DOC

Ref WB(W)206324____WORKS BUREAU

By Victor Evans,2014-05-05 18:42
6 views 0
Ref WB(W)206324____WORKS BUREAU

Ref : WB(W)206/32/4

    Group : 2, 5, 6

    8 June 2001

    Works Bureau Technical Circular No. 13/2001

    Quality Management System Certification of Consultants and

    Contractors for Public Works Administered by

    the Works Group of Departments

Scope

     This Circular promulgates the requirements on consultants for consultancy agreements approved by the Architectural and Associated Consultants Selection Board (AACSB) and Engineering and Associated Consultants Selection Board (EACSB), and contractors in the List of Approved Contractors for Public Works (the List) and the List of Approved Suppliers of Materials and Specialist Contractors (the Specialist List) specified in this Circular to obtain certification of their quality management systems to the ISO 9001:2000 standard. It also provides the details for the implementation of these certification requirements and the transition arrangement from certification against ISO 9001:1994 and ISO 9002:1994 standards to certification against the ISO 9001:2000 standard, which was issued on 15 December 2000. Other housekeeping amendments are also included to better reflect the relevant policy intentions.

Effective Date

2. This Circular shall take effect on 1 July 2001.

Effect on Existing Circulars

3. This Circular shall supersede WBTC No. 4/2000 with effect from

    1 July 2001.

WBTC No. 13/2001 Page 1 of 11

Transition to ISO 9001:2000 Standard

    4. The International Standard ISO 9001:2000, Quality Management Systems - Requirements, was issued on 15 December 2000. Although the ISO 9001:2000 standard supersedes ISO 9001/2:1994 standards, the International Organisation for Standardisation and the International Accreditation Forum have agreed that there would be a three year grace period starting from 15 December 2000. Within the grace period, both the 1994 and 2000 edition standards will exist in parallel. Certification bodies can continue to issue accredited ISO 9001/2:1994 certificates with expiry dates before 15 December 2003.

    5. In line with this international practice, the Works Bureau will accept both ISO 9001/2:1994 certificates and ISO 9001:2000 certificates before 15 December 2003. On or after 15 December 2003 only ISO 9001:2000 certificates will be accepted.

Consultancy Agreements Requiring the Consultants to have obtained the

    Certification

Architectural and Associated Consultants Selection Board (AACSB)

    6. Subject to paragraphs 9 to 14, all consultants undertaking consultancy agreements that are administered by the works departments and approved by the AACSB are required to have obtained ISO 9001/2:1994 or ISO 9001:2000 certification, as appropriate (the Certification) on or before the date on which the submission of

    consultancy proposal is invited. However, the certification requirements under this Circular are not applicable to sub-consultants.

Engineering and Associated Consultants Selection Board (EACSB)

    7. Subject to paragraphs 9 to 14, all consultants undertaking consultancy agreements that are administered by the works departments and approved by the EACSB are required to have obtained the Certification on or before the date on which the

    submission of expression of interest or consultancy proposals, whichever is the earlier, is invited. However, the certification requirements under this Circular are not applicable to sub-consultants.

    Non-certified Consultants whose Expression of Interest/Consultancy Proposals shall be considered to be non-conforming in respect of the certification requirements

8. Where consultants have suitable consultancy agreements in hand for

    certification auditing but have not obtained the Certification on or before the date on

    which the submission of expression of interest or consultancy proposals, whichever is the earlier, is invited, such consultants' expression of interest or consultancy proposals for consultancy agreements described in paragraphs 6 and 7 shall be considered to be non-conforming in respect of the certification requirements.

WBTC No. 13/2001 Page 2 of 11

    Non-certified Consultants whose Expression of Interest/Consultancy Proposals shall be considered to be conforming in respect of the certification requirements

    9. There may be cases where consultants failed to obtain the Certification due to circumstances beyond their control, e.g. they do not have suitable consultancy agreements in hand for certification auditing. In order not to bar such consultants from getting consultancy agreements, their expression of interest or consultancy proposals shall be considered to be conforming in respect of the certification requirements provided that a full review of the Quality Manual of their Hong Kong office has been carried out in Hong Kong by a certification body accredited by the Hong Kong Accreditation Service (HKAS) to issue the Certification or considered to be equivalent by the Works Bureau and such

    Quality Manual has been confirmed by the certification body as being in conformity with the requirements of the relevant ISO standard, on or before the date on which the

    submission of expression of interest or consultancy proposals are invited, whichever is the earlier, but subject to paragraphs 12 and 13.

