National Roads Authority Design Manual for Roads and Bridges Addendum

Volume 5 Section 2 Part 1 HA 46/92

NRA ADDENDUM TO HA 46/92 QUALITY ASSURANCE FOR HIGHWAY DESIGN

UK DMRB Advice Note HA 46/92 Quality Assurance for Highway Design is not formally implemented by the NRA but should be considered as background reading indicating good practice.

Aug 2010

THE DEP

Eplrt n F THE

EWIRONME

FOR NORTHERN IRElhlD

Quality Assurance for Highway Design

DESIGN MANUAL FOR ROADS AND BRIDGES

VOLUME 5 SECTION 2

ASSESSMENT AND PREPARATION OF ROAD SCHEMES PREPARATION AND IMPLEMENTATION

PART 1 QUALITY ASSURANCE FOR HIGHWAY DESIGN

INTROD ICTION
This document describes the effect of requiring Design Organisations to work within a Quality System conforming to BS 5750: Part 1: 1987 (EN 29001). It provides advice on the content and use of project Quality Plans, the role of the Project Manager, and the archiving of documents.

INSTRUCTIONS FOR USE

1.

2. 3. 4.

Remove old contents pages for Volume 5 Section 2 Insert new contents pages Insert HA 46/92 into appropriate place Archive this sheet as appropriate

AMENDMENT OF DESIGN MANUAL

This document covers new ground and should be integrated into the Design Manual.

June 1992

Design Manual for Roads and Bridges

VOLUME5 ASSESSMENT AND PREPARATION OF ROAD SCHEMES Section 1 Assessment of Road Schemes
Part 1 TA 44/92 TA 9/80 TA 11/81 Capacities, Queues, Delays and Accidents at Road Junctions - Computer Programs ARCADYD and PICADYD (TRRL) The Analysis and Modelling of Road Traffic - Computer Program Suite HECB/R/27 (ROADWAY) Traffic Surveys by Roadside Interview (Clauses 6.1, 6.2, 6.5 and Figures 1 to 5 are superseded by Ch. 8 of TSM) Scottish Addendum applicable for use in Scotland Vehicle Speed Measurement on All Purpose Roads The Analysis and Modelling of Road Traffic - Computer Program Suite HECB/R/34 (MICRO-ROADWAY) Use of Certain Departmental Standards in the Design and Assessment of Trunk Road Schemes Scottish Addendum applicable for use in Scotland Choice between Options for Trunk Road Schemes Scottish Addendum applicable for use in Scotland Frameworks for Trunk Road Appraisal Not applicable for use in Scotland The Analysis and Modelling of Road Traffic on Microcomputers - Computer Program Suite HECB/R/3 (MROADWAY) Traffic Flows and Carriageway Width Assessment Scottish Addendum applicable for use in Scotland Traffic Flows and Carriageway Width Assessment for Rural Roads Scottish Addendum applicable for use in Scotland Computer Program HCSL/R/42 (OSCADY) Scottish Traffic and Environmental Appraisal Manual For use in Scotland onb National Road Traffic Forecasts [and Amendment No 2 dated July 19921 For use in Scotland only Traffic and Economic Evaluation of Trunk Road Schemes Using the NESA Computer Program For use in Scotland on&

TA 22/81 TA 27/81

TD 11/82

TA 30182

TD 12/83
TA 40183

TD 20185 TA 46/85 TA 53/87 SH 2/86 SH 3/89

SH 2/91

February 1993

Design Manual for Roads and Bridges

(VOLUME 5 continued)

SH 4/91

Lane Rental For use in Scotland only

Section 2 Preparation and Implementation

Part 1 HA 46/92 H D 18/88 Quality Assurance for Highway Design Environmental Assessment Under EC Directive 85/337 Not applicable for use in Scotland Road Safety Audits Not applicable for use in Scotland Specification for Road and Bridge Works. Rolled Asphalt Wearing Course. Cold Weather Working Management of Contractual Claims The Planting of Trees and Shrubs Not applicable for use in Scotland EngineerIContractor Relationship on Trunk Road Contracts Road Safety Audits Not applicable for use in Scotland Metrication: Orders and Land Acquisition Procedures Not applicable for use in Scotland Standardisation in Format and Preparation of Drawings Noise Barriers - Standard and Materials [and Amendment No.1 dated 17/7/78] Scottish Addendum applicable for use in Scotland Road Safety Audits For use in Scotland only

H D 19/90

HA 0180 HA 2/81
HA 13/81

- HA 19/82
HA 42/90

H 2/69 H 7/76
H 14/76

SH 3/92

February 1993

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Volume 5 Section 2 Port 1 H 46/92 A REGISTRATION OF AMENDMENTS

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Registration of Amendments REGISTRATION OF AMENDMENTS

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DESIGN MANUAL FOR ROADS AND BRIDGES

VOLUME 5 SECTION 2

ASSESSMENT AND PREPARATION OF ROAD SCHEMES PREPARATION AND IMPLEMENTATION

PART 1 QUALITY ASSURANCE FOR HIGHWAY DESIGN

Contents Chapter
1.

