Guide to Preparing a Quality Management Plan for Registered Code Agencies (under the Building Code Act, 1992 and Building Code ) March 2005 Building and Development Branch Ministry of Municipal Affairs and Housing www.obc.mah.gov.on.ca
Guide to Preparing a Quality Management Plan for Registered Code Agencies Table of Contents INTRODUCTION... 3 1. Context... 3 2. Quality Management Plan Format... 3 COMPONENTS OF A QUALITY MANAGEMENT PLAN... 5 1. Procedures related to the commencement of the RCA... 5 2. Procedures related to the Building Code compliance function of the RCA... 6 3. Procedures related to document management at the RCA... 9 4. Procedures related to human resources of the RCA... 9 5. Procedures related to the administration of the RCA... 10 SCHEDULES... 11 Schedule 1: Quality Management Plan Template... 11 Schedule 2: Sample Conflict of Interest Declaration... 14 For questions related to this document, or for further information, contact: Coordinator, Registration Unit Building and Development Branch Ministry of Municipal Affairs and Housing 777 Bay St, 2nd Floor Toronto, ON M5G 2E5 Tel: (416) 585-6666 Fax: (416) 585-7531 Guide to Writing a Quality Management Plan For Registered Code Agencies - March 2005 Page 2 of 14
INTRODUCTION This guideline is produced by the Ministry of Municipal Affairs and Housing as a discussion aid for Registered Code Agencies. Since the Ministry cannot provide legal advice to Registered Code Agencies, Registered Code Agencies are encouraged to discuss the drafting of the Quality Management Plan with their lawyer. Note: italicized words have defined meanings in the Building Code Act, 1992 and/or Building Code. 1. Context A registered code agency (RCA) is required to submit a Quality Management Plan (QMP) as part of an application for registration. The QMP must be prepared in accordance with Sentence 2.19.3.3.(3) of the Building Code. The QMP is intended to establish the basis for how the RCA will carry out its enforcement activities as authorized under the Building Code Act, 1992 and the Building Code. Ongoing compliance with the QMP is a condition of registration and failure to carry out activities in accordance with a QMP may result in suspension or revocation of the RCA s registration. The Director of the Building and Development Branch of the Ministry ( the Director ) will evaluate QMPs received as part of an application to become registered as an RCA based on the following criteria: Addresses all required elements listed in 2.19.3.3.(3). Provides enough depth of information with respect to the required information such that the Director may be satisfied as to the preparedness of the RCA to perform its authorized functions at a suitable level of service. Addresses additional information not necessarily specified in 2.19.3.3.(3) but important to the operation of the RCA. 2. Quality Management Plan Format Acceptable formats for submitting the QMP include: Using the template included in Schedule 1 of this guideline and submitting the completed QMP along with any additional or supplementary information; Guide to Writing a Quality Management Plan For Registered Code Agencies - March 2005 Page 3 of 14
Preparing a separate QMP document that uses the same numbering scheme as the elements of the Guide; or An alternative format. If this option is chosen, please also submit the template in Schedule 1 and under the suggested headings for responses, please indicate a crossreference to where that information is addressed in your QMP document i.e. a page number or chapter or subsection etc. This ensures that the Director can easily confirm that all the necessary areas are covered. This document is intended to assist the applicant in preparing the QMP and, as indicated above, includes a template for completing a QMP for submission. In preparation for completing the QMP the applicant is encouraged to become familiar with the Building Code Act, 1992 and Parts 1 and 2 of the Building Code. In the Guide, Building Code references are given for selected provisions affecting the operation or administration of an RCA. The references are not comprehensive of all Building Code provisions related to the operation or administration of an RCA. Suggestions for practise are identified by an arrow (). Suggested headings for the QMP are listed in the template attached in Schedule 1. Guide to Writing a Quality Management Plan For Registered Code Agencies - March 2005 Page 4 of 14
COMPONENTS OF A QUALITY MANAGEMENT PLAN 1. Procedures related to the commencement of the RCA The QMP must include procedures relating to the commencement of activities as a registered code agency, including procedures to verify that the applicant or registered person is qualified to undertake the activities and that there exists no conflict of interest within the meaning of Sentence 2.22.3.1.(4) [2.19.3.3 (3)(a)] a) Identify the class(es) of registration for the RCA [2.20.2.2]. This information should be consistent with the class(es) of registration identified in section 2 of the Registered Code Agency Application for Registration form. b) Indicate that the applicant or registered person (or director, officer, partner or employee of the applicant or registered person) has successfully completed the examination program administered or authorized by the Ministry of Municipal Affairs and Housing relating to the person s knowledge of the Act and the Code and the powers and duties of an RCA [2.19.3.2.