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Application FormPrequalification for Traffic Signal Construction and Reconstruction Contractors

Transport for NSW | June 2020

Application Form – Prequalification for Traffic Signal Construction and Reconstruction Contractors

Transport for NSWApplication Form

Prequalification for Traffic Signal Construction and Reconstruction Contractors

Information to Applicants

1. The conditions and guidelines are to be read by the Applicant prior to completing this Application Form, and form the basis of acceptance of this Application.

2. All items on this Application Form relevant to the Applicant's submission are to be completed, and all the relevant documents requested by Transport for NSW (TfNSW) are to be attached to this Form. Applicants may submit relevant documentation additional to that requested by TfNSW to support their application.

3. Where a yes/no option is provided, tick the appropriate response and proceed to the next item. Items not relevant to an Applicant's submission are to be marked "NA" (not applicable).

4. Failure to provide information requested in this Application Form will delay processing and may result in the application being returned to the Applicant.

1. Business name of Applicant in full (as used on tender submissions)

2. Applicant's office address in full

3. Applicant's postal address for correspondence (if different to item 2)

4. Applicant's contact person (include designation)

5. Telephone 6. Facsimile 7. Mobile

8. Email Address

9. Website Address

10. Company ACN or ABN

ACN or ABN

11. Registered name of Applicant in full (if different to item 1)

12. Registered address of Applicant in full (if different to item 3)

June 2020 Page 2 of 55


13. ATTACH a separate Declaration Form stating whether or not any company director or partner, or a business in which any company director or partner were involved, has ever been declared bankrupt, been wound up leaving unpaid creditors, been involved in a compromise or other arrangement with creditors, or had an administrator appointed.

14. If a company director / partner has been involved in a situation described in Item 15 above, provide details on the extent of indebtedness and the seriousness of the matter, the length of control the person exercised over the organisation concerned and the length of time that has elapsed.

15. Has the Applicant ever been declared bankrupt, entered into receivership, management agreement scheme or composition pursuant to the Bankruptcy Act or the Corporations Law?

Yes No

If yes, provide details on the extent of indebtedness and the seriousness of the matter, and the length of time which has elapsed.

16. Is your company a member of trades, contractors, engineering or other similar associations? If so, give particulars of membership.

17. Does your organisation hold a NSW Department of Fair Trading Electrical Contractors License?

Yes No

Licence No: Individual: Corporate:

Name of Individual or Corporation:

18. Have any adverse judgements (excluding minor fines or notices) been made against the Applicant for any breaches of or unlawful acts under legislation covering Workplace Health and Safety, Anti-discrimination, Fair Trading, Industrial Relations?

Yes No

If yes, state when and the circumstances resulting in the adverse judgements.

19. How many years experience in electrical installation and associated civil work has your organisation had?

As a contractor:

As a subcontractor:

Outline type of work done

20. ATTACH the following information about relevant current projects or those completed in the



past 5 yearsa) name and location of projects;b) description of work, indicate if QA Contract;c) project client;d) contract value;e) Superintendent or Client's Engineer, include name and contact telephone; andf) estimated or actual date of completion.

21. Has the Applicant, under any business name, ever failed to complete a contract?

Yes No

If yes, name the project, the Principal and state the circumstances

22. ATTACH information about the technical experience of the Applicant's key personnel includinga) names of personnel and their professional and technical qualifications;b) experience in relevant types of work, on which project and a brief description; andc) present designation and duration in the position.

23. ATTACH information about the plant / equipment available to the Applicant for contract work includinga) description of plant item, including model and capacity;b) quantity on hand;c) ownership or leasing details; andd) condition of plant, including year of manufacture.

24. ATTACH information about the plant / equipment the Applicant proposes to hire or lease for signal works includinga) description of equipment;b) hire/lease firm;c) equipment only; andd) equipment and operator.

25. ATTACH information about the type of activities the Applicant proposes to sub-contract in relation to traffic signal installation work includinga) description of activity andb) name of proposed sub-contractor.

Note: Contractors applying for prequalification must not sub-contract the main traffic signal installation activities. Sub-contracts must be restricted only to those activities that are ancillary to the main scope of works.

26. ATTACH information about the Applicant’s experience with work in public places where both vehicular and pedestrian traffic must be kept moving.

27. It is a condition of the Prequalification Scheme that prequalified contractors adhere to the NSW Government’s Supplier Code of Conduct.

Indicate that the above mentioned document has been sighted and understood.Supplier Code of Conduct Yes: No:



Financial Information To Be SubmittedNote: Where the Applicant is a trustee, the financial information is required for both the trust and

the trustee.

28. ATTACH a statement from the Applicant's bank or other financial institution advising ofa) branch and account name;b) overdraft facility;c) overdraft balance;d) guarantee facility;e) guarantees outstanding; andf) brief details of any other funding facilities available (term loans, commercial bills, or

letters of credit)

29. ATTACH audited Financial Statements (including notes) for the last 3 financial years includinga) trading account;b) profit and lossc) balance sheet;d) statement of cash flows;e) signed auditor's report; andf) signed director's report (where Applicant is a corporation).

NB: If audited statements cannot be provided, ATTACH signed taxation returns for the last 3 financial years together with the unaudited financial statements listed above. If the financial statements provided are more than 6 months old, the latest management accounts (trading account, profit and loss account and balance sheet) must also be provided. If management accounts are not available, the Applicant is to contact the Contracts Officer (see Section 4.1 of Guidelines and Conditions) for advice on alternative information.

30. ATTACH the Applicant's current year forecast cash flow statements including details of all assumptions used in the preparation of the statements.

31. ATTACH details of the Applicant's ageing of debtors receivable and creditors payablea) for 30 days and under;b) for 31 to 90 days; andc) for over 90 days.

32. ATTACH if applicable, details of any assignment of assets and any charges, both fixed and floating, over the entity's assets if the Applicant is a non-reporting entity (defined in the Australian Society of Certified Practising Accountants Handbook Vol.1 of Accounting Concepts 1 "Definition of the Reporting Entity").

33. ATTACH details of any significant changes in the nature of the Applicant's operations since its last balance date and any recent developments which are expected to substantially affect the operating results of the Applicant for the current financial year.



WHS Management System Requirements34. Is the Applicant’s corporate WHS system accredited by Transport for NSW (TfNSW)?

Yes: No:

If Yes, provide the date of WHS accreditation with TfNSW

If the WHS&R system has been accredited by another organisation, provide details of the organisation and the date accredited.

Organisation Date

35. Applicants must ATTACH a copy of the Applicant’s corporate WHS System Manual if the Applicant has not been accredited by TfNSW. Applicants are also required to indicate on Attachment 2 – WHS Management System Checklist appended to this form where in the Applicant's Corporate WHS System each item in the checklist is addressed.

36. Applicants must ATTACH copies of the following to demonstrate implementation of the WHS system:a) internal or 2nd/3rd party site system audits;b) project specific WHS system; andc) minutes of management review

Environmental Management System Requirements37. ATTACH a copy of a sample environmental management plan (EMP) that conforms to TfNSW

Specification G36.



