LAND DEVELOPMENT MANUAL - Central Highlands … 9001 is the quality system standard for Consultants...

LAND DEVELOPMENTMANUAL

QUALITY ASSURANCE REQUIREMENTS

LAND DEVELOPMENT - QUALITY ASSURANCE REQUIREMENTS 01

© 2012 Central Highlands Water

All rights reserved.

This publication is protected by copyright and is provided under licence.

No part of this publication may be reproduced, distributed, transmitted, stored in a retrieval system, or reduced to any electronic medium without the written authority of the Managing Director of Central Highlands Water.

Central Highlands Water assumes no responsibility for any errors in or omissions from this document or any damages arising out of the use or inability to use this document.

Changes may be made periodically to the information herein.

02 LAND DEVELOPMENT - QUALITY ASSURANCE REQUIREMENTS

1.0 Introduction 1.1 Intended audience

1.2 Related reference material

- References

- Water Industry References

- Quality References

- Environmental References

- Occupational Health & Safety References (OH&S)

2.0 Qualityassurance 2.1 Quality assurance systems

2.2 Quality system standards

2.3 Certification of quality assurance systems

3.0 Acceptancerequirements 3.1 Quality policy

3.2 Acceptance requirements

4.0 Verification 4.1 Verification points

4.2 Acceptance forms

- Agreement details

- Documentation to be submitted

- Consultant’s assurance

4.3 Acceptance of verification forms

CONTENTS


5.0 Audit 5.1 General

- First party audits

- Second party audits

- Third party audits

5.2 Quality Assurance Monitoring

- Central Highlands Water audits

- Design audit

- Construction audit

- Office audit

- Survey and As-Constructed audit

- Audit register

5.3 Audit personnel

5.4 Audit costs

6.0 Non-compliance 6.1 Types of non-compliance

- Minor non-conformance

- Major non-conformance

- Observation

6.2 Consultant’s responsibility for non-compliance

- Minor non-conformance

- Major non-conformance/observations

6.3 Intensive audits

- Intensive audit costs

CONTENTS


ThismanualprovidesinformationonCentralHighlandsWater’squalityassurancestrategyandrequirementsforthelanddevelopmentindustry.

1.1INTeNdedAudIeNCe

This manual has been written for engineering consultants and other people involved in the land development industry.

1.2RelATedRefeReNCemATeRIAl

RefeReNCes

The following references provide guidelines for developers and consultants. The lists are not exhaustive. Consultants should ensure they have access to, obtain, or research the references applicable to the project.

WATeRINdusTRyRefeReNCes

ReferencesrelatingtotherequirementsofCentralHighlandsWaterinclude,butarenotlimitedto:

Water Services Association of Australia Codes

• WSA 01-2004 Polyethylene Pipeline Code

• WSA 02-2002 Sewerage Code of Australia (MRWA Edn.)

• WSA 03-2011 Water Supply Code of Australia (MRWA Edn.)

• WSA 04-2005 Sewerage Pumping Station Code of Australia

• WS-SPEC-2011 Water Services Specification

Central Highlands Water Manuals

• Central Highlands Water Survey Manual

• Central Highlands Water-Sewer Code Supplementary Document

• Central Highlands Water-Water Code Supplementary Document

• Central Highlands Water-Sewer Pumping Station Code Supplementary Document

Other Relevant Documents

• Relevant State Building Regulations

• Subdivision (Procedures) Regulation 1989

• Subdivision Act 1988

• Water Act 1989

• Planning and Environment Act 1987

• Central Highlands Water’s Customer Charter

1.0 INTRODUCTION


INTRODUCTION

QuAlITyRefeReNCes

Referencesrelatingtoqualityassuranceinclude,butarenotlimitedto:

• AS/NZS ISO 8402:2006 Quality management and quality assurance-vocabulary

• AS 2124-2000 General Conditions of Contract

• AS 4305-1996 Minor Works Contract Conditions

• AS/NZS ISO 9001 Quality systems – Model for quality assurance in design, development, production, installation and servicing

• AS/NZS ISO 9002 Quality systems – Model for quality assurance in production, installation and servicing

• AS/NZS ISO 9000.1 Quality management and quality assurance standards Part 1: Guidelines for selection and use

• AS/NZS ISO 9004.1 Quality management and quality system elements Part I: Guidelines

