itp (inspection and test plans) - nsw, aus

5/21/2018 ITP (Inspection and Test Plans) - NSW, AUS

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Quality Management Systems Guidelines

1

Appendix E - Guideline for Inspection and Test Plans

1 Preparing Inspection and Test Plans

This Guideline is provided to assist service providers in preparing Inspection and Test Plans (ITPs) forconstruction contracts.

Although the current AS/NZS ISO 9001 Quality management systemsRequirements, does not coverITP with inspection and testing, service providers will be required to develop and implement ITPs.

1.1 Purpose and scope

The purpose of an Inspection and Test Plan is to put together a single document that records allinspection and testing requirements relevant to a specific process. On a construction contractthe process is likely to be a construction activity, element of work, trade work or providing aproduct section. An Inspection and Test Plan identifies the items of materials and work to beinspected or tested, by whom and at what stage or frequency, as well as Hold and Witness

Points, references to relevant standards, acceptance criteria and the records to be maintained.Inspection and Test Plans, when properly implemented, help ensure that, and verify whether,work has been undertaken to the required standard and requirements, and that records are kept.

1.2 Glossary

Hold Point - A hold point defines a point beyond which work may not proceed without theauthorisation of a designated service provider or authority.

This designated service provider or authority might be an agency's or othercustomers representative/authorised person, or a regulatory authority (such asa council, Sydney Water, WorkCover and the like) representative, or it may be

the service provider inspecting its service provider or employee or agent.Witness Point - A witness point provides a party (such as the customer, service provider and a

regulatory authority) with the opportunity to witness the inspection or test oraspect of the work, at their discretion.

Surveillance - Intermittent monitoring of any stage of the work in progress (whether by theservice provider or customer).

Self inspection - Where the service provider performing the work verifies the quality progressively- often with the aid of checklists.

Work area - A discrete section of the whole work, usually defined by location, where any

trade work or activity would be completed before it moves onto another area.Examples include a wall, a room, a building, a length of pipeline betweenmanholes and the like. Also referred to as lots.

1.3 Roles and Responsibilities

There are no set rules as to who, in a service provider organisation, should document Inspectionand Test Plans. It is appropriate, however, that they receive input from those with a goodtechnical and practical knowledge of, and experience in, the activities involved. The use,understanding and acceptance of ITPs by inspectors and other personnel will generally begreatly enhanced if they are involved in their preparation.

The service provider is responsible for ensuring that all the required Inspection and Test Plans

are prepared, including those covering work or processes to be carried out by its serviceproviders. While it is preferable that its service providers prepare the ITPs for their own work, inthe final analysis some may require the service providers involvement.


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A senior representative of the service provider would be made responsible for approvingInspection and Test Plans, and any subsequent amendments, prior to their submission orsubmission of compliance/conformity certification to the customer. The contract conditions woulddefine the submissions to the customer and any responses required.

1.4 OverviewThe following steps are involved in documenting Inspection and Test Plans for a constructioncontract: -

Step 1 Read the contract documents (including the technical specifications) and prepare alist of any discrepancies, ambiguities, missing information and standards of materialsand/or workmanship that are considered inappropriate.

Step 2 Contact the customer and resolve the issues listed as a result of Step 1.

Step 3 Examine the scope of work and divide it into separate areas requiring an Inspectionand Test Plan (where not already prescribed in the contract documents). As ageneral guide it is normally most convenient to document a separate Inspection and

Test Plan for each trade or work area/section.Step 4 Note the Hold and Witness Points required by the customer (including as listed in the

contract documents).

Step 5 Review the contract documents again and note the requirements that have the mostimpact on the quality of the finished work. For each, ask the question What will bethe consequences if it is not made sure this is right? Be certain to include anyreferences to tests, submitting information to the customer, obtaining approvals andHold and Witness Points (see1.6.9for further information).

Step 6 Determine from Step 5 which items or aspects of each inspection will need to berecorded on checklists and prepare these.

Step 7 Discuss the checklists with those directly involved with the work and obtain their input.This input should particularly be directed at identifying those issues that have causedproblems (and involved extra costs) in the past, and therefore warrant checking at theearliest opportunity to avoid unnecessary and costly rectification.

