Qualified Contractor Management System

Transcription

1 FCIA Education Program Quality Module UL Qualified Contractor Firm Candidates Management System & Audit Preparation Education FCIA July 8, 2007; November 2007; March 2008

2 FCIA Management System Education & Suggested Approaches Bill McHugh, FCIA UL Support Betsy Titus, UL Business Development Manager Gary Knef, UL Field Services Mgr.

3 Management System Education 10 Sections in Checklist end of Each Section

4 UL Qualified Contractor Introduction 1. Scope 2. Definitions 3. Applicable Documents 4. QFC Quality Management Components 5. Expectations DRI, Management System 6. Inspection / Audit - Methodology Helpful Tips 7. Checklist Questions (9.2.xx Requirements) 8. Conclusion 9. How to Create Value - Contractors

5 Construction Industry Quality Issues

6 Introduction Quality Management Construction Quality ENR CSI CURT W. Edwards Deming ISO 9000 for Construction

7 FCIA Firestopping Industry Initiatives - DIIM Designed culus/opl/whi/fm Tested and Listed Systems Installed FCIA Member FM 4991 / UL Qualified Contractors Inspected ASTM E 2174 & ASTM E 2393 Inspection Maintained FCIA Member, FM / UL Contractor = Effective Firestopping for Compartmentation

8 Firestopping Industry Installation Methods All Trades He/She who pokes hole, fills hole Multiple Contracts Specialty Firestop Contractors, Subs, GC/O Single Source Specialty Firestopping Contractor Qualifications??

9 Design, manufacture, marketing, service, testing all go on forever in a cycle.. W. Edwards Deming, Quality Expert & Author Contractor Qualification & Independent Inspection The Firestopping Quality Process

10 Why UL Qualified Contractors? Quality Control Process Quantifiable Qualification Firestop Systems Planning Reduces field conflicts Reduced Installed Costs Penetrations; Joints, Edge of Slab Conditions Reduces 3 rd Party Inspection Contractor Audit Cost Minimal

11 The Quality Management System - ISO 9000/2000 Reflects Firm operations Customer / A-E Specification Requirements» AHJ / Regulatory Requirements Documented Systems Demonstrated Knowledge Systems Selection & Installation UL QFC Program & Checklist

12 The Quality Management System Based on ISO 9000/2000 Reflects Firm operations Common Sense Documentation Procedures Policies

13 The Quality Management System Why? MS Document Amount reflects your Organization Structure & Operations Company Philosophy

14 Effective Management System Benefits Non Conformances & Corrective Action Improves Operations Errors reduced Systematic Process Management Fire & Life Safety - Systems, not Stuff Firestopping, Done Right

15 UL Qualified Contractor Program Parts DRI Designated Responsible Individual Quality Management System Audit NOTE: UL QFC Program is NOT: Project Site Inspection Project Site Approval

16 UL Qualified Contractor Quality Management System Audit of Processes Properly Defined Adequately Documented - Written Effectively Implemented - Repeatability

17 1. Scope UL QFC Program Scope Management System UL Listed Systems UL Engineering Judgments Contractor Quality Manual Documented Procedures (3 req d) Records

18 2. Definitions - Sample AHJ Authority Having Jurisdiction Certificate Awarded UL QFC Firm 1 CEU = 10 Hours participation Contingency Plan DRI Corrective Action Non-Conformance Resolution Designated Responsible Individual (DRI) Contractor Designated, Meets UL requirements

19 2. Definitions - Sample MANAGEMENT SYSTEM (MS) Management systems to direct and control an organization with regard to quality MS Manual Includes Organizational structure Responsibilities Procedures Processes Resources

20 2. Definitions - Sample Nonconformity A nonconformance may be either: (A) a non-fulfillment of specified requirements: =As defined in - A contract - Reference Standard - Company MS Manual - Procedures - Work Instructions - UL Program requirements = Includes any issue identified & documented by the UL Auditor during the audit process = Reflects deviation from Program Requirements. (B) a condition adverse to quality.