10. If such a consultant, who has its Quality Manual confirmed by a

    certification body as described in paragraph 9, submits the most favourable proposal, the works department concerned shall ensure that, before recommending this particular consultant to the AACSB/EACSB for award of the consultancy agreement, the consultant concerned shall undertake in writing to book within three months of the award of the consultancy agreement, the date of audit for the Certification with the certification body; with detailed documented quality system procedures ready at the time of booking. The booking of the audit shall be a condition precedent to the consultant's entitlement to any payment or any further payment of fees under the consultancy agreement.

    11. The consultant as described in paragraph 10 shall, during the entire period of non-certification, only be eligible for award from the AACSB of only one consultancy

    agreement (but not one for each discipline, e.g. architectural, quantity surveying) which requires the Certification; and for award from the EACSB of only one consultancy

    agreement (but not one for each discipline, e.g. civil engineering, environmental), unless and until the Certification has been obtained. If a consultant is involved in a joint venture consultancy agreement as a partner or shareholder, that consultancy agreement shall be counted as one consultancy agreement for the purpose of assessing the eligibility of award of consultancy according to this paragraph. Prior to recommending the consultant for the consultancy agreement, the works department concerned shall therefore check with the Secretary of the AACSB/EACSB to see if the consultant concerned has recently been awarded a consultancy agreement or recommended to the AACSB/EACSB for a

    consultancy agreement.

    12. Subject to paragraph 13, if after two years from the date the certification body confirmed conformity of their Quality Manual after the full review, the consultants as described in paragraph 9 still have not obtained the Certification, such consultants' expression of interest and/or consultancy proposals shall be considered to be non-conforming in respect of the certification requirements. If a consultant applies to more than one certification body for carrying out a full review of its Quality Manual, the

WBTC No. 13/2001 Page 3 of 11

    two year period shall be counted from the date its Quality Manual is first confirmed by any of the certification bodies.

    13. If failure to obtain the Certification within the two year period is due to circumstances beyond the consultants' control, e.g. failure to win a consultancy agreement after submitting competitive proposals or there has been no consultancy agreement (of the particular type of service/work that the consultants are seeking certification for) for the consultants to submit proposals, then these consultants may apply, giving reasons for failure to obtain the Certification, to the Secretary for Works for an extension for a further period of normally not exceeding one year. If such consultants cannot obtain the Certification within the extended period, the consultant's further expression of interest and/or consultancy proposals will be considered to be non-conforming in respect of the certification requirements. If the Certification is obtained after the extended period, the consultants shall notify the AACSB/EACSB as appropriate before its expression of interest and/or consultancy proposals are to be considered to be conforming in respect of the certification requirements.

    14. There may also be cases which would warrant calling for expression of interest or consultancy proposals from non-certified consultants. Such cases include, but not limited to, consultancy agreements calling for individual experts or overseas consultants who have not obtained the Certification. In such cases, the works departments should seek approval from the AACSB/EACSB to waive the requirements for the Certification under this Circular.

Special Condition of Employment

    15. Consultants shall be required to submit, together with their expression of interest/consultancy proposals, a copy of their ISO 9001/2:1994 or ISO 9001:2000 certificate, as appropriate (the Certificate) showing the scope of certification, and disclose any areas/aspects in the consultancy which their quality system specifically excludes, if any.

    16. If the scope of certification of a consultant excludes site activities service which is required to be provided by the consultant under the consultancy agreement, its submission shall be considered to be non-conforming in respect of the certification requirements. If the consultant can prove to the works department concerned that such exclusion is due to circumstances beyond its control, the proposal may be considered to be conforming in this respect. In such case, the works department concerned shall ensure that, before recommending this particular consultant to the AACSB/EACSB for award of the consultancy agreement, the consultant concerned has undertaken in writing to apply within three months of the award of the consultancy agreement, to the certification body for revision of its current scope to cover site activities service. The submission of an application for revision of the scope shall be a condition precedent to the consultant's entitlement to any payment or any further payment of fees under the consultancy agreement.

WBTC No. 13/2001 Page 4 of 11

    17. To cater for the requirements in paragraphs 10, 15 and 16, the statements at Appendix A shall be included in the document inviting expression of interest and/or consultancy proposals for consultancy agreement requiring its consultant to have obtained the Certification. The Special Condition of Employment at Appendix B shall be included in the agreement, as appropriate.

