SSPC-QP 3

March 1, 2000

SSPC: The Society for Protective Coatings

QUALIFICATION PROCEDURE NO. 3

Standard Procedure for Evaluating Qualifications
of Shop Painting Applicators

1. Scope contracting the work, it may be necessary to clean or coat

oversize pieces outside the enclosed shop.
1.1 This standard procedure describes a method for
Field: An open yard area, parking lot, or field where the
evaluating the qualification of shops whose primary function
environment is determined by ambient weather conditions.
is surface preparation and coating application services.
Open Shop: A permanent area or facility with no roof
However, the procedure may be applicable to a fabricating
or walls in which cleaning and painting activities are nor-
shop, shipyard, or other entity that applies coatings in the
mally conducted. The area or facility is exposed to outdoor
shop, even though providing coating application services is
weather conditions and blowing dust.
not its primary function.
Owner: The person, company or organization who
1.2 The procedure encompasses shop application of owns the material upon which the shop facility is performing
coatings in the industrial and light industrial/commercial surface preparation and coating application.
market. Procedure: The sequence of steps taken to carry out a
1.3 In addition to the evaluation criteria outlined in this particular course of action.
procedure, the qualifying agency may elect to review the Qualification: The objective evidence by which written
applicant’s financial status and performance history in more assurance is given that an applicant conforms to the pre-
detail than required by this procedure. scribed set of conditions or requirements of this standard
procedure.
1.4 This standard is intended for work at fixed, perma-
Qualifying Agency: The body responsible for devel-
nent facilities. For field painting work that may involve the
opment, maintenance, sponsorship and operation of a pro-
use of a temporary structure, evaluating contractors using
gram to ensure uniform compliance with the provisions of
SSPC-QP 1, “Standard Procedure for Evaluating Qualifica-
this standard procedure.
tions of Painting Contractors,” is more appropriate.
Shop Painting: Conducting surface preparation and
2. Description coating applications within a shop facility.

2.1 DEFINITIONS 2.2 FUNCTIONS TO BE EVALUATED: The program

has four function areas to be evaluated: Management
Applicator: A firm that provides the complete range of Procedures, Technical Capabilities, Quality Control, and
coating application services (surface preparation through Safety, Health and Environmental Compliance. General
coating application) in a shop facility for the industrial and requirements for each of these function areas are presented
light industrial/ commercial markets in Section 3.
Auditor: 1) The person or persons who perform audits
on behalf of the auditing agency or qualifying agency. 2) The 2.3 EVALUATION CRITERIA: The qualifying agency
body possessing the necessary technical competence to must develop criteria or rating plans to evaluate each appli-
review applicant submittals, conduct on-site audits of appli- cant against this standard. The qualifying agency shall also
cants, and report results to the qualifying agency in compli- determine which of the specific, critical items within the four
ance with the requirements of this procedure and the written function areas are to be evaluated for subsequent follow-up
requirements of the formal audit program. or evaluations, ensuring the items evaluated are the same
Covered Shop: A permanent facility, enclosure or for all applicants. The sequence of steps for conducting an
building having a roof under which cleaning and painting evaluation within a certification program is outlined in Sec-
activities are normally performed out of direct exposure to tion 4. The evaluation, in each instance, will be performed by
outdoor weather. the auditor.
Enclosed Shop: A permanent facility, enclosure or 2.4 QUALIFICATION CATEGORIES: This standard
building (four walls to grade and a roof) where surface establishes three qualification categories for shop painting:
preparation and coating activities are normally conducted in enclosed shop, covered shop, and open shop. These
an environment not subject to outdoor weather conditions categories differ to the extent of the shop’s capability to
and/or blowing dust. Note: It is to be understood that at conduct surface preparation and coating operations without
times, in special cases, and with the approval of the party regard to ambient weather conditions.

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Licensed by Information Handling Services
 SSPC-QP 3
March 1, 2000

