SEED MANAGEMENT SYSTEM (SMS)

SEED Management System This system integrates the management practices required for the compliance standards listed below. It is our belief that an integrated management system is necessary for us to achieve quality management objectives.

Compliance Standards: Quality Management: AS/NZS ISO 9001:2008 Environmental Management: AS/NZS ISO 14001:2004 Customer Service Management: ICSS:2010 Name of Employee Or Supplier

Trained by/when

inducted Acknowledged Commitment to SEED Management System Rob Lord (18/6/2011)

Rob Lord

&

Key changes since last Release (last release dated November 2011):Added ISO14001 requirements& associated documents & policies Added ICSS requirements& associated documents & policies Updated:

1/4/11

by:

Rob Lord

Next SMS Audit: 22/11/11 by: SAI Global Next EM Audit: 1/10/11 by: Next CS Audit: 1/10/11 by: EQA I, the Director & Manager of SEED, confirm our commitment (and that our suppliers) to this system, such that together we will comply with its requirements and we will seek to continually improve the effectiveness of the system. The purpose of maintaining certifications is:a) to demonstrate its ability to consistently provide a product that meets requirements, and b) to demonstrate environmental management practice c) to enhance customer satisfaction through the effective application of the system. The effective application of the SEED Management System (SMS) allows us to achieve our business mission of ―helping projects realise their sustainability potential‖ through the practice of engineering consultancy. Continual improvement, meeting customer’s needs, practising ―what we preach‖ and consistent process are the key areas where the SMS assists in our mission. Management Approval:

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Contents SEED Management System .......................................................................................... 1 Compliance Standards: ........................................................................................... 1 1

SEED Management System — Scope ......................................................................... 4 1.1 Objectives ..................................................................................................... 4 1.2 How do we measure whether the SMS system is achieving it’s objectives? ........................ 4 1.3 Application ..................................................................................................... 5

2 References .......................................................................................................... 5 3 Terms and definitions ............................................................................................. 5 4 SEED Management System ........................................................................................ 5 4.1 General Requirements ....................................................................................... 5 4.1.1 Review of Requirements ............................................................................... 5 4.1.2 Current Required Processes ........................................................................... 6 4.2 Documentation requirements .............................................................................. 6 4.2.1 General ................................................................................................... 6 4.2.2 Quality manual .......................................................................................... 6 4.2.3 Control of documents .................................................................................. 7 4.2.4 Control of records ....................................................................................... 7 5 Management responsibility ....................................................................................... 8 5.1 Management commitment .................................................................................. 8 5.2 Customer focus................................................................................................ 8 5.3 Quality policy.................................................................................................. 8 5.4 Planning ........................................................................................................ 9 5.4.1 Quality objectives ....................................................................................... 9 5.4.2 SEED Management System planning .................................................................. 9 5.5 Responsibility, authority and communication ........................................................... 9 5.5.1 Responsibility and authority .......................................................................... 9 5.5.2 Management representative .......................................................................... 9 5.5.3 Internal communication................................................................................ 9 5.6 Management review .......................................................................................... 9 5.6.1 General ................................................................................................... 9 5.6.2 Review input ............................................................................................. 9 5.6.3 Review output .......................................................................................... 10 6 Resource management ........................................................................................... 11 6.1 Provision of resources ...................................................................................... 11 6.2 Human resources ............................................................................................ 11 6.2.1 General .................................................................................................. 11 6.2.2 Competence, training and awareness .............................................................. 11 2 June 11

