NATIONAL HIGHWAY SECTOR SCHEMES FOR QUALITY MANAGEMENT IN HIGHWAY WORKS SCHEME 19A. Particular requirements for the application of ISO 9001:2015 FOR

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1 NATIONAL HIGHWAY SECTOR SCHEMES FOR QUALITY MANAGEMENT IN HIGHWAY WORKS SCHEME 19A Particular requirements for the application of ISO 9001:2015 FOR CORROSION PROTECTION OF FERROUS MATERIALS BY INDUSTRIAL COATINGS Published by the Sector Scheme Advisory Committee for Corrosion Protection of Transportation Infrastructure Assets (SSACCP) Endorsed for publication by the Chairman of the SSACCP Name: S Hankinson Date: 30 th June 2017 Issue 3 [9001:2015] Page 1 of 57 NHSS 19A - 30 June 2017

2 DOCUMENT CONTROL Issue Statement Issue 1 [9001:2015] 31 st May 2016 Issue 2 [9001:2015] 31 st October 2016 Issue 3 [9001:2015] 30 th June 2017 Revisions It is the SSACCP s policy that the issue of any revision to this document shall be an issue of the full document rather than individual pages. The following gives details of the changes that have been made in this and previous editions of the document. Issue Issue 1 [9001:2015] Issue 2 [9001:2015] Issue 3 [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 ISO 9001:2015 as it applies to a particular activity/industry within the United Kingdom. Note: This document was produced to supersede the Issue 9 [9001:2008] version (which relates to ISO 9001:2008), however the Issue 9 [9001:2008] version (or a later updated version) will continue to have validity until September 2018 when the 2008 version of ISO 9001 will become obsolete. Document Control Issue 2 [9001:2015] details added. Implementation of Issue 1 [9001:2015] Changed to Issue 2 [9001:2015] and implementation details updated. Appendix C1, Section D updated to include Trainthepainter registered training for basic and specialist modules (Applicator, Abrasive Blast Cleaning Operator and Paint Sprayer). Appendix K 3 rd Paragraph b) a comma added after from. Document Control Issue 3 [9001:2015] details added. Implementation of Issue 2 [9001:2015] Changed to Issue 3 [9001:2015] and implementation details updated. Appendix C1, Section D updated to include ICATS Supervisors Module Appendix N In National Highway Sector Scheme Specific Arrangements Paragraph 1, reference to the Institute of Corrosion deleted. Issue history for revisions of the SSD to versions of ISO 9001prior to ISO 9001: 2015 UKAS Issue 1 1 st October 2006 UKAS Issue 2 December 2007 UKAS Issue 3 July 2009 UKAS Issue 4 February 2011 UKAS Issue 5 November 2011 UKAS Issue 6 January 2013 UKAS Issue 7 November 2013 UKAS Issue 8 October 2014 Issue 9 [9001:2008] 31 st May 2016 Issue 10 [9001:2008] 31 st October 2016 Issue 11 [9001:2008] 30 th June 2017 Issue 3 [9001:2015] Page 2 of 57 NHSS 19A - 30 June 2017

3 CONTENTS Page No COVER SHEET 1 DOCUMENT CONTROL 2 CONTENTS 3 COMPOSITION OF SECTOR SCHEME ADVISORY COMMITTEE 5 EXCLUSION OF LIABILITY 5 COPYRIGHT 5 SELECTION OF CERTIFICATION BODY 5 IMPLEMENTATION 6 INTRODUCTION 6 PARTICULAR REQUIREMENTS FOR THE APPLICATION OF ISO 9001: SCOPE 9 2. NORMATIVE REFERENCE 9 3. TERMS, DEFINITIONS AND ABBREVIATIONS 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 COMPETENCE 27 APPENDIX C1: THE TRAINING ADMINISTRATOR 30 APPENDIX D: EXAMPLE REGISTER OF PERSONNEL ATTAINMENTS 33 APPENDIX E: APPENDIX F: APPENDIX G: GUIDANCE FOR THE CONTROL OF MONITORING AND MEASURING EQUIPMENT CERTIFICATION BODIES ACCREDITED FOR THIS SECTOR SCHEME THE ROLE OF CERTIFICATION BODIES AND AUDITOR QUALIFICATIONS Issue 3 [9001:2015] Page 3 of 57 NHSS 19A - 30 June 2017

