National Highways Sector Schemes for Quality Management in Highway Works

Transcription

1 National Highways Sector Schemes for Quality Management in Highway Works 22 For the Management, Operation, Installation and Maintenance of Road Tunnels PUBLISHED BY THE SECTOR SCHEME ADVISORY COMMITTEE FOR MANAGEMENT, OPERATION, INSTALLATION AND MAINTENANCE OF ROAD TUNNELS Page 1 of 65

2 DOCUMENT CONTROL Issue Statement Issue Number Comments Issue 1 to UKAS August 2008 Issue 2 to UKAS August 2010 Review following November 2009 NHSS 22 Meeting to focus on activities other than equipment installation and / or maintenance and align with (06/10) NHSS 0. Page 2 of 65

3 CONTENTS Page No COVER SHEET 1 DOCUMENT CONTROL 2 CONTENTS 3 COMPOSITION OF SECTOR SCHEME ADVISORY COMMITTEE, EXCLUSION OF LIABILITY, SELECTION OF CERTIFICATION BODY & IMPLEMENTATION 4 INTRODUCTION 8 INTERPRETATION OF BS EN ISO 9001: SCOPE NORMATIVE REFERENCE TERMS AND DEFINITIONS QUALITY MANAGEMENT SYSTEM REQUIREMENTS 13 APPENDIX A: REQUIREMENTS FOR QUALITY PLANS 23 APPENDIX B: REFERENCE AND ASSOCIATED DOCUMENTS 25 APPENDIX C: TRAINING AND HEALTH AND SAFETY FOR MANAGEMENT, OPERATION, INSTALLATION AND MAINTENANCE OF ROAD TUNNEL EMPLOYEES APPENDIX D: EXAMPLE REGISTER OF SECTOR SCHEME 22 EMPLOYEES APPENDIX E: APPENDIX F: APPENDIX G: GUIDANCE FOR THE CONTROL OF MONITORING AND MEASURING EQUIPMENT CERTIFICATION BODIES ACCREDITED FOR SECTOR SCHEME 22 THE ROLE OF THE CERTIFICATION BODY AND AUDITOR QUALIFICATIONS APPENDIX G1 GUIDANCE TO CERTIFICATION BODY ASSESSORS AND 39 INTERNAL AUDITORS APPENDIX H: ORGANIZATION ACCEPTANCE AND GUIDELINES FOR NEW ENTRANTS 45 APPENDIX J1: FEEDBACK TO SCHEME COMMITTEE 46 Page 3 of 65

4 APPENDIX J2: FEEDBACK TO CERTIFICATION BODIES 47 APPENDIX J3: APPENDIX K: FEEDBACK TO CLIENT BODIES ON POLICING OF NHSS REGISTRATION ETC THE INTERPRETATION OF CERTIFICATES ISSUED BY CERTIFICATION/INSPECTION BODIES APPENDIX K1: SAMPLE SKILLS CARD (NOT USED) 51 APPENDIX L: GUIDANCE FOR CLIENTS 53 APPENDIX M: APPENDIX N: APPENDIX O: APPENDIX P: GUIDANCE FOR ORGANIZATIONS IN RESPECT OF APPROVED CONTRACTOR SCHEMES (WHERE RELEVANT) GUIDANCE FOR ORGANIZATIONS REGISTERED TO ANOTHER NHSS (WHERE RELEVANT) SCHEDULE OF SUPPLIERS APPLICATION FORM AND DIRECT DEBIT FORM. OTHER GUIDANCE (NOT USED) Page 4 of 65

5 COMPOSITION OF THE SECTOR SCHEME ADVISORY COMMITTEE, EXCLUSION OF LIABILITY AND SELECTION OF CERTIFICATION BODY COMPOSITION OF SECTOR SCHEME ADVISORY COMMITTEE a) FULL MEMBERS Association of Signals, Lighting and other highway Electrical Contractors Certification Bodies (See list in Appendix F) Highways Agency Highways Term Maintenance Association Road Tunnel Operators Association Transport for London Welsh Assembly Government (ASLEC) (CB) (HA) (HTMA) (RTOA) (TFL) (WAG) b) CORRESPONDING MEMBERS Association of Directors of Environment, Economy, Planning and Transport (ADEPT) British Tunnelling Society (BTS) Civil Engineering Contractors Association (CECA) Department for Transport (DFT) Department of Regional Development (Northern Ireland) (DRD(NI)) Fire & Rescue Service (FRS) Health and Safety Executive (HSE) Highways and Construction Training Association (HCTA) Major Contractors Group (MCG) National Standards Authority of Ireland (NSAI) SCOTS (SCOTS) Scottish Government (Transport Scotland) (TS) SURVIVE (SURVIVE) Technical Advisory Group (TAG) United Kingdom Accreditation Service (UKAS) Page 5 of 65

