RIIQUA601E Maintain A Quality System :
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Civil Construction Design
RIIQUA601E Establish and maintain a quality system
Learner Materials and RIIQUA601E Maintain A Quality System Assessment Tasks
Task 1 – Quality management plan
You are required to create and document a Quality Management Plan for a project entailing civil construction for Highway maintenance works in a local council. The construction project and the council will be determined and specified by your Assessor.
The attached template may be used a basis for the developed Quality Management plan. Where the template is utilized, it should be adapted to the project scenario.
Quality Management Plan
for Services for the RTA under the RMCC
<<Generic Shire Council>>
<<Generic NSW 2345>>
Printed copies of this document are uncontrolled
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About this release
|Document Number:||<<GSC: QMP: RTA: RMCC>>Edition 1 / Revision 0|
|Title:||Quality Management Plan|
|Ed 1 / Rev 0||1 October 2008||<<New Plan OR Replaces Doc. No. OR ………….>>||<<Engineering Director>>|
|Issue||Date||Revision Description||Authorised by|
See Section 18 for details
|Planned Review Date||Scope||Review By||Review Record Ref no. Date|
|1 October 2009||<<XXXX>>|
|1 October 2010|
|1 October 2011|
Endorsement of QMP
1.1 Scope of this Plan
This document defines the quality management practices and processes <<Generic Shire Council>> will observe during the Road Maintenance Council Contract’s (“RMCC”) term. This Plan is part of Council’s RMCC Contract Management System. It should be read in conjunction with Council’s Contract Management Plan which provides the framework of the system.
<<Generic SC>> applies quality assurance in delivering Services so as to effectively and efficiently satisfy the needs its customers: residents, other road users, the general public and the RTA.
1.2 Council’s Quality Management Objectives
Council is committed to delivering Services which meet the requirements of the RTA and the community.
We contribute to this by planning, organising, resourcing, directing, monitoring and measuring the processes and products relative to Council’s policies, objectives and the requirements of the RTA as expressed in the RMCC.
We record and report the results and use this as a basis for continual improvement.
1.3 Purposes of Council’s Quality Management Plan
The purposes of Council’s Quality Management Plan (“QMP”) are to:
- Define Council’s management of Quality processes when delivering the RMCC Services,
- Provide guidance to Council staff on Council’s obligations under the RMCC,
- Assure the RTA that Council is fulfilling its obligations regarding the RMCC,
- Define the responsibilities of the Quality Management Representative under the RMCC (the responsibilities and authorities of other positions are set down in the Contract Management Plan and other functional plans) and
- Set down the frequency and responsibilities for management review of this Plan,
1.4 Practice of Quality Management
Council’s underlying principle of quality assurance is the quality management cycle.
Quality planning is:
- Determining what to do – the processes which lead to the end result required by the customers,
- Assessing what can go wrong and the consequences to the quality of the end-result,
- Deciding the “right” way to do each process to minimise the risk of mistakes or waste,
- Choosing key points to check that each process is effective, defining what to check and how to check then reporting and
- Reviewing the reports and, where appropriate, improving the processes.
2. Product Realisation
This dealt with in detail in the Contract Management Plan. In summary:
2.1 Determining the Requirements
In the RMCC, the customers’ requirements are determined by:
- Joint inspections and Joint Planning RIIQUA601E Maintain A Quality System Assessments – to develop a programme of Services to be carried out during the current financial year,
- Developing an Asset Inspection System – which ensures each road is regularly and systematically inspected to identify defects and subsequently to confirm that repairs have been done,
- Carrying out inspections in accordance with the Asset Inspection System (see Council’s Contract Management Plan Appendix E) to identify any defects which have reached the Intervention Requirements nominated in RTA specifications.
2.2 Production and service provision
Council will implement a Defect RIIQUA601E Maintain A Quality System Management process which encompasses:
- Defect Identification,
- Repair of those defects according to their urgency and
- Recording and reporting.
See 6 below.
Any design RIIQUA601E Maintain A Quality System work associated with the contract will be arranged by the <<Council Insert Position>>
in accordance with RTA’s requirements.
3. Survey Control
Surveying for set-out or construction is arranged by the <<Council Insert Position>>.
4. Measuring and Test Equipment
All equipment used for inspection, measuring and testing is regularly calibrated and maintained in good working order to ensure reliable performance and accurate results.
The <<Council Insert Position>> will select measuring equipment to suit the accuracy of the proposed application and only be used within its range of accuracy. When issuing measuring equipment for use on road maintenance Services, the <<Council Insert Position>> will confirm that the equipment is in current calibration.
