Skills Assessment (Practical Tasks)

ASSESSOR NOTE
These instructions must be followed when assessing the student in this unit. The checklist on
the following page is to be completed for each student. Please refer to separate mapping
document for specific details relating to alignment of this task to the unit requirements.

This competency is to be assessed using standard and authorised work practices, safety
requirements and environmental constraints.
Assessment of essential underpinning knowledge will usually be conducted in an off-site
context.
Assessment is to comply with relevant regulatory or Australian standards' requirements.
Resource implications for assessment include:
an induction procedure and requirement
realistic tasks or simulated tasks covering the mandatory task requirements
relevant specifications and work instructions
tools and equipment appropriate to applying safe work practices
support materials appropriate to activity
workplace instructions relating to safe work practices and addressing hazards and
emergencies
material safety data sheets
research resources, including industry related systems information.

Reasonable adjustments for people with disabilities must be made to assessment processes
where required. This could include access to modified equipment and other physical resources,
and the provision of appropriate assessment support.

The participant satisfactorily

demonstrated competence
can get there.

In the case that one or more of your assessmen rainer will

provide you with the necessary feedback and guidance, in order for you to resubmit/redo your
assessment task(s).

What if you disagree on the assessment outcome?

You can appeal against a decision made in regards to an assessment of your competency. An

competency standards and you feel you have sufficient grounds to believe that you are entitled to
be assessed as competent.

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You must be able to adequately demonstrate that you have the skills and experience to be able to
meet the requirements of the unit you are appealing against the assessment of.

You can request a form to make an appeal and submit it to your Trainer, the Course Coordinator,
or an Administration Officer. The RTO will examine the appeal and you will be advised of the
outcome within 14 days. Any additional information you wish to provide may be attached to the
form.

What if I believe I am already competent before training?

If you believe you already have the knowledge and skills to be able to demonstrate competence in
this unit, speak with your Trainer, as you may be able to apply for Recognition of Prior Learning
(RPL).

Credit Transfer
Credit transfer is recognition for study you have already completed. To receive Credit Transfer,
you must be enrolled in the relevant program. Credit Transfer can be granted if you provide the
RTO with certified copies of your qualifications, a Statement of Attainment or a Statement of
Results along with Credit Transfer Application Form. (For further information please visit Credit
Transfer Policy)

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Task 1 Quality management plan

You are required to create and document a Quality Management Plan for a project
entailing civil construction for road 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.

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Quality Management Plan

for Services for the RTA under the RMCC

<<Generic Shire Council>>

<<Long St.,>>
<<Generic NSW 2345>>

Printed copies of this document are uncontrolled

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Note to RTA Team:
Text highlighted in grey is an MSWord field and should not be changed or deleted without
careful thought.

Note to Council Documenter:

Text shown thus <<yellow>> has to be changed to suit your Council.
Text highlighted in blue should be read and then removed before publication.
Text highlighted in grey is an MSWord field and should not be changed or deleted.
Double click on text thus to access documents on the RTA website.

Delete this page and this Page Break before publication.

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About this release

Document Number: <<GSC: QMP: RTA: RMCC>>Edition 1 / Revision 0

Title: Quality Management Plan
Author: <<XXXX>>

Ed 1 / Rev 1 October <<New Plan OR Replaces Doc. No. OR <<Engineering Director>>

0 2008
Issue Date Revision Description Authorised by

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Management Review
See Section 18 for details

Planned Review Scope Review By Review Record

Date Ref no. Date
1 October 2009 <<XXXX>>
1 October 2010

1 October 2011

Endorsement of QMP

______________________________ / /
General Manager Date

______________________________ / /
<<Engineering Director>> Date

______________________________ / /
<<Position>> Date

1. Introduction

1.1 Scope of this Plan

This document defines the quality management practices and processes <<Generic Shire
Council>>
in

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 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
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.

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1.3

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

Plan Do

Improve Analyse

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,

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

Joint inspections and Joint Planning Assessments - to develop a programme of Services to

be carried out during the current financial year,

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 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,

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 Management process which encompasses:
Defect Identification,
Repair of those defects according to their urgency and
Recording and reporting.

2.3 Purchasing
See 6 below.

2.4 Design
Any design work associated with the contract will be arranged by the <<Council Insert Position>>

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.

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5. Induction and Training

<<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.
evels, 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
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 Counci
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.

Environmental Management Plan respectively.

6. Purchasing or supply by the RTA

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:

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 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 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.

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:

Material Traceability Method

Mark location of pour on Delivery Docket. Mark Delivery Docket

Concrete supply
number on ITP Checklist.

Pavement sub-base material <<Council Insert method suitable to its operation>>

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 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.

9. Controlling Services

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 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 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 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

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 )
and
some RTA specifications require that statistical evaluation be carried out. In these cases

-
sampled and re-tested.
Where RTA Specifications show HOLD POINTS, the <<Council Insert Position eg Council Contract
Manager>>
the work process except in the following circumstances:

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 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

The <<Council Insert Position eg Engineering Director>> is responsible for a final review and
sign-off of all inspection and 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

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, Instructions for checking bitumen sealing subcontractor are on ITP
including supply of bitumen Sealing Surveillance Checklist
Linemarking
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 s

Where subcontractors are required to submit QA documentation, Council will ensure this is listed
on the Technical Procedures contents page behind the

11. Control of Substandard Services

11.1 Evaluation
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>>.
Disposition Description
Minor Defect Service acceptable for Practical Completion but needing minor rework off prior
to full acceptance

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 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>> ior 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.

