Facility Maintenance QA/QC

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[CompanyName]
Maintenance
Quality Manual

Operating Policies of the

[CompanyName] Quality System

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Version: 20141228

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Version Version notes

20141228 Initial issue

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Approval Signature and Date: ___________________________________ _____________________

President/ Date
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not share them with other organizations, even if you do not charge a fee. Submittal of documents does not
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QUALITY MANUAL
TABLE OF CONTENTS

1. Quality System Management and Responsibilities ............................................................................... 7

1.1. Overview .............................................................................................................................................. 7

1.2. [CompanyName] Quality Policy ........................................................................................................... 7
1.3. Quality Duties, Responsibilities, and Authority ................................................................................... 7
1.4. Quality System Performance Measures ............................................................................................ 10
1.5. Customer Satisfaction Performance Measures ................................................................................. 10
1.6. Exceptions.......................................................................................................................................... 10

2. Contract Quality Assurance/Quality Control Plan............................................................................... 11

2.1. Overview ............................................................................................................................................ 11

2.2. [CompanyName] Contract License and Qualification Requirements ................................................ 11

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2.3. Contract Personnel and Qualifications .............................................................................................. 12
2.4. Contract Quality Assurance/Quality Control Plan ............................................................................. 13

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2.5. Identification of Quality Controlled Work Tasks................................................................................ 14
2.6. Contract Quality Inspection and Test Plan ........................................................................................ 14
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2.7. Contract Quality Communications Plan ............................................................................................. 14
2.8. Contract Quality Training Plan ........................................................................................................... 14
2.9. Customer Training On Operation and Maintenance ......................................................................... 14
2.10. Contract Records and Documentation Plan .................................................................................... 14
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2.11. Contract Audit Plan.......................................................................................................................... 15

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3. Contract Specifications ....................................................................................................................... 16

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3.1. Overview ............................................................................................................................................ 16

3.2. Contract Technical Specifications ...................................................................................................... 16
3.3. Contract Drawings ............................................................................................................................. 16
3.4. Contract Submittals ........................................................................................................................... 16
3.5. Customer Submittal Approval ........................................................................................................... 18
3.6. Contract Warranty ............................................................................................................................. 19
3.7. Contract Review and Approval .......................................................................................................... 19

4. Design Review and Control ................................................................................................................ 20

4.1. Overview ............................................................................................................................................ 20

4.2. Design Input Review .......................................................................................................................... 20
4.3. Contract Design Quality Assurance/Quality Control Plan ................................................................. 20
4.4. Design Progress Reviews ................................................................................................................... 21
4.5. Design Output Verification and Approval .......................................................................................... 21

5. Contract-Specific Quality Standards ................................................................................................... 22

5.1. Overview ............................................................................................................................................ 22

5.2. Regulatory Codes ............................................................................................................................... 22

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5.3. Industry Quality Standards ................................................................................................................ 22

5.4. Material and Equipment Specifications ............................................................................................. 23
5.5. Work Process Specifications .............................................................................................................. 23
5.6. Controlled Material Identification and Traceability .......................................................................... 23
5.7. Measuring Device Control and Calibration ........................................................................................ 24
5.8. [CompanyName] Quality Standards .................................................................................................. 24
5.9. Application of Multiple Sources of Specifications ............................................................................. 24

6. Contract Purchasing ........................................................................................................................... 25

6.1. Overview ............................................................................................................................................ 25

6.2. Qualification of Outside Organizations and Company Departments ................................................ 25
6.3. Quality Responsibilities of Key Subcontractor and Supplier Personnel............................................. 26
6.4. Requirements for Subcontractor QC Plan ......................................................................................... 27
6.5. Subcontractor and Supplier Quality Policy ........................................................................................ 27
6.6. Contract Subcontractor and Supplier List .......................................................................................... 28
6.7. Purchase Order Requirements .......................................................................................................... 28
6.8. Contract Purchase Order Approvals .................................................................................................. 28

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7. Process Controls ................................................................................................................................. 29