3. General Qualification Requirements a. Written records of receipt and processing of job

specifications and revisions.
3.1 MANAGEMENT PROCEDURES: The applicant
b. Procedures for receipt of specifications and revi-
must demonstrate adequate procedures for disseminating
sions.
company policy and for personnel, administrative and finan-
c. Procedures for clarifying ambiguous specifications.
cial management as follows:
d. Procedures for communicating specifications and
3.1.1 Company Policy shop procedures to quality control and production supervi-
a. General mission statement with separate declara- sors.
tions on quality control and safety processes, goals and 3.2.4 Experience, Equipment, and Facilities
commitments.
a. Listing of current and recently completed jobs and
b. Description of procedures for disseminating com-
work experience which support company’s capabilities to
pany policies within the organization.
perform work at the level of certification sought. List should
3.1.2 Organization and Personnel include the following:
a. Organizational chart showing division of responsibil- • Facility name, address, telephone and fax num-
ity within the company. bers, and principal contact.
b. List of names, titles, duties, and job descriptions for • Description of work performed, including: materi-
key personnel (management, technical, quality control, als applied with name and address of manufactur-
safety) involved in purchasing and handling of materials ers; equipment used; project and shift supervisor’s
related to coatings or surface preparation, as well as those name(s) and number of painters required per shift;
involved in surface preparation and coating operations, such special safety or environmental requirements or
as inspection and testing. provisions; approximate volume of product applied;
c. List of in-house or external training courses and and delivery method of the completed work.
written career advancement programs attended by key per- b. List of equipment used for cleaning, surface prepa-
sonnel. ration, coating application, curing, and material handling
and delivery.
3.1.3 Administrative and Management Procedures
c. Written maintenance and repair procedures for equip-
a. Brief description of company method of financial ment and vehicles, as well as maintenance records
record keeping. d. Provide written preventive maintenance plans for
b. Procedures used to review job specifications and major equipment (e.g., air make up units, centrifugal blast
other related bid documentation. equipment, blast cabinets, dust collectors, compressors,
c. Formal procedures for complying with federal, state, pollution control equipment) and evidence of use of such
and local environmental, health, and safety regulations. plans.
3.2 TECHNICAL CAPABILITIES: The applicant must e. Description of the shop’s capability to control envi-
show evidence of having qualified personnel, adequate ronmental conditions and pollutants. This would include
technical resources, suitable job conversion procedures, describing each area with environmental or pollution con-
and appropriate equipment, facilities, and experience as trols, the nature of these controls, and functions carried out
follows: in the specific area. Such areas include (1) prior-to-cleaning
3.2.1 Personnel Qualifications material storage, (2) pre-cleaning, (3) preparation, (4) equip-
ment maintenance, (5) application of coating and (6) curing.
a. Availability of training programs.
The description of the areas would include ventilation,
b. Qualifications of personnel performing surface prepa-
lighting, dust control, and physical dimensions depending
ration and application, including certifications for applying
upon qualification category sought.
specialized materials.
f. Shop must maintain area adequate for storage of
c. Monitoring of surface preparation and application
coating materials in accordance with manufacturer’s re-
personnel for proficiency.
quirements and governing safety regulations. At a mini-
3.2.2 Technical Resources mum, flammable materials should be stored in approved
a. List of technical societies, trade associations, or containers; storage area temperature should be maintained
other industry groups (e.g., universities, major manufactur- in accordance with manufacturer’s recommendations or
ers, consultants) with which shop is associated. overriding safety regulations; paint and solvent should be
b. Verifiable evidence that the company maintains a stored under cover and out of direct sunlight; storage area
library of current documents appropriate for certification should have operable fire extinguishers and explosion-
category sought. proof lighting; smoking should be prohibited; mixing of
paints should be prohibited in the storage area; paint with
3.2.3 Procedures: Description of procedures which
expired shelf life should be segregated from current mate-
are used to convert job specifications into shop work orders,
rial; storage area should be kept neat and orderly, free of
job plans, etc., including:

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COPYRIGHT The Society for Protective Coatings
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 SSPC-QP 3
March 1, 2000
accumulation of empty paint cans, combustibles and other e. Safety procedures for specialized equipment.
debris. f. Verification that controls and procedures exist to
3.3 QUALITY CONTROL: The applicant must demon- ensure sufficient ventilation following NFPA guidelines dur-
strate that it has qualified personnel, inspection equipment, ing surface preparation and coating operations are in place.
and proper inspection and recording procedures for job g. Verification that controls and procedures exist to
quality control. avoid encroachment of other operations in surface prepara-
tion and coating areas.
3.3.1 Personnel Qualifications h. Verification that housekeeping measures are in place
a. Documentation that personnel performing quality to control hazards.
control functions are qualified, including records of training i. Verification that procedures for safe wiring, adequate
and experience of qualified supervisor and inspectors, and grounding and proper general electrical practices following
a description of qualification requirements for inspectors. NFPA guidelines are in place.
b. Documentation that quality assurance personnel j. Verification that appropriate respirators and other
report directly to management, other than production super- personal protective equipment are provided, properly used
visor, and evidence that quality control inspectors have and properly maintained.
authority to stop work which is found to be nonconforming. k. Availability of first-aid trained employees.

