Principal's Specification Q6
Quality Management System
Date: October 2009
Revision: 1.0
Quality Management System
Q6
Contents
1
GENERAL ............................................................................................................................................. 1
1.1 Introduction ................................................................................................................................. 1
1.2 Interpretation and Definitions ...................................................................................................... 1
1.3 Principal’s Specification Reference Documents ......................................................................... 3
1.4 Hold Points and Identified Records ............................................................................................. 3
2
QUALITY MANAGEMENT SYSTEM .................................................................................................... 4
2.1 General Requirements ................................................................................................................ 4
2.2 Quality Management System Procedures .................................................................................. 4
2.3 Quality Manual ............................................................................................................................ 5
2.4 Quality Plan ................................................................................................................................. 5
2.5 Changes to the Quality Plan and Associated Documents .......................................................... 5
2.6 Control of Documents ................................................................................................................. 6
2.7 Control of Records ...................................................................................................................... 6
2.8 Submission of Documents to Principal’s Representative ........................................................... 6
3
MANAGEMENT RESPONSIBILITY ...................................................................................................... 8
3.1 Management Commitment .......................................................................................................... 8
3.2 Customer Focus .......................................................................................................................... 8
3.3 Quality Policy .............................................................................................................................. 8
3.4 Planning ...................................................................................................................................... 8
3.5 Responsibility, Authority and Communication............................................................................. 8
3.6 Management Review .................................................................................................................. 9
4
RESOURCE MANAGEMENT ............................................................................................................. 10
4.1 Provision of Resources ............................................................................................................. 10
4.2 Human Resources .................................................................................................................... 10
4.3 Infrastructure ............................................................................................................................. 10
4.4 Work Environment ..................................................................................................................... 10
5
PRODUCT REALISATION .................................................................................................................. 11
5.1 Planning of Product Realisation ................................................................................................ 11
5.2 Customer Related Process ....................................................................................................... 11
5.3 Design Development ................................................................................................................. 11
5.4 Purchasing ................................................................................................................................ 11
5.5 Production and Service Provision ............................................................................................. 12
5.6 Control of Monitoring and Measuring Devices .......................................................................... 14
6
MEASUREMENT, ANALYSIS AND IMPROVEMENT ........................................................................ 15
6.1 General...................................................................................................................................... 15
6.2 Monitoring and Measurement ................................................................................................... 16
6.3 Control of Non-conforming Product .......................................................................................... 18
6.4 Analysis of Data ........................................................................................................................ 19
6.5 Improvement ............................................................................................................................. 19
7
PRINCIPAL’S REPRESENTATIVE AND INDEPENDENT CERTIFIER SURVEILLANCE AND
AUDITS ....................................................................................................................................................... 21
7.1 Quality Management System, Process Quality and Product Quality Audits and Surveillance . 21
7.2 Validation of Design .................................................................................................................. 21
ANNEXURE Q/A – DETAILS OF WORK.................................................................................................... 22
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ANNEXURE Q/B - SCHEDULES OF HOLD POINTS AND IDENTIFIED RECORDS ............................... 23
ANNEXURE Q/C – PLANNING DOCUMENTS .......................................................................................... 25
ANNEXURE Q/D – PRINCIPAL’S SPECIFICATION REFERENCE DOCUMENTS .................................. 27
ANNEXURE Q/E – RECORD KEEPING AND IDENTIFIED RECORDS ................................................... 28
ANNEXURE Q/F – SUBCONTRACT REQUIREMENTS ........................................................................... 32
ANNEXURE Q/G - PRODUCT TRACEABILITY ......................................................................................... 33
ANNEXURE Q/H – SAMPLING AND TESTING PROCEDURES .............................................................. 34
ANNEXURE Q/I - SURVEY PROCEDURES .............................................................................................. 37
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1
GENERAL
1.1
Introduction
Q6
This Principal’s Specification Q6 contains the quality management system requirements that are to be
met by the Contractor during the performance of the Contractor’s Activities.
Without limiting the requirements of the Contract, the Contractor must:
a)
develop, implement and maintain a Quality Management System that complies with ISO 9001;
b)
develop and implement a Quality Plan to cover the Project Works, the Temporary Works and
the Contractor’s Activities;
c)
throughout the duration of the Contractor's Activities, review, amend and update the Quality
Plan and associated quality management system procedures; and
d)
keep Quality Records in accordance with clause 2.7 of this Principal’s Specification Q6.
1.2
Interpretation and Definitions
a)
The definitions used in clause 3 of ISO 9000, clause 3 of ISO 9001 and in ISO 15489.1 apply
in the interpretation of the words and expressions appearing in this Principal's Specification Q6
unless stated otherwise.
b)
A reference to an "Annexure" is a reference to an Annexure attached to this Principal's
Specification Q6 unless stated otherwise.
c)
A reference to a "clause" is a reference to a clause of this Principal's Specification Q6 unless
stated otherwise.
d)
In this Principal's Specification Q6, the following terms have the following meanings:
i.
"Australian Standards" means codes, standards and specifications published by
Standards Australia;
ii.
“Business Day” means any day other than a Saturday, Sunday or public holiday or
27, 28, 29, 30 and 31 December;
iii.
“Construction Completion” means the stage in which the execution of the
Contractor’s Activities is complete;
iv.
"Construction Site" generally means the land where the Contractor undertakes the
Contractor's Activities;
v.
“Contract” means the agreement between the Principal and the Contractor;
vi.
"Contractor" means the organisation engaged by the Principal for the delivery of
the Project Works and the Temporary Works;
vii.
"Contractor's Activities" means all things and tasks which the Contractor is
required to do under the Contract;
viii.
"Corrective Action Request" means a from containing a request to rectify any
non-conformity or condition adverse to quality;
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ix.
“Design Documentation” means the design documentation prepared by the
Contractor for the purposes of carrying out the Contractor’s Activities;
x.
"Hold Point" means a point beyond which a work process must not proceed without
the authorisation or release of a designated authority;
xi.
"Identified Record" means those project records identified in Schedule B2 of
Annexure Q6/B;
xii.
"Independent Certifier" means the person or organisation engaged by the
Principal to undertake the independent certification of the delivery of the Project
Works and the Temporary Works;
xiii.
"Inspection and Test Plan” means the inspection and test plans described in
clause 6.1.1;
xiv.
“ITP Form” means the form that accompany the Inspection and Test Plans and that
are used for recording inspection and test results (including verification checklists).
If the Inspection and Test Plan contains the facility to record inspection and test
results, the Inspection and Test Plan is also regarded as an ITP Form;
xv.
"NATA" means the National Association of Testing Authorities;
xvi.
“Nominated Authority” means the person or entity that is identified as having the
authority to release a Hold Point;
xvii.
“Non-conforming Product Notification” means a form that identifies a nonconforming product;
xviii.
“Principal’s Specification Reference Document” means a document listed in
Annexure Q6/D and any updated or replacement version of these documents that
may be issued from time to time;
xix.
"Project Record" means any record generated to document the execution of the
project but does not include records which are commercial in confidence or relate to
staff confidential matters;
xx.
"Project Testing" means all testing, including sampling, of materials and products
carried out on the Construction Site, at concrete and asphalt batch plants or at offsite locations;
xxi.
"Project Works" means any permanent works which the Contractor is required to
design, construct, complete and hand over;
xxii.
"Quality Management System" means a corporate system that details the
organisational structure, policies, procedures, practices, recourses and
responsibilities for quality management;
xxiii.
"Quality Manual" means a document setting out the scope of and procedures
established for the Quality Management System;
xxiv.
"Quality Plan" means a document setting out the specific quality management
objectives, resources, responsibilities, procedures and practices for a particular
project;
xxv.
"Quality Record" means a record used to demonstrate conformity to specified
requirements and effective operation under the AS/NZS ISO 9000 series or
required by this Principal's Specification Q6;
xxvi.
"Records Management Plan" means the records management plan described in
clause 2.7;
xxvii.
“Subcontractor” means a subcontractor of the Contractor and includes a supplier
of goods and services and construction plant hire) or both;
xxviii.
"Survey Procedures" means agreed quality assured measures to control
parameters that affect the accuracy of survey techniques;
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e)
1.3
Q6
xxix.
"Temporary Works" means any temporary works required to carry out the
Contractor's Activities but which do not form part of the Project Works; and
xxx.
”Witness Point” means a point in a work process for which the Contractor must
give prior notice to the Principal’s Representative to allow the Principal’s
Representative to attend and witness the point in the work process should it choose
to do so.
The following references to the Australian Standards and handbooks have the following
meanings:
i.