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7.1. Overview ............................................................................................................................................ 29
7.2. Contract Startup and Quality Control Coordination Meeting ........................................................... 29
7.3. Preparatory Contract Quality Assurance/Quality Control Plan Planning .......................................... 29
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7.4. Weekly Quality Planning and Coordination Meetings ....................................................................... 30
7.5. Process Control Standards ................................................................................................................. 30
7.6. Daily Quality Control Report .............................................................................................................. 32
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7.7. Monthly Quality Control Report ........................................................................................................ 32

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8. Inspections and Tests ......................................................................................................................... 33

8.1. Overview ............................................................................................................................................ 33

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8.2. Required Work Task Quality Inspections and Tests........................................................................... 33

8.3. Material Inspections and Tests .......................................................................................................... 33
8.4. Work in Process Inspections .............................................................................................................. 34
8.5. Work Task Completion Inspections ................................................................................................... 34
8.6. Inspection of Special Processes ......................................................................................................... 35
8.7. Independent Measurement and Tests .............................................................................................. 35
8.8. Commissioning Functional Acceptance Tests .................................................................................... 35
8.9. Hold Points for Customer Inspection ................................................................................................. 35
8.10. Quality Inspection and Test Specifications ...................................................................................... 35
8.11. Inspection and Test Acceptance Criteria ......................................................................................... 36
8.12. Inspection and Test Status............................................................................................................... 36
8.13. Independent Quality Assurance Inspections ................................................................................... 36
8.14. Inspection and Test Records ............................................................................................................ 36
8.15. Contract Completion and Closeout Inspection ................................................................................ 37

9. Nonconformances and Corrective Actions ......................................................................................... 39

9.1. Overview ............................................................................................................................................ 39

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9.2. Nonconformances ............................................................................................................................. 39

9.3. Corrective Actions ............................................................................................................................. 40

10. Preventive Actions ........................................................................................................................... 41

10.1. Overview .......................................................................................................................................... 41

10.2. Identify Preventive Actions for Improvement ................................................................................. 41
10.3. Train Preventive Actions for Improvement ..................................................................................... 41

11. Quality System Audits ...................................................................................................................... 43

11.1. Overview .......................................................................................................................................... 43

11.2. Contract Quality System Audit ........................................................................................................ 43
11.3. Company-wide Quality System Audit .............................................................................................. 43

12. Record and Document Controls ........................................................................................................ 45

12.1. Overview .......................................................................................................................................... 45

12.2. Quality System Documents ............................................................................................................. 45
12.3. Document Controls .......................................................................................................................... 45
12.4. Record Controls ............................................................................................................................... 46

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13. Appendix .......................................................................................................................................... 48

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13.1. Definitions of Terms ........................................................................................................................ 48
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14. Forms ............................................................................................................................................... 51
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5. CONTRACT-SPECIFIC QUALITY STANDARDS

APPLICABLE REGULATIONS, INDUSTRY, and COMPANY STANDARDS

5.1. OVERVIEW
[CompanyName] personnel and subcontractors and suppliers are accountable for compliance to
standards-based written specifications.

To achieve expectations reliably and consistently, specifications are clearly spelled out, not only for results
but also for processes. Specifications apply to materials, work steps, qualified personnel and
subcontractors and suppliers, safe work rules, and environmental work conditions.

Standards ensure that results are specified rather than left to discretionary practices.

5.2. REGULATORY CODES

All [CompanyName] maintenance activities comply with the relevant regulations. The Quality Manager

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identifies regulatory requirements applicable to the jurisdictions served, including:



Applicable Federal regulations
Applicable State regulations
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 Applicable building codes and local addenda to building codes
 Applicable Fire Code
 Applicable Fuel and Gas Code
 Applicable Mechanical Code
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 Applicable Plumbing Code

 Additional regulations specified by the customer contract
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The Quality Manager identifies regulatory requirements that apply to a specific contract on the Contract
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Quality Assurance/Quality Control Plan.

The Superintendent had jobsite access to relevant codes and government regulations.

5.3. INDUSTRY QUALITY STANDARDS

All [CompanyName] maintenance activities comply with generally accepted good workmanship practices
and industry standards.

The Quality Manager identifies supplemental requirements for industry standards that apply to a specific
contract on the Contract Quality Assurance/Quality Control Plan when it is not otherwise specified by the
contract, contract technical specifications, or approved drawings.