Quality Management System Requirements38. Applicants are required to indicate on Attachment 1 - Quality Management System Q4

Checklist appended to this form where in the Applicant's Corporate System and Project Quality Plan each item in the checklist is addressed. The completed checklist is to be submitted together with the documents required below.

Documents to be Submitted

39. A copy of the Quality Manual and a copy of Procedures (including those referred to in the Quality Manual, Inspection Test Plan & Record Management Plan) that would normally be applicable to TfNSW projects to provide evidence that a quality system has been developed.

40. A copy of a Project Quality Plan from a recent traffic signal project to provide evidence that quality systems have been developed at a project level.

41. Copies of two recent internal audit reports; copies of a non-conformance register and a corrective action register from a traffic signal project to provide evidence that the quality system is being monitored at a project level.

42. A copy of a report from a 2nd or 3rd party audit carried out in accordance with AS 3911.1, of a project quality system appropriate to provide independent evidence of the implementation of the quality system at a project level.

43. Copies of minutes of the management reviews of the quality system (including a project quality system) from the previous six months to provide evidence of management commitment to the quality system.



44. The documents requested in this Application Form must be attached and labelled (tick if attached)

(13) Statutory Declaration form(20) Current and completed projects(22) Technical experience of key personnel(23) Available plant and equipment(24) Plant to be hired or leased(25) Activities to be sub-contracted(26) Experience working under traffic (pedestrian and vehicular)(28) Bank / financial institutions(29) Audited financial statements or unaudited statements and signed taxation returns(30) Current year forecast cash flow(31) Details of ageing of debtors and creditors(32) Assignment of assets and charges for non-reporting entities(33) Changes to Applicant's operations(35) Corporate WHS System, sample WHS plan, SWMS and TfNSW WHS checklist

(below) (36) Project audit, project WHS system and minutes of management review

(37) Sample EMP(38) TfNSW Quality Management System Q4 checklist (below)(39) Quality Manual, Procedures, Inspection Test Plan & Record Management Plan (40) Project Quality Plan from a recent traffic signal project(41) Internal audit reports, NCR and CAR(42) 2nd or 3rd party audit report (43) Minutes of management reviews

45. I have examined the TfNSW Specification TS101 and the associated drawings and I confirm that my organisation is capable of installing of reconstructing traffic light signals in accordance with the requirements of that specification.

46. I have read and agree to comply with the current guidelines and conditions for the TfNSW Prequalification Scheme for Traffic Signal Contractors. The information contained in this Application has been checked by me and, to the best of my knowledge, is accurate. I certify that all requested information has been attached to this Application.

Signed Designation Date

For the TfNSW Quality Management System Q4 checklist, the applicant shall provide the responses in the “Reference/Section” column for all the questions in the checklist. The applicant shall fill out the document name, Clause number and page number for assessment.

For the TfNSW WHS checklist, the applicant shall provide the responses for the questions under Site Safety Management Plan (1 to 6), 7.3 H3 Preventing Falls, 7.5 H5 Pedestrian & Vehicular Interaction, 7.7 H7 Electrical Safety, 7.8 H8 Traffic Control and 7.9 H9 Underground Utilities . The applicant shall fill out the document name, Clause number and page number in the “Reference/Section” column for assessment.

Both the Q4 and WHS checklists must be submitted in MS Word version for editing purpose.



Post to: Manager Policy, Systems & ProcessesCommercial, Performance and Strategy BranchInfrastructure & Place DivisionTransport for NSW20 – 44 Ennis RoadMilsons Point NSW 2061

or

Email to: [email protected]


mailto:[email protected]

mailto:[email protected]

Assessment of a Contractor’s Quality Management System (Q4/Partial ISO 9001:2008)

Attachment 4 – Assessment Report for

ISO 9001 Clause

Corporate Quality Management System Number of Nonconformities (1)

4.2.4 Control of Records

7.1 Planning of Product Realisation

7.2 Customer-related Processes

7.4 Purchasing

7.5.1 Control of Production and Service Provision

8.1 Measurement, Analysis and Improvement - General

8.2 Monitoring and Measurement

8.3 Control of Nonconforming Product

8.5.2 Corrective Action

TFNSW Q4 Clause

Project Quality Plan Number of Nonconformities (1)

4.2.3 Control of Documents

4.2.4 Control of Records

5.5 Responsibility, Authority and Communication

7.4 Purchasing

7.5 Production and Service Provision

8.1.1 Inspection and Test Planning

8.1.3 Inspection and Test Status

8.2 Monitoring and Measurement

8.3 Control of Nonconforming Product

8.5 Improvement

Note 1: Details of nonconformities are contained in the evaluation checklists

Conclusions: Is Contractor’s quality management system suitable for TFNSW accreditation? Yes/No

Assessor: Date:

RNIC-CP-15A4 Page 10 of 55Issue No: 3


Quality Management System Evaluation Checklist for

ISO/TFNSW

Q4 Clause

Requirement Reference / Section

Guide (1)

Finding(2)

4 QUALITY MANAGEMENT SYSTEM4.2.4 Control of RecordsISO 4.2.4 Is a procedure documented for identification, storage, protection, retrieval,

retention time and disposition of records needed to provide evidence of conformity in relation to project work and of the effective operation of the quality management system?

F [ ]TFNSW Q44.2.4

Does the quality system provide for preparation of a Records Management Plan (RMP) in accordance with Clauses E1 and E2 of TFNSW Q4, Annexure Q/E?

F [ ]TFNSW Q4 Annex Q/E

Does the RMP include procedures which address the requirements of Clause E1.3.1 for the following:

E1.3.1 (a) the systematic control of the creation, registration, indexing, filing, maintenance, storage, movement, retrieval and disposal of project records related to the Contract?

H [ ]E1.3.1 (b) providing to the Principal the information required under the Contract?

H [ ]E1.3.1 (c) submission and delivery of Identified Records as specified?

H [ ]E1.3.1 (d) disaster management plan in accordance with ISO 15489?

H [ ]E1.3.1 (e) providing a list of Identified Records relevant to the Contract which must be

progressively handed over to the TFNSW?H [ ]

TFNSW Q4

Is the RMP consistent with the PQP?

H [ ]7 PRODUCT REALISATION7.1 Planning of Product RealisationTFNSW Q4

Are documented procedures established for preparing Project Quality Plans and associated documents, including guidelines about how to determine project-specific requirements in accordance with ISO 9001 Clause 7.2.1?

F [ ]TFNSW Q4

Is a template Project Quality Plan included with the quality planning procedures which addresses specific TFNSW requirements?