4 APPENDIX G1 APPENDIX H: GUIDANCE TO CERTIFICATION BODY ASSESSORS AND OTHER AUDITORS ORGANIZATION ACCEPTANCE AND GUIDELINES FOR NEW ENTRANTS APPENDIX J1: FEEDBACK TO COMMITTEE CHAIRPERSON 48 APPENDIX J2: APPENDIX J3: APPENDIX K: FEEDBACK TO CERTIFICATION BODIES &/OR NOTIFIED BODIES FEEDBACK TO CLIENT BODIES ON POLICING OF NATIONAL HIGHWAY SECTOR SCHEME REGISTRATION THE INTERPRETATION OF CERTIFICATES ISSUED BY CERTIFICATION BODIES APPENDIX L: GUIDANCE FOR CLIENTS 52 APPENDIX M: NOT USED 54 APPENDIX N: GUIDANCE FOR OTHER NHSS COMMITTEES AND ORGANIZATIONS REGISTERED TO ANOTHER NHSS, FOR WORK THAT INCLUDES CORROSION PROTECTION OF FERROUS MATERIALS BY INDUSTRIAL COATINGS 55 APPENDIX O: HOW TO REGISTER ON THE SCHEDULE OF SUPPLIERS 57 Issue 3 [9001:2015] Page 4 of 57 NHSS 19A - 30 June 2017

5 COMPOSITION OF SECTOR SCHEME ADVISORY COMMITTEE FULL MEMBERS BCF British Coatings Federation BCSA British Constructional Steelwork Association Certification Bodies (SCCS Ltd (Lead Certification Body), LRQA) Civil Engineering Contractors (BAM Nuttall Ltd) Galvanizers Association Highway Electrical Association ICorr The Institute of Corrosion Industrial Painting Contractors (Roy Hankinson Limited) National Highway Sector Schemes 6 & 8 Overseeing Organisations (Highways England, Transport Scotland ) CORRESPONDING MEMBERS Overseeing Organisations (Welsh Government) EXCLUSION OF LIABILITY The Sector Scheme Advisory Committee for Corrosion Protection of Transportation Infrastructure Assets (SSACCP) 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. This is subject to material not being used in a derogative manner or in misleading context. The source of the material must be acknowledge as SSACCP 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 SSACCP 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, Issue 3 [9001:2015] Page 5 of 57 NHSS 19A - 30 June 2017

6 consultants, engineers etc. that require confirmation of compliance with the Contract Specification in respect of a supplier s registration to this Sector Scheme 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 3 [9001:2015] (i) (ii) (iii) (iv) (v) This document has been produced to supersede the Issue 11 [9001:2008] version (which relates to ISO 9001:2008), however the Issue 11 [9001:2008] version (or a later updated version) will continue to have validity until September 2018 when the 2008 version of ISO 9001 will become obsolete. This issue of the SSD may be implemented immediately from the date of publication on the UKAS website for assessments in accordance with ISO 9001:2015. Assessments against the previous issue of this document will continue to be valid until the following assessment carried out by the accredited Certification Body. Implementation requirements described in the Issue 11 [9001:2008] version (or a later updated version) will continue to apply. Assessments against the Issue 11 [9001:2008] version (or a later updated version) will continue to be valid until September 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 processes 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. INTRODUCTION 1 This Sector Scheme Document (SSD) relates to the quality management system requirements for the corrosion protection of ferrous materials in transportation infrastructure assets using industrial coatings for new works and maintenance works. It sets out to identify common particular requirements 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: 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 provide particular requirements for 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 Issue 3 [9001:2015] Page 6 of 57 NHSS 19A - 30 June 2017

