NATIONAL HIGHWAY SECTOR SCHEMES FOR QUALITY MANAGEMENT IN HIGHWAY WORKS SCHEME 20. 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 20 Particular requirements for the application of ISO 9001:2015 FOR THE EXECUTION OF STEELWORK IN TRANSPORTATION INFRASTRUCTURE ASSETS Published by the Sector Scheme Advisory Committee for the Execution of Steelwork (SSACS) Endorsed for publication by the Chairman of the SSACS Name: J Messenger Date: 30 December 2016 Issue 2 [9001:2015] Page 1 of 55 NHSS 20: 30 December 2016

2 DOCUMENT CONTROL Issue Statement Issue 1 [9001:2015] 30 June 2016 Issue 2 [9001:2015] 30 December 2016 Revisions It is the SSACS 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] 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 has been produced to supersede the Issue 7 [9001:2008] version (which relates to ISO 9001:2008), however the Issue 7 [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. Composition of Sector Scheme Advisory Committee Road Service Northern Ireland changed to Transport Northern Ireland. Implementation of Issue 1 [9001:2015] Changed to Issue 2 [9001:2015] and implementation details updated (iii) Reference to Sector Scheme 3B added. Appendix C Table Note (7) details updated for BCSA Standard Competence in Preloaded Bolting Appendix F BSI Assurance UK Limited added Appendix G1 Section Reference to structural steel products and Sector Scheme 3B added. Appendix K 3 rd Paragraph b) a comma added after from. Issue history for revisions of the SSD to versions of ISO 9001prior to ISO 9001: 2015 UKAS Issue 1 31 st July 2008 UKAS Issue 2 January 2010 UKAS Issue 3 March 2011 UKAS Issue 4 January 2013 UKAS Issue 5 July 2013 UKAS Issue 6 December 2014 Issue 7 [9001:2008] 30 June 2016 Issue 8 [9001:2008] 30 December 2016 Issue 2 [9001:2015] Page 2 of 55 NHSS 20: 30 December 2016

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 NORMATIVE REFERENCE TERMS, DEFINITIONS AND ABBREVIATIONS QUALITY MANAGEMENT SYSTEM REQUIREMENTS 13 APPENDIX A: REQUIREMENTS FOR QUALITY PLANS 24 APPENDIX B: REFERENCE AND ASSOCIATED DOCUMENTS (BIBLIOGRAPHY) 26 APPENDIX C: TRAINING AND ASSESSMENT OF COMPETENCE 28 APPENDIX D: EXAMPLE REGISTER OF PERSONNEL ATTAINMENTS 30 APPENDIX E: APPENDIX F: APPENDIX G: APPENDIX G1 GUIDANCE FOR THE CONTROL OF MONITORING AND MEASURING EQUIPMENT CERTIFICATION BODIES ACCREDITED FOR THIS SECTOR SCHEME THE ROLE OF CERTIFICATION BODIES AND AUDITOR QUALIFICATIONS GUIDANCE TO CERTIFICATION BODY ASSESSORS AND OTHER AUDITORS Issue 2 [9001:2015] Page 3 of 55 NHSS 20: 30 December 2016

4 APPENDIX H: ORGANIZATION ACCEPTANCE AND GUIDELINES FOR NEW ENTRANTS 45 APPENDIX J1: FEEDBACK TO COMMITTEE CHAIRPERSON 46 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 51 APPENDIX M: NOT USED 53 APPENDIX N: GUIDANCE FOR OTHER NHSS COMMITTEES AND ORGANIZATIONS REGISTERED TO ANOTHER NHSS, FOR WORK THAT INCLUDES THE EXECUTION OF STEELWORK IN TRANSPORTATION INFRASTRUCTURE ASSETS 54 APPENDIX O: HOW TO REGISTER ON THE SCHEDULE OF SUPPLIERS 55 Issue 2 [9001:2015] Page 4 of 55 NHSS 20: 30 December 2016

5 COMPOSITION OF SECTOR SCHEME ADVISORY COMMITTEE FULL MEMBERS Association of Directors of Environment, Economy, Planning and Transport ADEPT British Constructional Steelwork Association BCSA Highways England Lloyds Register Quality Assurance LRQA Steel Construction Certification Scheme SCCS (Lead Certification Body) Transport for London TfL (to include London Boroughs) Transport Scotland CORRESPONDING MEMBERS Highway Term Maintenance Association Transport Northern Ireland Welsh Government EXCLUSION OF LIABILITY The Sector Scheme Advisory Committee for the Execution of Steelwork (SSACS) 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 SSACS 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 SSACS 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 s registration to this Sector Scheme or the supply of products/materials should Issue 2 [9001:2015] Page 5 of 55 NHSS 20: 30 December 2016