Step 8 Prepare each Inspection and Test Plan to reflect the requirements of the contractdocuments. Reference the ITP in the Quality Management Plan and cross-referenceto the other related ITPs.

Step 9 Issue each Inspection and Test Plan and/or associated certification to the customerfor consideration within a reasonable period prior to commencing the work describedin the Plan and adjust them to suit any comment received (or act as otherwiserequired in the contract documents).

Step 10 Decide how best to divide the whole of the work into work areas for control purposesand indicate these locations either on a schedule (with reference to grids and levels)or by marking up drawings.

Step 11 Prepare and issue checklists for each work area and identify them according tolocation.

Step 12 Train those directly involved with each of the ITP in their use. Formalise a procedurefor the notification of Witness and Hold Points to the appropriate person(s).

Step 13 Carry out inspections and tests in accordance with the Inspection and Test Plans,provide notices to the customer and/or regulatory authorities for Hold or Witness

Points, as designated or applicable, and record the results on checklists.


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1.5 Contract particulars

Record the following contract particulars on each of the Inspection and Test Plans: -

- Contract Name

- Contract Number

-Description of process/activities for that particular Inspection and Test Plan

1.6 Inspection and Test Plans

1.6.1 General

1.6.2to1.6.9inclusive describe what needs to be considered for each component of anInspection and Test Plan. They explain the components and how to select the relevantinformation required for each.

1.6.2 Description of operation or stage of work requiring inspection or test

Because 100% inspection and testing in most cases is neither practical nor desirable, it isnecessary to adopt a testing frequency and sampling process which provides a representativeindication of the work to suit the risks involved, as is addressed in1.6.4.

Inspections and tests are often best done after a number of separate activities, but prior to amajor one that will cover up previous work. Service providers would carry out preliminary tests toassist in obtaining an early indication of conformity.

Determining the type and extent of inspections and tests (along with the characteristics - see1.6.3)is probably the most challenging aspect of documenting an Inspection and Test Plan. Theapprovals required are sometimes easier to determine as they are usually specified and identifyparticular work/stages requiring inspections and tests. The type, timing and frequency ofinspections and tests vary to suit the risks and work involved.

The what to test, how to test and when to test is governed by:

- What the work is and how complex it is

- Accessibility for inspections and sampling

- Consequences of failure, including as follows:

- Cost of remedial work

- Effect on construction program

- Accessibility for rectification

- Disruption to use of building or structure

- Consequential damage to other elements

- Threat to safety of workers and public

- Availability of resources

The type, timing and frequency (the what, when and how often) of inspections and tests are bestdetermined in conjunction with the consideration of the characteristics to be verified.

1.6.3 Characteristics of inspection/test/approval

The characteristics of a work item can be defined as a distinguishable property of an item,material or process. Examples of characteristics are colour, texture, size, strength, flatness,alignment, capacity and the like.

The characteristics to be verified will frequently determine the stage at which the inspection ortest must take place if the potential for subsequent nonconformities is to be avoided. This furtherwork might also cover up or deny access for the purposes of verifying certain characteristics.


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Some characteristics can only be considered after one particular operation and before another,such as the inspection of steel reinforcement after installation but prior to the pouring of concrete.

1.6.4 Stage/frequency

The inspection/test stage/frequency will often be determined by the requirements of the contract

documents or by the type of inspection and/or test and the characteristics under consideration,as outlined above. In the latter case however, there is the potential for a considerable range inwhat constitutes the most appropriate frequency and sampling process. It is suggested that arepresentative sampling of the work to suit the risks involved be used as a guide initially.Thereafter, frequencies would be increased and processes reviewed for problem work activitiesand decreased where consistent conformity was evidenced.

1.6.5 Records

Records are essential to quality management because they provide the documented evidencenecessary to verify that a product/service is in accordance with the contract requirements.

The records would be in various forms, and would include the checklists, test certificates,certificates of compliance/conformity, survey data, written approvals and the like. Inspection andTest Plans would help define the records required.

