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Statement of Requirements: Part P96 Independent Review of Construction
PART P96
INDEPENDENT REVIEW OF CONSTRUCTION
CONTENTS
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
General
Role of the Independent Reviewer
Quality Management
Independent Review Coordination
Key Personnel
Realease of the D&C Contractor’s Hold Points
D&C Contractor’s Verification Records
Control of the D&C Contractor’s Non-Conformance
Reporting
Independent Review Design Certificate
Appendix 696.A Independent Review Design Certificate
1.
GENERAL
This Part specifies the requirements for undertaking the independent review of the construction work carried out by
the D&C Contractor.
“CSTR” means the Contract Scope and technical Requirements included in the D&C Contract.
“D&C Contract” means the contract awarded by the Principal for the design and construction of the Project.
“D&C Contractor” means the contractor engaged by the Principal to undertake the design and construction of the
Project.
“Independent Reviewer” means the Contractor (for the purposes of Parts 695 and 696 only).
Unless expressly defined otherwise in this Contract, words and expressions which have a defined meaning in:
(a)
the DPTI Master Specification for Transport Infrastructure (available from:
http://www.dpti.sa.gov.au/documents/contractsandtenders/specifications); and
(b)
9000 Quality management systems—Fundamentals and vocabulary,
have the same meaning in this Contract.
“Surveillance” means the ongoing observation, inspection and /or monitoring of the D&C Contractor’s work and
activities under the D&C Contract.
2.
ROLE OF THE INDEPENDENT REVIEWER
Unless specified otherwise, the D&C Contractor is responsible for the design and construction of all work under the
D&C Contract.
The Independent Reviewer must undertake all necessary surveillance and audit of the D&C Contractor’s
construction work under the D&C Contract to:
(a)
verify that the D&C Contractor’s construction work complies with the requirements of the CSTR
included in the D&C Contract; and
(b)
enable the Superintendent to fulfil its certifier role under the D&C Contract.
In performing its obligations under this Contract, the Independent Reviewer must act:
(a)
honestly, diligently and reasonably;
(b)
independently of the parties to the D&C Contract; and
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(c)
Statement of Requirements: Part P96 Independent Review of Construction
within any timeframe specified in this Contract or the D&C Contract.
The Independent Reviewer acknowledges that the Principal is relying upon the knowledge, skill, expertise and
experience of the Independent Reviewer in the performance of its obligations under this Contact and is entitled to
rely on any certificate or other document signed or given by the Independent Reviewer under or pursuant to this
Contract.
3.
QUALITY MANAGEMENT
The Independent Reviewer’s Quality Management System must be JAS-ANZ third party accredited. As part of the
Quality Management System, the Independent Reviewer must develop and implement a Construction Verification
and Surveillance Plan which describes the management and integration activities undertaken by the Independent
Reviewer, which at a minimum includes the following:
(a)
the management team structures, positions, nominated personnel and subcontractors to be engaged
on and off the Site and the roles and tasks of the nominated personnel and subcontractors;
(b)
the minimum skill, expertise and experience levels of each position and details of personnel
resource levels;
(c)
the Independent Reviewer's internal and external lines of authority, communication and reporting,
including those with the Superintendent and the Contractor;
(d)
the locations of the Independent Reviewer’s Design Phase and Construction Phase Services
personnel and how they will interface with the Contractor’s and the Superintendent’s personnel.
(e)
the identification of delegated authorities of the Independent Reviewer's personnel, including
identification of personnel with delegated authority to execute certificates on behalf of the
Independent Reviewer;
(f)
all compliance records to be maintained, in the form of a schedule;
(g)
the proposed timing of progressive verification for the performance of discrete elements of the
Services, including the timing for conducting audits of Project Plans and other aspects of the Work
under the Contract;
(h)
Hold Point requirements, including the identification of all Hold Points required by the
Independent Reviewer, in the form of a schedule which identifies all Hold Points to be released by
the Independent Reviewer;
(i)
the Independent Reviewer 's comprehensive plans for:
(j)

continual observation, surveillance, monitoring, auditing, reviewing, assessment and testing
of the D&C Contractor’s compliance with the D&C Contract, including methodology for
certification of Design Documents;

continual observation, surveillance, monitoring, auditing, reviewing, assessment and testing
of the quality and durability of the Works and the temporary works to determine, verify and
ensure the D&C Contractor’s compliance with the requirements of the D&C Contract;

