“STEEL AND ALUMINIUM STRUCTURES EN 1090-1” (M/120 ......1 Depending on the activities carried out by the company, the CE marking method may comply with Annex ZA of EN 1090-1: ZA.3.2

CHECKLIST FOR PRODUCT FAMILIES “STEEL AND ALUMINIUM STRUCTURES_EN 1090-1” (M/120)

CPR_CHECK LIST_STEEL AND ALUMINIUM STRUCTURES_EN 1090-1_04/2014 Page 1 of 28

File N°

Organisation

Registered office address

Address of production site(s)

Type of component Execution

class Execution Standard Material Dimensions

CE marking method1

Technical documentation review report (Mod. CPR_REDT) (when applicable)

Performed by:

On:

Type of audit

Preliminary Assessment Surveillance

Supplementary Extension Certificate transfer

1 Depending on the activities carried out by the company, the CE marking method may comply with Annex ZA of EN 1090-1: ZA.3.2 (component construction), ZA.3.3 (design and construction), ZA.3.4 (construction according to client specification), ZA.3.5 (executive design based on data supplied by the client and construction).



List of standards included in the family of STEEL A ND ALUMINIUM STRUCTURES:

Reference Standard Field of application

EN 1090-1

“Execution of steel structures and aluminium structures – Part 1: Requirements for conformity assessment of structural components”

Structural steel and aluminium components as well as kits placed on the market as construction products

Supporting Standards which define the technical req uirements: − EN 1090-2 “Execution of steel structures and aluminium structures – Part 2: Technical requirements for steel

structures”;

− EN 1090-3 “Execution of steel structures and aluminium structures – Part 3: Technical requirements for

aluminium structures”.

Tasks for conformity evaluation (AVoCO 2+)

Tasks Content of the task Evaluation of conformity to be applied

For the Manufacturer

Type testing Relevant parameters related to the performance characteristics of table ZA.1 of EN 1090-1

EN 1090-1, Par. 6.2

Factory Production Control (FPC)

Relevant parameters related to the performance characteristics of table ZA.1 of EN 1090-1

EN 1090-1, Par. 6.3

Sampling, testing and inspection at the factory

Relevant characteristics of table ZA.1 of EN 1090-1

EN 1090-1, Table 2

For the Notification Body

Certification of FPC on the basis of: Initial inspection of factory and of FPC Continuous surveillance, assessment and approval of FPC

Relevant parameters related to the characteristics of table ZA.1 of EN 1090-1

EN 1090-1, Par. 6.3 and Annex B



N° CHECKED REFERENCES

1 GENERAL

Has the intended use of the product been defined?

Does the manufacturer have the product technical standards (harmonised and supporting standards)?

Are the technical standards referred to in the FPC system documentation available?

Is there more than one production site?

If yes, is the same FPC system implemented?

Has the FPC system been implemented for at least three months?

Does the manufacturer implement a quality management system in compliance with the ISO 9001 Standard which includes the production process/execution of the structural components subject to the EN 1090-1 Standard?

− If yes, is this affirmation supported by a valid QMS ISO 9001 certificate issued by an accredited body?

− Is factory production control for the products to be certified an integral part of the quality management system?

If welding is carried out, does the manufacturer implement a management system in compliance with the ISO 3834 Standard as follows?:

− UNI EN ISO 3834-4 per EXC1

− UNI EN ISO 3834-3 per EXC2

− UNI EN ISO 3834-2 per EXC3 and/or EXC4

If yes, is this affirmation supported by a valid ISO 3834 certificate issued by an accredited body?

Which essential product characteristics (see Annex ZA of the harmonised product standard) are verified and declared in the Declaration of Performance (DoP) and in marking?:

Have additional characteristics been identified and declared in compliance with the product standard?




If yes, which ones?:

In the case of excluded parameters (No Performance Determined (NPD)), do the clauses referred to meet the requirements of the standard and of the national rules in force?

For each essential characteristic declared in the DoP and marking, have the threshold levels and/or classes been defined?

Observations/Notes:

1 FACTORY PRODUCTION CONTROL (FPC)

Has the manufacturer established, documented and maintained an FPC system to ensure that products placed on the market conform to the declared performance characteristics?

Does the FPC system consist of written procedures, regular inspections and tests and/or assessments and the use of results to control the component’s constituent products, equipment, the production process and the manufactured component?

