IMPORTANT QUESTIONS

PART- A

1) Difference between quality control and quality Assurance.

QA vs QC
Here is the exact difference between Quality Control and Quality Assurance that one
needs to know:
Quality Assurance Quality Control

It is a process which deliberates on providing QC is a process which deliberates on

assurance that quality request will be achieved. fulfilling the quality request.

A QA aim is to prevent the defect. A QC aim is to identify and improve the

defects.

QA is the technique of managing quality. QC is a method to verify quality.

QA does not involve executing the program. QC always involves executing the
program.

All team members are responsible for QA. Testing team is responsible for QC.

QA Example: Verification QC Example: Validation.

QA means Planning for doing a process. QC Means Action for executing the
planned process.

Statistical Technique used on QA is known as Statistical Technique used on QC is

Statistical Process Control (SPC.) known as Statistical Quality Control
(SPC.)

QA makes sure you are doing the right things. QC makes sure the results of what
you've done are what you expected.

QA Defines standards and methodologies to QC ensures that the standards are

followed in order to meet the customer followed while working on the product.
requirements.

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Quality Assurance Quality Control

QA is the process to create the deliverables. QC is the process to verify that

deliverables.

QA is responsible for full software development QC is responsible for software testing

life cycle. life cycle.

Or

Quality Assurance Quality Control

Definition QA is a set of activities for QC is a set of activities

ensuring quality in the processes for ensuring quality in
by which products are developed. products. The activities
focus on identifying
defects in the actual
products produced.

Focus on QA aims to prevent defects with a QC aims to identify (and

focus on the process used to make correct) defects in the
the product. It is a proactive finished product. Quality
quality process. control, therefore, is a
reactive process.

Goal The goal of QA is to improve The goal of QC is to

development and test processes so identify defects after a
that defects do not arise when the product is developed and
product is being developed. before it's released.

How Establish a good quality Finding & eliminating

management system and the sources of quality
assessment of its adequacy. problems through tools &
Periodic conformance audits of the equipment so that
operations of the system. customer's requirements
are continually met.

What Prevention of quality problems The activities or

through planned and systematic techniques used to
activities including achieve and maintain the
documentation. product quality, process
and service.

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 Quality Assurance Quality Control

Responsibility Everyone on the team involved in Quality control is usually

developing the product is the responsibility of a
responsible for quality assurance. specific team that tests the
product for defects.

Example Verification is an example of QA Validation/Software

Testing is an example of
QC

Statistical Statistical Tools & Techniques can When statistical tools &
Techniques be applied in both QA & QC. techniques are applied to
When they are applied to finished products
processes (process inputs & (process outputs), they
operational parameters), they are are called as Statistical
called Statistical Process Control Quality Control (SQC) &
(SPC); & it becomes the part of comes under QC.
QA.

As a tool QA is a managerial tool QC is a corrective tool

Orientation QA is process oriented QC is product oriented

2) Who should have the sole authority to stop the work?

3) What are the merits and demerits of pre-construction operations?

Benefit #1: Keeps Project on Budget A thorough budget estimate is developed during the
pre-construction phase as well, which is reviewed by each member of the team. If any
alterations need to be made to the budget, then the team will meet and go over potential
changes and make determinations.

Benefit #2: Keeps Scheduling Goals on Target Scheduling goals are completed during the
pre-construction phase in order to provide the client with a detailed timeline of the projects’
start, progression, and completion estimates. Again, due to the collaborative nature of the

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pre-construction team, everyone is able to review and determine the best timeline for the
project at each phase, as well as the time to complete the project from start to finish.

4) What is apparent authority? Give an example of delegated authority.

An agency relationship can also be created when the owner or architect/engineer allows
another party to operate with the appearance of authority to act on behalf of the owner or
architect/engineer. The contractors who reasonably believe that they are dealing with a duly
authorized agent will be able to hold the owner or architect/engineer accountable for the acts
or knowledge of that apparent “agent.”

Delegation of Authority :

As an example, an excavation contractor was obligated to follow the directives of a resident

inspector because the government contracting officer had delegated on-site authorities to the
inspector

Or

Apparent Authority :

An agency relationship can also be created when the owner or architect/engineer allows
another party to operate with the appearance of authority to act on behalf of the owner or
architect/engineer. The contractors who reasonably believe that they are dealing with a duly
authorized agent will be able to hold the owner or architect/engineer accountable for the acts
or knowledge of that apparent“agent.” The doctrine of apparent authority does not apply to
public agency owners, as statutes shield them from liability for the acts of anyone other than
the actual designated agent. Private organizations can protect themselves by contractually
designating an individual with authority to act for them and disclaiming responsibility for the
acts of anyone else. This is not totally foolproof,however,as the contractual disclaimer can be
constructively waived by a persistent pattern of conduct that is inconsistent with the terms of
the contract. A similar result may occur through ratification. An owner or a contractor may,
by its conduct, ratify the unauthorized actions of a person at the job site. The most common
form of ratification is silence or acquiescence. In other words, if an owner or a contractor sits
by silently while one of its people takes charge at the job site, it will be difficult later to
argue that the individual lacked authority to make a particular decision or issue a particular
directive.

Delegation of Authority :

Once actual authority has been conferred on an agent ,such as a Resident Project
Representative, it is possible to allow that agent to delegate his or her authority, say, to one
of the inspectors. It is sometimes common to grant certain authority to a specific individual
“or his or her designated representative.” The phrase “or designated representative” may
create problems, however. Other companies may not be able to determine whether there has
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been an effective delegation of authority. The option of delegating authority also increases
the likelihood of creating the appearance of authority. It is then inconsistent with any
disclaimer of “apparent authority.” Actual authority may be delegated even by a public
agency. As an example, an excavation contractor was obligated to follow the directives of a
resident inspector because the government contracting officer had delegated on-site
authorities to the inspector

5) Classify the key risk factors in construction projects.

1. Inflation/price fluctuation
2. Technology issues
3. Incomplete design scope
4. Accidents /safety
5. Owner demand changes & intervention
6. Damage to structure
7. Requirement or delay for permits & approval
8. Inadequate specifications
9. Change order negotiations
10.Changes in laws and regulations
11.Exchange rate fluctuation
12.culture difference
13.Labour & equipment productivity
14.Contractor competence
15.Taxes and tax burdens
16.Client’s financial failure
17.inaccurate cost estimate
18.Delayed dispute resolutions
19.Adverse weather conditions
20.Inadequate program scheduling
21.Conflict of document
22.Insufficient resource availability
23.War and civil disorder
24.Economic instability
25.Different site conditions
26.Difficulty to access the site
27. Lower work quality in the existence of time constraints
28.Defective design
29.Damage to equipment
30.Design complexity
31.Poor communication between involved parties
32.Political instability
33.criminal acts
34.Delayed payment on contract
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 35.Unavailability or Turnover of skilled labour
36.Public relationship
37.Lack of Scope of work definition
38.Legal disputes
39.Construction Methods
40.Design changes
41.Defective work
42.Poor project planning & control
43.Force majeure
44.Poor site management and supervision
45.Environmental hazards of the project
46.Labour disputes and strikes
47.corruption and bribery
48.Contractors competition in bids
49.Government acts and intervention
50.unqualified designers
51.High performance or quality expectations
52.Defective materials
53.Financial default of contractor
54.Late handing over Of the site
55.Environment Regulations Procedures
56.Tight project schedule
OR

Here are four common risk factors to watch out for on construction projects

1. Labor Shortages & Productivity Issues

2. Health & Safety Hazards

3. Subcontractor Default

4. Change Orders

6) What are the clauses of contract for allocation of risk?

The five most common disclaimer clauses in construction contracts that include
(1) Uncertainty of work conditions,
(2) Delaying events,
(3) Indemnification,
(4) Liquidated damages, and
(5) Sufficiency of contract documents.

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7) What are the types of construction specifications?

• Requirement Specifications.
• Design Specifications.
• Material Specifications.
• Standard Specifications.
• Interface Specifications.
• Test Specifications.
• Performance Specifications.
• Quality Specifications.

8) What is the principal barrier to the use of design -build contracts on public works
project?

Legal Barriers for State and Local Public Projects Due to the growing popularity of the
design–build concept, the potential conflict between laws of the various states governing
selection of design professionals as opposed to the competitive bidding process used in
public works for award of a construction contract is being reexamined in many states. Many
states are revising their statutes to permit the award of a design–build contract without
violating the law. The following summary was abstracted from an American Bar Association
review of design–build contracts under the various state and local procurement laws as they
existed in 1996.4 State procurement laws, with respect to design–build, can be grouped into
four categories. In some cases state laws are not the same for all agencies within the state,
thus some states will fall into more than one of the following categories:

1. Laws that expressly prohibit design–build by any public agency (4 states)

2. Laws that pose obstacles to design–build by some public agencies (26 states)

3. Laws that pose no obstacles to design–build,even though design–build is not expressly

permissible (22 states)

4. Laws that expressly allow design–build for all or some types of public projects (26 states)

Very few state statutes expressly prohibit the use of design–build,such as by requiring that a
project be split into separate design and construction phases and requiring the preparation of
plans and specifications before bids are solicited. Other barriers to using the design–build
method are laws that prohibit the award of a single construction contract to a general
contractor by requiring multi-prime contracts, a practice widely used on public projects in
the Northeast. In that instance, laws require the preparation of separate plans and
specifications to allow for separate award of contracts for any number of trades. If a state

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agency cannot award a contract to a single general contractor for construction, it may also
have trouble awarding a single contract for design and construction.

9) Discuss the uses of drawing and specifications in construction projects.

Working drawings and specifications are the primary documents used by a contractor to bid
and execute a project. Specifications are precisely written documents that go with the
construction documents and describe materials as well as installation methods. They describe
the project to be constructed, supplementing drawings and forming part of the contract, and
describe qualities of materials, their methods of manufacture and their installation, and
workmanship and mode of construction.

