NATIONAL HIGHWAYS SECTOR SCHEMES FOR QUALITY MANAGEMENT IN HIGHWAY WORKS

Transcription

1 NATIONAL HIGHWAYS SECTOR SCHEMES FOR QUALITY MANAGEMENT IN HIGHWAY WORKS Particular Requirements for the Application of ISO 9001:2015 for the Installation, Maintenance and Repair of Modular Paving Published by the Sector Scheme Advisory Committee for the Installation, Maintenance and Repair of Modular Paving (ISO 9001:2015 Version) Issue 1 [9001:2015] Page 1 of 65 NHSS 30 : July 2017

2 Endorsed for publication by the Chairman of the NHSSLG Name I. Walsh.. Date July DOCUMENT CONTROL ISO 9001:2015 version Issue 1 [9001:2015] NHSS 30 scheme document Revisions Appendix O Totally revised to be in accordance with revised Schedule of Suppliers register Full revision of text to align with ISO 9001:2015 Issue Statement: This Sector Scheme Document is the property of the Sector Scheme Advisory Committee for the Installation, Maintenance and Repair of Modular Paving and its issue is controlled. Any reproduction should be of the whole, not part, of the document. The Sector Scheme Document is subject to periodic review and will be amended by the Committee as necessary in the light of experience in its operation. It is the Committee s policy that the issue of any revision to this document shall be an issue of the full document rather than individual pages. Chairman of Committee I D Walsh Secretary of Committee C Nessfield Issue 1 [9001:2015] Page 2 of 65 NHSS 30 : July 2017

3 Contents Page No Cover Sheet 1 Document Control 2 Contents 3 Composition of Sector Scheme Advisory Committee, Exclusion of Liability, Copyright, Selection of Certification Body & Implementation 5 Introduction 7 Particular Requirements for the Application of ISO 9001: Scope 9 2. Normative Reference 9 3. Terms and Definitions Quality Management System Requirements 12 Appendix A: Requirements for Quality Plans 24 Appendix B: Reference and Associated Documents, (Bibliography) 26 Appendix C: Training and Assessment of Competency Health and Safety 29 Appendix D: Example Register of Personnel Attainments 36 Appendix E: Guidance for The Control of Monitoring and Measuring Equipment 37 Appendix F: Certification Bodies Accredited for this Sector Scheme 38 Issue 1 [9001:2015] Page 3 of 65 NHSS 30 : July 2017

4 Appendix G: The Role of Certification Bodies and Auditor Qualifications 39 Appendix G1 Guidance to Certification Body Auditors and Other Auditors 42 Appendix H: Organization Acceptance and Guidelines for New Entrants 52 Appendix J1: Feedback to Committee Chairperson 54 Appendix J2: Feedback to Certification Bodies &/or Notified Bodies 55 Appendix J3: Feedback to Client Bodies on Policing of NHSS Registration 56 Appendix K: The Interpretation of Certificates Issued by Certification/Inspection Bodies 58 Appendix K1: Sample Skills Card 59 Appendix L: Guidance for Clients 60 Appendix M: Guidance for Organizations this appendix is not used 62 Appendix N: Guidance on the Relationship between this Sector Scheme and other NHSS s this appendix is not used 63 Appendix O: How to Register on the Schedule of Suppliers 65 Issue 1 [9001:2015] Page 4 of 65 NHSS 30 : July 2017

5 Composition of the Sector Scheme Advisory Committee, Exclusion of Liability, Copyright and Selection of Certification Body Composition of Sector Scheme Advisory Committee a) Full Members Interpave Interlay British Precast Concrete Federation (BPCF) Brick Development Association (BDA) Stone Federation Great Britain Highways England (HE) Association of Directors of Environment, Economy Planning and Transportation (ADEPT) British Association of Landscape Industries (BALI) CITB - Construction Skills Lead Certification Body (LRQA) UK Accreditation Service (UKAS) b) Corresponding Members Transport Scotland, Transport NI NHSS 12D Temporary Traffic Management on Rural and Urban Roads. NHSS 7 Road Marking NHSS 18 Landscaping Certification Bodies on request. EXCLUSION OF LIABILITY The National Highway Sector Scheme Liaison Committee 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. Issue 1 [9001:2015] Page 5 of 65 NHSS 30 : July 2017

