Quality Assurance Self-Assessment

8/7/2019 Quality Assurance Self-Assessment

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First Time QualitySELF-ASSESSMENTBy Ed Caldeira

This quality and safety self-assessment provides you with feedback on development of your quality assurance system. The assessment is for general contractors, constructionand homebuilding companies, but can be adapted to other industries as well. Eachtopic refers to benchmarks of quality construction management processes.

It is a framework of industry best practices based on internationally recognized ISO9000 quality standards. Adherence to the system ensures that construction conformsto expectations set by government regulations, industry standards, and customers.

Use the assessment to highlight strengths, weaknesses, risks, and opportunities forimprovement. Read each topic and fill out the checklist for review. It may be used toset goals, plan improvements, and monitor progress.

The quality and safety system consists of four major interrelated components:standards, inspections, improvements and responsibilities. We will email youguidelines about each of these components as part of a weekly informational series.



QUALITY ASSURANCE SYSTEM

SELF-ASSESSMENT CHECKLIST

Name Date

Quality and Safety System Guideline Topics Level Notes

Quality and Safety System 5 4 3 2 1 Customer Satisfaction Results 5 4 3 2 1 Operating Results 5 4 3 2 1 Subcontractor Results 5 4 3 2 1

Standards 5 4 3 2 1

Access to Standards 5 4 3 2 1 Customer Contracts 5 4 3 2 1

Job Descriptions 5 4 3 2 1 Qualified Employees 5 4 3 2 1 Subcontractor Contracts 5 4 3 2 1 Subcontractor Qualification 5 4 3 2 1 Required Inspection Milestones 5 4 3 2 1 Independent Inspections 5 4 3 2 1 Inspection Policies 5 4 3 2 1 Inspection Records 5 4 3 2 1

Warranty Service 5 4 3 2 1 Improvement Processes 5 4 3 2 1 Improvement Training 5 4 3 2 1 Performance Measures 5 4 3 2 1 Subcontractor Performance Measures 5 4 3 2 1 Customer Satisfaction Measures 5 4 3 2 1 Quality and Safety Statement 5 4 3 2 1 Quality and Safety Manager 5 4 3 2 1 Senior Management Responsibilities 5 4 3 2 1





– 2 –

First Time Quality and Safety Self-Assessment Overall (continued)

Level 5

All of your major productand service quality andsafety performanceindicators show improvement trendsand excellent results.

Zero defect customerfinal inspections are

commonplace.

Jobs with zero servicecosts are common.

In addition to Level 4, job-readiness is routinely

at first time quality levels.

You are the “builderof choice” amongsubcontractors.

Level 4

In addition to Level 3,generally lower levelsof problems result insignificant cycle timereductions.

Service costs aresignificantly reduced.

Most of your sub-contractors routinely

deliver first time quality and safety results.

All of your majorsubcontractors show quality and safety improvement trends.

Level 3

Your quality and safety are at good levels andare steadily improving.

Production seemsto be smoother.

Problems found atfinal customer inspec-

tion are decreasing.

First time qual-ity and safety by your

subcontractors is acommon occurrence.

Many of yoursubcontractors show measured quality andsafety improvements.

Level 2

Your quality and safety results are becomingreliable, with oc-casional setbacks.

Your quality and safety seems to be improv-ing, but there are nomeasures of progress.

Some of your sub-contractors show

measured quality andsafety improvements.

Level 1

Your quality and safety re-sults vary widely depend-ing on the capabilities of your field superintendentand subcontractor crews.

Your subcontractor qual-ity and safety seems to be

improving, but there areno measures of progress.

1.3

OperatingResults

1.4

Subcon-tractor

Results

www.FirstTimeQuality.com



– 3 –

First Time Quality and Safety Self-Assessment Standards

Level 5

In addition to Level 4,your quality and safety standards set expecta-tions for nearly every aspect of your construc-tion process and thecompleted product.

Standards uniformly meet or exceed cus-tomer expectations.

