Changes to NATA Testing Accreditation

NATA accreditation in Construction Materials Testing (CMT) is currently undergoing change with the new system being implemented over three years. The new system is outlined in NATA Policy Circular 26. At the time of writing, the policy is currently under review and will shortly be reissued as Annex 3.5 of the ISO/IEC 17025 Field Application Document for CMT. This article describes the policy and incorporates some of the anticipated changes that will appear in Annex 3.5. Written by BETTINA POXLEITNER and SONJA MCFARLANE from NATA.

THE National Association of Testing Authorities (NATA) has traditionally granted formal approval to staff in Construction Management Testing (CMT) who may sign test reports/certificates for work covered by the scope of accreditation.

Such personnel are referred to as ‘approved signatories’ and their capability to undertake the role is determined by assessment of qualifications, experience, capability to perform tests, interpret test results and recent relevant employment.

From 1 July 2013, NATA will no longer formally recognise facility staff as approved signatories in the fi eld of CMT. All applicant and accredited facilities in CMT will need to comply with the supervision requirements detailed in the section Laboratory Supervision shown below. This decision effectively shift s the responsibility for ‘approved signatories’ from NATA to the facility management in accordance with the requirements of ISO/IEC 17025.

LEVELS OF EXPERIENCE

Level 5 means a person who has either:

• Not less than 10 years full time experience in relevant construction materials testing duties involving at least 5 years supervisory responsibility in a CMT facility and including the issue and signing of test reports/certificates for work covered under the scope of accreditation;
• Degree or Advanced Diploma in Civil Engineering, Engineering Geology or similar relevant tertiary qualification with not less than 5 years full time experience in construction materials testing duties.

Level 4 means a person who has either:

• Not less than 5 years full time experience in construction materials testing facility duties involving 2 years supervisory responsibility in a CMT facility and including the issue and signing of test reports/certificates for work covered under the scope of accreditation;
• Degree or Diploma in Civil Engineering, Engineering Geology or similar relevant tertiary qualification with not less than 3 years full time experience in construction materials testing duties.

Level 3 means a person who has either:

• Not less than 3 years full time experience in construction materials testing duties in a CMT facility and including the issue and signing of test reports/certificates for work covered under the scope of accreditation;
• Certificate IV applicable to construction materials testing with not less than 3 years full time experience in construction materials testing duties.

Level 2 means a person who has either:

• Not less than 1 year full time experience in construction materials testing duties in a CMT facility including the issue and signing of test reports/certificates for work covered under the scope of accreditation;
• Certificate III applicable to construction materials testing with not less than 2 years full time experience in construction materials testing duties.

Level 1 means a person who performs construction materials testing under direct on-site supervision. The level of supervision needs to be defined in the facility’s procedures and will be reviewed at assessment.

It is acknowledged that Level 1 may include a diverse range of individuals with a wide range of experience and competency. As such, the same level of supervision may not be required for all staff at Level 1. Each organisation needs to consider this when documenting how supervision will be provided.

Where the above definitions include the “issue of test reports/certificates prior to 1 July 2009 for work covered under the scope of accreditation”, such persons would have been a ‘NATA Approved Signatory’ at a CMT facility.

It is acknowledged that the qualification certificate obtained is general in nature and does not necessarily specify the area of testing. In these cases, the tester or facility must obtain evidence of the specific ‘units of competence’ undertaken, to show that construction materials testing has been covered. Where competence is required in a number of classes of tests, additional records of competency in the tests not covered by the certificate documentation will need to be developed and maintained by the CMT facility.

LABORATORY SUPERVISION

Supervision of Level 1 staff

Supervision of Level 1 staff involves a staff member of at least a Level 2 being available at the facility to instruct, witness and advise other staff at all times when testing is being performed.

Supervision of field/sampling activities must also be provided. For staff that work in both field and laboratory roles, supervision may be possible from the facility. Staff that work exclusively or primarily in the field need to have appropriate supervision in the field. For example, where basic field testing is conducted such as concrete or nuclear gauge testing, and regular contact with the facility is not able to be demonstrated, a monthly review to ensure competence in the field should be completed. Records of this review must be maintained.

Supervision of facilities

Management of the facility shall ensure that supervisors provide adequate technical control over tests covered by the scope of accreditation and that this person has demonstrable experience in those tests. Management shall also ensure the continuity of supervision when it is provided by more than one person.

Supervision includes a number of activities as listed below:

• provide supervision of staff under their responsibility;
• approve and be responsible for operational practices and staffing of the laboratory;
• authorise staff to perform specific activities, including those who can issue reports/certificates;
• have a sound knowledge of the facility’s management system, ISO/IEC 17025, NATA Rules, this document and pertinent NATA Technical and Policy Circulars;
• ensure regular review of the facility’s internal quality control and proficiency testing/external quality assurance data and the methods used, and discussion of all aspects of the facility’s performance with the technical staff;
• ensure that professional and technical staff involved in the facility work are deemed competent (in accordance with the facility’s procedures) and participate in continuing training and development;
• ensure that work performed at the facility outside normal working hours is carried out by technical staff approved to do so by the designated supervisor, while providing appropriate supervision and having regard to their training and experience; and
• if relevant, attend other accredited sites under the technical control of the facility for supervisory visits in order to maintain compliance with this policy.

It is recognised that individual supervisors may not perform all of these tasks, and that staff at a variety of levels within the organisation will act to ensure supervision is effective with all of these activities adequately covered within the organisation. The adequacy of these arrangements will be reviewed at the NATA assessment.

a. Permanent (Base) Facility

A facility offering a wide range of testing, such as more than one technical unit (which is a measure of the assessment effort required to service an accredited facility per day), requires at least one Level 5 person.