NOTE: An FPC system conforming to the requirements of EN ISO 9001 and made specific to the requirements of the EN 1090-1 standard is considered to satisfy the above requirements.

NOTE: A quality system in accordance with EN ISO 9001 does not necessarily have to be certified to satisfy the FPC requirements of the EN 1090-1 standard.

Does the FPC system at least contain the following elements?:

a) control of the component design process;

b) control of the part-fabricated products and parent materials;

c) control of the component construction process;

d) management of maintaining equipment efficiency;

e) control of finished components;

f) control of the identification and traceability of each element of the component;

g) management of process non conformities;

h) management of product non conformities;

i) management of market complaints;

j) management of the documentation recording the FPC data.




For each one of the controls specified in the FPC system, are the following indicated?:

a) reference to the applicable operational documents;

b) reference to the test and control equipment to be used;

c) reference to control frequency;

d) reference to acceptance criteria of the controls carried out;

e) reference to action taken in the case of non conformity of the results of the controls in relation to expected results.

Are the results of the controls, tests and evaluations indicated in the manufacturer’s FPC system recorded?

Is the action to be taken when the values or criteria of the control are not met recorded and kept for the period specified in the manufacturer’s procedures for factory production control (FPC)?

Evaluation of the FPC system is to be in accordance with the following tables B1 and B2.

Observations/Notes:

TABLE B.1: TASKS FOR THE INITIAL INSPECTION

TASKS RELATED TO STRUCTURAL DESIGN WORK a)

General: evaluation of design resources (premises, personnel and equipment) as being suitable to perform structural design of steel and/or aluminium components covered by the EN 1090-1 standard.

In particular, this includes:

− evaluation by samples that relevant equipment and resources, e.g. procedures for hand calculations and/or computer equipment and computer programs for the work are available and functional;

− evaluation of job descriptions and requirements to competence of personnel;

− evaluation of procedures for structural design including control procedures to secure that conformity is obtained.

The aim of the task is to check that the FPC system for structural design work is adequate and operational.

a) Only if characteristics influenced by structural design are to be declared.



TASKS RELATED TO EXECUTION WORK

General: Inspection and evaluation of execution resources (premises, personnel and equipment) as being adequate to manufacture steel and/or aluminium components according to the requirements in EN 1090-2 and EN 1090-3.

In particular, this includes:

− inspection and evaluation of the internal control system to check conformity and procedures for handling any non conformities;

− evaluation of job descriptions and requirements to competence of personnel.

Welding check, that the factory and the welding plant meet the requirements for FPC with regard to equipment and personnel.

The “welding certificate” should include the following information: - scope and applicable standards; - execution class(es); - welding process(es); - parent material(s); - responsible welding coordinator, see EN ISO 14731; - remarks, if any.

The aim of the task is to check that the FPC system for the manufacture of load bearing steel and/or aluminium components can meet the requirements of the European standard EN 1090-1.

TABLE B.2: TASKS FOR CONTINUOUS SURVEILLANCE

TASKS RELATED TO STRUCTURAL DESIGN a)

Check by sampling that the resources required to perform structural design for the relevant components are present and operational.

Evaluation by samples that the relevant equipment and resources, e.g. procedures for hand calculations and/or computer equipment and computer programs for the work are operational.

Evaluation of procedures for structural design including control procedures to ensure that conformity is obtained.

Confirmation of the FPC system for structural design work.

a) Only if characteristics influenced by structural design are to be declared.

TASKS RELATED TO EXECUTION OF WORK

Check by sampling that the system for monitoring that the requirements for geometry, use of correct constituent products and the quality levels for the work meet the requirements in EN 1090-2 or EN 1090-3.

Inspection and evaluation of the internal control system to check conformity and procedures for handling any non conformities.

Confirmation of the FPC system for the manufacture of load bearing steel and/or aluminium components.




2 TYPE TESTS/CALCULATIONS (TT/TC)

Is the documentation available on the type tests/calculations of the components subject to certification?

Has this documentation been drawn up taking into account what is stated in Annex A of the EN 1090-1 Standard “Guidelines for preparation of the component specification”?

Does this documentation contain an evaluation of the characteristics applicable to the type of component according to what is stated in table 1 below (Table 1 of the EN 1090-1 Standard)?

Is the above documentation consistent with the CE marking method indicated in the informative questionnaire?