6 COPYRIGHT NHSSLC. 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. This is subject to material not being used in a derogative manner or in misleading context. The source of the material must be acknowledged as SSAC 30 copyright and the title of the document must be included when being reproduced as part of another publication or service. 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 a supplier or 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 Issue 1 [9001:2015] Amendments First Issue This Sector Scheme is one of the series of NHSSs, which are bespoke integrated management schemes within an ISO 9001:2015 framework that have been developed to define particular requirements within BS EN ISO 9001:2015 as it applies to a particular activity/industry within the United Kingdom. Note: This document has been produced to supersede the UKAS Issue 2 version (which relates to BS EN ISO 9001:2008), however the UKAS Issue 2 version (or an updated version of this) will continue to have validity until September 2018 when the 2008 version of BS EN ISO 9001 will become obsolete. The scheme is included in Appendix A of the Specification for Highway Works (SHW) as a mandatory requirement for suppliers contracted to the Highways England where the SHW is a contractual document. Separately the document is called up in specific contracts as necessary. 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 ISO 9001 itself or another NHSS This deferral in implementation was to allow new applicant companies and certification/inspection bodies sufficient time to comply with the particular requirement given in this document. 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. Note 4: The NHSS document is date specific; however the Organization shall have procedures in place to ensure that the latest version is always available. Organizations should be aware that utilization of internet search engines may result in out of date references being identified/called up. Issue 1 [9001:2015] Page 6 of 65 NHSS 30 : July 2017

7 Introduction July This Sector Scheme Document (SSD) relates to the quality management system requirements for the National Highway Sector Scheme NHSS 30 for the Installation, Maintenance and Repair of modular paving. It sets out to identify common particular requirements and interpretation of ISO 9001:2015 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 ISO 9001:2015 and other relevant specification/standard as detailed in appendix B. 2 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 ISO 9001:2015 as applicable to a particular infrastructure 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 determines the particular requirements for ISO 9001 in relation to the requirements of their particular activity and 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 ISO 9001, the committees will review their documents to ensure alignment with the revised ISO 9001 to ensure that the SSD does not conflict with the international 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 ISO 9001 are designed to: Provide an industry benchmark Identify risks and opportunities 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 This Sector Scheme shall apply where specified by the Client in their Contract Documents for NHSS 30 for the Installation, Maintenance and Repair of modular paving 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. Issue 1 [9001:2015] Page 7 of 65 NHSS 30 : July 2017

8 8 It should also be noted that NHSSs are mandatory for Highways England contracts and suppliers within the supply chain shall demonstrate compliance with the requirements of ISO 9001 and this SSD as part of their continual improvement within their ISO 9001 registration. The use of the Specification for Highway Works as the basic document for procuring highway works by other highway authorities would normally automatically call up compliance with ISO 9001 and this SSD. Other owners of infrastructure for example [e.g. Network Rail] may also require their suppliers to comply with this Sector Scheme, as may other authorities. 9 Where traffic management is required companies shall either employ a National Highway Sector Scheme approved company or where applicable have skilled registered traffic management operatives qualified to meet the competency requirements of NHSS 12D 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 SSAC30 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 visiting the UKAS website ( from where the document can be freely downloaded. Note: Information on relevant Certification Bodies may be obtained from the UKAS website by following the instructions given in Appendix F. This NHSS document is date specific, Organizations should have processes in place to ensure that the latest version is always available. Organizations should be aware that utilisation of internet search engines may result in out of date references being identified/called up. 11 The current list of registered Organizations is maintained in the Schedule of Suppliers data base hosted by LANTRA on a website 12 It is a requirement of this scheme that Organizations themselves register their details on this website and keep them up to date; Certification Bodies will check that the Organization is registered on the website together with all relevant information, including a pdf copy of the current certificate of registration that the Certification Body issues and any other specific documentation to be uploaded specified by this SSD, prior to annual and surveillance visits 13 Scheme Feedback Any observations, complaints or feedback relating to the operation of this document and the scheme should be addressed using the procedures given in Appendices J1, J2 or J3 as appropriate. Appendix J1 is to be used for observations and general queries concerning the document and general feedback. Appendix J2 relates to the assessment process carried out by Certification Bodies. Appendix J3 relates to policing of the scheme. Completed J1 forms should be sent to the Committee Secretary : Completed J2 forms should be sent directly to the relevant Certification Body. Completed J3 forms should be sent to the relevant Highway Authority, client or HSE as appropriate and indicated on the form 14. Scheme Contact and Feedback The Secretary Sector Scheme Advisory Committee for the Installation, Maintenance and Repair of modular paving Interlay, The Old Rectory, Main Street, Glenfield, Leicestershire. LE3 8DG Tel: Issue 1 [9001:2015] Page 8 of 65 NHSS 30 : July 2017

