To assist in the tool-kit approach there is an alphabetical index of familiar subjects. This is
included to help in selecting procedures to be developed and more formally documented as they
are needed. The alphabetical index shows both the ISO 9001 reference and where the
requirement is covered in the procedures manual format.
DEVELOPING THE PROCEDURES

4.
Many of the requirements will already have been satisfied and procedures will be in operation in
a well-organised practice. It is intended that you should write down, in your own words, the
means by which you currently tackle the requirement; there will be some that you have not yet
considered.
5.
A quality system is essentially a documented and demonstrable system. Where there is a

procedure, there should also be the means of demonstrating that it has been followed. It should
also be possible for appropriately qualified staff to take over a project, at a moments notice, with
no detrimental effect on the progress of the project.
6.
In the following chart, the requirements are shown in the left-hand column and the ISO
9001:2000 references in the right hand column (some ISO 9004-1 references are also shown).
Not all numbered clauses in the Standard generate a specific requirement and some numbered
clauses generate several requirements so there is not necessarily a specific response to each
numbered clause.
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9.
At the beginning of each main section is an explanation of the content of the section. The
subsequent headings are selected to cover subjects appropriate to architectural Practice and
satisfy the requirements of the Standard.
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THE REQUIREMENT
ISO 9001:2000
0. PRELIMINARY PAGES
The preliminary pages are the title page and the means of controlling the issue of the document.
They may also contain cross-references to the Standard. Sometimes the policy statement, signed by
the principal, is included as in this example.
Title page
Policy statement:
Identify the Practices policy with regard to quality
objectives, commitment to quality and its implementation
and maintenance throughout the Practice
5.3
Quality policy
Content and amendment record:

Devise the means of distributing the manual and
amendments under controlled conditions. Ensure that the
latest issues are identified.
4.2.3
Control of documents
ISO 9001 compliance:

This is useful for ensuring that all the requirements of the
Standard have been covered and to facilitate outside
assessments of the system.
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1. PRACTICE MANAGEMENT
This section deals with policy statements and those requirements relating to the management of the
Practice, delegation of authority and the running of the management system.
1.1 Management responsibility
Organisation:
Define the organisation of the Practice with special regard
to the authority and interrelation of those who manage,
perform and verify work affecting quality. An organisation
chart is useful and job descriptions define responsibilities
and delegation of authority.
Appoint a member of staff with the defined responsibility for
ensuring that the quality system is implemented and
maintained.
5.5.1
Responsibility and authority
5.5.2
Management representative
5.6
5.6.1
5.6.2
5.6.3
8.5.1
Management review
General
Review input
Review output
Continual improvement
Management system documentation:

Decide on the documents that define the management
system, e.g. quality manual, procedures manual, work
instructions.
4.1
4.2.2
General requirements
Quality manual
Quality manual:
The standard requires the production of a quality manual
which outlines the policy and procedures and includes the
Policy Statement, organisation and responsibilities, scope
and justification for any exclusions. In a small Practice this
could be combined with the procedures manual, however
you may consider your procedures confidential.
4.2.2
Quality manual
Procedures manual:
Prepare a manual identifying and defining the way the
Practice operates to satisfy declared objectives and the
requirements of the Standard.
4.2.1
General
Work instructions:
Prepare work instructions and forms as required to instruct
and record actions. Standard letters may also be
considered.
4.2.1
General
Management review:
Define the procedures and frequency for reviewing the
management system to ensure its continuing suitability and
effectiveness and that the stated quality policy and
objectives are being met. Include future resource
requirements for the Practice.
1.2 The management system
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5.4.2
7.1
Quality management system planning

Planning of product realisation
general principles:
Establish procedures for planning and implementing audits
to verify that procedures are being followed and the system
remains effective.
8.2.2
8.2.3
Internal audit
Monitoring and measurement of
processes
Audit objectives:
Define the objectives of the audit and what the auditor is
looking for. Define the procedure for identification and
processing of deficiencies. (See topic paper 7).
8.2.2
8.2.3
Internal audit
processes
Control of nonconforming product
Audit programme:
Establish the requirement and responsibility for planning
audits.
8.2.2
8.2.3
Internal audit
processes
Choice of quality auditor:

Determine the qualifications or training for auditing.
6.1
6.2.1
Provision of resources
General
Quality plans:
Define the way in which quality planning will be carried out
and documented. Identify the circumstances under which
individual project quality plans are to be produced. (See
topic paper 6), eg. RIBA Plan of Work.
1.3 Internal quality audits
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8.3
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2. PROJECT MANAGEMENT
This section covers those requirements applying to projects generally and may apply to particular
projects prior to commencement or at various plan of work stages.
2.1 Commissions
Commission file and number:

Establish procedures for identifying commissions and the
ensuing projects and filing documents relating to the client
agreement.
7.5.3
Identification and traceability
Commission review:
Establish procedures for reviewing the terms of the
commission, the adequacy of the project brief, availability
of resources and lines of communication with the client,
before acceptance.
5.2
6.1
6.2.1
7.2.1
Customer focus
Provision of resources
General
Determination of requirements related
to the product
Review of requirements related to the
product
Customer communication
7.2.2
7.2.3
Client agreement:
Define the procedure and parameters for establishing a
contract with the client.
5.2
7.2.1
7.2.2
7.2.3
Customer focus
to the product
product
Amendments to the commission:

Establish procedures for agreeing amendments to the
commission with the client. (See also brief change control
procedures under 3.2 Design control)
7.2.2

product
Speculative work:
Establish review procedures for speculative work.
5.2
7.2.1
Customer focus
to the product
product
7.2.2
7.2.3
CDM regulations:
establish procedures for advising the client on the
statutory requirements under CDM
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7.2.1
7.3.2

to the product
Design and development inputs
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2.2 Project document control
Project documents:
Differentiate between documents for controlling the
management system and those which are the product of
the . (See topic sections 2 & 4)
4.2.3
6.3
6.4
7.5.1
7.5.2
Infrastructure
Work environment
Control of production and service
provision
Validation of processes for production
and service provision
Project document numbering:

Establish procedures for numbering drawings and
documents, including amendment and checked status.
7.5.3
Issue and receipt of documents:

Define the procedure for recording the issue and receipt of
project documents, including those supplied by the client.
4.2.3
7.5.3
7.5.4
Customer property
7.1
7.3.4
7.3.5
7.4.3
7.5.3
8.1
8.2.4

Design and development review
Design and development verification
Verification of purchased product
General
product
Internal audit
processes
2.3 Drawing and document checking
Verification:
Identify the various types of checking performed during the
course of the project. (See topic paper 7)
8.2.2
8.2.3
Checking consultants work:

The consultants should have checking procedures
compatible with your own, however it may be wise to
ensure that their work has been checked. You will not be
expected to check its technical content.
7.5.3
8.2.4

product
Drawing and schedule checking:

Determine a strategy for checking. e.g. Define the
responsibility implied by drawn by, checked by,
approved by. Determine the authority under which
drawings are released. (See Topic paper 7)
7.5.3
8.2.4

product
Checking project specifications:

Determine the procedure for checking project
specifications to ensure completeness and compatibility
with drawings.
8.2.4

product
Checking calculations:
Determine the procedure for recording and checking
calculations.
8.2.4

product
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Control of revisions:
Where deficiencies and faults are found during a checking
processes, set procedures for ensuring the drawing,
document or design solution is not be used for further
processes until it has been corrected or accepted by the
client.
8.3
Quality records:
These are generally the results of the checking process but
also may be generated by many procedures throughout the
management system. They need to be identified and
registered to facilitate easy recovery.
4.2.4
Control of quality records
List of consultants:
Consultants are normally appointed by the client, however,
it is recommended that procedures be established to
identify and list acceptable consultants. Determine the
means of vetting consultants. (See Topic paper 5)
7.4.1
7.4.2
7.4.3
Purchasing process
Purchasing information
List of Contractors:
Establish procedures for identify and listing approved
contractors. (See Topic paper 5)
7.4.1
7.4.2
7.4.3
Purchasing process
Feed-back:
Establish procedures for recording the performance of
consultants and contractors.
7.4.1
7.4.2
7.4.3
Purchasing process
2.4 Selection of consultants and contractors
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3. DESIGN AND PRODUCTION MANAGEMENT

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

establish the use of a plan of work such as that published
by the RIBA
7.3.1
Design and development planning
Quality plans:
Determine the format and use of quality plans for individual
projects of various sizes and complexity; determine the
method of organising the documents comprising, and
demonstrating compliance with, the quality plan. (See
Topic paper 6)
5.4.2
7.1
7.3.1
Quality management system planning

The design team:

Establish procedures for briefing design team members,
including consultants, define roles, brief requirements and
the means of communication etc.
7.3.1
7.4.2

Design input:
Establish procedures for ensuring that design input,
including the statement of requirements, regulations,
technical data, manufactures data is relevant and current.
The input data is to be identified and documented and
reviewed.
7.2.1

to the product
Verification of technical data:

Establish procedures to ensure that technical data used in
the design process is appropriate, current, and from a
reliable source.
7.2.1
Statutory authorities and utilities:

Establish procedures for ensuring that timely negotiations
are carried and requirements of authorities and utilities are
complied with.
7.2.1
CDM Regulations:
Define procedures to ensure compliance with the
requirements during the design stage.
7.2.1
7.3.2

to the product
Calculations:
Define procedures for performing, recording and checking
calculations during the design stage.
7.3.5
3.2 Design control
Issue *: month/year
30/01/07
7.3.2
7.3.2
7.3.2

to the product

to the product
RIBA

Design reviews:
Establish a procedure for reviewing the design at
appropriate stages with all involved; the purpose of the
review is to ensure that design satisfies the design input
requirements, is practical and buildable; these reviews
should be distinct from project progress meetings.
7.3.4
7.3.5
Design and development review

Brief change control:

establish procedures to document and obtain approval to
any changes in the brief, whether instigated by the design
team or the client; particularly those that have financial or
programme implications
7.2.2

product
Control of design and development
changes
7.3.7
3.3 Production control
Programme and progress:

Establish procedures for programming the work and
ascertaining the progress. Alternative systems may be
needed for large and small jobs.
6.3
6.4
7.5.1
7.5.2
Drawing production, Standard drawings, CAD:

Establish procedures for the production of drawings (e.g.
BS1192, CPIC Production Information Code 5 ) and the
method of recording revisions; include procedures for CAD
and standard drawings if applicable.
6.3
6.4
7.5.1
Project specifications, schedules etc.:

Establish procedures for the production of project
specifications from standard or reference specifications
5
(e.g. CPIC Production Information Code , NBS).
6.3
6.4
7.5.1
7.5.2
7.5.2
Infrastructure
Work environment
provision
Infrastructure
Work environment
provision
Infrastructure
Work environment
provision
Proprietary products:
Establish procedures for reviewing proprietary products
selected for incorporation in the design; consider
recommendations, inspection of installed examples, test
certificates, QA certificates etc.
7.4.2
Checking and approval:

It may be convenient here, at the end of production control,
to remind readers of the checking and approval procedures
before release of documents.
7.5.3
Production Information: A code of procedure for the construction industry

ISBN 0-9512662-6-8 ( www.productioninformation.org )
Issue *: month/year
30/01/07
RIBA

3.4 Tender action

Tender invitation:
Define procedures for preparing tender lists, collating
tender documents, establishing tender period.
7.5.1
7.5.5

provision
Preservation of product
Receipt of tenders, tender let:

Define procedures for receiving tenders, checking for
acceptability and reporting to the client, and signing the
construction contract.
Contract documents:
Establish procedures for safeguarding contract documents.
7.5.1
7.5.5

provision
3.5 Post contract services

Construction information:
Establish procedures for delivering construction
information to the contractor. Agree outstanding
information with contractor and dates for delivery. Further
design may depend on information from the contractor.
7.5.1
Inspection of the works:

Define the responsibilities and procedures for
administering the contract; consider inspection and
progress of the work, attending meetings, witnessing tests,
evaluating contractors alternative offers.
7.5.1

provision
Architects instructions:
Define the procedures for issuing architects instructions
and their classification to assist feedback.
7.3.6
8.3
Design and development validation

Interim and final valuations

Define procedures for valuing the works and issuing the
appropriate certificates for payment.
7.5.1

provision
Practical completion:
Define procedures for final inspection of the works,
production of as built drawings, compilation of defects list,
hand over of the building to the client etc.
7.5.1

provision
Defects liability period:

Define procedures for identifying and recording defects,
confirming remedial action by the contractor and issuing
the appropriate certificate.
7.5.1
7.5.5

provision
CDM Regulations:
Define procedures for satisfying the regulations during the
construction stage.
Issue *: month/year
30/01/07
7.3.6
7.3.6

provision
RIBA

3.6 Feed-back
Architects instructions:
Define procedures to review the effectiveness of the
project documentation during the construction stage.
7.3.6
Project evaluation:
Define procedures for evaluating the performance of the
design team and contractor, consider the working
relationships, communications, programme keeping,
effectiveness of the design solutions, adequacy of the
documentation.
7.3.6
8.5.2
8.5.3

Corrective action
Preventive action
Performance reports:
Define procedures for evaluating and recording the
performance of contractors and consultants, ensure that
these are reviewed and approved lists annotated.
7.4.1
Purchasing process
Customer feedback:
Define procedures for identifying, recording and reviewing
comments and complaints from clients and customers in
the widest sense i.e. Contractors, consultants, and
subsequent users.
8.5.2
8.5.3
Corrective action
Preventive action
Issue *: month/year
30/01/07
RIBA

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

Establish procedures for the issue and control of
documents and their withdrawal when obsolete.
4.2.3
Commission, Project, administration files:

Define the content, location and control of the filing system;
determine who is responsible and how the files are opened
and held.
4.2.3
Incoming and outgoing correspondence:

Define procedures for dealing with correspondence, both
incoming and outgoing.
4.2.3
Electronic communications:
Define procedures for controlling and recording electronic
communications including the transfer of documents,
drawings, E-mail etc.
4.2.3
Reference specifications:
Define the procedures for controlling, reviewing and
updating reference specifications from which project
specifications are produced; decide if NBS is used and
under what circumstances.
4.2.3
Standard drawings:
Define procedures for using, reviewing and updating
standard drawings be they hard copy or electronic.
4.2.3
Computer software:
Define procedures for the review of software before use
and the control and updating after acceptance; define
procedures for the control, maintenance and updating of
manuals.
4.2.3
Technical Library:
Define the operation and content of the technical library
and who is responsible for review, update and
organisation, ensuring that only relevant and current
information is available.
4.2.3
Issue *: month/year
30/01/07
RIBA

Office procedures:
Define those procedures which may affect the quality of the
Practices output. It may be convenient also to include
other general office procedures.
4.2.3
4.2 Inspection and measuring equipment
7.6
Control of monitoring and measuring

devices
7.5.1
7.5.5

provision
4.2.4
Control of quality records
List of equipment:
identify and list each piece of equipment(e.g. surveying
tapes, moisture meters)
Inspection and review:

Define procedure for maintaining equipment in a condition
suitable for its purpose and set review period.
4.3 Handling, storage and delivery of documents
Handling and storage:

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

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

Define procedures to ensure that the next user receives
complete and approved documents at the appropriate time.
Archive:
Define procedures for storage and identification of
documents from completed projects.
4.4 Quality records
Identification of quality records:

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

Schedule each record, the person responsible, its location,
and period to be held.
Issue *: month/year
30/01/07
RIBA

4.5 Training
New staff:
Define introductory training with particular reference to the
management system manuals.
Training records:
Maintain records of staff qualifications, internal and
external training and experience.
Staff review:
Prepare programme and procedure for reviewing staff
performance and special training needs.
Continuing professional development:

Prepare CPD programme for each professional staff
member.
Issue *: month/year
30/01/07
6.2.2
Competence, awareness and training

Quality Management Toolkit

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Compiled by Keith Snook October 2006

QUALITY MANAGEMENT TOOLKIT - GUIDANCE

PART 1 TOPIC GUIDANCE

The need for a Management System

The RIBA QM Toolkit

The Quality System Standard

The Customer, Product, Supplier and Specification

Bought in Services and Products

Project Quality Planning

Inspection, Checking and Subsequent Action

Documenting the Management System

Overview Of The RIBA QM Toolkit Procedures Manual

PART 2 DOCUMENTATION TASKS

Design and Production Management

Last edited: 30 January 2007

QUALITY MANAGEMENT TOOLKIT - GUIDANCE

THE NEED FOR A MANAGEMENT SYSTEM

To have a perfect system is impossible to have a system is invaluable

Last edited: 30 January 2007

QUALITY MANAGEMENT TOOLKIT - GUIDANCE

THE RIBA QUALITY MANAGEMENT TOOLKIT

Extract from the Chartered Practice Manual

QUALITY MANAGEMENT TOOLKIT - GUIDANCE

Fig 1 The components of the Toolkit

RIBA Quality Management Toolkit

RIBA Quality Management Toolkit Overview:

QUALITY MANAGEMENT TOOLKIT - GUIDANCE

Last edited: 30 January 2007

QUALITY MANAGEMENT TOOLKIT - GUIDANCE

THE QUALITY SYSTEM STANDARD

DEVELOPMENT OF THE STANDARD

a) Quality Management Systems (Clause 4.0)

QUALITY MANAGEMENT TOOLKIT - GUIDANCE

e) Measurement Analysis and Improvement (Clause 8.0)

Last edited: 30 January 2007

QUALITY MANAGEMENT TOOLKIT - GUIDANCE

THE CUSTOMER, PRODUCT, SUPPLIER and SPECIFICATION

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QUALITY MANAGEMENT TOOLKIT - GUIDANCE

Aspects of workmanship and site

Aspects of design or project

80 100 120 140

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QUALITY MANAGEMENT TOOLKIT - GUIDANCE

Last edited: 30 January 2007

QUALITY MANAGEMENT TOOLKIT - GUIDANCE

Last edited: 30 January 2007

QUALITY MANAGEMENT TOOLKIT - GUIDANCE

REQUIREMENTS FOR DOCUMENTS

Last edited: 30 January 2007

QUALITY MANAGEMENT TOOLKIT - GUIDANCE

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QUALITY MANAGEMENT TOOLKIT - GUIDANCE

BOUGHT IN SERVICES AND PRODUCTS

3rd party assurance ideally formal quality certification.

OTHER CONSULTANTS CONTRIBUTION

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QUALITY MANAGEMENT TOOLKIT - GUIDANCE

BRIEFING THE DESIGN TEAM

Last edited: 30 January 2007

QUALITY MANAGEMENT TOOLKIT - GUIDANCE

a) 3rd party quality certification.

Last edited: 30 January 2007