qms_guidelines_appendix_e_0.doc

8/10/2019 qms_guidelines_appendix_e_0.doc

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Quality Management Systems Guidelines

Appendix E - Guideline for Inspection and Test Plans

1 Preparing Inspection and Test Plans

This Guideline is provided to assist service providers in preparing Inspection and Test Plans (ITPs) for

construction contracts.

Although the current AS!"S IS# $%%& Quality management systems Requirements' does not coverITP ith inspection and testing' service providers ill e re*uired to develop and implement ITPs.

1.1 Purpose and scope

The purpose of an Inspection and Test Plan is to put together a single document that records allinspection and testing re*uirements relevant to a specific process. #n a construction contractthe process is li+ely to e a construction activity' element of or+' trade or+ or providing aproduct section. An Inspection and Test Plan identifies the items of materials and or+ to einspected or tested' y hom and at hat stage or fre*uency' as ell as ,old and -itness

Points' references to relevant standards' acceptance criteria and the records to e maintained.Inspection and Test Plans' hen properly implemented' help ensure that' and verify hether'

or+ has een underta+en to the re*uired standard and re*uirements' and that records are +ept.

1.2 Glossary

,old Point A /hold0 point defines a point eyond hich or+ may not proceed ithout theauthorisation of a designated service provider or authority.

This /designated service provider or authority0 might e an agency1s or othercustomer0s representativeauthorised person' or a regulatory authority (such asa council' Sydney -ater' -or+2over and the li+e) representative' or it may e

the service provider inspecting its service provider or employee or agent.-itness Point A /itness0 point provides a party (such as the customer' service provider and a

regulatory authority) ith the opportunity to itness the inspection or test oraspect of the or+' at their discretion.

Surveillance Intermittent monitoring of any stage of the or+ in progress (hether y theservice provider or customer).

Self inspection -here the service provider performing the or+ verifies the *uality progressively often ith the aid of chec+lists.

-or+ area A discrete section of the hole or+' usually defined y location' here any tradeor+ or activity ould e completed efore it moves onto another area.34amples include a all' a room' a uilding' a length of pipeline eteenmanholes and the li+e. Also referred to as lots.

1.3 Roles and Responsibilities

There are no set rules as to ho' in a service provider organisation' should document Inspectionand Test Plans. It is appropriate' hoever' that they receive input from those ith a goodtechnical and practical +noledge of' and e4perience in' the activities involved. The use'understanding and acceptance of ITPs y inspectors and other personnel ill generally egreatly enhanced if they are involved in their preparation.

The service provider is responsile for ensuring that all the re*uired Inspection and Test Plans

are prepared' including those covering or+ or processes to e carried out y its serviceproviders. -hile it is preferale that its service providers prepare the ITPs for their on or+' inthe final analysis some may re*uire the service provider0s involvement.

&


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A senior representative of the service provider ould e made responsile for approvingInspection and Test Plans' and any suse*uent amendments' prior to their sumission orsumission of complianceconformity certification to the customer. The contract conditions oulddefine the sumissions to the customer and any responses re*uired.

1.4 OverviewThe folloing steps are involved in documenting Inspection and Test Plans for a constructioncontract5

Step & 6ead the contract documents (including the technical specifications) and prepare alist of any discrepancies' amiguities' missing information and standards of materialsandor or+manship that are considered inappropriate.

Step 7 2ontact the customer and resolve the issues listed as a result of Step &.

Step 8 34amine the scope of or+ and divide it into separate areas re*uiring an Inspectionand Test Plan (here not already prescried in the contract documents). As ageneral guide it is normally most convenient to document a separate Inspection and

Test Plan for each trade or or+ areasection.Step 9 !ote the ,old and -itness Points re*uired y the customer (including as listed in the

contract documents).

Step : 6evie the contract documents again and note the re*uirements that have the mostimpact on the *uality of the finished or+. ;or each' as+ the *uestion ?e certain to include anyreferences to tests' sumitting information to the customer' otaining approvals and,old and -itness Points (see&.@.$for further information).

Step @ etermine from Step : hich items or aspects of each inspection ill need to erecorded on chec+lists and prepare these.