F [ ]

1. Guide to Assessors: F = Accreditation withheld if rated “C”; G = Finding not considered for accreditation;H = Accreditation may be withheld if frequently rated “C”

2. Evaluation rating: A = Acceptable; C = Nonconformity – condition requiring corrective action;M = Marginal nonconformity or potential for improving guidelines/implementation




ISO/TFNSW

Q4 Clause


Guide (1)

Finding(2)

7.2 Customer-Related Processes ISO 7.2.1 Is a procedure established to determine the customer’s requirements, including

those specified, those not specified but necessary for the customer’s intended use, plus relevant statutory and regulatory requirements?

F [ ]Does the procedure:

ISO 7.2.2 require a review to be carried out, before submitting a tender, to check that customer’s tender documentation adequately defines the requirements of work under the Contract?

F [ ]ISO 7.2.2 require action to be taken to resolve any differences from requirements

previously expressed?F [ ]

ISO 7.2.2 require the review to include confirmation that the Contractor has the ability to meet the defined requirements?

F [ ]ISO 7.2.2 deal with changes to requirements and ensure that documents are amended

and personnel are made aware of the changes?F [ ]

ISO 7.2.3 deal with customer feedback, including customer complaints?F [ ]

7.4 Purchasing (may be addressed in PQP)7.4.1 Purchasing ProcessTFNSW Q4

Does the documented purchasing procedure provide for:

ISO 7.4.1 effective control over planning, placing orders and verifying purchased product and suppliers to ensure that specified requirements will be met?

F [ ]ISO 7.4.1 evaluating and selecting suppliers on the basis of their ability to meet

specified requirements?F [ ]

ISO 7.4.1 establishing criteria for selection, evaluation and re-evaluation of suppliers?F [ ]

ISO 7.4.1 maintaining records of the results of the evaluation process and any necessary actions arising from the evaluation process?

F [ ]7.4.2 Purchasing InformationTFNSW Q4

Does the purchasing information provide for the description of the product to be purchased, including, where applicable:






ISO/TFNSW

Q4 Clause


Guide (1)

Finding(2)

ISO 7.4.2 requirements for approval of product, procedures, processes and equipment?F [ ]

ISO 7.4.2 requirements for qualifications of personnel?H [ ]

ISO 7.4.2 the quality management system requirements?H [ ]

ISO 7.4.2 Does the purchasing procedure ensure the adequacy of specified purchase requirements before being communicated to the supplier?

F [ ]7.4.3 Verification of Purchased ProductISO 7.4.3 Does the purchasing information provide for the establishment and

implementation of inspection and other activities necessary for ensuring that purchased product meets the specified requirements?

F [ ]ISO 7.4.3 Does the purchasing information state the intended verification arrangements and

method of product release when performing verification at the supplier’s premises?

F [ ]

TFNSW Q4

Does the purchasing information provide a suitable method for the contractor to plan and implement surveillance and inspection of subcontractor’s operations to verify conformity with their quality management system and with specified product quality?

F [ ]7.5.1 Control of Production and Service Provision TFNSW Q4

Is a procedure documented which explains how to plan, document, implement and monitor the controlled conditions for each work process, including:

ISO 7.5.1 information that describes the product characteristics?F [ ]

ISO 7.5.1 the availability of work instructions, as necessary?F [ ]

ISO 7.5.1 the use of suitable equipment?F [ ]

ISO 7.5.1 the availability and use of monitoring and measuring devices?F [ ]

ISO 7.5.1 the implementation of monitoring and measurement?F [ ]






ISO/TFNSW

Q4 Clause


Guide (1)

Finding(2)

ISO 7.5.1 the implementation of release, delivery and post-delivery activities, as applicable?

F [ ]TFNSW Q4

special working environment aspects (when applicable)?

G [ ]

TFNSW Q4

competency and skills of personnel?

H [ ]TFNSW Q4

that processes will be monitored to ensure their continuing suitability?

G [ ]TFNSW Q4

records to be kept?

F [ ]TFNSW Q4

responsibility for implementing and monitoring process controls and rectifying any deficiencies?

F [ ]8 MEASUREMENT, ANALYSIS AND IMPROVEMENT (may be addressed

in PQP)8.1.1 Inspection and Test Planning TFNSW Q4ISO 8.1

Is a procedure established which explains how to plan and implement the monitoring, measurement, analysis and improvement processes needed to demonstrate conformity of all work?

F [ ]TFNSW Q4 8.1.1

Does the procedure state who is responsible for receiving, in-process and final inspection and testing for all work activities and for closing out Work Lots?

F [ ]TFNSW Q4 8.1.1

Does the documented procedure include a method for final review of all inspection/test results to confirm that all inspections and tests have been carried out to completely verify conformity for each Lot?

F [ ]Do template ITP and/or ITP forms indicate:

TFNSW Q4 8.1.1 (a)

who performs the inspection or test and at what stage of the work?

F [ ]






ISO/TFNSW

Q4 Clause


Guide (1)

Finding(2)

TFNSW Q4 8.1.1 (b)

how the inspection or test is to be carried out and recorded? (e.g. as a documented testing procedure or by reference to a Standard test method)

H [ ]TFNSW Q4 8.1.1 (c)

the acceptance criteria and frequency of inspection and testing? (The details for the acceptance criteria and frequency of testing must replicate the nominated requirements of the Specifications. Reference to a specification clause alone is unacceptable)

F [ ]TFNSW Q4 8.1.1 (d)

who reviews inspection/test results, evaluates whether work conforms, determines what to do next if work does not pass a required inspection or test, and closes out Work Lots?

F [ ]

TFNSW Q4 8.1.1 (e)

when statistical analysis of test results is required? (refer TFNSW Q4 Clause 8.2.4)

H [ ]TFNSW Q4 8.1.1 (f)

when control of nonconformity is addressed (refer TFNSW Q4 Clause 8.2.4.2) and for closing out work lots? (refer TFNSW Q4 Clause 8.2.4.3)

H [ ]TFNSW Q4 8.1.1 (g)

a method for, and who performs, final review of all inspection/test results to confirm that all inspections and tests have been carried out to completely verify conformance for each Lot?

F [ ]TfNSW Q4 8.1.1 (h)

the time limits for testing, time constraints for submission, and Hold and Witness Points that are nominated in the Specifications?

H [ ]TfNSW Q4 8.1.1 (i)

the requirements of TfNSW Q4 Clause 7.5.3 for Identification and Traceability and the sampling methods as required by TfNSW Q4 Clause L1?

H [ ]8.2 Monitoring and Measurement8.2.4.3 Close-out of Work Lots and Release of ProductsTfNSW Q4 8.2.4.3ISO 8.2.4

Does the procedure include a method to hold products until they have passed final review of inspection and testing?

F [ ]8.3 Control of Nonconforming Product






ISO/TFNSW

Q4 Clause


Guide (1)

Finding(2)

ISO 8.3 Is a documented procedure established which describes the controls and responsibilities to ensure that product which does not conform to requirements is identified and controlled to prevent its unintended use or delivery?