6 EXCLUSION OF LIABILITY The Sector Scheme Advisory Committee for NHSS 22 1 have and accept no liability whatsoever for any failure of any system or systems assessed under this Sector Scheme Document or for the quality, fitness for purpose, or safety of any product or service which is the subject of such assessment, 2 do not provide any representation or warranty as to any aspect of any such system, product or service, and 3 hereby expressly exclude all and any liability or responsibility (however alleged to arise) for or in connection with the provision of any service or product or any use of any product, all and any such liability or responsibility attaching exclusively to the producer (or user as the case may be) thereof. COPYRIGHT Permission is granted to reproduce and distribute this document subject to the restriction that the complete document must be copied without alteration, addition or deletion. SELECTION OF CERTIFICATION BODY It is important to note that due to the specific requirements for assessor competence required by this Sector Scheme a technical expert may be appointed by the Sector Scheme Advisory Committee to assist UKAS in the assessment of Certification Bodies (CB) as described in Appendix G (clause 3.1). Prospective companies seeking registration under this scheme should ensure that they engage a Certification Body specifically accredited to assess against the requirements of this SSD. Specifiers, consultants, engineers etc. that require confirmation of compliance with the Contract Specification in respect of the supply of products/materials should confirm the current status of the quality management system certificate issuer and that specific reference is made to this Sector Scheme on the Certificate of Registration (See Appendix K). IMPLEMENTATION ISSUE UKAS 1 This scheme introduces requirements for the management, operation, installation and maintenance of road tunnels. The Sector Scheme Advisory committee agreed with relevant trade associations and Certification Bodies that an introductory period for implementing this scheme was appropriate and concluded that this period operated until 1 st May Following expiry of this introduction period and where required in a Contract, Organizations will be required to be registered to the Scheme by a relevant UKAS accredited CB. The date will also be promulgated by the relevant trade associations and by CBs to their members and relevant clients respectively. In addition, the scheme will be included in Appendix A of the Specification for Highway Works (SHW) as a mandatory requirement for suppliers contracted to the Highways Agency where the SHW is a contractual document. Separately the document will be called up in specific contracts as necessary. Page 6 of 65

7 This deferral in implementation intended to allow new applicant companies and certification/inspection bodies sufficient time to comply with the interpretation given in this document. It is also proposed that a transitional period of twelve months from the date of availability (by UKAS) will be provided to companies who have obtained registration to BS EN ISO CBs have been able to issue Certificates of Registration since 1 st November It is advisable for Organizations to contact their CB to confirm that the CB has, or is intending to achieve, accreditation for this Sector scheme and establish the route for registration. Appendix H provides guidance on the interim arrangements for initial registration to this Sector Scheme during the introductory period. Training and competency requirements for this sector scheme are being developed by the Sector scheme advisory Committee as discussed in Appendix C of this SSD. The details of the requirements are to be identified and included in subsequent issues of the SSD. ISSUE UKAS 2 (i) (ii) [(iii) This issue of the SSD is to be implemented immediately from the date of publication on the UKAS website for assessments in accordance with BS EN ISO 9001 latest issue. Assessments against the previous issue will continue to be valid until the following assessment carried out by the accredited Certification Body. Implementation requirements described in the previous issue will continue to apply Note 1: Following publication of the document the organization should implement the changes in time for their surveillance visit or assessment visit by the Certification Body. Note 2: The Certification Body should assess the organization against the latest edition of the scheme within 14 months of its publication. Note 3: Where the surveillance/assessment visit of an organization occurs within two months of the publication of a revision, such assessment maybe undertaken against the previous edition subject to compliance with Note 2 above. Page 7 of 65

8 INTRODUCTION 1 This Sector Scheme Document (SSD) relates to the quality management system requirements for the Management, Operation, Installation and Maintenance of Road Tunnels. It sets out to identify a common interpretation of BS EN ISO 9001 for Organizations and Certification Bodies engaged in the sector, and the minimum qualifications that an assessor/auditor requires. The document shall be read in conjunction with BS EN ISO This Sector Scheme is one of the series of National Highway Sector Schemes (NHSSs), which have been developed as bespoke integrated management schemes within an ISO 9001 framework to interpret BS EN ISO 9001 as it applies to a particular highway related activity/industry within the United Kingdom. 3 Separate Sector Scheme Advisory Committees (SSACs) for each activity within the sector provide advice to UKAS and expert representation is drawn from all sides of industry. Each SSAC has interpreted BS EN ISO 9001 in relation to the requirements of their particular activity and has comes to a consensus on the minimum levels of workmanship, services, products, testing, and the training and competency of personnel, as appropriate, required to meet specification requirements as well as identified requirements in respect of environmental and health & safety and other aspects. The details are contained in the individual Sector Scheme Documents (SSDs). Following the publication of a revised BS EN ISO 9001, the committees will review their documents to ensure alignment with the revised BS EN ISO 9001 to ensure that the SSD do not conflict with the national standard prior to withdrawal of the previous edition of the standard. 4 The individual NHSS technical advisory committees are overseen by the National Highways Sector Scheme Liaison Committee (NHSSLC). This Committee provides a forum for discussion on the effectiveness of the Sector Schemes and co-ordinates developments so that they can be uniformly taken forward by each of the NHSS technical advisory committees. It is also the venue where dialogue with UKAS and the Certification Bodies on the application of the Sector Schemes takes place. 5 NHSSs together with BS EN ISO 9001 are designed to: Provide an industry benchmark Ensure that all processes are planned Provide a basis for continuous improvement Focus on quality as an objective Reduce costs for Client and Organization Provide and maintain a properly trained and competent workforce Involve all sides of industry in scheme ownership within a partnership framework Provide the basis for the technical knowledge and experience that Certification Body auditors will use in the sector concerned Promote confidence in quality management systems through provision of a robust transparent system 6 The Sector Scheme shall apply only where specified by the Client in their Contract Documents for the Management, Operation, Installation and Maintenance of Road Tunnels 7 In using this Sector Scheme users shall use best practice such as specifying any other relevant NHSSs as appropriate to the nature of the work being undertaken. 8 It should also be noted that NHSSs are mandatory for Highways Agency contracts and suppliers within the supply chain shall demonstrate compliance with the requirements of BS EN ISO 9001 and this SSD as part of their continual improvement within their BS EN ISO 9001 registration. It is anticipated that other highway authorities that use the Specification for Highway Works as the basic document for procuring highway works will also require Page 8 of 65

