Quality Assurance Manual for Consultants

Department of Treasury and Finance

Quality Assurance Manual for

Consultants

August 2019

Procurement, Risk and Contract Management Branch

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? Copyright State of Tasmania 2019

ISBN 978-0-7246-5524-3 (PDF)

Excerpts from this publication may be reproduced, with appropriate acknowledgment, as

permitted under the Copyright Act.

Enquiries

Procurement, Risk and Contract Management Branch

Department of Treasury and Finance

21 Murray Street

HOBART TAS 7000

Telephone (03) 6145 5855

Email:

prequalified@treasury..au

Department of Treasury and Finance

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Table of Contents

Introduction ............................................................................................................................................... 4

Consultant Quality Management Requirements .............................................................................. 5

1. Context of the Organisation .......................................................................................................... 5

1.1 Determining the Scope of the Quality Management System .............................................................................. 5

1.2 Quality Management System and its Processes ...................................................................................................... 5

2. Leadership........................................................................................................................................... 5

2.1 Client Focus ...................................................................................................................................................................... 5

2.2 Quality Policy ................................................................................................................................................................... 6

2.3 Organisational Roles, Responsibilities and Authorities......................................................................................... 6

3. Planning ............................................................................................................................................... 6

3.1 Actions to Address Project Risks and Opportunities ........................................................................................... 6

3.2 Quality / Project Objectives and Planning to Achieve Them .............................................................................. 7

4. Support and Resources .................................................................................................................... 8

4.1 People................................................................................................................................................................................. 8

4.2 Competence ..................................................................................................................................................................... 8

4.3 Communication ............................................................................................................................................................... 8

4.4 Control of Documented Information Including Records..................................................................................... 9

5. Operation - Projects ....................................................................................................................... 11

5.1 Requirements for Projects - Design, Development and Project Management Inputs ............................... 11

5.2 Determining, Reviewing and Changes to Project Requirements ..................................................................... 11

6. Design, Development and Project Management .................................................................... 12

6.1 Planning ............................................................................................................................................................................ 12

6.2 Controls .......................................................................................................................................................................... 12

6.3 Outputs............................................................................................................................................................................ 13

6.4 Changes ........................................................................................................................................................................... 13

6.5 Control of Externally Provided Processes, Products and Services ................................................................. 13

6.6 Control of Non-conforming Outputs and Corrective Actions........................................................................ 14

7. Management Review ...................................................................................................................... 14

7.1 Management Review Agenda ..................................................................................................................................... 15

Department of Treasury and Finance

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Introduction

The aim of prequalification is to classify consultants according to their expertise and capability in

specific work categories and in a specific financial range.

Consultants who wish to offer consulting services to the Tasmanian Government for building

construction and maintenance services, must first become prequalified with the Department of

Treasury and Finance (Treasury). This is because agencies are required to only engage prequalified

consultants, where suitable categories exist, irrespective of the project value.

Treasury¡¯s Procurement, Risk and Contract Management Branch maintains a register of

prequalified consultants (and contractors) for works in their designated fields of expertise up to

a specific project cost. The register provides a record of a consultant¡¯s expertise, experience,

technical capacity and a history of their performance on Government projects. Registration is

limited to specified categories.

Prequalification means that the consultant has:

expressed interest in undertaking particular categories of work;?

been assessed as being capable of undertaking specific categories of work; and?

been approved for a specific financial range of project work.?

Prequalification does not guarantee that a contractor will be invited to undertake work for the

Tasmanian Government.

The following outlines the mandatory quality assurance requirements for consultants:

second party quality assurance is required for Strategic Services where the fee exceeds?

$100 000;

second party quality assurance is required for other service work categories where the

estimated project cost exceeds $1 million; and?

third party quality assurance is mandatory for architecture project services over?

$10 million.

Consultants that are not certified by a third party certification body, must demonstrate

the implementation of a Quality Management System that meets the requirements of Treasury¡¯s

Procurement, Risk and Contract Management Branch second party certification criteria. These

consultants are required to have their Quality Management System independently assessed by a

qualified auditor registered with Treasury¡¯s Procurement, Risk and Contract Management Branch.

In order to maintain second party certification status and remain registered with Treasury, these

consultants are to have their Quality Management System reviewed by a Treasury approved

auditor once every two (2) years. Where an accredited third party certification body has

certified a consultant¡¯s Quality Management System, a current copy of the Certificate

and Capability or Scope Statement must be lodged with Treasury¡¯s Procurement, Risk and

Contract Management Branch. From September 2018, all currently registered consultants with

third party certification must be certified to ISO 9001:2015 and / or ISO 14001:2015.

Consultants may also be third party certified to Work Health and Safety Standards, AS/NZS

4801:2001 or OHSAS 18001:2007. Some consultants may also wish to pursue certification to ISO

45001:2018.

Department of Treasury and Finance

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This manual is provided to consultants who wish to become registered or remain registered with

Treasury¡¯s Procurement Branch.

This manual is also available to Treasury¡¯s Procurement, Risk and Contract Management Branch

approved auditors. These auditors are to:

certify that the consultants have met, or continue to meet, the Second Party Certification

requirements; and?

make recommendations to Treasury for initial or ongoing certification.?

Consultant Quality Management Requirements

Unless specified otherwise, the minimum Quality Management System prerequisites for

consultant registration is second party certification based on the following ISO 9001:2015

elements.

Please note: The requirement for Second Party Quality Assurance does not include all elements in the ISO

900:2015 Quality Management Systems Requirements standard and consequently, not all elements of that

standard are included in this document.

1.

Context of the Organisation

1.1

Determining the Scope of the Quality Management System

The consultant organisation needs to determine the boundaries and applicability of the Quality

Management System to establish its scope. When determining this scope, the consultant

organisation needs to consider the scope of services it provides. The scope of the consultant

organisation¡¯s Quality Management System must be maintained as documented information.

It needs to state the types of services covered.

1.2

Quality Management System and its Processes

The consultant organisation needs to establish, implement

Quality Management System in line with the requirements of this manual.

and

maintain

a

The organisation must maintain and retain documented information to:

support the operations of its processes; and?

demonstrate confidence that the processes and projects are being carried out as

planned.?

2.

Leadership

2.1

Client Focus

Senior management must demonstrate leadership and commitment with respect to client focus

by ensuring that:

client and applicable statutory and regulatory requirements are determined, understood

and consistently met for each project;?

Department of Treasury and Finance

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