Step B iscuss the chec+lists ith those directly involved ith the or+ and otain their input.This input should particularly e directed at identifying those issues that have causedprolems (and involved e4tra costs) in the past' and therefore arrant chec+ing at theearliest opportunity to avoid unnecessary and costly rectification.

Step C Prepare each Inspection and Test Plan to reflect the re*uirements of the contractdocuments. 6eference the ITP in the Quality Management Plan and crossreferenceto the other related ITPs.

Step $ Issue each Inspection and Test Plan andor associated certification to the customerfor consideration ithin a reasonale period prior to commencing the or+ descriedin the Plan and adDust them to suit any comment received (or act as otherisere*uired in the contract documents).

Step &% ecide ho est to divide the hole of the or+ into or+ areas for control purposesand indicate these locations either on a schedule (ith reference to grids and levels)or y mar+ing up draings.

Step && Prepare and issue chec+lists for each or+ area and identify them according tolocation.

Step &7 Train those directly involved ith each of the ITP in their use. ;ormalise a procedurefor the notification of -itness and ,old Points to the appropriate person(s).

Step &8 2arry out inspections and tests in accordance ith the Inspection and Test Plans'provide notices to the customer andor regulatory authorities for ,old or -itness

Points' as designated or applicale' and record the results on chec+lists.

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1.5 ontract particulars

6ecord the folloing contract particulars on each of the Inspection and Test Plans5

- 2ontract !ame

- 2ontract !umer

-escription of processactivities for that particular Inspection and Test Plan

1.! Inspection and Test Plans

1.!.1 General

&[email protected] &.@.$inclusive descrie hat needs to e considered for each component of anInspection and Test Plan. They e4plain the components and ho to select the relevantinformation re*uired for each.

1.!.2 "escription o# operation or stage o# wor$ re%uiring inspection or test

?ecause &%%E inspection and testing in most cases is neither practical nor desirale' it isnecessary to adopt a testing fre*uency and sampling process hich provides a representativeindication of the or+ to suit the ris+s involved' as is addressed in &[email protected].

Inspections and tests are often est done after a numer of separate activities' ut prior to amaDor one that ill cover up previous or+. Service providers ould carry out preliminary tests toassist in otaining an early indication of conformity.

etermining the type and e4tent of inspections and tests (along ith the characteristics see&[email protected]) is proaly the most challenging aspect of documenting an Inspection and Test Plan. Theapprovals re*uired are sometimes easier to determine as they are usually specified and identifyparticular or+stages re*uiring inspections and tests. The type' timing and fre*uency ofinspections and tests vary to suit the ris+s and or+ involved.

The ' and is governed y5

- -hat the or+ is and ho comple4 it is

- Accessiility for inspections and sampling

- 2onse*uences of failure' including as follos5

- 2ost of remedial or+

- 3ffect on construction program

- Accessiility for rectification

- isruption to use of uilding or structure

-

2onse*uential damage to other elements- Threat to safety of or+ers and pulic

- Availaility of resources

The type' timing and fre*uency (the hat' hen and ho often) of inspections and tests are estdetermined in conDunction ith the consideration of the characteristics to e verified.

1.!.3 &aracteristics o# inspection'test'approval

The characteristics of a or+ item can e defined as


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Some characteristics can only e considered after one particular operation and efore another'such as the inspection of steel reinforcement after installation ut prior to the pouring ofconcrete.

1.!.4 (tage'#re%uency

The inspectiontest stagefre*uency ill often e determined y the re*uirements of the contractdocuments or y the type of inspection andor test and the characteristics under consideration'as outlined aove. In the latter case hoever' there is the potential for a considerale range in

hat constitutes the most appropriate fre*uency and sampling process. It is suggested that arepresentative sampling of the or+ to suit the ris+s involved e used as a guide initially.Thereafter' fre*uencies ould e increased and processes revieed for /prolem0 or+ activitiesand decreased here consistent conformity as evidenced.

1.!.5 Records

6ecords are essential to *uality management ecause they provide the documented evidencenecessary to verify that a productservice is in accordance ith the contract re*uirements.