Observations/Notes:

Table 1 – SAMPLING, EVALUATION AND CONFORMITY CRITE RIA FOR INITIAL TYPE TESTING AND INITIAL TYPE CALCULATION

Characteristic

Required § of the EN

1090-1 standard

Evaluation method Number of samples

Conformity criteria

(§ of the EN 1090-1

standard)

Tolerances on dimensions and shape 4.2 Inspection and test in accordance with the EN

1090-2 or EN 1090-3 standard 1 5.3

Weldability 4.3 Checking of inspection documents for compliance with the specified requirements of the constituent products

1 5.4

Fracture toughness/brittle strength (steel components only)

4.4 Checking of inspection documents for compliance with the specified requirements of the constituent products

1 5.5

Load bearing capacity 4.5, 4.5.2

Calculation according to relevant part of EN 1993, EN 1994, EN 1999 or structural testing according to relevant European technical specifications b

Manufacture according to component specification and EN 1090-2 or EN 1090-3 c

1 a 5.6

Fatigue strength 4.5, 4.5.3

Calculation according to relevant part of EN 1993, EN 1994, EN 1999 b

Manufacture according to component specification and EN 1090-2 or EN 1090-3c

1 a 5.6



Characteristic

Required § of the EN

1090-1 standard

Evaluation method Number of samples

Conformity criteria

(§ of the EN 1090-1

standard)

Deformation at serviceability limit state b 4.5.5

Calculation according to relevant parts of EN 1990, EN 1993, EN 1994, EN 1999 or structural testing to relevant European Technical Specifications b

Manufacturing according to component specifications and EN 1090-2 or EN 1090-3 c

1 a 5.6

Resistance to fire 4.5, 4.5.4

Calculation in accordance with EN 1993, EN 1994, EN 1999 for performance characteristic R or test and classification in accordance with EN 13501-2 for performance characteristics R, E, I and/or M b

Manufacturing according to component specification and EN 1090-2 or EN 1090-3 c

1 a 5.7

Reaction to fire 4.6 Checking of coated components in accordance with EN 13501-1 1 5.8

Dangerous substances 4.7 Checking that constituent products conform to European Standards 1 5.9

Impact resistance 4.8 Evaluation covered by fracture toughness 1 5.10

Durability 4.9 Execution of surface preparation in accordance with component specification, EN 1090-2 or EN 1090-3

1 5.11

a A single calculation is sufficient for conformity evaluation. If the characteristic is determined by tests, the number of test samples is to be in accordance with EN 1990, EN 1993, EN 1994 and EN 1999 as relevant for evaluation of the test results. b If the manufacturer declares characteristics determined from structural design. c In accordance with the execution class that is the subject for the initial type test.


3 ORGANISATION AND PERSONNEL

Has the responsibility, authority and the relationship between the personnel that manage, perform or verify work affecting product conformity been defined?

Does this apply, in particular, to personnel that need to initiate actions preventing product non-conformity from occurring, actions in case of non-conformities and to identify and register any conformity problems?

Is the documentation available of the appointment by the organisation of the person responsible for the FPC system who ensures compliance of the components with the requirements established by the reference standards?




Is this person assigned responsibility and authority to:

− decide the action to be taken to ensure compliance of the products with the requirements of the reference standards?

− decide the action to be taken in the case of non conformity of the products with the requirements of the reference standards?

Does the FPC system describe the measures to ensure that the personnel involved in activities which influence component conformity have adequate qualification and training for the range of components to be manufactured and for the relative execution classes?

Is there an organisation chart?

Is there a job description document?

Have the necessary competences been defined for each functional role in terms of training, experience, etc.?

Observations/Notes:

4 PLANTS AND EQUIPMENT

Have procedures been defined and implemented to maintain the efficiency of the plants and equipment used to manufacture the components?

Has the weighing, measuring and testing equipment influencing the conformity of the components been calibrated and regularly inspected according to documented procedures, frequencies and criteria?

Has the equipment used in the manufacturing process been regularly inspected and maintained to ensure that use, wear and failure does not cause significant inconsistency in the manufacturing process?

Are inspections and maintenance carried out and recorded in accordance with the manufacturer’s written procedures?

Are the records retained for the period defined in the manufacturer’s FPC procedures?

Observations/Notes:




5 STRUCTURAL DESIGN PROCESS

Subsequent verifications apply to CE marking methods carried out according to paragraphs ZA3.3 and ZA 3.5 of the EN 1090-1 Standard (respectively: 2 and 3b).