• AS 3904.2 Quality management and quality system elements Part 2: Guidelines for services

• AS 2990 Quality systems for engineering and construction projects

eNVIRoNmeNTAlRefeReNCes

Referencesrelatingtoenvironmentalrequirementsinclude,butarenotlimitedto:

• The Environment Protection Act 2011

• Planning and Environment Act 2012

• Central Highlands Water’s Environmental Management Policy

oCCupATIoNAlHeAlTHANdsAfeTyRefeReNCes(oH&s)

Referencesrelatingtositesafetyrequirementsinclude,butarenotlimitedto:

Acts

• Occupational Health & Safety Act – 2004

• Equipment (Public Safety) Act – 1994 (with amendments 2012)

• Dangerous Goods Act – 1985 (with amendments 2012)

1.0

O H & S Regulations No.

• Explosive Powered Tools 349/89

• Issue Resolution 187/89

• Laser Safety 95/86

• Manual Handling 298/88

• Tractor Safety 96/86

• General Safety (Reprint No. 1 10791) 93/86

• Sub-Legislation (General Safety) Ext. of Operation 27/96

• Noise (Reprint No. 1 22-296) 196/92

• Certification of Plant Users and Operators (No. 1 300596) 108/94

• Plan 81/95

• Confined Spaces 148/96

• Notification of Incidents 1997

• Dangerous Goods (Storage and Handling) 1989

• Dangerous Goods (Transport) 1987

Codes of Practice

• First Aid in the Workplace

• Safe Work on Roofs

• Noise

• Temporary Electrical Installation on Building and Construction Sites

• Workplaces

• Building and Construction Workplace

• Manual Handling

• Safety Precautions in Trench Operation

• Demolition

• Safe use of Cranes in Building and Construction

• Provision of OH&S Information in Languages other than English

• Power Line Clearance of Vegetation

• Confined Spaces

• Plant

• Confined Spaces Compliance Code (2009)

1.0 INTRODUCTION


Qualityassuranceisbasedonthephilosophyof“gettingitrightthefirsttime”.Thisphilosophyrequirestheconsiderationofqualityatallstagesofanagreement,forexample,planning,design,constructionandmaintenance.

Central Highlands Water has adopted the ISO 9000 series of quality system standards as the basis of the quality assurance strategy for land development.

2.1QuAlITyAssuRANCesysTems

A quality assurance system is the sum of all processes undertaken by a company to demonstrate to the customer that the requirements can be met.

To operate effectively, a quality assurance system must be fully documented. This provides the customer with a method of monitoring the performance of the supplier. It also provides a means by which the company can consistently meet the specified requirements.

The core document of a quality assurance system is the quality manual. This manual clearly sets out the company’s quality policy, organisation, procedures and practices. A copy of this manual is often supplied to the customer to demonstrate the company’s capabilities.

2.2QuAlITysysTemsTANdARds

Central Highlands Water has many different suppliers and monitoring the performance of these suppliers can be a complex task, especially if the suppliers are operating under different types of quality systems. To overcome these problems, Central Highlands Water requires certain suppliers to conform to the requirements of the ISO 9000 series of quality system standards. The particular standard applicable to individual companies depends upon the nature of product or service being provided.

ISO 9001 is the quality system standard for Consultants who provide a design service.

2.3CeRTIfICATIoNofQuAlITyAssuRANCesysTems

Certification is the verification by an independent party of the conformance of the quality assurance system to the requirements of the quality system standard. Within Australia, there are several third party certification bodies that will for a fee, certify on a continuous basis the quality system.

A current listing of approved certifying bodies can be obtained from JAS-ANZ (Joint Accreditation System - Australia and New Zealand).

Certificationbyanindependentpartyhasthefollowingadvantages:

• A company’s customers can be assured of the impartiality of the monitoring authority

• There are lower costs to the customer for quality monitoring

• It reduces the need for customers to audit their suppliers and therefore the time and costs to suppliers in facilitating audits

• Certification is a good marketing tool because it demonstrates to potential clients that the supplier can assure quality

Central Highlands Water will not normally consider it necessary to audit the quality assurance systems of accredited suppliers unless a major non-conformance has been detected. However, Central Highlands Water may periodically undertake second party audits on engineering consultants to assess compliance of the system to Central Highlands Water standards.