F [ ]Does the procedure provide for the organisation to deal with nonconforming product by:

ISO 8.3 taking action to eliminate the detected nonconformity?H [ ]

ISO 8.3 authorising its use, release or acceptance under concession by a relevant authority and, where applicable, by the customer?

H [ ]ISO 8.3 taking action to preclude its original intended use or application?

H [ ]TfNSW Q4 8.3

ensuring submission of Nonconformity Report within 2 working days to Principal if repairs or concessions are proposed?

H [ ]

TfNSW Q4 8.3

ensuring that reworked and repaired products are re-inspected and re-tested to demonstrate conformity to the requirements?

F [ ]ISO 8.3 ensuring records are maintained of the nature of nonconformities and any

subsequent actions taken, including concessions obtained?G [ ]

ISO 8.3 allowing for the organisation to take action appropriate to the effects, or potential effects, of the nonconformity when nonconforming product is detected after delivery or use has started?

G [ ]TfNSW Q4

Has a standard form been prepared for use as a Nonconformity Report?

G [ ]8.5 Improvement8.5.2 Corrective ActionISO 8.5.2 Is a documented procedure established which describes the action that will be

taken to eliminate the cause of nonconformities in order to prevent recurrence?F [ ]

Does the procedure define requirements for:ISO 8.5.2 reviewing nonconformities (including customer complaints)?

H [ ]ISO 8.5.2 determining the causes of nonconformities?






ISO/TFNSW

Q4 Clause


Guide (1)

Finding(2)

H [ ]ISO 8.5.2 evaluating the need for action to ensure that nonconformities do not recur?

H [ ]ISO 8.5.2 determining and implementing action needed which is appropriate to the

effects of the nonconformities encountered?H [ ]

ISO 8.5.2 recording the results of action taken?H [ ]

ISO 8.5.2 reviewing the effectiveness of the corrective action taken?H [ ]





Project Quality Plan Evaluation Checklist for

ISO/TfNSW Q4

Clause


Guide (1)

Finding (2)

4.2 QUALITY MANAGEMENT SYSTEM4.2.3 Control of Documents ISO 4.2.3 Are all documents in the PQP identified and revision status shown?

F [ ]ISO 4.2.3 Does the PQP describe how changes to project documents are identified?

F [ ]4.2.4 Control of RecordsQ4 4.2.4 Does the PQP describe how the quality records shown in Annexure Q/E will be

stored and maintained so that they are readily retrievable, in facilities that provide a suitable environment to minimise deterioration or damage, and to prevent loss of the records?

F [ ]5 MANAGEMENT RESPONSIBILITY5.5 Responsibility, Authority and Communication5.5.1 Responsibility and AuthorityQ4 5.5.1 Does the PQP nominate the person responsible on site for key construction

activities?F [ ]

Q4 5.5.1 Does the PQP list the responsibilities and authorities of personnel for: receiving, in-process and final (or acceptance) inspection and testing?

H [ ] identifying/recording quality problems?

H [ ] initiating/recommending solutions through designated channels?

H [ ] ensuring corrective action is implemented and effective?

H [ ] controlling further processing/delivery/installation of nonconforming product

until deficiencies or unsatisfactory conditions have been corrected?F [ ]

controlling monitoring and measurement devices?H [ ]

5.5.2 Management RepresentativeDoes the PQP:

Q4 5.5.2 nominate the Management Representative with corporate responsibility for enacting ISO 9001 Clause 5.5.2?

F [ ]






ISO/TfNSW Q4

Clause


Guide (1)

Finding (2)

Q4 5.5.2 nominate the Project Quality Representative?F [ ]

Q4 5.5.2 indicate the relationship between the Project Quality Representative and the Management Representative? (only applies where the Project Quality Representative is not the Management Representative)

F [ ]

7 PRODUCT REALISATION7.4 Purchasing7.4.1 Purchasing ProcessQ4 7.4.1 Does the PQP:

apply the corporate purchasing procedure to the project?F [ ]

require the Contractor to evaluate subcontractor’s capability and record the results of the evaluation where subcontracted work involves work processes that require process validation?

F [ ] document how the subcontract requirements identified in Annexure Q/F will

be included in subcontracts and purchase orders whenever they apply?F [ ]

7.4.2 Purchasing InformationQ4 7.4.2 Does the PQP provide for subcontractor work process control documentation to

be included (when applicable)? H [ ]

7.4.3 Verification of Purchased ProductQ4 7.4.3 Does the PQP include the methods of surveillance that will be implemented for

subcontracted work (when applicable)? F [ ]

7.5 Production and Service Provision7.5.1 Control of Production and Service ProvisionQ4 7.5.1 Does the PQP apply the corporate procedure on control of production and service

provision to the project? F [ ]

Q4 7.5.1 Does the PQP include work process control documentation for work processes covered by the Specifications? (Note: documentation for the main work processes is sufficient)

F [ ]Q4 7.5.1 Does the PQP define responsibility for implementing and monitoring process

controls and rectifying any deficiencies? F [ ]






ISO/TfNSW Q4

Clause


Guide (1)

Finding (2)

7.5.2 Validation of Processes for Production and Service ProvisionQ4 7.5.2 Does the PQP identify work processes, including subcontracted work, where

resulting output cannot be fully verified by subsequent monitoring and measurement in accordance with ISO 9001 Clause 7.5.2?

F [ ]7.5.3 Identification and TraceabilityQ4 7.5.3 Does the PQP describe how identification and traceability will be dealt with in

accordance with ISO 9001 Clause 7.5.3?F [ ]

Q4 7.5.3 Does the PQP describe the method(s) for subdividing work into Lots or discrete work areas and for allocating Lot numbers, including identifying all samples and test results with the field location to which they relate?

F [ ]Q4 7.5.3 Does the PQP describe how traceability of materials specified in Annexure Q/G

will be maintained (where appropriate)?F [ ]

8.1 Measurement, Analysis and Improvement 8.1.1 Inspection and Test PlanningQ4 8.1.1 & Q4 7.4.2

Are ITPs (and associated ITP forms) included for all inspection and testing required by the Specifications, including subcontracted work? (Note: for a prequalification application, documentation for the main activities is sufficient)

F [ ]Q4 8.1.1 Do ITPs include adequate details according to Q4 Clause 8.1.1 (a)-(i)?

F [ ]Q4 8.1.1 Do ITPs adequately address the inspection and testing requirements for the

supplied product before it is used in the Works (Receiving Inspection)?F [ ]

Q4 8.1.1 Do ITPs adequately address the inspection and testing requirements for the product during construction of the Works (In-Process Inspection and Testing)?

F [ ]Q4 8.1.1 Is responsibility defined for final review of all inspection/test results to confirm

that all inspections and tests have been carried out to completely verify conformity for each Lot (Final Inspection and Testing)?

F [ ]






ISO/TfNSW Q4

Clause


Guide (1)

Finding (2)

8.1.3 Inspection and Test StatusQ4 8.1.3 Does the PQP describe the method for identifying and controlling the inspection

and test status of all product and work under the Contract, including product and work which is incorporated in the Works prior to being verified as conforming?