The records ould e in various forms' and ould include the chec+lists' test certificates'certificates of complianceconformity' survey data' ritten approvals and the li+e. Inspection andTest Plans ould help define the records re*uired.

1.!.! (peci#ication'standard

The standards against hich conformity is measured can ta+e various forms. The most commonsource is usually the contract technical specification. #ther standards ould often e referencedin this document' and may include any of the folloing5

- 2ontract documentsspecification generally

- 2ontract draings

-Approved or+shop draings andor calculations

- Approved technical detailsprocedures

- Approved samples andor prototypes

- 6egulatory re*uirements

- Australian Standards

- International Standards

- Standard specifications

- Manufacturers0 recommendations

1.!.) *cceptance criteriaAcceptance criteria ould normally e defined in the contract documents (either directly or yreference to other standards such as Australian Standards). -here this is not the case it oulde necessary to identify them and possily to agree to them ith the customer. It is preferale toestalish acceptance criteria ith the customer (here they are not specified or clear) to agreethe yardstic+s (such as test panelssections or previous or+) against hich a productservice isto e declared conforming or nonconforming.

1.!.+ Inspection'test procedures

;or many inspectionstests' the methods employed ill e specified or self evident anddetermined y the characteristics eing e4amined. In other cases' hoever' the precise mannerin hich the inspectiontest is carried out ould need to e identified and descried. A clearlydescried test procedure ill usually e necessary to help achieve consistent and relialeresults.

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2.1 Planning o# inspection and testing

4.2 INSPECTION AND TEST PAN

,ave ITPs een developed for all the relevant contract activities= (2lause 9.7)

Are there ITPs for each activity affecting *uality= (2lause 9.7)

Are all the Plan documents identified and their revision status shon= (2lause9.7.8)

Are all the Plan records legile' readily identifiale and retrievale= (2lause

9.7.9)

! "ANAGE"ENT #ESPONSI$IIT%

oes the service provider identify and include all customer re*uirements in ITPs

(2lause :.7)=

Is the contract *uality representative nominated in the ITPs= (2lause :.:.8)

o the ITPs nominate the person responsile on site for all +ey and related

construction activities= (2lause :.:.8)

& #ESO'#CE "ANAGE"ENT

o the ITPs identify the resources proposed to carry out inspections and tests=

(clause @.&)

o the ITPs include the minimum re*uired *ualifications and e4perience of the

people that are to carry out inspections and tests= (2lause @.7)

o the ITPs identify the re*uired e*uipment' facilities and supporting services=(2lause @.8)

o the ITPs identify each critical or+ing environment= (2lause @.9)

( P#OD'CT #EAISATION

Are the ITPs updated to reflect changes to customer re*uirements= (2lause B.7)

o the ITPs identify inspections and tests to verifyvalidate design= (2lause B.8)

o the ITPs identify the inspections and tests re*uired to ensure that the

productsservices meet the re*uirements= (2lause B.9)

o the ITPs reflect the control of conditions re*uired for inspection and testing=

(2lause B.:)

o the ITPs identify hether the monitoring and measuring e*uipment are

calirated and to specification= (2lause B.@)

) "EAS'#E"ENT* ANA%SIS AND I"P#O+E"ENT

oes the service provider plan and implement in the ITPs the monitoring'

measurement' and analysis needed to demonstrate conformity to product re*uirements of all

or+= oes the service provider state in the ITPs ho is responsile for receiving' in

process and final inspection and testing for all or+ activities and for closing out or+ areas=

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o the ITPs include the methods for indicating hen nonconformity control is

initiated and for closing out or+ areas=

,ave inspection and test forms een developed and implemented for recording

inspection and testing for each activity= (each stage in a process may e on separate ut lin+edforms)