9 compliance with BS EN ISO 9001 and this SSD. Other owners of transportation infrastructure may also require their suppliers to comply with this Sector Scheme, as may other authorities e.g. ODA. 9 Where traffic management is required companies should either employ a National Highway Sector Scheme approved company or where applicable have skilled registered traffic management operatives qualified to meet the requirements of NHSS12D relevant to contract requirements and risk assessments. For work carried out on high speed dual carriageways and motorways the Organization installing Temporary Traffic Management measures should always be registered to NHSS 12A/B and/or 12C. 10 The SSD is a live document with the NHSS 22 Advisory Committee meeting at least once a year to develop it as appropriate. Those using the document should always ensure that they have the current version of the document. The SSD may be obtained by contacting any relevant Certification Body. by contacting UKAS at the address below by visiting the UKAS website ( from where the document can be freely downloaded or. Note: Information on relevant Certification Bodies may be obtained from the UKAS website by following the instructions given in Appendix F. 11 The Secretary of the NHSS 22 Advisory Committee may maintain a list of registered Organizations. The Secretary can be contacted at the address given below. 12 Lantra Awards maintains a list of registered Organizations for the NHSS Liaison Committee; details can be accessed from Organizations are required to notify the Schedule of Suppliers management team (See Clause 4.1) on an annual basis, which is monitored during the Certification Body assessment. An application form is provided at Appendix O of this document which should be copied and submitted to the Schedule of Suppliers Management team together with the annual registration fee following confirmation of registration to this NHSS. Note The cost of managing the website is defrayed by a small annual charge. Lantra Awards Schedule of Suppliers Management Team may be contacted by at scheduleofsuppliers@lantra-awards.co.uk to ascertain/check the status of an organization/company if it is not listed on the web-site. 13 Scheme Contact and Feedback a) Contact The Secretary NHSS 22 - SSAC c/o UKAS High Street Feltham Middlesex, TW13 4UN Tel Fax b) Feedback Page 9 of 65

10 Any feedback relating to this SSD should be provided in accordance with the procedures detailed in Appendices J1 to J3. INTERPRETATION OF BS EN ISO 9001: SCOPE This SSD together with BS EN ISO 9001 describes the quality management system requirements to be established by Organizations providing the management, operation, installation and maintenance of road tunnels. The document interprets the requirements of British Standard BS EN ISO 9001:2008 and should be read in conjunction with that standard. The SSD is applicable to Organizations carrying out, but not be limited to, the relevant aspects of the following: The undertaking and performance of road tunnel management, operation, installation and maintenance activities Design of and the operation of procedures for road tunnel traffic management, signs and signalling, communication and information systems, plant monitoring and control Appraisal of factors contributing towards a safe road tunnel environment for road users, local inhabitants, operators, maintenance staff, police and emergency services The training, and assessment of competency, of personnel Sustaining tunnel assets in a safe and usable condition Undertaking regular inspections designed to identify defects that are likely to create a danger to the public or staff or lead to unnecessarily high maintenance costs or disruption to traffic Recording and maintaining records. The Sector Scheme and the scope of registration shall be referenced in the Certificate of registration issued by the certification Body (see Appendix K). 2. NORMATIVE REFERENCE The following normative documents contain provisions which constitute provisions of BS EN ISO 9001 Quality Management Systems Requirements: BS EN ISO 9000:2005 Quality Management Systems Fundamentals and Vocabulary BS EN ISO 9004:2000 Quality Management Systems Guidelines for Performance Improvements. 3. TERMS, DEFINITIONS AND ABBREVIATIONS 3.1 For the purpose of this Sector Scheme Document the following terms and definitions shall apply: Authorised Person Client: A Competent Person authorised by the Organization to carry out specific elements of work appropriate to his/her level of competency as defined in this SSD The body for which the work is being carried out e.g. Highway Authority. Page 10 of 65