9 Particular Requirements for the Application of ISO 9001: SCOPE The adoption of a quality management system is a strategic decision for an organization that can help to improve its overall performance and provide a sound basis for sustainable development initiatives. The potential benefits to an organization of implementing a quality management system based on this Standard are: a) the ability to consistently provide products and services that meet customer and applicable statutory and regulatory requirements; b) facilitating opportunities to enhance customer satisfaction; c) addressing risks and opportunities associated with its context and objectives; d) the ability to demonstrate conformity to specified quality management system requirements. This SSD together with ISO 9001 describes the quality management system requirements to be established by Organizations providing for the Installation, Maintenance and Repair of modular paving. The document provides particular requirements for the application of this scheme additional to the requirements of British Standard BS EN ISO 9001:2015 for this industry and shall be read and implemented in compliance with that standard. The SSD is applicable to the part of the Organizations within the scope of the defined QMS carrying out the Installation, Maintenance and Repair of modular paving (including reinstatement after installation or maintenance/repair of services and other access procedures), to include: a) Pavers or Setts Rigid (Bound) b) Pavers or Setts Flexible (Unbound) c) Flags & Slabs Rigid (Bound) d) Flags & Slabs Flexible (Unbound) e) Kerbs, Channels & Edgings f) Linear Drainage & Ironwork g) Base Construction This scheme is not intended to replace other management system requirements or other contractual requirements. The SSD shall be referenced on the Certificate of Registration issued by the Certification Bodies. 2. NORMATIVE REFERENCE The following normative documents contain provisions which constitute provisions of BS EN ISO 9001 Quality Management Systems Requirements: BS EN ISO 9000:2015 Quality Management Systems Fundamentals and Vocabulary BS EN ISO 9001:2015 Quality Management Systems Requirements and normative references within it BS EN ISO 9004:2009 Quality Management Systems Managing for the sustained success of an organization. A quality management approach. NHSS 0 Guide to the identification, Development Management and Certification of National Highway Sector Schemes Issue 1 [9001:2015] Page 9 of 65 NHSS 30 : July 2017

10 3. TERMS, DEFINITIONS AND ABBREVIATIONS For the purpose of this Sector Scheme Document the terms and definitions given in ISO 9000:2015 shall apply except where listed in the table below; see also NHSS 0 Part 5: Base: Any layer below the laying course. Client: The body for which the work is being carried out e.g. Highway Authority. 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 9001:2015 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 scope and sub-scope 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 Components: These comprise all the elements that make up the required pavement including as appropriate sub base, base materials, laying course material, jointing sand, bedding course and jointing mortar, concrete, clay and stone units, joint sealants and complementary fittings Customer: The body engaging the Organization for the purpose of the work described in this SSD. Diplomas: These are qualifications developed through the qualification and credit framework [QCF]. See Appendix C Ironwork: Gratings, covers, gulleys, rodding eyes and other metalwork and related products installed in the road structure. National Vocational Qualification (NVQ) a vocational qualification approved by Ofqual National Occupational Standard (NOS) - provide the means for assessing performance in a job: they are work-related statements of the ability, knowledge, understanding and experience that an individual should have to carry out key tasks effectively. They provide a benchmark for qualifications Organization The body responsible for the provision of the installation of Installation, Maintenance and Repair of modular paving in accordance with this document Organization s Manager The person named in the Organization s Quality Plan as having managerial responsibility for the Installation, Maintenance and Repair of modular paving. Project An individual scheme at a particular location. It may be a contract in its own right or part of a larger contract Quality Plan The document setting out the specific quality practices, resources and sequence of activities relevant to the project (See Appendix A). Quality Management System The Organization s structure, responsibilities, procedures, processes and resources for implementing Quality Management. Scottish Vocational Qualification (SVQ) a vocational qualification approved by the Scottish Qualification Authority. Issue 1 [9001:2015] Page 10 of 65 NHSS 30 : July 2017

11 Supplier The bodies supplying the components and products required for the Installation, Maintenance and Repair of modular paving. Where such products are the subject of a European Standard only products complying with the relevant standard shall be used. The following additional terms and definition shall apply: Skills Card A card issued by a recognised authority, which demonstrates the level of competency, the date, achieved by the holder and the validity of the card. In some instances it is also used as a registration card and as an identity card. Provider This term is the preferred term used in ISO 9001:2015 in place of supplier, which was used in ISO 9001:2008. The terms are synonymous. 3.2 For the purpose of this Sector Scheme Document the following abbreviations shall apply: BS British Standard CB Certification Body CAB Conformity Assessment Body CSCS Construction Skills Certification Scheme EN European Standard HAPAS Highway Authorities Product Approval System HAUC Highway Authorities and Utilities Committee ISO International Standards Organization NHSS National Highways Sector Scheme SS Sector Scheme SSAC Sector Scheme Advisory Committee SSD Sector Scheme Document SHW Specification for Highway Works UKAS 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 9000:2015 remain applicable. Issue 1 [9001:2015] Page 11 of 65 NHSS 30 : July 2017