6 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). Note: Where the Construction Products Regulations apply and CE marking is a requirement, this can only be applied following successful evaluation of the factory production control process by a Notified Body. (Notified Bodies are appointed by the relevant authority in a Member State of the European Union and notified to the European Commission. In the UK, the relevant authority for notification under the Constructions Product Regulations (CPR) is the Department for Communities and Local Government (DCLG)). IMPLEMENTATION ISSUE 2 [9001:2015] (i) (ii) (iii) (iv) (v) This document has been produced to supersede the Issue 8 [9001:2008] version (which relates to ISO 9001:2008), however the Issue 8 [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 8 [9001:2008] version (or a later updated version) will continue to apply. Assessments against the Issue 8 [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 execution of steelwork in transportation infrastructure assets for the supply of new steelwork and for work on existing steelwork in new and existing assets. 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 Issue 2 [9001:2015] Page 6 of 55 NHSS 20: 30 December 2016

7 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 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 the execution of steelwork in transportation infrastructure assets for the supply of new steelwork and for work on existing steelwork in new and existing assets. 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 19A for the corrosion protection to ferrous materials in transportation infrastructure assets using industrial coatings. 8 The Register of Qualified Steelworks Contractors (RQSC) provides an assessment of an Organizations ability to undertake steelwork. Under RQSC, the Bridgeworks Scheme provides a categorisation (eg Bridge Refurbishment) for registered Organizations in terms of the work they have been assessed as being capable of undertaking technically and a classification in respect of the maximum size of contract they can handle. The SSACS strongly recommends that Organizations achieve registration with RQSC to provide a rigorous independent assessment of their technical capability and competence which may support any scope of work defined within their scope of registration to this Sector Scheme. As part of its procurement policy/strategy for contracts involving steelwork, Highways England requires that Organizations demonstrate their technical capability and competence which can be achieved through being listed in the Bridgeworks Scheme of RQSC for the type and value of work to be undertaken. 9 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 Issue 2 [9001:2015] Page 7 of 55 NHSS 20: 30 December 2016

8 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 (November 2007) 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 31st July It is listed in Series 1800 and Appendix A of the Specification for Highway Works as a means of satisfying a mandatory requirement relating to quality management systems. 10 Where traffic management is required companies should either employ a National Highway Sector Scheme approved company or where applicable have skilled registered traffic management operatives qualified to meet the requirements of NHSS12D relevant to contract requirements and risk assessments. For work carried out on high speed dual carriageways and motorways the Organization installing Temporary Traffic Management measures should always be registered to NHSS 12A/B and/or 12C. 11 The SSD is a live document with the SSACS 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. 12 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. 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 Issue 2 [9001:2015] Page 8 of 55 NHSS 20: 30 December 2016

9 The Secretary The Sector Scheme Advisory Committee for the Execution of Steelwork Mr G Bowden Highways England Piccadilly Gate Store Street Manchester M1 2WD geoffrey.bowden@highwaysengland.co.uk Tel: +44 (0) Issue 2 [9001:2015] Page 9 of 55 NHSS 20: 30 December 2016

10 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 undertaking the execution of steelwork in transportation infrastructure assets. This SSD is based on the requirements of BS EN :2009+A1:2011 for conformity assessment of manufacturing operations, BS EN :2008+A1:2011 as the specification for the execution of steel structures and BS EN ISO :2005 and BS EN ISO :2005 as the basis for the welding quality requirements. This SSD is applicable to the supply of new steelwork and to work on existing steelwork in new and existing assets. It covers the design, fabrication, erection, dismantling and modification of steelwork. It is applicable to the execution of steelwork undertaken in the workshop and on site and includes all the associated processes required for the execution of steelwork. The Sector Scheme shall support and be supported by appropriate sustainability criteria and the associated health and safety and environmental controls. 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 the execution of steelwork in transportation infrastructure assets. Organizations may achieve registration to this Sector Scheme for specific services that they are competent to supply (e.g. welding, fabrication) within the overall process of the execution of steelwork in transportation infrastructure assets. The Certificate of Registration shall record the full scope of registration. (See Appendix K) This Sector Scheme excludes the corrosion protection of ferrous materials by industrial coatings which is covered by NHSS 19A. Organizations undertaking this type of work will need to have NHSS 19A included in their scope of registration and on their Certificate 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 for activities that include the execution of steelwork 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 2 [9001:2015] Page 10 of 55 NHSS 20: 30 December 2016