7 interprets ISO 9001 in relation to the requirements of their particular activity and come 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 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 national standard prior to withdrawal of the previous edition of the standard. 4 The individual NHSS technical advisory committees are overseen by the National Highway 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 The Sector Scheme shall apply only where specified by the Client in their Contract Documents for corrosion protection of ferrous materials in transportation infrastructure assets using industrial coatings for new works and maintenance works. 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 e.g. NHSS 20 for the execution of steelwork. 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 Network Rail, may also require their suppliers to comply with this Sector Scheme, as may other authorities. Separately the document may be called up in specific contracts as necessary. Note: The Sector Scheme was listed in Appendix A of the Specification for Highway Works (May 2006) and became a mandatory requirement for suppliers working to the unmodified listing of the Sector Scheme in Appendix A of the Specification for Highway Works after the publication of the first issue of this document by UKAS on 1st October 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 Issue 3 [9001:2015] Page 7 of 57 NHSS 19A - 30 June 2017

8 and/or 12C. 10 The SSD is a live document with the SSACCP 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 Lantra hosts the register of Organizations on their website ( This is a self-registration list and it is a requirement of this scheme that Organizations 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. 12 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. 13 Scheme Contact The Secretary The Sector Scheme Advisory Committee for the Corrosion Protection of Transportation Infrastructure Assets Mr G Bowden Highways England Piccadilly Gate Store Street Manchester M1 2WD geoffrey.bowden@highwaysengland.co.uk Tel: +44 (0) Issue 3 [9001:2015] Page 8 of 57 NHSS 19A - 30 June 2017

9 Particular Requirements for the Application of ISO 9001: SCOPE This SSD together with ISO 9001:2015 describes the quality management system requirements to be established by Organizations providing corrosion protection to ferrous materials in transportation infrastructure assets using industrial coatings. The SSD does not apply to the application of powder organic coatings. The SSD does not apply to providing corrosion protection to ferrous materials by hot dip galvanising or similar metal coatings (eg. electroplating and sheradizing) but does apply to the application of industrial coatings to such substrates. The SSD is applicable to the provision of corrosion protection to new assets and to the maintenance of corrosion protection to existing assets. It is applicable to corrosion protection works undertaken in the workshop and on site. Works shall include all the associated processes required for corrosion protection including but not limited to planning the works, access for the works, protection of the works and environment, preparation of surfaces for receiving corrosion protection materials, the storage, mixing and application of corrosion protection materials, and inspection at all stages of the work. The document provides particular requirements for the application of this scheme additional to the requirements of 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 Organization within the scope of the defined QMS carrying out corrosion protection of ferrous materials in transportation infrastructure assets using industrial coatings. Organizations may achieve registration to this Sector Scheme for specific services that they are competent to supply (e.g. abrasive blast cleaning on site works) within the overall process of providing corrosion protection to ferrous materials in transportation infrastructure assets using industrial coatings. The Certificate of Registration shall record the full scope of registration. (See Appendix K) 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 Body. (See Appendix K) Organizations registered to another NHSS undertaking works that includes works covered by the scope of this Sector Scheme should refer to Appendix N for guidance on compliance with this Sector Scheme. 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 BS EN ISO 9004:2009 Quality Management Systems Managing for the sustained success of an organization. A quality management approach. BS ISO 10005:2005 Quality Management Systems Guidelines for quality plans. Issue 3 [9001:2015] Page 9 of 57 NHSS 19A - 30 June 2017

