AS/NZS 3905.

12:1999

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Australian/New Zealand Standard™
Quality system guidelines Part 12: Guide to AS/NZS 9001:1994 for architectural and engineering design practices

AS/NZS 3905.12:1999 This Joint Australian/New Zealand Standard was prepared by Joint Technical Committee QR/2, Quality of Service. It was approved on behalf of the Council of Standards Australia on 12 March 1999 and on behalf of the Council of Standards New Zealand on 22 March 1999. It was published on 5 May 1999.

The following interests are represented on Committee QR/2: Australian Association of Certification Bodies Australian Automobile Association Australian Retailers Association Australian Organisation for Quality Department of Defence (Australia) Electricity Supply Association of Australia Institution of Engineers Australia Master Builders Australia Metal Trades Industry Association of Australia New Zealand Association of Certifying Bodies Public Relations Institute of Australia Quality In Law (Australia) Quality Society of Australasia Sydney Water Corporation Telarc New Zealand Tourism Training Australia Additional interests participating in preparation of Standard: Acotrel Risk Management (Australia) The Association of Consulting Engineers Australia Beca Carter Hollings and Ferner (New Zealand) Douglas Quality Systems (Australia) Gardiner TQM (Australia) Kilpatrick Green (Australia) Management and Quality Services (New Zealand) Maple Associates (Australia) Partnership Pareto (Australia) Rovert Reviews (Australia) Royal Australian Institute of Architects

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Review of Standards. To keep abreast of progress in industry, Joint Australian/ New Zealand Standards are subject to periodic review and are kept up to date by the issue of amendments or new editions as necessary. It is important therefore that Standards users ensure that they are in possession of the latest edition, and any amendments thereto. Full details of all Joint Standards and related publications will be found in the Standards Australia and Standards New Zealand Catalogue of Publications; this information is supplemented each month by the magazines ‘The Australian Standard’ and ‘Standards New Zealand’, which subscribing members receive, and which give details of new publications, new editions and amendments, and of withdrawn Standards. Suggestions for improvements to Joint Standards, addressed to the head office of either Standards Australia or Standards New Zealand, are welcomed. Notification of any inaccuracy or ambiguity found in a Joint Australian/New Zealand Standard should be made without delay in order that the matter may be investigated and appropriate action taken.

This Standard was issued in draft form for comment as DR 97398.

AS/NZS 3905.12:1999

This is a free 6 page sample. Access the full version at http://infostore.saiglobal.com.

Australian/New Zealand Standard™
Quality system guidelines Part 12: Guide to AS/NZS 9001:1994 for architectural and engineering design practices

First published as AS/NZS 3905.12:1999.

Published jointly by: Standards Australia 1 The Crescent, Homebush NSW 2140 Australia Standards New Zealand Level 10, Radio New Zealand House, 155 The Terrace, Wellington 6001 New Zealand
ISBN 0 7337 2642 9