21 2. Definitions Sample Nonconformities 2 categories: 1-Minor: A nonconformance that judgment and experience indicates is not likely to: result in the failure of the MS, or reduce its ability to assure controlled processes, or result in the probable installation of nonconforming firestop systems.

22 2. Definitions Sample Nonconformities: 2-Major The absence or total breakdown of a Quality Assurance Program element required to meet firestop design requirements. A number of minor nonconformities against one requirement combined can represent a total breakdown of the system and be considered a major nonconformance.

23 2. Definitions Sample Nonconformities: 2-Major These include any - nonconformance that would result in the probable installation of nonconforming Firestop Systems. - nonconformance that presents a potential safety risk - nonconformance that judgment and experience indicate: - Result in MS Program failure - Reduce controlled processes and products.

24 3. Applicable Documents UL QFC Program Requirements UL QFC Management System Checklist FCIA Manual of Practice

25 4. UL Qualified Firestop Contractor Program Tools UL Checklist Purpose Tool for MS Development Auditor Questions Self Audits Program Requirement Governing Document DRI - Designated Responsible Individual FCIA Manual of Practice

26 5.0 UL QFC Management System Manual Firm s Management Procedures Descriptions Interaction Comply with SHALL s

27 5.0 UL QFC Management System Manual SHALL = Must SHOULD = Recommended Approach

28 5.0 UL QFC Management System Manual Comply with SHALL s 2 points Management System Manual Address the 10 Elements Reflect YOUR structure & operation Comply with UL QFC Program Requirements SIMPLE, POINTED, EFFICIENT 3 Documented Procedures: Control of Non Conformances Corrective / Preventive Action Documentation & Recordkeeping

29 5.2 Documented Procedures & Records Demonstrated Knowledge & Responsibility Management System implemented and effective Compliance to UL QFC Requirements Records Completed per firm procedures or process Provides evidence of QMS implementation & compliance

30 5.1 UL QFC Management System Manual Demonstrated Knowledge DRI Designated Responsible Individual DRI Exam FCIA MOP / SIG-SAFT UL Directories System Selection

31 5.2 UL QFC MS Manual Ten Elements A. Construction Documents Requirements and Review B. Procurement of Materials C. Storage, Handling, Packaging, Preservation and Delivery D. Installation, Application and Field Quality Assurance Procedures E. Inspection, Testing and Calibration F. Control of Nonconforming Product G. Training and Qualification of Staff H. Corrective/Preventive Action I. Management System Monitoring and Improvement J. Documentation and Record Keeping

32 6.0 Inspection (Audit) Method, Outline Contractor Firm Tour Overview Inspection Instructions Questions Records Review Field Assessment Summary

33 7.0 Checklist Questions 7.1 Management System Manual MS Manual Documented? Scope of MS Manual Exclusions from UL Firestop Program Other Firm Operations NOT AUDITED Pipe Covering Insulation Attic Insulation Sealant & Waterproofing

34 8.1 Pre-Initial Audit Readiness Review Contractor Submits Quality Manual Are you ready? UL Auditor Tool Initial Interview with Contractor OPEN PAGE 6 Checklist

35 8.1 Pre-Initial Audit Readiness Review 1. Current UL QFC DRI 2. One Project that Complies w/requirements 3. Procedures Non Conforming, Corrective Action, Recordkeeping 4. Sufficient records of MS Activities 5. Demonstrated procedure for corrective actions 6. Performed one mock review

36 Policies 10 Elements - Management System Procedures 3 Procedures REQUIRED Corrective Action, Documented MS, Non Conformance Roles, Responsibilities, Process Steps Documented Undocumented Repeatable, Understood Instructions OPTIONAL Database, purchasing management, recordkeeping for focus on process step Forms RECORDS