11 Certificate of Registration: A certificate issued by a UKAS accredited Certification Body certifying that the holder operates a Quality Management System complying with BS EN ISO 9001:2008 and this SSD. The Certificate will state the category (ies) of work that the holder is competent to supply. Note The Certificate of Registration must identify the NHSS(s) by number as well as by category and subcategory Competent Person Compliance Manager A person assessed as having the necessary education, training, skills, experience and technical knowledge, to undertake their works, services and duties. The person named in the Organization s Quality Plan as having responsibility for the development, review and continuous improvement of policies and procedures necessary to meet the criteria for activities carried out within this Sector Scheme. Contract The agreement between the parties governing the provision of works or services to which this SSD relates. Contract Specification: i) Manual of Contract Documents for Highway Works: Volume 1: The Specification for Highway Works (Department for Transport) or as specifically required in the contract documents. ii) Contract Specific Appendices iii) The Contract Drawings Customer: The body engaging the Organization for the purpose of the work described in this SSD. Designer The person / body responsible for identifying requirements and converting requirements into design outputs in the form of, but not limited to: drawings, specifications, plans, instructions. Diplomas: These are qualifications developed through the qualification framework and will supersede NVQs when they are up for revision. See Appendix C[Insert number] Highway / Road Tunnel National Vocational Qualification (NVQ) A subsurface highway structure with enclosed roof and sides not less than 150m in length the normal purpose of which is to enable vehicular traffic to use the highway / road which passes through it. a vocational qualification approved by the Qualification Curriculum Authority. Operation and Maintenance Manual Documents that contain all the information necessary for the safe and effective operation and maintenance of the tunnel, systems and system components so as to optimise their useful working life. Page 11 of 65

12 Organization Organization s Manager(s) Person Quality Plan Quality Management System shall Scottish Vocational Qualification (SVQ) Responsible Manager Safety Documentation Technical Control Room Operative Technical Control Room Supervisor Training Group Training Specification Tunnel Manager The body responsible for the provision of the product or service. The person(s) named in the Organization s Quality Plan as having managerial responsibility for the management, operation, installation and maintenance of road tunnel. A person within this document can be a person or a corporate body, except where it is explicitly stated that this must be a named individual(s). The document setting out the specific quality practices, resources and sequence of activities relevant to the project (See Appendix A). The Organization s structure, responsibilities, procedures, processes and resources for implementing Quality Management. Used to indicate a requirement strictly to be followed in order to conform to the standard and from which no deviation is permitted. (See ISO Directives Part 3:1997, Annex E) (reference guidance on terminology used in ISO 9001 and ISO 9004.) - a vocational qualification approved by the Scottish Qualification Authority. The person named in the Organization s Quality Plan as having managerial responsibility for activities set out in the scope. Documentation compiled pursuant to Annex II, Section 2 of the Road Tunnel Safety Regulation The person responsible for monitoring tunnel plant and control system faults and operating control of the tunnel. The person responsible for supervising Technical Control Room Operatives. A sub group of the Sector Scheme Advisory Committee responsible for formulating proposals to the committee on training and competence A specification, developed by the Training Group, which specifies the training requirements of employees carrying out work outlined in Clause 1 Scope and in line with the underpinning knowledge requirements for the appropriate level and unit(s) of the NVQ/SVQ where relevant. The person with overall responsibility for matters relating to administration, operation and maintenance of tunnels, and, in certain cases, parts of the adjacent road network, as defined by Regulation 8 of the Road Tunnel Safety Regulations 2007 Page 12 of 65

13 Tunnel Safety Officer The person responsible for tunnel safety as defined by Regulation 10 of the Road Tunnel Safety Regulations 2007, who coordinates all preventative and safeguard measures to ensure the safety of users and operational staff at (where appropriate) the design stage, the construction stage, and the operating stage 3.2 For the purpose of this Sector Scheme Document the following abbreviations shall apply: CB CSCS NHSS SSAC SSD UKAS Certification Body Construction Skills Certification Scheme National Highways Sector Scheme Sector Scheme Advisory Committee Sector Scheme Document United Kingdom Accreditation Service or any equivalent International Accreditation Forum (IAF) Multi-Lateral Agreement (MLA) signatory with a scope which includes this sector scheme. Note: The terms and definitions given in ISO 9000 remain applicable. QUALITY MANAGEMENT SYSTEM REQUIREMENTS Paragraph numbers in sections 4 to 8 below refer to the relevant paragraph numbers in BS EN ISO Where the term No specific interpretation is used in this SSD the requirements are as stated in BS EN ISO 9001 without further qualification. The interpretations given below are to assist in the clarification of the ISO 9000 text for the relevant activity, no inference should be made that ISO 9001 requirements are diluted or deleted because of this interpretation. 4 Quality management system 4.1 General requirements The Organization shall operate a quality management system to BS EN ISO 9001: 2008 and this schedule. The organization shall notify and provide evidence of their Certificate of Registration to this scheme to the Schedule of Suppliers via Lantra Awards (Lantra House, Stoneleigh Park, Kenilworth, Nr Coventry, CV8 2LG) immediately following confirmation from the Certification Body and thereafter annually in April. In addition the organization shall provide details of a focal point for the organization including their title / position at the time of notification. An application form is given in Appendix O of this document; this may be copied for submission to the Schedule of Suppliers Management Team at Lantra House. 4.2 Documentation requirements General (i) Quality Plans shall be required for all contracts. When specified in the contract documents or requested, the Organization shall submit a Quality Plan or alternative Page 13 of 65