The activities to be checked correspond to those indicated in table B.1 “Tasks related to structural design work” already mentioned (Annex B - table B1 –left-hand column of the EN 1090-1standard).

5.1 CONTROL OF DESIGN PERFORMED IN HOUSE

5.1.1 DESIGN PLANNING

Does the organisation plan and keep under control the structural design of components?

Does the personnel in charge of design:

a) have the necessary competency to design metallic structures? 2

b) have suitable calculation means? 3

When planning, does the organisation define:

a) the design phases?

b) responsibilities and authority for design?

Is the planning result updated, where necessary, according to progress of the design activities?

Observations/Notes:

5.1.2 DESIGN INPUT ELEMENTS

Are the design input elements defined in relation to the requirements of the components?

Are the pertinent records kept?

Do the input elements also include the requirements as per table ZA.1 of the EN 1090-1 standard?

Are the input elements re-examined to check their adequacy?

Are the requirements complete, unambiguous and not in conflict one with the other?

2 Evaluation can be made based on the curriculum of the personnel in relation to the description of the activities to be performed. 3 By means is meant procedures for calculation by hand and/or automatic calculation systems (software and hardware).




Observations/Notes:

5.1.3 DESIGN OUTPUT ELEMENTS 4

Are the design output elements supplied in such a way as to allow their verification in relation to the input elements?

Are the output elements checked and approved before being released?

Do the design output elements:

a) comply with the design input requirements?

b) supply adequate information for the procurement of part-

fabricated products and/or parent materials for component manufacture?

c) contain or make reference to the component’s acceptance criteria?

Is all the documentation relevant to the design process (planning, input/output elements):

− available?

− kept for the period of time established in the manufacturer’s FPC system procedures?

Observations/Notes:

5.2 CONTROL OF DESIGN PERFORMED OUTSIDE THE ORGANISATION

Has the organisation established and does it maintain procedures to control the structural design of components subcontracted?

Do these procedures include:

a) qualification of the external organisation on the basis of competency in designing metallic structures?

b) the supply, to the external organisation, of all the information (input data) needed for the proper design of the components?

c) the issue, by the external organisation, of the documentation certifying that the design has been executed in compliance with the input information and that the output meets the input requirements?

4 The design output elements constitute the component specification MPCS indicated in A.3 of Annex A of the EN 1090-1 standard.




Is the above documentation:

− available?

− kept for the period of time established in the manufacturer’s FPC system procedures?

Observations/Notes:

6 MATERIALS, SEMI-FINISHED PRODUCTS AND PARENT MATERI ALS

Have procedures been defined and implemented for the procurement of semi-finished products and parent materials?

Do these procedures contain:

a) reference to the standards applicable to the type of product /semi-finished product? 5

b) the type of material and relative designation?

c) The characteristics, where applicable, of:

− weldability?

− toughness?

d) the state of finish?

e) the supply conditions?

f) identification and traceability?

g) statement of conformity? 6

Have procedures been defined and implemented for raw material acceptance?


a) verification that the goods, transport document, order and

attestation of conformity correspond?

b) checking the aspect and size, where relevant?

c) checking the identification?

d) verification of conformity of the attestations of conformity?

e) the action to be taken in the case of non conformity?

5 See par. 5 of EN 1090-2 for steel semi-finished products and parent materials and par. 5 of EN 1090-3 for those in aluminium. 6 For semi-finished products and products complying with a harmonised European standard, the CE marking is to be made available. In other cases, the regulatory requirements of the country of destination of the structural component apply. Moreover, every supply of semi-finished products and parent materials is to be accompanied by the quality document indicated in table 1 of the EN 1090-2 standard for those of steel and by the document indicated in par. 5.2 of the EN 1090-3 standard for those of aluminium.




Are the documents which record the checks made for acceptance of raw materials:

a) available?

b) consistent with the types of semi-finished products and parent materials procured?

c) kept for the period of time established in the manufacturer’s FPC system procedures?

Have the traceability criteria of the constituent products given in the EN 1090-2 and EN 1090-3 standards, which depend on the execution class, been met?

Observations/Notes:

7 WORKING/SUBCONTRACTING

7.1 CONTROL OF SUBCONTRACTED WORK

Have procedures been defined to control subcontracted work? 7


a) verification of subcontractors’ production processes including personnel qualification where required? 8

b) verification that the goods, transport document and order correspond, where applicable?

c) control of the aspect and size, where relevant?

d) verification of the attestations of conformity, where required?

e) control of identification and traceability?

f) the link between identification as per point e) above and the transport document?

g) the action to be taken in the case of non conformity?