37 Policies 10 Elements - Management System Procedures 3 Procedures REQUIRED Written by those directly involved.

38 9.0 Checklist Details Controlled and Defined Processes Procedures - YOURS Written - Documented (3 UL Required) Undocumented - Company culture / standards Documentation Document Defines Requirement Form Checklist UL Directory, Specification Record Provides evidence Completed Forms Project As Built Files

39 9.2.1 Construction Document Requirements & Review Procedures - Firm assigns qualified personnel to: Review Construction Documents Understand Scope of Work Project Review Select UL Firestop Systems Office / Field Communication to field & back Identify, resolve and record differences Communicate resolutions in field to project files Focus on As Builts RECORDS

40 9.2.1 Construction Document Requirements & Review Contract Review ABF Contractor Firm Procedures Reviews construction documents for projects awarded firm. Select Firestop Systems - meet construction documents and field requirements. May allow systems selection at office, field crew. Keeps records of contracts and amendments Record systems installed in the field (not ALL construction documents...plans/specs.) Installed firestop systems, non-conforming systems

41 9.2.2 Procurement of Materials Describe Defined Purchasing Processes Evaluate Supplier Ability Selection of Suppliers Evaluation of Suppliers Re-Evaluation of Suppliers Supplier Communication Product meets requirements Material Purchase Records verifies above Documented Procedure Optional Firm Process Understanding REQUIRED

42 9.2.2 Procurement of Materials Describe Defined Purchasing Processes Purchase Order System - OPTIONAL Record of Product Purchased for Project meeting requirements REQUIRED Got what you asked for from supplier Who is responsible for verification? What is record of verification of receipt? Project Bill of Materials of materials purchased meets specified requirements

43 9.2.2 Procurement of Materials Defined Purchasing Process Material Purchase Records for each project Should include this Manufacturer Supplier Product name & type Approval Agency label Quantity Verify what shipped, was received & ordered Incoming Material Inspection Shipping Receiving ticket / match to invoice initials = proof

44 9.2.2 Procurement of Materials Purchasing Process Review of: Suppliers MFR., Distributor, etc. Frequency stated in manual How do you verify? Supplier Files PO s, Reviews

45 9.2.3 Shall establish a process for Storage, Handling, Preservation, Delivery Prevent Misuse Contamination Damage Deterioration Storage Conditions & Shelf Life Control Warehouse - Jobsite

46 9.2.3 Storage, Handling, Packaging, Preservation, Delivery Process Temperature, Weather Exposure? Labeling rely on manufacturer Storage store in temperature controlled area to meet manufacturer specs Handling handle to not damage Packaging firm uses original containers only Preservation store covered Delivery deliver to prevent damage

47 9.2.4 Installation, Application, Field QAP Define Processes Plan & Carry Out Controlled Condition proof sources Defined Process UL Systems installation Product Information Manufacturer specific Data Sheets, Guides, Work Instructions Manufacturer Data Sheets & Work Orders Suitable Equipment Guns, Spray, Measuring Manufacturer Recommendations Process & Product Measurement Thickness

48 9.2.4 Installation, Application, Field QAP Processes Plan & Carry Out Controlled Conditions Continued Installation Environment Conditions to guidelines Temperature, humidity suitable? Verify to data sheets Surface Conditions Clean, dry, as recommended by Manufacturer / FCIA Manual of Practice Protection during curing GC provides heat Patching methods conform to UL System Patching procedure

49 9.2.4 Installation, Application, Field QAP Processes Plan & Carry Out Controlled Conditions Continued Non-Conformance Controls Traceability FCIA MOP Procedures Field Testing Records

50 9.2.4 Installation, Application, Field QAP Processes Plan & Carry Out Installation Personnel Responsibilities Non-Conformances Detection Corrective Action Official Field Test Record by Contractor Ongoing Inspection Some Inspections may not be recorded Record of Official Inspection Resolution of non-conformances

51 9.2.5 Inspection, Testing & Calibration Equipment Calibration Adjustment Identified Calibration Protected from Damage Installation Conforms to Systems Selected

