质量管理项目管理质量指南-ISO10006（英文版）

INTERNATIONALISOSTANDARD10006Secondedition2003-06-15Qualitymanagementsystems—GuidelinesforqualitymanagementinprojectsSystèmesdemanagementdelaqualité—LignesdirectricespourlemanagementdelaqualitédanslesprojetsReferencenumberISO10006:2003(E)©ISO2003ISO10006:2003(E)PDFdisclaimerThisPDFfilemaycontainembeddedtypefaces.InaccordancewithAdobe'slicensingpolicy,thisfilemaybeprintedorviewedbutshallnotbeeditedunlessthetypefaceswhichareembeddedarelicensedtoandinstalledonthecomputerperformingtheediting.Indownloadingthisfile,partiesacceptthereintheresponsibilityofnotinfringingAdobe'slicensingpolicy.TheISOCentralSecretariatacceptsnoliabilityinthisarea.AdobeisatrademarkofAdobeSystemsIncorporated.DetailsofthesoftwareproductsusedtocreatethisPDFfilecanbefoundintheGeneralInforelativetothefile;thePDF-creationparameterswereoptimizedforprinting.EverycarehasbeentakentoensurethatthefileissuitableforusebyISOmemberbodies.Intheunlikelyeventthataproblemrelatingtoitisfound,pleaseinformtheCentralSecretariatattheaddressgivenbelow.©ISO2003Allrightsreserved.Unlessotherwisespecified,nopartofthispublicationmaybereproducedorutilizedinanyformorbyanymeans,electronicormechanical,includingphotocopyingandmicrofilm,withoutpermissioninwritingfromeitherISOattheaddressbeloworISO'smemberbodyinthecountryoftherequester.ISOcopyrightofficeCasepostale56•CH-1211Geneva20Tel.+41227490111Fax+41227490947E-mailcopyright@iso.orgWebwww.iso.orgPublishedinSwitzerlandii©ISO2003—AllrightsreservedISO10006:2003(E)ContentsPageFore 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............................................................................................................................................................ivIntroduction........................................................................................................................................................v1Scope......................................................................................................................................................12Normativereferences...........................................................................................................................13Termsanddefinitions...........................................................................................................................14Qualitymanagementsystemsinprojects..........................................................................................34.1Projectcharacteristics..........................................................................................................................34.2Qualitymanagementsystems.............................................................................................................55Managementresponsibility..................................................................................................................65.1Managementcommitment....................................................................................................................65.2Strategicprocess..................................................................................................................................65.3Managementreviewsandprogressevaluations...............................................................................96Resourcemanagement.......................................................................................................................106.1Resource-relatedprocesses..............................................................................................................106.2Personnel-relatedprocesses.............................................................................................................117Productrealization..............................................................................................................................137.1General.................................................................................................................................................