If an item of equipment is knocked or dropped or if out-of-calibration is suspected, the user will immediately check its calibration, where possible, by comparing measurement against a similar item. Alternatively, the user will promptly tag the item “NOT TO BE USED” and arrange for it to be recalibrated.
If equipment is damaged, the user will immediately tag it “NOT TO BE USED” and notify the
<<Council Insert Position>> who will promptly arrange repairs.
The <<Council Insert Position>> will arrange for the validity of measurements or tests that utilised defective equipment to be re-assessed.
5. Induction and Training
Council’s <<Council Insert Position>> will prepare a network-specific induction and training plan. See RTA Q4M Clause 6.2.2.
Council employees will not perform inspections or maintenance tasks unless competent to do so. Inspection competency includes being conversant with RTA’s intervention levels, inspection procedures, safety, traffic control, environmental protection and incident management requirements.
The<<Council Insert Position>> will ensure that all on site personnel engaged on the project (including subcontractor’s personnel working under Council’s quality system) have undergone an appropriate induction programme which ensures they are aware of how the quality system is to be implemented on the project. The programme will focus on their specific roles and responsibilities, the Council’s Quality Plan, Project Quality Plans, the RTA’s Intervention and Rectification Requirements, other RTA Specifications, Inspection and Test requirements, on checking that the completed Services meet RTA requirements. This programme is available to RTA staff.
Council will keep records of who has been trained.
OH&S and Environmental training is dealt with fully in Council’s Safety Management Plan and
Environmental Management Plan respectively.
Council will ensure anything purchased or supplied by the RTA, including subcontract Services, conforms to the contract and RTA specifications before incorporating it in any Service.
Materials and products supplied will be conforming and traceable.
The <<Council Insert Position>> is responsible for receipt of incoming goods used for the Services. This comprises checking that orders are complete, identified and undamaged, and also that any required documentation such as certificates of compliance and test results are submitted by the supplier.
The <<Council Insert Position>>is responsible for reviewing all inspection and test documents submitted by the supplier for the incoming goods to verify that all quality requirements have been met. A record of this verification will be kept.
Any nonconforming products will be clearly labelled by <<Council Insert Position>> and kept separate from conforming products pending a decision on their disposal. The <<Council Insert Position>> will keep records of such actions.
7. Supply of Materials
7.1 Materials Schedule
The <<Council Insert Position>> is responsible for preparing a Materials Schedule for all materials needed to carry out the Services. The Materials Schedule will show:
- Source(s) of supply (eg. gravel pits, quarrymasters, pre-mix concrete supplier),
- Anticipated quantities and dates for use,
- Applicable RTA specifications to be used for purchase eg RTA 3061, RTA 3201, RTA R111,
- If supplier is to carry out tests, frequency of testing and
- If Council is to carry out tests, applicable Test Plan.
7.2 Materials Supplied by Council
The <<Council Insert Position>> will arrange any source testing and production testing of any materials to be supplied by Council (eg. from Council gravel pits) in accordance with the Inspection Test Plan.
7.3 Materials Supplied by the RTA
The <<Council Insert Position>> will take delivery and inspect the materials supplied by the RTA.
Council will carry out checks on any certificates to ensure the materials comply with the RTA specified quality requirements. Council will keep records of deliveries.
<<Council Insert Position>> will immediately advise the <<Council Insert Position>> of any shortages, deficiencies or materials unsuitable for use. The <<Council Insert Position>> will promptly notify the RTA in writing.
Council staff will handle and store materials so that no damage or deterioration will occur and ensure they are under adequate security. Periodically check the condition of materials in storage. Keep records of these checks as necessary.
8. Identification and Traceability
As required by RTA Q4M Clause 7.5.3, Council will provide written RIIQUA601E Maintain A Quality System evidence that each lot, area or part of completed Services has passed all inspections and tests.
For Services which are of a routine nature Council will record each discrete work area on the Daily Work Record (see Contract Management Plan Appendix E). This will allow records to be re- examined if any problems are observed in the future.
For Services which require new construction Council will divide the project into discrete work areas or lots. The work area or lot number will be written on each ITP Checklist and Test Report so that any problems can be identified back to their physical location.
Council’s Lot numbering is standardised –see Appendix A.