QUALITY ASSURANCE 2.0


3.0 ACCEPTANCE REQUIREMENTS

3.1QuAlITypolICy

Land developers are only permitted to engage consultants who comply with Central Highlands Water quality assurance acceptance requirements.

When a developer enters into an agreement with Central Highlands Water, they must sign the Notice of Agreement Acceptance Form. The consultant must also sign the Notice of Agreement Acceptance Form verifying that the quality assurance acceptance requirements will be met prior to the commencement of the design, construction and survey of the works.

3.2ACCepTANCeReQuIRemeNTs

Central Highlands Water quality assurance acceptance requirements are detailed in the Land Development Guidelines and Pricing section and include:

• The acceptance of full responsibility by the consultant for the design, construction and survey of works for a period of five (5) years from the date of the Certificate of Completion

• The operation of a third party certified quality system to ISO 9001 which has a scope that covers land development works

• The naming of a nominated representative

• Insurance

• The use of accredited pipelayers

• The acceptance of Central Highlands Water’s role as a quality auditor


VERIFICATION

4.1VeRIfICATIoNpoINTs

Verification points are stages in the agreement at which the consultant’s nominated representative verifies the compliance of the works to Central Highlands Water requirements. Verification points may be specified for a variety of reasons but are normally used to enable Central Highlands Water to review the product for conformance to the specified requirements.

The consultant’s quality assurance system must include the control of and conformance to Central Highlands Water requirements for each verification point.

AgreementsbetweenCentralHighlandsWaterandadevelopercontainaminimumoffiveverificationpoints:

• Design

• Pre-construction

• Construction

• As-Constructed Survey

• End of defects liability period

The verification points apply to all agreements for water and sewerage services.

Central Highlands Water may require additional verification points depending on the nature and extent of a particular agreement, for example, for the installation of pumping stations.

4.2ACCepTANCefoRms

The nominated representative must ensure a verification form is completed and submitted to Central Highlands Water at each verification point. The complete set of verification forms is located in the Standard Forms section of Central Highlands Water’s Land Development Manual.

The Design Verification Form must be received by Central Highlands Water with the detailed design, at least five (5) working days prior to the proposed commencement of the works.

The Pre-Construction Verification Form must be received by Central Highlands Water at least five (5) working days prior to the proposed commencement of the works.

The Construction Verification Form and the relevant As-Constructed Verification Form must be submitted at the end of construction. These forms must be received by Central Highlands Water before the defects liability period for the works can commence.

The End of Defects Liability Period Verification Form must be submitted at the end of the defects liability period. This form must be received by Central Highlands Water before the works will be considered for vesting.

4.0


The details contained in each verification form are different for each verification point, however all forms have the same format and style.

Eachverificationformisdividedintothreesections:

• Agreement details

• Documentation to be submitted

• Consultant’s assurance

AgReemeNTdeTAIls

This is the top section of the first page of the verification form and is used to describe the details of the agreement.

doCumeNTATIoNTobesubmITTed

This section specifies all the items that need to be submitted to Central Highlands Water.

CoNsulTANT’sAssuRANCe

The consultant’s nominated representative must verify the points that are listed.

4.3ACCepTANCeofVeRIfICATIoNfoRms

Central Highlands Water accepts no responsibility for the accuracy of the verification forms.

Verification forms submitted to Central Highlands Water will be subject to an acceptance review. The purpose of this review is to check that the verification forms have been properly completed and submitted. The consultant is responsible at all times for the accuracy of verification forms.

4.0 VERIFICATION


5.1geNeRAl

Auditing is the process used to verify that an activity conforms to the requirements of the customer, the quality assurance system and the quality system standard.

Therearethreecommontypesofaudit:

• First party

• Second party

• Third party

fIRsTpARTyAudITs

First party auditing is more commonly known as internal auditing. It is the monitoring by a company of its own quality system. First party auditing is essential to ensure effective operation of a quality system and is a requirement of ISO 9001.

seCoNdpARTyAudITs

Second party audits are conducted by the customer on the supplier. These audits enable the customer to verify that the supplier can consistently meet the requirements, and may eliminate the need for detailed inspection and/or testing of the product or service.

Audits conducted by Central Highlands Water are second party audits.

THIRdpARTyAudITs

Third party audits are conducted by an organisation who is independent of both the supplier and customer, for example, Standards Australia.