(1)(a)]. This information should be consistent with the persons identified in section 2 of Schedule B: Qualified Persons of the Registered Code Agency Application for Registration form. c) Indicate that the applicant or registered person (or director, officer, partner or employee of the applicant or registered person) has successfully completed the examination program administered or authorized by the Ministry of Municipal Affairs and Housing relating to the person s knowledge of the Act and the Code in the category of qualification that corresponds to the class of RCA registration. [2.19.3.2.(1)(b),(c)]. This information should be consistent with the persons identified in section 3 of Schedule B: Qualified Persons of the Registered Code Agency Application for Registration form. The titles entered should correspond with those entered in item 1d below, for example inspector, plans examiner, supervisor, etc. d) Identify the responsibilities of the persons who will carry out plans review and inspection activities of the applicant or registered person and procedures for the supervision of those persons [2.19.3.3.(3)(b)]. List job titles used in the RCA and give a description of the responsibilities assigned to that position. Titles and responsibilities should correspond with those listed for specific individuals in 1c above (i.e. if an individual is listed as having a given title above it should be described here). Consider the following elements: Guide to Writing a Quality Management Plan For Registered Code Agencies - March 2005 Page 5 of 14
Proficiencies required of each job description e.g. knowledge of the Building Code and Building Code Act, 1992 as well as other relevant statutes and regulations. The number of staff each supervisor is responsible for in order to maintain an acceptable level of service and level of quality. Desired qualifications for supervisors. 2. Procedures related to the Building Code compliance function of the RCA a) Describe procedures for assessing plans and specifications for conformity with the Building Code including procedures for the acceptance under Section 9 of the Act of equivalent materials, systems and building designs [2.19.3.3.(3)(c)] Consider the following elements: How staff are assigned to a review (ensuring appropriate qualifications) That supervision of staff at appropriate points in the review process is in place Consistency among staff (i.e. use of a checklist to ensure all pertinent areas are covered) That procedures are in place to complete work in a reasonable time frame so as to comply with the mandated times frames for permit issuance by the Municipality or principal authority [2.4.1.18] Procedures are in place to track plans received by the RCA Procedures are in place for returning comments with respect to the plans i.e. standard forms to identify deficiencies Procedures to maintain and track written records of all plans review activities Peer review/review by more than one individual or required supervisory sign off when approving equivalencies. b) Describe procedures for inspecting the construction of buildings [2.19.3.3.(3)(d)]. The description should include, but not be limited to, the following considerations: Procedures for the receipt of notices that construction is ready for inspection [2.19.3.3.(3)(e)]. Guide to Writing a Quality Management Plan For Registered Code Agencies - March 2005 Page 6 of 14
Procedures for the receipt of written reports from architects and professional engineers arising out of the general review of the construction of buildings [2.19.3.3.(3)(e)]. Procedures for the preparation of written records of every inspection of the construction of a building, including the information set out in Sentence 2.22.5.2 (4) [2.22.5.2.(3)] Procedures to ensure that staff carrying out inspections have with them at all times a certificate of authorization containing the required information set out in Sentence 2.22.5.5 (2) [2.22.5.5(3)] Other activities set out in Sentences 2.22.5.2.(1)-(5). Consider also the following elements: That supervision of staff at appropriate points in the review process is in place Consistency among staff (i.e. use of a checklist to ensure all pertinent areas are covered) That procedures are in place to complete work in a reasonable time frame so as to comply with the mandated times frames for prescribed inspections [2.4.5.3] Procedures are in place for returning comments with respect to the inspection i.e. standard forms to identify deficiencies c) Describe procedures for the issuance of certificates and orders under the Act, including the responsibility of the persons with the qualifications set out in Sentences 2.22.5.3(1) and (2) [2.19.3.3 (3)(f)]. The description should include, but should not be limited to, the following considerations: Procedures for the preparation of written records of each order issued under Subsection 12(2), 13(1) or 13 (6) of the Act, including the information set out in Clauses 2.22.5.2 (5)(a)-(d) [2.22.5.2.(5)] Procedures to ensure that all certificates issued under the Act by an RCA shall be signed by the RCA or by a person who has the qualifications described in Clause 2.19.3.2.(1)(a) [2.22.5.3.(1)] Procedures to ensure that orders issued under Subsections 13(6) and 14(1) of the Act by an RCA shall be signed by the RCA or by a person who has the qualifications described in Clause 2.19.3.2.(1)(a) [2.22.5.4.(1)] Guide to Writing a Quality Management Plan For Registered Code Agencies - March 2005 Page 7 of 14