3.3.2 Inspection Procedures and Recording Sys- 3.4.2 Environmental Compliance

tems a. Verification that shop has an adequate written envi-
a. Records of standards and specifications for coating ronmental compliance program to handle processing and
inspection work and their utilization. proper disposal of hazardous waste and that program rules
b. System for maintaining and filing in-process and are consistently monitored and enforced.
final inspection reports. 3.4.3 Resource Materials
c. Availability of inspection equipment to monitor sur-
a. List of available resource materials.
face preparation and application.
b. Sources of information on safety requirements.
d. Demonstration that procedures are available and
c. Procedures used for acquiring safety information
used for:
and materials.
• calibration of inspection instruments
d. Availability of safety information referenced in sub-
• consistent inspection of each major operation (i.e.,
mittals.
coating materials receipt, materials inspection, ma-
e. Material Safety Data Sheets (MSDS).
terials storage, surface preparation; application of
primer, intermediate and topcoat; pre-shipping and 4. Application and Qualification Proce-
shipping damage)
dures
• providing adequate light for inspection as well as
free access to all items being inspected 4.1 SUBMITTAL OF WRITTEN APPLICATION PACK-
• stopping work not conforming to specification AGE: The initial step is to request an application form and
• identifying and isolating non-conforming material instructions. The request, along with an application fee
• identifying and correcting problems with inspection (when applicable) must be submitted to the qualifying agency.
equipment, procedures, and personnel The application process involves gathering required
information on the firm as described in the application form.
3.4 SAFETY, HEALTH AND ENVIRONMENTAL COM-
This information and documentation will be submitted to the
PLIANCE: The submitted application must document proper
qualifying agency at the same time as the formal application
health and safety and environmental compliance proce-
for qualification.
dures and recordkeeping systems and access to resource
material as follows: 4.2 REVIEW OF APPLICATION PACKAGE: The
applicant’s application package is reviewed by the qualify-
3.4.1 Safety Procedures
ing agency using guidelines for evaluation which have been
a. Documentation of safety education, safety meet- established by that agency. The evaluation items are based
ings, regular safety inspections, and other relevant activi- on Section 3 of this document.
ties. Verification that shop has adequate written safety
4.3 ON-SITE AUDIT OF APPLICANT: Subject to
program and that program rules are consistently monitored
satisfactory evaluation of the application package referred
and enforced.
to in 4.2 and on a date mutually agreed upon by the applicant
b. Pre-job safety planning.
and the qualifying agency, an auditor representing the
c. Documentation of accident reports, including inves-
auditing agency will visit the applicant’s premises to inves-
tigation to determine cause as well as actions taken to
tigate and rate the following areas directly and indirectly
prevent recurrence.
affecting quality of work provided: Management Proce-
d. Procedure for determining proficiency of safety and
dures, Technical Capabilities, Quality Control, and Safety,
loss control measures shop utilizes.

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COPYRIGHT The Society for Protective Coatings
Licensed by Information Handling Services
 SSPC-QP 3
March 1, 2000