Where appropriate <<Council Insert Position>> will indicate where construction materials have been used in the finished Services. Traceability is required for the following materials:
|Concrete supply||Mark location of pour on Delivery Docket. Mark Delivery Docket number on ITP Checklist.|
|Pavement sub-base material||<<Council Insert method suitable to its operation>>|
|Binders||<<Council Insert method suitable to its operation>>|
|Pavement base course||<<Council Insert method suitable to its operation>>|
|Pavement wearing surface||<<Council Insert method suitable to its operation>>|
|Shoulder material||<<Council Insert method suitable to its operation>>|
The <<Council Insert Position>> is responsible for keeping a Lot Register and Material Traceability Records.
Council work guidelines are provided to direct Council maintenance staff on how
- to carry out the Services,
- to check whether the Services meet RTA requirements and
- to inspect completed Services to confirm that RTA RIIQUA601E Maintain A Quality System requirements have been achieved.
If a process is complex, unusual or where safety is a major concern, Council will prepare a detailed work instruction.
Council’s<<Council Insert Position eg Ganger>> will fill in the Daily Running Sheet to show the Services carried out each day, the location and the visual inspections performed on completed Services.
The <<Council Insert Position eg Council Contract Manager>>> will check that Daily Work Records are accurate and that the <<Council Insert Position eg Ganger’s>> visual inspections have been properly recorded. For any Service requiring laboratory testing, the Daily Work Record will then be forwarded to the <<Council Insert Position eg Engineering Director>> to review all inspection and testing according to Council’s procedure.
Council notes that:
- details of test methods, frequency and acceptance criteria for final testing are contained in RTA Technical Specifications and RTA Material Specifications. (For example the specifications at http://www.rta.nsw.gov.au/doingbusinesswithus/specifications/maintenance.html and http://wwww.rta.nsw.gov.au/doingbusinesswithus/specifications/materials.html )
- some RTA specifications require that statistical evaluation be carried out. In these cases Council’s tester will randomly choose a number of sampling locations within each lot and calculate a “characteristic” test result for the entire lot. If the lot fails, it will be fully re- sampled and re-tested.
Where RTA Specifications show HOLD POINTS, the <<Council Insert Position eg Council Contract Manager>> will have these released by the RTA’s representative before Council continues with the work process except in the following circumstances:
- Final compliance test results have not been received (eg 28 day concrete strength) but test results from earlier similar work, or earlier test results, give confidence that the final test results will show compliance or
- All survey verification to demonstrate conformity for position, level, dimensions and/or tolerances have been completed and work has been passed or
- Council has submitted a written request for a HOLD POINT release within the required notice period, but the notice has expired and advice of the HOLD POINT release/with- hold has not been received. Council can then release the HOLD POINT on behalf of the RTA after notifying the RTA’s Senior Project Manager to that effect
The <<Council Insert Position eg Engineering Director>> is responsible for a final review and sign-off of all inspection and RIIQUA601E Maintain A Quality System testing for each lot. Sign-off will not take place until any outstanding test reports or survey conformance reports for the lot has been received and any non- conformances for that lot have been closed out.
10. Monitoring Subcontractors
Council’s standard contract documents will be used for subcontracts. These require that the
subcontractors meet the requirements of RTA Q4M Annexure F.
Services to be subcontracted for this project are listed in the table below. Council will carry out surveillance on the subcontracts.
|Subcontracted Services||Surveillance Method|
|Spray 7 mm primer seal, including supply of bitumen||Instructions for checking bitumen sealing subcontractor are on ITP Sealing Surveillance Checklist|
|Linemarking||Check subcontractor’s set out Check that wet film thickness and glass bead spread rate achieved by subcontractor meet RTA R141 Table R141.2 Visually check that lines have uniform appearance with sharp edges, and are straight. Initial subcontractor’s checklist if OK. Get copy of subcontractor’s quantities used per lot|
Where subcontractors are required to submit QA documentation, Council will ensure this is listed on the Technical Procedures contents page behind the Contractor’s Quality Plan.
Council employees are required to minimise substandard Services. However, Council recognises they may occur from time to time within its own Services and those of its subcontractors.
The <<Council Insert Position eg Contract Manager>>is responsible for evaluating substandard Services and deciding whether they are Minor Defects or Nonconformances. This is subject to review by the <<Council Insert Position eg Engineering Director>>.
|Minor Defect||Service acceptable for Practical Completion but needing minor rework off prior to full acceptance|
|Nonconformance||a deficiency in the Service which renders the product unacceptable in terms of the RTA’s specified requirements|
The <<Council Insert Position eg Engineering Director>> is responsible for restricting further processing of Nonconformances until a rectification method has been finalised.