52 9.2.5 Inspection, Testing & Calibration Equipment Monitoring & Measuring Devices Hand Measuring Devices Tapes, Rulers Validate Fit for Use through Observation Record of validation» Contractor decides frequency Non Conformance Discovery Validate prior measurements

53 9.2.5 Inspection, Testing & Calibration Field Inspections / Tests Inspection Reports (if in place) E 2174 & E 2393 Reports provided by others Independent Inspection Contractor Firm Inspection of own work Records Inspection Record of Field Test & Repairs Corrective Actions

54 9.2.5 Inspection, Testing & Calibration Contractor Field Inspections / Tests Systems Thinking Pipe Insulation thickness, type Sleeves Type Annular space sizes Joint width

55 9.2.5 Inspection, Testing & Calibration Field Inspections / Tests Scope of Work Compare to Systems Verify.

56 Control of Non-Conforming Materials & Systems *Requires Documented Procedure that defines the controls, related responsibilities, and authorities to deal with Non Conforming.and could include CORRECTIVE ACTION Identify Cause? PAINT ORANGE, XX,? Document Evaluate Segregation if possible Disposition scrap, return to supplier? Corrective Action

57 Control of Non-Conforming Materials & Systems CORRECTIVE ACTION Suggested Procedure - describe who & what Disposition - Return to supplier (for Credit) Identify & don t mix up!! Prevent Use Communicate to suppliers Employee Training Understand Expired Material Dates Repair & Re-inspection of systems

58 9.2.6 Control of Non-Conforming Materials and Systems Records Shall be Maintained Nonconformance Nature What was wrong? Actions - What was done? Who is authorized to make disposition?

59 9.2.6 Control of Non-Conforming Materials and Systems Corrective Action, Verification Re-verification corrected system to match listing performed repair as recommended by manufacturer.

60 9.2.6 Control of Non-Conforming Materials, Installations and Systems Control after delivery - completion Suggestion.Procedure for recall AHJ & concerned party notification

61 9.2.7 Staff Training & Qualification Personnel performing Material Selection, Installation, Inspection, Testing shall be competent Maintain Training, Qualification, Effectiveness Records - ESTE DRI, key personnel - Skill & Knowledge Education Skills Training Experience

62 5.8 Staff Training & Qualification DRI on Staff Pass Test DRI CEU s Contingency Plan DRI Loss Field Personnel Installers, inspection & repair crews Competency Verification Records of Staff Education, Training, Competency Evaluations, Training Effectiveness

63 9.2.7 Staff Training & Qualification Records of Staff Education, Training Person s Individual File/record Competency Evaluations Demonstrated Proficiency DRI, other exams Evaluation by contractor firm Contractor decides if staff needs qualification Training Effectiveness Evaluation by contractor of their own program Current, effective, deliver results. Variances by project results Management review

64 9.2.8 Corrective Action Overall MS Program Non Conforming *Requires documented Procedure defining steps for: Reviewing Nonconformities (including purchased material, installations and customer complaints). Determining the causes of Nonconformities. Determining and implementing the actions needed to correct the nonconformity and prevent recurrence. Recording the results of actions taken. Reviewing the effectiveness of actions taken.

65 9.2.8 Corrective Action Nonconformance Policies Reviewing Nonconformities Complaint, what happened Determine Cause investigate Determine / Implement Action Prevent recurrence Correct nonconformance Record & maintain results

66 9.2.8 Corrective Action Records Record & maintain results Project Focused Project Manager Corrective Action File Global Identify, Cause, Implement, Effective Cumulative File Common Chronic Problems Review action effectiveness yearly, monthly, weekly Your choice However, another record

67 9.2.9 Management System Monitoring & Improvement Measures Commitment to Program DRI Audit Procedure DRI Audit of Processes Management Review Planned Intervals (Your choice)

68 9.2.9 Management System Monitoring & Improvement Review Management System Suitability Management Objectives Customer / UL Feedback Inspection Results DRI Audits Status of Corrective Actions Staff Competencies Improvement recommendations Resources Records Results of DRI Audits, Mgt. reviews?