audit and surveillance, including identification of resources, methodology, scope, levels /
frequency of surveillance, inspection, testing and survey; and

off-site surveillance of critical activities, including precasting yards, concrete production
plants and steel fabrication;
the Independent Reviewer 's strategies, processes, methodologies and procedures for:

reviewing and assessing the Project Plans;

addressing environmental monitoring and protection;

audit, surveillance and monitoring of the Contractor’s design and construction activities,
including the processes used for determining the levels and scope of surveillance of the
Contractor’s design and construction activities, including in relation to occupational health
and safety;
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(k)
Statement of Requirements: Part P96 Independent Review of Construction

identifying and managing the Independent Reviewer 's work to be subcontracted, including
quality, reporting and communication aspects of the work;

ensuring that the Contractor has addressed all issues of review, comment and consultation
with the Principal in relation to Design Documents and construction; and

risk management of the work covered by items B, C and D above; and
the Independent Reviewer's strategies, systems, procedures, processes, methodologies and
reporting protocols to be applied to achieve and satisfy the following requirements:

verification of the quality and quantum of work the subject of progress claims made by the
Contractor in order to provide the certificate in the form of Schedule 13 to the Contract;

verification of the D&C Contractor's processes for ongoing checking of testing, calibration
and parallel testing to check compliance and test error;

verification of the D&C Contractor's interface issues between processes and elements and
Project Plans;

verification of the D&C Contractor's processes for the control of subcontractors;

verification of the D&C Contractor’s processes for environmental monitoring and protection;

verification of the D&C Contractor's processes to address safety in design issues;

verification of the D&C Contractor’s processes to ensure that durability is incorporated into
all aspects of the design and construction of the Works;

verification of the D&C Contractor's processes to address constructability issues; and

verification of the rectification by the D&C Contractor of non-conformities.
The Construction Verification and Surveillance Plan shall be a Controlled Document (refer Clause 4 “Quality
Management” of the Special Conditions of Contract).
4.
INDEPENDENT REVIEW COORDINATION
Unless agreed otherwise with the Superintendent, the Independent Reviewer must all attend all workshops, site
meetings, coordination meetings and the like that are conducted for the D&C Contract.
5.
KEY PERSONNEL
The Independent Reviewer must provide personnel with a sufficient degree of knowledge, skill, expertise and
experience to perform its obligations under this Contract.
The Independent Reviewer must ensure that its personnel:
(a)
perform the services required of their respective positions;
(b)
are not removed without the prior written consent of the Principal (which consent must not be
unreasonably withheld or delayed, and will be deemed to have been given in relation to a party if
no response has been received from that party within 7 days of the request for removal), and if any
of the people are removed:
(c)

they must be replaced by people of at least equivalent knowledge, skill, expertise and
experience; and