<<Council Insert Position>> will:

a) 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.
b) Immediately record the nature of the nonconformance on a Nonconformance Report (see
Non Conformance/ Improvement Request).
c) Assess whether the process and/or equipment is likely to produce more nonconforming
Services and whether further output should be restricted.
d) 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>>.
e) 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.

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f) 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.
g) 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.
h) 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

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
<<Council Insert Position eg Engineering Director>>. Regardless of the provisions
ormance, the
process or equipment will be stopped immediately and not used until the nonconformance report
is closed-out and signed- <<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>>
then
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
<<Council Insert Position eg Engineering Director>>

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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:

Item Handling Method

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>>.

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14.

The General Manager has nominated <<Council Insert Position>>

elegated 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,

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,

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.

15. Quality Records

accordance with RTA Specification Q4M Annexure Q/E. It forms Appendix D hereto.

16. Quality Audits

Audit is a thorough, systematic and independent 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.

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Surveillance

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

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

Council will resolve any issues as indicated on the CAR.

16.2
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 R
reflected in the activities performed by Council in accordance with the QMP documentation.
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

Council anticipates:
The RTA will conduct regular surveillance,
accordance
59
and
The weekly or fortnightly works schedule provided by the Council.

59
See provided as part of the RMCC documents.

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 <<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.

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.

16.4 Facilities
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

Where subcontractors' procedures and/or inspection/test plans are submitted to Council, they will
be appended to the QMP and treated as controlled documents.

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.

18. Reviewing this Quality Management Plan

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.
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 340 of this Plan at
Management Review <<Council Insert Position>> will maintain records of any review.

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Appendix A Lot Numbering

to
<<Council
substitute
Construction Process Work Area or Lot Description Lot ID

Clear, grub and strip Start and finish chainages for each separate area cleared.
CG
topsoil

Pipe culvert extensions Culvert number. Treat bedding and backfill layers as sub-lots
CUL
(show backfill layers on diagram with compaction results

Cuttings Each cut

CUT
Embankment Each fill (fill number, different numbers each side of road)
EW
construction
Treat each 300mm layer as a sub-lot (show layer numbers on
diagram, record levels for successive layers at the same
chainage points.)

Stabilised sub-base Start and finish chainages for each insitu stabilisation run.
ST
layer

Unbound Pavement For each layer, start and finish chainages of each area trimmed
DGS
Layers and prepared on any day for compaction testing.
DGB
Primer seal Start and finish chainages for each sprayer run.
SS

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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.

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Appendix C Non Conformance/ Improvement Request
Generic Shire Council
NONCONFORMANCE REPORT/ IMPROVEMENT REQUEST

No: Date:

Part A: (nonconformance details)

Memo To:

The following non-conformance has been noted:

Details:

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

Part C:

Follow up and Close Out:

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Comments:

Print Name Signatur

.......................................................................... Date / /
............................................................... e

Title

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Appendix D Records Management Plan

Appendix D.1. Purpose

This Records
procedures Council has adopted to meet the requirements of RTA Specification Q4M Annexure

Appendix D.2. Objectives

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

Appendix D.4. Record Keeping Policy

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.

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 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

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
Representative.
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;
internally or
externally

The <<Record Keeping Representative>> is responsible for maintaining a Master List of

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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>>

Representative, up to 3 additional copies will be provided if requested for the purposes of audit.
These additi

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

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

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 submitting and/or delivering documents and records, the document transmittal system
provided in the corporate quality system will be followed as applicable.

Records Register will be updated with a record of each such delivery, for each applicable record.

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

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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 within 14 days of a request.

Appendix D.7.5. Storage
Project records (and/or copies) will be kept at the 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

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

Appendix D.7.7. Retention

Originals, or good quality copies, of all project 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

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 project records are to be disposed of they will be
pulped, shredded, or burned in industrial facilities - not dumped.

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Observation Checklist

Observation Criteria S NS
Obtained, interpreted and confirmed work requirements
Accessed, interpreted and applied documentation required to establish
and maintain a quality system
Developed, documented business plans that include a quality system
according to workplace procedures
Identified quality system responsibilities in job descriptions and duty
statements
Identified, sourced and provided resources for the operation of the
quality system according to workplace procedures
Communicated and provided accessibility to quality system
information to relevant personnel
Established and maintained collaboration and consultation processes
according to workplace procedures
Resolved issues raised according to workplace procedures
Communicated outcomes to relevant personnel verbally and in writing
Utilised principles and techniques for identifying relevant hazards and
emergencies
Identified existing and potential quality issues and trends from quality
statistics and records
Established procedures for identification of existing and potential
quality issues according to workplace procedures
Accessed and utilised key policies, procedures and documentation
required to establish and maintain a quality system
Monitored changes to the workplace to determine if additions or
modifications to the quality system are required
Established procedures to treat quality issues and trends to confirm
compliance
Established procedures for applying interim solutions when measures
to treat quality issues at their source are not practicable
Established procedures for ongoing treatment of the quality system
according to workplace procedures
Referred to key legislation required to establish and maintain a quality
system
Monitored quality activities throughout the organisation, identify
inadequacies and provide resources to implement appropriate quality
measures according to workplace procedures
Established training programs that meet quality system training
requirements
Evaluated the effectiveness of the quality system within the goals and
objectives of existing organisational boundaries
Recommended appropriate improvements to the quality system
Evaluated compliance with legislation and code of practice

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 Observation Criteria S NS
Applied techniques for coordinating and communicating job activities
with others

Outcome
Satisfactory Unsatisfactory

Comments:

Date ______________________

Signed _____________________________ (Assessor)

Signed ______________________________(Student)

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