10) Distinguish between authority and Responsibility.

Comparison Chart

BASIS FOR
AUTHORITY RESPONSIBILITY
COMPARISON

Meaning Authority refers to the power Responsibility denotes duty or

or right, attached to a particular obligation to undertake or accomplish
job or designation, to give a task successfully, assigned by the
orders, enforce rules, make senior or established by one's own
decisions and exact commitment or circumstances.
compliance.

What is it? Legal right to issue orders. Corollary of authority.

Results from Formal positon in an Superior-subordinate relationship

organization

Task of manager Delegation of authority Assumption of responsibility

Requires Ability to give orders. Ability to follow orders.

Flow Downward Upward

Objective To make decisions and To execute duties, assigned by

implement it. superior.

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 BASIS FOR
AUTHORITY RESPONSIBILITY
COMPARISON

Duration Continues for long period. Ends, as soon as the task is

accomplished.

11) What are the lines of authority on construction projects?

LINES OF AUTHORITY ON CONSTRUCTION PROJECTS

Almost all construction projects involve organizations. The participants—owner, contractor,

subcontractors, and suppliers—are not individuals. They are corporations, partnerships,or
other forms of business associations. Organizational decision making can be ponderous. Yet
decisions and approvals are required on a daily basis during

the performance of a construction contract. It is obvious that each organization must

establish lines of authority by designating the individuals who are authorized to make
necessary decisions (see “The One-to-One Concept” in Chapter 1). If this is done in a
careful, thoughtful manner, the project will benefit.If it is done in a haphazard manner,the
likelihood of misunderstandings and disputes will increase.

• Agency Relationship
• Actual Authority
• Apparent Authority
• Delegation of Authority
• Limited Authority

or

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12) What are the types of risk involved in construction projects?

In order to identify and manage risks, you need to know the types of risks inherent in
construction projects. These can be financial, contractual, operational and environmental and
can be caused by both internal and external sources.

Common risks include:

Safety hazards that lead to worker accidents and injuries

Managing change orders

Incomplete drawings and poorly defined scope

Unknown site conditions

Poorly written contracts

Unexpected increases in material costs

Labor shortages

Damage or theft to equipment and tools

Natural disasters

Issues with subcontractors and suppliers

Availability of building materials

Poor project management

13) What is Sensitivity analysis?

Sensitivity analysis is one such method. It is implemented to analyze the various risks to the
project by looking at all aspects of the project and their potential impact on the overall goal.
Knowing the level of impact various elements have on a project can assist management with
setting priorities to more quickly achieve the end result.

Or

What Is Sensitivity Analysis?

A sensitivity analysis determines how different values of an independent variable affect a
particular dependent variable under a given set of assumptions. In other words, sensitivity
analyses study how various sources of uncertainty in a mathematical model contribute to the
model's overall uncertainty. This technique is used within specific boundaries that depend on
one or more input variables.

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14) What type of organization structure is best suited for fast –track construction?

Matrix organization structure because it consists of A professional construction management

team of professionally efficient construction managers and individuals. These professional
construction management team carry out the planning, designing and construction of projects
in an integrated manner.

Or

Professional construction manager under direct contract with the owner as the owner’s
representative

PART -B

1.a) What is organization structure? Explain various types of organization structure.

An organizational structure defines how activities such as task allocation, coordination, and
supervision are directed toward the achievement of organizational aims. Organizational
structure affects organizational action and provides the foundation on which standard
operating procedures and routines rest.

Or

Organization structure

Organization structure is a systematic arrangement of people working for the organization in

order to achieve certain goals

It is a frame work of authority relationships among individuals and groups in an organization

DIFFERENT TYPES OF ORGANISATIONAL STRUCTURES ARE

1.Functional Organization Structure

2.ProjectizedOrganization Structure

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3.Matrix Organization Structure : Matrix organization structure is classified into three types
of matrix

* Strong Matrix

* Balance Matrix And

* Weak Matrix

PROJECTIZED ORGANISATION STRUCTURE

*This is organization structure in which the project manager has full authority to assign
priorities.

* some of the authorities are

1. apply resources

2. direct the work of the persons assigned to the project

Advantages of projectized organization structure

•It is clear line of authority

•It has strong communication with single reporting system

•Flexibility in trading of and fast decision making

Disadvantages of projectized organization structure

•Authority and power can make project manager arrogant

• The work environment can be stressful because there is always a deadline

•If the elongation of the project increases cost of the employees and equipment can go higher

FUNCTIONAL ORGANISATION STRUCTURE

* functional organization is a hierarchical organization structure where in people are grouped

based upon the specialization.

* This helps the organization control the quality and uniformity of performance

*This various departments are sometimes referred to as 'silos'.

*In this structure we should report to functional manager

*Functional manager is superior in this organization

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Advantages of functional organisation structure

•It is a stable organization structure

• Employee have career growth path with separation of functions

•Employee have one superior with a clear chain of command

Disadvantages of functional organization structure

•project manager has little to no formal authority

• multiple project complete for limited resources and priority

• project team members will likely remain loyal to their functional manage

MATRIX ORGANISATION STRUCTURE

➢ it is a company structure in which the reporting relationship are set up as Creed on matrix
rather than traditional hierarchy
➢ In this we have dual reporting system vote to function and project manager

Matrix organization is further classified as

• Weak Matrix
• Balanced Matrix
• Strong Matrix

1. Weak matrix :-in weak matrix project manager is having very low athority 25% work
informed and the functional manager is having the authority over here.

2. Balanced matrix :- in this project manager and functional manager have balanced
authority 60% work authority.

`3. Strong matrix :- full authority is given to the project manager ( i.e) 90% information
given to project manager.

*functional manager does not have any authority

Advantages of matrix organization structure

• it has high visibility project objectives

• Improves project management control over resources

• More support from functional area

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Disadvantages of matrix organization structure

• Requires extra administration

• Requires more than one boss for project teams

• More complex to monitor and control

Or

What is Organizational Structure?

Organizational structure refers to the way a company or organization is setup. It is

usually defined using a hierarchy chart that shows how groups or functions report within
the organization.

For Project Managers, a company's organizational structure type will affect how
resources are allocated to the project and will be a factor in how much influence the
Project Manager will have within the organization.

Organizational Structure Types

There are three basic types of organizational structures...

• Functional Organizational Structure
• Project-Based Organizational Structure
• Matrix Organizational Structure

FUNCTIONAL ORGANIZATIONAL STRUCTURE

Functional organizations are structured around the organization's primary functions.

Functional Organizational Structure

Examples of functions within a company are:

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 • Advertising
• Engineering
• Human Resources
• Manufacturing

In a functional organization, every employee is positioned within only one function and
has one manager they report to, the Functional Manager. The Functional Manager assigns
and manages the employees work and handles administrative tasks such as employee
compensation.

PROJECT-BASED ORGANIZATIONAL STRUCTURE

Project-based organizations are structured around projects and not functions. This type of
structure is also called a projectized organizational structure.

Project-Based Organizational Structure

In a project-based organization most of the organization's resources are involved in project

work. Project Managers have high levels of independence and authority for the project and
control the project resources.

MATRIX ORGANIZATIONAL STRUCTURE

Matrix organizations blend features of project-based and functional organizational
structures.

The key challenge with a matrix organization is that every employee has two (or more)
managers they report to, their Functional Manager and the Project Manager. If they are
working on multiple projects, they may have even more managers to report to.
There are three types of matrix organizations:
• Weak Matrix

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 • Balanced Matrix
• Strong Matrix

WEAK MATRIX

Weak Matrix Organizational Structure

A weak matrix organizational structure maintains many of the features of the functional
organizational structure. The role of the Project Manager is more that of a Project
Coordinator. Their ability to make or enforce decisions is low and most of the authority
remains with the Functional Manager.

BALANCED MATRIX

Balanced Matrix Organizational Structure

A balanced matrix organizational structure recognizes the need for a Project Manager.
However, the Project Manager does not have full authority over the project, project staff
or project budget.

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STRONG MATRIX

Strong Matrix Organizational Structure

A strong matrix organizational structure has many of the features of the projectized
organizational structure. They have full-time Project Managers and project administrative
staff. Project Managers have considerable authority over the project in this organzational
structure.
1b) Describe about design built contract.
DESIGN-BUILD CONTRACT

• This is a form of contract in which the contractor takes up the responsibility for both design
and construction, based on basic plans drawn up by the client.

• In other words, design and construction are handled within a single organizational
structure, and a perennial conflict between the designer and the contractor is avoided.

• This also facilitates application of uniform standards. In most cases, a costplus-fee contract
or a lump-sum contract that includes both design and construction costs may be adopted.

• Contracts of this form are often adopted when the client has no in-house design and
engineering departments, and when subcontracting (or outsourcing) only the design to a
separate agency is considered inappropriate.

• Obviously, the contracting agency in such cases should have expertise in both design and
construction. In very large projects, however, separate companies specializing in design and
construction can always form a joint venture and bid for such a project, with appropriate
financial and legal arrangements.

Or

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DESIGN BUILT CONTRACT

Agreement with one single administrative entity ,the prime contractor ,who provides the
design and construction under one contract. The construction portion of the work may be
done under a lump sum ,cost plus, or guaranteed maximum contract

Or

Design and build contract is contract where contractor is responsible for design as well as
construction of the project. Client is only interested in the output of the project, and full
responsibility of delivering such type of contracts lies with the contractor. these type of contracts are
useful to a promoter who wishes to delegate the whole process of design and construction, or for
whom gaining the output of a project is of more importance than the details of design. They also suit
promoters who would not expect to be involved in construction work, such as health or education
authorities.

Design and build contracts can offer a price advantage because the contractor can reduce his costs
by using easy-to-construct, standard, or previously used designs which suit his usual methods of
construction and existing plant.