14 document as defined in the Contract Specification for acceptance or approval by the Client, as appropriate, prior to commencement of work (See Appendix A). The relevant Quality Plan and standard operating procedures shall be available to operatives and shall be read and signed by each operative Quality manual No specific interpretation Control of documents (i) (ii) (iii) As part of the Organization s procedures for document control, the following documents are typically required to be controlled, this shall include, but not be limited to, as applicable Contract specific documents e.g. drawings, schedules, as listed in the Quality Plan. a Correspondence b Delivery notes and certification where required, e.g. materials testing, provenance certificates. c Records of rejected material d Training records/certificates e Contract documentation and customer order f Customer specification, drawings and records g Instructions to office staff, site staff and control room staff h Health and safety information or requirements i Safety Documentation j Operation and Maintenance Manuals k Emergency Plans l Compliance, Management, Operation, Installation, Maintenance and Safety Reports m Calibration and maintenance records. Methods to ensure the Organization obtains any amendments or replacements to the documents listed in Appendix B where appropriate to the scope of registration and contract specification. The Organization shall have procedures in place to ensure that the latest versions of relevant Standards and Documents are always available (See Appendix B) The Organization shall keep all records after completion as required by the terms of the Contract or for a minimum of six years whichever is the longer. Record disposition after this period shall be defined in the Quality Plan Control of records (i) In addition to the Organization s own quality records, the following records shall typically be kept: Contract specific records, e.g. risk assessments, as listed in the Quality Plan. As part of the Organizations procedures for document control, the following contract specific documents are typically required to be controlled, this shall include, but not be limited to, as applicable: a Correspondence b Delivery notes and certification where required, e.g. materials testing, provenance certificates. c Records of rejected material d Training records/certificates e Contract documentation and customer order Page 14 of 65

15 f g h i j k l m Customer specification, drawings and records Instructions to office staff, site staff and control room staff Health and safety information or requirements Safety Documentation Operation and Maintenance Manuals Emergency Plans Compliance, Management, Operation, Installation, Maintenance and Safety Reports Calibration and maintenance records. Methods to ensure the Organization obtains any amendments or replacements to the documents listed in Appendix B where appropriate to the scope of registration and contract specification. (ii) The Organization shall keep all records after completion as required by the terms of the Contract or for a minimum of six years whichever is the longer. Record disposition after this period shall be defined in the Quality Plan. 5 Management responsibility 5.1 Management commitment No specific interpretation. 5.2 Customer focus (i) Processes for determining customer requirements shall consider the interests of the Client and the product end users, i.e. the general public/travelling public and shall be mindful of the Client s interaction with the end users. This will include processes to minimise disruption to traffic and third parties. 5.3 Quality policy 5.4 Planning The organization s quality policy statement shall include a statement of commitment to this NHSS Quality objectives No specific interpretation Quality management system planning Aspects of tunnel documentation will be of particular interest to parties such as traffic operators, police, emergency services, maintaining and environmental authorities. Emphasis must be placed on the early detailed and continuous consideration that must be given, by the relevant parties involved, to particular aspects of safety peculiar to the road tunnel and the overall cooperation, interaction and teamwork that is required to effectively operate and maintain the road tunnel. 5.5 Responsibility, authority and communication Responsibility and authority No specific interpretation. Page 15 of 65

16 5.5.2 Management representative No specific interpretation Internal communication No specific interpretation. 5.6 Management review General (i) Organization shall review the quality management system at least once a year, or on occasions when a significant change in the Contract Specification takes place to ensure its continuing suitability and effectiveness to conform to this NHSS Review input No specific interpretation Review output No specific interpretation. 6 Resource management 6.1 Provision of resources No specific interpretation. 6.2 Human resources General The training and assessment of operatives required by this scheme is aimed primarily at technical competence for the management, operation, installation and maintenance of road tunnel operatives. It is intended to provide awareness to carry out work in a safe manner however it remains the responsibility of the Organization to determine and implement safe systems of work Competence, awareness and training (i) Management Resources, Responsibilities and Qualifications The Organization shall appoint persons to undertake the following roles as appropriate. Guidance on roles and responsibilities is provided in Appendix L. 1. Authorising Officer(s) 2. Compliance Manager(s) 3. Responsible Manager(s) 4. Technical Control Room Operator(s) 5. Technical Control Room Supervisor(s) A Person may have more than one function however an Authorising Officer cannot be the Responsible Manager for a given employee. Page 16 of 65