10 BS EN ISO/IEC 17024:2012 Conformity assessment General requirements for bodies operating certification of persons. NHSS 0 Guide to the identification, Development Management and Certification of National Highway Sector Schemes 3. TERMS, DEFINITIONS AND ABBREVIATIONS 3.1 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. Certificate of Registration: Client: Contract Specification: Customer: Industrial Coating: Inspector:* Manager:* Operative:* Organization: Registered training scheme shall : A certificate issued by a UKAS accredited Certification Body certifying that the holder operates a Quality Management System complying with ISO 9001:2015 and this SSD. (See Appendix K) The owner or manager of the transportation infrastructure asset to which corrosion protection is to be provided. The specification for corrosion protection included in the contract. The body engaging the Organization for the purpose of the work described in this SSD. A single protective coat or a series of protective coats, which may include pre-treatments, thermally sprayed metal coats, paints and aesthetic finish coats, applied to provide corrosion protection to a substrate. The competent person identified and recorded by the Organization as being responsible for the inspection of corrosion protection works for compliance with the requirements of a Contract Specification. (See 7.2) The competent person named in the Organization s Quality Plan for a contract as being responsible for the overall management of the implementation of the corrosion protection works for that contract. A competent person who works under the control of a Supervisor and is directly involved with the implementation of corrosion protection works. This may include a person who is working towards becoming competent in the implementation of corrosion protection works. (See 7.2) The legal entity providing the corrosion protection work and any other related contractual obligations and who will be assessed against this SSD by the Certification Body. A training scheme that has been assessed and registered by the Training Administrator as meeting the bench mark training and assessment requirements identified for this Sector Scheme. (See Appendix C and C1) Used to indicate a requirement strictly to be followed in order Issue 3 [9001:2015] Page 10 of 57 NHSS 19A - 30 June 2017

11 to conform to the standard and from which no deviation is permitted. (See ISO/IEC Directives Part 3:1997, Annex E) (reference guidance on terminology used in ISO 9001 and ISO 9004.) Skills Card Sub-contractor: Substrate: Supervisor:* Technical Manager:* Training Administrator Transportation Infrastructure Assets: * Note A card issued by a registered training scheme provider, which demonstrates the level of competency achieved by the holder. In some instances it is also used as a registration card and as an identity card. An organization or individual providing a service(s) or material(s) to the Organization. The ferrous base, the metal coating such as galvanising applied over a ferrous base or existing sound industrial coatings over a ferrous base, to which the industrial coating is to be applied to provide the corrosion protection. The competent person identified and recorded by the Organization as being responsible for the supervision of the implementation of corrosion protection works. (See 7.2) The competent person named in the Organization s Quality Plan for a contract as being responsible for ensuring that the technical requirements of the Contract Specification for that contract are met. (See 7.2) The organization appointed by the SSACCP to undertake the assessment and registration of training schemes for this Sector Scheme. (See Appendix C1) As defined in the Contract Specification. May include but not limited to bridges, parapets, gantries, masts, columns, signal posts, electrification masts, station structures, level crossing equipment, buildings and toll booths. The roles may be combined. The role of Inspector may not be undertaken by a person who is directly involved in supervising or applying the corrosion protection. 3.2 For the purpose of this Sector Scheme Document the following abbreviations shall apply: NHSS QMS SSAC SSACCP: SSD UKAS National Highways Sector Scheme Quality Management System Sector Scheme Advisory Committee Sector Scheme Advisory Committee for Corrosion Protection of Transportation Infrastructure Assets Sector Scheme Document The United Kingdom Accreditation Body or any recognised European National Accreditation Body or any equivalent International Accreditation Forum (IAF) Multi-Lateral Agreement (MLA) signatory Issue 3 [9001:2015] Page 11 of 57 NHSS 19A - 30 June 2017

12 4 to 10 QUALITY MANAGEMENT SYSTEM REQUIREMENTS Particular Requirements ISO 9001:2015 Introduction This document needs to 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 specific particular requirement is recorded under an ISO 9001 clause heading this means that it is not considered necessary to provide a 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 and for which they are seeking registration, within the overall process of providing corrosion protection to ferrous materials in transportation infrastructure assets using industrial coatings. Consideration shall be given to outsourced services and how those outsourced services are controlled. See also Quality management system and its processes The Organization shall operate a quality management system to ISO 9001:2015 and this SSD (i) 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/re-certification to the sector scheme from the certification body and check its suitability annually. (See Appendix O for information) (ii) The Organization shall notify the LANTRA Awards NHSS Schedule of Suppliers if Certification is suspended or withdrawn. Issue 3 [9001:2015] Page 12 of 57 NHSS 19A - 30 June 2017