Disadvantage of design and build contracts is that client lose control over the designs for which they
are paying and may thus not get works wholly to their liking. Such contracts should only be used
where there is little risk of the promoter’s requirements changing during construction.

Since the contractor is taking on more risks including those of design and buildability, prices will
usually be higher than for a measurement contract. Any attempt to achieve a short completion time
for a project by use of such conditions may also lead to increased prices and possible overruns of
time, as not all of the processes of design and construction can overlap.

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2.a) Define staff responsibilities and explain RRM (Roles and responsibilities matrix)
with example of construction activities.

Defining Staff Responsibilities

Responsibilities determine a suite of duties or obligations an individual needs to perform to
satisfactorily complete an assigned job or task, while acting within the scope and content of
the related role.
When a team member gets appointed to a role on the project, he or she is given a certain
responsibility and also authorized to take action or make decisions that are not denied by the
assigned role. Basically, project staff responsibilities specify respective roles and authorities.
Responsibilities vary from project to project. Meanwhile, there are several common groups
of responsibilities that are common to most projects and that represent the steps and stages of
the project management process, as follows:
➢ Conceptualizing: the basic duties and assignments for creating, justifying and
approving project concept, defining the scope of work (incl. the baseline constraints of
time, budget, quality), and initiating the work.
➢ Planning: a series of roles and associated responsibilities intended for developing
effective plans (incl. staffing plan template) and determining the best possible course
of action for the project.
➢ Implementing: the duties for implementing the general project plan and doing all
tasks and activities relating to the execution process.
➢ Controlling: a range of responsibilities targeted to progress oversight, team
coordination, goal tracking, status reporting, deliverables quality assurance, change
control, and the like.
➢ Terminating: closing out each incomplete activity and related artifacts when the
project objectives are completed and the deliverables are handed over to the customer.
RRM – Roles and Responsibilities Matrix
After all roles and related duties are identified and defined, it is a best practice to combine
this information into a single document that can be shared among all personnel concerned.
Particularly, a roles and responsibilities matrix (RRM) can be created to point out which
activity categories the participants will be assigned to, how they can interact with each other
within the scope of their roles and authorities, and what duties they’re expected to carry out
throughout the project lifecycle. Note that RRM says nothing about exact employee
assignments but only represents a legend of project staffing needs. A simple example of
RRM designed in MS Excel is given below.

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2.b) Explain the familiarization of construction project by the use of construction
document.

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Page | 21
3.a) Write down in detail the role of insurance in construction risk management.

Construction insurance

Construction insurance encompasses all contracts of indemnity within the activities of the
construction industry where insurance is chosen as the medium through which liabilities are
shifted. It involves not only many branches of insurance but also many disciplines and
professions.Thus, an insurer is expected, when dealing with construction insurance, to
understand the intricate and complex problems of building, construction, engineering, and
mathematics in the form of quality measurements, probability and statistical calculations,
economics, law and all aspects of insurance. He is also required to contrive means of providing
cover against the perils of construction in an effective and efficient manner while at the same
time achieving a profitable transaction. This is expected despite ‘unsound competition
characterised by inadequate knowledge’ of the hazards and risks involved.

A design professional is expected to enter into the controversial lush pastures of hazards and
risks, identify the acceptable and advise on what to do with the unacceptable. Dealing with
risks, whilst essential to all, is nevertheless of special importance to the design professional in
view of his function of designing safe and serviceable projects with the minimum of risk.

A lawyer is expected to know more than law and to properly understand the complex problems
surrounding construction. Furthermore, it is expected that all parties involved in construction
insurance should act in unison to provide correct allocation of risks and responsibilities, which
must be reflected in the contractual agreements. These agreements must also encompass the
allocation of liabilities and how they are to be dealt with, if they arise. The provision of
indemnity must be considered and, if required, the shift towards insurance should be carried
out with the minimum of gaps and overlaps.10

The concept of construction insurance stems from four inherent characteristics of the
construction contract which are peculiar to it and distinguish it from other types of contract.

These are as follows:

1. Construction contracts include the traditional requirement imposed on the contractor

to complete the works, in all but few specified circumstances, whatever the difficulties

and cost. This requirement is usually stipulated in the relevant conditions of contract.

2. Vast sums are normally associated with many construction projects. In recent years,

the size and cost of construction contracts have escalated to such an extent that few, if any,

employers, owners or financiers can absorb the financial implications of failure.

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3. An artefact of civil engineering and, to a lesser extent, of building construction is a unique
object, which cannot be displayed to the buyer prior to purchase. Construction projects are,
therefore, different from manufactured products and other consumer articles, see page 190.

4 . As explained in Chapters 3 and 4 above, there is a complex matrix of hazards and risks that
could lead to personal injury and/or physical damage during the construction period and
beyond. Difficulties generally arise in construction projects due to their inherent
characteristics. However, when hazards eventuate and risks materialise through events that
could result in costly losses, which must be absorbed by the contractor while carrying out his
legal obligation to complete the works. These difficulties could and sometimes do cripple the
contractor financially and lead to disruption of the construction programme and, in extreme
cases, to his insolvency. This also applies to the owner and the design team, but probably to a
lesser extent, although equally detrimental.

Or

➢ Construction insurance is a practice of exchanging a contingent claim for fixed

payment to protect the interests of parties involved in the construction project.
➢ Construction insurance is a major method of managing risks in the construction
industry.
➢ Its primary function is to transfer certain risks from clients, contractors, sub-
contractors and other parties involved in the construction project to insurers to provide
contingent funding in time of difficulty.
➢ Construction insurance an increasingly important role in guaranteeing the success of
projects, with insurers.
➢ In construction industry, insurance is one of the most important ways of tackle risk.
➢ In fact, insurance is considered as a synonym for risk management in the industry.
➢ The majority of construction companies rely on insurance policies for different risk
scenarios. They purchase a number of insurance policies depending on the project and
contractual requirement.
➢ While selecting a given type of policy, a company considers the servity of potential
risk, the probability of occurance of the risk, and the available risk mitigation
measures it has under its disposal.

3.b) Elaborate the difference between qualitative and quantitative risk analysis.

Qualitative Risk Analysis

A qualitative risk analysis prioritizes the identified project risks using a pre-defined
rating scale. Risks will be scored based on their probability or likelihood of occurring
and the impact on project objectives should they occur.
Probability/likelihood is commonly ranked on a zero to one scale (for example, .3
equating to a 30% probability of the risk event occurring).

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The impact scale is organizationally defined (for example, a one to five scale, with five being
the highest impact on project objectives - such as budget, schedule, or quality).
A qualitative risk analysis will also include the appropriate categorization of the risks,
either source-based or effect-based.

Quantitative Risk Analysis

A quantitative risk analysis is a further analysis of the highest priority risks during a
which a numerical or quantitative rating is assigned in order to develop a probabilistic
analysis of the project.

A quantitative analysis:

• Quantifies the possible outcomes for the project and assesses the
probability of achieving specific project objectives
• Provides a quantitative approach to making decisions when there is uncertainty
• Creates realistic and achievable cost, schedule or scope targets

In order to conduct a quantitative risk analysis, you will need high-quality data, a well-
developed project model, and a prioritized lists of project risks (usually from
performing a qualitative risk analysis)

Difference Between Qualitative and Quantitative Analysis

Qualitative Risk Analysis Quantitative Risk Analysis

Typically Risks prioritized through

performed Qualitative analysis
All project risks
on

Typical
evaluation
Individual project risks Overall project objectives
of

Does not matter. Usually Usually performed in large and

performed in every complex projects.
Project size
project.

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 Calculation and measurement of impact
on project objectives (usually time and
Subjective judgement
cost objectives)
of probability and
How?
impact

Effort
involved
Quick and easy Time consuming and cost intensive
?

Expert judgment, PI EMV analysis, Decision tree

analysis, urgency analysis, Monte Carlo simulation
Techniques
analysis

Main tools none Special tools and knowledge is required

4.a) Discuss the importance of construction specification institute (CSI) specifications

format.

CSI SPECIFICATIONS FORMAT—ITS MEANING AND IMPORTANCE:

Briefly mentioned in earlier paragraphs was the fact that the technical portions of the
specifications were generally structured in whatever manner suited the architect r engineer
who prepared them. In the past years, this problem was even worse, and a contractor would
indeed have to be versatile to be required to work from one type of contract documents on one
job and at the same time be constructing another similar project nearby, from another set of
documents that bore no resemblance to the first. In recent years, an organization called the
Construction Specifications Institute (CSI) tackled the task of attempting to inject some degree
of uniformity and standardization into the general arrangement and method of writing
construction specifications. To this end it has been enormously successful. It has provided an
organizational structure for prescriptive and performance-based specifications, product
information, technical data, and cost data. It created order where none existed before by setting
forth a list of standardized “divisions” that are supposed to work for everything, and with a
little imagination can indeed be adapted to most construction projects.
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Original CSI 16-Division Format:

The Original CSI 16-Division Format was adopted by the AGC, the AIA, the NSPE, and others
in the United States and Canada in the form of a document titled Uniform System for Building
Specifications. Of heavy engineering projects. Nevertheless, it is widely used both for building
and some engineering work. This system was officially adopted for all construction work by
the U.S. Army, Corps of Engineers (USACE); the U.S. Navy Facilities Engineering Command
(NAVFAC); NASA; the state of New York for public works projects; and by numerous other
public and private agencies; however, it was not adopted nor endorsed by the ASCE for heavy
construction projects.