17 (ii) Quality System Familiarisation, Training and Assessment of Competence The Organization shall meet the following requirements for each tunnel. 1. Quality System Familiarisation Shall include 2. Training a. Induction Training b. Organization s operating procedures and safe systems of work a. Shall be in accordance with Appendix C 3. Assessment of competence for Authorised Persons by the Organization s Authorising Officer(s) a. Each employee shall be assessed by the Organization s Authorising Officer(s) to ensure that they are competent to carry out the work they are required to perform to the appropriate level of competency as defined in this SSD. b. Once the Authorising Officer(s) is satisfied that the employee is a Competent Person he shall issue a certificate of authorisation to carry out work which shall be signed by the Responsible Manager. The appropriate level of authorisation shall be shown on the certificate. c. The Organization shall have procedures, which specify how the Authorising Officer(s) shall ensure the continuing competence of employees. As a minimum the following employee competence reviews shall take place: i. An annual desk top review including, where applicable, the results of relevant third party audits. The requirements for qualification and experience for Competent Persons and Authorising Officers are given in Appendix C. (iii) (iv) Employee Register The Organization shall record their Authorised Persons. Record of Practical Experience and Continuous Professional Development The Organization shall maintain a portfolio of the practical experience gained by its employees. This portfolio shall indicate the relevant experience with reference to the appropriate training level contained in the Training Specification. The Organization shall have a planned programme for the continuing professional development of its employees, which shall include the frequency of refresher training at intervals appropriate to the activity, not exceeding five years. (v) Organizational Requirements Employees who are undergoing training can carry out work for which they have not been authorised as competent only under the direct supervision of an Authorised Person who has been authorised at the appropriate level of competence. 6.3 Infrastructure No specific interpretation. Page 17 of 65

18 6.4 Work environment No specific interpretation. 7 Planning and product realization 7.1 Planning of product realization (i) The Quality Plan shall as a minimum address the topics listed in Appendix A of this schedule. (ii) (iii) (iv) (v) The Quality plan may be a largely standard document as indicated in Appendix A of this schedule supplemented by contract specific information. The Quality Plan should not be considered in isolation. An integrated approach should be taken which links the Quality Plan, Environmental Plan, Sustainability Plan, the Health and Safety Plan, Risk Management etc together. Management of the service as a whole is reliant on quality and hence the contract and the quality element cannot be separated, as one cannot function without the other. NOTE: - The Quality Plan describes the management strategy that sets clear and sustainable performance objectives, delegates responsibility and establishes lines of communication. The objective being to manage the various management schemes within an overall management scheme within an organization. The Organization shall, in order to reduce the need for waste disposal, minimise the generation and environmental impacts of wastes arising during the contracted works and shall maximise opportunities for the re-use and recovery of wastes. The Organization shall document its arrangements for the identification, segregation, handling, storage and disposal of the different types of wastes arising from the contracted works. 7.2 Customer related processes Determination of Requirements Related to the Product (i) (ii) Processes for determining customer requirements shall consider the interests of the Customer, Operator, Maintainer and the end user. This will include processes to minimise disruption to traffic, neighbours and other third parties. Determination of requirements related to the product and services should include: Resource efficiency aspect requirements specified by the Customer; Resource efficiency aspect requirements not stated by the Customer but necessary for specified or intended use, where known; and Statutory and Regulatory Requirements related to the resource and resource efficiency aspects of the product and service Review of requirements relating to the product (i) (ii) The processes for review and determination of requirements shall require the Organization to verify with the Customer that the order placed meets the technical requirements included in the Client's Contract Specification. Matters of a significant nature which arise during the determination and review of requirements shall be considered during the management review and incorporated as necessary into the quality management system. Page 18 of 65

19 (iii) (iv) (v) The Organization shall, prior to commencement, check the practicality of the proposed work. This may include liaison with third parties, e.g. the Highway Bodies, Technical Approval Authority, Traffic Officer, Police, Emergency Services, the Customer and / or Client. Where irregularities or inconsistencies with the specification or health and safety requirements are encountered these shall be brought to the attention of the Customer and / or Client for resolution. The review method shall include processes to establish Customer and / or Client testing and inspection requirements. Matters of a significant nature, which arise during these review processes, shall be considered at management reviews and incorporated as necessary into the quality system Customer communication (i) (ii) The Organization shall have a process in place to notify Lantra Awards of its registration status in respect of this NHSS, within 14 days of gaining registration to this scheme and thereafter annually in April. The Customer needs to be informed about the products, that is, they require detailed information as appropriate regarding materials, components, manufacturing details etc. for the purposes of: (a) as-built records for maintenance/health and safety requirements. (b) For their own monitoring of the effectiveness/performance of the product. The Quality Plan shall identify what and when relevant information is passed on to the customer or their agent. The SSAC shall define the relevant information e.g. contract or legislative requirement such as CDM regulation requirements. 7.3 Design and development Attention is drawn to the requirements contained in the DMRB, and in particular, GD02 Quality Management Systems for Highway Design for those organisations where these documents are applicable Design and development planning No specific interpretation Design and development inputs No specific interpretation Design and development outputs No specific interpretation Design and development review No specific interpretation Design and development verification Page 19 of 65

20 No specific interpretation Design and development validation No specific interpretation Control of design and development changes No specific interpretation 7.4 Purchasing The Organization shall establish procedures to ensure that supplies of services and materials are obtained from a list of approved suppliers which should include registration to relevant NHSS s Purchasing process The Organization shall establish procedures to ensure that all services and materials conform to the Contract Specification. In the absence of a Contract Specification, European Community Directives and Standards may apply. All copies of certification which verify product conformity of materials shall, on request, be passed to the Customer and / or Client Purchasing information No specific interpretation Verification of purchased product No specific interpretation 7.5 Production and service provision Control of production and service provision The Organization shall identify and plan the supply and installation processes. Examples of conditions, which shall be controlled, include: a) an agreed procedure for carrying out emergency repairs including health and safety requirements. b) when the Organization is the main contractor, location and identification of underground and over ground services and structures including installed systems together with the names, addresses and telephone numbers of persons responsible for them. c) when the Organization is a sub-contractor, the taking of all reasonable steps to ensure this information is available from the main contractor and is suitable to the extent that the Organization is satisfied it is safe to carry out the sub-contract works. d) access to and a working knowledge of the relevant documents listed in Appendix B of this schedule together with the Contract Specification. e) any special instructions relating to the service and programme of activities is documented and issued to all relevant personnel. Page 20 of 65