AS/NZS 3905.12:1999

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PREFACE
This Guide was prepared by the Joint Standards Australia/Standards New Zealand Committee QR/2, Quality of Service. The objective of this Guide is to provide guidance to architectural and engineering design practices operating in the building and construction industries on the adoption of quality management systems within the practice as a method of assuring professional standards of performance, managing for quality improvement and satisfying contractual and certification requirements. The primary aim of this Guide is to explain the requirements of AS/NZS ISO 9001:1994, Quality systems—Model for quality assurance in design, development, production, installation and servicing in terms which can be readily understood and are relevant to architects and engineers, or other designers, consultants and professionals practising in the building and construction industry. It further aims to suggest approaches to quality system implementation appropriate to a design practice, and to highlight potential benefits. Although the guidance and examples provided tend to reflect the model of a small to medium private practice, the reader should be able to adapt the guidance to related applications, such as larger practices, in-house design groups within private organizations or public utilities, other design disciplines, or to circumstances where the practice provides professional services other than design. This Guide addresses the requirements of AS/NZS ISO 9001 (also referred to herein as ‘the Standard’). Section 4 of this Guide follows the format of AS/NZS ISO 9001, for ease of cross-referencing. Sections 2 and 3 provide general guidance relevant to quality system implementation in the design consultancy context. This Guide is complementary to and is compatible with AS/NZS 3905.2, Quality system guidelines, Part 2: Guide to AS/NZS ISO 9001, AS/NZS ISO 9002, and AS/NZS ISO 9003 for construction, which focuses on construction projects. However, this Guide focuses on the design practice, and on planning, management and design issues within the practice itself, and therefore defines the term ‘project’ differently. Reference should be made to AS/NZS 3905.2 for guidance on the application of quality systems to construction projects, for specifying requirements for quality assurance on projects, and for performing building and construction related activities that are not directly related to design. This Guide also recognizes the guidance provided in AS 3904.2/NZS 9004.2/ISO 9004-2, Quality management and quality system elements—Guidelines for services and other related publications, of which further information is provided in Appendix A. The term ‘informative’ has been used in this Standard to define the application of the appendix to which it applies. An ‘informative’ appendix is only for information and guidance.

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© Copyright

STANDARDS AUSTRALIA / STANDARDS NEW ZEALAND

Users of Standards are reminded that copyright subsists in all Standards Australia and Standards New Zealand publications and software. Except where the Copyright Act allows and except where provided for below no publications or software produced by Standards Australia or Standards New Zealand may be reproduced, stored in a retrieval system in any form or transmitted by any means without prior permission in writing from Standards Australia or Standards New Zealand. Permission may be conditional on an appropriate royalty payment. Australian requests for permission and information on commercial software royalties should be directed to the head office of Standards Australia. New Zealand requests should be directed to Standards New Zealand. Up to 10 percent of the technical content pages of a Standard may be copied for use exclusively in-house by purchasers of the Standard without payment of a royalty or advice to Standards Australia or Standards New Zealand. Inclusion of copyright material in computer software programs is also permitted without royalty payment provided such programs are used exclusively in-house by the creators of the programs. Care should be taken to ensure that material used is from the current edition of the Standard and that it is updated whenever the Standard is amended or revised. The number and date of the Standard should therefore be clearly identified. The use of material in print form or in computer software programs to be used commercially, with or without payment, or in commercial contracts is subject to the payment of a royalty. This policy may be varied by Standards Australia or Standards New Zealand at any time.

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AS/NZS 3905.12:1999

CONTENTS
Page SECTION 1 SCOPE AND GENERAL 1.1 SCOPE . . . . . . . . . . . . . . . . . 1.2 APPLICATION . . . . . . . . . . . 1.3 REFERENCED DOCUMENTS 1.4 TERMINOLOGY . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 4 4 4

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SECTION 2 QUALITY SYSTEMS AND THE DESIGN PRACTICE 2.1 GENERAL . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.2 CHARACTERISTICS OF EFFECTIVE QUALITY SYSTEMS 2.3 THE PROCESS MODEL . . . . . . . . . . . . . . . . . . . . . . . . . . 2.4 PLANNING . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.5 DOCUMENTATION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.6 RECORDS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . SECTION 3 PLANNING, DEVELOPING, IMPLEMENTING AND IMPROVING A QUALITY SYSTEM 3.1 INITIAL PLANNING . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2 QUALITY SYSTEM PLANNING . . . . . . . . . . . . . . . . . . . . 3.3 DEVELOPING A QUALITY SYSTEM . . . . . . . . . . . . . . . . 3.4 IMPLEMENTING AND IMPROVING A QUALITY SYSTEM

