Quality Policies and Procedures

During the project design and planning stages, the key stakeholder requirements, including the client, organisational, industry standards and regulatory requirements, are established and documented in the project plan. After approval, these are baselined as the quality standards that must be met.

All quality processes to be implemented must comply with the quality standards and requirements established. The activities to be performed as part of quality management, namely project quality assurance, must adhere to the standards and guidelines. 

Quality standards and guidelines

Quality standards

Quality standards provide specifications, requirements, guidelines, or characteristics. These documents ensure that the materials, products, processes, and services are fit for their purpose.

Maintaining quality standards helps businesses to:

• satisfy their customers’ quality requirements
• ensure the safety and reliability of their products and services
• define and control internal processes
• meet environmental objectives.

The table below shows how quality standards apply at each stage of the project life cycle. 

Quality guidelines

Quality guidelines ensure that all aspects of your project are consistent. 

The ISO 10006 standard provides guidelines for quality management in projects. It covers the following main areas:

• quality management systems in projects
• management responsibility
• resource management
• product realisation
• measurement, analysis, and improvement.

Other specific guidelines may be embedded in your organisational policies and procedures and the specific project documentation, for example, in the quality management plan. The quality plan will define the acceptable levels of the project and process quality and the corrective action for non-compliance of processes or products.

Implementing quality assurance

As briefly defined in the previous section, quality assurance refers to managing the quality of the processes involved in meeting the project outcomes. It is a part of quality management focused on providing confidence that quality requirements will be fulfilled. Quality assurance concentrates on measuring or assessing the quality of the project processes implemented to create the deliverables, products and services.

A strategy must be developed for embedding quality assurance into all aspects of the project and all stages of the project life cycle. Quality assurance is not something that only happens at the beginning or end of the project but must be continuous throughout. The strategy and processes for quality assurance will be established during planning and included in the project plan. They must then be implemented and followed.

Quality Assurance Process

Quality assurance ensures that there are procedures to monitor the project processes and guarantees that quality standards are met continuously. Everyone involved in the project is responsible for implementing and following quality assurance procedures. In doing so, you will contribute to the project’s success by reducing risk, cost, and time and increasing efficiency.

Processes must be implemented at all stages of the project to:

• assess the quality of products or services
• report non-compliance with quality standards
• identify causes of non-compliance and address them.

It is much more cost-effective that an issue is identified and corrected during the quality assurance processes than to be left out until the end and have non-compliant end-products or services. 

There are a range of ways by which you can perform quality assurance, depending on the quality policies and procedures established in your quality management plan. Some of these processes are as follows:

Quality Audits

Quality audits are systematic reviews of project activities, processes, and systems to recognise compliance with the quality requirements.

This process also occurs with experts who review the process and procedures and offer constructive feedback to rectify any issue or shortfall they discover. A system of reviews may be in a place where another team member or designated quality reviewer checks the product or service and completes their quality checklist. The more times different people validate something, the less likely that defects or faulty compliance with standards will slip through. Additionally, at the end of each stage or designated milestones, objective and independent audits might be conducted by either internal or external auditors.

Problem Solving

This entails finding solutions for issues and challenges identified. Problem-solving methods generally include:

• Defining the problem
• Identifying the root cause of the issue
• Generating a set of possible solutions
• Identifying the best solution 
• Implementing the solution
• Verifying the effectiveness of the solution.

This process can be facilitated using problem-solving tools such as the cause-and-effect diagram. The next section will discuss a cause-and-effect diagram and other problem-solving tools and techniques in-depth. 

Documenting and recording

An essential part of quality assurance is ensuring that clear processes detail how to go about documenting, reporting, and acting on identified non-compliance issues. It is not sufficient to only identify an issue; it needs to be brought to the notice of someone with authority to do something about it. Non-compliance issues must be resolved quickly to avoid wasting time and resources and potentially derailing the entire project.