21 7.5.2 Validation of processes for production and service provision Works orders, risk assessment and quality plans for the management, operation, installation and maintenance of NHSS 22 shall be signed by the Registered Lead NHSS 22 Operative or Technical Officer and retained for 6 years. They will also be submitted to the Client if requested Identification and traceability There must be an auditable process of document retention which can be clearly identified and traced Customer property The quality management system shall include a procedure where materials are supplied by the Customer or the Client Preservation of product Systems shall be in place to inspect and maintain all goods returned from site before their subsequent use. When appropriate to the contract, storage arrangements and delivery programme for all materials shall be stated in the Quality Plan. Systems shall be in place to ensure goods returned to stock are placed at the correct location in the materials storage area. 7.6 Control of monitoring and measuring devices The Organization s system shall include documented procedures to demonstrate the manner and frequency of the calibration of the measuring and test equipment. (See Appendix E for guidance.) The frequency shall be either in accordance with the equipment manufacturer s recommendations, or at intervals, not exceeding twelve months, whichever is the lesser period. (See Appendix E for guidance). 8 Measurement, analysis and improvement 8.1 General Inspection, monitoring and appropriate testing shall be undertaken to demonstrate adherence to the Contract Specification and to meet the operational needs of the tunnel. 8.2 Monitoring and measurement Customer satisfaction No specific interpretation Internal audits Internal audits shall be carried out at sufficient frequency and by a suitable technically competent person/s to ensure a robust assessment of the compliance of the product. The quality plan shall state the frequency of internal audits. Internal audits of the quality management system against this SSD shall include at least two visits a year to specific works sites to check NHSS 22 activities. (Where the organization does not have contracts Page 21 of 65

22 which provide continuous working throughout a full year, visits shall be conducted on a prorata basis, but at least one visit per contract must be made). Internal auditors shall have a working knowledge of NHSS 22 activities. Internal audits shall be carried out by the nominated quality manager. Internal audits shall be carried out following a major incident and /or any significant failure of the quality management system that may result in injury or damage Monitoring and measurement of processes This includes the ongoing impact of NHSS 22 activities on other works including congestion, operational safety and traffic flows, and the implementation of management processes Monitoring and measurement of product No specific interpretation 8.3 Control of non-conforming product Non-conforming component parts and schemes shall not be used unless written approval has been received from the Client. Any material and /or work not conforming to the specification shall either be reworked to conform to the specification or must formally be accepted in writing by the customer. The materials and/or work shall otherwise be considered as rejected and precluded from use as originally intended. 8.4 Analysis of data Analysis of data relating to road traffic incidents, fires and any major incident and /or any significant failure of the quality management system that may result in injury or damage shall be undertaken and reported to the client. 8.5 Improvement No specific interpretation Continual improvement The corrective and preventative action processes shall include analysis of incidents and occurrences Corrective action No specific interpretation Preventive action No specific interpretation. Page 22 of 65

23 APPENDIX A: REQUIREMENTS FOR QUALITY PLANS The Quality Plan shall include the following items as a minimum. 1.0 General requirements 1.1 Definition of the product (or service) to be provided. 1.2 The structure of the Organization describing the line of command and stating the names of the Organization s Manager responsible for the contracted work. 1.3 Identification of the relevant parts of the Organization s quality manual relevant to the product or service being provided. 1.4 The control of team selection including special requirements for skilled personnel e.g. training of site staff. 1.5 The control of equipment. 1.6 Any environmental conditions impacting upon the specified works. 1.7 Location of site for the contract and means of access 1.8 Specification and/or Contract Documents 1.9 Extent of the works and the commencement and completion dates of the contract 1.10 Details of the work (as appropriate) 1.11 Details of existing materials (as applicable) 1.12 Disposition of records 2.0 Contract specific information The Customer's nominated Quality Manager, project manager and/or other representatives through whom communication is to be made throughout the contract Names of the staff involved with the contract including the NHSS 22 qualified operatives. Contact details for these staff. 2.2 Details of the contract specific equipment to be used and any certification required to be issued to the Customer/Client. 2.3 Name and contact details of Customer/Client contact(s). 2.4 Details of the communications required between the Organizations staff and the Customer/Client or any other party. 2.5 Work programme and details of deliverables. 2.6 Liaison with the Police and the Highway Authority or other competent authority. 2.7 Materials storage details and location Page 23 of 65