12 4 to 10 QUALITY MANAGEMENT SYSTEM REQUIREMENTS Particular Requirements ISO 9001:2015 Introduction This document shall be read in conjunction with the requirements of ISO 9001:2015 Clause/Paragraph numbers in this section reference appropriate paragraphs of ISO 9001:2015. The requirements of ISO 9001:2015 are deemed to apply unless specific additions are required. Where no particular requirements are recorded under an ISO 9001 clause heading this means that it is not considered necessary to provide an particular requirement for that clause. The particular requirements given below are to assist in the clarification of the ISO 9001 text for the relevant activity, no inference should be made that ISO 9001 requirements are diluted or deleted because of this particular requirement. 4 Context of the organization 4.1 Understanding the organization and its context No specific particular requirement 4.2 Understanding the needs and expectations of interested parties Interested parties shall include the Customer, Client and other contractors, and those that interact with or use the Client s infrastructure e.g. the general public including travelling public, emergency services and other relevant organisations and stakeholders. 4.3 Determining the scope of the quality management system (i) (ii) The scope of the quality management system shall cover the range of specific services that the Organization is competent to supply selected from the list in Section 1, and for which they are seeking registration. Consideration shall be given to outsourced services and how those outsourced services are controlled. 4.4 Quality management system and its processes The organization shall operate a quality management system to ISO 9001:2015 and this schedule The organization shall have a process in place to record/update their registration to this sector scheme on the Schedule of Suppliers website immediately following confirmation of their certification to the sector scheme from the certification body and thereafter check its suitability annually. (See Appendix O for information). The organization shall notify Lantra s NHSS Schedule of Suppliers if Certification is suspended or withdrawn. ( - scheduleofsuppliers@lantra.co.uk) Issue 1 [9001:2015] Page 12 of 65 NHSS 30 : July 2017

13 5 Leadership 5.1 Leadership and commitment General The organization s policy document shall include top management support for this NHSS. Note the term top management is defined in ISO 9000:2015 (3.1.1) and variations from the norm may differ for individual organizations Customer focus (i) (ii) (iii) Processes for determining customer requirements shall consider the interaction with other works, the interests of the Client and the product and service end users, e.g. the general public and travelling public, other interested parties, and shall be mindful of the Client s interaction with the end users. This will include processes to minimise disruption and inconveniences. Safe working methods shall be documented and any deviation from these methods shall be agreed with/notified to the Client/customer/interested parties as required. A copy of all working methods and relevant risk assessments for undertaking the works shall be available on site for inspection. 5.2 Policy Establishing the quality policy The organization s quality policy statement shall include a statement of commitment to National Highway Sector Scheme Communicating the quality policy No specific particular requirement 5.3 Organizational roles, responsibilities and authorities Where required in the contract 6 Planning 6.1 Actions to address risks and opportunities The Organization shall take into account the risks and opportunities relating to this NHSS The Organization shall plan: a) actions to address these risks and opportunities; b) how to: 1) integrate and implement the actions into its quality management system processes (see 4.4); 2) evaluate the effectiveness of these actions. Actions taken to address risks and opportunities shall be proportionate to the potential impact on the conformity of products and services. NOTE 1 Options to address risks can include avoiding risk, taking risk in order to pursue an Issue 1 [9001:2015] Page 13 of 65 NHSS 30 : July 2017

14 opportunity, eliminating the risk source, changing the likelihood or consequences, sharing the risk, or retaining risk by informed decision. NOTE 2 Opportunities can lead to the adoption of new practices, launching new products, opening new markets, addressing new customers, building partnerships, using new technology and other desirable and viable possibilities to address the organization s or its customers needs. The scheme contains no specific particular requirement 6.2 Quality objectives and planning to achieve them No specific particular requirement No specific particular requirement 6.3 Planning of changes No specific particular requirement 7 Support 7.1 Resources General All necessary facilities and equipment shall be available to carry out the required processes, inspections and tests in order to construct all the layers in the pavement in accordance with the contract People Adequate numbers of competent personnel shall be available to carry out the scheme in accordance with the Quality Plan Infrastructure Requirements for levels of plant and equipment resources for contracts shall be determined and substantiated by the Organization and included in their Quality Plan and method statement for the works Environment for the operation of processes i) In planning and maintaining the work environment due consideration shall be give to the fact that works may be taking place in areas shared with the public. All necessary measures shall be taken to keep the environment safe for all including disabled persons. ii) Works shall be planned so that disruption to the public is kept to a minimum. iii) The work area shall be kept neat and tidy and safe Monitoring and measuring resources General The quality management system documentation shall identify those items of plant and measuring equipment that require calibration and the frequency of such calibration. Items requiring monitoring include level control devices, tapes and rulers etc. Issue 1 [9001:2015] Page 14 of 65 NHSS 30 : July 2017