11 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. Bolting Coordinator* Certificate of Registration: Client: Contract Specification: Customer: Foreperson:* Inspector:* Manager:* Operative:* Organization: shall : The person identified and recorded by the Organization as being responsible and competent to coordinate those bolting and bolting related activities listed on the Organization s scope of registration.(see 7.2) A certificate issued by a UKAS accredited Certification Body (or equivalent) 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. The specification for the execution of steelwork included in the contract. The body engaging the Organization for the purpose of the work described in this SSD. The competent person identified and recorded by the Organization as being responsible for the supervision of a process within the overall process of the execution of steelwork. (See 7.2) A competent person identified and recorded by the Organization as being responsible for the inspection of steelwork for compliance with specific requirements. (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 execution of steelwork for that contract. (See 7.2) A competent person who works under the supervision of a Foreperson and is directly involved with a process within the overall process of the execution of steelwork. This may include a person who is working towards becoming competent in a process. (See 7.2) The legal entity undertaking the execution of steelwork and any other related contractual obligations and who will be assessed against this SSD by the Certification Body. Used to indicate a requirement strictly to be followed in order to conform to the standard and from which no deviation is permitted. (See ISO/IEC Directives Part 3:1997, Annex E) (reference guidance on terminology used in ISO 9001 and ISO 9004.) Issue 2 [9001:2015] Page 11 of 55 NHSS 20: 30 December 2016

12 Skills Card Sub-contractor: Supply Technical Manager:* + Technical Manager (Design): + Transportation Infrastructure Assets: Responsible Welding Coordinator:* A card issued by a recognised authority, 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 and where relevant also registered to this scheme or associated National Highway Sector Scheme where they exist. The making available of the necessary information, services, products and/or materials to meet the requirements specified in the contract. A competent person identified and recorded by the Organization as being responsible for ensuring that specific technical requirements are met. (See 7.2) A competent person identified and recorded by the Organization as being responsible for design and development activities. (See 7.2) 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 person identified and recorded by the Organization as being responsible and competent to coordinate those welding and welding related activities listed on the Organization s scope of registration. (See 7.2) * + Note Roles may be combined where appropriate. 3.2 For the purpose of this Sector Scheme Document the following abbreviations shall apply: NHSS QMS National Highway Sector Scheme Quality Management System RQSC Register of Qualified Steelworks Contractors (see SSAC SSACS: SSD UKAS Sector Scheme Advisory Committee Sector Scheme Advisory Committee for the Execution of Steelwork. 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 2 [9001:2015] Page 12 of 55 NHSS 20: 30 December 2016

13 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 the execution of structural steelwork in transportation infrastructure assets. 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 2 [9001:2015] Page 13 of 55 NHSS 20: 30 December 2016

14 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. Issue 2 [9001:2015] Page 14 of 55 NHSS 20: 30 December 2016

15 6.2 Quality objectives and planning to achieve them The quality objectives shall include a commitment to meet Customer and Client requirements with respect to the complete scope of works undertaken by the Organization No specific particular requirement. 6.3 Planning of changes No specific particular requirement. 7 Support 7.1 Resources General People The Organization shall be able to demonstrate that it has the necessary financial resources to meet its contractual commitments. Note: RQSC includes recommendations in this respect. (i) (ii) The Organization shall provide a Manager for all contracts. The numbers of trainee personnel shall be appropriate to the activity being undertaken and shall have an appropriate level of supervision Infrastructure (i) (ii) The Organization s infrastructure in terms of facilities and process equipment shall be suitable for the scope of registration being sought (e.g. welding processes). 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 to enable the execution of steelwork to be carried out effectively, in particular, the Organization shall monitor the work environment with respect to its acceptability for carrying out the execution of steelwork effectively. Note: The BCSA s Safe Site Handover Certificate provides a benchmark of acceptability Monitoring and measuring resources General The Organization shall establish and maintain a record of the monitoring and measuring devices used in the execution of steelwork. (See Appendix E for guidance.) Measurement traceability Issue 2 [9001:2015] Page 15 of 55 NHSS 20: 30 December 2016