    Works Contracts Requiring the Contractors to have obtained the Certification

    18. Subject to paragraph 24, all contractors in the categories and/or groups of the List and the Specialist List shown in Appendix C are required to have obtained the Certification.

    19. Contractors who wish to apply for inclusion in the categories and/or groups of the List and the Specialist List shown in Appendix C should have obtained either the Certification or if they do not have suitable works contracts in hand for certification auditing, a confirmation from a certification body accredited by the HKAS to issue the Certification or considered to be equivalent by the Works Bureau that a full review of the Quality Manual of their Hong Kong office has been carried out in Hong Kong by the certification body and such Quality Manual has been confirmed by the certification body as being in conformity with the requirements of the relevant ISO standard, but subject to paragraphs 27 and 28.

    20. Contractors who are already in the categories and/or groups of the List and the Specialist List shown in Appendix C and have not obtained the Certification nor any confirmation from a certification body in accordance with paragraph 24, shall be suspended from tendering for contracts in the relevant categories and/or groups of the List and the Specialist List shown in Appendix C in accordance with paragraph 23.

21. Those contractors who are in the List and have been suspended from

    tendering due to non-certification may submit tenders for contracts in the lower group(s) not shown in Appendix C, as far as the certification requirements are concerned, provided that the works department concerned so approves in accordance with the Contractor Management Handbook, if necessary.

    22. Those contractors who are in the Specialist List and have been suspended from tendering due to non-certification may submit tenders for contracts in the lower group(s) of the Specialist List which is not shown in Appendix C, as far as the certification requirements are concerned.

Non-certified Contractors who shall be suspended from tendering

WBTC No. 13/2001 Page 5 of 11

    23. Those contractors currently in the categories and/or groups of the List and the Specialist List shown in Appendix C who failed to obtain the Certification not due to circumstances beyond their control shall be suspended from tendering only for contracts in the relevant categories and/or groups of the List and the Specialist List shown in Appendix C. Initially, such contractors would be invited to agree to voluntary suspension, i.e. to refrain from tendering, for a maximum period of six months. If such contractors do not agree to voluntary suspension, mandatory suspension shall be effected. If upon the expiry of the six month voluntary suspension, such contractors still fail to obtain the Certification, mandatory suspension shall be effected. If such contractors, after having been suspended for two years (including voluntary and mandatory suspension), still fail to obtain the Certification, they shall be removed from the relevant categories and/or groups of the List and the Specialist List, unless they can demonstrate that it is a special circumstance, in which case, they may apply, giving the details of the special circumstance and reasons for failure to obtain the Certification, to the Secretary for Works for remaining in the relevant categories and/or groups of the List and the Specialist List for a further period of normally not exceeding one year. If such a contractor cannot obtain the Certification after the extended period, the contractor will be removed from the relevant categories and/or groups of the List and the Specialist List. If the Certification is obtained any time within the voluntary suspension period, the suspension will be uplifted when the Works Bureau is satisfied with the Certification. If the certification is obtained any time within the mandatory suspension period, uplifting of the suspension will follow the requirements of the Contractor Management Handbook. If the Certification is obtained after the extended period, the contractor shall re-apply for entry to the relevant categories and/or groups of the List and the Specialist List.

Non-certified Contractors who will not be suspended from tendering

    24. Those contractors currently in the categories and/or groups of the List and the Specialist List shown in Appendix C who failed to obtain the Certification due to circumstances beyond their control, e.g. they do not have any suitable works contract in hand for certification auditing, will not be suspended from tendering as far as the

    certification requirements are concerned, provided that a full review of the Quality Manual of their Hong Kong office has been carried out in Hong Kong by a certification body accredited by the HKAS to issue the Certification or considered to be equivalent by the Works Bureau and such Quality Manual has been confirmed by the certification body as being in conformity with the requirements of the relevant ISO standard, but subject to paragraphs 27 and 28. Those contractors who failed to have their Quality Manual so confirmed will be suspended from tendering as detailed in paragraph 29.

    25. If such a contractor whose Quality Manual has been confirmed by the certification body as being in conformity with the requirements of the relevant ISO standard, submits the most favourable tender, the works department concerned shall ensure that, before recommending this particular contractor to Central Tender Board/Public Works Tender Board, the contractor to be recommended has undertaken in writing to book within three months of the acceptance of the tender, the date of audit for the Certification with the certification body; with detailed documented quality system procedures ready at the time of booking. The booking of the audit shall be a condition

WBTC No. 13/2001 Page 6 of 11

    precedent to the contractor's entitlement to any payment or any further payment under the contract.