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6.3 Infrastructure ................................................................................................ 11 6.4 Work environment ........................................................................................... 11 7 Product realization ............................................................................................... 12 7.1 Planning of product realization ........................................................................... 12 7.2 Customer-related processes ............................................................................... 12 7.2.1 Determination of requirements related to the product ......................................... 12 7.2.2 Review of requirements related to the product .................................................. 12 7.2.3 Customer communication ............................................................................ 13 7.3 Design and development ................................................................................... 13 7.3.1 Design planning ......................................................................................... 13 7.3.2 Design inputs ............................................................................................ 13 7.3.3 Design outputs .......................................................................................... 13 7.3.4 Design review ........................................................................................... 13 7.3.5 Design verification ..................................................................................... 14 7.3.6 Design validation ....................................................................................... 14 7.3.7 Control of design changes ............................................................................ 14 7.4 Purchasing .................................................................................................... 14 7.4.1 Purchasing process& IRO .............................................................................. 14 7.4.2 Purchasing information ............................................................................... 14 7.4.3 Verification of purchased product .................................................................. 14 7.5 Production and service provision ......................................................................... 15 7.5.1 Control of production and service provision ...................................................... 15 7.5.2 Validation of processes for production and service provision .................................. 15 7.5.3 Identification and traceability ....................................................................... 15 7.5.4 Customer property ..................................................................................... 15 7.5.5 Preservation of product ............................................................................... 15 7.6 Control of monitoring and measuring equipment (primarily software) ............................ 16 8 Measurement, analysis and improvement .................................................................... 16 8.1 General ........................................................................................................ 16 8.2 Monitoring and measurement ............................................................................. 16 8.2.1 Customer satisfaction ................................................................................. 16 8.2.2 Internal audit ........................................................................................... 16 8.2.3 Monitoring and measurement of processes ........................................................ 17 8.2.4 Monitoring and measurement of product .......................................................... 17 8.3 Control of nonconforming product ....................................................................... 17 8.4 Analysis of data .............................................................................................. 17 8.5 Improvement ................................................................................................. 18 8.5.1 Continual improvement ............................................................................... 18 3 June 11

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8.5.2 Corrective action ....................................................................................... 18 8.5.3 Preventive action ...................................................................................... 18 9 SMS Calendar ....................................................................................................... 19

1

SEED Management System — Scope

1.1 Objectives SEED is in business to provide sustainability engineering consultancy. We want to help projects realise their sustainability potential. The SEED Management System is essential in achieving the business mission. The objectives of the SEED quality management [SMS] system are a) to demonstrate its ability to consistently provide a product that meets [customer and applicable regulatory] requirements through conformance to ISO9001, and b) to demonstrate commitment to the environment & environmental management practice through conformance to the ISO14001 standard, the company’s EMS and Environmental Management (EM) Policy. c) to enhance customer satisfaction through conformance to the ICSS standard. SEED is determined to become a consultancy that is appreciated for its commitment to customer satisfaction. It is our quality policy to implement this SMS system on every project, such that it meets the objectives of consistency and customer satisfaction.

1.2 How do we measure whether the SMS system is achieving its objectives? For measuring ability to deliver consistent product, we will achieve the commitments set out in the SMS, and particularly:Use the workflows as checklists to be completed on every task. Ask our customers. Introduce one improvement at a time and get it embedded as a habit Review non-conformance and determine what steps are taken to prevent re-occurrence For measuring commitment to the environment and environmental management practice, we will achieve the commitments in the SEED EM Policy, namely:Use bicycles and public transport instead of private car use Offset airplane emissions Use a naturally ventilated office Use green power or PV to offset office emissions Report monthly on all of the above For measuring enhancement of customer satisfaction, we will achieve the commitments in our Customer Care Commitment, namely:-. Ask our customers for improvements Operate a customer loyalty program and monitor its use Achieve repeat business – more than half of our clients should be referred clients or repeat business Review bill payment periods – were we paid on time? 4 June 11

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1.3 Application The SEED SMS system applies to all of our work, with no exceptions.

2 References The following referenced documents are also needed for the application of this document. The latest edition of the referenced document(including any amendments) applies. ISO9001:2008 ISO14001:2004 ICSS SEED SMSWorkFlow-Charts [PPT] SEED Resourcing Plan RACI Chart SEED Customer Care Commitment DDG (Design & Documentation Guidelines) for Concept/Calculations /Documentation/Site/Specialist Calculation Plans for HVAC1, Electrical, Hydraulic & Sustainability SEED Filing Procedure SEED Environmental Management Policy

3 Terms and definitions For the purposes of this document, the terms and definitions given in ISO 9000 apply. Throughout this document,

Wherever this term occurs:-

It really means:-

Products meeting requirements

consultancy service meeting customer requirements and all regulatory & statutory requirements the process of Input-Process-Output specifically devised for this firm Director Rob Lord

IPO Top management

The numbering of Clauses generally matches the clause numbering of ISO 9001 such that an internal or external auditor can easily audit this system. Note there is regular referral to PI or ―Process Improvement‖. We do not use the terminology ―Non Conformance‖ as it was considered it would be too confusing to run both a PI register and a NCR register. Hence where failure of conformance occurs it ought to be detected in either the Weekly, Monthly or Annual SMS review and a PI raised addressing where failure to conform is occurring.