F [ ]

8.2 Monitoring and Measurement8.2.4 Monitoring and Measurement of ProductQ4 8.2.4 Does the PQP have provision to show whether each product or Work Lot has

received the frequency of testing required by the Specifications? F [ ]

Q4 Annex Q/L2

Are NATA-accredited personnel and laboratories used for sampling and testing, (including selection of locations) when required?

F [ ]Q4 8.2.4.1 Does the PQP describe the method of release of Hold Points?

F [ ]Q4 8.2.4.2 Do ITPs have provision to show or reference the actual results obtained for any

inspection and/ or test?F [ ]

Q4 8.2.4.3 Does the PQP include an effective method for traceability/closure for any Work Lots that may have to be covered up before the results of all conformity tests are known?

F [ ]8.3 Control of Nonconforming ProductQ4 8.3 Does the PQP make provision to apply the corporate nonconformity procedure,

including the additional requirements of TfNSW Q4 Clause 8.3?F [ ]

Q4 8.3 Does the PQP document a method to ensure submission of Nonconformity Reports within 2 working days of detection of the nonconformity?

H [ ]8.5 Improvement8.5.2 Corrective ActionQ4 8.5.2 Does the PQP make provision to apply the corporate corrective action procedure?

F [ ]




TfNSW Contractor WHS Site Specific Plan Assessment

Introduction

Project Contractor

Location Contract No.

TfNSW Representative Project Manager

Project Brief Description

Reviewer Title

Signature Date Contact

CONTRACTOR SITE SPECIFIC SAFETY PLAN ASSESSMENT SUMMARY

PREQUALIFICATION/ REGISTRATION RECOMMENDED: YES / NO

FURTHER DETAIL REQUIRED: YES / NO

Review of XXXXXX Site Safety Management Plan. Reviewed on XX/XX/20XX Page 22 of 55

Summary of the Elements of the TfNSW WHS Site Specific Plan Assessment

Element Descriptor Level of Standards to be ObtainedThe Organisation shall ensure that:

1 Statement of Responsibilities

Responsibilities, accountabilities and commitment to Work Health and Safety (WHS) and resources to implement and verify the system are established and documented.

2 Risk Management Processes are established to ensure that WHS hazards are identified, assessed and controlled using mechanisms such as Risk Control Plans, Safe Work Method Statements and Hazardous Task and Hazardous Substances (Risk Management) procedures.

3 Safe Work Method Statements

Safe Work Method Statements are developed for the range of hazardous tasks associated with the project.

4 Communication Consultation and Training

Procedures are established for sharing relevant WHS information with workers and service providers and for receiving feedback from such communications. Processes are also in place to ensure that resources are allocated to identify and provide for the training needs of personnel.

5 Emergency and Incident Management

Procedures are established for inter-site and external emergency communications, emergency organisation and contingencies, key personnel accountabilities, the reporting of accidents and incidents including the implementation of corrective action and the effective management of injuries and rehabilitation.

6 Site Safety Rules Effective Site Safety Rules are developed and communicated to all workers, service providers and visitors to the work site(s).

7 Site Specific Hazard Management Tools

Hazards specific to the project in question are managed to minimum standards.


Identified Site Specific Hazards

HazardPlan Section

Reference Proposed Control/sSection Page

1


Summary of Findings1

Recommendations1


Acceptable Require Attention NA Not Applicable Version 2

Seven Element Desktop Assessment of XXXXXXXX Site Safety Management Plan

The Site Safety Management Plan should contain the minimum provisions of allocation of responsibilities, effective risk assessment, consultation and emergency contingency planning, as articulated within the NSW WHS Regulation 2011.

1. Statement of Responsibilities

Question Does the Site Safety Management Plan define who will be responsible for:Findings Reference / Section

Identifying hazards and assessing risks, and documenting the risk control measures to be taken?

Managing compliance with WHS and injury management regulations, standards, codes, SWMSs and site safety rules?

Assessing and monitoring the capability of goods and service providers in the supply chain, and verifying they consistently meet WHS requirements?

Providing service providers with the Site-specific Safety Management Plan?

Displaying Site Safety Rules and ensuring they are available to all persons on the site?

Managing WHS communication and consultation on the work site?

Conducting site-specific induction(s)?



Ensuring all personnel has attended general and site specific work activity WHS training before starting work on site?

Preparing, maintaining and making available the hazardous chemicals / dangerous goods register?

Managing injuries on the site?

Maintaining first aid stocks and providing first aid?

Keeping WHS records?



2. Risk Management

Question Does the Site Safety Management Plan contain clearly defined procedures and provisions for the:Findings Reference / Section

Identification of hazards on site including consideration of manual and material handling, hazardous tasks, confined spaces, excavations, heights, underground and overhead utilities and working with fixed and mobile plant and vehicles, hazardous substances and dangerous goods, where applicable?

Assessment of the risks for each hazard and/or hazardous activity?

Selection of the most effective risk control measures aligned to the hierarchy of controls?

Inspection of the worksite, utilised plant and equipment using standard hazard checklists before commencing work at the site?

Monitoring the effectiveness of risk controls through direct observation or inspection of the task or work area?

Work of a hazardous nature and High Risk Construction work to be undertaken with reference to SWMS - Safe Work Method Statements?

Safe handling, storage and use of plant and substances?

Assessment of other Service Provider SWMSs when engaged on site?



3. Safe Work Method Statements (SWMS)

Question Do SWMSs:Findings Reference / Section

Include a description of the work to be undertaken?

Identify the work that is high risk construction work according to Clause 299 WHS Regulation 2011?

Specify the hazards associated with the activity, job or tasks?

Describe the measures to be implemented to control the risks?

Describe how measures are to be implemented, monitored and reviewed?

Include the step-by-step sequence of activities and tasks involved in doing the work?

Identify the relevant legislation, regulations, codes, standards and procedures applicable to the work?

List the names and qualifications of those who will supervise the work and also those who will inspect and approve work area conditions, work methods, protective measures, plant, equipment and power tools that are to be used?

Include a description of what training is given to people involved with the work?

Include details of any WorkCover permits, certificates and/or licences required to complete the work?



Include details of the inspection and maintenance checks that will be, or have been carried out on the plant and equipment listed for use?



4. Communication, Consultation and Training


Effective consultation with all workers and duty holders prior to decisions affecting health and safety?

Identification of WHS training needs of management, supervisors and other personnel?

Induction and safety training for all personnel on the work site, including general and site specific induction training and task based training before starting work and refresher training where appropriate?

Delivery of any statutory prescribed consultation training including any required training for WHS Representative(s)?

Keeping of training records? Appropriate supervision of personnel? Supply of the Site Safety Management

Plan to Service Providers when engaged on site?



5. Emergency and Incident Management


Consideration of possible emergency scenarios?

An effective means of communication of incidents/accidents to emergency services and relevant authorities?

Participation in emergency drills?