Introduction
Use of Quality Plans

2.
3.

The Role of the Department's Project Manager Archiving Quality and Technical Records Enquiries

4. 5.

ANNEX A ANNEX B:

Model requirements for quality plans Suggested Agenda for an inaugural meeting
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Volume 5 Section 2 Part 1 HA 46/92

Chapter 1 Introduction

1. INTRODUCTION
General The Overseeing Departments attach great 11 . importance to the thorough and careful preparation of the design work carried out on its behalf by Design Organisations (DO). The quality of this work is a vital ingredient in the successful implementation of the Overseeing Departments programme for new highways and for upgrading and maintaining the existing network. 12 . For these reasons the Overseeing Departments have decided that when new commissions for major projects (currently over f5m estimated works cost) are awarded to DOS preference will increasingly be given to firms who have obtained recognised third party certificated quality assurance systems relating to highway design.
13 . This requirement will, when applicable, be made clear in the invitation documents and the brief issued by the Overseeing Department when it commissions new work.

to BS 5750 Part 1: 1987 from an accredited Certifying Body when evaluating bids from DOS. DOS operating Quality Assurance will have 17 . fully documented systems in place relating to the activities for which they hold certification. The documentation should be available for inspection by the Overseeing Departments representatives on request. The Overseeing Department has no direct 18 . influence on the operation of the Quality System, but relies on an accredited Certification Body to certify that the system is relevant for the type of work required and complies to BS 5750 : Part 1 1987 : (EN 29001,IS0 9001). The Certification Body is required to carry out regular surveillance of the Quality System and to ensure that any complaints received from Clients, or non conformances identified by internal audit are rectified.

Scope

19 . It is important therefore that any complaints regarding a Quality System are made in writing to the DO, which is obliged to make them known to the Certifying Body. Serious complaints or recurring shortcomings should be made known to the Certifying Body through the Overseeing Departments relevant HQ Units.

This advice note is concerned with those 14 . project related requirements relevant to a specific 11 . 0 Although, as explained earlier, the Overseeing commission, that should be identified in the project Department have no direct influence on a DOS Quality Plan (QP). It also gives advice on the role Quality System, it is able to require specific project of the Departments Project Manager (PM), and on related matters to be incorporated into a QP. By archiving quality and technical records. requiring Project Managers to approve the QP, the Overseeing Department is able to ensure it contains all the essential elements necessary for an acceptable degree of quality management. Implementation

1.5 This Advice Note should be used forthwith on all schemes for the construction and improvement of trunk roads, including motorways, currently being prepared provided that, in the opinion of the Overseeing Department, this would not result in significant additional expense or delay progress.
General Requirements
1.6 The Overseeing Departments recognise current certification of a Quality System complying

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Volume 5 Section 2 Part 1 HA 46/92

Chspter 2 Use of Quality Plans

2.

USEOFQUALITYPLANS
when producing final construction drawings will probably be greater than is necessary at the preliminary design stage. Wherever possible, staff involved in both reviews and checking should not have been directly involved in those aspects of the work, and on occasions this work may be carried out by independently employed staff.

2.1 s The Quality Plan i defined in BS 4778 Quality vocabulary as a document setting out the specific quality practices, resources and sequences of activities relevant to a particular product, service, contract or project.

2.2 Model requirements of a QP are listed in Annex A. These requirements are based on the relevant parts of BS 5750 and are intended to 2.7 As the design progresses, decisions are taken ensure that the Overseeing Departments objectives which then have the effect of freezing certain elements of the design, e.g. the formal approval of the are fully understood, appropriate resources will be deployed and there is the necessary management U2500 project plans or the extent of land take control throughout the progress of the commission. following the publication of the draft Compulsory Purchase Order. It is important that those elements of 2.3 Immediately after award of a commission the design that become frozen are formally recognised the DO shall prepare a QP and obtain at the time they occur and recorded within the Quality Departmental approval through the PM. System. 2.4 The QP should be regarded as a working document, it is prepared by the DO, preferably in conjunction with the PM in order to ensure that all the Overseeing Departments requirements are included. The QP should not be regarded as a rigid and irrevocable constraint on the management of the commission. If the circumstances require, it should be amended, following appropriate consultation. It is essential that the QP represents the actual working procedures of those involved.
2.5 Quality control procedures identified in the QP should be appropriate for the type of work included in the commission. In general terms the degree of quality control will increase as the project progresses and the design becomes more detailed. This is indicated in the model quality plans for stages 1, 2 and 3. At Stage 1 the volume of documentation will be less and the document control needed will not be as comprehensive as for later stages, leading to the invitation of tenders and award of contract. However, it is essential that the D O have records of receipt of all Departmental instructions and of contacts with third parties.