13 5 Leadership 5.1 Leadership and commitment General The Organization s policy document shall include Top Management support for this NHSS 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, the travelling public and other interested parties, and shall be mindful of the Client s interaction with the end users. This shall include processes to minimise disruption and inconveniences. Safe working methods shall be documented and any deviation from these methods shall be agreed with the Customer. A copy of all work method statements and relevant risk assessments for undertaking the works shall be available at the work site for reference/inspection. See also Policy Establishing the quality policy The Organization s quality policy statement shall include a statement of commitment to applicable National Highway Sector Schemes Communicating the quality policy No specific particular requirement. 5.3 Organization roles, responsibilities and authorities (i) (ii) (iii) Where required in the contract agreement, such information as necessary shall be included in a contract specific quality plan, (see and Appendix A) Top Management shall ensure that responsibilities and authorities are consistent with the definitions in Section 3 of this SSD. Top Management shall ensure that those personnel with contract specific responsibilities and authorities are identified and recorded. (see 7.1.2) 6 Planning 6.1 Actions to address risks and opportunities The Organisation shall take into account the risks and opportunities relating to this NHSS No specific particular requirement. 6.2 Quality objectives and planning to achieve them Issue 3 [9001:2015] Page 13 of 57 NHSS 19A - 30 June 2017

14 6.2.1 The quality objectives shall include a commitment to meet Customer and Client requirements with respect to corrosion protection of ferrous materials by industrial coatings No specific particular requirement. 6.3 Planning of changes 7 Support No specific particular requirement. 7.1 Resources General People The Organization shall be able to demonstrate that it has the necessary financial resources to meet its contractual commitments. (i) (ii) (iii) The Organization shall provide a Manager, Technical Manager, and Inspector(s) for all contracts. Not more than 20% of an Organization s workforce of Operatives employed on corrosion protection works shall be unqualified or under training, subject to a practical minimum of 1 unqualified or trainee Operative within a small workforce of 5 Operatives or less. Unqualified Operatives shall enter relevant training within 3 months of starting works covered by this Sector Scheme and shall at all times be directly supervised by a designated qualified Operative on a one to one basis. This supervised experience shall include practical experience of the aspect of the work for which they are training or intend to train and shall be recorded as part of the training records of the Operative. The supervising qualified Operative shall be certificated for the type of work being undertaken and shall be responsible for the supervision of no more than one designated unqualified Operative at any one time Infrastructure (i) (ii) The Organization s infrastructure in terms of facilities and process equipment shall be suitable for the scope of registration being sought. The Organization shall determine, provide and maintain sufficient supporting services necessary to deliver the range of specific services within the scope of registration being sought Environment for the operation of processes The Organization shall ensure that all necessary access, plant, services and equipment are available and maintained, and that the work environment is monitored to enable the corrosion protection works to be carried out effectively Monitoring and measuring resources General Issue 3 [9001:2015] Page 14 of 57 NHSS 19A - 30 June 2017