prior to removal and replacement, there must be a proper and adequate handover to ensure
that the new personnel have a reasonable understanding of the Project and the Services; and
are available for consultation as any party may reasonably require from time to time.
The people required to perform the Services are those nominated in Schedule xx: Contractor’s Personnel.
The Principal may direct the Independent Reviewer to remove from the performance of the Services any of
Contractor’s personnel) and the Independent Reviewer must comply with any such direction.
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Statement of Requirements: Part P96 Independent Review of Construction
The Independent Reviewer must notify the Principal in writing of the names of the person or persons that are
authorised to sign the certificates and documents referred to in this Contract. The Independent Reviewer must
ensure that these certificates and documents are signed by the person or persons so notified.
6.
RELEASE OF THE D&C CONTRACTOR’S HOLD POINTS
The D&C Contract specifies Hold Points in the construction process. The responsibility for release of these Hold
Points resides with the Superintendent. The Superintendent will be relying upon the advice and expertise of the
Independent Reviewer in making a determination whether to release a Hold Point. The Superintendent may delegate
the authority to release a Hold Point to the Independent reviewer.
Where the D&C Contractor notifies the Independent Reviewer and /or the Superintendent that a Hold Point has been
reached, the Independent Reviewer must:
7.
(a)
undertake all necessary monitoring and observation in relation to the Hold Point;
(b)
examine all relevant information and documentation regarding the Hold Point; and
(c)
provide a written recommendation to the Superintendent as soon as practicable (and in sufficient
time for the Superintendent to review the recommendation and comply with the D&C Contract)
regarding the release of the Hold Point.
D&C CONTRACTOR’S VERIFICATION RECORDS
The D&C Contract specifies the records that the D&C Contractor must provide to demonstrate conformance with
the requirements of the D&C Contract. The Independent Reviewer must:
8.
(a)
review (and summarise if appropriate) the records provided;
(b)
provide advice to the Superintendent regarding the payment certificate; and
(c)
provide advice to the Superintendent regarding the acceptance or non-acceptance of the D&C
Contractor’s disposition for any non-conforming work.
CONTROL OF D&C CONTRACTOR’S NON-CONFORMANCE
The D&C Contractor is required to provide notification to the Independent Reviewer and Superintendent of any
Non-conformance by the issue of a Non-Conformance Report (NCR).
In the event of a Non-conformance related to the Specification or the D&C Contractor’s Quality Plan being
observed by the Superintendent or Independent Reviewer and the D&C Contractor does not take appropriate action
when informed of the Non-conformance, a Corrective Action Request (CAR) will be issued to the D&C Contractor
by the Superintendent or Independent Reviewer.
The Independent Reviewer must review the D&C Contractor's proposed disposition to rectify Non-conformances
and advise the Superintendent of the suitability or otherwise of the D&C Contractor’s proposed disposition.
The Superintendent will approve or otherwise the D&C Contractor's proposed disposition, including release of any
subsequent Hold Points related to the Non-conformance.
Following completion of the disposition the D&C Contractor must re-submit the Non-conformance Report, together
with any necessary supporting evidence for review and approval by the Independent Reviewer, as delegated by the
Superintendent.
9.
REPORTING
All advice and comments provided by the Independent Reviewer to the Superintendent, Principal or D&C
Contractor must be in writing.
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Statement of Requirements: Part P96 Independent Review of Construction
The Independent Reviewer must prepare comprehensive written reports of the surveillance and auditing until 3
months after the Date of Practical Completion. The reports must be provided at least monthly and copies of the
reports must be provided to the Principal and the D&C Contractor.
the Independent Reviewer must provide a monthly progress report (one hard copy plus simultaneous provision of an
electronic copy) to each of the Superintendent and the Contractor by the seventh day of the following month and in
such format as is required by the Superintendent, containing, identifying or setting out:
10.
(a)
a description of the verification activities undertaken during the reporting period;
(b)
a list or schedule of design and construction surveillance, monitoring and audits undertaken by the
Independent Reviewer during the reporting period;
(c)
a summary of key risks and issues relating to the Services;
(d)
the Independent Reviewer ’s current and planned resources and staffing levels;
(e)
details of any Contractor non-conformities raised by the Independent Reviewer or the Principal
and details on the verification of the rectification by the Contractor of non-conformities;
(f)
details of the surveillance, monitoring and auditing proposed to be undertaken by the Independent
Reviewer in the forthcoming reporting period, including the outcomes of the risk management
processes used to determine the levels and scope of the surveillance activities;
(g)
details of the current version of the Verification and Surveillance Plan and a summary of any
amendments, updates and developments to the Verification and Surveillance Plan during the
reporting period; and
(h)
any act, matter or thing which has or is likely to have a material adverse effect on the progress and
provision of the Services, together with detailed particulars on how the Independent Reviewer is
dealing or proposes to deal with any such act, matter or thing.
INDEPENDENT REVIEW CERTIFICATE
For each “package” of completed work submitted by the D&C Contractor, the Independent Reviewer must provide a
signed Independent Review Certificate, as detailed in Appendix 696.A. The certificate must be signed as
“Independent Reviewer's Representative” and submitted to the Superintendent.
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Statement of Requirements: Part P96 Independent Review of Construction
APPENDIX 696A
INDEPENDENT REVIEW DESIGN CERTIFICATE
Contract:
Certificate Number:
Design Package:
The Independent Reviewer has completed a comprehensive review of the adequacy of the D&C Contractor’s work
under the D&C Contract and certifies that it complies with the requirements of the Specification included in the
D&C Contract.
work under the D&C Contract:
Conditions of Certification:*
* note: written approval from the Superintendent of any conditions to certification shall be submitted with the
Certificate
Independent Reviewer’s Representative
Signed
Name:
Position:
Date:
Chartered Professional Engineer