Third party auditing reduces the need for second party auditing, saving time and money for both the supplier and customer.

AUDIT 5.0


5.0 AUDIT

5.2QuAlITyAssuRANCemoNIToRINg

Under the quality assurance strategy, Central Highlands Water will monitor the quality performance of consultants. Central Highlands Water will conduct a range of second party auditing activities to ensure that consultants can consistently meet the specified requirements. These activities include:

• Quality system audit

• Design audit

• Construction audit

• Survey and As-Constructed audits

• Office Audit

With the exception of the quality system audit, all audits will be conducted without prior advice to the consultant. The consultant will be advised that an audit has been conducted only if the audit has revealed non-complying activities requiring corrective action.

Central Highlands Water reserves the right to conduct retrospective audits on completed agreements for three (3) years after the works are vested in Central Highlands Water.

CeNTRAlHIgHlANdsWATeR

Qualityassurancesystemauditsexaminetheeffectivenessoftheconsultant’squalitysystem.Particularemphasisisplacedon:

• Adherence to the quality policy

• Review systems, for example, management review, contract review, internal audits

• Process and document control

• Inspection and test activities

• Control of non-conformances and observations

• Quality records

Central Highlands Water will not normally conduct quality system audits on certified quality systems. Central Highlands Water reserves the right to do so however, and may do so when a major non-conformance has been detected.

Quality system audits are conducted in the consultant’s office.

Central Highlands Water audits of the consultant’s quality system will be in accordance with the procedure outlined in Australian Standard ISO 10011.1 Guidelines for auditing quality systems Part 1: Auditing.

At the conclusion of each audit, Central Highlands Water will prepare a detailed audit report. A copy of this report will be forwarded to the consultant.


desIgNAudIT

Designauditschecktheconsultant’sdesign.Thefinisheddesignischeckedfor:

• Accuracy

• Completeness

• Adherence to Central Highlands Water design requirements

• Conformance to Central Highlands Water design processes, for example, the use of design manuals and specifications

Consultants must submit all necessary support data with the detailed design.

CoNsTRuCTIoNAudIT

Central Highlands Water will conduct field audits of the construction phase of the agreement.

Central Highlands Water auditor will arrive on site unannounced and observe the construction in progress. The duration and scope of a field audit will vary depending on the construction work being conducted at that time.

offICeAudIT

An office audit will be undertaken by Central Highlands Water to determine how the consultant’s quality system controls particular projects. Records will require to be reviewed during this audit.

suRVeyANdAs-CoNsTRuCTedAudIT

Central Highlands Water will conduct audits of the as constructed asset information after it has been verified by the consultant and submitted to Central Highlands Water.

Therearetwotypesofsurveyaudit:

• Information presentation and format audit

• Field audit

Information presentation and format audit

This audit checks that the format and presentation of the as constructed asset information is in accordance with Central Highlands Water requirements. This audit is conducted at Central Highlands Water’s office.

The accuracy of the information is not checked.

Field audit

The field audit checks the accuracy of the submitted information.

5.0 AUDIT


5.0 AUDIT

AudITRegIsTeR

Central Highlands Water will maintain the details and results of all audits on a confidential central audit register. These details will be used to:

• Assess the current quality performance of a consultant

• Assess the current quality performance of a contractor

• Determine whether a Consultant or contractor has difficulty with particular aspects of the agreement

• Determine the aspects of an agreement that should be audited

• Schedule the time and date of each audit

• Determine the scope of each audit

• Record the results of the audit

• Determine the scope and extent of any corrective action required

Central Highlands Water may forward the results of any auditing activities to the relevant certifying authorities. This could affect the certification of the consultant’s quality assurance system.

5.3AudITpeRsoNNel

Audits will be conducted by Central Highlands Water personnel. These personnel have training in the ethics and procedures of auditing. Audit personnel are trained in the aspect of the works being audited.

5.4AudITCosTs

Costs associated with intensive audits must be paid as described in the Guidelines and Pricing section of Central Highlands Water’s Land and Development Manual.


Non-complianceoccurswhentheconsultantdoesnotperformaparticulartaskinaccordancewiththespecifiedrequirementsortheirqualitysystem.