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5.4. MATERIAL AND EQUIPMENT SPECIFICATIONS

The Quality Manager ensures that all types of materials and equipment that affect quality are identified
and controlled.

The Quality Manager evaluates the expected use of materials and equipment and identifies types of
materials and equipment that may affect contract quality. For each item, the Quality Manager sets
specifications for their intended use, including:

 Compliance to contract requirements

 Compliance to code and industry standards and listing requirements
 Structural integrity
 Performance
 Durability
 Appearance
 Product identification for traceability.
The Quality Manager identifies controlled material and equipment that apply to the contract.

The Quality Manager ensures that purchase orders for listed materials and equipment include the
relevant specifications as specified in section 6.7 Purchase Order Requirements.

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Only approved materials are used in the maintenance process.

5.5. WORK PROCESS SPECIFICATIONS ge

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The Quality Manager ensures that work processes are controlled to ensure that the specified
requirements are met. When appropriate, the Quality Manager will specify contract quality standards for
work processes that may include:
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 References to documented procedures such as manufacturer’s installation instructions

 Procedures for carrying out process steps
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 Methods to monitor and control processes and characteristics

 Acceptability criteria for workmanship
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 Tools, techniques and methods to be used to achieve the specified requirements.

5.6. CONTROLLED MATERIAL IDENTIFICATION AND TRACEABILITY

The Quality Manager determines types of contract materials that require quality controls.

For each type of quality controlled material, the Quality Manager determines lot control traceability
requirements, if any, and specifies the means of lot identification. Identification methods may include
physical labels, tags, markings and/or attached certification documents.

When lot controlled materials are received, the Superintendent verifies that materials have the specified
lot identifications.

The Superintendent maintains lot identification at all production phases from receipt, through production,
installation, or assembly, to final completion. Acceptable methods for preserving lot identification include
physically preserving observable lot identifications, recording the lot identification on a work task quality
inspection form or other work record, or collecting the physical lot identifier as a record along with
supplemented with location.

If lot controlled materials are without lot identification, the Superintendent deems the materials as
nonconforming and segregates them and/or clearly marks them to prevent inadvertent use. The

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Superintendent treats the material according to the company policy for nonconformances. Only the
Quality Manager can re-identify or re-certify the materials.

5.7. MEASURING DEVICE CONTROL AND CALIBRATION

The Quality Manager evaluates the contract requirements and determines if there are measuring devices
that require controls to assure quality results.

For each type of device the Quality Manager identifies:

 Restrictions for selection

 Limitations on use.
 Calibration requirements including the frequency of calibration. All calibrations must be
traceable to national measurement standards.
When a measurement device is found not to conform to operating tolerances, the Quality Manager
validates the accuracy of previous measurements.

5.8. [COMPANYNAME] QUALITY STANDARDS

[CompanyName] quality standards supplement contract requirements when they are necessary to ensure

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quality.

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The Quality Manager identifies supplemental requirements for [CompanyName] Quality standards that
apply to a specific contract on the Contract Quality Assurance/Quality Control Plan.
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When [CompanyName] quality standards differ from industry standards or product manufacturer
instructions, the Quality Manager justifies that the standard reliably achieves quality results and then
documents the justification.
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All [CompanyName] maintenance activities conform to the company quality standards.

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5.9. APPLICATION OF MULTIPLE SOURCES OF SPECIFICATIONS

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Should multiple sources of specifications apply to a work task, the higher level of specification applies.
When there are equal levels of specifications that conflict, the specifications are applied in this order:

 Submittals approved by the customer

 Contract technical specifications
 Contract drawings
 Government regulations that exceed requirements of items below
 [CompanyName] quality specifications, including subcontract specifications
 [CompanyName] Quality Manual
 Product installation instructions
 Industry standards
 Generally accepted practices
Should multiple sources of conflicting specifications apply to a contract, the Quality Manager defines the
standards that apply to the specific contract on the Contract Quality Assurance/Quality Control Plan.

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7. PROCESS CONTROLS
HOW WORK IS CARRIED OUT

7.1. OVERVIEW
The maintenance process plan defines how contract work is to be done and approved for the overall
contract. The maintenance process plan is communicated to all key personnel, subcontractors and
suppliers in a startup meeting. As the contract proceeds, work task plans provide additional details of
how each individual work task is carried out. Work tasks planning meetings are used to communicate
expectations of the work task plan to key personnel responsible for carrying out the work task.