    26. The contractor as described in paragraph 25 shall, during the entire period of non-certification, be eligible for award of only one contract, the Tender Sum of which

    shall not exceed the relevant limits imposed on contractors with a probation status in the relevant categories and/or groups of the List and the Specialist List, unless and until the Certification has been obtained. Prior to recommending a contractor for a contract, the works department concerned should therefore check with the Finance Unit of the Works Bureau to see if the contractor concerned has recently been awarded a contract or recommended to the Central Tender Board/Public Works Tender Board for a contract.

    27. If after two years from the date the certification body confirmed conformity of their Quality Manual after the full review, these contractors still have not obtained the Certification, they will, subject to paragraph 28, be suspended from tendering for contracts in the relevant categories and/or groups of the List and the Specialist List stated in Appendix C. The suspension procedures will be as those in paragraph 23. If a contractor applies to more than one certification body for carrying out a full review of its Quality Manual, the two year period shall be counted from the date its Quality Manual is first confirmed by any of the certification bodies.

    28. If failure to obtain the Certification within the two year period is due to circumstances beyond the contractors' control, e.g. failure to win a contract after submitting competitive tenders or there is no contract (of the particular type of work that the contractors are applying certification for) for the contractors to submit tenders, then these contractors may apply, giving reasons for failure to obtain the Certification, to the Secretary for Works for an extension of their eligibility to submit tenders for a further period of normally not exceeding one year. If such contractors cannot obtain the Certification within the extended period, the contractor will be removed from the relevant categories and/or groups of the List and the Specialist List. If the Certification is obtained after the extended period, the contractor shall re-apply for entry to the relevant categories and/or groups of the List and the Specialist List.

    29. Those contractors who fail to obtain the Certification due to circumstances beyond their control and fail to have their Quality Manuals confirmed as detailed in

    paragraph 24, shall be suspended from tendering. Initially, such contractors would be invited to agree to voluntary suspension for a maximum period of six months. If such contractors do not agree to voluntary suspension, mandatory suspension shall be effected. If upon the expiry of the six month voluntary suspension, such contractors still fail to have their Quality Manuals confirmed, mandatory suspension shall be effected. If such contractors, after having been suspended for a period of normally not exceeding three years (including voluntary and mandatory suspension), still fail to have their Quality Manuals confirmed, they shall be removed from the relevant categories and/or groups of the List and the Specialist List. If the confirmation of the Quality Manuals is obtained any time within the voluntary suspension period, the suspension will be uplifted if the Works Bureau is satisfied with the confirmation. If the confirmation of the Quality Manuals is obtained any time within the mandatory suspension period, uplifting of the suspension will

WBTC No. 13/2001 Page 7 of 11

    follow the requirements in the Contractor Management Handbook. If the confirmation of the Quality Manuals is obtained after the contractors have been removed from the relevant categories and/or groups of the List and the Specialist List, the contractors shall re-apply for entry to the relevant categories and/or groups of the List and the Specialist List.

    30. The procedures in paragraphs 23 to 29 are summarised in the flowchart in Appendix D, which provides the framework and guidance on the actions to be taken on and by non-certified contractors. Any special or doubtful cases should be referred to the Secretary for Works for decision.

Special Condition of Tender and Special Condition of Contract

    31. For contracts where tenders are invited from contractors in the categories and/or groups of the List and the Specialist List shown in Appendix C, the Special Condition of Tender at Appendix E and the Special Condition of Contract at Appendix F shall be incorporated into the tender document. Project officers should incorporate the Special Condition of Tender promulgated under WBTC No. 2/99 to remind suspended contractors that their tenders may be rejected.

Contracts Involving Sub-contracting

    32. For contract works where the main contractor is required to enter into written sub-contracts with the contractors in the categories and/or groups of the List and the Specialist List shown in Appendix C, the Special Condition of Contract in Appendix G shall be incorporated into the tender documents.

Scope of Certification

    33. The scope of certification should be determined by the consultant/contractor seeking certification. The Works Bureau and the works departments should not be involved in deciding the precise scope for any particular ISO 9001/2:1994 or ISO 9001:2000 certificate.

    34. The Works Bureau will generally accept the scopes of certification shown in Appendix H. These scopes of certification should be treated as a guide only. However,

    the qualifying phrase "to client's requirements" or similar must not be included in the scope of certification.