"ISO 9000" means AS/NZS ISO 9000:2006, Quality management systems Fundamentals and vocabulary;
ii.
"ISO 9001" means AS/NZS ISO 9001 - 2008, Quality management systems Requirements;
iii.
"ISO 15489.1" means AS ISO 15489.1 – 2002, Records management - General;
iv.
"ISO 15489.2" means AS ISO 15489.2 – 2002, Records management - Guidelines;
and
v.
"HB90.3" means HB90.3-2000 The Construction Industry - Guide to ISO
9001:2000.
Principal’s Specification Reference Documents
The Contractor must comply with the version of the Principal’s Specification Reference Document that is
current at the time that the Contractor’s Activities are undertaken.
1.4
Hold Points and Identified Records
a)
The Hold Points listed in Schedule B1 in Annexure Q/B must be observed by the Contractor.
b)
Identified Records are nominated in Schedule B2 in Annexure Q/B and are to be created by
the Contractor.
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2
QUALITY MANAGEMENT SYSTEM
2.1
General Requirements
a)
The Contractor must develop, implement and maintain a Quality Management System that
complies with all the requirements of ISO 9001 and this Principal’s Specification Q6.
b)
The Contractor must apply the following quality assurance practices during the performance of
the Contractor’s Activities:
i.
ensure that purchased items conform to the Design Documentation before
incorporating them in the Project Works or the Temporary Works
ii.
plan and control work processes;
iii.
plan and carry out inspection and testing (including identification and traceability) to
verify that the work processes are effective and that all finished work complies with
the Contract;
iv.
carefully select Subcontractors and confirm that their work complies with the
Contract;
v.
where the Design Documentation require plans, procedures, methods and forms to
be documented, use these documents in implementing the Quality Management
System;
vi.
acknowledge and rectify any non-conforming work and improve work processes to
prevent recurrence of non-conformities;
vii.
keep orderly records to demonstrate that the Project Works, the Temporary Works
and Contractor’s Activities comply with the Contract; and
viii.
improve procedures and work practices when opportunities are identified, to
minimise errors, waste and product non-conformities.
c)
The requirements in this Principal’s Specification Q6 that are additional to the requirements of
ISO 9001 may be addressed within the Quality Management System or in the Quality Plan.
Where documentation of procedures is necessary, it is acceptable to document the procedures
either individually or combined with other procedures depending on how the Contractor
chooses to structure the Quality Management System and the Quality Plan.
2.2
Quality Management System Procedures
The Contractor must document, maintain and implement procedures in accordance with ISO 9001 and
the requirements of this Principal’s Specification Q6 as part of the Quality Management System to:
a)
control project documents (refer clause 2.6);
b)
manage Quality Records (refer clause 2.7);
c)
ensure personnel are competent and appropriately trained/qualified (refer clause 4.2.2);
d)
plan product realisation and preparation of the Quality Plan (refer clause 5.1);
e)
review customer requirements (refer clause 5.2);
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f)
plan, resource and manage design and development (refer clause 5.3);
g)
control purchasing and subcontracted work to ensure conformity to specification requirements
(refer clause 5.4);
h)
plan and implement process controls and monitor their effectiveness (refer clause 5.5.1);
i)
identify and trace products and work (refer clause 5.5.3);
j)
control inspection and testing activities (refer clauses 6.1.1, 6.2.4);
k)
plan and implement internal auditing (refer clause 6.2.2);
l)
identify, record, notify and control non-conforming products or services (refer clause 6.3);
m)
analyse non-conformities and implement corrective action (refer clause 6.5.2); and
n)
implement preventive action (refer clause 6.5.3).
2.3
Quality Manual
The Contractor must establish and maintain a Quality Manual in accordance with clause 4.2.2 of ISO
9001 using HB90.3 clause 4.2.2 for guidance.
2.4
Quality Plan
The Contractor must prepare the Quality Plan to inform and direct the Contractor’s personnel and any
Subcontractor’s personnel about the specific quality practices, resources, sequence of activities, controls
and checks that they have to implement during the performance of the Contractor’s Activities. The
Contractor must include or reference in the Quality Plan the planning documents listed in Annexure Q/C.
Associated technical documents that the Contractor must also provide with the Quality Plan include:
a)
process control plans and work process that the Contractor must use to plan and implement
controlled conditions for the performance of the Contractor’s Activities;
b)
Inspection and Test Plans and ITP Forms that the Contractor must use to verify that the
Project Works, the Temporary Works and Contractor’s Activities comply with the Contract; and
c)
a schedule of Hold Points and Witness Points and the Nominated Authority for the release of
Hold Points.
2.5
Changes to the Quality Plan and Associated Documents
a)
The Contractor must immediately implement changes, where applicable, to the Quality Plan
and Quality Management System if the Quality Plan and associated Quality Management
System documents:
b)
i.
do not adequately address the requirements of this Principal’s Specification Q6;
ii.
are causing non-conformity;
iii.
have to be revised as a result of an audit; or
iv.
no longer represent the Contractor's current or appropriate practice.
The Contractor must notify the Principal’s Representative promptly of any change to the
Quality Plan or the Quality Management System and submit to the Principal's Representative
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and the Independent Certifier amended documentation detailing the changes within 5
Business Days of such notification.
2.6
Control of Documents
In addition to the requirements of clause 4.2.3 of ISO 9001 and without limiting the Contract, the
Contractor must:
a)
describe in the Quality Plan the processes and approval regime for the modification and
updating of the Quality Plan;
b)
describe in the Quality Plan how revisions to other documents and data relevant to the Project
Works, the Temporary Works and Contractor’s Activities are to be identified; and
c)
ensure that copies of ISO 9001 and HB90.3 are accessible for reference by the Contractor at
the Construction Site.
2.7
Control of Records
In addition to the requirements of clause 4.2.4 of ISO 9001 and without limiting the Contract, the
Contractor must:
a)
include in the Quality Records the items set out in Schedule B2 in Annexure Q/B;
b)
deliver to the Principal the Identified Records set out in Schedule B2 in Annexure Q/B and the
Identified Records set out in each of the other Principal’s Specifications in accordance with the
requirements of clause E2 in Annexure Q/E;
c)
implement a records management system in accordance with clauses E1 and E2 in Annexure
Q/E. The Contractor must use ISO 15489.1 and ISO 15489.2 for guidance in developing and
implementing the records management system;
d)
prepare and submit a Records Management Plan for the Project Works, the Temporary Works
and Contractor’s Activities in accordance with clauses E1 and E2 in Annexure Q/E. The
Records Management Plan must cover the record keeping practices, resources and sequence
of activities required to meet all the requirements of this Principal’s Specification Q6. The
Records Management Plan must be consistent with the Quality Plan and include appropriate
cross-referencing to the Quality Management System and the Quality Plan;
e)
describe in the Quality Plan where the Quality Records are located and how they are stored
and maintained in accordance with the procedures in the Quality Management System. The
Contractor must make the Quality Records available to the Principal’s Representative at all
reasonable times. Where requested by the Principal’s Representative, the Contractor must
permit the Principal’s Representative to copy Quality Records;
and
f)
provide the Principal’s Representative with copies of any Quality Records within 10 Business
Days of a request by the Principal’s Representative.
2.8
Submission of Documents to Principal’s Representative
Documents are to be submitted to the Principal’s Representative in accordance with the requirements of
the Contract.
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In addition and when requested by the Principal’s Representative, the Contractor must provide controlled
copies of the Quality Plan and any associated Quality Management System documents and records
reasonably requested by the Principal’s Representative.
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3
MANAGEMENT RESPONSIBILITY
3.1
Management Commitment
Q6
The Contractor is required to comply with the requirements of clause 5.1 of ISO 9001.
3.2
Customer Focus
The Contractor is required to comply with requirements of clause 5.2 of ISO 9001.
3.3
Quality Policy
The Contractor is required to comply with requirements of clause 5.3 of ISO 9001.
3.4
Planning
3.4.1
Quality Objectives
The Contractor must establish project quality objectives as part of the Quality Plan. The project quality
objectives must be relevant to the Project Works, the Temporary Works and Contractor’s Activities. The
Contractor must ensure that the project quality objectives are included in the inductions to site
management personnel, including relevant personnel of Subcontractors.
3.4.2
Quality Management System Planning
The Contractor must plan the Quality Management System using clause 5.4.2 of HB90.3 for guidance.