Identified issues are usually reported via the issue register. As part of this process, an issue register should also include who the issue has been assigned to for resolution. Issues may also be raised informally through conversations, email messages, and phone calls or as part of regular team meetings. In all cases, it is crucial that as soon as an issue is identified, a team member must be assigned to resolve it. 

Quality planning

Although no initial quality planning must occur during the quality assurance process, this process heavily relies on the quality standards and guidelines in the quality plan. All quality assurance processes must conform to the established quality policies and procedures.

The initial quality management plan may be modified and updated according to the actual results of the quality assurance process. 

Your organisation may have a defined list of quality assurance activities based on established policies and procedures. The quality assurance processes you perform and the resources you access must comply with quality standards and guidelines applicable to the project.

Quality assurance goes hand in hand with quality control. Compliance with the current project’s different quality requirements and standards is not guaranteed without performing quality control.

Performing quality control

Quality control ensures the quality of the product, services, or project deliverables. Evaluating the quality of these deliverables is based on assessing how well they meet the quality standards established and baselined in the project’s planning phase. Having quality standards assures the quality of work and project deliverables.

Quality control procedures might include:

• Auditing
• Testing (for example, using checklists developed in-house or from manufacturers, industry bodies, organisations, or government bodies)
• Sampling (for example, random product sample checks)
• Inspections
• Issues raised
• End-user testing.

Controlling the quality of deliverables is usually achieved by regular testing (using destructive or non-destructive testing methods), sampling, and auditing. While the most apparent element of quality control might be testing the end product, it is equally important to perform quality control checks at earlier stages, for example, at various predefined milestones or production phases, to have a cost-effective and time-efficient system. These quality processes produce documents that must be maintained as part of the quality control records.

Maintaining quality control records must be observed throughout the project. Audits are a subset of the quality control process, and the documentation produced as part of an audit is integral to the quality control records that must be maintained. While quality control is usually an internal process with regular quality checks and reviews conducted in-house, audits are more formal and are usually carried out by external auditors.

Quality control records and audit documentation

Audit documentation is the written record of all audits carried out during the project’s life cycle. The audit records are evidence that shows how the auditors reached their conclusions.

According to International Standard On Auditing (New Zealand), audit documentation refers to the record of audit procedures performed, relevant audit evidence obtained, and conclusions the auditor reached (terms such as “working papers” or “workpapers” are also sometimes used).

Maintaining appropriate records and documentation per organisational policies and procedures and the project quality control procedures facilitates quality control and provides an audit trail.

Quality records

Quality records are kept to demonstrate conformance to specified requirements and the effective operation of the Quality Management System (QMS).

It is important to note that these quality records pertain to records kept as documentation of the quality assurance and control processes. 

Quality records can be physical or digital records detailing evidence that the quality management system elements comply with the quality requirements set by the organisation and the ISO if applicable. Quality requirements can include detailed requirements that can be applied to document storage, retention, and destruction.

Audit documentation

This refers to the documentation or records of audit procedures to assure that the project processes and outcomes conform to the quality requirements.

Just like quality records, audit documentation can also be in physical or digital format, and these must also be treated according to the organisation’s quality management system.

Maintaining quality records can include keeping the files up to date, storing them in the proper location, and not allowing changes to already completed records. 

The following interactive dialogue cards show five ways that the documents can be:

Maintaining the documents will depend on the quality requirements previously identified. It may involve reviewing the completed records and ensuring that they are up to date, checking the timeliness of the information against current organisational guidelines and so on.

The system of recording the results of quality checks should run throughout the project life cycle. 

These may include:

• Testing or auditing  checklists made available to you by manufacturers, industry bodies, organisations, or government bodies
• Testing or auditing checklists developed in-house
• Product sample checks (for example, one product in every 100 in a production process)
• Reports from external testers/inspectors/auditors from government departments, industry bodies or manufacturers, such as a building inspection by the local council
• Team meetings where the opportunity to raise issues is listed as an agenda item and issues are reported in an issue register
• Product testing reports from end users.