A list of key personnel including emergency services, business and after hours contact numbers?

The documenting and reporting of injuries and near miss incidents?

The presence of a first aid kit onsite?

The presence of a trained first aid officer onsite?



6. Site Safety Rules

Question Does the Site Safety Rules contain provisions for the:Findings Reference / Section

Safe access and egress to the work site and safe movement of vehicles and people on the work site with a plan for the separation of people on foot and plant?

Escorting of visitors by inducted persons while on the work site?

Wearing by personnel and visitors of appropriate personal protective equipment (PPE) when on the work site?

Use of First Aid facilities and illness/injury and emergency procedures, including the reporting and recording of illness/injury and incidents?

Effective protection for workers and the public, including barricades, fencing and overhead protection where applicable?

Identification of the location of the hazardous chemicals / dangerous goods register?

Prohibition of the consumption of alcohol and illegal drugs on the worksite?

Maintenance of effective housekeeping within the worksite?



7.1. Site Specific Hazard Management Tool (H1) – Manual Handling

‘Manual Handling’ is defined as any activity requiring the use of force or exertion by a person to lift, lower, push, pull, carry or otherwise move, hold or restrain any animate or inanimate object. Where manual handling is undertaken on site there should be a documented procedure that satisfies the minimum provisions articulated within the NSW WHS Regulation 2011.

Question Concerning the Manual Handling Procedure, does the procedure outline how:Findings Reference / Section

Assessments of potential for injury arising from manual handling tasks, including potential injury from new work methods and equipment shall be undertaken?

The effectiveness of manual handling risk controls shall be monitored?Assessments undertaken shall involve: Analysis of workplace injury records? Consultation with workers and all other duty holders? Direct observation or inspection of the task or work area? Known risk factors, including those listed in the Hazardous Manual Tasks

Code of Practice (2012) and Chapter 4, WHS Regulation 2011 shall be considered in the assessment of manual handling tasks? (These risk factors include: actions and movements, workplace and workstation layout, working posture, duration and frequency, location of loads and distances moved, weights and forces etc)?

Manual handling tasks shall be redesigned to eliminate or control the risk factors?

Personnel shall be trained in safe manual handling techniques, and retrained when new work methods or equipment are introduced into the workplace?

Where risk factors are identified and redesign is not practical, the following shall be provided and workers trained in use: Mechanical aids and/or

Personal protective equipment and/or Arrangements for team lifting?



7.2. Site Specific Hazard Management Tool (H2) – Use, Installation, Inspection and/or Repair of Plant

‘Plant’ is defined as any machinery, equipment or appliance. Where plant is utilised on site there should be a documented procedure that satisfies the minimum provisions articulated within the NSW WHS Regulation 2011

Question Concerning the Procedure on Plant, does the procedure outline how:Findings Reference / Section

The identification of foreseeable hazards from the operation of plant/equipment shall incorporate the following considerations:

Contact or entanglement with the machinery or materials?

Being trapped between the machine and any material or fixed structures?

Being struck by ejected material from the machinery?

Noise and vibration from the machinery?

Release of potential energy?

Separation of mobile plant and people on foot?

The design limitations of the plant shall be assessed, with regard to the intended use of the plant?

Work with lasers shall be undertaken in compliance with Clause 223 WHS Reg 2011?

Cranes to have a risk assessment that identifies the operations to be performed including a movement plan, compliance of lifting equipment, attachments and slings and load capacity?

The history of unsafe incidents or adverse health effects involving the plant/equipment shall be investigated and control responses applied?

The consequences of reasonably foreseeable misuse or malfunction shall be assessed?



A schedule of inspection, maintenance, repair and cleaning for all plant / equipment shall be implemented?

Records shall be kept of inspection, maintenance, repair and cleaning of plant / equipment?

Risk assessments shall be carried out on any modification to plant/equipment and the results of the risk assessment taken into account in the final modification?

All operators of plant/equipment shall receive appropriate training, hold certificates of operation where required, and have demonstrated their competence to operate the plant/equipment to the satisfaction of the contractor?

Records shall be kept to show that all operators have received appropriate training and instruction?



7.3. Site Specific Hazard Management Tool (H3) – Preventing Falls

The WHS Regulation 2011, Part 4.4 requires that persons are protected from the risk of falls.

Question Concerning the Procedure on the Prevention of Falls, does the procedure outline how:Findings Reference / Section

Site security in the form of perimeter fencing and signage shall be used according to the requirements of Clause 298, WHS Reg 2011?

A risk assessment shall be undertaken to control risks to people below the immediate work area as required in Clause 55 WHS Reg (Does it for example describe how provision shall be made to catch falling objects and barricade work areas to prevent public access, etc)?

A risk assessment is undertaken to determine any work with the risk of falling 2 meters and that the work has a SWMS (as described in Part 6.3, Div 2 WHS Reg, for high risk construction work)?

If there are no practical alternatives to preventing falls, fall protection devices shall be provided?

Contractors shall possess the appropriate training, competence and experience prior to the commencement of work with a risk of fall of 2 or more meters?

A firm level surface below the work area including the perimeter shall be prepared to facilitate the use of scissor hoists or rolling scaffold where these items of plant shall be used?

The work area shall be inspected prior to the commencement of work to ensure that all platforms and surfaces are stable and structurally sound?

Portable ladders are only used for access and egress, where no other options are practicable and then only as short term solution?

Personal protective equipment shall be used to combat the risk of falling objects, glare, thermal stress, noise and other physical hazards where encountered while working at height?



Equipment used for accessing elevated works are regularly checked and maintained to a safe condition and where applicable have the required certificates e.g. scaffolds?

Specific risk areas shall be clearly signposted?

Relevant legislative requirements, regulations, Codes of Practice and Australian Standards shall be taken into consideration when selecting and using the appropriate fall arrest devices, safety mesh, scaffolding safety nets and guardrails, etc?



7.4. Site Specific Hazard Management Tool (H4) – Confined Spaces

Where tasks are undertaken in or near confined spaces on site there should be a documented procedure that satisfies the minimum provisions articulated within Part 4.3, NSW WHS Regulation 2011.

Question Concerning the Confined Spaces Procedure, does the procedure outline how:Findings Reference / Section

To comply with Part 4.3, WHS Regulation and demonstrate how to ensure safe + effective planning and supervision of work involving confined space entry?

A risk assessment and a SWMS will be conducted, in consultation with workers, for all hazards associated with entering the confined space, performing the planned work and for an emergency response?

A physical barrier is erected around the space to prevent unauthorised entry where practicable?

All hazardous activities including and not limited to hot works, hazardous chemicals and operating plant in or near the confined space have been identified, assessed and controlled?

A confined space entry permit is required to enter as articulated in Cl 67 WHS Reg?

The identification and nature of the substances last contained in the confined space shall be determined?

Air monitoring has been conducted and recorded (as required) for safe levels of oxygen and for flammable gases and vapour?

Rescue equipment for all persons likely to enter the confined space has been assessed?