137.2Interdependency-relatedprocesses.................................................................................................137.3Scope-relatedprocesses....................................................................................................................167.4Time-relatedprocesses......................................................................................................................187.5Cost-relatedprocesses......................................................................................................................197.6Communication-relatedprocesses...................................................................................................217.7Risk-relatedprocesses.......................................................................................................................227.8Purchasing-relatedprocesses...........................................................................................................248Measurement,analysisandimprovement........................................................................................258.1Improvement-relatedprocesses........................................................................................................258.2Measurementandanalysis................................................................................................................268.3Continualimprovement......................................................................................................................26AnnexA(informative)Flowchartofprocessesinprojects..........................................................................29Bibliography.....................................................................................................................................................32©ISO2003—AllrightsreservediiiISO10006:2003(E)ForewordISO(theInternationalOrganizationforStandardization)isaworldwidefederationofnationalstandardsbodies(ISOmemberbodies).TheworkofpreparingInternationalStandardsisnormallycarriedoutthroughISOtechnicalcommittees.Eachmemberbodyinterestedinasubjectforwhichatechnicalcommitteehasbeenestablishedhastherighttoberepresentedonthatcommittee.Internationalorganizations,governmentalandnon-governmental,inliaisonwithISO,alsotakepartinthework.ISOcollaboratescloselywiththeInternationalElectrotechnicalCommission(IEC)onallmattersofelectrotechnicalstandardization.InternationalStandardsaredraftedinaccordancewiththerulesgivenintheISO/IECDirectives,Part2.ThemaintaskoftechnicalcommitteesistoprepareInternationalStandards.DraftInternationalStandardsadoptedbythetechnicalcommitteesarecirculatedtothememberbodiesforvoting.PublicationasanInternationalStandardrequiresapprovalbyatleast75%ofthememberbodiescastingavote.Attentionisdrawntothepossibilitythatsomeoftheelementsofthisdocumentmaybethesubjectofpatentrights.ISOshallnotbeheldresponsibleforidentifyinganyorallsuchpatentrights.ISO10006waspreparedbyTechnicalCommitteeISO/TC176,Qualitymanagementandqualityassurance,SubcommitteeSC2,Qualitysystems.Thissecondeditioncancelsandreplacesthefirstedition(ISO10006:1997),whichhasbeentechnicallyrevised.ThiseditionhassoughttoimprovethealignmentofISO10006withtheISO9000familyofInternationalStandards,andincludesnewtextconcerningtheirqualitymanagementprinciples.Also,thetitleofISO10006hasbeenrevisedtoreflectthechangestotheISO9000familyofInternationalStandardsandtogiveanimprovedexpressionoftheaimofthisInternationalStandard.iv©ISO2003—AllrightsreservedISO10006:2003(E)IntroductionThisInternationalStandardprovidesguidanceonqualitymanagementinprojects.Itoutlinesqualitymanagementprinciplesandpractices,theimplementationofwhichareimportantto,andhaveanimpacton,theachievementofqualityobjectivesinprojects.ItsupplementstheguidancegiveninISO9004.Theseguidelinesareintendedforawideaudience.Theyareapplicabletoprojectswhichcantakemanyformsfromthesmalltoverylarge,fromsimpletocomplex,frombeinganindividualprojecttobeingpartofaprogrammeorportfolioofprojects.TheyareintendedtobeusedbypersonnelwhohaveexperienceinmanagingprojectsandneedtoensurethattheirorganizationisapplyingthepracticescontainedintheISO9000familyofstandards,aswellasthosewhohaveexperienceinqualitymanagementandarerequiredtointeractwithprojectorganizationsinapplyingtheirknowledgeandexperiencetotheproject.Inevitably,somegroupswillfindthatmaterialpresentedintheguidelinesisunnecessarilydetailedforthem,howeverotherreadersmaybedependentonthedetail.Itisrecognizedthattherearetwoaspectstotheapplicationofqualitymanagementinprojects;thatoftheprojectprocessesandthatoftheproject’sproduct.Afailuretomeeteitherofthesedualaspectsmayhavesignificanteffectsontheproject’sproduct,theproject’scustomerandotherinterestedparties,andtheprojectorganization.Theseaspectsalsoemphasizethattheachievementofqualityobjectivesisatopmanagementresponsibility,requiringacommitmenttotheachievementofqualityobjectivestobeinstilledatalllevelswithintheorganizationsinvolvedintheproject.However,eachlevelshouldretainresponsibilityfortheirrespectiveprocessesandproducts.Thecreationandmaintenanceofprocessandproductqualityinaprojectrequiresasystematicapproach.Thisapproachshouldbeaimedatensuringthatthestatedandimpliedneedsofthecustomerareunderstoodandmet,thatotherinterestedparties’needsareunderstoodandevaluated,andthattheoriginatingorganization’squalitypolicyistakenintoaccountforimplementationinthemanagementoftheproject.ItshouldbenotedthatasummaryofprocessesinprojectsisgiveninAnnexA.©ISO2003—AllrightsreservedvINTERNATIONALSTANDARDISO10006:2003(E)Qualitymanagementsystems—Guidelinesforqualitymanagementinprojects1ScopeThisInternationalStandardgivesguidanceontheapplicationofqualitymanagementinprojects.Itisapplicabletoprojectsofvaryingcomplexity,smallorlarge,ofshortorlongduration,indifferentenvironments,andirrespectiveofthekindofproductorprocessinvolved.Thiscannecessitatesometailoringoftheguidancetosuitaparticularproject.ThisInternationalStandardisnotaguideto“projectmanagement”itself.GuidanceonqualityinprojectmanagementprocessesisdiscussedinthisInternationalStandard.Guidanceonqualityinaproject’sproduct-relatedprocesses,andonthe"processapproach",iscoveredinISO9004.SincethisInternationalStandardisaguidancedocument,itisnotintendedtobeusedforcertification/registrationpurposes.2NormativereferencesThefollowingreferenceddocumentsareindispensablefortheapplicationofthisdocument.Fordatedreferences,onlytheeditioncitedapplies.Forundatedreferences,thelatesteditionofthereferenceddocument(includinganyamendments)applies.ISO9000:2000,Qualitymanagementsystems—FundamentalsandvocabularyISO9004:2000,Qualitymanagementsystems—GuidelinesforperformanceimprovementsNOTETheBibliographycontainsadditionalreferencesapplicabletoqualitymanagementinprojects.3TermsanddefinitionsForthepurposesofthisdocument,thetermsanddefinitionsgiveninISO9000andthefollowingapply.SomeofthedefinitionsbelowarequoteddirectlyfromISO9000:2000,butarealsosupplementedwithnotesspecifictoprojects.3.1activity〈project〉smallestidentifieditemofworkinaproject(3.5)process(3.3)3.2interestedpartypersonorgrouphavinganinterestintheperformanceorsuccessofanorganizationEXAMPLECustomers,owners,peopleinanorganization,suppliers,bankers,unions,partnersorsociety.NOTE1Agroupcancompriseanorganization,apartthereof,ormorethanoneorganization.[ISO9000:2000,definition3.3.7]©ISO2003—Allrightsreserved1ISO10006:2003(E)NOTE2Interestedpartiesmayincludecustomers(oftheproject’sproducts),consumers(suchasauseroftheproject’sproduct),ownersoftheproject(suchastheorganizationoriginatingtheproject),partners(asinjoint-ventureprojects),funders(suchasafinancialinstitution),suppliersorsubcontractors(e.g.organizationssupplyingproductstotheprojectorganization),society(suchasjurisdictionalorregulatorybodiesandthepublicatlarge),andinternalpersonnel(suchasmembersoftheprojectorganization).NOTE3Therecanbeconflictinginterestsamonginterestedparties.Thesemayneedtoberesolvedfortheprojecttobesuccessful.3.3processsetofinterrelatedorinteractingactivitieswhichtransformsinputsintooutputsNOTE1Inputstoaprocessaregenerallyoutputsofotherprocesses.NOTE2Processesinanorganizationaregenerallyplannedandcarriedoutundercontrolledconditionstoaddvalue.