2.8 On occasions the designers may find it necessary or desirable to depart from the Overseeing Departments published design standards. The introduction of QA is not intended to prevent this, but to ensure that adoption of departures is controlled so that decisions on departures are only taken after a proper examination of the options, referred to an appropriate level of management within the DO, and the Overseeing Department. It is important that the QP includes agreed procedures for dealing with departures from Standards. 2.9 A requirement of QA is the identification of the key personnel and their responsibilities. This is necessary for the Overseeing Departments own staff, those in the DO and other parties involved in the commission. These designated persons should be formally notified by name and subsequent changes also notified. Their status should be identified as indicated in Annex A.

2.10 Since the nature of the work within a Stage 3 commission changes fundamentally when the project progresses from the design phase to construction, a new QP will be required. The model QP at Annex A, page 4 8 , relates to the supervision-in-chief aspects of 2.6 All work carried out by the DO should be the commission ie. the activities at the subjected to internal review and checking. The EngineerlDepartment interface. Most of these review is intended to consider the fundamental principles and conceptual aspects of the design on a activities are controlled by existing procedures and the global basis, carried out by senior staff, whereas the QP is a document which will bring these together in a comprehensive manner. detailed checking to eliminate errors in the design should be carried out at the working level. The type of review and extent of checking necessary
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Chapter 2 Use of Quality Plans

Volume 5 Section 2 Part 1 HA 46/92

To summarise, introduction of QA is not intended to lead to unnecessarily complex and expensive systems but only to formalise and record the good management practices that have usually been practised in the past.
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Chapter 3 Role of the Project Manager

3.

ROLE OF THE PROJECT MANAGER

3.1 T h e Overseeing Departments Project Manager will be the main link between the Overseeing Department and the DO and should be formally nominated by name to the DO. When any change is made, the Overseeing Department should again formally notify the DO.

T h e progress of the commission is 3.2 monitored by the PM holding regular progress meetings with the DO. T h e constitution and arrangements for these meetings should be agreed at the inaugural meeting with the DO at the commencement of the commission.

3.3 In order to provide some consistency on the management of the projects and also to ensure that the requirements of a quality system a r e introduced into the management process, an agenda for an inaugural meeting along the lines suggested at Annex B should be adopted.
3.4 T h e PM should approve the QP as soon as possible after the commencement of the commission and ensure that it remains in force and is relevant throughout the commission.

3.5 O n completion of the commission, the PM should record the stage of the work reached, identify the certificates of compliance received from the DO and issue instructions regarding archiving the project documentation. In cases where the project is still to be completed by the award of further commissions, the PM should ensure there a r e hand over notes and records which will enable the next commission to proceed without duplicating or conflicting with previous work.

June 1992

Volume 5 Section 2 Part 1 HA46192

Chapter 4 Archiving Quality and Technical Records

4.

ARCHIVING QUALITY AND TECHNICAL RECORDS

personal recollections. The archiving of the technical records, ie the surveys, drawings and computer held data, calculations approvals, consultations etc. needs to be reviewed as the project progresses. During the currency of a commission the D O will be required to hold this information, and on completion to hand it all over to the D O commissioned for the next stage. This is an appropriate time for the PM to review and record whai i being held. s
4.6 4.7 The receiving D O will be required to hold the

4.1 An important aspect of QA is the availability of records to enable the Overseeing Department to trace back the development of a project, examine the reasons for key decisions and identify the organisations and personnel who were responsible.

4.2 To achieve this, it is important that quality records are archived by the Overseeing Department throughout the period when they may be needed, which could extend at least 12 years after completion of the construction. The storage period for many documents will therefore need to exceed 20 years. This requires special archiving as Departmental files are not kept for this period. Documentation for special archiving needs to be identified either at the end of each commission or at intermediate periods not exceeding 5 years for long running commissions. The microfilming of such records should be considered. 4.3 It is necessary to distinguish between the archiving of the quality records and the construction as built records which will need to be retained indefinitely.

information received during the currency of their commission, nothing should be destroyed without the express consent of the PM. On completion of this commission the D O will be required to hand over information relating to the entire project to the next DO. On completion of the final (Stage 3) commission, the DO will hand over to the Overseeing Departmenl for archiving the information relating to the entire project. Guidance on this is given in the model briel for a Stage 3 Scheme consultancy commission.