3.5
Responsibility, Authority and Communication
3.5.1
Responsibility and Authority
The Quality Plan must:
a)
include a description of the quality management team structure including the main
responsibilities and authorities of key personnel primarily responsible for upholding the quality
system obligations under the Contract, including responsibilities for:
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i.
receiving, in-process and final (or acceptance) inspection and testing;
ii.
identifying and recording quality problems;
iii.
initiating and recommending solutions through designated channels;
iv.
ensuring corrective action is implemented and effective;
v.
communicating quality management requirements including solutions to problems;
vi.
controlling further processing, delivery and installation of non-conforming product
until deficiencies or unsatisfactory conditions have been corrected; and
vii.
controlling monitoring and measurement devices;
b)
identify the personnel responsible for the main construction activities including construction
trials; and
c)
identify the personnel with the responsibility and authority for planning and implementing
training and induction for the project, including establishing necessary competencies.
3.5.2
Management Representative
a)
Without limiting the Contract, the Contractor must:
3.5.3
i.
nominate in the Quality Plan the Contractor’s designated management
representative that has the corporate responsibility and authority for enacting clause
5.5.2 of ISO 9001;
ii.
nominate in the Quality Plan the Quality Manager directly responsible to the
Contractor’s senior management for ensuring the requirements of the Quality Plan
are implemented and maintained;
iii.
include the Quality Plan the minimum skills, experience and qualifications required
and include the actual qualifications of the Quality Manager in the training records;
iv.
where the Quality Manager is not the Contractor’s designated management
representative indicate the relationship between them; and
v.
establish the Quality Manager on the Construction Site if specified in Annexure Q/A.
If not required to be on the Construction Site, the Quality Manager must be
available for contact by telephone at all times work is being carried out and be
available to attend meetings on the Construction Site within 24 hours of written or
verbal notice by the Principal’s Representative.
Internal Communication
The Contractor must implement internal communications processes to comply with the requirements of
clause 5.5.3 of ISO 9001, using clause 5.5.3 of HB90.3 for guidance.
3.6
Management Review
The Contractor must apply clause 5.6 of IS0 9001 for review of the Quality Management System by
senior management, using clause 5.6 of HB90.3 for guidance.
The senior management review must include a review of the Quality Plan to confirm its continuing
suitability and effectiveness for the Project Works, the Temporary Works and Contractor’s Activities.
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RESOURCE MANAGEMENT
4.1
Provision of Resources
Q6
The Contractor must comply with the requirements of clause 6.1 of ISO 9001.
4.2
4.2.1
Human Resources
General
The Contractor must comply with the requirements of clause 6.2.1 of ISO 9001.
4.2.2
Competence, Awareness and Training
Without limiting the Contract, the Contractor must:
a)
include in the Quality Plan a site-specific induction and training plan and induction and training
procedures to describe competencies required, who is to be trained, when and how; and
b)
ensure that all personnel engaged on the project (including Subcontractor's personnel working
under the Contractor’s Quality Management System) have undergone an appropriate induction
program that explains how the Quality Management System and Quality Plan are to be
implemented on the project. At the request of the Principal’s Representative, the Contractor
must make the induction program available to the Principal’s personnel.
4.3
Infrastructure
The Contractor must comply with the requirements of clause of 6.3 of ISO 9001.
4.4
Work Environment
The Contractor must comply with the requirements of clause 6.4 of ISO 9001.
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5
PRODUCT REALISATION
5.1
Planning of Product Realisation
Q6
The Contractor must document a product realisation procedure that addresses the requirements of clause
7.1 of ISO 9001. The Contractor must describe the method for preparing the Quality Plan and include
guidelines about how to determine project specific requirements applicable the Project Works, the
Temporary Works and the Contractor’s Activities.
5.2
Customer Related Process
The Contractor must document a customer related procedure that addresses the requirements of clauses
7.2.1, 7.2.2 and 7.2.3(c) of ISO 9001.
5.3
Design Development
Without limiting the Contract, the Contractor must:
a)
document a design development procedure that addresses the requirements of clause 7.3 of
ISO 9001 using clause 7.3 of HB90.3 for guidance; and
b)
include design plans in the Quality Plan for all design activities, including Subcontractors
engaged for design work. Where a design Subcontractor does not have a Quality
Management System conforming to the Contract requirements the Contractor must include the
method of control and verification of the Subcontractor's activities as part of the Quality Plan.
5.4
Purchasing
5.4.1
Purchasing Process
a)
The Contractor must document a purchasing procedure that addresses the requirements of
clause 7.4 of ISO 9001. The Contractor must include a method to systematically plan and
implement surveillance and inspection of Subcontractors’ work.
b)
The Contractor must document procedures in the Quality Plan for including the subcontract
requirements identified in Annexure Q/F for subcontracts required to be provided for the
approval of the Principal’s Representative under the terms of the Contract. .
c)
Where a supplier or Subcontractor is to carry out work or provide services that require process
validation, the Contractor must evaluate the supplier or Subcontractor on their capability to
perform process validation. The Contractor must document the method and results of this
evaluation in the Quality Plan.
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5.4.2
Purchasing Information
a)
The Contractor must apply the quality management system requirements detailed in clause 5
to all subcontracted products and services procured as part of the Contractor’s Activities. This
includes work process control documents and inspection and testing documents required
under clauses 5.5.1 and 6.1.1.
b)
When a subcontract is required to be provided for the approval of the Principal’s
Representative under the terms of the Contract, the Contractor must include associated
reference data (except price) and the applicable subcontract requirements listed in Annexure
Q/F. When requested by the Principal’s Representative, the Contractor must also submit the
evaluation of the Subcontractor’s ability to meet subcontract requirements.
5.4.3
Verification of Purchased Product
a)
The Contractor must comply with clause 6.1a) when receiving products from suppliers.
b)
The Contractor must include in the Quality Plan the Subcontractors’ quality plans, or process
control documentation used to control processes and to verify purchased product.
c)
The Contractor must plan the extent of surveillance to be exercised for each Subcontractor
including management of information and records generated by Subcontractors. When
planning this surveillance, the Contractor must review the documents submitted by each
Subcontractor to ensure that all process control and inspection and testing requirements from
this Principal's Specification Q6 are adequately addressed. The surveillance process must
include how nominated Hold Points will be released and other activities to verify that the
Subcontractor’s output complies with the Principal’s quality requirements.
d)
In the Quality Plan, the Contractor must include the methods of surveillance for the
subcontracted work, in accordance with clause 7.4.3 of ISO 9001.
5.4.4
Use of Purchased Products
The Contractor must ensure that purchased products are compatible with the other products and works
and are handled, stored, combined with other products, installed and used in accordance with the
manufacturer's recommendations.
5.5
Production and Service Provision
5.5.1
Control of Production and Service Provision
a)
The Contractor must document a product and service provision procedure that addresses the
requirements of clause 7.5.1 of ISO 9001 using clause 7.5.1 of HB90.3 for guidance. The
Contractor must apply the procedures to plan, document, implement and monitor the
controlled conditions for each work process. The Contractor must address the following (as
appropriate) when planning work process controls:
i.
sequence of operations;
ii.
types of equipment required, capability, maintenance, calibration;
iii.
any special working environment aspects;
iv.
competency and skills of personnel;
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v.
work methods and materials to be used;
vi.
product characteristics, tolerances and workmanship standards to be met;
vii.
use of process control charts, when specified;
viii.
inspection, test and control points;
ix.
monitoring of the process to ensure its continuing suitability;
x.
records to be kept as evidence that the work process controls remain effective;
xi.
defining responsibility for implementing and monitoring work process controls and
rectifying any deficiencies; and
xii.
include the work process control documents in the Quality Plan.
b)
The Contractor must document all Survey Procedures that address the survey processes and
controls used by the Contractor as a separate application of work process control in
accordance with the requirements of the Principal’s Specification G71.
5.5.2
Validation of Processes for Production and Service Provision
The Contractor must identify in the Quality Plan any work processes (including subcontracted work)
where the resulting output cannot be verified by subsequent monitoring and measurement. In such
cases, control of the work processes must be documented and implemented in accordance with the
requirements of clause 7.5.2 of ISO 9001.
5.5.3
Identification and Traceability
The Contractor must:
a)
document in the Quality Plan procedures addressing identification and traceability in
accordance with the requirements of clause 7.5.3 of ISO 9001;
b)
subdivide the Contractor’s Activities into lots or discrete work areas and control work in
accordance with Annexure Q/H;
c)
document in the Quality Plan the methods for subdividing the work into lots or discrete work
areas and for allocating lot numbers to uniquely identify each lot;
d)
reject any lot that is visually non-homogeneous or non-representative;
e)
identify all samples and test results with the field locations and lot number, as applicable, to
which they relate;
f)
maintain a register that identifies every work lot established for the Contractor’s Activities; and
g)
describe in the Quality Plan the procedures for maintaining traceability of the materials
specified in Annexure Q/G.