#ecei,in inspection

o the ITPs define responsiility for verifying conformity of the supplied product

to re*uirements efore using it in the constructed or+s=

o the ITPs ade*uately address the inspection and testing re*uirements for the

supplied product efore it is used in the constructed or+s=

In-process inspection

o the ITPs define responsiility and provide for inprocess inspection and

testing=

o the ITPs ade*uately address the inspection and testing re*uirements for allthe productsservices during construction of the or+s=

inal Inspection and Testin

o the ITPs define responsiility and provide for final (or acceptance) inspection

and testing=

oes the service provider have a method and define responsiility in the ITPs

for final revie of all inspectiontest results to confirm that all inspections and tests have eencarried out to verify completely conformity to product re*uirements for each or+ area=

2.2 Inspection and test #or0s

o the ITP forms indicate5

all the inspection and testing re*uired y the customer=

inspections and tests to verify and validate design (here applicale)=

inspection and tests re*uired for the supplied product efore it is used in the

or+s=

inspection and tests re*uired for the productsservices during construction of the

or+s=

ho performs the inspection or test and at hat stage of the contract or+=

ho each inspection or test is to e carried out and recorded= (such as a

documented testing procedure or y reference to a standard test method)

the acceptance criteria and fre*uency of testing' including customer1s

re*uirements=(reference to a contract specification clause alone may not e acceptale)

the record reference verifying conformity of materialsproduct or preceding or+

to the re*uirements=

ho revies inspectiontest results' evaluates hether or+ conforms to the

product re*uirements' determines hat to do ne4t if or+ does not pass a re*uired inspection or

test' and closes out completed and conforming or+ areas=

hen statistical analysis of test results is re*uired=

B


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provision for confirmation that all inspections and tests have een carried out to

verify completely conformity to product re*uirements in each or+ area=

C


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SA"PE O#"S

Inspection and Test Plan

Custo/er0

Contract Nu/1er0

ContractPro3ect Na/e0

INSPECTION AND TEST PAN for0 (Insert work activity)

or5 area0 (Insert work area)

Insert ContractorIdentification and/orLogo

#ef Operation or stae of 6or5 Stae

fre7uenc8

#ecords #e7uire/ent

standardspecification

Acceptance

criteria

Inspection

testprocedure

Inspection 96:at6:o

Description C:aracteristics E/plo8ee Ser,icepro,ider

Custo/er

9 ; itness Point< = ; =old Point< =>A? ; InspectionTest 18 Aut:orit8< '>C? ; InspectionTest 18 Consultant< S ; Sur,eillance or /onitorin< @; Self inspection 18 perfor/er of 6or5.

C:ec5listINSPECTION AND TEST PAN C=ECIST for0(To e com!leted y t"e !erson(s) directly res!onsile for t"e work)

Contract Nu/1er0


Contractor0

Su1contractor

or5 area0 C:ec5list Nu/1er0

or5 Ite/sacti,ities to 1e ,erified #eference InitialledO Co//ents

I :a,e carried out allnecessar8 inspections and ,erif8 t:at t:e a1o,e ite/sacti,ities confor/to t:e contract specificationdocu/ents

Na/e0Sinature0

Date0


Na/e0Sinature0Date0


Na/e0Sinature0Date0

I :a,e carried out allnecessar8 inspections and ,erif8 t:at t:e a1o,e 6or5 for t:is 6or5 area:as 1een co/pleted and confor/s to t:e contract specificationdocu/ents

Na/e0Sinature0Date0

$


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E@A"PES

Inspection and Test Plan

Custo/er0

Contract Nu/1er0


INSPECTION AND TEST PAN for0 PAINTING




fre7uenc8

#ecords #e7uire/ent


Acceptance

criteria

Inspection

testprocedure

Inspection 96:at6:o


Custo/er

& Incoming materialsinspection

2onform to order 3achdelivery

eliverydoc+ets2hec+list

#rders asplaced

GP2approved Kcolour sched.