Are the documents which record the checks made to control subcontracted work:

a) available?

b) consistent with the work carried out?


7 This means, for example, working on part-fabricated products including welding, hot galvanizing for steel components, heat treatments, etc.. 8 For welding activities, see point 8.2.




Observations/Notes:

7.2 CONTROL OF SERVICE PROCUREMENT

Have procedures been defined to control the procurement of services? 9

Do these procedures include?:

a) verification of competency and, where required, of personnel qualification;

b) verification of the reports on the activities performed by the

service provider;

c) the action to be taken in the case of non conformity.

Are the documents which record the checks made to control service procurement:

a) available?

b) consistent with the activities carried out?


Observations/Notes:

8 PRODUCTION SPECIFICATIONS

Is there a flow diagram of the production process phases including, if foreseen, design?

Is there a description of the equipment used to construct the components, including the equipment used for subcontracted work?

10

Is there a description of the instruments used for the control and testing of processes and products, including those for subcontracted work? 11

Is the information contained in the above-mentioned documents complete and consistent with the processes and controls established in the reference standards?

9 By services is meant, for example, testing and control, such as non-destructive tests, supervision of critical works, such as supervision by a welding expert, etc. 10 In the case of welding activities, the list of equipment for cutting, surface treatment, preheating, welding and heat treatment is to be made available. 11 If the organisation is unable to carry out the tests and controls required by the reference standards, these tests and controls can be performed by external companies. It is necessary to define and implement in a procedure the criteria and method for the assignment of work in relation to the type of controls and tests to be performed, their execution and documentation and for identification and traceability of the products subject to control and testing.

.




Is the production of components controlled using a specification which contains all the necessary information about the component in sufficient detail to ensure its production and to assess its conformity?

Is the execution class to be applied indicated in the component specification?

Has the manufacturer implemented a written inspection and a test plan to control and record that the manufactured components comply with their specification?

Is the specification of the component prepared on the basis of the design brief?

Appendix A of the EN 1090-1 standard contains guidelines for the preparation of the component specification.

NOTE: In many cases, responsibility for preparation of the component specification may be shared between the manufacturer and the purchaser (or the designers acting on their behalf). The manufacturer’s declaration that a component complies with its specification does not cover the design aspects not performed by the manufacturer and does not guarantee either that they have been correctly incorporated in the component specification.

Observations/Notes:

8.1 PREPARATION AND ASSEMBLY

Have procedures for the construction of the components and their control been established and implemented? 12

Do the above procedures include the following?:

a) operational methods;

b) the type of semi-finished product and/or parent material to be used;

c) recording of the identification data of the semi-finished product and/or parent material;

d) recording of the quantities produced;

e) identification of:

− each manufactured component?

− batches of manufactured components?13

f) the action to be taken in the case of non conformity.

Are the procedures for the construction of the components and their control:

a) implemented?

b) documented?

12 The construction process phases can be: cutting, forming (hot and/or cold), machine tool working (for example holing), assembly, welding, mechanical joints, surface treatments. 13 A batch only contains components produced from homogeneous part-fabricated products.




Does identification enable traceability of the attestation of conformity of the materials used?

Observations/Notes:

8.2 WELDING 14

8.2.1 DEFINITION OF WELDING REQUIREMENTS

Has the organisation established and maintained procedures to define the welding requirements of the components subject to certification?

Do these procedures take into account the following?:

a) location, accessibility and sequence of all the welding;

b) specifications related to the parent material and properties of the welded joints;

c) quality and acceptability requirements of the welding;

d) welding specifications, non-destructive testing procedures, heat treatment procedures.

Observations/Notes:

8.2.2 WELDING PERSONNEL AND COORDINATION 15

Are the welders and welding operators qualified according to the applicable requirements of the reference standards?

Is/are the welding coordinator(s) duly qualified?

Observations/Notes:

8.2.3 PERSONNEL RESPONSIBLE FOR INSPECTION AND TESTING

Does the organisation have sufficient and competent personnel to plan and undertake supervision, inspection and control of welded production in accordance with the requirements of the reference standards?

Is the personnel responsible for non-destructive testing qualified according to the applicable requirements of the reference standards?