5.5.4
Customer Property
The Contractor must include procedures in the Quality Plan for implementing the requirements of clause
7.5.4 of ISO 9001 in relation to any property supplied by the Principal in relation to the Contractor’s
Activities.
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5.5.5
Q6
Preservation of Product
The Contractor must include procedures in the Quality Plan for implementing the requirements of clause
7.5.5 of ISO 9001 in relation to transport, handling, storage and protection on-site to prevent damage,
deterioration and inappropriate use of materials and the Project Works, Temporary Works and the
Contractor's Activities.
5.6
Control of Monitoring and Measuring Devices
a)
The Contractor must include procedures in the Quality Plan for implementing the requirements
of clause 7.6 of ISO 9001 in relation to monitoring and measuring devices used to set out,
construct or check the Project Works and the Temporary Works and to monitor the work
environment (as appropriate), including selection of devices capable of the necessary
accuracy and precision for the intended applications.
b)
Monitoring and measuring devices must include measuring equipment for production purposes
(such as a concrete batching plant).
c)
For laboratory testing equipment, the Principal accepts NATA certification as satisfying the
requirements of clause 7.6 of ISO 9001.
d)
The Contractor must verify through the audit process, the control of laboratory equipment
supplied and operated by Subcontractors. The Contractor must identify all inspection,
measuring and test equipment (other than laboratory equipment) maintained and calibrated by
Subcontractors, which is used or proposed to be used for Contractor’s Activities. For all onsite activities where inspection, measuring and test equipment is maintained and calibrated by
a Subcontractor, the Contractor must ensure that the Subcontractor holds, at the locations
where the subcontracted work is being carried out, a valid calibration certificate or a copy of
the Subcontractor's equipment register showing the calibration status of the equipment.
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6
MEASUREMENT, ANALYSIS AND
IMPROVEMENT
6.1
General
Q6
In demonstrating conformity of the product to specified requirements, the Contractor must carry out
inspection and testing:
a)
before supplied product is used in the Project Works or the Temporary Works (receiving
inspection and testing);
b)
progressively during construction of the Project Works and the Temporary Works (in-process
inspection and testing); and
c)
as a final check that all inspection and testing necessary to demonstrate conformity of the
Project Works and the Temporary Works with specified requirements has been carried out
(final or acceptance inspection and testing).
6.1.1
Inspection and Test Planning
a)
The Contractor must document Inspection and Test Plan procedures that address the
requirements of clause 8.1 of ISO 9001.
b)
The Contractor must prepare Inspection and Test Plans and ITP Forms for all inspection and
testing required by the Contract These Inspection and Test Plans and ITP Forms are to be
included in the Quality Plan.
c)
The Contractor must document procedures for preparation of a schedule of Inspection and
Test Plans. In this schedule, the Contractor must list all Inspection and Test Plans proposed
to be issued with the proposed date for issue. This schedule must be maintained up to date.
d)
The Inspection and Test Plans and ITP Forms must indicate:
i.
who performs the receiving, in-process and final inspections or testing and at what
stage of the Project Works and the Temporary Works;
ii.
how the inspection or test is to be carried out and recorded (e.g. as a documented
testing procedure or by reference to a standard test method);
iii.
the acceptance criteria and frequency of inspection and testing. The detail for the
acceptance criteria and frequency of inspection and testing and must replicate the
nominated requirements as may be specified. Reference to a clause in a
specification alone is unacceptable;
iv.
who reviews inspection and test results, evaluates whether the Project Works or the
Temporary Works conform, determines what to do next if the Project Works or
Temporary do not pass a required inspection or test and closes out work lots;
v.
when statistical analysis of test results is required;
vi.
when non-conformity control is addressed including closing out work lots;
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vii.
who performs final review of all inspection and test results to confirm that all
inspections and tests have been carried out to completely verify conformity for each
lot;
viii.
the time limits for testing, time constraints for submission, and Hold and Witness
Points in accordance with the schedule of Witness Points and Hold Points; and
ix.
the requirements of clause 5.5.3 for identification and traceability.
e)
The Contractor must document procedures for preparation of a schedule of Witness Points
and Hold Points. This schedule must list all proposed Witness and Hold Points and must be
maintained up to date.
6.1.2
Frequency of Testing
a)
The frequency of testing must be appropriate to verify conformity and must not be less than
that stated in relevant standards. The Contractor must nominate appropriate frequencies even
where no minimum frequency of inspection or testing is stated in relevant standards.
b)
The Contractor must include in the management review of the Quality Plan, a review of the
appropriateness of the frequency of testing nominated in the Inspection and Test Plans. The
Contractor must take into account the frequency of non-conformity detected, including nonconformities remedied by simple reworking.
6.1.3
Inspection and Test Status
a)
The Contractor must describe in the Quality Plan, the method to be used for identifying and
controlling the inspection and test status of all product and Contractor’s Activities, including
product and work which is incorporated in the Project Works and the Temporary Works prior to
being verified as conforming.
b)
If inspection and test records (such as a lot register) do not clearly show the inspection and
test status of each lot or work area, lots must be physically marked in the field to show whether
they conform.
6.2
Monitoring and Measurement
6.2.1
Customer Satisfaction
The Contractor must describe in the Quality Plan, if specified in Annexure Q/A, the methods to be used to
assess customer satisfaction during the project, in accordance with clause 8.2.1 of ISO 9001
6.2.2
Internal Audit
The Contractor must document an internal audit procedure that addresses the requirements of
clause 8.2.2 of ISO 9001.
6.2.2.1
Audit Schedule
a)
The Contractor must incorporate in the Quality Plan an audit schedule for the project that
identifies the following types of audit:
i.
audits of the operation of the quality management system, to evaluate the
effectiveness of the quality management system as applied to the project;
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ii.
product or service audits, to assess the conformity of the product or service with the
specified technical requirements; and
iii.
audits of work process control, to evaluate how effectively work process controls
are implemented in practice.
b)
The Contractor must include in audits the activities of Subcontractors engaged on the project.
6.2.2.2
Adjustment to Audit Schedule
The Contractor must adjust the audit schedule:
a)
when the results of previous audits indicate the need for a higher audit frequency;
b)
when significant changes are made to functional areas of the quality management system,
including reorganisations and revisions to procedures;
c)
when safety, performance or reliability of the product is in jeopardy, or suspected to be in
jeopardy, due to non-conformity in the quality management system;
d)
when necessary to verify that the required corrective or preventive action has been taken; or
e)
when required due to changes in the Contractor's construction programme.
6.2.3
Monitoring and Measurement of Processes
a)
The Contractor must include procedures in the Quality Plan to implement clause 8.2.3 of ISO
9001 to monitor the effectiveness of the work processes used for the Project Works and the
Temporary Works.
b)
The Contractor must review each work process control and the associated documents and
inspections and tests while that work process is in progress to monitor whether the planned
controls are effective in achieving product conformity.
6.2.4
Monitoring and Measurement of Product
a)
The Contractor must implement the Inspection and Test Plans for the project, as required by
clause 6.1.1.
b)
The Contractor must document and maintain a method to confirm and demonstrate that all
products or work lots requiring inspection and testing are so inspected and tested) at the
required testing frequency. The Contractor must include this method in the Quality Plan or
Inspection and Test Plan documentation.
c)
The Contractor must arrange sampling and testing to be performed in accordance with
Annexure Q/H.
6.2.4.1
Hold Points
a)
The Contractor must describe in the Quality Plan the method of arranging for the release of
Hold Points.
b)
The Contractor must not proceed beyond a Hold Point until the Nominated Authority has
released the Hold Point.
6.2.4.2
Inspection and Test Records
a)
The inspection, test and verification records for each lot or work area must:
i.
clearly show or reference the actual results obtained for any inspection and/or test
and demonstrate conformity with the specified requirements;
ii.
be progressively maintained as results are achieved; and
iii.
indicate that control of non-conformity is addressed.
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b)
The Contractor must make inspection, test and verification records available for evaluation by
the Independent Certifier and the Principal’s Representative. Inspection and test records
which are held on the Construction Site must be stored in a room reasonable accessible to the
Independent Certifier and the Principal’s Representative with facilities for the inspection of the
records. Access must not be limited by the Contractor’s other management activities.