2hec+againstorders

, -

7 Storage andprotection

As specified 3achee+

2hec+list Specification' asattached

Safe' secureade*uateprotection

Lisual S S

8 Preliminaryactivities

Tas+ completion 3achor+ area

2hec+list Specification' asattached' -,Spractice K6egulation

All tas+scompleted

Lisual , - S

9 Surfacepreparation

6eady to paint'clean and smooth

3achor+ area


Smooth andclean

Lisual , , -

: Painting ;ull K uniformcover' smooth'colour

3achor+ area 2hec+list Specification' asattached 2hec+list andtest panel Lisual S' ,(2) S

@ Prehandoveractivities

All mattersfinalised' cleanand tidy

3achor+ area


2ompleted tospec cleanand tidy

;inalinspection

, , ,


Custo/er0

Contract Nu/1er0


INSPECTION AND TEST PAN for0 ELECTRICAL




fre7uenc8

#ecords #e7uire/ent


Acceptance

criteria

Inspection

testprocedure

Inspection 96:at6:o


Custo/er

& Incoming materialsinspection

2onform to order 3achdelivery

eliverydoc+ets2hec+list

#rders asplaced

SpecificationK codes

2hec+againstorders

, S

7 Storage andprotection

As specified 3achee+

2hec+list Specification'as attached

Safe' secureade*uateprotection

Lisual S S

8 Preliminaryactivities

Tas+ complet ion 3achor+ area

2hec+list Specification'as attached'-,S practiceK 6egulation

All tas+scompleted

Lisual , - S

9 Prestart 6eady tocommence or+

3achor+ area

2hec+list Specification'as attached

To authorityre*uirements

2hec+ed , - S

: 2arry out or+ To trade codes

and authorityre*uirements

3ach

or+ area

2hec+list Specification'

as attached

2hec+list and

test panel

2hec+ed ,(A) - S

@ Prehandoveractivities


3achor+ area

-iringdiagrams2hec+list

Specification'as attached

All itemscompleted tospecification

;inalinspection

, , ,


&%


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Custo/er0

Contract Nu/1er0


INSPECTION AND TEST PAN for0 REINFORCED CONCRETE



#ef Operation or stae of 6or5 Staefre7uenc8

#ecords #e7uire/entstandardspecification

Acceptancecriteria

Inspectiontestprocedure

Inspection 96:at6:o


Custo/er

& Preliminaryactivities (re*uiringPrincipal0snotification)

!otificationprovided

Prestartconcrete

or+


All tas+scompleted

Sumitdetails

, , ,

7 Preliminaryactivities (re*uiring2ontractor0sacceptance)

Approvalsre*uired otained

Prestartconcrete

or+


All tas+scompleted

6evie , , S

8 #rder concrete To specification 3achpour

2opy oforder

Specification' asattached' -,Spractice K6egulation

6eflectsspec. safe'secure

6evie , , S

9 Pre pour inspection Tas+ complet ion 3achpour

2hec+list Specificationdraings' asattached

6ight levels Kdimensionsclean safe

Lisualmeasure

, - -

: Slump test -or+aility of mi4 3achdelivery

Attachedrecord

Specification' asattached

:% to &%% mm Measure , - S

@ 2oncrete testcylinder

2oncretestrength

7 perpour

Test lacertif.

Specification' asattached

8% Mpaminimum

!ATA la. , - S

B 2oncrete pour To specification 3achpour


2orrectplacement

Lisual - S

C Stripping K curing To specification 3achpour


;inishcuringmaintained

Lisual - S

$ Prehandoveractivities


3achpour


2ompleted tospec. cleanand tidy

;inal visualinspection

, , ,


&&


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C:ec5list

INSPECTION AND TEST PAN C=ECIST for0 PAINTING

(To e com!leted y t"e !erson(s) directly res!onsile for t"e work)

Contract Nu/1er0


Contractor0

Su1contractor0



Preliminaryactivities

Access permission otained

Access otained

3*uipment approvedon site

Scaffoldladders

Signagearricades

?rushesrollersdrop sheets

Materials approvedon site

;illerthinners

Paintscolours

6epairs completed

I :a,e carried out allnecessar8 inspections and ,erif8 t:at t:e a1o,e ite/sacti,ities confor/

to t:e contract specificationdocu/ents

Na/e0

Sinature0Date0

Surfacepreparation

!otification of poer disruption

Protective measures

Isolate appropriate circuits

;illed correctly

;ree of oilgrease

;ree of dirt and loose particles

Sanded smooth

-ashed don

Spot primed


Na/e0Sinature0Date0

Painting ,umiditytemperature appropriate

Protective measures

Paint applied to manufacturer0s instructions

3ach coat free of imperfections such as runs'patchiness' pinholes' misses etc.