11.2 Minor Defects
Minor defects which are a normal part of Services and which are rectified in the normal course of events need not be documented as nonconformances. The <<Council Insert Position>>will keep a minor defects list in a <<eg Defects Notebook or diary>>. Each listed defect will be marked-off, initialled and dated after that defect has been satisfactorily rectified.
11.3 Nonconformance in Services
When a nonconformance is detected by Council personnel, it will be notified promptly to the
<<Council Insert Position>> who will then notify the RTA’s Senior Project Manager. Also Council will promptly advise the<<Council Insert Position>> if the RTA notifies Council of a nonconformance as follows.
- Non-Conforming Work or Services: Submitting a Nonconformity Report within 2 Business Days of detection of the nonconformity indicating the proposed rectification method, the contractual implications, and when the rectification is to be undertaken. See RTA Q4M Clause 8.3.
- Within 5 Business days after the Corrective Action Request is given to Council:
- Rectifying any nonconformity or condition adverse to quality notified by the RTA.
- Taking corrective/preventive action to prevent recurrence of the nonconformity or removing the condition adverse to quality and returning the completed Corrective Action Request to the RTA. See RTA Q4M Clause 8.5.2.
- Within 5 Business days after the Corrective Action Request is given to Council:
<<Council Insert Position>> will:
- Immediately arrange for the nonconforming Service to be suitably identified by labels, flags, markers or other appropriate means to distinguish it from conforming Services or materials. Wherever possible, the nonconforming Services will be physically isolated.
- Immediately record the nature of the nonconformance on a Nonconformance Report (see Non Conformance/ Improvement Request).
- Assess whether the process and/or equipment is likely to produce more nonconforming Services and whether further output should be restricted.
- Consider the significance of the nonconformance and the progress of the project. Where appropriate, restrict production until an acceptable rectification method for the nonconformance has been resolved and note this on the Nonconformance Report. Where safety or health is compromised by the nonconformance, the process or equipment will be stopped immediately and not used until the nonconformance report is closed-out by the <<eg Contract Manager, Safety Management Representative>>.
- Immediately determine the appropriate rectification method. This may be by rework, repair, replacement or use-as-is. Record the rectification method and when it will be undertaken on the Nonconformance Report.
- Where the proposed rectification method involves a change from the RTA specifications, submit a copy of the Nonconformance Report to the RTA representative for concurrence to the rectification (submit within 2 working days of detecting the nonconformance). Council will not commence rectifying the nonconformance without the concurrence of the RTA representative.
- Inspect or test the rework, repair or replacement in accordance with the Inspection and Test Plan or as otherwise agreed with the RTA’s representative to ensure that the required quality has been achieved. Confirm this on the Nonconformance Report.
- Where required by the RTA Specifications, a HOLD POINT will apply prior to covering up rectification work. In such cases notify the RTA representative when the rectification work has achieved conformance.
If the <<Council Insert Position eg Ganger>> rectifies the nonconformance before checking with the <<Council Insert Position eg Engineering Director>>, the <<Council Insert Position eg Engineering Director>> will review the Nonconformance Report to determine if any further action is needed.
11.4 Subcontractor Nonconformances
For subcontractors working under Council’s management system, subcontractor nonconformances will be resolved as described above.
Where a subcontractor is working under its own quality management system, nonconformances will be recorded on the subcontractor’s Nonconformance Report forms and the subcontractor will notify Council’s <<Council Insert Position eg Engineering Director>>. Regardless of the provisions of the subcontractor’s system, where safety or health is compromised by the nonconformance, the process or equipment will be stopped immediately and not used until the nonconformance report is closed-out and signed-off by Council’s <<eg Contract Manager, Safety Management Representative>>.
If the nonconformance rectification involves a change from the RTA specifications or if there is a possibility that other project Services could be affected:
- the <<Council Insert Position eg Engineering Director>>’s approval will be obtained and
- the rectification method will be submitted for the RTA’s determination.
Council will file a copy of the subcontractor’s Nonconformance Report where Council has been involved in resolving the nonconformance, but will not fill out a <<Generic SC>> Nonconformance Report.
12. Handling, Storage, Packaging and Delivery
Council recognises it is necessary to take care with handling, storage, packaging and delivery of goods and materials (where appropriate) to ensure that product quality is not impaired during these operations.