15 The Organization shall establish and maintain a record of the monitoring and measuring devices used in corrosion protection works. (See Appendix E for guidance.) Measurement traceability Where no standard exists, monitoring and measuring devices shall be calibrated in accordance with the manufacturer s instructions and as a minimum annually Organizational knowledge No specific particular requirement. 7.2 Competence General (i) (ii) (iii) The training and assessment of competency of personnel required by this scheme is aimed primarily at technical competence for those personnel involved with the implementation of corrosion protection works and with the inspection of those works. It is intended to enable employees to carry out work in a safe manner however it remains the responsibility of the Organization to determine and implement safe systems of work. The Organization shall implement and maintain processes for the training, development and use of competent personnel in accordance with this SSD. The Technical Manager, Supervisors and Inspectors shall have a working knowledge of the relevant parts of the Contract Specification that are applicable to the work being undertaken. Requirements (i) Competence and Certification Records Supervisors and Operatives The required competency for Corrosion Protection Supervisors and Operatives is defined by successful completion of a registered training course as given in Appendix C. The appropriate records to be maintained shall include a skills card issued to and carried by the individual successfully completing a registered training course together with an entry in a register held by the Organization. The Card defines the types of corrosion protection work that the holder has been trained and assessed to undertake and the degree of responsibility that the holder can normally accept. It shall not be valid for any type of corrosion protection works that is not defined. The issue of a new or renewed skills card, as the case may be, shall be recorded by the Organization. A sample register is given in Appendix D. Inspectors The required competency for Corrosion Protection Inspectors is defined by successful completion of a registered training course as given in Appendix C. The appropriate records to be maintained shall include a Certificate of Completion issued to the individual successfully completing a registered training course together with an entry in a register held by the Organization. A sample register is given in Appendix D. The Certificate defines the levels of corrosion protection inspection that the holder has been trained and assessed to undertake. Issue 3 [9001:2015] Page 15 of 57 NHSS 19A - 30 June 2017

16 Technical Managers The required competency for Technical Managers is defined by successful completion of a registered training course as given in Appendix C. The appropriate records to be maintained shall include a Certificate of Completion issued to the individual successfully completing a registered training course together with an entry in a register held by the Organization. A sample register is given in Appendix D. (ii) Experience Required Manager The Manager shall have sufficient initial and continuing professional development to show competence. This does not have a minimum time period, as it is an outcome that is measured. It would be unusual however for anyone with less than three years experience of involvement in managing the implementation of corrosion protection works using industrial coatings to have attained the breadth and depth of experience required. Technical Manager The Technical Manager shall have sufficient initial and continuing professional development to show competence. This does not have a minimum time period, as it is an outcome that is measured. It would be unusual however for anyone with less than five years experience of the technical implementation of corrosion protection works using industrial coatings to have attained the breadth and depth of experience required. Supervisor Corrosion Protection Supervisors shall have sufficient initial and continuing professional development to show competence. This does not have a minimum time period, as it is an outcome that is measured. It would be unusual however for anyone with less than two years experience of corrosion protection works using industrial coatings to have attained the breadth and depth of experience required. The maximum number of people that the Supervisor shall control at any one time shall be defined in the Quality Plan. Inspectors Corrosion Protection Inspectors shall have sufficient initial and continuing professional development to show competence. This does not have a minimum time period, as it is an outcome that is measured. It would be unusual however for anyone with less than three years experience of corrosion protection works using industrial coatings to have attained the breadth and depth of experience required. (iii) (iv) (v) The Organization shall create and maintain a record of training, practical experience and assessment of competence for each Inspector, Supervisor and Operative. The record shall be updated at least twice a year and shall be issued to the employee. The Organization shall create and maintain a register of Technical Managers, Inspectors, Supervisors and Operatives. (See Appendix D) Corrosion Protection personnel shall carry at all times whilst working, an identification card. The card shall include a relevant recent photograph of the holder and shall contain sufficient information to provide linkage to the holder s Certification including the name of the Organization they represent. 7.3 Awareness With respect to special situations or requirements that occur on a specific contract, the Issue 3 [9001:2015] Page 16 of 57 NHSS 19A - 30 June 2017