14 The requirements of par. 7 of the EN 1090-2 standard apply to steel components and those of par. 7 of the EN 1090-3 standard to aluminium components. 15 Qualification is to be in accordance with the requirements of table 14 of EN 1090-2 for steel components and of table 7 of EN 1090-3 for aluminium components.




Observations/Notes:

8.2.4 EXECUTION OF WELDING

Has the organisation defined a suitable production plan of welding activities?

Does the organisation prepare and use correctly the production specifications (WPS) or instructions derived from them?

Are the WPS qualified in accordance with the applicable requirements of the reference standards?

Are the responsibilities defined for the preparation of the welding planning and control documentation, including other supporting quality documents?

Observations/Notes:

8.2.5 WELDING CONSUMABLES

Has the organisation established and maintained procedures which define responsibilities and controls for the identification, storage and handling of welding consumables?

Do these procedures take into account supplier recommendations to avoid the deterioration of welding consumables?

Observations/Notes:

8.2.6 POST-WELD HEAT TREATMENT

Does the organisation keep a record of post-weld heat treatments?

Do these records demonstrate that the procedures have been followed?

Do these records ensure traceability of a specific component?

Observations/Notes:




8.2.7 INSPECTION AND TESTING OF WELDING

Is inspection and testing carried out during the appropriate welding process phases to ensure compliance with the execution class?

Are localisations and frequency defined for each inspection and test, in compliance with the execution class?

Are appropriate measures foreseen to highlight the status of the inspections and tests carried out during the welding process?

Observations/Notes:

8.2.8 WELDING NON CONFORMITIES AND CORRECTIVE ACTION

Are records kept of welding non conformities?

Are measures implemented to prevent the recurrence of these non conformities?

When repairs and/or reworking are undertaken, are appropriate qualified procedures available at the workstations?

Observations/Notes:

8.3 MECHANICAL FASTENING 16

Has the organisation established and does it maintain procedures for the execution and inspection of mechanical fastenings?

Do these procedures contain the following?:

a) method of execution;

b) equipment to be used;

c) inspections to be made;

d) recording of inspections.

Are the procedures for the execution and inspection of mechanical fastenings:

a) implemented?

b) documented?

16 The requirements of par. 8 of the EN 1090-2 standard apply to steel components and those of par. 8 of EN 1090-3 to aluminium components.




Observations/Notes:

8.4 SURFACE TREATMENT

Has the organisation established and maintained procedures for the application of protective coatings against corrosion?

Do these procedures contain the following?:

a) method of execution;

b) inspections to be made;

c) recording of inspections.

Are the procedures for the application of protective coatings against corrosion:

a) implemented?

b) documented?

Observations/Notes:

8.5 IDENTIFICATION

Are procedures defined and implemented for component identification also for the purpose of subsequent erection?

Have procedures been established and are they implemented for component erection?

Does identification ensure traceability to the drawing, work documents and inspection?

During the handling and storage phases, does component identification continue to be ensured?

Observations/Notes:

9 PRODUCT EVALUATION/TESTING

Has the manufacturer established procedures to ensure that the declared values and the classes of all the declared characteristics are maintained?

Do the production control means of the characteristics and the sampling method for a component or family to be checked comply with the following table 2 (table 2 of EN 1090-1)?




If the component specification includes a prescribed inspection and test plan for the component’s properties, have these requirements been complied with in addition to those prescribed in table 2?

Are the products subject to geometrical control? 17

Is welding subject to the prescribed applicable inspections, as per the reference standards, depending on the type of welding? 18

Are the mechanical joints, depending on their type, subject to the prescribed applicable inspections, as per the reference standards? 19

Are protective coatings against corrosion, where foreseen, subject to the prescribed applicable inspections, as per the reference standards, in relation to their type? 20

Are the results of the above inspections and the tests as per the previous points checked in order to release the component?

Is the documentation related to the above inspections:

a) available?

b) kept for at least 10 years?

Are the results of the above tests and inspections periodically evaluated to check they comply with the reference standards and type tests?

Have procedures been defined and implemented for the control of the instrumentation and equipment used for the tests and controls?

Do these procedures include the following?:

a) identification;

b) maintenance methods;

c) calibration verification methods;

d) calibration frequency;

e) the action to be taken in the case of non conformity.

Is the instrumentation for product dimension control available?

Is the quantity and location of the instrumentation sufficient to ensure product dimension control?