6.2.4.3
Close-out of Work Lots and Release of Products
a)
Work lots must not be closed out nor product released, dispatched, used or installed until the
Contractor has fully verified their conformity and incorporated the required inspection, test
results and reports, including the documentation referred to in clause 6.2.4.1 (b) and (c), into
the Contractor's records.
b)
Work lots and products must not be covered up until their conformity has been fully verified,
except as permitted below in this clause 6.2.4.3.
c)
The Principal recognises that some specified compliance testing may take over 48 hours to
complete. In such circumstances, work lots or products may be covered up before lot closeout, subject to the following conditions:
i.
the Contractor documents an effective traceability or closure method in the Quality
Plan that nominates the person or position responsible and describes how work or
product that may need to be covered up will be identified, traced, recorded and
promptly verified and what action will be taken if full conformity is not achieved;
ii.
the Contractor applies the traceability method on each occasion that a work lot or
product is covered up under such circumstances;
iii.
any specified verification survey has demonstrated conformity before covering up
the work;
iv.
the Contractor demonstrates on the basis of past work that it is highly unlikely that
the work will fail to pass the specified compliance testing; and
v.
the Contractor applies the closure method and only close out the work lot after
verifying that the work or product has passed the specified compliance testing.
d)
Where product or work fails to pass any inspection and/or test, the work lot must not be closed
out until the non-conformity has been rectified and closed out.
6.3
Control of Non-conforming Product
a)
The Contractor must document a control of non-conforming product procedure that addresses
the requirements of clause 8.3 of ISO 9001 using clause 8.3 of HB 90.3 for guidance. The
Contractor must prepare a standard form for use as a non-conformity report.
b)
The Contractor must include procedures in the Quality Plan to address the implementation of
the additional requirements of this clause 6.3.
c)
The Contractor must identify and control all products or services that fail to pass any
inspection or test in accordance with the defined acceptance criteria. Where conformity may
be achieved by simple reworking or repair (that is, without reference to the Independent
Certifier), the Contractor must record the required action in a format to suit the Contractor's
continual improvement procedures.
d)
Where conformity cannot be achieved by simply reworking with the original process, notify the
Independent Certifier of the non-conformity and record it on an appropriate register.
e)
The Contractor must submit a non-conformity report within 2 Business Days of detection of the
non-conformity indicating the proposed rectification method and when the rectification is to be
undertaken.
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f)
If surveillance or an audit by the Independent Certifier or the Principal’s Representative
indicates a non-conforming product that has not been addressed by a non-conformity report,
the Independent Certifier or the Principal’s Representative may issue a 'Non-conforming
Product Notification'. This non-conforming product must be dealt with in the same manner as
if the Contractor had identified it.
g)
A non-conforming product must not be covered up nor be further built in unless the nonconformity has been rectified.
HOLD POINT
Process Held.
Covering up of rectified work.
Submission Details.
Notification and verification rectified work conforms to accepted rectification
method and specifications.
Release of Hold Point.
Independent Certifier or the Principal’s Representative will consider the
submitted documents and may inspect the rectified work prior to authorising
the release of the Hold Point.
6.4
Analysis of Data
The Contractor is required to comply with the requirements of clause 8.4 of ISO 9001.
6.5
Improvement
6.5.1
Continual Improvement
The Contractor is required to comply with the requirements of clause 8.5 of ISO 9001.
6.5.2
Corrective Action
a)
The Contractor must document a corrective action procedure that addresses the requirements
of clause 8.5.2 of ISO 9001.
b)
The Contractor must establish and maintain a corrective action register to record a summary of
corrective actions or list those records that demonstrate corrective actions.
c)
If surveillance or an audit by the Independent Certifier or the Principal’s Representative
indicates that the Contractor’s quality management system does not comply with the
provisions of the Contract or that a condition adverse to quality exists, the Independent
Certifier or the Principal’s Representative may issue a Corrective Action Request.
d)
The Contractor must rectify any non-conformity or condition adverse to quality notified by the
Independent Certifier or the Principal’s Representative. The Contractor must take corrective
and preventive action to prevent recurrence of the non-conformity or remove the condition
adverse to quality and return the completed Corrective Action Request, all within 5 Business
Days after the Corrective Action Request is given to the Contractor.
e)
The Contractor must address the Corrective Action Request in accordance with the
Contractor's arrangements for handling customer complaints as required by clause 7.2.3(c) of
ISO 9001.
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HOLD POINT
(Where required by the Independent Certifier or the Principal’s
Representative)
Process Held.
The process referred to in the Corrective Action Request issued by the
Independent Certifier or the Principal's Representative.
Submission Details.
Details of the corrective action.
Release of Hold Point.
The Independent Certifier or the Principal’s Representative will consider
the submitted documents prior to authorising the release any Hold Point.
The Contractor must enter details of the developed corrective action onto the non-conformity report or
corrective action records, as appropriate.
6.5.3
Preventive Action
a)
The Contractor must document a preventative action procedure that addresses the
requirements of clause 8.5.3 of ISO 9001. The Contractor must include identification and
communication of opportunities for improvement to the quality management systems of
Subcontractors and the Independent Certifier or the Principal’s Representative.
b)
The Contractor must establish and maintain a preventive action register to record a summary
of preventive actions or list those records that demonstrate preventive actions.
c)
The Contractor may nominate to the Principal’s Representative those preventive actions
records, or parts thereof, which are commercially sensitive and restrict access to them, as
agreed with the Principal’s Representative.
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7
PRINCIPAL’S REPRESENTATIVE AND
INDEPENDENT CERTIFIER SURVEILLANCE AND
AUDITS
7.1
Quality Management System, Process Quality and Product Quality
Audits and Surveillance
a)
Without limiting the requirements of the Contract, quality management system audits by the
Independent Certifier and/or the Principal’s Representative may be conducted on a scheduled
basis on all aspects of the Contractor’s quality management system and will be performed in
accordance with recognised audit procedures.
b)
The Independent Certifier and the Principal’s Representative will give the Contractor at least 5
Business Days notice that a quality management system audit is to be conducted.
c)
Surveillance, process quality audits and product quality audits by the Independent Certifier or
the Principal’s Representative may be conducted at any time.
d)
If surveillance or an audit indicates a significant non-conformity of a product or service, the
Independent Certifier or the Principal’s Representative is entitled to conduct a quality
management system audit at 24 hours notice to the Contractor.
e)
The Contractor must make suitable facilities available at the Construction Site to
accommodate an audit team of up to 3 persons. The cost of providing such facilities is to be
borne by the Contractor.
7.2
Validation of Design
a)
Without limiting the requirements of the Contract, the Contractor must provide records, access
to the Project Works and the Temporary Works and assistance for surveillance and audits
conducted by the Independent Certifier or the Principal’s Representative to allow validation of
designs.
b)
The Independent Certifier or the Principal’s Representative will give the Contractor at least 5
Business Days notice in writing of when an audit by the Independent Certifier or the Principal’s
Representative for design validation is to be carried out. The notice will nominate the design
to be validated, the names of persons authorised to conduct the audit for design validation and
the inspections and tests to be carried out by the auditors.
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ANNEXURE Q/A – DETAILS OF WORK
A1
PROJECT SPECIFIC REQUIREMENTS
Clause
Description
Requirement
3.5.2
Establish the Quality Manager on the Construction Site.
Yes
6.2.1
Describe in the Quality Plan the methods to assess customer
satisfaction.
Yes
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ANNEXURE Q/B - SCHEDULES OF HOLD POINTS AND
IDENTIFIED RECORDS
Schedule B1
SCHEDULE OF HOLD POINTS
Clause
Description
6.3
Covering up of rectified work
6.5.2
The process referred to in the corrective action request #
Note # The imposition of a Hold Point is at the direction of the Independent Certifier or the Principal’s
Representative.
Schedule B2 SCHEDULE OF QUALITY RECORDS AND IDENTIFIED RECORDS
The Quality Records and Identified Records must include those records listed in the table below.
ISO
9001
Clause
Quality System
Requirement
Quality Record
Identified
Record
4.2.2
Quality management Quality Manual and Quality Plan
system documents
Yes
4.2.3
Control of
documents
List of who holds issued documents
Register of current document issue/revisions
No
4.2.4
Control of records
Index of all Quality Records
Yes
5.6
Management review Records of management reviews for the project
No
6.2.2
Competence,
awareness and
training
Personnel qualifications/skills records
No
Induction and training records
No
6.4
Work environment
Records of work environment controls, where applicable
No
7.2.2
Review of
requirements
Minutes of tender/contract reviews
No
7.3
Design control
Design plan, inputs/outputs, changes, verification/review/ validation
records
Yes
7.4
Purchasing
Evaluation of Subcontractors and suppliers
No
Surveillance, audit of Subcontractors
No
Subcontractor supplied documentation
No
Certificate of testing by suppliers
No
Procedures describing how to control work processes
Yes
Records demonstrating effectiveness of work process controls.