17 Organization shall ensure that all affected personnel are made aware of the applicable implications by means of contract-specific briefings. Arrangements for briefings shall address the need for periodic updates as necessary. 7.4 Communication The relevant contract quality plan and standard operating processes shall be communicated to all relevant personnel. 7.5 Documented information General (i) (ii) A quality plan 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. The Organization shall have in place auditable processes to identify publication of relevant new standards and documents, and implementation requirements (See Appendix B, Note 2) Creating and updating No specific particular requirement Control of documented Information No specific particular requirement (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). (ii) Control of Documents In addition to the Organization s own quality documents, the following contract specific documents shall typically be controlled: a) Correspondence including concessions. b) Delivery notes and certification where required. c) Training certificates. d) Contract documentation and Client order. e) Instructions to Operatives, Supervisors and Inspectors. f) Relevant standards and specifications, including this document. g) Method statements and risk assessments for controlling the works to include relevant health and safety, and environmental requirements. h) Drawings. i) Design information. (iii) Control of Records In addition to the Organization s own quality records, the following contract specific records shall typically be kept: a) Contract Specification and any variations. b) Supply chain records. c) Instructions to Operatives, Supervisors and Inspectors. d) Complaints and feedback. Issue 3 [9001:2015] Page 17 of 57 NHSS 19A - 30 June 2017

18 e) Experience and training record of all personnel. f) As built records identifying any agreed changes arising during implementation. g) Records of materials used. h) Details of any accidents or incidents (known to the Organization) in or adjacent to the corrosion protection works, including near misses. i) Maintenance and calibration records of the equipment used. j) Product data sheets and health and safety data sheets. k) Contract records e.g. temperature, relative humidity, wet and dry film thickness, sampling and testing. l) Records of monitoring and measurement devices. m) Records to enable Operative traceability, i.e. who did what. n) Design information. (iv) Records shall be kept for a minimum of six years unless otherwise required to be retained for a longer period in the contract. Records shall be made available to the Customer and/or Client as requested. 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 SSD and where applicable the requirements contained in the associated contract documents. Note: The topics for the content of a Quality Plan are given in BS ISO and this document; in particular reference should be made to Appendix A of this document. The Quality plan may be a largely standard document as indicated in Appendix A of this SSD 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. Note: The Customer and/or Client may require detailed information relating to corrosion Issue 3 [9001:2015] Page 18 of 57 NHSS 19A - 30 June 2017

19 protection works and/or materials for the purpose of: as built records. for their own monitoring of effective performance of corrosion protection Determining the requirements for products and services Where required in the contract agreement the Organization shall undertake relevant risk assessments in accordance with the Client s standards and processes (for example Highways England s Standard GD04 provides a method for undertaking risk assessment on their network). See also Review of the requirements for products and services (i) The Organization shall review in a timely manner the order for the works to verify that product requirements are defined and that they are able to meet the technical requirements included in the Customer s specification including the relevant parts of the Client s contract specification. The review shall include a review of the availability of all the required resources including personnel. (ii) Where omissions, irregularities or inconsistencies with the contract specification, health and safety requirements, environmental or other issues are encountered these shall be brought to the attention of the Customer and Client for resolution at the earliest opportunity. (iii) Matters of a significant nature, which arise during the determination and review of requirements shall be referred to the Customer and Client for clarification No specific particular requirement Changes to requirements for products and services No specific particular requirement. 8.3 Design and development of products and services General (i) (ii) Design and development may address all associated processes required for the corrosion protection works including but not limited to access for the works and protection of the works and environment. Design and development of the industrial coating is excluded when there is a full industrial coating specification supplied by the Customer or Client Design and development planning No specific particular requirement Design and development Inputs No specific particular requirement Design and development controls No specific particular requirement. Issue 3 [9001:2015] Page 19 of 57 NHSS 19A - 30 June 2017