Health, and Environmental Compliance. The auditor will identifying reasons for the appeal.
perform the following: • The applicant may arrange with the qualifying
• Confirm data submitted with the application for agency to have a second independent auditor ac-
qualification. ceptable to both parties brought in at the applicant’s
• Conduct interviews with key supervisory personnel expense to inspect and re-evaluate the applicant
and some subordinate employees. for compliance with the standard’s requirements.
• Observe and rate the organization and operation, • In the event the foregoing steps fail to resolve the
including management procedures; technical ca- dispute, a mutually agreed-upon arbitration panel,
pabilities; quality control; and safety, health, and consisting of three persons familiar with shop appli-
environmental compliance procedures. cation operations in the coatings industry, will hear
• Examine and rate equipment and facilities. evidence and make a final decision. If the arbitra-
The on-site audit will usually require from one to two tion panel finds for the applicant, the cost of all fees
days to complete. and expenses of the arbitration panel, the repre-
sentative of the evaluation team, and the qualifying
4.4 EXIT INTERVIEW: Following the site audit, the
agency will be shared (50:50 split) by the applicant
auditor will hold an exit interview with a cognizant member of
and the qualifying agency. If the arbitration panel
management. At the exit interview, the auditor will review
does not find for the applicant, the applicant will be
observations and the evaluation, including discussions of
responsible for payment of all fees and expenses.
deficiencies and omissions, if any. A written schedule of
Any other costs incurred by any party to the dispute
deficiencies and omissions will be provided to the cognizant
will be borne by that party.
member of management, who will be asked to confirm
receipt of the schedule. Every attempt is to be made by the 4.7 RECONFIRMATION OF QUALIFICATION
auditor during the exit interview to explain why deficiencies 4.7.1 Self-Audit: The applicant shall at his own ex-
were cited. pense perform an annual self-audit, based on the require-
4.5 EVALUATION OF APPLICATION AND DETERMI- ments of Section 3 above, following initial qualification. The
NATION OF STATUS: At the conclusion of the evaluation results of this self-audit will be forwarded to the qualifying
process, the auditor will make recommendations to the agency, with a copy retained on file by the applicant, and will
qualifying agency, which will make the final decision regard- be made available to the auditor during any announced or
ing applicant status: unannounced audits.
4.5.1 Qualification: The auditor has determined that 4.7.2 Owner Comments: Owners for whom the appli-
the applicant has met or exceeded the requirements of cant performs work will have an opportunity to comment on
Section 3 above. The qualifying agency will make final the qualified applicator’s performance by completing an
determination of the applicant’s qualification status based owner comment form available from the qualifying agency.
on the recommendation of the auditor and disciplinary or Comments will be in the form of replies to specific questions
other evaluation criteria defined in the application materials. asked of owners regarding performance on specific jobs.
Upon acceptance of this recommendation, the qualifying Owner comments will be treated as confidential information.
agency will issue a certificate identifying the applicant by 4.8 REVOCATION: Failure to satisfactorily complete
name and by location of the applicant’s home office. Subse- the annual self-audit or pass an audit to maintain qualifica-
quent annual reconfirmation is subject to the qualifying tion following initial qualification, or failure to meet disciplin-
agency’s requirements. ary or other evaluation criteria established by the qualifying
4.5.2 Withhold Qualification: The auditor has deter- agency, will be cause for suspension or revocation of certi-
mined that the applicant has not met the requirements of fication. Audits conducted to determine continued qualifica-
Section 3 above. Following any discussion necessary be- tion will be announced or unannounced and performed
tween the auditor and the qualifying agency, qualification annually, unless otherwise determined by the qualifying
may be withheld. If qualification is withheld, the qualifying agency.
agency shall submit to the applicant an itemization of defi- 4.9 QUALIFICATION PERIOD: Qualification is for
ciencies that resulted in the decision to withhold qualifica- three years with annual reviews as determined by the
tion. The applicant will be allowed 90 days after notification qualifying agency.
to submit corrective actions and request an on-site re-audit.
4.10 QUALIFYING AGENCY FILES: The qualifying
4.6 METHOD OF APPEAL: If an applicant disputes the agency will maintain a list of certified applicators, as well as
qualifying agency’s decision, the applicant may appeal, pertinent information submitted by owners and users who
utilizing the following steps of recourse: have utilized the applicator’s services. This information will
• Notifying the qualifying agency within 10 working assist in the validation process during the qualification
days after notification of audit results, specifically period.

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COPYRIGHT The Society for Protective Coatings
Licensed by Information Handling Services
 SSPC-QP 3
March 1, 2000