1.6.6 Specification/standard

The standards against which conformity is measured can take various forms. The most commonsource is usually the contract technical specification. Other standards would often be referencedin this document, and may include any of the following: -

- Contract documents/specification generally

- Contract drawings

- Approved workshop drawings and/or calculations

- Approved technical details/procedures

- Approved samples and/or prototypes

- Regulatory requirements

- Australian Standards

- International Standards

- Standard specifications

- Manufacturers recommendations

1.6.7 Acceptance criteria

Acceptance criteria would normally be defined in the contract documents (either directly or byreference to other standards such as Australian Standards). Where this is not the case it wouldbe necessary to identify them and possibly to agree to them with the customer. It is preferable toestablish acceptance criteria with the customer (where they are not specified or clear) to agreethe yardsticks (such as test panels/sections or previous work) against which a product/service isto be declared conforming or nonconforming.

1.6.8 Inspection/test procedures

For many inspections/tests, the methods employed will be specified or self evident anddetermined by the characteristics being examined. In other cases, however, the precise mannerin which the inspection/test is carried out would need to be identified and described. A clearlydescribed test procedure will usually be necessary to help achieve consistent and reliableresults.


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A typical test procedure using statistical techniques might, for example, cover:

- reference to work areas/lots or batches

- frequency of sampling

- method of taking samples

-

method of conducting a test (including conditions)- qualifications of test personnel and equipment calibration/condition/specification

- method of documenting results

In some cases it may be possible to satisfy the requirements simply by referencing therequirements of Australian Standards and the like.

1.6.9 Hold and Witness Points

It is the service provider's responsibility to identify the Hold and Witness Points (with the peopleresponsible for the inspection/test/endorsement and other requirements) that are required for itsservice providers and employees doing the work. The service provider would do this to the

extent that is necessary to be confident that the work is being carried out to the standardsrequired.

The customer usually retains the option to inspect the work at any stage and may identify Holdand Witness Points requiring the customers attendance. When preparing an ITP, the wordSurveillance would be shown against all selected inspection or test points that are nototherwise covered by Hold or Witness Points.

1.6.10 Checklists

As noted in1.6.2,with some work, the logical stage to carry out an inspection or test is oftenafter a number of separate activities, but prior to a major one that will cover up previous work.

It is often useful to complete checklists at such stages and with each inspection and test - where

they will, in effect, summarise the procedures that have, and should have, taken place up to theparticular point in the work process.

Checklists are useful reminders to the person doing the work of all the matters that are to beaddressed. They are used to confirm all the matters have been attended to. They are alsoreminders to the person inspecting the work of all the matters that should be checked.

A checklist also gives an opportunity to record any special or unusual conditions under thecontract, and draw these to the attention of the people doing the work. For example, specialprecautions for protecting existing work, notifications to the public, and other matters that mightnot normally be required for the particular trade or activity, may be included.

The fact that checklists exist, and that their use and content have been verified, would give a

customer confidence that the person doing the work is aware of all the important steps, attributesand matters to be addressed, and the standards that should be complied with, and thatconformity is being verified.

2 Inspection and Test Plan assessment checklist

The following typical checklist for Inspection and Test Plans has been designed to assist customers inassessing service providers ITPs. It may also assist service providers in developing their ITPs, as aguide to the content of ITPs. The customer may specify other items that would be addressed in theservice providers ITPs to support the control of risks. The Clause references are to those in the current

AS/NZS ISO 9001 Quality management systemsRequirements.

Key to symbols to be used in check-boxes is: = Yes = No O= Not applicable


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2.1 Planning of inspection and testing

4.2 INSPECTION AND TEST PLAN

Have ITPs been developed for all the relevant contract activities? (Clause 4.2)

Are there ITPs for each activity affecting quality? (Clause 4.2)

Are all the Plan documents identified and their revision status shown? (Clause 4.2.3)

Are all the Plan records legible, readily identifiable and retrievable? (Clause 4.2.4)

5 MANAGEMENT RESPONSIBILITY

Does the service provider identify and include all customer requirements in ITPs (Clause 5.2)?