16 Where no standard exists, monitoring and measuring devices shall be calibrated in accordance with the manufacturer s instructions Organizational knowledge No specific particular requirement. 7.2 Competence General (i) (ii) (iii) (iv) The training and assessment of competency of personnel required by this scheme is aimed primarily at technical competence for those personnel involved with the execution of steelwork and with the inspection of those works. It is intended to enable personnel 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. Those personnel with contract specific responsibility and authority for execution work shall have a working knowledge of the relevant parts of the Contract Specification that are applicable to the work being undertaken. Those personnel with contract specific responsibility and authority for design and development work shall have a working knowledge of relevant standards and specifications that are applicable to the work being undertaken. Requirements (i) Competence and Training The Organization shall ensure that its personnel are suitably competent. The Organization shall ensure that their personnel have appropriate experience and have undergone suitable training and assessment that shall cover aspects of the work to be undertaken. Trainees shall be under the direct supervision of a nominated competent person. Appendix C lists certain occupations for which the Organization needs to mobilise specifically qualified personnel. In addition the Organization needs to be satisfied that personnel are suitably competent for the specific tasks allocated. (ii) Records and Identification Cards The Organization shall maintain appropriate records of competence assessments and supporting training that has been undertaken. If appropriate the individual shall carry a record card of successful completion of an approved training course. Personnel shall carry an identification card that details their qualifications for competency at all times whilst working at construction sites. This card will include an identification photograph and where appropriate the name of the Organization. 7.3 Awareness With respect to special situations or requirements that occur on a specific contract, the Issue 2 [9001:2015] Page 16 of 55 NHSS 20: 30 December 2016

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 of materials and workmanship where required. c) Training records/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) Design information, including calculations and drawings. i) Execution drawings and schedules. With specific respect to welding documentation see PD CEN ISO/TR :2007. (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. Issue 2 [9001:2015] Page 17 of 55 NHSS 20: 30 December 2016

18 c) Design information, including calculations and drawings, and records described in 8.3. d) Instructions to Operatives, Supervisors and Inspectors. 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 including near misses (known to the Organization). i) Maintenance, calibration and test records of the equipment used. j) Product data sheets and health and safety data sheets. k) Contract records e.g. temperature, sampling and testing. l) Records to enable Operative traceability as required. m) Complaints and feedback With specific respect to welding documentation see PD CEN ISO/TR :2007. (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 Issue 2 [9001:2015] Page 18 of 55 NHSS 20: 30 December 2016

19 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 the execution of steelwork 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. Note: RQSC includes recommendations in this respect. (ii) During the progress of the product realisation process the Organization shall review: a) The risks associated with product realisation including delivery timescales; and b) Opportunities for control of risks and performance improvement. (iii) 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 for resolution at the earliest opportunity. (iv) During the progress of the product realisation process the Organization shall develop its plans for work on site in accordance with the overall construction phase plan for health and safety. (v) Matters of a significant nature, which arise during the determination and review of requirements shall be referred to the Customer 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) Design and development may address all associated processes required for the execution of steelwork including but not limited to temporary works, erection, access and protection of the works and environment. Issue 2 [9001:2015] Page 19 of 55 NHSS 20: 30 December 2016

20 (ii) (iii) Design and development is excluded on those items where the Customer is required to supply fully developed design information. Where design and development activity is undertaken by the Organization, the requirements of to inclusive shall apply. For highway works these requirements may be satisfied through the Organization working in accordance with GD 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 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 (i) (ii) (iii) The Organization shall implement and maintain processes that are suitable for providing, to the Customer and/or Client, details of the source of supply of all materials used in the execution of steelwork, as requested. The Organization shall have processes that match purchased steel products with the welding procedure specifications to be used in production. Organizations shall implement and maintain processes that are suitable for ensuring that purchased constituent product meet specified purchase requirements. Such processes may include: a) Obtaining objective evidence of the quality of the product from the supplier and verifying the authenticity of accompanying documentation. b) Review of the product documentation to confirm relevance, accuracy and completeness. c) Inspection and sample testing of the product upon receipt. Issue 2 [9001:2015] Page 20 of 55 NHSS 20: 30 December 2016