[ISO9000:2000,definition3.4.1(excludingNote3)]3.4progressevaluationassessmentofprogressmadeonachievementoftheproject(3.5)objectivesNOTE1Thisassessmentshouldbecarriedoutatappropriatepointsintheprojectlifecycleacrossprojectprocesses,basedoncriteriaforprojectprocessesandproduct.NOTE2Theresultsofprogressevaluationsmayleadtorevisionoftheprojectmanagementplan(3.7).3.5projectuniqueprocess,consistingofasetofcoordinatedandcontrolledactivities(3.1)withstartandfinishdates,undertakentoachieveanobjectiveconformingtospecificrequirements,includingtheconstraintsoftime,costandresources[ISO9000:2000,definition3.4.3(excludingNotes)]NOTE1Anindividualprojectmayformpartofalargerprojectstructure.NOTE2Insomeprojectstheobjectivesandscopeareupdatedandtheproductcharacteristicsdefinedprogressivelyastheprojectproceeds.NOTE3Theproject’sproduct(seeISO9000:2000,3.4.2)isgenerallydefinedintheprojectscope(see7.3.1).Itmaybeoneorseveralunitsofproductandmaybetangibleorintangible.NOTE4Theproject’sorganizationisnormallytemporaryandestablishedforthelifetimeoftheproject.NOTE5Thecomplexityoftheinteractionsamongprojectactivitiesisnotnecessarilyrelatedtotheprojectsize.2©ISO2003—AllrightsreservedISO10006:2003(E)3.6projectmanagementplanning,organizing,monitoring,controllingandreportingofallaspectsofaproject(3.5)andthemotivationofallthoseinvolvedinittoachievetheprojectobjectives3.7projectmanagementplandocumentspecifyingwhatisnecessarytomeettheobjective(s)oftheproject(3.5)NOTE1Aprojectmanagementplanshouldincludeorrefertotheproject’squalityplan(3.8).NOTE2Theprojectmanagementplanalsoincludesorreferencessuchotherplansasthoserelatingtoorganizationalstructures,resources,schedule,budget,riskmanagement,environmentalmanagement,healthandsafetymanagementandsecuritymanagement,asappropriate.3.8qualityplandocumentspecifyingwhichproceduresandassociatedresourcesshallbeappliedbywhomandwhentoaspecificproject(3.5),product,process(3.3)orcontractNOTE1Theseproceduresgenerallyincludethosereferringtoqualitymanagementprocessesandtoproductrealizationprocesses.NOTE2Aqualityplanoftenmakesreferencetopartsofthequalitymanualortoproceduredocuments.NOTE3Aqualityplanisgenerallyoneoftheresultsofqualityplanning.[ISO9000:2000,definition3.7.5]3.9supplierorganizationorpersonthatprovidesaproductEXAMPLEAproducer,distributor,retailerorvendorofaproduct,oraproviderofaserviceorinformation.NOTE1Asuppliercanbeinternalorexternaltotheorganization.NOTE2Inacontractualsituationasupplierissometimescalleda“contractor”.[ISO9000:2000,definition3.3.6]NOTE3Inthecontextofprojects,“contractor”or“subcontractor”isoftenusedinplaceof“supplier”.4Qualitymanagementsystemsinprojects4.1Projectcharacteristics4.1.1GeneralSomeofthecharacteristicsofprojectsareasfollows:theyareunique,non-repetitivephasesconsistingofprocessesandactivities;theyhavesomedegreeofriskanduncertainty;theyareexpectedtodeliverspecified(minimum)quantifiedresultswithinpredeterminedparameters,forexample,quality-relatedparameters;theyhaveplannedstartandfinishingdates,withinclearlyspecifiedcostandresourceconstraints;©ISO2003—Allrightsreserved3ISO10006:2003(E)personnelmaybetemporarilyassignedtoaprojectorganizationforthedurationoftheproject[theprojectorganizationmaybeassignedbyanoriginatingorganization(see4.1.2)andmaybesubjecttochangeastheprojectprogresses];theymaybeofalongduration,andsubjecttochanginginternalandexternalinfluencesovertime.4.1.2OrganizationsThisInternationalStandardmakesseparatereferencetoan“originatingorganization”andtoa“projectorganization”.The“originatingorganization”istheorganizationthatdecidestoundertaketheproject.Itmaybeconstitutedasasingleorganization,joint-venture,consortium,etc.Theoriginatingorganizationassignstheprojecttoaprojectorganization.Theoriginatingorganizationmaybeundertakingmultipleprojects,eachofwhichmaybeassignedtoadifferentprojectorganization.The“projectorganization”carriesouttheproject.Theprojectorganizationmaybeapartoftheoriginatingorganization