15 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.) Measurement traceability No specific particular requirement Organizational knowledge No specific particular requirement 7.2 Competence General The training and assessment of all personnel required by this scheme is aimed primarily at their technical competence as described in Appendix C. It is also 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. Requirements i) Management of competency Organizations shall demonstrate their commitment to development and training of personnel. Requirements for appropriate levels of competency, experience and qualification, training and staffing shall be determined and substantiated and regularly reviewed by the organisation. Guidelines for the demonstration of competency requirements for Organization s personnel are outlined in Appendix C and Appendix C1. NOTE 1: The above requirements apply equally to staff directly employed by the Organization or to staff employed under sub-contract to the organisation. NOTE 2: As Temporary Traffic Management is likely to be a consideration in laying operations, the training and competency of personnel carrying out such work needs to be considered. Guidance for organisations certificated to this Scheme, but not already certificated to any of the Sector 12 Schemes for Temporary Traffic Management, can be found in Appendix M of the Sector 12 D Scheme Document (available to download from : ii) Operative Records The Organization shall create and maintain a record of training and practical experience for each operative/employee giving the scope of their competency as detailed in the scope of this Sector Scheme (See Section 1 ) The Organization shall create and maintain a register of operatives/employees who hold the necessary qualifications (See Appendix D) Operatives/employees shall carry an identification card that details their qualifications for competency at all times whilst working at highway construction sites. This card will include an identification photograph and where appropriate the name of the Organization. 7.3 Awareness No specific particular requirement 7.4 Communication Issue 1 [9001:2015] Page 15 of 65 NHSS 30 : July 2017

16 The relevant Quality Plan for the scheme and standard operating procedures shall be communicated to all relevant employees. Internal communication between everyone involved in the project shall be clear and effective. 7.5 Documented information General (i) (ii) A Quality Plan (documented planned arrangements) shall be required for all contracts. When specified in the contract documents or requested, the organization shall submit a Quality Plan or alternative document as defined in the Contract Specification for acceptance or approval by the Client, as appropriate, prior to commencement of work (See section 8 and Appendix A). The organization shall have in place auditable processes to identify publication of relevant new documents/standards and implementation requirements (See Appendix B, note 2) Creating and updating (i) The organization shall have processes in place to ensure that the latest versions of relevant Standards and Documents are always available (See Appendix B) Control of documented information No specific particular requirements in addition to ISO 9001: Control of Documents In addition to ISO 9001:2015 requirements the following documented information is typically required to be controlled: Contract specific documents e.g. drawings, schedules, as listed in the Quality Plan for a particular scheme (See Appendix B) Control of Records 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. (i) Documents required by the quality management system shall have controlled status. (ii) In addition to the Organization s own quality records, the project specific records as listed in the Quality Plan shall be kept: (iii) All contract specific records shall remain confidential to the parties to the contract. (iv) Records relating to Management Review, Internal Audit, 3rd Party Assessment and Inspection and Testing of incoming materials and the finished asphalt pavement layer shall be kept for a minimum of 6 years. All other quality records shall be kept, for a minimum period of 6 months beyond the end of the maintenance and/or guarantee period, whichever is the greater. Issue 1 [9001:2015] Page 16 of 65 NHSS 30 : July 2017

17 8 Operation 8.1 Operational planning and control (i) (ii) (iii) (iv) The Quality Plan shall as a minimum address the topics listed in Appendix A of this schedule and where applicable the requirements contained in the Specification for Highway Works (SHW) and associated contract documents. Note The topics for the content of a QP are given in ISO and this document; in particular reference should be made to Appendix A of this document and Appendix H of the SHW. 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 may be taken which links to other relevant plans. Note 1 - 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 2:- 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 to maximise opportunities for the re-use and recovery of wastes. 8.2 Requirements for products and services Customer communication The Quality Plan shall identify what and when relevant information is passed on to the Customer and Client. (refer to Appendix A) Note: Where required by the contract/ legislation the Customer needs to be informed about the products, i.e., 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 organization shall define the relevant information e.g. contract or legislative requirement Determining the requirements for products and services Determination of requirements related to the product (Contract review) The contract review process shall include procedures to ensure that the requirements of the customer and the contract specification are fully understood. There shall be provisions to ensure that any changes in customer or contract requirements are similarly reviewed and that such changes are communicated to appropriate personnel in the organisation. This SSD should be taken into account when determining the requirements Issue 1 [9001:2015] Page 17 of 65 NHSS 30 : July 2017