The latest version of the 16-Division Format was the 1995 edition. Eventually, all the
manufacturers followed suit, and now most, if not all, building materials are identified with
the CSI classification number for filing purposes, whichcorresponds to the CSI division
number under which each such product is intended to be grouped. Thus, most of the time, if
you pick up a specification, it will be under CSI Format, and even without a table of contents,
you should be able to find the section you are searching for. As an example, you should
automatically turn to Division 03 if you are looking for concrete, or Division 09 if you are
looking for finishes (Figure 6.2). Note that under the CSI Format, whenever a job does not use
a certain division, it is simply skipped, but the numbers of the remaining divisions never
change.

CSI Three-Part Technical Section Format:

One of the most valuable contributions of the CSI to the work of the contractor and the
inspector is the adoption of the three-part technical section format (Figure 6.4). It is a time-
honored concept first observed by the author on the published specifications standards for a
Federal Aid Road Act project dated in 1917. Under this arrangement each technical section is
divided into three parts, each containing one type of information only. With this system, fewer
items are overlooked simply because the specifications for a particular product were
sandwiched between some unlikely paragraphs dealing with the installation of some totally
unrelated item—which just happened to be located there because some architect or engineer
happened to think of it while writing that portion of the section. In the three-part technical
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 section format, all technical sections of the specification are divided into three distinct parts,
always in the same order:

(1) general

(2) products,

(3) execution.

If followed faithfully, as most users of the system will do, it makes the reading of the
specifications a simple, orderly process and eliminates many an error due to

4. b) Write down in detail role of Engineer and architect in drawing and specification of
construction project.

5.a) Explain constructability analysis in detail.

CONSTRUCTABILITY ANALYSIS
The constructability of a project can be characterized by a number of factors:
• Can the goals of the client be realized within the available budget?
• Can the goals be realized within the specified time frames?
• Can political and/or financial impacts be overcome?
• Will this team be able to provide the appropriate services, resources, expertise and
commitment make the project feasible and successful?
Along with our Value Engineering studies, we will also coordinate with the design team
and Owner and provide analysis of alternate building elements. Our experience in a
multitude of building types, and working diligently with the project design team, enables us
to provide an accurate assessment to the Owner during the decision process.
Some systems will be quickly eliminated on these judgment criteria. Those which the
review team believes have some merit will be analyzed in depth and recommendations will
be made regarding ultimate incorporation in the building.

5.b) Describe the bidding process involved in construction projects.

The bidding process is used to select a vendor for subcontracting a project, or for purchasing
products and services that are required for a project. Bid records contain the specifications of
the project or details of the products and services to be purchased.

A typical bidding process consists of the following stages:

1. The project manager or contract/purchasing manager creates a bid that describes the
specifications and estimated cost of the project.
2. The manager issues the bid.
3. (Optional) The reviewers approve the bid.
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4. The manager sends the bid to a group of vendors for response.
5. The vendors analyze the bid and calculate the cost at which they can complete the project.
Each vendor responds to the bid with details about the products and services that are needed
and the overall cost.
6. The manager manages and analyzes the bid responses.
7. The manager awards the bid to the vendor that best meets the requirements of the project.
8. A standard contract is automatically created by using the bid details and response
information.
During the process, the manager or vendor can request clarification about the bid.

Or

Basic Construction Bidding Procedure

Government jobs are highly regulated, but bidding and procurement for private projects will
be less formal, and owners have broad discretion to use whatever procedure best suits them.
Still, most bidding procedures follow the same basic format…

Bid Solicitation

This is when the owner sends out an Invitation For Bid (IFB) or a Request for Proposals
(RFP). Unlike public projects, these aren’t usually large, open invitations. Rather, they’re sent
to a smaller group of contractors. This phase will lay out all the specifications, requirements,
contract type, and delivery method.

Generally, the contract will most likely be awarded based heavily on the bid price. Still, the
bid solicitation phase of the procurement process will require other information beyond the
price – like a request for qualifications (RFQs) asking for more information on the prospective
contractor’s company history.

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Bid Submission

A bid submission should include all of the bidder’s relevant business information. This will
be a list of the contractor’s past projects, plans for management, and their track record of
staying on schedule and under budget. When calculating a bid, it should be as accurate as
possible.

The estimate, based off of blueprints and the bill of quantities, should include all costs. That
includes things like overhead, labor, materials, equipment, and of course, profit margin. To
win a bid, this number should represent the best quality at the most reasonable price.

The bid should be as clean and organized as possible. A bid sheet serves as the face of the
bidder’s company. Be sure it has a professional touch, and that it is submitted to the right
place at the right time.

Bid Selection

On government construction projects, rules are in place to make sure the government selects
the low bidder (or, one of the low bidders). Meaning, the lowest contract price wins out. The
reason behind this is to prevent any fraud, abuses, or favoritism. By mandating that the lowest
responsible bid be accepted, the idea is that price will be the ultimate equalizer.
On private projects, owners have much more leeway to pick a bid for reasons beyond price.
Don’t get us wrong – price is almost always among the determining factors when it comes to
bid selection. But, if two contractors have comparable bids, factors other than price might
matter a lot more than they do with public projects.

Contract Formation

When the owner selects which bid or proposal best suits their needs, the contract must still
be formed and signed. If your company wins the bid, this is an opportunity to negotiate. At
this point in the process, the type of contract has already been established, but there’s still an
opportunity to set out the final pricing and terms of the contract itself.
6.a) Explain the risk assessment.

Risk assessment is the identification of hazards that could negatively impact an organization's
ability to conduct business. These assessments help identify these inherent business risks and
provide measures, processes and controls to reduce the impact of these risks to business
operations.
Companies can use a risk assessment framework (RAF) to prioritize and share the details of
the assessment, including any risks to their information technology (IT) infrastructure. The
RAF helps an organization identify potential hazards and any business assets put at risk by
these hazards, as well as potential fallout if these risks come to fruition.
In large enterprises, the risk assessment process is usually conducted by the Chief Risk Officer
(CRO) or a Chief Risk Manager (CRM).
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Risk assessment steps
How a risk assessment is conducted varies widely depending on the risks unique to the type
of business, the industry that business is in and the compliance rules applied to that given
business or industry. However, there are five general steps that companies can follow
regardless of their business type or industry.
Step 1: Identify the hazards. The first step in a risk assessment is to identify any potential
hazards that, if they were to occur, would negatively influence the organization's ability to
conduct business. Potential hazards that could be considered or identified during risk
assessment include natural disasters, utility outages, cyberattacks and power failure.
Step 2: Determine what, or who, could be harmed. After the hazards are identified, the next
step is to determine which business assets would be negatively influenced if the risk came to
fruition. Business assets deemed at risk to these hazards can include critical infrastructure, IT
systems, business operations, company reputation and even employee safety.
Step 3: Evaluate the risks and develop control measures. A risk analysis can help identify how
hazards will impact business assets and the measures that can be put into place to minimize or
eliminate the effect of these hazards on business assets. Potential hazards include property
damage, business interruption, financial loss and legal penalties.
Step 4: Record the findings. The risk assessment findings should be recorded by the company
and filed as easily accessible, official documents. The records should include details on
potential hazards, their associated risks and plans to prevent the hazards.
Step 5: Review and update the risk assessment regularly. Potential hazards, risks and their
resulting controls can change rapidly in a modern business environment. It is important for
companies to update their risk assessments regularly to adapt to these changes.
Risk assessment tools, such as risk assessment templates, are available for different industries.
They might prove useful to companies developing their first risk assessments or updating older
assessments.
Quantitative vs. qualitative
Risk assessments can be quantitative or qualitative. In a quantitative risk assessment, the CRO
or CRM assigns numerical values to the probability an event will occur and the impact it would
have. These numerical values can then be used to calculate an event's risk factor, which, in
turn, can be mapped to a dollar amount.
Qualitative risk assessments, which are used more often, do not involve numerical
probabilities or predictions of loss. The goal of a qualitative approach is to simply rank which
risks pose the most danger.
The goal of risk assessments
Similar to risk assessment steps, the specific goals of risk assessments will likely vary based
on industry, business type and relevant compliance rules. An information security risk
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assessment, for example, should identify gaps in the organization's IT security architecture, as
well as review compliance with infosec-specific laws, mandates and regulations.
Some common goals and objectives for conducting risk assessments across industries and
business types include the following:
1. Developing a risk profile that provides a quantitative analysis of the types of threats the
organization faces.
2. Developing an accurate inventory of IT assets and data assets.
3. Justifying the cost of security countermeasures to mitigate risks and vulnerabilities.
4. Developing an accurate inventory of IT assets and data assets.
5. Identifying, prioritizing and documenting risks, threats and known vulnerabilities to the
organization's production infrastructure and assets.
6. Determining budgeting to remediate or mitigate the identified risks, threats and
vulnerabilities.
7. Understanding the return on investment, if funds are invested in infrastructure or other
business assets to offset potential risk.
The ultimate goal of the risk assessment process is to evaluate hazards and determine the
inherent risk created by those hazards. The assessment should not only identify hazards and
their potential effects, but should also identify potential control measures to offset any negative
impact on the organization's business processes or assets.
How to use a risk assessment matrix
A risk assessment matrix, as shown in the example above, is drawn as a grid with one axis
labeled "likelihood" and the other axis labeled "consequence." Each axis progresses from
"low" to "high." Each event is plotted on one line in terms of its low to high likelihood. On
the other line, the event is plotted on one line in terms of its low to high consequence. Where
they meet determines the plot point on the matrix.
Or

What is a risk assessment?

Risk assessment is a term used to describe the overall process or method where you:

• Identify hazards and risk factors that have the potential to cause harm (hazard
identification).

• Analyze and evaluate the risk associated with that hazard (risk analysis, and risk
evaluation).

• Determine appropriate ways to eliminate the hazard, or control the risk when the
hazard cannot be eliminated (risk control).

A risk assessment is a thorough look at your workplace to identify those things, situations,
processes, etc. that may cause harm, particularly to people. After identification is made, you
analyze and evaluate how likely and severe the risk is. When this determination is made, you
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can next, decide what measures should be in place to effectively eliminate or control the harm
from happening.