Procedures to ensure that orders issued, under Subsections 12(2), 13(1) and Clause 18(1)(f) of the Act by an RCA shall be signed by the RCA or by a person who has the qualifications described in 2.19.3.2.(1)(b) or (c) [2.22.5.4.(2)] Procedures to ensure that if the certificate is issued for the construction of a building that would under Subsection 2.3.1 be required to be designed by and under general review of an architect or professional engineer or both, the certificate shall also be signed by an architect or professional engineer or both, as the case may be, who is an officer, partner, or employee of the RCA [2.22.5.3 (2)] Procedures to establish the RCA is satisfied that on the date on which the plans review certificate is issued, the proposed construction of the building to which the certificate relates is in compliance with the Code [2.22.5.3.(3)] Procedures to establish the RCA is satisfied that on the date on which the change certificate is issued, the proposed construction of the building to which the certificate relates is in compliance with the Code [2.22.5.3.(4)] Procedures to establish the RCA is satisfied that on the date on which the certificate for the occupancy of a building not fully completed is issued, the proposed construction of the building to which the certificate relates is in compliance with Clauses 2.1.3.1.(2)(a) to (q) of the Code [2.22.5.3.(5)] Procedures to establish the RCA is satisfied that on the date on which the final certificate is issued, the proposed construction of the building to which the certificate relates is in compliance with the Code [2.22.5.3.(6)] d) Describe procedures for referral of matters to the CBO under Subsection 14(5) of the Act [2.19.3.3 (3)(g)]. The description should include, but should not be limited to, the following considerations: Procedures for the submission of a report to the CBO that contains the information set out in Clauses 2.22.8.1(1)(a) and (b), and that is signed by the RCA or by a person who has the qualifications described in Clause 2.19.3.2.(1)(a) [2.22.8.1] e) Describe procedures for the participation of the applicant or registered person in proceedings before the Building Code Commission under Section 24 of the Act and before the Superior Court of Justice under Section 25 of the Act. Attach additional pages, or add additional rows, if necessary. Consider also the following elements: Familiarisation with the handbook of BCC and BMEC procedures The information required on application forms for each Commission Guide to Writing a Quality Management Plan For Registered Code Agencies - March 2005 Page 8 of 14
Ensuring qualified staff are available to attend 3. Procedures related to document management at the RCA a) Describe procedures for documenting the activities of the applicant or registered person, including data control, records retention, and the maintenance of security and confidentiality of records and transferring of records to the principal authority [2.19.3.3. (3)(i)]. The description should include, but should not be limited to, the following considerations: The RCA shall maintain records of all plans review and inspection activities, of all certificates and orders and of any other activities taken in carrying out the functions under an appointment [2.22.5.7.(1)] Any information collected by the RCA in the course of the exercise of powers and the performance of duties under the Act may be used only for the purpose of performing functions under an appointment under Subsection 4.1(2) of the act and may only be disclosed according to Clauses 2.22.5.7.(2)(a) to (c) [2.22.5.7.(2)] An RCA shall ensure that any agreement under which the RCA engages a person to assist the RCA to perform functions under an appointment includes a provision that requires the person to comply with Sentences 2.22.5.7.(1) and (2) [2.22.5.7.(3)] 4. Procedures related to human resources of the RCA a) Describe procedures for the training and supervision of personnel [2.19.3.3(3)(j)]. The description should include, but should not be limited to, the following considerations: Procedures for ensuring that not more than 180 days after notice is given under Sentence 2.19.3.8.(1), persons employed by the RCA described in Clause 2.19.3.7.(1)(b) have successfully completed the new exams referred to in the notice [2.19.3.7.(1)(c)] b) Describe procedures for ensuring persons employed by the RCA are aware of the prohibitions against the RCA for dismissing, suspending, demoting, disciplining, harassing or otherwise disadvantaging an employee, or denying an employee a benefit of employment by the reasons set out in Clauses 2.22.5.6.(1)(a) to (d). If more space is needed, please attach additional pages or insert additional rows. c) Describe procedures to verify that there exists no conflict of interest within the meaning of Sentence 2.22.3.1.(4) for the RCA (including any officer, director, partner, or Guide to Writing a Quality Management Plan For Registered Code Agencies - March 2005 Page 9 of 14