    35. Care should be taken by works departments to check that the scope of certification of the consultant/contractor is appropriate for the consultancy/contract concerned, particularly when the consultancy/contract has special requirements. Prior to recommending award of a consultancy/contract, the department concerned should therefore check whether the scope of certification and/or any qualifications (e.g. exclusions in the scope and/or quality system) would render the consultant/contractor unsuitable for the award of the particular consultancy/contract. In case of doubt,

WBTC No. 13/2001 Page 8 of 11

    departments shall clarify with the consultants/contractors and the certification bodies regarding the exact interpretation of the scopes of certification.

The Certificates Acceptable to Works Bureau

    36. The Works Bureau will only accept the Certificates issued under the rules of the Hong Kong Certification Body Accreditation Scheme (HKCAS) operated by the HKAS, i.e. bearing the HKCAS Accreditation Mark, and the Certificates bearing the accreditation mark of other accreditation bodies which are considered as having an equivalent standard by the Works Bureau. In general, accreditation bodies which have entered into a reciprocal agreement with the HKAS would be considered as having an equivalent standard. The Works Bureau will announce at the Works Bureau 's Website at "www.wb.gov.hk" the list of accreditation bodies which are considered as equivalent.

    37. The previous recognition system on certification bodies by the Works Bureau lapsed on 1 November 1999. Only the Certificates described in paragraphs 4, 5 and 36 will be accepted.

Certification of Branch Offices/Subsidiary Companies

38. A company in Hong Kong, whose parent company has been issued the

    Certificate by a certification body to cover all its branch offices or subsidiary companies overseas, is still required to obtain the Certification through separate and independent auditing carried out in Hong Kong. The reason for this is to ensure that the operations of the company in Hong Kong meet the relevant ISO standard. This requirement applies to both consultants and contractors.

Blanket Certificates

    39. A blanket ISO 9001/2:1994 or ISO 9001:2000 certificate to cover different categories of works carried out by a company (e.g. one certificate to cover the buildings, port works, roads and drainage, site formation and waterworks categories for a contractor) is acceptable.

    40. A company may also obtain different certificates for different categories of works.

Joint Ventures of Consultants and Contractors

    41. The certification requirements are applicable to consultants' joint ventures and contractors' joint ventures. The joint venture shall submit with its expression of interest/consultancy proposal/tender a statement declaring that the joint venture shall implement the quality management system of one of its partners or shareholders, and

WBTC No. 13/2001 Page 9 of 11

    specifying which one in the declaration. The specified partner or shareholder shall, in writing, notify its certification body of the declaration and agree that the activities of the joint venture are subject to the surveillance of the certification body.

    42. In exceptional circumstances, however, the requirements may be waived with the prior consent of the Secretary for Works. Such circumstances may include for example cases where the particular expertise of a consultant/contractor is not readily available in Hong Kong.

Withdrawal of the Certificate by the Certification Body

    43. In the event that the Certificate of a consultant, contractor or specialist sub-contractor is withdrawn by the certification body, that consultant, contractor or specialist sub-contractor shall not be allowed to submit any further expression of

    interest/consultancy proposals/tenders or enter into sub-contracts after the withdrawal unless and until the Certificate is reinstated by the certification body. If such withdrawal occurs during the course of a consultancy, contract or sub-contract, advice from the Secretary for Works shall be sought as to what actions should be taken.

Level of Works Supervision

44. It should be noted that although the consultant/contractor for the

    consultancy/contract is certified to the ISO 9001/2:1994 or ISO 9001:2000, the level of works supervision by project officers should not be affected/reduced.

Prequalified Tenders

    45. The certification requirements under this Circular are not applicable to contracts where the contractors are required to be prequalified. The project officers should specify the quality assurance requirements which they consider appropriate to the contract concerned. Paragraphs 6 to 9 of WBTC No. 15/94 stipulate that prospective tenderers can be drawn from (a) the List and the Specialist List, and also from (b) other suitable local and overseas contractors not in the List and the Specialist List, in order of priority. Those contractors who have been mandatorily suspended from tendering or are under voluntary suspension, solely due to non-certification, should also be considered for prequalification. The wording of paragraph 3 of the specimen gazette notice given in Appendix B of WBTC No. 15/94 should therefore be revised accordingly. However, the contract should include a provision that the contractor shall implement and maintain a documented quality system to control all activities of the contract and to ensure that these activities comply with the Employer's requirements and the specification.

Design and Build Contracts

WBTC No. 13/2001 Page 10 of 11

Report this document

For any questions or suggestions please email
cust-service@docsford.com