The CSA Standard Z1002 "Occupational health and safety - Hazard identification and
elimination and risk assessment and control" uses the following terms:

Risk assessment – the overall process of hazard identification, risk analysis, and risk
evaluation.

Hazard identification – the process of finding, listing, and characterizing hazards.

Risk analysis – a process for comprehending the nature of hazards and determining the level
of risk.
Notes:
(1) Risk analysis provides a basis for risk evaluation and decisions about risk control.
(2) Information can include current and historical data, theoretical analysis, informed opinions,
and the concerns of stakeholders.
(3) Risk analysis includes risk estimation.
Risk evaluation – the process of comparing an estimated risk against given risk criteria to
determine the significance of the risk.
Risk control – actions implementing risk evaluation decisions.
Note: Risk control can involve monitoring, re-evaluation, and compliance with decisions.

Why is risk assessment important?

Risk assessments are very important as they form an integral part of an occupational health
and safety management plan. They help to:

• Create awareness of hazards and risk.

• Identify who may be at risk (e.g., employees, cleaners, visitors, contractors, the
public, etc.).

• Determine whether a control program is required for a particular hazard.

• Determine if existing control measures are adequate or if more should be done.

• Prevent injuries or illnesses, especially when done at the design or planning stage.

• Prioritize hazards and control measures.

• Meet legal requirements where applicable.

Goal of risk assessment

The aim of the risk assessment process is to evaluate hazards, then remove that hazard or
minimize the level of its risk by adding control measures, as necessary. By doing so, you have
created a safer and healthier workplace.
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The goal is to try to answer the following questions:
a. What can happen and under what circumstances?

b. What are the possible consequences?

c. How likely are the possible consequences to occur?

d. Is the risk controlled effectively, or is further action required?

When should a risk assessment be done

There may be many reasons a risk assessment is needed, including:

• Before new processes or activities are introduced.

• Before changes are introduced to existing processes or activities, including when

products, machinery, tools, equipment change or new information concerning harm
becomes available.

• When hazards are identified.

How do you plan for a risk assessment

In general, determine:

• What the scope of your risk assessment will be (e.g., be specific about what you are
assessing such as the lifetime of the product, the physical area where the work
activity takes place, or the types of hazards).
• The resources needed (e.g., train a team of individuals to carry out the assessment,
the types of information sources, etc.).
• What type of risk analysis measures will be used (e.g., how exact the scale or
parameters need to be in order to provide the most relevant evaluation).

• Who are the stakeholders involved (e.g., manager, supervisors, workers, worker
representatives, suppliers, etc.).

• What relevant laws, regulations, codes, or standards may apply in your jurisdiction,
as well as organizational policies and procedures.

How is a risk assessment done

Assessments should be done by a competent person or team of individuals who have a good
working knowledge of the situation being studied. Include either on the team or as sources of
information, the supervisors and workers who work with the process under review as these
individuals are the most familiar with the operation.

In general, to do an assessment, you should:

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 • Identify hazards.
• Determine the likelihood of harm, such as an injury or illness occurring, and its
severity.

o Consider normal operational situations as well as non-standard events such as

maintenance, shutdowns, power outages, emergencies, extreme weather, etc.

o Review all available health and safety information about the hazard such as
Safety Data Sheet (SDS), manufacturers literature, information from reputable
organizations, results of testing, workplace inspection reports, records of
workplace incidents (accidents), including information about the type and
frequency of the occurrence, illnesses, injuries, near misses, etc.

o Understand the minimum legislated requirements for your jurisdiction.

• Identify actions necessary to eliminate the hazard, or control the risk using the
hierarchy of risk control methods.

• Evaluate to confirm if the hazard has been eliminated or if the risk is appropriately
controlled.

• Monitor to make sure the control continues to be effective.

• Keep any documents or records that may be necessary. Documentation may include
detailing the process used to assess the risk, outlining any evaluations, or detailing
how conclusions were made.
When doing an assessment, also take into account:

• The methods and procedures used in the processing, use, handling or storage of the
substance, etc.

• The actual and the potential exposure of workers (e.g., how many workers may be
exposed, what that exposure is/will be, and how often they will be exposed).
• The measures and procedures necessary to control such exposure by means of
engineering controls, work practices, and hygiene practices and facilities.

• The duration and frequency of the task (how long and how often a task is done).
• The location where the task is done.

• The machinery, tools, materials, etc. that are used in the operation and how they are
used (e.g., the physical state of a chemical, or lifting heavy loads for a distance).

• Any possible interactions with other activities in the area and if the task could affect
others (e.g., cleaners, visitors, etc.).

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 • The lifecycle of the product, process or service (e.g., design, construction, uses,
decommissioning).

• The education and training the workers have received.

• How a person would react in a particular situation (e.g., what would be the most
common reaction by a person if the machine failed or malfunctioned).

It is important to remember that the assessment must take into account not only the current
state of the workplace but any potential situations as well.
By determining the level of risk associated with the hazard, the employer, and the health and
safety committee (where appropriate), can decide whether a control program is required and
to what level.

How are the hazards identified

Overall, the goal is to find and record possible hazards that may be present in your workplace.
It may help to work as a team and include both people familiar with the work area, as well as
people who are not - this way you have both the experienced and fresh eye to conduct the
inspection. In either case, the person or team should be competent to carry out the assessment
and have good knowledge about the hazard being assessed, any situations that might likely
occur, and protective measures appropriate to that hazard or risk.

To be sure that all hazards are found:

• Look at all aspects of the work.

• Include non-routine activities such as maintenance, repair, or cleaning.

• Look at accident / incident / near-miss records.

• Include people who work off site either at home, on other job sites, drivers,
teleworkers, with clients, etc.

• Look at the way the work is organized or done (include experience of people doing
the work, systems being used, etc).

• Look at foreseeable unusual conditions (for example: possible impact on hazard

control procedures that may be unavailable in an emergency situation, power outage,
etc.).
• Determine whether a product, machine or equipment can be intentionally or
unintentionally changed (e.g., a safety guard that could be removed).

• Review all of the phases of the lifecycle.

• Examine risks to visitors or the public.

It may help to create a chart or table such as the following:

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Example of Risk Assessment

Task Hazard Risk Priority Control

Delivering product Drivers work alone May be unable to call for

to customers help if needed

Drivers have to occasionally Fatigue, short rest time

work long hours between shifts

Drivers are often in very Increased chance of

congested traffic collision

Longer working hours

Drivers have to lift boxes Injury to back from lifting,

when delivering product reaching, carrying, etc.

How do you know if the hazard will cause harm (poses a risk)

Each hazard should be studied to determine its' level of risk. To research the hazard, you can
look at:

• Product information / manufacturer documentation.

• Past experience (knowledge from workers, etc.).

• Legislated requirements and/or applicable standards.

• Industry codes of practice / best practices.

• Health and safety material about the hazard such as safety data sheets (SDSs),
research studies, or other manufacturer information.

• Information from reputable organizations.

• Results of testing (atmospheric or air sampling of workplace, biological swabs, etc.).
• The expertise of an occupational health and safety professional.

• Information about previous injuries, illnesses, near misses, incident reports, etc.
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 • Observation of the process or task.
Remember to include factors that contribute to the level of risk such as:

• The work environment (layout, condition, etc.).

• The systems of work being used.

• The range of foreseeable conditions.

• The way the source may cause harm (e.g., inhalation, ingestion, etc.).

• How often and how much a person will be exposed.

• The interaction, capability, skill, experience of workers who do the work.

6.b) Give detailed description on building bye laws

What are building bye laws?

According to the definition, building bye laws are the norms set forth by the government
authorities such as Ministry of Urban Development Affairs (MUDA), City Corporation and
Developing Authorities, for instance, Bangalore Development Authority (BDA) in
Bangalore. These norms are legal tools that regulate architectural and construction aspects of
buildings to achieve orderly development in an area. They are crucial to protect buildings
against fire, earthquake and structural failures. The development authority does not approve
a building plan which fails to adhere to the bye laws.

Do building bye laws differ from city to city?

However, these bye laws may differ from one property to other. For instance rules set for
construction of a commercial property may differ with the bye laws essential for the
development of a residential or an educational building.

Also, building bye laws vary from one region to other. For example, a construction norm
applicable in a rural area may not be followed in urban realms.

Purpose of building bye laws

• Ensure uniform development of buildings in a society, town and prevent

haphazard development

• Affirm public safety against noise, fire, health hazards and structural failures

• Ensure optimum utilisation of space

• Follow approaches which safeguard complete health, safety and comfort of residents such
as proper ventilation, air, light and other essentials

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Building bye laws include norms related to the following:

• Floor Area Ratio (FAR) and ground coverage

• Density

• Basement and parking spaces

• Setbacks and projections

• Area and its usage

• Building height and other service spaces

• Provision for lifts and basement area

• Site design and service design –sewerage, electrical design, water etc.

• Building line

• Amalgamation

Holistically, building bye laws are a set of rules that define the construction limits of a
structure within a province/city/state. For those desirous to get a property constructed or
those who belong to the construction industry, it is important to delve into the building bye
laws prevalent in the area of construction. Any deviation from the set rules might result in
the property to be deemed illegal in the future.

7.a) Discuss the implementation of ISO:9000:2000 quality system in construction

projects.

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7. b) Explain the one-to-one concept in construction administration.