At every phase of the implementation and controlling phase of the project, the quality management plan must be revisited continuously to ensure that the quality requirements are met. From performing quality assurance to maintaining records of the quality processes, all tasks relevant to maintaining project quality must comply with the quality standards and guidelines set in the plan.

Every project needs a project records management system. The policies and procedures of the wider organisation usually determine this system. It ensures that pertinent records are managed and documented accordingly to reduce and curtail any issues arising during the project.

Identifying records

Records are the documentary proof or evidence that the project achieved its intended goals. Your organisation’s records management system must define what qualifies as a record and what does not (i.e. duplicates and rough drafts). While not all project documents can be categorised as records, your records management system must outline how these will be treated. Furthermore, once a document qualifies as a record, its storage and disposal must comply with the rules established in the system.

There is likely to be some crossover between the records kept for various purposes, including quality control, quality assurance and compliance. Compliance records commonly include: 

• financial records (including tax, transactions, invoices, wages, and superannuation)
• contracts and agreements
• inventory records
• policies and procedures
• ISO standards and checklists
• results and reports of quality reviews, tests, and audits that show standards have been met.

The ISO 9000 Standard discusses what qualifies as a quality record and what qualifies as a mere document.

For example, a newly established set of test procedures is not a quality record but a controlled document. It becomes a quality record when it is used to record the steps implemented during a product testing or inspection to assure the product’s compliance with the requirements.

The following are the mandated ISO900 quality records:

• Document Control 
• Management Review
• Education, Training, Skills and Experience
• Product Realisation
• Customer Requirements Review
• Design and Development Inputs
• Design and Development Review
• Design and Development Verification
• Design and Development Validation
• Design and Development Changes
• Supplier Evaluations
• Production/Service Processes
• Identification and Traceability
• Damaged/Lost Customer Property
• Calibration
• Internal Audit
• Product Conformity
• Nonconforming Product
• Corrective Action
• Preventive Action.

Any quality records about those listed above must be maintained and controlled. Other quality records serve as valuable historical references for quality activities addressing critical areas. The organisation's management system determines which additional records to consider.

Maintaining records

The following interactive dialogue cards show three additional ways of maintaining quality records according to agreed quality requirements:

Records may be stored physically, for example, in a filing cabinet or electronically, such as in a company intranet or using an online storage system such as Google Docs, Microsoft OneDrive, or SharePoint. When a project uses a project management system such as Jira or Teams, documents may be stored within this system. 

Some documentation is ‘baselined’ and does not need to be changed throughout the project (e.g. policies and procedures), while other documents are continuously updated (e.g. financial records and audit checklists). 

It is essential to the smooth running of the project that every team member takes personal responsibility for keeping these records filed securely, appropriately, and up to date. Compliance records that can be easily accessed as required allow the project manager to provide evidence of compliance to stakeholders, regulatory authorities, and executive management as needed and provide a clear audit trail.

Regardless of how perfectly the team members performed their work, the project seamlessly complied with the scope, time, and cost requirements; a project will encounter an issue or two.

Problems and issues are inevitable in quality outcomes, specifically the quality of the deliverables and the quality of the processes. No matter the severity of the issues, these must be addressed accordingly so they do not lead to shortfalls. 

Identifying shortfalls and issues in quality outcomes

A shortfall is any discrepancy between the project assumptions, standards set, and the actual project deliverable. 

Shortfalls can occur at any phase of a project and in any aspect. For example, a cost shortfall would entail that spending exceeded the budget, or a time shortfall could mean that processes took longer than scheduled. In terms of quality, a shortfall could mean that the quality of materials or resources was not on par with the standards or that the quality of the deliverables is lacking.