It is not possible to list precisely what should be defined as quality records as this will depend on the nature of the project but the following should be used as a guide:
4.4

commission -Theformal reportsbrief, agreement andOthe QP All prepared by the D and others Minutes of progress meetings Instructions given to the D O Certificates of compliance from D O (as listed in Annex A) Decision letters on public consultations and inquiries Reports of Inspectors following public inquiries Statutory orders, land plans, special agreements with third parties
4.5

A satisfactory list of documents for archiving by the Overseeing Department is one that would allow a general picture to be drawn of the progress of the project, the parties involved and the management responsibilities-without relying on any
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Volume5 Section 2

Part1 H A 4 6 m

chapter 5 Enquiries

5 ENQUIRIES .
All technical enquiries or comments on this Advice Note should be sent in w..ing as appropriate to:-

> The Department of TPolicyr Programme Division St Christopher House a s oand Head of Engineering r n p t Southwark Street London SE1 OTE

J A KERMAN vHead of Engineering Policy and Programme Division

The Deputy Chief Engineer Scottish Office Industry Department New St Andrews House Edinburgh EH1 3TA

'

JINNES Deputy Chief Engineer

Head of Roads Engineering (Construction) Division Welsh Office Y Swyddfa Gymreig Government Buildings T Glas Road y Llanishen Cardiff CF4 5PL

/ f 'L
B H HAWKER

Head of Roads Engineering (Construction) Division

Superintending Engineer Works Department of the Environment for Northern Ireland Commonwealth House Castle Street Belfast BT1 1GU

D O'HAGAN
Superintending Engineer Works

Orders for further copies should be addressed to: DOE/DTp Publications Sales Unit Government Building Block 3, Spur 2 Lime Grove Eastcote HA4 S E

Telephone No: 081 429 5170

June 1992

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Volume 5 Section 2 Part 1 HA 46/92

Annex A

MODEL REQUIREMENTS FOR A PROJECT QUALITY PLAN

CONTENTS
1 2 3 4
5

GENERAL REQUIREMENTS DEFINITIONS M O D E L QP F O R A STAGE 1 COMMISSION STAGE 2 COMMISSION STAGE 3 COMMISSION (DESIGN PHASE) STAGE 3 COMMISSION (CONSTRUCTION PHASE)

MODEL REQUIREMENTS FOR A QUALITY PLAN

1.

GENERAL REQUIREMENTS -

2.2

Other terms used are:

1.1 T h e Overseeing Department requires a project Quality Plan (QP) to be prepared by the Design Organisation (DO) at the commencement of the commission.

DESIGN ORGANISATION: (DO) the organisation commissioned to undertake the various stages of scheme preparation and supervision of construction indicated above. DESIGN TEAM: the group(s) within the Design Organisation undertaking identified tasks. PROJECT MANAGER: (PM) the person within the Overseeing Department responsible for ensuring the progression of a project in accordance with the Overseeing Departments policies and procedures. BRIEF the statement by the Overseeing Department of the objectives of the commission, technical and administrative requirements, procedures to be followed and other specific requirements.

T h e content of the QP will depend on the 1.2 scope of the commissioned work and the specific requirements of the Overseeing Departments brief. T h e model QPs below should only be regarded as a check list. Where the award of a design commission 1.3 has been based on o n e of the Overseeing Departments detailed Model Briefs for the three stages of project development, there may be some overlap between the information contained in the Overseeing Departments brief and that required in the QP. However in such cases the QP will be the confirmation that the DO is working to the brief and the QP will provide the opportunity for explicit statements by the DO of how this is to be achieved. 1.4 Acceptance of the QP will be subject to the approval of the PM who will need to be satisfied that it contains all the Overseeing Departments requirements for the quality control of the commissioned work.

KEY PERSONNEL
Key persons nominated by the DO, with responsibilities for the commissioned work as defined in their Quality System, eg Project Director Project Engineer QA Engineer Team Leaders

2.

DEFINITIONS

T h e quality terms used in this Advice Note 2.1 a r e those in B.S.4778: Part 1: 1987

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Annex A
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Volume 5 Section 2 Part 1 HA 46/92

3.

MODEL QP FOR A STAGE 1 COMMISSION

Preparatory stage up to selection of preferred route following public consultation.