Is the contract quality representative nominated in the ITPs? (Clause 5.5.3)

Do the ITPs nominate the person responsible on site for all key and related constructionactivities? (Clause 5.5.3)

6 RESOURCE MANAGEMENT

Do the ITPs identify the resources proposed to carry out inspections and tests? (clause 6.1)

Do the ITPs include the minimum required qualifications and experience of the people that are tocarry out inspections and tests? (Clause 6.2)

Do the ITPs identify the required equipment, facilities and supporting services? (Clause 6.3)

Do the ITPs identify each critical working environment? (Clause 6.4)

7 PRODUCT REALISATION

Are the ITPs updated to reflect changes to customer requirements? (Clause 7.2)

Do the ITPs identify inspections and tests to verify/validate design? (Clause 7.3)

Do the ITPs identify the inspections and tests required to ensure that the products/services meet

the requirements? (Clause 7.4)

Do the ITPs reflect the control of conditions required for inspection and testing? (Clause 7.5)

Do the ITPs identify whether the monitoring and measuring equipment are calibrated and tospecification? (Clause 7.6)

8 MEASUREMENT, ANALYSIS AND IMPROVEMENT

Does the service provider plan and implement in the ITPs the monitoring, measurement, andanalysis needed to demonstrate conformity to product requirements of all work?

Does the service provider state in the ITPs who is responsible for receiving, in-process and finalinspection and testing for all work activities and for closing out work areas?

Do the ITPs include the methods for indicating when nonconformity control is initiated and forclosing out work areas?

Have inspection and test forms been developed and implemented for recording inspection andtesting for each activity? (each stage in a process may be on separate but linked forms)

Receiving inspection

Do the ITPs define responsibility for verifying conformity of the supplied product to requirementsbefore using it in the constructed works?


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Do the ITPs adequately address the inspection and testing requirements for the supplied productbefore it is used in the constructed works?

In-process inspection

Do the ITPs define responsibility and provide for in-process inspection and testing?

Do the ITPs adequately address the inspection and testing requirements for all theproducts/services during construction of the works?

Final Inspection and Testing

Do the ITPs define responsibility and provide for final (or acceptance) inspection and testing?

Does the service provider have a method and define responsibility in the ITPs for final review ofall inspection/test results to confirm that all inspections and tests have been carried out to verifycompletely conformity to product requirements for each work area?

2.2 Inspection and test forms

Do the ITP forms indicate:

all the inspection and testing required by the customer?

inspections and tests to verify and validate design (where applicable)?

inspection and tests required for the supplied product before it is used in the works?

inspection and tests required for the products/services during construction of the works?

who performs the inspection or test and at what stage of the contract work?

how each inspection or test is to be carried out and recorded? (such as a documented testingprocedure or by reference to a standard test method)

the acceptance criteria and frequency of testing, including customer's requirements?

(reference to a contract specification clause alone may not be acceptable)

the record reference verifying conformity of materials/product or preceding work to therequirements?

who reviews inspection/test results, evaluates whether work conforms to the product

requirements, determines what to do next if work does not pass a required inspection or test, andcloses out completed and conforming work areas?

when statistical analysis of test results is required?

provision for confirmation that all inspections and tests have been carried out to verify completelyconformity to product requirements in each work area?


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SAMPLE FORMS

Inspection and Test Plan

Customer:

Contract Number:

Contract/Project Name:

INSPECTION AND TEST PLAN for: (Insert work activity)

Work area: (Insert work area)

Insert ContractorIdentification and/orLogo

Ref Operation or stage of work Stage/

frequency

Records Requirement

/ standard/specification

Acceptance

criteria

Inspection/

testprocedure

Inspection *what/who

Description Characteristics Employee Serviceprovider

Customer

*W = Witness Point; H = Hold Point; H(A) = Inspection/Test by Authority; U(C) = Inspection/Test by Consultant; S = Surveillance or monitoring;X = Self inspection by performer of work.