7.2. CONTRACT STARTUP AND QUALITY CONTROL COORDINATION MEETING

Prior to the commencement of work, the Contract Manager holds a meeting to discuss and coordinate
how contract work will be performed and controlled. Key personnel from [CompanyName],
subcontractors and suppliers meet to review expectations for contract quality results as well as quality

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assurance and quality control policies and procedures including:



Key requirements of the contract
The Contract Quality Assurance/Quality Control Plan
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 Required quality inspections and tests
 The contract submittal schedule
 Quality policies and heightened awareness of critical quality requirements
 Contract organization chart and job responsibilities
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 Methods of communication and contact information

 Location of contract documents and records
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7.3. PREPARATORY CONTRACT QUALITY ASSURANCE/QUALITY CONTROL PLAN PLANNING

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7.3.1. WORK TASK REQUIREMENTS REVIEW

In preparation for the start of an upcoming work task, the Superintendent reviews an integrated and
coordinated set of documents that collectively define quality requirements for the work task including:

 Objectives and acceptance criteria of the work task

 Quality standards that apply to the work task
 Work instructions, process steps, and product installation instructions that apply to the work task
 Shop drawings
 Submittals
 Tools and equipment necessary to perform the work
 License, certification, or other qualification requirements of personnel assigned to work
 Required records of the process and resulting product
 The subcontractor contracted to perform the work, if applicable
 Customer contract requirements
 Required quality inspections and tests
 Method for clearly marking nonconformances to prevent inadvertent use
 Location of quality system records and documents
 Personnel training

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7.3.2. PREPARATORY SITE INSPECTION

The Superintendent also performs a quality inspection of the work area and:

 Assesses completion of required prior work

 Verifies field measurements
 Assures availability and receiving quality inspection status of required materials
 Identifies any nonconformances to the requirements for the work task to begin
 Identifies potential problems

7.3.3. WORK TASK PREPARATORY QUALITY PLANNING MEETINGS

Prior to the start of a work task, the Superintendent conducts a meeting with key company, subcontractor
personnel responsible for carrying out, supervising, or inspecting the work, and interested customer
representatives.

During the meeting, the Superintendent communicates the work task quality requirements and reinforces
heightened awareness for critical requirements. Topics for a work task quality plan meeting include:

 Conflicts that need resolution

 Required quality documents and a verification of availability to personnel carrying out,
supervising, or inspecting the work task

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 Record keeping requirements and the availability of necessary forms



Review methods and sequences of installation
Special details and conditions
Standards of workmanship
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 Heightened awareness of critical quality requirements
 Quality risks
 Work tasks quality inspection form
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7.4. WEEKLY QUALITY PLANNING AND COORDINATION MEETINGS

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The Superintendent conducts a meeting with key company, subcontractor and supplier personnel
responsible for carrying out, supervising, or inspecting the work, and interested customer representatives.
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The meeting is held on a nominal weekly schedule. During the meeting, the Superintendent facilitates
coordination among the participants, communication among the participants, and reinforces heightened
awareness for critical requirements.

The Superintendent maintains a record of the meeting event on the Daily Quality Control Report.

7.5. PROCESS CONTROL STANDARDS

7.5.1. JOB-READY START WORK STANDARDS

Work on a work task starts only when conditions do not adversely impact quality, comply with
government regulations, contract technical specifications, industry standards, or product installation
instructions.

The Quality Manager identifies supplemental start-work requirements that apply to a specific contract
when they are necessary to assure quality results.

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7.5.2. WORK IN PROCESS STANDARDS

Work is conducted only when conditions do not adversely impact quality; comply with government
regulations, contract technical specifications, industry standards, or product installation instructions.

The Quality Manager identifies supplemental work in process requirements that apply to a specific
contract when they are necessary to assure quality results.

7.5.3. PROTECTION OF COMPLETED WORK STANDARDS

[CompanyName] will preserve and protect work in process, completed work, component parts, materials,
and when applicable, delivery to the destination so as to maintain so that compliance with contract
requirements and standards. This includes handling, storage, protection from natural elements, and
reducing risks of damage.