No
Survey records
No
Records of process validation when applicable
No
Product batch/traceability records
No
Lot Identification Register
No
7.5.1
7.5.3
Control of
production and
service provision
Identification and
traceability
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ISO
9001
Clause
Q6
Quality System
Requirement
Quality Record
Identified
Record
7.5.4
Customer property
Contractor’s verification records/reports
No
7.5.5
Preservation of
product
Delivery dockets
No
Product preservation control/inspection records
No
7.6
Control of
monitoring and
measuring devices
Register of equipment
Calibration frequency and certificates
No
No
8.1.1
Inspection and test
planning
Inspection and test plans
Yes
8.2.1
Customer
satisfaction
Customer satisfaction records and actions taken to improve customer
satisfaction
Yes
8.2.2
Internal audit
Audit reports
Yes
8.2.4
Inspection and test
records
Records/checklists of inspection and testing
No
Conformity reports for each completed lot
No
Control of nonconforming product
Non-conformity reports
Yes
Principal’s Representative’s or Independent Certifiers Non-conforming
Product Notifications
Non-conformity Register
Yes
8.3
Yes
8.4
Analysis of data
Records of analysis of data generated during the Contract
No
8.5.2
Corrective action
Corrective action reports and Register
Yes
Principal’s Representative’s or Independent Certifiers Corrective Action
Requests
Yes
Preventive action reports and Register
Yes
8.5.3
Preventive action
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ANNEXURE Q/C – PLANNING DOCUMENTS
Table C1 - Planning Documents
Q6 Clause
Planning Document
2.2
Principal specific procedures when they are not incorporated into the corporate system procedures
2.2
Description of applicable Quality Management System procedures.
2.6
Description of how changes to documents and data relevant to the Contractor’s Activities are to be
identified
2.7
Description of how Quality Records will be stored and maintained
3.4.1
Project quality objectives established
3.5.1
List of main responsibilities and authorities of personnel primarily responsible for quality assurance
activities on this Contract
3.5.2
Nominate Management Representative and Quality Manager. Describe reporting relationship, if
these positions are held by different people
3.5.2
Minimum qualifications, skills and experience required of the Quality Manager
4.2.2
Site specific induction and training plan and procedures
5.3
Design Plans for all design activities, including subcontractors engaged for design work
5.4.1
Describe how Annexure Q/F requirements will be included in subcontracts (when applicable)
5.4.1
Document method and results of subcontractor evaluation for work processes that require process
validation (when applicable)
5.4.1
Purchase planning details (refer Table C2 in Annexure Q/C)
5.4.2
Subcontractor's Quality Plan or process control documentation for each subcontract
5.4.3
Method of surveillance for subcontracted work
5..5.1
Work process control documents
5.5.1
Responsibilities of qualified surveyors for survey control
5.5.2
Identification of work processes where the resulting output cannot be verified by subsequent
monitoring and measurement
5.5.3
Method of maintaining traceability for materials listed on Annexure Q/G
5..5.3
Methods for subdividing the work into lots and allocating lot numbers
5.5.4
Description or how Principal supplied property will be dealt with
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Planning Document
5.5.5
Method of preserving products
5.6
Method of control of monitoring and measuring devices
6.1.1
Inspection and Test Plans, ITP Record Forms for all inspection and testing required by the
specifications
6.1.3
Method for identifying and controlling inspection and test status
6.2.1
Methods to assess customer satisfaction
6.2.2.1
Audit schedule
6.2.3
Method of monitoring the effectiveness of work processes
6.2.4
Method for verifying that all inspection and/or testing is carried out at the required testing
frequency
6.2.4.1
Method for release of Hold Points
6.2.4.3
Traceability/closure method for close-out of work lots
6.3
Control of non-conforming product
6.5.3
Preventive action procedures
Q6
Table C2 - Purchase Planning Details
Planning Document
(a)
Types of product or service subcontracted
(b)
Purchasing schedule which states the timing of procurement of the product or service to be
subcontracted and includes provision for the approval process
(c)
The Contractor's method of assessment of the subcontractor's ability to meet the subcontract
requirements including the quality management system requirements specified
(d)
The Contractor's plan for inspection and surveillance of the subcontractor to verify the operation of the
quality management system and product conformity requirements
(e)
All specified inspection and testing shown in the subcontractor's Inspection and Test Plans
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ANNEXURE Q/D – PRINCIPAL’S SPECIFICATION
REFERENCE DOCUMENTS
D1
Standards Australia Codes, Standards and Guidelines
AS/NZS ISO 9000:2006, Quality management systems - Fundamentals and vocabulary;
AS/NZS ISO 9001 - 2008, Quality management systems - Requirements;
AS ISO 15489.1 – 2002 Records management - General;
AS ISO 15489.2 – 2002 Records management - Guidelines; and
HB90.3-2000 The Constructions Industry - Guide to ISO 9001:2000.
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ANNEXURE Q/E – RECORD KEEPING AND
IDENTIFIED RECORDS
E1
RECORD KEEPING
E1.1
General
The record keeping work to be undertaken by the Contractor must as a minimum consists of:
a)
development and implementation of a Records Management Plan;
b)
operation, maintenance and review of the Records Management Plan until Construction
Completion and thereafter as required by this Principal's Specification Q6; and
c)
secure storage of Project Records and delivery of Identified Records.
E1.2
Contractor’s Records Management Plan
E1.2.1 Scope of Records Management Plan
a)
Without limiting the Contract, the Contractor must include procedures for the following in the
Records Management Plan:
i.
the systematic control of the creation, registration, indexing, filing, maintenance,
storage, movement, retrieval and disposal of Project Records related to the
Contract;
ii.
providing to the Principal’s Representative the information required under the
Contract;
iii.
submission and delivery of Identified Records as specified;
iv.
disaster management (recovery plan) in accordance with clause E1.2.5; and
v.
providing a list of Identified Records relevant to the Contract which must be
progressively handed over to the Principal.
b)
The Contractor must include an index of Project Records in the Records Management Plan
that is consistent with the records management system. The Contractor must keep the index
up-to-date until Construction Completion and provide the index to the Principal’s
Representative whenever the index is revised.
c)
The Contractor must include a list of Identified Records relevant to the Contract in the Records
Management Plan.
d)
The Contractor must revise the Records Management Plan and implement more appropriate
record keeping practices if the original record keeping practices prove not to be fully effective.
The Contractor must apply clause 2.6 of this Principal's Specification Q6 whenever the
Records Management Plan is revised.
E1.2.2 Record Keeping Policy
The Contractor must establish a record keeping policy as part of the Records Management Plan. The
record keeping policy must define the record keeping objectives of the project and be relevant to the
Project Works and the Temporary Works required by the Contract. The Contractor must introduce the
policy to all appropriate personnel working on the project (including Subcontractors) as part of the
induction process.
E1.2.3 Project Management
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a)
The Contractor must nominate in the Records Management Plan a full time member of the
Contractor’s site management team to be the authorised contact person for communications
with the Principal’s Representative on record keeping matters.
b)
The Contractor must detail the responsibilities of the person nominated in accordance with
clause a) above in the Records Management Plan including filing, indexing, storage,
movement, retrieval and disposal of records. This person must be fully conversant with the
Records Management Plan, the Contractor’s record keeping system and progress with
handover of Identified Records and must promptly provide access to or copies of records to
the Principal’s Representative as required.
E1.2.4 Monitoring and Compliance
a)
The Records Management Plan must state the requirements for review of the Records
Management Plan which must be carried out by a senior officer of the Contractor’s
management. The Contractor must confirm the continuing suitability and effectiveness of the
Records Management Plan for the Project Works, the Temporary Works and the Contractor’s
Activities.
b)
The Contractor must undertake compliance audits of the Records Management Plan at
intervals of not more than 6 months, preferably in conjunction with quality management system
audits.