17 With reference to tolerances, the design tolerances are applied, which are to meet the requirements of par. 11 of the EN 1090-2 standard for steel components and of par. 11 of the EN 1090-3 standard for aluminium components. 18 The requirements of par. 7 and 12.4 of the EN 1090-2 standard apply to steel components and those of par. 7 and 12.4 of the EN 1090-3 standard to aluminium components. 19 The requirements of par. 8 and 12.5 of the EN 1090-2 standard apply to steel components and those of par. 8 and 12.5 of the EN 1090-3 standard to aluminium components. 20 The requirements of par. 10 and 12.6 of the EN 1090-2 standard apply to steel components and those of par. 10 and 12.6 of the EN 1090-3 standard to aluminium components.




Is the personnel in charge of dimension control:

a) adequate?

b) trained?

Is the personnel responsible for non destructive testing qualified in accordance with the applicable requirements of the reference standards? 21

Is the documentation for the above personnel available as regards:

a) qualification of the operators?

b) their designation by the company?

Is the above personnel adequate?

Have the operational control procedures been approved by level 3 personnel?

Is the level 3: 22

a) qualified?

b) designated by the organisation?

Observations/Notes:

Table 2 – FREQUENCY OF PRODUCT TESTING AS PART OF F ACTORY PRODUCTION CONTROL

Characteristic Requirement (§ Standard EN 1090-1)

Evaluation method Sampling

Confor mity criteria

(§ Standard EN 1090-1)

Tolerances on dimensions and shape 4.2 Inspection and test in accordance

with EN 1090-2 or EN 1090-3 Each component a) 5.3

Weldability 4.3

Checking of inspection documents for compliance with the specified requirements to the constituent product

Documentary checks of all constituent products used in manufacture

5.4

Fracture toughness/brittle strength (steel components only) + Impact resistance b)

4.4

4.8



5.5

5.10

21 The requirements of par. 12.4.1 of the EN 1090-2 standard apply to steel components and those of par. 12.4.2.2 of the EN 1090-3 standard to aluminium components. 22 Level 3 may be outside the organisation.



Characteristic Requirement (§ Standard EN 1090-1)

Evaluation method Sampling

Conformity criteria

(§ Standard EN 1090-1)

Yield, proof or tensile strength of constituent products used in manufacture

4.5



5.2

Structural characteristics governed by the structural design (load bearing capacity, deformation at serviceability limit state, fatigue strength, resistance to fire)

4.1 Check that the design is carried out according to the relevant Eurocode

Check that the calculations are relevant and verified for the manufactured component

5.6.2

Structural characteristics governed by manufacturing

4.5.1

Check that manufacturing is done in accordance with the component specification and EN 1090-2 or EN 1090-3

Check in accordance with the requirements to inspection in EN 1090-2 or EN 1090-3 and the component specification

5.6.3

Durability 4.9 Check that manufacturing is done in accordance with EN 1090-2 and EN 1090-3

Check in accordance with the requirements to inspection in EN 1090-2 or EN 1090-3

5.11

a) This requirement may be reduced if the components are manufactured under similar conditions or if the geometry is not critical for their use. b) See paragraphs 4.8 and 5.10 of EN 1090-1


10 NON CONFORMITY

10.1 SYSTEM NON CONFORMITIES

Has the manufacturer drawn up written procedures that specify how to deal with system non conformities?

Are system non conformities recorded when they occur?

Are these records kept for the period defined in the manufacturer’s written procedures?

Are the causes of the system non conformities sought?

Is the necessary corrective action to eliminate the cause of the system non conformities defined?




Are checks made to ensure that corrective action:

a) is implemented?

b) is effective?

Does the system include appropriate measures to prevent the recurrence of system non conformities (preventive action)?

Observations/Notes:

10.2 MANAGEMENT OF NON-CONFORMING COMPONENTS AND OF COMPLAINTS

Have procedures been defined and implemented to check component non conformity?

Are the causes of the non conformity sought?

Is the necessary corrective action to eliminate the cause of the non-conforming products defined?

Are checks made to ensure that corrective action:

a) is implemented?

b) is effective?

Have procedures been defined for non-conforming components which ensure the following?:

a) identification?

b) the documentation?

c) the evaluation?

d) segregation (where applicable)?

e) treatment?

f) communication to the functions concerned?

Is there a documented system able to detect possible errors (defects) quickly and accurately so as to block the products before they are released onto the market?

Is there a documented system used to deal with complaints about products?