rying time eteen coats appropriate


Na/e0Sinature0Date0

Prehandoveractivities

6eplace fi4tures

Touch up

6emove protective measures

;inal inspection confirms conforming

6emove scaffoldladders' clean up etc.I :a,e carried out allnecessar8 inspections and ,erif8 t:at t:e a1o,e ite/sacti,ities confor/to t:e contract specificationdocu/ents

Na/e0Sinature0Date0


Na/e0Sinature0Date0

&7


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INSPECTION AND TEST PAN C=ECIST for0 ELECTRICAL


Contract Nu/1er0


Contractor0

Su1contractor0



Preliminaryactivities

Access permission otained

Access otained

3*uipment approvedon site

Scaffoldladders

Signagearricades

#ther

Materials approvedon site


Na/e0Sinature0Date0

Prestart ;i4tures removed

Protective measures

Install temporary poer (here necessary)


Na/e0Sinature0Date0

2arry out or+ Apply safety procedures at all stages

Protective measures

2arry out or+ as per specification' AS 8%%%and other relevant codes


Na/e0Sinature0Date0


2arry out all testing and safety chec+s

6estore poer supply to all isolated circuits

6emove temporary poer supply

6emove protective measures

;inal inspection confirms conforming

6emove scaffoldladders' clean up etc.


Na/e0Sinature0Date0

I :a,e carried out all

necessar8 inspections and ,erif8 t:at t:e a1o,e 6or5 for t:is 6or5 area

:as 1een co/pleted and confor/s to t:e contract specificationdocu/entsNa/e0Sinature0Date0

&8


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INSPECTION AND TEST PAN C=ECIST for0 REINFORCED CONCRETE


Contract Nu/1er0


Contractor0

Su1contractor



Preliminaryactivities (re*uiringPrincipal0snotification)

Structural design chec+

2oncrete supplier formor+er

Admi4tures

;ormor+ design


Na/e0Sinature0Date0

Preliminaryactivities (re*uiring2ontractor0sacceptance)

Access otained

Signagearricadesfalseor+

6einforcing scheduled and ordered

Testing and sampling e*uipment

Instruction to Sucontractors on ITP

re*uirements


Na/e0Sinature0Date0

#rder concrete Strength

Slump

-atercement ratio

Type of cement

Admi4ture

elivery notice and arrangements


Na/e0Sinature0Date0

Pre pour inspection ;ormor+ chec+ed (dimensions' levels andcapacity)

;ormor+ design certified

;oundation (clean' scaled' starter ars etc)

2over to reo. Naps as specified

Termite treatment

Memranes

?loc+outs

34pansion stripsater stop


Na/e0Sinature0Date0

2oncrete pour Slump test ta+en results recorded

2oncrete test cylinders ta+en and mar+ed

Time for delivery

Time for pour

Pouring techni*ues conform (height' viration'tremmying' pumping)


Na/e0Sinature0Date0

Stripping K curing -hen stripped

6epairs

2uring method

2uring maintained OOOO.. days

&9


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Na/e0Sinature0Date0


;inish

Nevels dimensions

3*uipment cleaned and site clean

Test results for concrete cylinders


Na/e0Sinature0Date0


Na/e0Sinature0Date0

INSPECTION AND TEST PAN C=ECIST for0 STORAGE AND PROTECTION


Contract Nu/1er0ContractPro3ect Na/e0

Contractor0

Su1contractor0


"aterials co/ponentse7uip/ent

ocation of storae Date Initials Co//ents

Pass ail

INSPECTION AND TEST PAN C=ECIST for0 INCOMING INSPECTION


Contract Nu/1er0


Contractor0

Su1contractor0


"aterials co/ponentse7uip/ent

Purc:aseOrder No.

Deli,er8Doc5et No.

Buantit8sie ,erified Inspected for Date Initial

Aainst PO Aainst DD Da/ae Tec:nicaldetails

"ar5etin

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