E1.2.5 Disaster Management Plan
a)
The Contractor must develop a disaster management plan that provides a set of clear,
comprehensive, written, step-by-step instructions to ensure the minimum of loss and disruption
of records in the event of an emergency or disaster.
b)
The disaster management plan must cover all procedures from the time of discovery to the
preparation of a final report to the Principal’s Representative and all the information necessary
for their implementation.
c)
The Contractor must include the following in the disaster management plan, as appropriate:
E1.3
i.
a list of vital records, particularly significant or vulnerable holding, and location and
control documentation;
ii.
a list of equipment and materials available for use in disaster salvage and recovery;
iii.
the responsibilities of the salvage and recovery team and their contact information;
iv.
procedures for identification and declaration of a disaster situation and initiation of
the disaster response plan;
v.
provisions for the training and current awareness of the team;
vi.
a list of sources of back-up resources, which may include expert personnel,
materials equipment, vehicles and accommodation;
vii.
procedures for updating and testing the plan; and
viii.
simple technical information on the handling of damaged material, directed towards
establishing priorities for early action.
Project Records: Basic Record Keeping Requirements
E1.3.1 General
a)
Project Records include the following:
i.
submissions, information, data and records relating to the Project Works, the
Temporary Works and the Contractor’s Activities;
ii.
Quality Records as shown in Schedule B2 in Annexure Q/B of this Principal's
Specification Q6;
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iii.
Identified Records as shown in Schedule B2 in Annexure Q/B of this Principal’s
Specification Q6;
iv.
Identified Records relating to environmental activities as shown in the Principal’s
Specification G36;
v.
Identified Records relating to OHS activities as shown the Principal’s Specification
G22;
vi.
Identified Records relating to surveying activities as shown the Principal’s
Specification G71;
vii.
as constructed documentation; and
viii.
design and construction programs as specified in the Contract.
The Project Records must be:
i.
sufficiently comprehensive to demonstrate compliance with Contract requirements.
This includes Subcontractor and supplier records, where relevant;
ii.
accurate, legible and fully completed;
iii.
kept in order, particularly in the case of multi-page records;
iv.
filed in such a way that individual records can be readily retrieved;
v.
filed promptly after they are generated or received;
vi.
securely maintained to prevent unauthorised access, alteration, removal,
deterioration, damage or loss;
vii.
kept track of where authorised removal or transfer of records within the company is
permitted; and
viii.
entered on a register which shows what records are handed over to the Principal’s
Representative or sent to other parties including the date and method of handover/dispatch.
c)
The Contractor must make all Project Records available to the Principal’s Representative at all
reasonable times. When requested by the Principal’s Representative, the Contractor must
permit the Principal’s Representative to copy such records.
d)
The Contractor must provide up-to-date index of all Project Records to the Principal’s
Representative. Following the provision of that index, the Contractor must provide copies of
any Project Records within 10 Business Days of a request by the Principal’s Representative.
E1.3.2 Form of Records
a)
The Contractor must keep records as paper files and in electronic form in accordance with
clause 9 of ISO 15489.1 and clause 4 of ISO 15489.2 unless otherwise provided in the
Contract or agreed with the Principal’s Representative.
b)
The Contractor must store records on media that ensure their useability, reliability, authenticity
and preservation in accordance with the Contract. The media and formats used for making
records must be in accordance with clause 9 of ISO 15489.1.
E1.3.3 Storage
The Contractor must store and maintain Project Records or copies thereof such that they are readily
retrievable, in facilities that provide a suitable environment to minimise deterioration or damage, and to
prevent loss.
The Contractor must store Project Records:
i.
prior to Construction Completion at the location or locations specified in the
Contract or, failing such specified location at the Principal’s Representative place
where the respective records are used or such other place as may be agreed with
the Principal’s Representative; and
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after Construction Completion, at a location within Sydney Metropolitan area, as
agreed with the Principal’s Representative. The Contractor must inform the
Principal’s Representative of the street address of the location. The location must
not be changed without the approval of the Principal’s Representative.
E1.3.4 Retention Period
The Contractor must keep all Project Records for a minimum of ten years after Construction Completion.
This requirement continues to apply even though the records or copies of the records may have been
given to the Principal’s Representative or if the Principal’s Representative may have taken copies of the
Project Records.
E1.3.5 Disposal or Records
The Contractor must pulp, shred or burn records in industrial facilities when disposing of Project Records
after the expiration of the retention period. The Contractor must not dump Project Records.
E2
IDENTIFIED RECORDS
E2.1
General
a)
The Contractor must deliver Identified Records to the Principal’s Representative in accordance
with clauses E1 and E2 of this Annexure Q/E.
b)
The Contractor must compile a comprehensive list of all Identified Records from all sources,
including the Contract and all Principal’s Specifications. The list is to be included in the
Records Management Plan.
c)
The Principal’s Representative may direct that records be added or deleted from the list of
Identified Records.
E2.2
Form of Identified Records
a)
Unless otherwise provided in the Contract or agreed with the Principal’s Representative, all
Identified Records must be delivered to the Principal’s Representative in hard copy on paper
size A3 or A4 in good quality file housing and covering except that as constructed drawings
must be on paper size A2. The paper must be premium bond paper of minimum weight 80
grams per square metre. The colour must be white unless the record is normally maintained in
some other colour for ease of identification when that colour may be supplied.
b)
The use of thermal paper is not acceptable.
E2.3
Filing and Indexing
The Contractor must file and index Identified Records in accordance with the Records Management Plan.
E2.4
Delivery
a)
The Contractor must deliver Identified Records to the Principal’s Representative progressively
during the course of the Contract at the times specified in the Contract or if not so specified at
the such times or within such periods as reasonably determined by the Principal’s
Representative.
b)
Prior to Construction Completion, the Contractor must make arrangements with the Principal’s
Representative for the delivery of any outstanding Identified Records.
E2.5
Records to be Kept by the Contractor
Notwithstanding that Identified Records have been delivered to the Principal’s Representative or the
Principal’s Representative has copies of Identified Records, the Contractor must retain the originals of
those records or where originals are not held by the Contractor, good quality copies of records for the
period specified in clause E1.3.4 of this Annexure Q/E.
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ANNEXURE Q/F – SUBCONTRACT REQUIREMENTS
Subcontracts required to be provided for the approval of the Principal’s Representative under the terms of
the Contract must include the information in the following table:
Subcontract Requirements
i.
quality management system requirements which must be addressed by the Subcontractor's quality
management system;
ii.
method to be used for identifying purchased products;
iii.
verification requirements to be carried out by the Subcontractor;
iv.
points in the Subcontractor's Inspection and Test Plans where the Contractor must verify conformity to
Contract requirements;
v.
Hold Points and Witness Points to be observed by the Subcontractor;
vi.
requirements for the submission, retention and disposal of documentation, Quality Records and
Identified Records;
vii.
identification and traceability requirements for work lots and product ;
viii.
any specific requirements with regard to process control activities;
ix.
requirements for the submission of inspection and test plans, procedures and record forms;
x.
requirements for calibration of Subcontractor’s measuring and test equipment;
xi.
for subcontract surveying services, requirements to comply with Principal’s Specification G71;
xii.
for subcontract sampling/testing services, requirements to comply with Annexure Q/H;
xiii.
right of the Principal’s Representative to monitor, audit, inspect, test and sample Subcontractor’s
management systems and plans, products, designs and activities and to inspect and copy records and
reports on the Subcontractor’s performance;
and
xiv.
requirements for warranties in the name of the Principal.
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ANNEXURE Q/G - PRODUCT TRACEABILITY
The Contractor must, as a minimum, apply traceability to the following products:
Product
Requirement
Concrete and Grout
The trace must start at the batch plant and finish at the location where the material is
incorporated in the Project Works or the Temporary Works. Records must be kept of the
batch quantities and time, testing details and location of placement.
Sand Fill
The trace must start at the location where sand is obtained and finish at the location
where the material is incorporated in the Project Works or the Temporary Works.
Records must be kept of the quantities and locations of placement that relate to tests
undertaken. Details of testing and location of placement must be recorded.
Stabilised material
used in pavements.
The trace must start at the location where material is obtained and finish at the location
where the material is incorporated in the Project Works or the Temporary Works.
Records must be kept of the quantities and locations of placement that relate to tests
undertaken. Details of testing and location of placement must be recorded.
Asphalt used in
wearing courses,
intermediate courses
and drainage layers.
The trace must start at the batch plant and finish at the location where the material is
incorporated in the Project Works or the Temporary Works. Records must be kept of the
batch quantities and time, testing details and location of placement.
Steel (Structural and
Reinforcement)
The trace must start at the steelworks and finish at the location where the material is
incorporated in the Project Works or the Temporary Works. Records must be kept of the
steel heat number, testing details and location where the material is incorporated in the
Project Works or the Temporary Works.
Precast Concrete
Products
The trace must start at the manufacturing plant and finish at the location where the
precast concrete product is incorporated in the Project Works or the Temporary Works.