24 2.8 Method statements for application/installation, maintenance and removal of tunnel plant, equipment and systems, and the detailed drawing(s) to be supplied. 2.9 Inspection and testing regime to be adopted covering frequency, methods of test, responsibility for testing and acceptance criteria Control of non-conforming product How performance requirements are to be achieved All relevant contract specific information in respect to speed restrictions, safety requirements, environmental requirements, existing conditions and site conditions Any client-specified testing requirements and responsibility for testing including the supply of test equipment. NOTES: 1. Where certain aspects of this information cannot be obtained or, is not provided, this fact shall be noted in the Quality Plan against the appropriate section. 2. The Organization should also be aware that there may be further general requirements for quality plans within a contract, for instance Appendix 1/24 of the Manual of Contract Documents for Highway Works, which may also need to be addressed. Page 24 of 65

25 APPENDIX B: REFERENCE AND ASSOCIATED DOCUMENTS (BIBLIOGRAPHY) NOTE: - The listing is not comprehensive; other documents may be required to fulfil the requirements of the contract. Organizations shall ensure that they have a working knowledge of and access to all the documents including amendments unless stated otherwise in the specification Organizations shall ensure they are working to current reference or associated documents appropriate to work in their sector. 1 Manual of Contract Documents for Highway Works: Volume 1 Specification for Highway Works (SHW), and amendments 2 Manual of Contract Documents for Highway Works - Volume 2 Notes for Guidance on the Specification for Highway Works (NGSHW), and amendments. 3 Manual of Contract Documents for Highway Works - Volume 3 Highway Construction details, and amendments. 4 Manual of Contract Documents for Highway Works - Volume 5 Contract Documents for Specialist Activities, and amendments. 5 Manual of Contract Documents for Highway Works - Volume 6 Departmental Standards and Advice Notes on Contract Documentation and Site Supervision, and amendments. Contract Documents for Specialist Activities, and amendments. 6 BS EN ISO 9000 (latest issue) - Quality Management Systems Fundamentals and Vocabulary 7 BS EN ISO 9001 (latest issue) - Quality Management System Requirements 8 ISO 9004 (latest issue) - Quality Management Systems Guidelines for Performance Improvements 9 ADR Directive 2007 (Issue 6) and amendments. 10 The Design Manual for Roads and Bridges ( 11 The Road Tunnel Safety Regulations 2007 and amendments. 12 Regulatory Reform (Fire Safety) Order The Road Tunnels Industry Registration Scheme Handbook for National Highways Sector Scheme GD02 Quality Management Systems for Highway Design (DMRB 0.2.1) PIARC Technical Committee Road Tunnel Reports 16 Interim Advice Notes (IANs) 17 Network Management Manual (NMM) 18 Routine & Winter Service Code (RWSC) Page 25 of 65

26 19 The Traffic Systems & Signaling Registry (tss Plans Registry) NOTE: This list of standards and documents include those that are date specific, however, the Organization shall have procedures in place to ensure that the latest versions are always available. (See clause 4.2.3). Page 26 of 65

27 APPENDIX C: TRAINING AND HEALTH AND SAFETY FOR NHSS 22 OPERATIVES/EMPLOYEES The Organization shall ensure that their Operatives/employees shall have undergone suitable training that will cover aspects of the work to be undertaken as follows: 1. Qualifications and Credit Framework The Qualifications and Credit Framework (QCF), which will ultimately replace the National Qualifications Framework (NQF), will be an operational pilot from 01/08/08. Awarding Bodies should be actively involved in the process of beginning to identify and align several Sector Skills Councils (SSCs) priorities with the needs of their centres and providers. The aim should be to ensure that only Qualifications fit for purpose will be developed and that they continue to work pro-actively with their industry partners to meet the needs of employers and employees in all areas of training provision. 1.1 What is the QCF? The QCF is designed to be a simple and flexible system that will operate across England, Wales and Northern Ireland and will closely align with the Scottish Credit and Qualifications Framework. It will recognise achievement of learners from aged and supports a national record of learner achievement enabling movement between centres and Awarding Bodies if appropriate. 1.2 Features: All units within the framework will have a title, credit value, level, and a set of explicit learning outcomes and assessment criteria. Each unit should stand alone and be capable of independent assessment. Units will be the building blocks of qualifications and all qualifications will be described through agreed rules of combination. There will be a standardised simple architecture to describe qualifications represented by size and level from Entry level through to level 8. Qualifications will be identified as: Awards (1-12 credits), Certificates (13-36 credits) and Diplomas (37+). The aim is that all achievements can be standardised by a common currency which is credit and that the level and size of achievements should be standardised and easy to recognise. Credit can be accumulated and transferred and used flexibly to meet a variety of learner needs. One credit will represent 10 notional learning hours. 1.3 QCF Diplomas: A number of existing competency based Qualifications such as NVQs once re-written as credit based Qualifications within the QCF will become Diplomas by virtue of their size. For example the new Level 2 and Level 3 Diplomas in Fencing have evolved from the old Fencing NVQs. The content of these particular QCF Diplomas will remain the same; as will the Quality assured assessment strategy that underpins them. However they will look a little different as they will each represent a certain number of credits at a given level. Each unit will also incorporate both competency outcomes and knowledge outcomes. QCF Diplomas should not be confused with the new Diplomas that have been Page 27 of 65