ChecklistINSPECTION AND TEST PLAN CHECKLIST for:

(To be completed by the person(s) directly responsible for the work)

Contract Number:


Contractor:

Subcontractor

Work area: Checklist Number:

Work Items/activities to be verified Reference Initialled/OK Comments

I have carried out allnecessary inspections and verify that the above items/activities conformto the contract specification/documents

Name:Signature:

Date:


Name:Signature:Date:



I have carried out allnecessary inspections and verify that the above work for this work areahas been completed and conforms to the contract specification/documents



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EXAMPLES

Inspection and Test Plan

Customer:

Contract Number:


INSPECTION AND TEST PLAN for: PAINTING




frequency

Records Requirement/

standard/specification

Acceptance

criteria

Inspection/

testprocedure



Customer

1 Incoming materialsinspection

Conform to order Eachdelivery

Deliverydockets/Checklist

Orders asplaced

GPCapproved &colour sched.

Checkagainstorders

H W

2 Storage andprotection

As specified Eachweek

Checklist Specification, asattached

Safe, secure/adequateprotection

Visual X S S

3 Preliminaryactivities

Task completion Eachwork area

Checklist Specification, asattached, WHSpractice &Regulation

All taskscompleted

Visual H W S

4 Surfacepreparation

Ready to paint,clean and smooth

Eachwork area


Smooth andclean

Visual H H W

5 Painting Full & uniformcover, smooth,colour

Eachwork area Checklist Specification, asattached Checklist andtest panel Visual X S, H(C) S

6 Pre-handoveractivities

All mattersfinalised, cleanand tidy

Eachwork area


Completed tospec/ cleanand tidy

Finalinspection

H H H


Customer:

Contract Number:


INSPECTION AND TEST PLAN for: ELECTRICAL




frequency

Records Requirement/

standard/specification

Acceptance

criteria

Inspection/

testprocedure



Customer

1 Incoming materialsinspection

Conform to order Eachdelivery

Deliverydockets/Checklist

Orders asplaced

Specification& codes

Checkagainstorders

H S

2 Storage andprotection

As specified Eachweek

Checklist Specification,as attached

Safe, secure/adequateprotection

Visual X S S

3 Preliminaryactivities

Task completion Eachwork area

Checklist Specification,as attached,WHS practice& Regulation

All taskscompleted

Visual H W S

4 Pre-start Ready tocommence work

Eachwork area

Checklist Specification,as attached

To authorityrequirements

Checked H W S

5 Carry out work To trade codes

and authorityrequirements

Each

work area

Checklist Specification,

as attached

Checklist and

test panel

Checked H(A) W S



Eachwork area

Wiringdiagrams/Checklist

Specification,as attached

All itemscompleted tospecification

Finalinspection

H H H



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Customer:

Contract Number:


INSPECTION AND TEST PLAN for: REINFORCED CONCRETE



Ref Operation or stage of work Stage/frequency

Records Requirement/standard/specification

Acceptancecriteria

Inspection/testprocedure



Customer

1 Preliminary

activities (requiringPrincipalsnotification)

Notification

provided

Prestart

concretework

Checklist Specification, as

attached

All tasks

completed

Submit

details

H H H

2 Preliminaryactivities (requiringContractorsacceptance)

Approvalsrequired obtained

Prestartconcretework


All taskscompleted

Review H H S

3 Order concrete To specification Eachpour

Copy oforder

Specification, asattached, WHSpractice &Regulation

Reflectsspec./ safe,secure

Review H H S

4 Pre pour inspection Task completion Eachpour

Checklist Specification/drawings, asattached

Right levels &dimensions/clean/ safe

Visual/measure

H W W

5 Slump test Workability of mix Each

delivery

Attached

record

Specification, as

attached

50 to 100 mm Measure H W S

6 Concrete testcylinder

Concretestrength

2 perpour

Test labcertif.