All information gathered will be used only for purposes Pass/fail scoring criteria can be established to deter-
intended. Information determined to be proprietary in na- mine whether an applicant has met the qualification require-
ture will be treated as confidential. ments. Taking this one step further, the QA can also set
required scores for certain critical items it deems essential
5. Disclaimer to the qualification. For example, SSPC requires applicants
to obtain an acceptable rating for the “Safety Program and
While every precaution is taken to ensure that all infor-
Enforcement” evaluation item.
mation furnished in SSPC guides and standards is as
Another approach to rating each item is to require that
accurate, complete, and useful as possible, SSPC cannot
the applicant meet the acceptable response for all items. If
assume any responsibility, nor incur any obligation, result-
the applicant falls short on any item, the auditor can issue a
ing from the use of any materials or methods specified
major or minor deficiency which must be corrected in a
therein, or of the procedure itself.
specified period of time (e.g., 90 days) in order for the
applicant to achieve qualification. A “minor” deficiency may
6. Note be defined as a system or procedure less than two-thirds
The American Institute of Steel Construction (AISC, 1 implemented. Corrective action could be submitted in writ-
East Wacker Drive, Suite 3100, Chicago, IL 60601-2001) ing and accepted as a remedy to achieve an “acceptable”
administers a Quality Certification Program with an optional response. A “major” deficiency may be defined as a system
Sophisticated Paint Endorsement certification for steel fab- or procedure less than one- third implemented. Corrective
rication shops. The Sophisticated Paint Endorsement certi- action for “major” deficiencies might require a written state-
fication parallels the requirements outlined in Sections 3.1 ment identifying the correction followed by an on-site audit
(Management Procedures), 3.2 (Technical Capabilities) and if the item rated is deemed critical by the qualifying agency.
3.3 (Quality Assurance and Control) of this standard proce- CRITICAL EVALUATION ITEMS (SHOP)
dure. SSPC accepts the AISC/SPE as an equal to QP 3, with
1. Technical Capabilities
the exception of safety, health, and environmental compli-
ance. • Are blasters and painters adequately trained?
• Is there a procedure for recording specifications
and revisions?
Appendix - Guidelines for Evaluating Ap-
• Does shop have and follow a process for clarifying
plicant Submittals and for Rating Items ambiguous specifications?
Evaluated During the On-site Evaluation • Is there a procedure for communicating job/shop
Audit procedures to QC and production personnel?
Applicant Submittals - The Qualifying Agency (QA) • Are there areas available in the shop for specific
should identify written submittal items required by the appli- operations, such as: receiving and lay down for
cant prior to the audit. Examples of such items include: pipe, steel, etc., to be coated; pre-cleaning of items
written quality control program; written safety, health and to be coated; preparation of items to be coated;
environmental compliance program and enforcement pro- surface preparation; coating application; drying and
cedures; names and titles of key management and supervi- curing of coated materials; storage of coating ma-
sory personnel; applicator training programs; references; terials, etc.?
worker compensation Experience Modification Rate (EMR); 2. Quality Control
accident and injury log. • Is there documentation that personnel performing
The submittal package can include other items as quality control related functions (supervisor and
required by the qualifying agency reviewing the applicant’s inspectors) are qualified, including records of train-
submittal. ing and experience? Are there written qualification
requirements for inspectors?
Auditing Criteria - Once the application and submittals • Do quality control personnel report directly to man-
are completed, the qualifying agency (QA) can arrange for agement and have authority to stop non- conform-
the on-site audit to determine whether the applicant meets ing work or order corrective rework?
the requirements of this standard procedure. • Are there standards and specifications available
Before conducting the audit, the QA must develop a set and used by quality control personnel in conjunc-
of acceptable responses to each evaluation item to be used tion with inspections, as needed?
by the auditor during the audit. A rating system such as 1, 2, • Are inspection reports and other required records
3 can be developed to assign points for each item rated. For documenting compliance with customer require-
example, a rating of “1” can be assigned for items rated ments maintained?
below the acceptable response. A “2” rating can be given for
items that meet the criteria.

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Licensed by Information Handling Services
 SSPC-QP 3
March 1, 2000
• Do quality control inspectors have necessary in- Rating Interpretation (Definition)
spection equipment and calibration standards to 0 Non-Responsive (No answer, or one
inspect work? with no connection to
• Can quality control inspectors demonstrate history the question)
of identifying and isolating non-conforming work
1 Unsatisfactory (pertinent but inadequate
and material as well as stopping work if necessary?
Response answer)
Are non conformances and corrective actions docu-
mented? 2 Satisfactory (minimally acceptable
Response response)
3. Safety, Health and Environmental Compliance
3 Superior (exceeds minimum
• Does shop have adequate written safety and health
Response acceptable)
compliance programs? Are procedures in the pro-
grams implemented and enforced (e.g. routine safety
• Assigned Values reflect the relative importance of
assessments; disciplinary measures)? Are safety
each evaluation item as follows:
information and required procedures disseminated
Value Interpretation
to employees?
• Is there an adequate hazard communication pro- 1 Important
gram? 2 Very Important
• Is appropriate personal protective equipment is- 3 Extremely Important
sued and properly maintained? • The shop’s score is compiled on the Evaluation
Report Form and Tally Sheet utilized by the audi-
QP 3 SCORING
tor. Copies are sent to the shop 30-45 days after
• SSPC determines qualification based on the shop’s the audit is complete.
total score, which is derived by multiplying Re- • To pass the QP 3 evaluation the shop must meet
sponse Ratings for each evaluation item by the all three of the following:
Assigned Value for that item, and totalling the • achieve a minimum “2” rating on all Critical Items
resulting weighted response ratings for all evalua- • achieve an overall passing score
tion items. • achieve a passing score for each function area
• Response Ratings define the quality of the shop’s (e.g., Management Procedures; Technical Ca-
response to each evaluation item as follows: pability; Quality Control; and Safety, Health and
Environmental Compliance).

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COPYRIGHT The Society for Protective Coatings
Licensed by Information Handling Services