21 For mechanical fasteners this requirement may be satisfied by Organizations obtaining mechanical fasteners from a supplier that is registered to NHSS 3. For structural steel products this requirement may be satisfied by Organizations obtaining structural steel products from a supplier that is registered to NHSS 3B Information for external providers No specific particular requirement. 8.5 Production and service provision Control of production and service provision (i) (ii) (iii) (iv) The Organization shall have in place inspection and test processes for quality control that address the requirements of BS EN :2008+A1:2011 and the relevant Execution Class for the components being produced. Operational personnel shall be issued with appropriate work instructions or method statements supported by risk assessments. Where applicable, these documents shall address requirements identified in the contract-specific quality plan. See also With respect to welding processes, the Organization shall implement processes in accordance with the appropriate part of BS EN ISO 3834, using the guidance given in PD CEN ISO/TR :2007. 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 execution of steelwork, 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 that personnel allocated to the work are identifiable. (iii) With respect to materials, the processes shall be in accordance with BS EN :2008+A1:2011 and the relevant Execution Class for the components being produced Property belonging to customers or external providers No specific particular requirement Preservation (i) The Organization shall implement and maintain documented processes for the appropriate transportation, handling, storage, packaging and disposal of materials. These processes shall be in accordance with BS EN :2008+A1:2011 and the relevant Execution Class for the components being produced Post-delivery activities No specific particular requirement. Issue 2 [9001:2015] Page 21 of 55 NHSS 20: 30 December 2016

22 8.5.6 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. 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 the execution of steelwork on other works and the operation of the related infrastructure shall be considered. The Organization shall identify and set targets for improvements in the execution of structural steelwork 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 the execution of structural steelwork. b) In addition audits of the execution of structural steelwork being carried out in the shop or on-site, at least twice a year; these are to include at least one on-site audit where site works is undertaken. Where the Organization does not have contracts which provide continuous working Issue 2 [9001:2015] Page 22 of 55 NHSS 20: 30 December 2016

23 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 the execution of steelwork. Internal audits shall be carried out by the nominated quality manager or a designated competent person. 9.3 Management review General The Organization shall review the quality management system at least once every twelve months to ensure its continuing suitability and effectiveness to conform to this NHSS Management review inputs No specific particular requirement Management review outputs The output and actions from the management review shall be considered by Top Management at regular intervals throughout the year. 10 Improvement 10.1 General No specific particular requirement Nonconformity and corrective action No specific particular requirement No specific particular requirement Continual improvement No specific particular requirement. Issue 2 [9001:2015] Page 23 of 55 NHSS 20: 30 December 2016

24 APPENDIX A: REQUIREMENTS FOR QUALITY PLANS The Quality Plan shall be developed using the list of recommended items in Annex C of BS EN :2008+A1:2011for guidance and the following: 1. General requirements 1.1. Definition of the product (or service) to be provided 1.2. The Organization s management strategy for undertaking the execution of steelwork, including clear and sustainable performance objectives Identification of the relevant parts of the Organization s documented quality management system relevant to the product or service being provided Frequency of internal audits (see 9.2) 2. Customer and Client information 2.1. Name and contact details of Customer and/or Client contact(s) The Customer's nominated quality manager, project manager and/or other representatives through whom communication is to be made throughout the contract Details of the communications required between the Organization s staff and the Customer and/or Client or any other party including liaison with the Police, the Highway Authority, the Rail Authority, adjoining landowners and other organizations or individuals as appropriate Names and contact details of the staff involved with the contract including as a minimum the Manager. 3. Contract specific information (as applicable) 3.1. Location of site for the contract and means of access Specification and/or Contract Documents Extent of the works and the commencement and completion dates of the contract Details of the work (as appropriate) Details of the contract specific equipment to be used and any certification requirements Details of the information that is to be passed to the Customer and Client, and when it is to be passed to them (see 8.2.1) Work programme and details of deliverables including risk assessments, COSHH assessments and method statements All relevant contract specific information in respect to safety requirements, environmental requirements, existing conditions and site conditions Any environmental conditions impacting upon the specified works Reference to method statements, risk assessments and other relevant contract specific documents relating to undertaking the works. Issue 2 [9001:2015] Page 24 of 55 NHSS 20: 30 December 2016