18 8.2.3 Review of the requirements for products and services (i) 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. (ii) The organisation s representatives shall, at the earliest opportunity prior to commencement of the paving operation, review and evaluate the technical aspects of the end product required and check the practicality of the proposed measures and work instructions, and also the organisation s ability to provide such product. Where appropriate this will include liaison with the customer and/or third parties, in particular the Highway or Road Authority, and the Police. When irregularities or inconsistencies with the specification, health and safety requirements or other concerns (including concern over the anticipated performance of the installed modular paving) are encountered, then these shall be brought to the attention of the customer for resolution. (iii) Matters of a significant nature that arise during any contract review shall be considered in the management review and incorporated as necessary into the Quality Management System No specific particular requirement Changes to requirement for products and services No specific particular requirement 8.3 Design and development of products and services General Limited exclusion in relation to product design from the Scope of this SSD. This exclusion arises because modular paving is generally installed to customer-supplied requirements. This exclusion does not affect the organization s ability, or responsibility, to provide a service or product that meets customer and applicable regulatory requirements, nor to carry out design and development as part of its commitment to service delivery and continual improvement Expert advice should be sought for the structural design of paved areas and guidance on selection of materials. Where the Organization has concerns about the customersupplied requirements they should form part of Contract Review (see Para 7.2.1) Design and development planning No specific particular requirement Design and development Inputs No specific particular requirement Design and development controls No specific particular requirement Design and development outputs No specific particular requirement Issue 1 [9001:2015] Page 18 of 65 NHSS 30 : July 2017

19 8.3.6 Design and development changes No specific particular requirement July Control of externally provided processes, products and services General The Organization shall identify and plan the supply and installation processes. The control procedures shall verify that suppliers of incoming materials, equipment and services are capable of providing the required quality and adequate supplies in order to maintain the planned rate and quality of production of the installed paving Type and extent of control (i) For highway use, modules and unbound aggregates shall be CE marked complying with the relevant harmonized European Standard or may be proprietary products and as appropriate provided with a declaration of performance (DoP). (ii) Bound bedding and jointing materials may comply with a European Standard or may be proprietary products. Samples shall be taken at regular intervals from the works to demonstrate compliance with the contract. Guidance is provided in Appendix A unless specific requirements are included in the contract. (iii) Where the provision of ancillary activities such as road marking or temporary traffic management are procured only suppliers with Certification to the relevant NHSS shall be used Information for external providers The specification and tolerances for incoming materials, equipment and services (including records and/or personnel training requirements for any services) to be procured shall be established and communicated to suppliers by appropriate traceable and confirmable means (e.g. faxed, ed or written instructions, and recorded or transcribed telephone messages). 8.5 Production and service provision Control of production and service provision The Organization shall identify and plan the supply materials and personnel and the installation processes. Examples of conditions, which shall be controlled, include: (i). Quality management system documentation shall be established to describe the flow of materials and the processes carried out on them, including inspection and testing if required, from delivery through to hand-over to the customer. This shall incorporate a written method statement and/or flow diagram to demonstrate the process control measures, personnel and equipment necessary to maintain the quality of the installed modular paving in conformity with the specification and the records that are to be established, and shall reflect any site specific requirements (ii) Supplier performance shall be assessed and monitored by a nominated representative of the Organization, at a frequency to be determined by the Organization dependent on the period of time and quantity of supply. (iii) The Organization shall ensure he has knowledge of the 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. Issue 1 [9001:2015] Page 19 of 65 NHSS 30 : July 2017

20 Validation of processes for production and service provision Where samples of the components of the installation are required they shall be taken in accordance with relevant Standards or methods by appropriately trained and competent personnel, who should be able to show evidence that he/she has received training in the sampling of such materials. Works orders, risk assessment and Quality Plans for the installation, maintenance and repair of modular paving shall be signed by the designated Management Representative in the Quality Plan and retained for 6 years. They will also be submitted to the Client if requested. Control of monitoring and measuring devices The quality management system documentation shall identify those items of plant and measuring equipment that require calibration and the frequency of such calibration. Items requiring monitoring include level control devices, tapes and rulers etc. 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.) Procedures noted above may include some or all of the following: [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.] Works orders, risk assessment(s) and sector scheme relevant Quality Plans for the installation, Maintenance and Repair of modular paving shall be signed by the relevant designated personnel and retained for six years. They will also be submitted to the Client if requested. The quality management system documentation shall identify those items of plant and measuring equipment that require calibration and the frequency of such calibration. Items requiring monitoring include level control devices, tapes and rulers etc. 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.) Identification and traceability The Organization shall implement and maintain documented processes to ensure that retained documents and records can be clearly identified and traced Property belonging to customers or external providers The quality management system shall include a procedure where materials are supplied by the Customer, an identified agent or the Client (if required in the contract specification), to ensure that the property or material is safeguarded from damage, deterioration or misuse. This is particularly important where those products are not installed by the Organization itself e.g. third party sub-contract organisations such as ground workers, drainage contractors etc. Issue 1 [9001:2015] Page 20 of 65 NHSS 30 : July 2017