The One-to-One Concept

The one-to-one concept, is a vital administrative procedure that can eliminate much conflict,
reduce exposure to claims-producing problems, and result in greater efficiency for all parties

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to the contract. Under this concept, the owner, architect/engineer, or Construction Manager
designates a single individual, preferably located at the project site, to be the sole
spokesperson representing the owner’s interests. This person should be the Resident Project
Representative, sometimes simply referred to as the “Project Representative.” Under this
arrangement, all orders issued to the contractor must be issued through the Resident Project
Representative, and no one in either the owner’s or the architect/engineer’s or construction
manager’s office should be permitted to make any commitments to or issue orders or
instructions directly to the contractor or any of its subcontractors, except by communicating
such orders to the Resident Project Representative for issuing to the contractor. Failure to
follow this procedure may place the owner and the contractor in a difficult contractual
position. Under the contract law principle of implied authority, it is generally held that the
contractor may receive orders from any individual whom it has reason to believe has the
authority to issue such orders on behalf of the owner. Thus, the project manager, department
heads, vice presidents, city or county engineers, or other persons of authority might
otherwise visit the site and make statements that result in the creation of constructive
changes and not only bind the owner, but also lay the foundation for a contractor claim. Such
“diagonal” communication must be avoided at all costs. One situation where the author
visited a construction site with a principal of an engineering firm was a classic example of
what not to do. Upon arrival at the site, the principal went to the field office to confer with
the Resident Project Representative. Then the principal toured the project site (one of his
monthly site visits) with the Resident Project Representative and the contractor’s
representative. Up to this point, everything was done “by the book” . However, from this
point on, the principal’s actions became a classic example of what not to do. The principal
listened to the contractor’s side of the difficulties experienced during the previous month,
including failure to achieve certain high standards of quality and workmanship in certain
areas. The principal listened, then unbelievably made commitments to the contractor by
accepting such nonconforming work without ever talking it over with the Resident Project
Representative. In short, he gave away the store! To complicate matters further, the
principal’s actions totally stripped the Resident Project Representative of his authority and
ability to deal effectively with the contractor, as after that the contractor realized that all that
would be necessary to avoid unpopular decisions made in the field would be to do an end run
around the Resident Project Representative and go directly to the principal to obtain
concessions. Thus the principal’s workload is increased, the effectiveness of the on-site
inspection forces is diminished, and the risk of claims is greatly increased. What should have
been done would be for the principal to listen to the contractor’s comments about the project
without offering comment at that time, then go back to the field office with the Resident
Project Representative and, behind closed doors, discuss the events and issue orders to the
Resident Project Representative as to the acceptability or non -acceptability of the
contractor’s work. This would have placed the Resident Project Representative in a position
of receiving backing from the home office, and the contractor would have realized that in the
end, all orders will be received only from the Resident Project Representative. The principal
is still the only person with the authority to make the final determination but is advised to

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issue those orders only through the Resident Project Representative to preserve the one-to-
one relationship. One of the greatest difficulties, where a project is being administered by an
architect or engineer on behalf of an owner, is to keep the owner from violating this vital
management concept.

As a part of the one-to-one concept, the contractor, too, must organize so that a single
management person located at the project site is designated as the contractor’s sole agent.
This is best set up as a provision of the specifications. Then, it should be arranged during the
preconstruction conference that the contractor’s agent should be designated in writing, and
that no substitutions are permitted under the contract without the written authority of the
corporate office. The designated person should be capable of speaking officially for the
contractor, although it is certainly acceptable to use an on-site superintendent or project
manager as the agent of the contractor, just as the engineer or architect uses his or her
Resident Project Representative. The military has a word for this. It is called “chain-of-
command.”

8. a) Explain factor analysis to address project staffing needs.

Factor Analysis to Address Project Staffing Needs

The way to evaluate employee skills and select people who have right knowledge and talents
for a project is through conducting a factor analysis. According to such an analysis, for each
candidate to a project role a compliance profile needs to be created in which the candidate’s
skills and knowledge are ranked against a group of requirements (or factors) that best
represent the staffing needs. Then, using the ranks in the candidate’s profile the evaluator can
build a spider chart that visualizes the skills level against the baseline factor grade. After all
candidates are evaluated, the evaluator needs to compare their spider charts and select those
individuals that have demonstrated grades closest to the baseline.

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Note that because each particular project is unique and built around specific staffing plan
requirements, this project will represent a specific baseline factor level which differs from
other projects. The baseline factor level should be defined and described by experts at the
beginning of the skills evaluation process.
8. b) Explain the roles and responsibility of construction manager and owner

ROLE OF CONSTRUCTION MANAGER :

1. Project Management Planning: This involves planning the entire project and
documenting all the jobs that must be completed. It helps allow for budgeting and access
to materials that are required
2. Cost Management: The expenses of each project must be efficiently managed throughout
the process to ensure for adjustments for unexpected issues or difficulties
3. Quality Management: A construction manager must make sure that the contractors
employed for the project are completing it to a high-quality standard. Monitoring the
process, costs and quality is all highly critical

4. Contract Administration: Extensive contracts with the client are all part of the project
construction process. The contract provisions must be being met to ensure that all parties
involved are satisfied

5. Safety Management: As a construction site can be a dangerous place with many safety
hazards, the building manager must ensure that correct processes are in place to make sure
there are no accidents. The construction manager needs to ensure that the work meets all
the legal requirements and Building Regulations

Duties and Responsibilities – Owner

The person “in charge” of the overall project is usually termed the “Owner” and is often the
only nonprofessional in the entire project. It is critical for each Owner, until he or she has built
numerous projects, to understand that they are operating under a significant handicap. Not only
must they contend with professionals who do these types of projects for a living, but the
various builders and suppliers have finite tasks while the Owner must assume financial
responsibility for the success of the entire project.

1. Providing financing for the project.

2. Providing site surveys.

3. Securing and paying for easements.

4. Warranting the plans and specifications.

5. Warranting owner furnished materials.

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6. Disclosing superior knowledge.
7. Acting on clarifications and changes.

8. Interpreting the documents.

9. Cooperating with the contractor.

10. Selecting all professionals on the project.

11. Interacting with various governmental bodies.

12. Interacting with real estate professionals to sell the finished project.
13. Interacting with title companies to facilitate the sales.

9.a)What is risk management ?Explain the risk assessment process in construction

industry.

Risk management in construction industry is an important part of the project planning and
management. Various risks associated with construction projects such as financial risks,
environmental risks, socio-economic and construction related risks are studied and dealt in
risk management.

The volatility and capriciousness of the environment in the construction industry was never
hidden from anyone. It’s easily influenced by external factors (technical, design, logistics,
physical, operating, environmental, socio-political, force majeure et cetera) which are
capable of not only derailing projects but can also create an irreparable aberration.

Risk management, therefore, becomes a pivotal instrument that helps us deal with the culling
out of various risks, their analyses, and the remedial steps that could be taken to avert them
in a particular project.

A Risk Assessment is a systematic method for controlling risk. Risk Assessments identify
and evaluate hazards and take measures to control risks arising from those hazards .

Risk Assessment process

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 The Risk Assessment process will vary between organisations, but it should start with
identification of hazards, analysis of who and what might be harmed, evaluation of the risk,
documentation of the risks, taking action and review.

Risk assessment step Example risk

1. Identify the hazard Deep drainage excavation in bad ground

2. Identify who or what might be harmed Pipelayers in trench

3. Assess the risks arising from the

hazard initial risk assessment
High risk of collapse
4. Determine the control measures
required Use steel trench drag box

5. Assess the remaining risks arising from

the hazard
Risk of crushing from excavator bucket. Risk of
6. Record the findings of the risk falling debris.
assessment
Complete risk assessment sheet.

7. Make contingency plans for the

Develop safety method statement from risk
residual risks
assessment. Supervisor to give task talk. Permit to
work required. Banksman work with excavator to
reduce risk.

8. Review and revision

Review site activities and adjust risk assessment
where needed. Hold additional task talks if method
statement changes.

9. b) Illustrate the role of expected value in decision- making under risk.

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10.a) Describe the function of special provision or supplemental specification as used in
a DOT project as opposed to the CSI format.

Special Provisions or Supplemental Specifications

The Special Provisions or Supplemental Specifications concept is based upon the idea that a
previously published book of Standard Specifications is the actual detailed specification for
all applicable work on the project, and that the Special Provisions or Supplemental
Specifications are merely a supplemental document to provide for those items on a particular
project that the design engineer wanted changed from the provisions of the Standard
Specifications, or where he or she made a specific selection of options provided in the
Standard Specifications (Figure 6.8).Thus, for example, although it has already been
established that the entire concrete section of the Standard Specifications will control the
project (insofar as it is applicable, of course),the reference in the Special Provisions or
Supplemental Specifications that “portland cement shall be Type II cement as specified in
Section 90 of the Standard Specifications” merely controls the choice of option as to the type
of cement required for the work. The total provisions of the rest of “Section 90” still apply to
the concrete work. The exact specification phrase used in the project specifications can have
a vastly different meaning when used in a Special Provisions or Supplemental Specifications
document.

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10.b) Discuss conflicts due to drawing and specification in construction projects.

The plans, specifications, shop drawings and other contract documents are intended to
completely describe the work. Conflicts among them easily can, and do, arise. Many
specification writers attempt to resolve these in advance by declaring an order of precedence
among them. Typically, this may read something like this: "If there is a conflict between
contract documents, the document highest in precedence shall control. The precedence shall
be: first, permits from other agencies as may be required by law, second , Special Provisions,
third, Plans, fourth……Sixth, reference specifications."

Recently the trend has been away from such specific requirements for one simple
reason. We do not know, before they are revealed, what problems will arise. Declaring a
specific order presumes we know how best to solve a problem, before we know what the
problem is! Consider using a different approach. The following has been found to work well
on many contracts and is suggested. "If a conflict, error, omission, or lack of detailed
description is discovered in the contract documents, the Contractor shall immediately notify
the Engineer (Architect) and request clarification. The Engineer (Architect) will resolve the
conflict and make any corrections or interpretations necessary to fulfill the intent of the plans
and specifications."