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SECTION 4 COMMENTARY ON QUALITY SYSTEM REQUIREMENTS 4.0 INTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.1 MANAGEMENT RESPONSIBILITY . . . . . . . . . . . . . . . . . . . . . 4.2 QUALITY SYSTEM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.3 CONTRACT REVIEW . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.4 DESIGN CONTROL . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.5 DOCUMENT AND DATA CONTROL . . . . . . . . . . . . . . . . . . . . 4.6 PURCHASING . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.7 CONTROL OF CUSTOMER-SUPPLIED PRODUCT . . . . . . . . . . 4.8 PRODUCT IDENTIFICATION AND TRACEABILITY . . . . . . . . 4.9 PROCESS CONTROL . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.10 INSPECTION AND TESTING . . . . . . . . . . . . . . . . . . . . . . . . . 4.11 CONTROL OF INSPECTION, MEASURING AND TEST EQUIPMENT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.12 INSPECTION AND TEST STATUS . . . . . . . . . . . . . . . . . . . . . 4.13 CONTROL OF NONCONFORMING PRODUCT . . . . . . . . . . . . 4.14 CORRECTIVE AND PREVENTIVE ACTION . . . . . . . . . . . . . . 4.15 HANDLING, STORAGE, PACKAGING, PRESERVATION AND DELIVERY . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.16 CONTROL OF QUALITY RECORDS . . . . . . . . . . . . . . . . . . . . 4.17 INTERNAL QUALITY AUDITS . . . . . . . . . . . . . . . . . . . . . . . . 4.18 TRAINING . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.19 SERVICING . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.20 STATISTICAL TECHNIQUES . . . . . . . . . . . . . . . . . . . . . . . . .

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APPENDICES A QUALITY STANDARDS AND GUIDES . . . . . . . . . . . . . . . . . . . . . . . . . . 63 B PROJECT QUALITY PLANNING IN THE DESIGN PRACTICE . . . . . . . . . 68

AS/NZS 3905.12:1999

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STANDARDS AUSTRALIA / STANDARDS NEW ZEALAND Australian / New Zealand Standard Quality system guidelines Part 12: Guide to AS/NZS ISO 9001:1994 for architectural and engineering design practices S E C T I O N 1 S C O P E A N D G E N E R A L

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1.1 SCOPE This Guide provides guidance on the application of AS/NZS ISO 9001 to architectural, engineering and similar design practices, including the development of effective quality systems for use within a practice. 1.2 APPLICATION AS/NZS ISO 9001 is the appropriate Standard for use in architectural, engineering and other design practices, as it includes design considerations under Clause 4.4, Design control. The focus of this Guide is on explaining the requirements of the Standard in terms relevant to practices that mainly provide design services to the construction industry. Requirements for design control apply to design of all stages of construction projects. This Guide includes limited guidance only on activities other than design. For organizations which also engage in construction industry activities such as provision of professional advice, project management, contract planning and administration, supervision, site work, inspection, testing and purchasing services, reference to AS/NZS 3905.2 is recommended. The Guide can also be used by the clients of a design practice in developing a clearer understanding of the requirements for quality assurance and the evaluation of a practice’s quality system. 1.3 REFERENCED DOCUMENTS Refer to Appendix A for information on relevant Standards and publications, including documents referenced in this Guide and in AS/NZS ISO 9001, and international Standards that have been adopted as Australian/ New Zealand Standards. 1.4 TERMINOLOGY The guidance provided in this Guide generally includes explanations of quality terms and concepts which reflect the definitions provided in AS/NZS ISO 8402. The glossary below provides explanations of terms used in this Guide. Term Construction Contract (AS/NZS ISO 9001) Definition Building or engineering works of any description. Agreed requirements between a supplier and a customer (e.g. between a design practice and a client) transmitted by any means.
NOTE: For a design practice, the guidance relating to contracts and contract review should be interpreted as including a commission, engagement or agreement, which may be written or verbal.

COPYRIGHT

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AS/NZS 3905.12:1999, Quality system guidelines Guide to AS/NZS ISO 9001 for architectural and engineering design practices

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