Requirements of a quality plan

*Review/confirmation of the Overseeing Departments Brief and any agreed amplification. *Designation of the Design Organisations key personnel and their responsibility. *Details of sub-consultancies and specialists to be employed. *List of quality procedures to be followed. *Programme of work and arrangements for monitoring progress. Arrangements for technical reviews. Procedures for departures from standards. Document control. *Special instructions from Overseeing Department for example: consultations with 3rd parties degree of confidentiality public relations aspects monitoring of fees/reimbursable expenses *Archiving of documents and quality records.

Items marked * are suitable for inclusion in a QP for a route assessment study.

Certificates required: For Deportment of Transport, Welsh Office and the Department of the Environment for Northern Ireland.
1
112500 plans and sections

Geotechnical certification:

Certificate Certificate

12-

prior to ground investigation following investigation

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Volume 5 Section 2 Part 1 H A 44/92 Certificates required: The Scottish Office Industry Department

Annex A

1/2500 plans and sections Topographical Survey Geotechnical Certification: Certificate 2

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Annex A

Volume 5 Section 2 Part 1 HA 46/92

5.

MODEL QP FOR A STAGE 3 COMMISSION (DESIGN PIIASE)

Design review, preparation of final design and contract documents phase

Requirements of a QP

Designation of the DOS key personnel and their responsibility. Review of brief and designs from Stage 2 commission. Details of sub-consultancies or specialists to be employed. List of quality procedures to be followed. Programme of work and arrangements for monitoring progress. Technical review group: personnel and duties. Proposals for detailed checking. Procedures for departures from standards. Document control. Special instructions from Overseeing Department, e.g. monitoring of fees, reimbursable expenditure, ground investigation contracts etc. Archiving documents and quality records
Certificates required: For Department of Transport, Welsh Ofiice and Department of the Environment for Northern Ireland.

6t

Road design certificate and Annexes: 1 2 3

4

5 6

pavement design drainage design safety fences & barriers signs communications road lighting design cert. category 0 structure I I1 and I11 check certificate variation to specification assessment certificate

7t

Structures certificates A B (as appropriate) C D

E F
8

Specification, tender drawings and BoQ Certificate,

Road Safety Audit Stage 2. Design Appraisal Report. NOTE:t some of these certificates and annexes may be more appropriate to Stage 2, the QP should make this clear.
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Volume 5 Section 2 Part 1 HA 46/92 Certificates required for the Scottish Office Industry Department

Annex A

Roads design certificate Geotechnical certification: Certificate No. 4 Structures design certificates 1-3 Contract documentation certificate Road Safety Audit Stage 2 Design Appraisal Report

NOTE some of these certificates may be more appropriate to Stage 2, the QP should make this clear.

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Annex A

Volume 5 Section 2 P r 1 HA 46/92 ot

6.

MODEL QP FOR A STAGE 3 COMMISSION (CONSTRUCTION PHASE)

Construction of the works, determination of all claims and settlement of the final account phase.

Requirements of a QP

Designation of DOS key personnel: Engineer, Engineers Representative, etc. Arrangements for: Site supervisory staff Design office liaison Liaison with Overseeing Department On site testing laboratory Off site testing Specialists services

Delegation to Engineer and Engineers representative. Procedures for reporting progress and identification of problems. Document Control Preparation of as built records. Archiving documents and quality records. Special instructions from the Overseeing Department eg monitoring of fees, reimbursable expenditure

Certificates required:

Monthly reporting forms and valuations Road Safety Audit - Stage 3 Engineers report on completion

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Annex B

SUGGESTED AGENDA FOR AN INAUGURAL MEETING

1.

INTRODUCTIONS PERSONNEL

2.

Nomination of key personnel e g PM and other Departmen tal staff. DO Project Director and others 0ther parties.
3.

COMMUNICATIONS

Consistent project title and file reference. All communications to Department through PM. Communication with DO. Communications with other parties. Records of telephone calls, faxes etc. Form of written communication and instructions. 4.

AGREEMENT AND BRIEF

Confirmation of DOS understanding. Supporting documentation to the brief. Confirmation of Departments published Standards Other Departmental instructions and advice.
5.

PREPARATION OF QUALITY PLAN

Confirmation of Departments requirements. Arrangements for PM approval.

6.

STAGE SPECIFIC ITEMS

e.g. data reports (available o r required). Survey and site investigations, consultations. 7.
8. 9.

PROGRESS MEETINGS.
Technical meetings and reviews.

FINANCE

Arrangements for submission/authorisation of fees, reimbursable expenses etc. 10.

QUALITY RECORDS

Identification, distribution and archiving.

11.

A.O.B.
P

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