Or
CONFLICTS DUE TO DRAWINGS AND SPECIFICATIONS:

It should be brought out here that neglecting the specifications can lead to serious problems.
In case something is shown or noted one way on the drawings and described differently in the
specifications, which will govern? The answer to that question is easy. The specifications will
normally take precedence unless it says in the specifications that the plans will govern. Thus,
it is still the specifications that set the controlling criteria. Normally, it is easy to determine the

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relative importance of one document over another, as most specifications specify the relative
order of importance of the different parts of the contract documents in the General Conditions
of the construction contract. However, it should be of interest that in the absence of such a
specific provision, the courts have repeatedly held that the provisions of the specifications will
take precedence over the drawings incise of a conflict between the two

Therefore, if the specifications are the most important single document, the inspector can
hardly perform in a competent manner without being thoroughly familiar with both the
specifications and the construction drawings.

11. a)Describe the pre-construction process

Here’s a basic breakdown of pre-construction phase activities.

Secure a Project Manager
Typically the start of a construction project occurs when a project owner has an idea for a
project and begins to work with a project manager. During an initial introduction, the project
management team will take time to assess whether a potential project is realistic and feasible.
If the project manager determines the project is feasible then the project can truly begin.
Strategic Plan Development
Once a project manager and owner have agreed to pursue a project together, the first thing the
project management team will do is create a strategic development plan for the project. This
will include the budget for the project and the estimated timeline for completion. While this
information is important, the strategic plan for the project will also serve as a guide for
other construction team members during the remainder of the project. In many ways, the
strategic plan developed at the outset of a project serves as an ongoing reference point for each
member of the team to refer back to if needed.
Design
Putting an idea on paper is a huge step towards transforming a dream project into a reality.
The next step in the pre-construction phase is to begin the process of creating a project design.
In order to do so, the owner and project manager will need to bring additional stakeholders on
board. These will include a design team that usually consists of one or more architects and an
engineering team.
Creating a design for a new project is an inherently collaborative process. While the natural
assumption is that both the architectural and engineering teams operate in silos, this is far from
normal. Typically, both the architectural and engineering teams will work together, with the
owner, to create a design that the owner is happy with, that adheres to safety and regulatory

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requirements, and meets any sustainability or design requirements the architect and owner
have agreed upon.
Throughout the design process, the project manager ensures that information is flowing freely
between the design and engineering teams. Both teams need specific information from the
other in order to complete their portion of the project. Often, a change by one team necessitates
a review from the other team. Without effective communication, the design process can be
painstakingly slow. With effective communication, the design process is streamlined and
costly delays are avoided.
Permitting and Entitlements
Once a design has been put on paper it is usually time to pursue permitting. In some cases
securing permitting and entitlements can run concurrently with the design process. Typically,
the project manager helps guide the project through the permitting process. Securing necessary
permitting for projects of any size can be a frustrating experience. There will most likely be
multiple authorities in charge of issuing permits that may or may not have overlapping areas
of responsibility. What results is an often confusing mix of local, state, and federal regulations
that must be navigated.
If any entitlements are necessary for your project they will have to be secured prior to the start
of construction. If you aren’t familiar, entitlements concern a building’s intended use and how
that interacts with or contradicts municipal zoning requirements or city planning. The process
of securing necessary entitlements can be vexing. The process can include a public awareness
campaign, multiple meetings with local city officials, town hall meetings open to public
comment, and many other steps.
What is worth noting about both the permitting and entitlements process is that it can take a
substantial amount of time. Roadblocks in securing necessary permitting and entitlements can
introduce delays that impact the project completion timeline. While some projects are
straightforward, others navigate the permitting and entitlements process over the course of
months or even years. One area of risk with the entitlements process specifically is the fact
that at the end of the process you may fail to secure necessary entitlements to move forward
with your project. Working with a project manager experienced with navigating the
entitlements process is one way of potentially reducing this risk.
General Contractor Selection
During the pre-construction phase, a general contractor and subcontractors will need to be
brought onto the project. General contractors are responsible for handling the physical
construction process. This includes using their own labor and securing the services of any
necessary subcontractors required to complete construction.
It is often said that the construction phase of a project carries the most risk. This is true for a
number of reasons and emphasizes the importance of working with an effective, experienced
general contractor. Selecting the general contractor, like selecting other members of your
construction project team, should be done with care and an adequate level of due diligence.
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While sometimes an owner chooses a specific general contractor, more often the general
contractor is selected through a bidding process.
In the general contractor selection bidding process the project manager will invite bids from
select contractors who wish to work on the project. These bids will then be evaluated by the
project manager and owner. Usually, bid submissions are followed up with an interview
process with the general contractor company. Once a good fit for the project has been found,
the general contractor is brought on board and tasked with preparing for physical construction.
This includes securing the services of any necessary subcontractors or skilled labor that the
project requires.
Procurement
One of the final tasks that must be completed during the pre-construction phase is procurement.
Procurement is the complex process of ordering, assembling, and staging of all materials
required to complete the project. The procurement stage must be approached carefully to
ensure that all necessary materials have been ordered and staged appropriately to best facilitate
the construction schedule and process.
Alongside any material required for the project, equipment rentals will also be secured and
staged during the procurement process. While it may seem mundane, the process of ordering
and staging materials and equipment for construction is an art in itself. Done correctly,
procurement can help facilitate construction and improve efficiency, reducing wastage. Done
incorrectly, the procurement process can introduce delays that impact project completion and
wastage that impacts the project budget.
11.b) List the types of bonds are required to be provided by a bidder/contractor on a
public works contract? Explain briefly.

TYPES OF CONSTRUCTION BONDS

Depending on the situation, different surety bonds can be required of contractors. The most
common types of construction surety bonds include:

• Bid bond. This bond is required to submit a bid on a contract. It guarantees that the
contractor will execute the contract at the bid submitted if awarded the contract.
• Performance bond. Contractors must post a performance bond when they are
awarded a project as a guarantee that they will perform according to the conditions and
requirements of the contract.
• Payment bond. This bond serves as a guarantee that the contractor will pay
subcontractors, laborers and suppliers for services and materials.
• Maintenance bond. This bond functions as a guarantee to project owners that there
will be no defects or faults in a structure for a certain amount of time after its
completion by the contractor.
• Public works bond. This bond is similar to the performance bond but is typically
required for projects on a state level.

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 • Site improvement bond. This bond guarantees that improvements to a structure will
be made in accordance with building codes and standards.

Or

BONDS

Bid Bonds

When an owner decides that some security is needed to protect it against the financial
disadvantages that may occur because a bidder later refused or was unable to sign an agreement
to construct the work after submitting a bid, there are a couple of alternatives open. In any
case, the bid security should amount to at least 5 percent and is often 10 percent of the
contractor’s bid price. Bid bonds, certified checks, cashier’s checks, and sometimes negotiable
securities may be accepted as bid security. The security assures the owner that if the contract
is awarded to the successful bidder, that bidder will enter into contract with the owner. After
the bids are opened and an award made, bid securities are returned to all bidders. If, however,
the selected bidder cannot or will not enter into contract, the bid security is forfeited, and award
is made to the next bidder in line on the same basis. The bid bond is far preferable to other
securities, as it is less of a burden upon the contractor. Bid bonds should preferably be in an
amount of 10 percent of the bid price for the project. A surety company makes only a nominal
charge to a contractor for a bid bond, and although writing one does not commit the surety to
write a performance and payment bond later, it is a good indication that it is willing to do so.
Bid bonds should be of the “forfeiture” type that gives the owner a direct right of action under
the bond. Although optional on private contracts, all public works contracts require the
contractor to post a bid bond as security with the bid. Under the terms of a bid bond, the surety
company agrees to pay a stipulated sum of money to the owner,as a forfeit,if the bidder is
awarded the contract and fails to enter into an agreement with the owner to construct the work.

Performance and Payment Bonds

After award of the contract, the contractor is required to provide performance and payment
(labor and materials) bonds on all public works contracts. Although this is not common in
private works, and is actually actively opposed by some groups, there is a current move toward
the utilization of bonds on private works as a hedge against potential lien claims and failure to
complete the work. Under a performance bond, the surety has an obligation to the owner for
any additional costs to complete the contract due to the contractor’s failure to comply with its
contract requirements. The most common reason for a contractor not completing a contract is
insolvency. Therefore, sureties are interested in the contractor’s financial condition as well as
other qualifications before writing a performance bond. Generally, a contractor’s ability to
take a large contract is a function of bonding capacity, as the bonding company will only risk
a slight increase over previous bond amounts. In this manner, the road from being a small
contractor to becoming a large contractor doing $20-million projects is a long, slow, step-by-
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step process with the bonding company. Under a payment bond, the surety guarantees the
payment of all legitimate labor and materials bills that result from the performance of the
contract. The surety has an obligation to the owner for the additional costs that are the result
of failure of a contractor to pay the labor and materials bills due to the performance of work
on the contract. Combination payment and performance bonds, which include in one
instrument the obligation for both the performance of the contract and the payment of laborers
and material suppliers, have resulted in difficulties and delays in the handling of claims. It is
recommended that where bonds are to be provided, they should be separate bonds issued by
the surety as a “package,” for which no additional charge is made. Under the two-bond system,
the surety is enabled to make payment without awaiting a determination as to owner’s priority.
The customary amount of public works bonds the author has seen are in an amount of 100
percent on performance bonds and 50 percent on payment bonds. However, the Construction
Industry Affairs Committee of Chicago, with membership spanning both the design profession
and the contractor associations, recommends that both the payment and performance bonds be
written in the amount of 100 percent of the contract price. When prime contractors require a
surety bond from their subcontractors, the prime contractor’s position is similar to that of an
owner. Prime contractors should be careful to obtain bonds from their subcontractors that are
of the same form and not less than the guarantee that the prime is giving the owner under the
owner’s own bond. Where awards can be made to prequalified contractors, such as on private
work, surety bonds might be eliminated if the financial stability and record of performance of
the contractor are known to be satisfactory. Performance bonds and payment bonds are not
guarantees of trouble-free jobs but do protect the owner from additional costs due to the
contractor’s failure to complete a contract or to pay bills.