The <<Council Insert Position>> is responsible for the preparation of storage areas, in locations
approved by Council’s <<Council Insert Position eg Engineering Director>>
The <<Council Insert Position>> is responsible for secure storage arrangements. The following general guidelines are to be observed:
- store bulk materials such as aggregates, sands and roadbase on paved or firm cleared ground in separate stockpiles or bins to avoid mixing or contamination,
- store steel reinforcement in a location where there is minimal risk of it being run over by vehicles. If required by the RTA specification, store it under a waterproof shelter and supported clear of the ground,
- store timber on a cleared level site and support it above the ground,
- store fuels, chemicals and explosives in accordance with RTA G34M Clause 6.12 and regulatory requirements and hold applicable Material Safety Data Sheets (MSDS) in a readily accessible location on site,
- store under shelter products that may degrade after becoming wet and
- store other products as directed by the <<Council Insert Position>>.
The <<Council Insert Position>> is responsible for periodically inspecting products with limited shelf life (eg Portland cement). If the shelf life has expired, the product will not be incorporated in the Works.
The <<Council Insert Position>> is responsible for handling operations and will ensure that products are handled carefully to avoid damage.
Special packaging and delivery procedures are required for the following materials:
Special handling procedures are required for the following materials:
|Item||Packaging or Delivery Instruction|
13. Improvement and Customer Feedback
Where a nonconformance occurs or where the potential for nonconformance becomes apparent, a review will be carried out to investigate the cause and determine appropriate actions that will prevent future occurrence of the nonconformance. Any RTA complaints will be reviewed in the same way. Employees will be encouraged to suggest opportunities for improving the Quality Management Plan.
The <<Council Insert Position>> will notify the <<Council Insert Position>> of any deficiencies with procedures or suggestions for improvement.
Feedback on RTA satisfaction includes comments/requests at project review meetings and in performance reports. These are actioned by the <<Council Insert Position>>.
14. Responsibilities of Council’s Quality Management Representative
The General Manager has nominated <<Council Insert Position>> to be Council’s Quality RIIQUA601E Maintain A Quality System Management Representative (“QMR”) with delegated authority from, and responsibility to, the General Manager for the maintenance of the Quality Management Plan.
Regardless of other responsibilities, the QMR has delegated authority from, and is responsible to, the <<Council Insert Position (GM or Engineering Director)>> for:
- Ensuring that the QMP is maintained in accordance with RTA Q4M,
- Developing work process controls and work instructions,
- Preparing inspection/test plans,
- For projects, determining whether a separate Project Quality Plan (“PQP”) is required to
meet the requirements of RTA Q4M and the preparing it,
- Liaising, where needed, with external parties on matters relating to the QMP,
- Arranging internal audits,
- Monitoring and recording non-conformance and the corrective and preventive action process,
- Ensuring that corrective and preventive actions arising from surveillance or audits, both internal and external, are implemented,
- On behalf of Council, providing to the RTA responses to RTA Corrective Action Requests,
- Recording RTA feedback,
- Maintaining all records in relation to Quality issues,
- Maintaining a register of acceptable consultants, contractors and suppliers,
- Assisting in the management review of the plans,
- Reporting on the performance of the QMP to Council’s management.
The QMR will keep the Council management informed of all issues relevant to the QMP.
The QMR is a point of contact within the Council on these matters and is particularly responsible for communicating with the RTA Representative on all Quality related issues.
The QMR is also responsible for creating and keeping current Council’s List of Contacts.
15. Quality Records
The keeping of Quality Records is dealt with in Council’s Record Management Plan which is in
accordance with RTA Specification Q4M Annexure Q/E. It forms Appendix D hereto.
16. Quality Audits
Audit is a thorough, systematic and independent RIIQUA601E Maintain A Quality System examination carried out against defined criteria to determine whether:
- Activities and related results conform to planned arrangements, relevant legislation and RTA requirements,
- Field observations verify that these arrangements are implemented effectively.
Surveillance is field inspection to ensure that RTA’s directives, specifications and contract requirements are accurately reflected in Council’s operations.
They can be carried out by Council, the RTA or external specialists engaged by either.
Council is committed to these processes: they contribute to us safely and effectively meeting our objectives. They should be seen as an opportunity not as a threat.
All Council staff will work cooperatively with the RTA and specialists appointed by either Council or the RTA.
16.1 RTA Audits of the QMP
The RTA contract management team will formally (through audits), review Council’s QMP at
intervals as determined by the RTA Representative. .
The RTA Representative will normally provide 5 days notice of any formal Audit, however, should a major potential problem be identified, the RTA may conduct an audit without notice.
After the initial audit, if any element of the QMP does not comply with the contract document or
approved practice, Council anticipates Corrective Action Requests (“CAR”) will be issued.