Cleaning will be managed in the confined space?

Arrangements for rescue, first aid and resuscitation shall be implemented?

Those entering confined space and stand by person have completed nationally recognised confined space training?



The soundness and security of the overall structure and the need for illumination and visibility shall be assessed?

When conditions change the risk assessment, controls and SWMS are reviewed and the changes communicated?

The relevant Legislation, Regulations, Codes of Practice and Australian Standards been be taken into consideration when undertaking confined space work?

Personnel shall be assessed for aptitude and fitness for task and confined space entry?

Personnel shall be trained in and received specific site induction for:Emergency exit and entrance procedures, use of applicable respiratory protection devices, first aid including cardio-pulmonary resuscitation (CPR), lockout procedures, safety equipment use, rescue drills, fire protection, communications.

The selection, training and competencies of the persons required as stand by person outside the space are to:

Maintain equipment essential for the confined space task?

Ensure adequate communication with and observation of the persons within the confined space?

Properly initiate rescue procedures?



7.5. Site Specific Hazard Management Tool (H5) – Pedestrian and Vehicular Interaction

Question Concerning the Pedestrian and Vehicular Interaction Procedure, does the procedure outline how:Findings Reference / Section

A worker on foot plan is in place. Includes exclusion zones and safe pedestrian access routes?

Volume and type of traffic shall be considered, to determine the amount of road and/or footpath space which must remain open and, where applicable, the times of day when greater amounts of space are required, including the following types of traffic:

Pedestrians – including disabled persons?

Bicycles?

School children?

Emergency vehicles?

Buses and light rail, including stops and terminals?

Over-dimensional vehicles?

Type of traffic routing required shall be assessed?

Type of traffic control required shall be determined as per the requirements of the TfNSW Traffic Control at Work Sites Manual?

Traffic control requirements shall be determined for intermediary arteries?

Requirement to use police or TfNSW personnel to institute diversions shall be determined?

Impact on any main arterial roads shall be assessed?



Traffic impact shall be assessed for work undertaken in proximity to traffic lights?

Requirements for special lighting shall be determined?

Positioning of cones and early warning signs shall be considered?

Training shall be provided to personnel working on roads, including:

Wearing the appropriate personal protective and safety equipment?

Being properly located?

Communicating effectively?

Assessing changes in traffic patterns?

Knowing what to do in an emergency?

Requirements for records shall be maintained concerning the:

Installation, alteration and removal of all regulatory signs and devices, including speed restriction signs?

Hours of operation and the surface conditions?



7.6. Site Specific Hazard Management Tool (H6) – Hazardous Substances and Dangerous Goods

The procedures must incorporate the documentation and classification of hazardous chemicals and dangerous goods in terms of general safe storage and handling requirements, safety data sheets (SDS) and purchasing requirements in accordance with the NSW WHS Regulation 2011.

Question Concerning the Hazardous Substances (HC) and Dangerous Goods (DG) Procedure, does the procedure outline how:Findings Reference / Section

All HC and DG on site shall be identified and included in a register that is accessible?

Safety Data Sheets (SDS) that are current shall be obtained for all HC and DG in use?

The risks associated with the use of HC and DG shall be assessed and the results documented?

Recommended risk control measures for HC and DG shall be developed and safe systems of work implemented and documented?

Those who may use or be exposed to HC and DG are trained in the nature of the hazards and means of controlling the hazard?

HC and DG are correctly labelled with the name and with appropriate health and safety information?

All HC and DG are correctly stored and according to Chapter 7 and Schedule 11, NSW WHS Reg 2011 and to Managing Risks of Hazardous Chemicals Code of Practice? (e.g. bunded / well ventilated are/ incompatible substances separated / not exposed to the weather)

Manifest quantities will be managed and notified to WorkCover according to requirements of Chapter 7, NSW WHS Reg 2011?

New substances are to be safely introduced to the workplace?

Spill kits will be provided and clean-up procedures implemented?



Health surveillance is provided where required and records maintained. A competent person is appointed to do health surveillance checks under the supervision of authorised medical staff?

Emergency procedures are established and documented to prevent fire or explosion and control risks due to escape or spillage of HC and DG?

Regular emergency drills shall be scheduled and undertaken?

HC and DG shall be disposed of appropriately, in compliance with environmental laws?

An inspection/auditing process shall be in place which monitors the control of HC and/or DG, and which reviews whether SDSs are up to date?



7.7. Site Specific Hazard Management Tool (H7) – Electrical Safety

The procedure must incorporate the application of the WHS Regulation 2011 and relevant electrical Codes of Practice and AS/NZS 3012:2010 Electrical Installations on Construction and Demolition Sites.

Question Concerning the Electrical Safety Procedure, does the procedure outline how:Findings Reference / Section

A program is in place for regular inspection and testing of electrical installations and equipment including cords and carried out by suitably qualified persons in accordance with AS3760 and Part 4.7 NSW WHS Regulation 2011?

An Electrical Register identifying all electrical equipment, evaluating compliance and the results of testing is maintained?

A SWMS is used for all tasks involving interaction with electricity?

Effective control measures have been implemented to eliminate or minimise exposure to electrical energy?

Workers who work with or in the vicinity of electrical hazards receive training on the nature of the hazards and methods of control?

An “Electric Shock Response” protocol has been developed, documented and communicated to those exposed to the risk?

Any live electrical work is authorised and in the presence of a safety observer who is qualified and competent for the task, electrical rescue and cardiopulmonary resuscitation?

The isolation point of the relevant electrical supply has been clearly identified, and easily accessed and operated quickly?

All switches on electrical equipment are correctly identified?

Adequate signage will be used to warn of electrical hazards and/ or restrict access to the area?



All circuits and electrical equipment are protected by an RCD device which is tested monthly?

All electrical leads are kept off walkways and raised off the ground away from water/ corrosives/heat/ friction and other forms of physical damage?

Inspections will identify obvious signs of damage to electrical equipment, signs of water exposure, damage or incorrectly replaced covers and damage or alterations to buildings that may expose an electrical risk?

All defective electrical equipment, tools or cords are tagged ‘Out of Service’?



7.8. Site Specific Hazard Management Tool (H8) – Traffic Control

Question Concerning the Traffic Control Procedure, does the procedure outline how:Findings Reference / Section

A traffic control plan shall be developed which is compatible with requirements set out in sections 4 and 5 of the TfNSW manual ‘Traffic Control at Work Sites’?

The traffic control plan shall be relevant for the work?

Traffic control is designed, modified and controlled by persons trained to the TfNSW requirements?

The following issues shall be considered:

Appropriate sign sizes?

The need for pairs of signs?

The need to use portable traffic signs?

The need to use flashing arrow signs?

The need to use Traffic Controllers?

Work site speed limits shall be in place?

A Vehicle movement plan shall be developed and implemented?

Signs and devices shall be installed in accordance with the traffic control plan?

Any contradictory, distracting or superfluous signs or markings shall be identified?