Records must be kept of the batch quantities and time, testing details and location of
placement.
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ANNEXURE Q/H – SAMPLING AND TESTING
PROCEDURES
H1
a)
IDENTIFICATION OF WORK LOTS
The Contractor’s Activities must be subdivided into lots or discrete work areas. A lot must
consist of a continuous portion of homogeneous and/or representative material or end product
produced under essentially constant conditions. Discrete portions of a lot that are visually nonhomogeneous and/or non-representative must be excluded from the lot and must be either
treated as separate lots or reworked to achieve conformity.
b)
The size of a lot must not exceed one day's output except where full conformity cannot be
achieved in one day. Lot sizes that exceed one day’s output must be approved by the
Independent Certifier. .
c)
The Contractor must describe in the Quality Plan how the lot is to be identified in the field.
d)
The Contractor must determine the bounds of each lot before sampling and set the bounds of
each lot so that each lot is represented by a single tested sample, except where statistical
methods (which require several tested samples to represent a lot) are used. Each acceptance
criterion may have different lot boundaries. The Contractor must demonstrate the relationship
of the boundaries of all adjacent lots to confirm that the lots represent the total work.
e)
Each lot is to be given a unique lot number. This lot number is to be used as an identifier on
all Quality Records. The lot numbering system must be compatible with any activity
numbering system used for the Contractor's construction programme. The Contractor must
record the lot number on an appropriate register that indicates the three-dimensional location
of the lot. The Contractor must include in the Quality Plan details of the lot numbering system
and the place where the lot register is kept. The Contractor must record chainages of start
and finish, lateral location and layer location, as relevant. When the lot number does not
indicate the location of the lot the method for identification of the lot must be agreed with the
Independent Certifier.
H2
TESTING SERVICES
H2.1
General
H2.1.1 NATA Accreditation
a)
The Contractor must apply the requirements of clause H2 to all project testing laboratories
verifying conformity of materials and work used for the Contract. The Contractor must ensure
all suppliers and Subcontractors required to use or supply tested materials or work are
informed of and implement the requirements of clause H2 and testing requirements in any
relevant specifications.
b)
If NATA has not accredited a laboratory for a test, the test must be carried out by a laboratory
accredited for the test by an organisation mutually recognised by NATA and approved by the
Principal’s Representative. The test must be carried out and results endorsed in accordance
with accreditation conditions or by a laboratory approved by the Principal’s Representative with
results reported in a format also acceptable to the Principal’s Representative.
H2.1.2 Laboratory Independence
a)
The Contractor and laboratories must ensure objectivity and impartiality in sampling, testing
and reporting of results. The laboratories must act independently of the Contractor, any of the
Contractor’s Subcontractors and the Principal’s Representative in conducting the sampling and
testing.
b)
Independence, for the purposes of this clause, means “management and personnel are free
from any undue internal and external commercial, financial and other pressures and influences
that may adversely affect quality of their work”.
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H2.1.3 Sampling Personnel
Sampling, including selection of locations, must be conducted by personnel either accredited by NATA for
that sampling procedure or who are from a NATA accredited laboratory or approved by the Principal’s
Representative and who have been assessed as proficient for that sampling procedure and must be
supervised by an officer having NATA signatory approval for that process.
H2.1.4 Test Certificates
Test results for each lot must be reported in NATA endorsed documentation.
H2.2
Project Testing
H2.2.1 Project Testing Laboratories
a)
The Contractor must engage one or more project laboratories that hold NATA accreditation to
undertake the Project Testing.
b)
The Contractor must provide the Principal’s Representative, on request, copies of NATA
audits, relevant to the type of tests carried out for the Contract.
c)
The Principal’s Representative may forward to NATA, copies of test records, certificates,
reports of surveillance, performance and audits of any laboratory used for sampling and testing
the conformity of materials and work.
d)
The Contractor must ensure that the same project testing laboratory responsible for testing the
sample undertakes the sampling unless otherwise approved by the Principal’s Representative.
e)
Should the Contractor propose sampling and testing by personnel other than from a project
testing laboratory, the Contractor must, prior to sampling and testing commencing, submit a
proposal for the Principal’s Representative’s approval showing the sampling and/or testing to
be performed, by whom, their experience and the measures to ensure the integrity of the
sampling and testing. The Contractor must ensure that the sampler has NATA accreditation
for the specified sampling methods (where applicable) and understands the requirements for
independent random and unbiased sampling. If NATA accreditation does not apply for any
sampling or testing method, the Contractor must ensure that the sampler and tester is suitably
trained and competent.
f)
Should a project testing laboratory need to subcontract testing then, prior to sampling and
testing commencing, the Contractor must submit a proposal for the Principal’s
Representative’s approval showing the tests to be performed, by whom, their experience and
the measures to ensure the integrity of the sampling and testing.
H2.2.2 Inspection and Test Plans
a)
The Contractor must provide project testing laboratories with all information, including relevant
parts of the Contract and the Contractor's Inspection and Test Plans and ensure that the
project testing laboratory performs sampling and testing in accordance with the Contract.
b)
c)
Project testing laboratories that provide testing services must independently review the
Contractor’s Inspection and Test Plans (and the Contractor’s Subcontractors) to confirm that:
i.
all conformity tests are identified; and
ii.
sampling and test methods, acceptance criteria and frequency of testing conform to
specified requirements.
Any discrepancies must be resolved between the Contractor and the project testing laboratory
and amended Inspection and Test Plans issued where appropriate. The project testing
laboratory, for each submission of Inspection and Test Plans must supply to the Principal’s
Representative, prior to commencement of any sampling and testing, a written report
describing the outcome of this review.
H2.2.3 Selection of Sampling Locations
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The Contractor must define lots and project testing laboratories must select appropriate sampling
locations. Sampling must not be restricted to locations dimensioned or otherwise defined for setting out
the Project Works or the Temporary Works, but must be undertaken in a random or unbiased manner at
any location within the Project Works or the Temporary Works.
H2.2.4 Test Certificates and Declarations
The test certificates for each lot must include the following details:
a)
identification of work and materials with the relevant lot number;
b)
where sampling is performed by personnel other than from the project testing laboratory
undertaking the testing:
i.
declaration from the sampler that the sampling was carried out in accordance with
Annexure Q/H and the specified sampling methods. Detail all samples taken as
part of the lot; and
ii.
declaration (in a format acceptable to the Principal’s Representative) by an officer
having NATA signatory approval for the testing performed, that the test results, and
statistical analysis where applicable, conform to the specified criteria. This
declaration must reference the Contractor’s Inspection and Test Plan and the
sampler’s declaration;
c)
where sampling is performed by personnel from the project testing laboratory undertaking the
testing a declaration (in a format agreed by the Principal’s Representative) by an officer having
NATA signatory approval for the sampling and testing performed that the sampling was carried
out in accordance with Annexure Q/H and the specified sampling methods, test results, and
statistical analysis (where applicable) conform with the Inspection and Test Plan. This
declaration must reference and indicate the issue number or date of Inspection and Test Plan;
and
d)
declaration that no samples have been abandoned or untested or details of any samples that
have been abandoned or untested for any reason.
H.2.2.5 Availability of Sampling and Testing Records
a)
The Contractor must make sampling and testing records available for evaluation by the
Independent Certifier and the Principal’s Representative. Sampling and testing records which
are held on the Construction Site must be stored in a room readily accessible to the
Independent Certifier and the Principal’s Representative with facilities for inspection of the
records. Access must not be limited by the project testing laboratories other management
activities.
b)
The project testing laboratories, on request, must independently provide to the Principal’s
Representative concurrently with submission to the Contractor, test certificates, including
preliminary test results.
c)
The Principal’s Representative must be given physical access to sites where sampling and
testing is performed and to sampling and testing personnel in conjunction with or through the
Contractor. The Contractor must nominate a member from the project testing laboratories to
be the authorised contact person for communications with the Principal’s Representative in
sampling and testing matters. This person must be fully conversant with the relevant
specifications, specified test methods, the test carried out and testing records and must
promptly provide, when requested, information on testing and access to, or copies of, testing
records including worksheets to the Principal’s Representative.
H2.3
Protection of Sampled Work
Samples removed from the Project Works or Temporary Works must be replaced, unless otherwise
specified, with similar material placed and finished in accordance with the relevant specification
requirements, within 5 Business Days of sampling and prior to the use, deterioration, contamination or
covering up of the sampled work.
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ANNEXURE Q/I - SURVEY PROCEDURES
Carry out survey in accordance with the Principal’s Specification G71.
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