Council will resolve any issues as indicated on the CAR.
16.2 Council’s Internal Audits
The General Manager will prepare an Internal Audit Schedule and arrange these audits. The first will be 5 months from the award of the contract.
If the results of this are satisfactory to the General Manager, subsequent internal audits will be at yearly intervals
Audits will assess whether RTA’s directives, specifications and contract requirements are accurately
reflected in the activities performed by Council in accordance with the QMP documentation.
Deficiencies, either in the QMP or in Council’s adherence to it, if found, will be recorded as a report. A timeline for rectifying these deficiencies will be formulated. This report may also be accompanied by one or more Council issued CARs to which the Council will respond by rectifying the deficiency and putting in place corrective action to ensure the deficiency does not reoccur. The completed CAR will be returned to the<<Council Insert Position>> within 5 working days of its receipt or sooner if the <<Council Insert Position>> so indicates. Council is responsible for coordinating this action.
16.3 RTA Surveillance of contract
- The RTA will conduct regular surveillance,
- A surveillance plan will be prepared by the RTA Surveillance Officer (SO”) in accordance
with the RTA Surveillance Officer’s Handbook1 and
- The weekly or fortnightly works schedule provided by the Council.
1 See Information Documents provided as part of the RMCC documents.
Directions given by the RTA to the Council’s <<Council Insert Position>> at the time of these visits will be recorded by the RTA on Surveillance Visits Reports.
Copies of the Surveillance Visits Reports will be retained on file by Council.
Deficiencies, if found, will be recorded. A timeline for rectifying these deficiencies will be formulated.
If Non Conformance Reports (“NCR”) have not been received, the report may be accompanied by one or more CARs and / or Nonconforming Product or Service Notifications (“NPSN”) to which the Council will respond by rectifying the deficiency, putting in place corrective action to ensure the deficiency does not reoccur and reporting to the RTA as set out in Section 7 of the Contract Management Plan.
Council is responsible for coordinating this action.
Council is obliged to make suitable facilities available at the site to accommodate an RTA audit team of three persons. The cost of providing such facilities will be borne by Council.
17. Document Control
All copies of the QMP will be controlled and issued by Council’s QMR.
Where subcontractors’ procedures and/or inspection/test plans are submitted to Council, they will be appended to the QMP and treated as controlled documents.
Council’s QMR will:
- Issue the QMP (with an attached Project Quality Plan if appropriate) and
- Keep a distribution list of documents issued and insert any amendments in their binders. The <<Council Insert Position>> will issue relevant Inspection Test Plans to Testers, as needed.
Council will review the QMP to ensure it is appropriate and is being implemented effectively. Changes may arise from a change of scope, RTA audits or from opportunities for improvement. The Plan will then be updated to reflect any changes which have occurred.
The revised document will be reviewed and approved by the Council’s General Manager and forwarded to the RTA Representative for his/her record.
The planned target dates (or frequencies) at which the CMP will be subject to formal review, and the personnel who will participate in the review are identified on page 6 of this Plan at Management Review. Council’s <<Council Insert Position>> will maintain records of any review.
|<<Council substitute çto|
|Construction Process||Work Area or Lot Description||Lot ID|
|Clear, grub and strip topsoil||Start and finish chainages for each separate area cleared.||CG|
|Pipe culvert extensions||Culvert number. Treat bedding and backfill layers as sub-lots (show backfill layers on diagram with compaction results||CUL|
|Embankment construction||Each fill (fill number, different numbers each side of road) Treat each 300mm layer as a sub-lot (show layer numbers on diagram, record levels for successive layers at the same chainage points.)||EW|
|Stabilised sub-base layer||Start and finish chainages for each insitu stabilisation run.||ST|
|Unbound Pavement Layers||For each layer, start and finish chainages of each area trimmed and prepared on any day for compaction testing.||DGS DGB|
|Primer seal||Start and finish chainages for each sprayer run.||SS|
Appendix B Hold and Witness Points
|HOLD POINT (see Clauses 9 and 11.3)|
|Process Held||As shown by the applicable RTA Specification|
|Submission Details.||As shown by the applicable RTA Specification|
|Release of Hold Point||The RTA will consider the submitted documents and may inspect the rectified work prior to authorising the release of the Hold Point.|
|HOLD POINT (Q4M Clause 8.3) and Clause 11.3 hereof )|
|Process Held||Covering up of rectified work. (Where hold is required by the RTA)|
|Submission Details.||Notification and verification rectified work conforms to accepted rectification method and specifications.|
|Release of Hold Point||The RTA will consider the submitted documents and may inspect the rectified work prior to authorising the release of the Hold Point.|
|Generic Shire Council NONCONFORMANCE REPORT/ IMPROVEMENT REQUEST|
|Part A: (nonconformance details)|
|Memo To: The following non-conformance has been noted:|
|If you agree that a Nonconformance exists, please take action to immediately resolve the non- conformance and raise a Corrective Action Request to ensure that the problem does not recur. CAR No. Date of CAR|
|Part B: (RESPONSE)|
|Memo To: This NCR has been addressed by CAR No: Comments: Print Name …………………………………………………………. Signature …………………………………………………………………………………. Date / / Contractor’s Representative|
|Follow up and Close Out:|
|Print Name ………………………………………………………||Signatur e||………………………………………………………………..||Date / /|
Appendix D Records Management Plan
Appendix D.1. Purpose
This Records Management Plan (“RMP”) sets out the record keeping practices, resources and procedures Council has adopted to meet the requirements of RTA Specification Q4M Annexure Q/E and of the Road Maintenance Council Contract (“RMCC”) between Council and the RTA.