21 8.5.4 Preservation Systems shall be in place to inspect and maintain all goods returned from site before their subsequent use. The quality management system documentation shall contain procedures to ensure that the all the paving components are delivered, handled, stored, mixed, laid and compacted with the minimum of segregation or degradation and in an appropriate ambient temperature to ensure the works can be constructed as required by the contract. The quality management system documentation should describe the characteristics of any storage system or facilities e.g. at a central depot, or in a site-based silo or store and define their mode of operation. The Organization should ensure through checks, inspections and records that such facilities are used correctly and that stored materials maintain their suitability for use. NOTE: This schedule applies both to situations where the Organization is responsible for collection and delivery by truck to the paving site and to those where the Organization receives deliveries directly from a supplier. The quality management system documentation should make clear the point to which the organisation s responsibility for handling, storage and delivery extends Post-delivery activities No specific particular requirement Control of changes No specific particular requirement 8.6 Release of products and service The quality management system documentation shall contain procedures to ensure that the all the paving components are delivered, handled, stored, mixed, laid and compacted with the minimum of segregation or degradation and in an appropriate ambient temperature to ensure the works can be constructed as required by the contract. The quality management system documentation should describe the characteristics of any storage system or facilities e.g. at a central depot, or in a site-based silo or store and define their mode of operation. The Organization should ensure through checks, inspections and records that such facilities are used correctly and that stored materials maintain their suitability for use. NOTE: This schedule applies both to situations where the Organization is responsible for collection and delivery by truck to the paving site and to those where the Organization receives deliveries directly from a supplier. The quality management system documentation should make clear the point to which the organisation s responsibility for handling, storage and delivery extends. 8.7 Control of nonconforming outputs Non-conforming components 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. The quality management system documentation shall identify the control procedures to Issue 1 [9001:2015] Page 21 of 65 NHSS 30 : July 2017

22 be taken when non-conformity in materials, preparation or laying and/or in the modular paving, is identified. These may include measures such as: delaying access to pedestrians or vehicles to the pavement for a period of time and monitoring the pavement etc. Some inconsistencies and/or irregularities may not initially be reasonably evident e.g. as a result in delays in receipt of test results on a component or within the control of the Organization and can arise during or after the laying process. The Organizationmay seek concessions from the customer with regard to acceptance or repair as a result of such factors 9 Performance evaluation 9.1 Monitoring, measurement, analysis and evaluation General No specific particular requirement Customer satisfaction Where customer complaints or observations are made on the quality of the works these shall be noted and referenced in the quality records Analysis and evaluation The Quality Plan shall provide the detailed plan for the delivery of internal audits. 9.2 Internal audit Internal audits shall be carried out by a suitable technically competent person/s to ensure a robust assessment of the compliance of the product and shall have a working knowledge of this NHSS. Internal Audits shall be carried out by a suitably qualified person appointed by the nominated Quality Manager (or other nominated person responsible for this activity), Internal Audits shall be scheduled so that each gang s activities shall be subject to at least one audit annually to cover all relevant sub-scopes over a three year period. The audit shall observe work in progress on that sub-scope, together with other sub-scopes completed or in progress on that site by the same gang. Internal audits shall be scheduled such that the whole of the organisation s quality management system is audited at least annually. Activities on site are to be included in the scheduled audits. This shall always include assessing the actual laying of modules and also the relevant associated site activities. Relevant activities might include the preparation of underlying structural elements, treatment of joints and ironwork and the preparation of and cutting of modules, public safety and the ongoing impact of the works on other activities including pedestrian and vehicular flows. 9.3 Management review General (i) The organization shall review the quality management system at least once a year to ensure its continuing suitability and effectiveness to conform to this NHSS. Issue 1 [9001:2015] Page 22 of 65 NHSS 30 : July 2017

23 9.3.2 Management review inputs No specific particular requirement Management review outputs No specific particular requirement 10 Improvement 10.1 General No specific particular requirement 10.2 Nonconformity and corrective action Non-conformity of the quality management system shall be reviewed and procedures for taking corrective action shall be followed. The Organization shall also take action to eliminate the cause of nonconformities in order to prevent recurrence Continual improvement The corrective actions and risk assessment processes shall include analysis of incidents and occurrences. Consideration should be given to accident statistics and near miss reporting. Issue 1 [9001:2015] Page 23 of 65 NHSS 30 : July 2017

24 Appendix A: This appendix must be included for all schemes July 2017 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 documented quality management system 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 documented information 1.13 Frequency of internal audits (see 9.2) 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 NHSS30 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 2.8 Method statements for application/installation, maintenance and removal of Modular Paving, 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. Issue 1 [9001:2015] Page 24 of 65 NHSS 30 : July 2017

25 2.10 Control of non-conforming product. July 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 Risk Assessments 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. 3 See ISO (Quality management systems Guidelines for Quality Plans) for further information Issue 1 [9001:2015] Page 25 of 65 NHSS 30 : July 2017