Completed work is protected from damage as specified by government regulations, contract technical
specifications, industry standards, or product installation instructions.

The Quality Manager identifies supplemental protection requirements that apply to a specific contract
when they are necessary to assure quality results.

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7.5.4. MATERIAL STORAGE

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The Superintendent ensures all materials will be delivered, stored and handled in a manner that protects
them from damage, moisture, dirt and intrusion of foreign materials.
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Delivery of materials will be planned according to the work progress to minimize storage on site, where
there are higher possibilities of damages and deterioration of materials.

Stored materials will be segregated to prevent cross contamination and limit losses should a delivery be
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rejected.
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The Superintendent surveys stored materials during daily jobsite reviews and identifies any material that
have incurred damage or otherwise become defective and therefore unfit for use.
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7.5.5. CONTROLLED USE OF MATERIALS

The Contract Manager ensures that contracts and purchase orders are awarded only to outside
organizations qualified to perform the work task and/or supply materials as required for the specific
contract.

Only approved materials are used in the maintenance process. Only approved materials are specified in
purchase and/or subcontracts.

Materials that are defective, deteriorated, damaged, or not approved are not used. The Superintendent
clearly marks such materials for non-use or otherwise holds them aside.

When customer-supplied materials are lost, damaged, or otherwise found unsuitable for use, the
Superintendent reports such findings to the customer.

When subcontractor–supplied materials are damaged or otherwise found unsuitable for use, the
Superintendent reports such findings to the subcontractor.

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The Superintendent ensures that maintenance uses only materials specified in the contract technical
specifications, contract drawings, and approved submittals. Substitutions are made only by agreement of
the customer and documented by a change order (see section 2.1.3.6).

7.5.6. CONTROLLED PRODUCT USE AND INSTALLATION

[CompanyName] maintenance activities conform to manufacturers’ product use and installation in-
structions that apply to the maintenance process.

When installing a product, the Superintendent has access to all applicable product installation
instructions.

7.6. DAILY QUALITY CONTROL REPORT

The Superintendent records a summary of daily work activities. The report will include:
 Schedule Activities Completed
 General description of work activities in progress.
 Problems encountered, actions taken, problems, and delays
 Meetings held, participants, and decisions made
 Subcontractor and Supplier and Company Crews on site


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Visitors and purpose
 General Remarks


Improvement Ideas
Weather conditions ge
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7.7. MONTHLY QUALITY CONTROL REPORT
When a monthly quality control report is required by the Contract Quality Plan, the Superintendent
records a monthly status report. The report includes:
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 A summary of work completed and work in progress

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 Outstanding issues
 Issues resolved during the reporting period
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 Outstanding potential change orders

 Contract status with current contract costs and estimated completion date
 A cost analysis summarizing actual costs to date and estimated future costs
 Contract pictures as appropriate

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14. FORMS
[CompanyName] Controlled Materials Form ......................................................................................... 52
[CompanyName] Material Inspection and Receiving Report .................................................................. 53
[CompanyName] Daily Production Report ............................................................................................. 54
[CompanyName] Work Task Inspection Form ....................................................................................... 55
[CompanyName] Nonconformance Report ............................................................................................ 56

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[CompanyName]
Material Inspection and Receiving Report
Version 20150128
Contract ID Contract Name Purchase Order No. Supplier Bill of Lading No. Date

[ProjectNumber] [ProjectName]
Stock/Part Quantity Conditional
Item No. No. Description Received Condition Marking Accept Use Reject

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Receiving Quality Control
ACCEPTANCE
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Listed items have been accepted by me or under my supervision

Conform to contract specifications EXCEPT as noted herein or on supporting documents.

Received in apparent good condition EXCEPT as noted

Signature of authorized person and date: _________________________________________________________________

EXCEPTIONS:

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 For More Information:
Contact: Ed Caldeira
410‐451‐8006
www.firsttimequality.com
[email protected]

For More Information, contact: Ed Caldeira • Caldeira Quality, LLC • First Time Quality℠
410‐451‐8006 • www.firsttimequality.com • [email protected]