Time of Submittal of Bonds

Under the five-step project initiation process described in Chapter 1, a bid bond must be
submitted at the time of submitting bids (item 2 in Figure 12.3).Upon being awarded the
contract, the successful bidder is obligated to enter into contract with the owner for
construction of the work. If the awardee fails to enter into contract with the owner, the bid
bond is forfeited, and the owner will then award to the next- lowest bidder. On public works
projects, after award of the contract, a bidder who enters into a contract with the owner must
submit a performance bond and a payment bond to the owner. These should be submitted to
the owner at the time of submitting the signed agreement form to the owner for its signature
(item 4 in Figure 12.3). Upon receipt of the signed agreement from the successful bidder, the
owner releases all remaining bidders’ bonds and affixes its own signature to the agreement.
Then, subsequent to execution of the agreement by both parties, a Notice to Proceed may be
issued (item 5 in Figure 12.3).

Or

Construction bonds, also known as contract bonds, represent a type of surety bond. They
provide a financial guarantee that the bills on a construction project will be paid. The issuing
insurance company or bank guarantees the project's completion by a specific contractor.
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Construction bonds protect the assets of the investor or project owner against shoddy work or
non-completion of the project. There are three types of construction bonds: bid bonds,
performance bonds and payment bonds.

Bid Bonds
The bid bond protects the project's owner if the bid is not honored by the principal, such as a
contractor. The owner is the obligee under the bond and has the right to sue the principal and
the surety (the issuer of the bond) to enforce the bond. If the principal refuses to honor the
bid, the principal and the surety (the insurance company or bank issuer of the bond) are
liable for any additional costs incurred in contracting a second time with a replacement
contractor.
Performance Bonds
A contractor, or principal, uses a performance bond to guarantee that it will complete the
contract in accordance with its terms. If the principal defaults, the owner may call upon the
surety to complete the contract. In such a case, the surety will have to hand the contract to a
new contractor or pay the costs for the owner to complete the contract.
Payment Bonds
A payment bond guarantees all payments that are due to subcontractors and others from the
principal. Beneficiaries of a payment bond are the subcontractors and suppliers. The owner
benefits from such a bond because it provides a substitute to mechanic's liens as remedies for
non-payment.
Construction Bond Eligibility
Each surety has its own criteria for deciding the eligibility of applicants for construction
bonds. Standard criteria include having the right skill level, resources and ability to perform
the requirements of the contract. The surety will analyze the applicant's financial statements
and investigate work history, financial standing and credit rating.
12.a) Explain concept of value and define value analysis. Write in detail steps in value
analysis.

Introduction
Value relates to the assessment of the benefits brought by something in relation to the
resources needed to achieve it. In the context of construction projects it is normally
expressed as a ratio between a function and the whole life cost for that function.
Value = Function / Whole Life Cost
or
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 Value = What you get (or want) / What you pay
Thus, value can be increased by improved function or reduced whole life cost. Value for
Money (VfM), as a concept, relates to the optimum balance between the benefits expected of
a project and the resources expended in its delivery.
The three most common terms associated with the VfM concept are value
management, value engineering and value analysis. While they are all keys to
the VfM concept, there are functional and systemic differences between them:
Value Management (VM) is about getting the right project.
Value Engineering (VE) is done to get the project right.
Value Analysis (VA) relates to the improvement of a construction, manufacturing
or management process and also to a post-project review to establish value achievement.
Value Analysis Proper:
Value analysis is an organised approach to identify unnecessary costs associated with any
product, material, part, component, system or service by analysis of function and efficiently
eliminating them without impairing the quality functional reliability or its capacity to give
service.

According to Society of American Value Engineers (SAVE) “Value analysis is the

systematic application of recognised techniques which identify the function of a product or
services establish a monetary value for the function and provide the necessary function
reliability at that lowest overall cost.”

Phases of Value Analysis:

As an exercise, the phases of value analysis are:
1. Phase of Origination:
In the first phase, a value analysis study team is constituted. The project is selected and
clearly defined. The team examines in detail the product and its components to understand
thoroughly their nature.

2. Phase of Information:

After familiarisation, a functional analysis is carried out to determine the functions and uses
of the product and its components. The cost and importance of each function are identified.

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A value index is calculated on the basis of cost benefit ratio for each function. A list is being
prepared in which the items of functions are arranged in decreasing order of value.

3. Phase of Innovation:
This is the creative phase concerned with the generation of new alternatives to replace or
removing the existing ones.

4. Phase of Evaluation:
Each and every alternative is analysed and the most promising alternatives are selected.
These alternatives are further examined for economic and technical feasibility.

The alternatives finally selected must be capable of performances the desired functions
satisfactorily. These must meet the standards of accuracy, reliability, safety, maintenance and
repairs, environmental effects and so on.

5. Phase of Choice:
In this phase, report is prepared. This report contains a summary of the study, conclusions
and specific proposals. The decision makers choose the alternative. The programs and action
places are then developed to implement the chosen alternative.

6. Phase of Implementation:
The chosen alternative is put to the actual use with the help of the programs and action plans
so developed in advance.

7. Phase of Review:
The progress of analysis changes in continuously monitored and followed up in order to
provide assistance, to clarify any misconceptions and to ensure that the desired results are
achieved.

12. b) Explain the ISO control cycle

PDCA (Plan Do Check Act) Cycles refers to the PDCA wheel (Figure 1) and the continuous
motion that PDCA requires. PDCA is not as easy as it sounds but, if you are interested in ISO
9001 Quality Management Systems (QMS), then you will find that an ISO 9001 PDCA
cycle is the solid foundation. Master PDCA and you will become the master of your ISO 9001
QMS.

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 Figure 1. PDCA Wheel
ISO 9001 PDCA Cycle
Plan Do Check Act was developed by Dr. Walter Shewhart, one of the top ten quality gurus.
Dr. W. Edwards Deming preferred to call it PDSA or Plan, Do, Study, Act because he felt that
“check?” emphasized inspection over analysis. Most people spend most of their time on the
first two, Plan and Do, and tend to neglect the Check and Act parts. An ISO 9001:2015 QMS
is a balanced system and to keep your ISO system working effectively you need to value each
PDCA element equally and not favor one (i.e. Plan, Do) over the other (Check, Act).
We have written a lot about PDCA in the past. Now let’s take a look at PDCA as it relates to
ISO 9001 by breaking down the ISO 9001 standard into its main elements and then assigning
them to each part of the PDCA process. What you see is that each clause of the ISO 9001
standard contains a planning step, clause 7 is focused on doing, and clause 8 is focused on
checking and acting. What clause do you think people have the most trouble with?
Clause 9 is the most troublesome because it is focused on checking and acting. People get
more satisfaction in planning and doing then they do in checking and acting. It is just human
nature. So, to master ISO 9001:2015 you have to break the habit and budget more time for the
checking and acting steps of clause 9. Now let’s take a look at each PDCA element and see
how ISO 9001 aligns with Plan Do Check Act.

PDCA – PLAN
Your business should have an annual planning cycle that produces business plans that contain
your: interested parties, vision/mission/quality policy, operational objectives, budgets, risk
management actions, documented information standards, milestones, and new
product/market/process introductions. These are all planning elements. ISO 9001 calls out
these planning elements in seven areas.

• Maintain QMS
• Document QMS
• Leadership
• Planning
• Manage Resources
• Plan Product Realization
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 • Control Monitor & Measurement Equipment

PDCA – DO
Your do steps are more frequent, possible occurring on a monthly cycle that produces data
records for measurement and analysis as a result of executing the annual plans. A lot of your
doing is focused on clause 8, Product Realization. Most of your documented information is
produced in clause 8.

• Competence
• Design, Develop, Realize
• Purchasing
• Product & Service Provisions

PDCA – CHECK
Once you have data from your doing steps you need to analyze or study the data (remember
Deming’s PDSA reminding us to Plan, Do, Study, Act). We do not want to check to see if a
step was done or check to see if data was produced. This is nothing but inspection. We need
to analyze and understand what the data is telling us. We do this by converting the data into
information.
The ISO 9001:2015 standard clearly defines various check processes, which are cycles of
measurement and analysis to determine how well the organization is executing the annual
plans.

• Management Reviews
• Monitor & Measuring
• Customer Satisfaction
• Internal Auditing
• Data Analysis
These are not one-time events. These check processes continuously occur, which brings to
mind trend lines on charts as a way to convert data into information.
A monthly or quarterly check event is very realistic, although many companies choose an
annual audit, management review or customer satisfaction survey as a sufficient check on the
ISO 9001 QMS. I guess if you have an incredibly stable business model with little to no
competition and a static environment, industry or market then maybe you can get away with
an annual check. Are there any businesses like that anymore?

PDCA – ACT
Actions taken — without undue delay — to close the gap, identified during measurement and
analysis, between the annual plans and the data records produced during execution. Of course
there is an element of act in the management reviews because after you review the required
inputs you are supposed to assign action items to individuals to take the necessary corrective
actions (and maybe preventive actions).

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ISO 9001 has a few clear action steps like isolating nonconforming product, taking corrective
action, and maybe preventing risk too.

• Nonconforming Product
• Corrective Action
• Risk Management
ISO 9001 PDCA cycle is not a singular thing. It is actually a series of embedded PDCA cycles.
Clause 8 is not just about doing. Product realization is itself an ISO 9001 PDCA cycle that
starts with planning requirements and realization needs. Next comes development (doing),
development reviews (checking), and finally development revisions (actions). This same Plan
Do Check Act cycle is occurring within training, documentation, purchasing, auditing,
corrective action, etc. The whole concept of continuous improvement relies on PDCA.

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