26 Appendix B: (Bibliography) Reference and Associated Documents This appendix must be included for all schemes 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. The list of standards and documents below are date specific, however, the organization shall have processes in place to ensure that the latest version is always available. organizations should be aware that utilisation of internet search engines may result in out of date references being identified/called up. 1. Reference Documents Organizations shall ensure they are working to current reference or associated documents appropriate to work in their sector. 1. Highways England documents available from Manual of Contract Documents for Highway Works: [MCHW] Volume 1 Specification for Highway Works (SHW), and amendments and associated Notes for Guidance in Volume 2 Series 000 Introduction Series 100 Preliminaries Series 700 Road Pavements General Series 800 Unbound, Cement and other Hydraulically bound mixtures Series 900 Road Pavements Bituminous Bound Material Series 1100 Kerbs Footways and Paved areas Design Manual for Roads and Bridges [DMRB] CIS 53 and IAN 69/15 and other relevant guidance documentation concerning carriageway crossover GD 02(latest issue) - Quality Management Systems for Highway Design (Design Manual for Roads and Bridges Volume 0, Section 2, section 1, Part 1 GD 04(latest issue) - Standard for safety risk assessment on the strategic road (Design Manual for Roads and Bridges Volume 0, Section 2, section 1, Part BSI documents ( Available from BSI ) BS EN ISO 9000 : Quality Management Systems Fundamentals and Vocabulary BS EN ISO Quality Management System Requirements ISO 9004 (latest issue) - Quality Management Systems Managing for Issue 1 [9001:2015] Page 26 of 65 NHSS 30 : July 2017

27 the sustained success of an organization. A quality management approach. BS 7533 Parts 1-13 Pavements Constructed with clay, natural stone or concrete pavers - design and installation BS EN 1338 Concrete paving blocks requirements and test methods BS EN 1339 Concrete paving flags requirements and test methods BS EN 1340 Concrete kerbs requirements and test methods BS EN 1341 Setts of Natural Stone for external paving BS EN 1342 Slabs of Natural Stone for external paving BS EN 1343 Kerbs of Natural Stone for external paving BS EN 1344 Clay Pavers requirements and test methods BS EN Aggregates for concrete BS EN Unbound mixtures - specifications PD 6691 Guidance on the use of BS EN Bituminous Mixtures Material Specifications BS Asphalt for roads and other paved areas specification for transport laying, compaction and type testing protocols 3.. National Highway Sector Scheme Documents (published by UKAS) Scheme 7 - Application of Road Marking Materials and Road Studs to Road Surfaces Scheme 12A/B Static temporary traffic management on motorways and high speed dual carriageways including on-line widening schemes Scheme 12C - Mobile Lane Closure Traffic Management on Motorways and Other Dual Carriageways Scheme 12D - Installing, maintaining and removing temporary traffic management on rural and urban roads Scheme 16 - Laying of Asphalt Mixes Scheme 18 Natural Environment and Landscape including Ecology Infrastructure Scheme 23 Small Scale Pavement Repairs 4. Other documents New Roads and Street Works Act 1991.The Traffic Signs Regulations and General Directions. Traffic Signs Manual Chapter 8. Traffic Safety Measures and Signs for Road Works and Temporary Situations Highway Authorities & Utilities Committee (HAUC) Specification for the Reinstatement of Openings in Highways Note 1: 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). Issue 1 [9001:2015] Page 27 of 65 NHSS 30 : July 2017

28 Note 2: Highways England may issue Interim Advice Notes (IANs) as a prelude to inclusion in the MCHW (Vol 1 and 2), the DMRB and/or Chapter 8. Organizations must have auditable processes in place to identify when these documents are issued and their implementation date(s). An index of Interim Advice Notes (IANS) is available on the internet ( Note 3: Every effort has been made to update web sites, but the committee cannot provide any guarantees that the sites will continue to exist or if they do that they will maintain access to the documents identified above. Issue 1 [9001:2015] Page 28 of 65 NHSS 30 : July 2017

29 Appendix C: Training and Assessment of Competence 1. General The Organization shall ensure that all their personnel shall have undergone suitable training and competency assessment that covers all aspects of the work to be undertaken as follows: The table below has been developed by employers and stakeholders from the modular paving industry to determine the competence required for personnel laying modular paving. As an alternative to the Level 3/4 NVQ/SVQ Site Supervisors, Technical Managers and Organization Managers can secure registration at the appropriate level with the Engineering Council. It is recommended that new entrants complete an apprenticeship leading to a modular paving NVQ Level 2. By 2018, that all operatives, supervisors and managers will hold, or be working towards, qualifications with a relevant competent outcome as listed in the table below or equivalent: The Organization shall be able to demonstrate that relevant personnel are working towards qualification. It is a requirement that a minimum of 25% by 3 years following Certification and 70% by 5 years as appropriate (with 90%+ as an ongoing compliance level thereafter). 3 Qualifications for workers and labourers carrying out the installation of modular paving The knowledge requirements for these areas can be found in the current version of COSVR367 or the latest equivalent available from the UK standards website at: Issue 1 [9001:2015] Page 29 of 65 NHSS 30 : July 2017