Observations/Notes:




11 HANDLING, STORAGE, PACKAGING AND DISPATCH

Have procedures been defined and implemented for the handling, storage, packaging and dispatch of the components?

Is the handling equipment and method such as to avoid damage to the components?

Are the storage areas adequate in terms of space and protection against external agents, where necessary?

Is the packaging machinery and method such as to avoid damage to the components?

During the handling, storage, packaging and dispatch phases, is identification of the components maintained?

Are the dispatch means and method such as to avoid damage to the components?

Has the action to be taken in the case of non conformity related to handling, storage, packaging and dispatch been defined?

Observations/Notes:



Additional checkl ist for surveillance audits


S MAINTENANCE OF THE FACTORY PRODUCTION CONTROL SYSTEM

S.1 SCOPE OF THE FPC SYSTEM

Has the manufacturer implemented and continued to implement the FPC system whose scope covers all the products contained in the enclosure to the RINA certificate?

Is the certificate issued by the Notified Body valid?

Have substantial changes been made to the FPC documentation?

Have important organisational/managerial changes been made which have affected the FPC system?

Have significant changes been made to the company’s logistics?

Does the scope of the FPC system cover new production sites/offices?

Does the scope of the FPC system cover new products and/or new standards?

If yes, has the pertinent type testing/type calculation been carried out (TT/TC)?

Are there new production lines or have important changes been made to the existing ones?

Has the welding coordinator changed?

Have new welding processes, parent materials and relative WPQR been introduced?

Is there important new equipment?

Has the production process undergone substantial changes compared to the previous audit carried out on the FPC system?

If yes, in compliance with the rules of the Notified Body, has:

− the manufacturer informed the Notified Body of these changes?

− the manufacturer consequently updated the FPC documentation?

− the manufacturer obtained approval from the Notified Body to implement the changes, where necessary?

− the manufacturer implemented the changes according to what has been approved by the Notified Body, where necessary?




Observations/Notes:

S.2 PREVIOUS AUDIT FINDINGS/OBSERVATIONS

Have the corrective actions, established in relation to the findings issued during the previous audit, been implemented?

Have the type B findings, identified during the previous audit, been successfully resolved?

Has the manufacturer taken note of the observations made during the previous audit?

Observations/Notes:

S.3 RECORDS

Has the manufacturer provided a copy of the Declaration of Performance (DoP) of the product made available on the market?

Are the products placed on the market duly CE marked in compliance with what is established in the ZA Annexes of the respective product standards?

Does the CE marking information contain the examples given in the ZA Annexes of the respective product standards?

Is the CE marking information affixed to the product label or packaging or accompanying commercial documentation?

Does the commercial documentation contain a reference to the CE marking information and/or vice versa?

Observations/Notes:



ASSESSMENT OF THE LABORATORY/LABORATORIES (fill in the form below relevant to the audit/assessment review of the laboratory/laboratories in charge of testing)

Name of Laboratory:

Address: Contact person:

Tel: Fax: E-mail:

Certificates / notification/ authorisation obtained by the laboratory:

Since:

Since:

Since:

Since:

1 – TESTS PERFORMED

Requirement/Characteristic Test method Instrument identification CHECKED

References/Notes:

2 – LABORATORY REQUIREMENTS FINDINGS References/Notes:

Does the laboratory have the professional competency and necessary experience to provide the service?

Has the Management of the laboratory implemented adequate training and qualification of its personnel in accordance with national or international standards?

Is the list of qualified personnel up to date?

Is the age, education, training courses, qualifications and work experience of the personnel recorded (curricula vitae)?



2 – LABORATORY REQUIREMENTS CHECKED References/Notes:

Does the laboratory have the equipment and resources needed to provide the service?

Does the laboratory have up-to-date instruction manuals for its equipment, provided by the manufacturer of the equipment?

Do the lists of equipment and instruments include maintenance and calibration instructions?

Is there objective evidence of the state of maintenance and calibration of the equipment and instruments?

Are process documents available relevant to the services provided?

Does the laboratory check that all the services have been provided according to the applicable procedures?

Do the test reports contain all the information as required by the applicable standards?

Are the reports signed by technical personnel who have the necessary qualification?

Other…..

Documents

“STEEL AND ALUMINIUM STRUCTURES EN 1090-1” (M/120 ......1 Depending on the activities carried out by the company, the CE marking method may comply with Annex ZA of EN 1090-1: ZA.3.2