.4.1.3ProcessesandphasesinprojectsProcessesandphasesaretwodifferentaspectsofaproject.Aprojectmaybedividedintointerdependentprocessesandintophasesasameansofplanningandmonitoringtherealizationofobjectivesandassessingtherelatedrisks.Projectphasesdividetheprojectlifecycleintomanageablesections,suchasconception,development,realizationandtermination.Projectprocessesarethoseprocessesthatarenecessaryformanagingtheprojectaswellasthosethatarenecessarytorealizetheproject’sproduct.NotalltheprocessesdiscussedinthisInternationalStandardwillnecessarilyexistinaparticularproject,whereasinothers,additionalprocessesmaybenecessary.Insomeprojects,adistinctionmayneedtobemadebetweencoreandsupportingprocesses.AnnexAlistsandsummarizestheprocessesthatareconsideredtobeapplicableforthemajorityofprojects.NOTETofacilitatethediscussionoftheguidancetoqualitymanagementinprojects,the“processapproach”isadoptedinthisInternationalStandard.Additionally,theprocessesofaprojecthavebeengroupedintotwocategories:theprojectmanagementprocessesandtheprocessesrelatedtotheproject’sproduct(thoseprimarilyconcernedwiththeproject’sproductsuchasdesign,production,etc.).Theprocessesaregroupedaccordingtotheiraffinitytooneanother,forexamplealltime-relatedprocessesareincludedinonegroup.Elevengroupsofprocessesarepresented.ThestrategicprocesscoveredinClause5setsthedirectionfortheproject.Clause6addressesresource-relatedprocessesandpersonnel-relatedprocesses.Clause7coversprocessesrelatedtointerdependency,scope,time,cost,communication,riskandpurchasing.Processesrelatedtomeasurementandanalysis,andcontinualimprovement,arecoveredinClause8.Theseclausesincludeadescriptionofeachprocessandprovideguidancetoqualitymanagementintheprocess.4.1.4ProjectmanagementprocessesProjectmanagementincludestheplanning,organizing,monitoring,controlling,reportingandtakingnecessarycorrectiveactionsonallprocessesoftheprojectthatareneededtoachievetheprojectobjectives,onacontinualbasis.Thequalitymanagementprinciples(see4.2.1and5.2,andISO9000:2000,0.2)shouldbeappliedtoalltheprojectmanagementprocesses.4©ISO2003—AllrightsreservedISO10006:2003(E)4.2Qualitymanagementsystems4.2.1QualitymanagementprinciplesTheguidanceforqualitymanagementofprojectsinthisInternationalStandardisbasedoneightqualitymanagementprinciples(seeISO9000:2000,0.2):a)customerfocus;b)leadership;c)involvementofpeople;d)processapproach;e)systemapproachtomanagement;f)continualimprovement;g)factualapproachtodecisionmaking;h)mutuallybeneficialsupplierrelationships.Thesegenericprinciplesshouldformthebasisforqualitymanagementsystemsfortheoriginatingandprojectorganizations.NOTEGuidanceontheapplicationofthequalitymanagementprinciplestotheplanningcarriedoutinthestrategicprocessisgivenin5.2.2to5.2.9.4.2.2ProjectqualitymanagementsystemItisnecessarytomanageprojectprocesseswithinaqualitymanagementsysteminordertoachieveprojectobjectives.Theprojectqualitymanagementsystemshouldbealigned,asfarasispossible,withthequalitymanagementsystemoftheoriginatingorganization.NOTEISO9004providesguidelinesforconsideringbotheffectivenessandefficiencyofqualitymanagementsystems.Documentsneededandproducedbytheprojectorganizationtoensuretheeffectiveplanning,implementationandcontroloftheprojectshouldbedefinedandcontrolled(seeISO9004:2000,4.2).4.2.3QualityplanfortheprojectTheprojectqualitymanagementsystemshouldbedocumentedandincludedorreferencedinaqualityplanfortheproject.Thequalityplanshouldidentifyactivitiesandresourcesnecessaryforachievingthequalityobjectivesoftheproject.Thequalityplanshouldbeincorporatedinto,orreferencedin,theprojectmanagementplan.Incontractualsituations,acustomermayspecifyrequirementsforthequalityplan.Theserequirementsshouldnotlimitthescopeofthequalityplanusedbytheprojectorganization.NOTEISO10005givesguidanceonqualityplans.©ISO2003—Allrightsreserved5ISO10006:2003(E)5Managementresponsibility5.1ManagementcommitmentThecommitmentandactiveinvolvementofthetopmanagementoftheoriginatingandprojectorganizationsareessentialfordevelopingandmaintaininganeffectiveandefficientqualitymanagementsyst