In addition to Level4, you systematically control obsolete standards

to prevent the use of outdated documents.

Level 4

In addition to Level 3,you supplement pub-lished quality andsafety standards withcompany standards.

In addition to Level 3,you have company qual-ity and safety standards

available at jobsites.

Level 3

In addition to Level 2,your quality and safety standards reference spe-cific regulations, localaddenda to codes, andtrade industry standards.

In addition toLevel 2, you haveindustry standards and

manufacturer instructionsavailable at jobsites.

Level 2

You address known prob-lems with constructiondetails and quality and/orsafety specifications.

You reference standardsare limited to code books.

You have code booksavailable at jobsites.

Level 1

Your quality andsafety expectationsfocus on meetingcodes and undefined“industry standards.”

Your workmanshipexpectations rely on “Weknow if it’s OK when we see it” standards.

You have codebooks available atthe main offi ce.

2.1.1

Standards

2.1.2

Access to

Standards




– 4 –

First Time Quality and Safety Self-Assessment Standards (continued)

Level 5

You systematically control

contract versions and ad-denda to prevent the useof outdated documents.

When customercontracts change, yousystematically distribute

updated documents tofield superintendentsand subcontractors.

In addition to Level 4,you expect your employ-ees to take initiatives that

exceed internal and exter-nal customer expectationsand solve problems.

Level 4

In addition to Level 3,

your customer contractspecifies customerresponsibilities forpreventing damage orpremature failure.

In addition to Level 3,most of your employ-ees clearly understand

their quality and safety job responsibilities.

Level 3


your customer contractrefers to quality standards for construc-tion tolerances andcosmetic expectations.

In addition to Level 2,your job descriptionsdefine quality respon-

sibilities, authority,and policies to follow for deviations.

Level 2

In addition to Level

1, you have company requirements for whatshould be contained ina customer contract.

A senior manager incharge of construc-

tion approves yourcustomer contracts.

Your job descriptionsdefine job functions andgeneral responsibilities.

Level 1

You have a standard con-

tract with every customer.

Your employees learntheir job responsi-bilities from on-the-

job experience.

2.2

Customer Contracts

2.3.1

Job De-

scriptions




– 5 –


Level 5

You use A systematic

process for testing knowl-edge and demonstratingskills to formally qualify employees to performspecific job tasks.

Level 4


you periodically review employee quality andsafety performanceto validate ongoingemployee qualifications.

Your employees undergoperiodic requalificationreviews to update changesin their job requirements.

Level 3

Your employees are

reviewed and formally qualified to perform key job requirements thataffect quality and safety.

You maintain lists of employees and theirapproved job tasks.

Your company policiesensure that only qualified

employees are assignedquality and safety responsibilities.

Level 2

Your employees are as-

signed new job responsi-bilities only after demon-strating their capabilities.

Level 1

Your employees are

removed from a job when it becomes clearthat they cannot performup to expectations.

2.3.2

QualifiedEmployees




– 6 –


Level 5

In addition to Level4, you systematically control obsolete contractsto prevent the use of outdated documents.

In addition to Level 4,your subcontractors

undergo periodicre-qualification reviewsto update changes intheir job requirements.

Level 4

In addition to Level 3,your contracts requireyour subcontractorsto the use checklists toperform quality andsafety self-inspections.

Most subcontrac-tors understand theircontract responsibilities.

A systematic process fortesting knowledge and

demonstrating skills isused for formally qualify-ing subcontractors toperform specific job tasks.

Lists of subcontractorsand their approved scopesof work are maintained.

Level 3

In addition to Level2, your subcontractorcontracts define confor-mance to trade-specificindustry standards.

Your subcontractorcontracts are readily ac-cessible to field personnel.

Your subcontractors areformally qualified to

perform work that affectsquality and/or safety.

Level 2

Your subcontractorcontracts define confor-mance to codes as wellas general quality andsafety responsibilities.