Where activities are restricted to only one technical unit, at least one Level 4 person at the testing facility site may suffice. Depending on the size of the facility, there may be a need for one or more full-time Level 4 persons and possibly some Level 3 persons at the facility to provide adequate supervision. Facilities will be expected to document how adequate supervision, including supervision of level 1 persons and any QC facilities shall be maintained.

b. Quality control or Annex facilities

A facility performing tests for internal quality control and acceptance testing of construction material products or processes. Examples include facilities at a quarry, concrete or asphalt plant or for construction control. Such facilities usually perform a limited range of testing and are not normally available for public testing.

A Level 4 or 5 person, normally from the base facility, shall be technically responsible for these laboratories and shall attend the site to
provide supervisory visits at least:

• once every 3 months where testing is performed under the supervision of a Level 3 person;
• once every month where testing is performed under the supervision of a Level 2 person.

Records must be kept of attendance by the Level 4 or 5 people at each quality control facility. Sufficient detail shall be included to identify the activities undertaken during supervisory visits. As a minimum, staff at these facilities must be under the technical supervision of a Level 2 person at all times when testing is performed.

PERSONS ISSUING TEST REPORTS/CERTIFICATES

From 1 July 2013, NATA will no longer formally recognise facility staff as approved signatories in the field of CMT. All applicant and accredited facilities in CMT will need to comply with the supervision requirements detailed in this annex.

Facility staff who issue test reports/certificates for activities covered by the scope of accreditation must be competent to assure the technical validity and accuracy of all information contained in the reports/certificates they authorise. Such staff shall:

• demonstrate sound knowledge of the principles of the measurements and tests performed;
• understand the significance of results generated;
• demonstrate sound knowledge of NATA’s Accreditation Requirements, particularly in relation to reporting test results and the use of the NATA Endorsement;
• hold a position within the organisation which provides authority over the testing activities;
• where necessary, initiate appropriate corrective action when they consider testing activities to be inadequate.

Each accredited site shall maintain records of all individuals who are authorised to sign test reports/certificates and which includes the individual’s current role at that site. This evidence will be requested prior to an on-site visit (initial assessment, reassessment or surveillance visit).

If it is determined at a site visit that an individual the facility has approved to authorise test reports/certificates is not competent, all reports/certificates issued by that person for work covered by the facility’s scope of accreditation will need to be reviewed. Where it cannot be determined that the results contained in a report/certificate are valid, the facility shall be required to withdraw the report/certificate and affected clients advised.

Facilities must have suitably experienced staff at the appropriate level(s) as detailed in this annex to issue test reports/certificates for the complete range of its scope of accreditation.

IMPLEMENTATION TIMETABLE FOR NEW ARRANGEMENTS

Qualifications are not the norm in most facilities and therefore it is foreseen that suitable persons having the qualifications as detailed above may not be available immediately. Persons who were current ‘NATA Approved Signatories’ may remain so until July 2013. After this date, facilities will need to comply with the supervision and qualification requirements detailed in this policy.

From 1 January 2010, NATA has been progressively removing the list of approved signatories on the scopes of accreditation and recognition through the assessment process if all aspects of this policy are met for an individual facility. Until NATA has assessed a facility’s compliance to this policy, the facility needs to ensure that a NATA approved signatory is based on-site (as required prior to the issue of this document).

From 1 July 2009 until June 2012, NATA will approve additional signatories upon request from a facility; however such staff will need to obtain a suitable qualification by July 2013 in order to be at a level of at least Level 2. Between July 2012 and June 2013, such approvals will no longer be carried out by NATA. Accordingly, facilities will need to develop an action plan to ensure compliance with this annex will occur on or before 1 July 2013.

These plans (and progress reports) will be reviewed during NATA visits (initial assessment, reassessment or surveillance visit) since 1 January 2010.

After a facility has been assessed by NATA and implementation of this policy confirmed, it is the facility’s responsibility to ensure continued compliance with this policy. This must apply as changes to key staff occur. Authorised Representatives are also reminded of their obligations to notify NATA in the event of changes to key staff (refer also to NATA Policy Circular 14).

Where a facility fails to comply with this policy by 1 July 2013, its accreditation will be reviewed and suspension will be considered.

In order to ensure compliance with this policy, reports on assessment at scheduled assessments aft er 1 January 2010 will generally include comments and conditions as follows:

• 1 January 2010 – 1 July 2010 An ‘observation’ on the facility’s progress on compliance with this policy.
• 1 July 2010 – 1 January 2012 A ‘minor condition’ if a suitable plan covering all aspects of this policy has not been completed.
• 1 January 2012 – 1 July 2013 A ‘condition’ if any aspect of this policy, with the exception of qualifications, has not been documented. A plan and suitable progress on obtaining qualifications needs to be in place.

A ‘condition’ if suitable progress has not been made towards meeting the requirements of this Annex. Compliant policies and procedures need to have been documented and a plan for their implementation developed.

Information concerning qualifications at the certificate levels will be placed and routinely updated on NATA’s web site (www.nata.com.au) under Field Updates for Construction Materials Testing.

The changes being put in place by NATA are far reaching and will affect all quarries which require testing of the products they produce. If you have concerns relating to the article and the impact that this may have on your family business (eg cost implications), please contact the Secretariat and let us know about them.

The Secretariat needs your comments to be able to further discuss with NATA the implications of the changes on our industry.

You must be logged in to post a comment Login