1、Guide to Quality Management Auditing in the Concrete IndustryReported by ACI Committee 121ACI 121.1R-16First PrintingNovember 2016ISBN: 978-1-945487-37-8Guide to Quality Management Auditing in the Concrete IndustryCopyright by the American Concrete Institute, Farmington Hills, MI. All rights reserve
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15、pies by any photo process, or by electronic or mechanical device, printed, written, or oral, or recording for sound or visual reproduction or for use in any knowledge or retrieval system or device, unless permission in writing is obtained from the copyright proprietors.1ACI 121.1R-16Guide to Quality
16、 Management Auditing in the Concrete IndustryReported by ACI Committee 121Thomas G. Tyler*, Chair Jon B. Ardahl, Vice Chair Michelle E. Walters*, SecretaryGodwin Q. AmekuediMihaela Birley*Casimir J. BognackiPaul D. BrooksMartin BruggerMartin J. FraduaThomas M. GreenePaul HedliStephen MarcheseAnand S
17、. MehtaOon-Soo OoiMichael J. OsburnJerry ParnesJohan C. F. SchorEugene TakhtovichJames R. Turnham*Woodward L. Vogt*Subcommittee members who prepared this report.Consulting MembersStefanos J. EapenAlejandro GrafMorris HuffmanLawrence G. MrazekGajanan M. Sabnis Paul Zoltanetzky Jr.This guide provides
18、the background and methods for conducting an audit of an organizations quality management system. Such an audit can assess the organizations commitment to quality manage-ment and conformance to standards, codes, and contract require-ments. Audits can also identify portions of the quality management
19、system that need correction or improvement.Keywords: audit; nonconformance; opportunity for improvement; process audit; quality management system; quality manual.CONTENTSCHAPTER 1INTRODUCTION AND SCOPE, p. 31.1Introduction, p. 31.2Scope, p. 3CHAPTER 2DEFINITIONS, p. 3CHAPTER 3PRINCIPLES OF AUDITING,
20、 p. 5CHAPTER 4COMMONLY EMPLOYED QUALITY MANAGEMENT SYSTEMS, p. 54.1Simple, self-invented systems, p. 54.2Contractually-based systems, p. 54.3Systems modeled after ISO formats, current and noncurrent, p. 54.4Other systems that may be encountered, p. 6CHAPTER 5AUDIT PROGRAM CHARACTERISTICS, p. 75.1Bas
21、is for audit: applicable to all quality management systems, p. 75.2Creating an environment for successful audit program, p. 85.3Audit objectives: compliance, conformance, and improvement, p. 8CHAPTER 6PERFORMING AN AUDIT, p. 96.1Notification and scheduling, p. 9American Concrete Institute Copyrighte
22、d Material www.concrete.org2 GUIDE TO QUALITY MANAGEMENT AUDITING IN THE CONCRETE INDUSTRY (ACI 121.1R-16)6.2Audit team selection, p. 96.3Document collection and review, p. 96.4Audit plan preparation, p. 96.5Preparation of checklists and supporting documents, p. 106.6Conducting the audit, p. 106.7Au
23、dit report preparation, p. 116.8Audit procedure templates and forms, p. 11CHAPTER 7QUALITY MANAGEMENT COMMON ELEMENTS AND PROCESSES, p. 117.1Quality management system, p. 127.2Management responsibility: leadership, p. 127.3Design control, p. 137.4Document and data control, p. 147.5Quality records, p
24、. 147.6Purchasing/management of subs and suppliers, p. 157.7Process control, p. 167.8Procedures, p. 167.9Inspection and testing, p. 177.10Control of inspection, measuring, and testing equipment, p. 187.11Inventory control, p. 187.12Human resources/training, p. 197.13Control of nonconforming product,
25、 p. 217.14Corrective and preventive action, p. 217.15Internal audit/continual improvement, p. 217.16Statistical analysis, p. 21CHAPTER 8AUDIT OF CONCRETE DESIGN PROCESSES, p. 228.1Introduction and overview, p. 228.2Categorization of design projects, p. 238.3Design development, p. 238.4Deliverables,
26、p. 248.5Construction support, p. 288.6Quality assurance, p. 29CHAPTER 9AUDIT OF CONCRETE CONSTRUCTION PROCESSES, p. 299.1Quality management: General, p. 309.2Work methods, p. 309.3Concrete mixtures, p. 309.4Formwork and embedded items, p. 309.5Reinforcement, p. 319.6nullConcrete acceptance testing,
27、p. 319.7nullConcrete handling and placement, p. 319.8nullConcrete flatwork finishing, p. 319.9Curing, p. 339.10Recordkeeping, p. 339.11Statistical analysis, p. 33CHAPTER 10REFERENCES, p. 33Authored documents, p. 34APPENDIX ASAMPLE AUDIT PROCEDURE, TEMPLATES, AND FORMS, p. 35A.1QMP 010: Audit Procedu
28、re, p. 35A.2QMP 010A: Audit Schedule, p. 40A.3QMP 010B: Audit Agenda, p. 41A.4QMP 010C: Audit Checklist, p. 42A.5QMP 010D: Audit Report, p. 43A.6QMP 010E: OFI Report, p. 44A.7Nonconformance report, p. 45APPENDIX BCHAPTER 7 SAMPLE AUDIT QUESTIONS, p. 46B.1Sample audit questions for 7.1, Quality manag
29、ement system, p. 46B.2Sample audit questions for 7.2, Management responsibility, p. 46B.3Sample audit questions for 7.3, Design control, p. 47B.4Sample audit questions for 7.4, Document and data control, p. 47B.5Sample audit questions for 7.5, Quality records, p. 47B.6Sample audit questions for 7.6,
30、 Purchasing/management of subs and suppliers, p. 48B.7Sample audit questions for 7.7, Process control, p. 49B.8Sample audit questions for 7.8, Procedures, p. 50B.9Sample audit questions for 7.9, Inspection and testing, p. 50B.10Sample audit questions for 7.10, Control of inspection, measuring, and t
31、esting equipment, p. 50B.11Sample audit questions for 7.11, Inventory control, p. 51B.12Sample audit questions for 7.12, Human resources/training, p. 51B.13Sample audit questions for 7.13, Control of nonconforming product, p. 51B.14Sample audit questions for 7.14, Corrective and preventive action, p