20 8.3.5 Design and development outputs No specific particular requirement Design and development changes No specific particular requirement. 8.4 Control of externally provided processes, products and services General (i) (ii) Where services are outsourced and not controlled under the Organization s quality management system, the supplier of the services shall have relevant NHSS registration. The Organization shall maintain a collated list of all outsourced services, which shall include details of how those outsourced services are controlled. See also 4.3. The Organization shall maintain records to demonstrate that all materials, suppliers and sub-contractors conform to the contract specification Type and extent of control The Organization shall implement and maintain processes to inform the Customer and/or Client of the proposed and actual source of supply of all corrosion protection materials Information for external providers No specific particular requirement. 8.5 Production and service provision Control of production and service provision (i) (ii) The Organization shall obtain and make available to those undertaking and inspecting the corrosion protection works the following: a) Specification for the system to be applied; b) Material product data sheets; c) Material safety data sheets including COSHH assessments; d) Material certificates of conformity. The Organization shall produce documented method statements and risk assessments for the corrosion protection works typically including the following: a) access and egress to the site and access to the corrosion protection works; b) temporary works and encapsulation; c) surface preparation; d) coating application including conditions for application; e) curing including conditions for curing; f) materials identification, delivery, storage and disposal; g) repair of damaged coatings; h) Identification of the requirements of third parties that effect or are affected by the corrosion protection works, e.g. utility companies, the public, the Environment Agency etc. See also Issue 3 [9001:2015] Page 20 of 57 NHSS 19A - 30 June 2017

21 (iii) (iv) (v) (vi) (vii) The Organization shall make available for the corrosion protection works the plant and equipment identified in the method statements. All plant and equipment shall be properly maintained and maintenance records kept. The Organization shall implement and maintain processes for the inspection and monitoring of the corrosion protection works. Records of the inspection and monitoring shall be maintained. The Organization shall undertake a review of the corrosion protection works and the application and inspection records to confirm compliance with the contract specification. Where works are carried out in the workshop this review shall be carried out prior to despatch, and for all works at completion. This review shall be undertaken by an Inspector. Validation may be undertaken by using trial panels or by witnessing similar corrosion protection works. The Organization shall implement and maintain a process for reporting to the Customer and Client any unexpected conditions or factors encountered that may affect the corrosion protection works, and work with the Customer and Client to mitigate such conditions or factors Identification and traceability (i) (ii) The Organization shall implement and maintain documented processes to ensure that retained documents and records can be clearly identified and traced. The Organization shall implement and maintain documented processes to ensure the identification and traceability of corrosion protection personnel and materials respectively Property belonging to customers or external providers No specific particular requirement Preservation (i) (ii) The Organization shall implement and maintain documented processes for the appropriate handling, storage, packaging and disposal of corrosion protection materials. The Organization shall implement and maintain documented processes for the appropriate handling, storage and packaging of corrosion protected products, including transportation where applicable Post-delivery activities No specific particular requirement Control of changes No specific particular requirement. 8.6 Release of products and services The Organization shall implement and maintain documented monitoring and measurement processes that comply with the contract specification. Issue 3 [9001:2015] Page 21 of 57 NHSS 19A - 30 June 2017

22 8.7 Control of nonconforming outputs The Organization shall implement and maintain documented processes such that any work not conforming to the contract specification shall be rejected and precluded from use, reworked to conform to the specification, or formally accepted under concession in writing from the Client No specific particular requirement. 9 Performance evaluation 9.1 Monitoring, measurement, analysis and evaluation General (i) (ii) The impact of corrosion protection works on other works and the operation of the related infrastructure shall be considered. The Organization shall identify and set targets for improvements in application of corrosion protection works Customer satisfaction No specific particular requirement Analysis and evaluation No specific particular requirement. 9.2 Internal audit No specific particular requirement (i) 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. (ii) The quality plan shall state the frequency of internal audits. Internal audits of the quality management system against this SSD shall include the following: a) Six monthly office-based audits of the processes associated with corrosion protection works. b) In addition audits of corrosion protection works being carried out in the shop or on-site, at least twice a year; these are to include the following works where these are included in the scope of registration: surface preparation and application of corrosion protection. Where the Organization does not have contracts which provide continuous working throughout a full year, visits shall be conducted on a pro-rata basis, but at least one visit per contract must be made. (iii) Internal auditors shall have a working knowledge of corrosion protection works. Internal audits shall be carried out by the nominated quality manager or a designated competent person. 9.3 Management review Issue 3 [9001:2015] Page 22 of 57 NHSS 19A - 30 June 2017