Signs shall be suitably placed with regard to:

Sight distance?



Motorists approaching at high speed?

Queue lengths?

Visibility, shade, light glare?

Signs displayed shall be appropriate for the current conditions?

Only undamaged or non-defective signs shall be used?

The needs of pedestrians shall be considered?

The needs of cyclists shall be considered?

The requirements for safety barriers shall be considered?

Safety barriers shall be installed correctly?

Access to adjoining properties shall be provided?



7.9. Site Specific Hazard Management Tool (H9) – Gas, Liquid and Electrical Underground Utilities

Question Concerning the Underground Utilities Procedure, does the procedure outline how:Findings Reference / Section

Plans and other relevant information about the underground utilities shall be obtained from ’Dial Before You Dig’?

A site survey shall be undertaken to identify surface indicators of utilities?

Suitable cable and pipe locating devices shall be used to confirm the position of the utilities (remember these devices can’t detect plastic pipes)?

Persons locating underground utilities are trained in the operation of the locating devices?

Information concerning the location of utilities shall be given to the responsible supervisor or contractor at the work site?

The position of underground utilities shall be marked on the surface?

The location of utilities shall be plotted on the work area plan?

The relevant authorities shall be notified of any inconsistencies between the information they provided and the actual location of the utilities?

Onsite assistance shall be sought from the relevant authorities if utilities cannot be located according to the plans provided?

Persons involved in the work shall be trained in controlling risks associated with underground utilities in the vicinity of work sites?

Safe work method statements shall be developed for working near underground utilities and how workers shall be trained in the requirements of these work methods?

Manual tools shall be used to dig trial holes to positively identify position of the utilities?



Power tools and mechanical excavators shall be used with care and at a safe distance from the utilities?

All workers shall be kept clear of the excavator bucket while digging work is conducted in the vicinity of utilities?

During excavations work is undertaken in accordance with WorkCover Guide ‘Work Near Underground Assets’ and a watch kept for evidence of cables not previously identified?

Underground utilities near machine excavation have been positively identified through potholing with non- conductive tools and a competent safety observer is in place?

Approval from the asset owner has been obtained for excavations within 10m of Single Wire Earth Return transformer poles?

If heavy plant is required to cross an area where underground utilities are known to exist, the cross points shall be kept to a minimum and shall be clearly marked?



7.10. Site Specific Hazard Management Tool (H10) – Overhead Utilities

Question Concerning the Overhead Utilities Procedure, does the procedure outline how:Findings Reference / Section

Staff involved in the work shall be trained in controlling risks associated with overhead utilities in the vicinity of work sites?

Safe work method statements shall be developed following risk assessment for working near overhead utilities and workers shall be trained in the requirements of these work methods?

Plans and other relevant information about the overhead utilities shall be obtained?

A site survey shall be carried out to identify the precise location of overhead utilities and the location of overhead utilities shall be plotted on the work area plan?

Information concerning the location of utilities shall be given to the responsible supervisor or contractor at the work site?

The relevant authorities shall be notified of any inconsistencies between the information they provided and the actual location of the utilities?

The possibility shall be considered to have the supply authority de-energise the overhead lines while work is being carried out in the vicinity?

Only qualified personnel shall be allowed to operate plant and equipment near overhead utilities? In this case personnel who have completed a ‘Crane and plant electrical safety’ course conducted by a suitably industry experienced trainer with an approved RTO?

An observer shall be present to watch the operation of the plant and equipment at all times while it is being operated in the vicinity of overhead utilities?

All plant and equipment to be used in the vicinity of overhead utilities shall be appropriately insulated?



The minimum working distances specified in NSW COP 2006 Working Near Overhead Powerlines for unauthorised persons shall be complied with: 8m for > 330kV, 6m for >132kV but < 330kV, 3m for < 132kV?

Allowance shall be given to variations in the sag of the line at different times of the day?

Allowance shall be given to the sway of the lines, particularly if wind conditions change during the work period?

The supply authority shall be told when work in the vicinity of overhead utilities has been completed and a record of the notification shall be kept?



7.11. Site Specific Hazard Management Tool (H11) – Excavation

Excavation is defined to include the excavation or filling of trenches, ditches, shafts, drifts, rises, wells, tunnels and pier holes or work involving the use of caissons and cofferdams or any similar work involving excavation depths greater than 1.5 metres.

Question Concerning the Excavation Procedure, does the procedure outline how:Findings Reference / Section

The nature and condition of the ground or working environment and all foreseeable hazards arising from the excavation work shall be subject to a risk assessment, in particular:

The possibility of the fall or dislodgement of earth/rock or other materials?

The instability of the excavation or adjoining structure?

The in rush of water (or any other substance e.g. sewer)?

The placement of excavated material?

Instability due to person or plant working adjacent to the excavation?

Contact with overhead utilities?

Effect of mobile plant on the stability of the excavation?

Contact with persons or other machinery?

Ejection of material?

Possibility of overturning?

The possibility of the excavation becoming a confined space?

Procedures will demonstrate how:

A geotechnical engineer shall be consulted where appropriate and where the angle of repose is greater than 45 degrees a written certification is required?



A written SWMS shall be developed and all excavation workers shall be trained on its requirements?

An adequate system of safety (including, benching, battering, shoring, or other forms of earth retention) shall be used to control the major hazards associated with excavations?

Excavations (actual, previous or planned) in the near proximity shall be identified and their impact on the works assessed?

Underground and overhead services shall be identified, marked, and located prior to excavation commencing?

Provision shall be made to adequately secure the site at all times including when left unattended?

A competent person shall be appointed to supervise all excavation work at a depth of more than 1.5 metre, work in tunnels, on caissons and cofferdams or compressed air work in an excavation?

Safe access and egress shall be provided for in the excavation (including to and from caissons and cofferdams) throughout the duration of the works?

Persons will not work alone in or around an excavation ranked as high or medium risk?

An inspection schedule shall be developed and completed by a competent person during the excavation?

Checks are undertaken to identify any heaving or swelling of the ground at the bottom of the excavation, or any changes to soil conditions where water is seeping in, and work methods are modified where required?

Provisions for a stand by person shall be implemented?

The placement of excavated material shall be considered and planned for?

Excavations in, or adjacent to roads shall be adequately shored or supported to:

Ensure the stability of residual road slab after excavation is complete?



Provide support for all pavements or road surfaces whilst the excavation is open?

Control for instability due to adjacent or overhead traffic? Trench covers and shoring shall be approved by a structural engineer? Safety barriers or delineations used on road sites shall comply with the TfNSW

Traffic Control at Worksites Manual and/or any other relevant standards or specifications?

The emergency procedures shall address all foreseeable major hazards, particularly the following:

Collapse of excavation?

Unplanned contact with underground or overhead services?

Inrush of water or other substance into excavation?

Exposure to hazardous substances?

Emergency procedures shall be communicated to all persons working in or near the excavation works before work commences?