Therearemanyareaswherenon-compliancemayoccur,forexample:• The design fails to control the catchment

• Blatant breach of regulations or agreement

• The designer used the wrong issue of a Central Highlands Water design manual

• The design was changed during construction but the change was not recorded

• The construction contractor had not done the appropriate training course

• The pipe materials were not purchased from a Central Highlands Water approved supplier

• Incorrect bedding material was used

6.1TypesofNoN-ComplIANCe

Therearethreetypesofnon-compliance:

• Minor non-conformance

• Major non-conformance

• Observation

mINoRNoN-CoNfoRmANCe

A minor non-conformance involves a clear failure to fulfil specified requirements when a verification point has been assured by the consultant.

Aminornon-conformancedoesnotaffectthefinalqualityoftheworks,forexample:

• The plan paper size was incorrect

• Incorrect filing of test records

mAjoRNoN-CoNfoRmANCe

A major non-conformance involves a clear failure to fulfil specified requirements when a verification point has been assured by the consultant.

Examplesinclude:

• The design fails to control the catchment

• A servicing condition from the Notice of agreement was not met

• The supply of As-Constructed information was not in cccordance with the Survey Manual section

• The supplied insurance documents did not meet Central Highlands Water’s requirements

Inadditiontotheaboveexamples,aminornon-conformancecouldbecomeamajornon-conformancewhen:

• There are several cases of minor non-conformance

• The consultant fails to take corrective action for a minor non-conformance

• There are repeated occurrences of the same minor non-conformance

6.0 NON-COMPLIANCE


6.0 NON-COMPLIANCE

obseRVATIoN

A observation is a activity or action that could have a significant effect on the quality of the product during the construction phase of the project.

Examplesinclude:

• The grade of the pipe is incorrect

• Blatant breach of OH&S regulations

• Insufficient bedding material was used

• Rubber rings are missing at pipe joints

6.2CoNsulTANT’sRespoNsIbIlITyfoRNoN-ComplIANCe

Central Highlands Water will advise consultants in writing of the nature and extent of any detected non-compliance.

mINoRNoN-CoNfoRmANCe

Whenaminornon-conformancehasoccurred,theconsultantmust:

• Rectify the non-conformance

• Provide Central Highlands Water with written confirmation that the non-conformance has been investigated and rectified

• Provide Central Highlands Water with written evidence that steps have been taken to prevent any recurrence of the non-conformance

mAjoRNoN-CoNfoRmANCe/obseRVATIoNs

If there is the possibility that the major non-conformance or observation will continue, Central Highlands Water may order the suspension of works until the cause of the non-conformance/observation has been determined and rectified.

Theconsultantmust:

• Rectify the non-conformance/observation

• Provide Central Highlands Water with written confirmation that the non-conformance/observation has been investigated and rectified

• Provide Central Highlands Water with written evidence that steps have been taken to prevent any recurrence of the non-conformance/observation

• Conduct a comprehensive first party audit of the quality assurance system

For all cases of a major non-conformance/observation, Central Highlands Water reserves the right to conduct a quality assurance system audit before the consultant will be accepted for further agreements. Retrospective audits may be required if Central Highlands Water suspects that the non-conformance/observation has occurred previously.

Depending upon the nature of the major non-conformance, Central Highlands Water may require an intensive audit.


6.0

6.3INTeNsIVeAudITs

In an intensive audit, Central Highlands Water will adopt a role of quality control and inspect the works at predetermined points.

Intensive audits of works will be implemented where Central Highlands Water no longer has confidence in the consultant’s quality assurance system meeting the specified requirements.

Intensive audits will normally only cover those aspects of the agreement where the quality cannot be assured. For example, Central Highlands Water may implement an intensive audit of only the construction, if the design processes are functioning correctly.

Where non-conformance is widespread or significant enough to affect the quality of the entire agreement, Central Highlands Water will implement intensive auditing of all aspects of the works.

INTeNsIVeAudITCosTs

The owner is responsible for the cost of intensive audits. Intensive audit fees are detailed in the Guidelines and Pricing section of Central Highlands Water’s Land Development Manual.

NON-COMPLIANCE


Central Highlands Water7 Learmonth Road Wendouree VIC 3355PO Box 152 Ballarat VIC 3353P: 1800 061 514 F: 03 5320 3299E: [email protected]

Designed and printed in the Central Highlands region08-12-SD11

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