You award subcontrac-tors work only after they

demonstrate capabilities.

Level 1

Your subcontractors learnquality and safety respon-sibilities from field su-perintendent’s feedback.

You remove yoursubcontractors from a job

when it becomes clearthat they cannot performup to expectations.

2.4.1

Subcon-

tractor

Contracts

2.4.2

Subcon-

tractor Qualifi-

cation




– 7 –

First Time Quality and Safety Self-Assessment Inspections

Level 5


your subcontractorsare required to self-inspect their work.

In addition to Level 4,quality assurance inspec-tors perform mile-stone inspectionson all production.

Important performancemeasures for yourfield superintendentsinclude quality assuranceinspections, third-party inspections, and

customer inspections

Level 4


you use a flow chartto define constructionprocesses and their relatedinspections that must becompleted before pro-ceeding to the next step.

Tird-party inspec-tions independently validate quality and safety system effectiveness.

Level 3


you have an inspec-tion plan that definesconstruction milestonesrequiring inspections.

A person independentof production performsmilestone inspections ona sample of production.

Level 2

o find nonconformances

and ensure their repair,your superintendentsperform daily surveysof construction to findnonconformances andensure their repair.

In addition to Level1, your managers oc-casionally walk jobsitesto verify superintendentfield inspections.

Level 1

During construction,

your field personneluse their experienceto catch defects.

You use code inspec-tions to catch prob-lems not found by field inspections.

3.1

RequiredInspection

Milestones

3.2

Inde-

pendent

Inspections




– 8 –

First Time Quality and Safety Self-Assessment Inspections (continued)

Level 5


you use photographs todocument correction of major nonconformances.

In addition to Level 4,you routinely reportinspection results to

all stakeholders.

Inspection recordssubstantiate a history of rigorous compliance tocompany standards.

Level 4


Your subcontractorsfollow-up to ensure cor-rection of punch items.

You reinspect previously completed work whenan inspection reveals amajor nonconformance.

In addition to Level 3,your inspectors assignnumerical scores to

measure the level of firsttime quality and safety.

Your record inspectionresults in a database.

You document correctednonconformances in

the inspection record.

Level 3


your field personnel mustobtain managementapproval for continuing work if there are non-conformances to quality or safety standards.

Qualified inspectors useinspection checkliststo document verifica-

tion of job comple-tion requirements tocompany standards.

Your retain recordsin job files.

Level 2

Your field superintendents

rely on their experienceto decide if work shouldproceed when there areminor nonconformancesto company standards.

Schedule completionor your field super-intendents payment

approval attests that work is completed satisfactorily.

Level 1

Work proceeds un-

less you have a failedcode inspection.

Punch lists record itemsfor repair, but the docu-ments are not saved.

3.3

InspectionPolicies

3.4

Inspection

Records






– 10 –

First Time Quality and Safety Self-Assessment Improvement

Level 5


your employees andsubcontractors areactively engaged inrefining processes towardzero defect goals.

You document successfulsolutions by updates tocompany quality andsafety standards and/orinspection processes.

In addition to Level 4,your company has a

systematic program thatsupports skills and knowl-edge development forkey quality and safety jobpositions. Most employ-ees have personal trainingand development plans.

Level 4


you routinely use sys-tematic analysis of rootcauses to prevent defects.

You focus on improve-ment processes toprevent defects.

Your record defect data,monitor trends, and setimprovement objectives.

In addition to Level 3,training teaches the build-

ing science knowledgenecessary to understandand prevent problems.

You have a training planto develop the skills toachieve your company’s

long-range vision.

Level 3

You make regular quality

and safety improvementsto address quality andsafety issues throughoutthe construction process.

Improvements aregenerally proactiverather than reactive.

Follow-ups check forexpected results.

Your field superinten-dents are on a regular

training schedule linkedto the company’s qual-ity and safety processimprovement plan.

Level 2

You make changes on an

as-needed basis to preventchronic problems.