32、. 52B.15Sample audit questions for 7.15, Internal audit/continual improvement, p. 52B.16Sample audit questions for 7.16, Statistical analysis, p. 52APPENDIX CCHAPTER 8 SAMPLE AUDIT QUESTIONS, p. 53C.1Sample audit questions for 8.3, Design development, p. 53C.2Sample audit questions for 8.3.2, Stages
33、 of design development, p. 53C.3Sample audit questions for 8.3.3, Types of reviews, p. 53C.4Sample audit questions for 8.4.2, Calculations, p. 54C.5Sample audit questions for 8.4.3, Drawings, p. 55C.6Sample audit questions for 8.4.4, Specifications, p. 56C.7Sample audit questions for 8.4.5, Delivera
34、bles turnover packages, p. 57C.8Sample audit questions for 8.5, Construction support, p. 57C.9Sample audit questions for 8.6, Quality assurance, p. 58American Concrete Institute Copyrighted Material www.concrete.orgGUIDE TO QUALITY MANAGEMENT AUDITING IN THE CONCRETE INDUSTRY (ACI 121.1R-16) 3APPEND
35、IX DCHAPTER 9 SAMPLE AUDIT QUESTIONS, p. 59D.1Sample audit questions for 9.1, Quality management, p. 59D.2Sample audit questions for 9.2, Work methods, p. 59D.3Sample audit questions for 9.3, Concrete mixtures, p. 60D.4Sample audit questions for 9.4, Formwork, p. 61D.5Sample audit questions for 9.5,
36、 Reinforcement, p. 62D.6Sample audit questions for 9.6, Concrete acceptance testing, p. 64D.7Sample audit questions for 9.7, Concrete handling and placement, p. 65D.8Sample audit questions for 9.8, Concrete flatwork finishing, p. 66D.9Sample audit questions for 9.9, Curing, p. 67D.10Sample audit que
37、stions for 9.10, Recordkeeping, p. 67D.11Sample audit questions for 9.11, Statistical analysis, p. 68CHAPTER 1INTRODUCTION AND SCOPE1.1IntroductionAn effective means of determining an organizations commitment to quality management is an audit, whether the organization is involved in design, construc
38、tion, inspection, testing, or other operations. Before procurement, an initial audit can evaluate operations of a supplier or subcontractor. During the course of a project, an audit can verify an organi-zations quality management, efficiency, and conformance to contract, codes, procedures, and stand
39、ards. By looking closely into a suppliers operations and asking key questions, a customer can be assured that what is presented or proposed in the bid, proposal, promotional literature, or quality plan is consistent with the suppliers capabilities and methods in their normal course of business.Furth
40、ermore, an organization can assess the effective-ness of its own quality management system and, thereby, its internal performance, efficiency, and conformance by conducting an internal audit. The results of such an audit can be the basis for determination of capabilities, self-declara-tion of confor
41、mance to a standard, and discovery of opportu-nities for improvement.This guide incorporates some of the principles contained in ISO 19011:2011, which can be used as reference should the auditor determine that ISO 19011 is applicable.The level of expectations can vary depending on the needs of the c
42、lient and what the client determines as adequate. A high order of performance can be determined by using the criteria established in ISO 9001:2008, in which case it is recommended that ACI 121R be used as a guide to determine the level of performance as it applies to the concrete industry.The questi
43、ons presented herein are intended to cover a broad range of issues, and some organizations may not be able to respond to them affirmatively. That does not neces-sarily indicate the organization is not a good choice for the task, as the questions themselves are not necessarily the criteria for accept
44、ance or rejection. In the absence of well-defined criteria, as would be required by contract, code, or self-proclaimed conformance, there is no right or wrong answer, only the facts, which are to be interpreted by the party requesting the audit. The quality management system capabilities encountered
45、 can range from the simple and basic to the robust. The level of quality management necessary to perform the task is determined by the party requesting the audit.1.2ScopeThis guide is intended for use in the concrete construc-tion industry. Recommendations and practices presented are intended to be
46、nonmandatory and only meant as guidance. This document is not intended to offer guidance in initiating a quality management system or to serve as a standard for third-party registration audits.This guide addresses several disciplines within the concrete construction industry with questions specific
47、to those disciplines. It begins with the principles and objectives of audits, followed by audit protocol, methods, techniques, and competency of auditors. Chapter 7 covers common processes of quality management typical to all industries with an emphasis on their application within the concrete const
48、ruction industry. Chapters 8 and 9 cover the processes for design and construction. Processes are presented with background information, their impacts on operations, common pitfalls, and sample questions to prompt audit investigations and discussions. For someone not familiar with quality management
49、 considerations for a certain disci-pline within the industry, this guide provides background and a starting point with some of the appropriate questions to ask.The application of this guide is suited for assembling a list of good practices to use in an audit procedure that is commensurate with the size and complexity of the organi-zations assigned or proposed task. Its application is also relevant to audits of large organizations with more complex systems and the re