Issues are problems that crop up throughout the project. Some issues are to be expected and easily solved, while others may be ‘showstoppers’ and could potentially lead to shortfalls or even project failure. For example, an issue on the technical aspect could be when a software program experiences a glitch and does not function as expected. The issue could also be of a human resource nature, one where the project team member gets sick and needs to take time off to recuperate. 

Issues, no matter their nature, must be identified and dealt with as promptly as possible. This must be observed throughout the project.

Shortfalls, on the other hand, are unexpected and likely to bear more severe risks on the project. They have the potential to derail the project and will need to be reported immediately to someone with authority to address it.

Shortfalls in quality outcomes can be raised via both formal and informal sources.

Formal sources include: 

• recommendations raised in quality audits
• communication from government bodies, industry bodies, or manufacturers regarding a change in required specifications
• change request where the scope, time, cost, or quality is changed
• documented quality testing by internal team testers or end users
• issues raised in contractor reports
• issues raised at a team meeting and recorded in the minutes.

Informal sources include:

• issues identified by project team members
• casual correspondence with an end user or stakeholder
• ad hoc issues with contractors or team members
• bad weather (for outdoor projects).

Reporting shortfalls

Depending on your organisational procedures and project methodology, there will usually be processes for reporting shortfalls. Suppose you become aware of a shortfall or a potential shortfall in quality outcomes. In that case, you should notify your project manager and provide them with as much information as possible so the appropriate report can be done accordingly. There are many ways to report shortfalls depending on the organisational policies and procedures. The two commonly used important methods for reporting shortfalls are exception reports and issue registers.

Exceptions report

Exceptions or non-compliance reports may be raised to notify key stakeholders of more serious shortfalls in quality outcomes.

The key stakeholders that should usually be notified in the first instance include:

• the project manager
• the project team
• the quality management team
• affected contractors or specialists.

Depending on the nature of the issue and its importance to project success, the project manager will usually decide if the project team can resolve it or if other key stakeholders need to be notified. These might include higher management and the client. Once the project manager and senior management know the issue, they can take further steps to identify the cause and decide on a course of action to resolve the issue or minimise its risks.

Possible actions might include:

• recommend solutions or workarounds to correct the shortfall
• renegotiate outcomes and standards with the client
• stop the project temporarily while advice is being sought or a solution is being found
• acceptance of the outcome as is (change to standards)
• rejection of the outcome (failure of the project).

Issue register

An issue register is an essential tool for reporting issues and shortfalls. By documenting all of the issues as they occur, you can keep track of them and promptly resolve them. As the issue register grows, you may start to see patterns emerging. These patterns may highlight that for some recurring issues, a root cause is creating a systemic problem.

Some organisations have issues tracking software systems that the project might tap into. This allows anyone involved in the project to populate the issue register and then for project managers to assign the issues electronically for team members to solve. Depending on the size and complexity of the project, a simple spreadsheet or document in a table format may suffice. Each item in the issue register might vary in detail from a single line item in a table to a full-page form.

At a minimum, the issue register should include the following:

• an issue numbering system
• the time/date the issue was raised
• a description of the problem
• who raised the issue
• the action history, describing both the process and the solution
• the status of the issue.

If the project team is large, the issue register should also include who the issue has been assigned to for resolution.

Remedial work

Remedial work in quality assurance processes refers to correcting or addressing issues or defects identified during quality inspections or testing. This may involve repairing or replacing faulty materials, components, or installations to ensure the final product meets the required quality standards.

Managing client dissatisfaction through remedial work involves identifying and addressing any issues or concerns raised by the client about the quality or performance of the construction project. This may include conducting inspections to assess the nature and extent of the problem, proposing and implementing solutions to rectify the issues, and communicating effectively with the client throughout the process to ensure their satisfaction.

Examples of remedial work in construction QA processes include fixing structural defects, repairing faulty wiring or plumbing, replacing damaged or defective building materials, and reapplying finishes or coatings to achieve the desired quality outcome.

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