Your field superinten-dents receive quality- and

safety-related trainingas necessary to addressa major problem.

Level 1

You correct qual-

ity and safety prob-lems as needed.

Your field superin-tendents learn about

quality and safety requirements on the job.

4.1

Improve-ment

Processes

4.2

Improve-

mentTraining




– 11 –

First Time Quality and Safety Self-Assessment Improvement (continued)

Level 5


you use quality and safety performance measuresthroughout all levels of the company to fully support company-wideperformance measures.

In addition to Level 4,you integrate data fromcustomer satisfactionsurveys into your sub-contractor performancemeasurement system.

Te scope of your per-formance managementsystem methods extendsto support departmentssuch as architecture,design, purchasing,

and estimating.

Level 4


you link company-widequality and safety perfor-mance measures directly to key success drivers forachieving your company’smission and vision.

In addition to Level3, you integrate scoredata from independentinspections into your sub-contractor performancemeasurement system.

You monitor histori-cal data for trends.

You use subcontractorperformance data as akey input into the sub-contractor qualification

and selection process.

Level 3

Quality and safety

performance scores areone of the company’smonthly performancemeasures you commu-nicate to all employees.

Your field supervisorsscore subcontractorquality and safety per-formance on every job.

You tabulate performancescores on a monthly

basis and share them with subcontractors.

Level 2


quality and safety is im-portant, but you do nottrack performance data.

You evaluate overall sub-contractor performanceby periodic satisfactionsurveys completed by your field personnel.

You document subcon-

tractor performance by inspection punch listsand callbacks, but dataare not tabulated.

Level 1

Your company perfor-

mance measures arelimited to sales and profit.

You evaluate subcon-tractor performanceon an exception basis when problems arise orcontracts are renewed.

4.3.1

Perfor-mance

Measures

4.3.2

Subcon-

tractor

Perfor-

mance

Measures




– 12 –

First Time Quality and Safety Self-Assessment Improvement (continued)

Level 5

In addition to Level 4,you use feedback fromcustomers and employeesto refine survey ques-tions and improvethe survey process.

Your company’s per-

formance managementsystem uses customersatisfaction as one thevital few success measuresit tracks monthly.

Level 4

In addition to Level 3,customer satisfactionsurvey questions providefeedback on key factorsthat determine yourcustomer’s satisfac-tion with quality.

You treat items of dissatisfaction asnonconformances thatneed resolution.

Level 3

All customers are sur-veyed on their satisfaction with the quality of theirfinished job and thecustomer experience.

Questions focus on pro-cess feedback rather than

on rating your employees.

You tabulate survey data monthly and widely communicate theinformation through-

out the organization.

Level 2

You occassionally measurecustomer satisfaction by surveys or by directly asking customers.

Some survey questionsask customers to rate youremployees’ performance.

You routinely circu-late customer lettersamong employees.

Level 1

Customer satisfactionfeedback data consist of final inspection punchlists and service callbacks.

You share customercomplaints with theappropriate persons.

4.3.3

Customer Satisfac-

tion

Measures




– 13 –

First Time Quality and Safety Self-Assessment Responsibilities

Level 5


4, your company hasdeveloped a compel-ling future vision of what it can become.

In addition to Level 4,your quality and safety manager leads initiatives

that give the company acompetitive advantagein the marketplace whileenhancing profitability.

Level 4


your company’s missionstatement includespersonal responsibilities,values, and principles im-portant to the company.

In addition to Level 3,your quality manager ac-tively drives improvement

of business and construc-tion processes that affectquality and safety.

Your quality manager alsomanages the performanceof your company’s quality

and safety system.

Level 3

Your written com-

pany mission statementincludes a commitmentto quality and safety.

In addition to Level 2,you require quality andsafety manager approval

on decisions that affectquality and safety, i.e.,subcontractors, materi-als, and designs.

A manager administersyour company’s quality

and safety system.

Level 2

Quality and safety

and customer satisfac-tion are important toyour company but notincluded in a writtenmission statement.