Appendix D.2. Objectives
Council’s objectives are to:
- Use ISO 15489.1 and ISO 15489.2 for guidance in developing and implementing the records management system.
- Systematically control the creation, registration, indexing, filing, maintenance, storage, movement, retrieval and disposal of project records related to the Contract;
- Keep the records so they are safe and accessible and, in the vent of a disaster, recoverable.
- Make the records available to the RTA at all reasonable times. Where requested by the RTA, permit the RTA to copy records.
- Provide the RTA with copies of any records within fourteen days of a request by the RTA.
- Prior to Completion, provide the RTA with any commissioning records and operation and maintenance manuals relevant to the services.
Appendix D.3. Definitions
The definitions in AS ISO 15489.1 and Specification Q4M apply to this RMP.
Record: Apart from paper or hardcopy records, records may exist in other media formats such as video, audio, email, photos, electronic files, etc.
The following special definitions are applicable:
Project Record: 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.
Quality Record: A record used to demonstrate conformance to specified requirements and effective operation under the AS/NZS ISO 9000 series or required by RTA Q.
Identified Record: Any project record that is named as an Identified Record in the RMCC. They
are listed in Council’s Contract Management Plan at Appendix H.5.
Appendix D.4. Record Keeping Policy
Council’s policy is:
- Records will be created and maintained in accordance with the corporate Quality, OHS&R and Environmental Management System(s) as appropriate. In addition, recordkeeping practices are to be suitable, effective and relevant to the Services required by the Contract.
- The Records Management System described in this RMP will be implemented by the
<<Record Keeping Representative>> to ensure that specifically identified records are created and provided to the RTA during execution of the Services under the Contract.
- The submission and notification requirements of the Contract Specifications will be identified and communicated to relevant personnel
- Records shall be kept as paper files or in electronic form as described in AS 15489 with suitable backup strategies to prevent loss of information. The media and formats used will be in accordance with RTA requirements. The use of electronic formats for project records requires the approval of RTA.
- Project records or copies will be stored and maintained as shown in RTA Q4M/C2 in facilities that provide a suitable environment to minimise deterioration or damage, and prevent loss.
- Records related to OHS&R activities will be kept in accordance with RTA G21M and RTA Q4M)
- Records of Environmental Activities will be kept in accordance with RTA G34 and RTA Q4M.
- To use the record forms and registers developed to meet the information management requirements of the Contract.
- As part of the induction process, this policy and the RMP will be introduced to all appropriate personnel working on the project (including appropriate personnel working for any Subcontractors).
Appendix D.5. Authority and Responsibilty
Council’s Organisation Chart and responsibilities with respect to the RMCC appear in the Contract Management Plan (“CMP”). Responsibilities particular to the RMP are:
The <<Engineering Director>> will ensure:
- Implementation of the RMP for the RMCC.
- Operation, maintenance and review of the RMP during the Contract period and thereafter.
- Secure storage of Project Records and delivery of Identified Records to the RTA’s
- Regular compliance audits of this RMP to ensure that the records system procedures and processes are being implemented to meet the outcomes specified.
- Modifications to the records system and management processes if these are found ineffective or unsuitable.
The <<Record Keeping Representative>>is the authorised contact person for communications with the RTA on recordkeeping matters.