employee of the RCA or any person engaged by the RCA to perform functions for it). An RCA would be in conflict of interest if person engaged by the RCA: has participated or participates, in any capacity, in design activities or construction relating to any part of a building to which an appointment relates; is or has been employed within the previous 180 days by a person who carried out design activities or construction relating to a building for which an appointment relates; has a professional or financial interest in: the construction of the building to which an appointment relates; the building to which the appointment relates or, the person responsible for the design of the building to which the appointment relates; is an elected official, officer or employee of a principal authority. You may consider the following: Evaluate possible conflict of interest before each appointment is accepted. Have staff sign a declaration indicating that to the best of their knowledge a conflict of interests does not exist as of the date of the appointment of the RCA and that they must as their duty disclose such a conflict should it arise in the future. You may elect to use the sample declaration included in Schedule 1 of this Guide. 5. Procedures related to the administration of the RCA a) Describe procedures for the review and up-dating of the quality management plan [2.19.3.3.(3)(k)]. b) Describe measures to ensure the RCA will perform the functions specified un an appointment in accordance with the code of conduct se out in the Supplementary Guidelines to the 1997 Building Code [2.22.5.1.(2)]. Guide to Writing a Quality Management Plan For Registered Code Agencies - March 2005 Page 10 of 14
SCHEDULES Schedule 1: Quality Management Plan Template 1. Procedures related to the commencement of the RCA Identify the class(es) of registration for the RCA. HOUSE SMALL BUILDINGS LARGE BUILDINGS COMPLEX BUILDINGS ON-SITE SEWAGE Identify the applicant(s) who has successfully completed the examination program relating to the person s knowledge of the Act and the Code and the powers and duties of an RCA. If more space is needed, please attach additional pages or insert additional rows. Name: Name: Name: Name: BCIN: BCIN: BCIN: BCIN: Identify the applicant(s) who has successfully completed the examination program relating to the person s knowledge of the Act and the Code in the category of qualification that corresponds to the class of RCA registration. If more space is needed, please attach additional pages or insert additional rows. Name BCIN Title Plumbing House Plumbing All Buildings HVAC House On-Site Sewage Systems House Small Buildings Large Buildings Complex Buildings Building Structural Building Services Guide to Writing a Quality Management Plan For Registered Code Agencies - March 2005 Page 11 of 14
Identify the responsibilities of the persons who will carry out plans review and inspection activities. If more space is needed, please attach additional pages or insert additional rows. Title Description of Responsibilities Describe procedures for the supervision of plans review and inspection staff 2. Procedures related to the Building Code compliance function of the RCA Describe procedures for assessing plans and specifications for conformity with the Building Code Describe procedures for the acceptance of equivalent materials, systems and building designs under Section 9 of the Act Describe procedures for inspecting the construction of buildings Describe procedures for the Issuance of Orders Describe procedures for the Issuance of Certificates Describe procedures for referral of matters to the CBO Describe procedures for participating in proceedings before the Building Code Commission or the Superior Court of Justice 3. Procedures related to document management at the RCA Describe procedures for documenting the activities of the RCA 4. Procedures related to human resources of the RCA Describe procedures for the training and supervision of personnel Guide to Writing a Quality Management Plan For Registered Code Agencies - March 2005 Page 12 of 14
Describe procedures for ensuring persons employed by the RCA are aware of the prohibitions set out in Section 2.22.5.6 Describe procedures to verify that there exists no conflict of interest 5. Procedures related to the administration of the RCA Describe procedures for the review and up-dating of the quality management plan Describe how the RCA will ensure that the functions specified in an appointment are carried out according to the code of conduct set out in the Supplementary Guidelines to the Building Code. Guide to Writing a Quality Management Plan For Registered Code Agencies - March 2005 Page 13 of 14
Schedule 2: Sample Conflict of Interest Declaration I declare that I, an employee of, (name of declarant) (registered name of RCA) a Registered Code Agency, have no conflict of interest pertaining to my employment, which means that I: have not participated and will not participate, in any capacity, in design activities or construction relating to any part of a building to which an appointment of my employer, the above mentioned RCA, relates; am not and have not been employed within the previous 180 days by a person who carried out design activities or construction relating to a building for which of my employer, the above mentioned RCA an appointment relates; have no professional or financial interest in: the construction of the building to which an appointment relates; the building to which the appointment relates or, the person responsible for the design of the building to which the appointment of my employer, the above mentioned RCA relates; am not an elected official, officer or employee of a principal authority. I further declare that it is my duty to inform the RCA should any of the aforementioned areas of conflict of interest, or any others, arise. Signed this the of, 200 (day) (month) Declarant Witness Guide to Writing a Quality Management Plan For Registered Code Agencies - March 2005 Page 14 of 14