A have a designatedmanager who is re-sponsible for overall

quality and safety.

Level 1

Quality and safety is

important, but yourcompany often makessacrifices for the sakeof production.

Someone functions asyour quality and safety manager, but without

formal designationof responsibilities.

5.1.1

Quality and Safety

Statement

5.1.2

Quality

and Safety

Manager




– 14 –

First Time Quality and Safety Self-Assessment Responsibilities (continued)

Level 5


your senior managersseek employee feedback to gauge the company’salignment with itsquality and safety visionand values and thenuse such feedback to

adjust the company’sleadership approach.


4, you define internalcustomer and supplierrelationships.

Level 4

Your senior managers

constantly communicatethe company’s qual-ity and safety mission tocustomers, employees,and subcontractors.

Your senior managersallocate the resourcesnecessary to operatethe company’s quality and safety system.


3, you define lines of authority for manage-ment intervention.

Level 3


demonstrate a personalcommitment to the com-pany’s quality and safety mission and are ofteninvolved in quality- andsafety-related activities.

Tey make sure that allemployees know theirquality- and safety-re-lated responsibilities.

An organization

chart defines lines of authority and report-ing relationships.

Level 2

Your senior managers like

the idea of quality andsafety but do not actively demonstrate a corre-sponding commitment.


1, job titles generally describe lines of authority.

Level 1

Your senior manag-

ers become involved with quality andsafety when handlingcustomer complaints.

Everyone seems to under-

stand how his or her jobfits into the organization.

5.1.3

Senior Manage-

ment

Responsi-

bilities

5.2

Organ-ization

of Work




– 15 –


Level 5

In addition to Level 4, se-

nior managers continually refine your quality andsafety system to accelerateits rate of developmentand level of maturity.

In addition to Level 4,your quality and safety manual documents pro-cedure-level compli-ance with all ISO9000 requirements.

Level 4


the management reviewsare used as a tool to fieldvalidate operation of yourquality and safety systemand to find opportuni-ties for improvement.

Te senior manage-ment team performsan annual review of theoverall suitability andeffectiveness of yourquality and safety system.

In addition to Level 3,an annual review verifiescompany compliance with your quality andsafety manual. Youraddress deficiencies with improvement

actions and follow-up.

Level 3

Management field

reviews evaluate key ele-ments of your quality andsafety system, includingadequacy of standards,inspection accuracy, andimprovement results.

You record observa-tions and follow-upon deficiencies.

In addition to Level 2,your quality and safety manual documents policy -level compliance with arecognized quality andsafety assurance standard(i.e., First ime Quality

Guidelines, ISO 9000).

Level 2

In addition to

Level 1, your company maintains an agendafor jobsite walks.

A quality and safety manual describes yourcompany’s quality andsafety system withdocumented policies,processes, and procedures.

Level 1


walk jobsites to performquality and safety checks.Problems disclosedduring the checks areusually corrected.

Even though somequality and safety policiesand procedures are inplace, they do not fully describe your company’squality and safety system.

5.3

Manage-ment

Reviews

5.4

Quality

and Safety

Manual




– 16 –


Level 5

In addition to Level 4,your quality and safety records document qual-ity and safety manage-ment activities such asmanagement reviews,training activities, andimprovement actions.

Level 4

Your company maintainsquality and safety recordson the history of quality and safety activities, in-cluding approval and revi-sion of quality and safety standards and drawings,qualification of employees

and subcontractors, andapproval of materials.

Level 3

Your quality and safety records demonstrategeneral compliance withthe company’s quality andsafety manual. Your may perform some quality and safety activities butnot document them.

You document repairsfor problems foundduring the constructionand service periods.

Level 2

In addition to Level 1,your quality and safety records document inspec-tions at key construc-tion milestones.

Level 1

Your quality and safety records are limited tocustomer punch listsand service tickets.

5.5

Quality and Safety

Records


Documents

Quality Assurance Self-Assessment