69 Documentation and Record Keeping - Quality Manual Procedures / Work Instructions / Visual Aids Drawing, Specifications & Installation Instructions Records Review / Approval / Distribution and Revision Control

70 Documentation and Record Keeping *Requires Documented Procedure that defines the controls for: Approval of Documents? Review and updates to documents? Revision identification & control? Availability? External Document Control? Obsolete document control? Control of Records?

71 Documentation and Record Keeping *Requires Documented Procedure that defines the controls for: Approval of Documents If created or revised, must be approved by (firm designee) prior to issue. Review and updates to documents? Revision identification & control? Availability To whom? External Document Control UL Books, Manufacturer instructions, Drawings from Architects, issued by other organizations for use. Are you up to date? NOT TYPICALLY RECORDS Obsolete document control? Control of Records Project File, Life Safety Drawings

72 Documentation and Record Keeping Control of Records - General Identification? Protection? Retention? Retrieval? Disposition?

73 Documentation and Record Keeping Control of Records The system shall ensure: Identification, Storage, Protection, Retrieval, Retention, Disposition, Employee Responsibilities for the control of records should be defined. Operational Records: Job files - Construction Documents, submittal systems, Specs, as built, inspection records, purchase orders, purchase order changes, contract revisions, engineering judgements. 7 years, or as required by code, regulations

74 5.11 Documentation and Record Keeping Required Records Construction Documents Contracts and Amendments Incoming material inspection Installation inspection & test records Equipment records including calibrations Complaints & corrective actions Non-conforming material records Staff Education, training, evaluations, training effectiveness DRI audit records Management review records

75 UL Firestop Contractor QMS Audit Summary Necessary Conclusions for Auditor / Contractor : 1. Was the system found to be established, documented, implemented and maintained in accordance with the requirements specified in program requirements? 2. Was it determined that the organization identified the criteria and methods needed to ensure the effective operation and control of the processes within the system? 3. Was it determined that the organization ensured the availability of resources and information to support the operation and monitoring of the processes within the system? 4. Was it determined that the organization identified, carried out, monitored and improved the necessary controls to ensure the effectiveness of processes in achieving requirements? 5. Was it determined that the organization complies with UL requirements and has systems in place to ensure continued compliance with UL requirements?

76 UL Firestop Contractor QMS Audit Summary Necessary Conclusions: 1. Was the system found to be 1. Established 2. Documented 3. Implemented and maintained in accordance with the requirements specified in program requirements?

77 UL Firestop Contractor QMS Audit Summary Necessary Conclusions: 2 Was it determined that the organization identified the criteria and methods needed to ensure the effective operation and control of the processes within the system?

78 UL Firestop Contractor QMS Audit Summary Necessary Conclusions: 3. Was it determined that the organization ensured the availability of resources and information to support the operation and monitoring of the processes within the system?

79 UL Firestop Contractor QMS Audit Summary Necessary Conclusions: 4. Was it determined that the organization identified, carried out, monitored and improved the necessary controls to ensure the effectiveness of processes in achieving requirements?

80 UL Firestop Contractor QMS Audit Summary Necessary Conclusions: 5. Was it determined that the organization complies with UL requirements and has systems in place to ensure continued compliance with UL requirements?

81 UL Firestop Contractor QMS Audit Summary UL Audit Results 1. Qualified 2. Qualified with Minor Non Conformances to resolve in 30 days 1. Not Qualified

82 The Quality Management System Why? Makes you a better firm Separate your firm from others MS Document Reflects your Organization Structure & Operations Company Philosophy

83 Effective Management System Benefits Non Conformances & Corrective Action = Improves Operations Errors reduced Systematic Process Management Fire & Life Safety - Systems, not Stuff Firestopping, Done Right

84 FCIA Education Program Quality Module UL Qualified Contractor Firm Candidates Management System & Audit Preparation Education FCIA July 8, 2007; November, 2007; March 2008