Specification, asattached

30 Mpaminimum

NATA lab. H W S

7 Concrete pour To specification Eachpour


Correctplacement

Visual X W S

8 Stripping & curing To specification Eachpour


Finish/curing/maintained

Visual X W S



Eachpour


Completed tospec./ cleanand tidy

Final visualinspection

H H H



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Checklist

INSPECTION AND TEST PLAN CHECKLIST for: PAINTING


Contract Number:


Contractor:

Subcontractor:



Preliminaryactivities

Access permission obtained

Access obtained

Equipment approved/on site -

Scaffold/ladders

Signage/barricades

Brushes/rollers/drop sheets

Materials approved/on site -

Filler/thinners

Paints/colours

Repairs completed

I have carried out allnecessary inspections and verify that the above items/activities conform

to the contract specification/documents

Name:

Signature:Date:

Surfacepreparation

Notification of power disruption

Protective measures

Isolate appropriate circuits

Filled correctly

Free of oil/grease

Free of dirt and loose particles

Sanded smooth

Washed down

Spot primed



Painting Humidity/temperature appropriate

Protective measures

Paint applied to manufacturers instructions

Each coat free of imperfections such as runs,patchiness, pinholes, misses etc.

Drying time between coats appropriate



Pre-handoveractivities

Replace fixtures

Touch up

Remove protective measures

Final inspection confirms conforming

Remove scaffold/ladders, clean up etc.I have carried out allnecessary inspections and verify that the above items/activities conformto the contract specification/documents





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INSPECTION AND TEST PLAN CHECKLIST for: ELECTRICAL


Contract Number:


Contractor:

Subcontractor:



Preliminaryactivities

Access permission obtained

Access obtained

Equipment approved/on site -

Scaffold/ladders

Signage/barricades

Other

Materials approved/on site -



Pre-start Fixtures removed

Protective measuresInstall temporary power (where necessary)



Carry out work Apply safety procedures at all stages

Protective measures

Carry out work as per specification, AS 3000and other relevant codes

I have carried out allnecessary inspections and verify that the above items/activities conformto the contract specification/documents Name:Signature:Date:


Carry out all testing and safety checks

Restore power supply to all isolated circuits

Remove temporary power supply

Remove protective measures

Final inspection confirms conforming

Remove scaffold/ladders, clean up etc.




Name:Signature:

Date:


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INSPECTION AND TEST PLAN CHECKLIST for: REINFORCED CONCRETE


Contract Number:


Contractor:

Subcontractor



Preliminaryactivities (requiringPrincipalsnotification)

Structural design check

Concrete supplier/ formworker

Admixtures

Formwork design



Preliminaryactivities (requiringContractorsacceptance)

Access obtained

Signage/barricades/falsework

Reinforcing scheduled and ordered

Testing and sampling equipment

Instruction to Subcontractors on ITPrequirements

I have carried out allnecessary inspections and verify that the above items/activities conformto the contract specification/documents Name:Signature:Date:

Order concrete Strength

Slump

Water/cement ratio

Type of cement

Admixture

Delivery notice and arrangements



Pre pour inspection Formwork checked (dimensions, levels andcapacity)

Formwork design certifiedFoundation (clean, scabbled, starter bars etc)

Cover to reo. Laps as specified

Termite treatment

Membranes

Blockouts

Expansion strips/water stop



Concrete pour Slump test taken/ results recorded

Concrete test cylinders taken and marked

Time for delivery

Time for pourPouring techniques conform (height, vibration,tremmying, pumping)



Stripping & curing When stripped

Repairs

Curing method

Curing maintained .. days


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Finish

Levels/ dimensions

Equipment cleaned and site clean

Test results for concrete cylinders





INSPECTION AND TEST PLAN CHECKLIST for: STORAGE AND PROTECTION


Contract Number:


Contractor:

Subcontractor:


Materials/ components/equipment

Location of storage Date Initials Comments

Pass Fail

INSPECTION AND TEST PLAN CHECKLIST for: INCOMING INSPECTION(To be completed by the person(s) directly responsible for the work)

Contract Number:


Contractor:

Subcontractor:


Materials/ components/equipment

PurchaseOrder No.

DeliveryDocket No.

Quantity/size verified Inspected for Date Initial

Against PO Against DD Damage Technicaldetails

Marketing

itp (inspection and test plans) - nsw, aus

Documents

designated service provider

bethe service provider

service provider organisation

required inspection

service providers

work area

element of work

anytrade work