Appendix D.6. Document and Data Control
Document and data control, including the Site Specific Safety Management Plan and Environmental Management Plan will be undertaken in accordance with the corporate quality system. The quality system procedures provide for;
- The issue and distribution of “controlled” documents, whether created internally or externally
- The notification of changes to “controlled” documents
- Development and maintenance of a register of “controlled” documents
The <<Record Keeping Representative>> is responsible for maintaining a Master List of
“controlled” documents applicable to the contract.
A Project Records Register, including Quality Records and Identified Records, will be developed and maintained for the Contract by the <<Record Keeping Representative>>. This register will tend to be in electronic form, but should be regularly issued as an Attachment to this RMP. The register will identify who is responsible for producing, reviewing and filing each record type.
This RMP will be issued by the <<Engineering Director>> as a “controlled document” and implemented. Apart from the single “controlled” copy of this RMP issued to the RTA’s Representative, up to 3 additional copies will be provided if requested for the purposes of audit. These additional copies should be returned when no longer required by the RTA’s Representative.
Appendix D.7. Records
The recordkeeping system provided by the corporate quality system and this RMP will be applied to all project records associated with this Contract, from inception to disposal.
Appendix D.7.1. Identification
Apart from the need to develop a consolidated list of “Identified Records”, a consolidated list of all Project Records will also be developed by the Works Manager/Contracts Manager, and should be included as an Attachment to this RMP. This list, in the form of a register, can then be used to assist records management, to enable tracking and ready retrieval of project records.
Appendix D.7.2. Filing and Indexing
To ensure that all project records are identifiable and traceable, records will be filed and indexed by the persons identified in the Projects Records Register according to the corporate quality system and using an appropriate file numbering system with an corresponding index.
Identified Records will be grouped according to the type, as per the relevant RTA Specification. They will be uniquely numbered and filed in chronological order and include an index for quick reference.
Appendix D.7.3. Access
Upon request, all project records will be made RIIQUA601E Maintain A Quality System available to the RTA’s Representative and/or
permission will be given for the copying of such records.
The <<Engineering Director>> will determine whether access should be restricted (for both Council personnel and the RTA). Access for others will be referred to the <<Engineering Director>> for concurrence.
Appendix D.7.4. Submission and Delivery
Attachment H.5 to the CMP lists all the reports and submissions Council will make to the RTA and
when they will be made. This list may be modified at the direction of the RTA’s Representative.
When submitting and/or delivering documents and records, the document transmittal system provided in the corporate quality system will be followed as applicable.
Delivery will be to the address of the RTA’s Representative included in the Contract. The Project
Records Register will be updated with a record of each such delivery, for each applicable record.
Documents (and/or copies) will be delivered to the RTA’s Representative on premium bond 80gsm A4 or A3 paper in good quality files, except that work-as-executed plans will be on A2 size. The paper colour will be white, unless the record is normally maintained on some other colour for
ease of identification. Council will not substitute any electronic medium for paper as this is not acceptable to the RTA.
Within 60 days after expiry of the Time for Performance, an index of all project records will be provided to the RTA’s Representative. Following such, copies of any project records will be provided within 14 days of a request.
Appendix D.7.5. Storage
Project records (and/or copies) will be kept at the RIIQUA601E Maintain A Quality System location (and/or locations) specified in the Contract.
During the Contract, they will be stored and maintained for ready retrieval, in facilities that provide a suitable environment to minimise deterioration or damage, and prevent loss. The register of project records will identify whether the records are located at the Works Depot, Administration Office and/or with the RTA’s Representative.
Records created in the field will be returned to the Works Depot weekly, for indexing, filing and storage.
Appendix D.7.6. Archiving
Project records will be archived by the <<Record Keeping Representative>> for secure storage. Heavy-duty archive boxes will be used for such long-term storage, to ensure the integrity of boxes and their contents remains throughout any transfer movements.
The Project Records Register will include the identification of Archive Boxes as applicable. In addition, an Archive Register will be kept to keep account of the contents of each archive box, and hence the location of various project records.
The location where the project records are to be archived and the time at which the can be
archived will be agreed with the RTA’s Representative.
Appendix D.7.7. Retention
Originals, or good quality copies, of all project RIIQUA601E Maintain A Quality System records will be kept for a minimum retention period of 5 years after the expiry of the contracts term, regardless of whether those records have been copied or delivered to the RTA’s Representative. If electronic records have been provided, a copy will be kept in either electronic or hard copy format for the same retention period.
Appendix D.7.8. Disposal
After expiration of the retention period, if the RIIQUA601E Maintain A Quality System project records are to be disposed of they will be pulped, shredded, or burned in industrial facilities – not dumped.
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