4 SEED Management System 4.1 General Requirements 4.1.1 Review of Requirements Generally, (in the ―Section 4.1 Reviews‖ conducted monthly & annually):a) we need to review the processes needed for the SEED Management System and their application throughout SEED b) we need to review the sequence and interaction of these processes, c) we need to review the criteria and methods needed to ensure that both the operation and control of these processes are effective, d) we need to review the availability of resources and information necessary to support the operation and monitoring of these processes, 1

Calculation Plans for Hydraulic, Electrical, and Fire & VT are not compiled yet. 5

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e) we need to monitor, measure where applicable, and analyse these processes, and f) we need to implement any actions necessary to achieve planned results and continual improvement of these processes. Where we choose to outsource any process that affects product conformity to requirements, we shall ensure control over such processes through the HANDOVER Workflow Process. 4.1.2 Current Required Processes Based on the consumption chain for a service business (refer to Market Busters ―Understanding a Customer’s Total Experience‖), the following processes are required currently:Current Processes

Standard is Documented by

Networking & raising awareness

Customer Care Commitment

Writing Fee proposals

Customer Care Commitment

Arranging Sub Consultancy Fee Proposals

Customer Care Commitment

Project Establishment (inc KM)

Customer Care Commitment

Specialist DDG

DDG

Concept DDG

DDG

Calculations DDG

DDG & Calculation Plan

Documentation DDG

DDG & Drawing Checklist

Green Star Design Submission

DDG & Submission Checklist

Site DDG

DDG & CIBSE Codes

Handover

Customer Care Commitment

Green Star As Built Submission

DDG & Submission Checklist

Project Closure

Customer Care Commitment

Customer Care (inc Invoicing & Complaint Handling)

Customer Care Commitment

SMS (inc Lessons Learnt)

This Document

Process Improvement (inc Supplier Feedback)

Customer Care Commitment

Website (inc maintenance)

Customer Care Commitment

Financial Work

Customer Care Commitment

Refer to the SEED SMSworkflow charts for direction on how these processes are executed.

4.2 Documentation requirements 4.2.1 General The SEED Management System documentation shall include a) documented statements of a quality policy and quality objectives, (stated in this document) b) a quality manual, (stated in this document) c) documented procedures and records required by this SMS System, (SMS Workflow Charts & Referred Documents) d) documents, including records, determined by the SEED organization to be necessary to ensure the effective planning, operation and control of its processes.(Audits & Reviews) 4.2.2 Quality manual SEED shall maintain this quality manual and ensure that it includes a) the scope of the SEED Management System, including details of and justification for any exclusion, (Section 1) b) the documented procedures established for the SEED Management System, or reference to them, (SMS Workflow Charts & also Section 4-8) and 6 June 11

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c) a description of the interaction between the processes of the SEED Management System(SMS Workflow Charts & also Section 4-8). 4.2.3 Control of documents Documents required by the SEED Management System shall be controlled – only electronic PDF versions are controlled copies and all others uncontrolled. Records are a special type of document and shall be controlled according to the requirements given in 4.2.4. All documents are electronically generated, stored and filed. Paper is not considered a control document. Documented procedure sexist within the SMS Workflows to define the controls needed a) to approve documents for adequacy prior to issue (WORKPLAN/DDG), b) to review and update as necessary and re-approve documents (WORKPLAN/DDG), c) to ensure that changes and the current revision status of documents are identified (WORKPLAN/DDG), d) to ensure that relevant versions of applicable documents are available online (SMS directory in job file), e) to ensure that documents remain legible and readily identifiable (SEED Filing Procedure), f) to ensure that documents of external origin determined by SEED to be necessary for the planning and operation of the SEED Management System are identified and their distribution controlled, (INPUTS folder in SEED job file) and g) to prevent the unintended use of obsolete documents (SEED Calculation Plan), and to apply suitable identification to them if they are retained for any purpose (SEED Filing Procedure). 4.2.4 Control of records Records are established to provide evidence of conformity to requirements and of the effective operation of the SEED Management System shall be stored in the SMS directory of the job file. A project is archived as soon as it is complete. As per the SEED Filing Procedure, this entails relocating the files into the Archived Projects or Archived Prospects directories. The SEED Filing Procedure defines the controls needed for the identification, storage, protection, retrieval, retention and disposition of records. The regular drive is the external hard drive. Regular back-ups shall be electronic and it is proposed to store all of our records onto the FTP site that our webhost can provide. Establishment of this FTP site is still ongoing. In the meantime, records are stored on PC1, updated weekly. Records shall remain legible, readily identifiable and retrievable, through conformity to the SEED filing procedure and regular back-up onto the external FTP site. All records are to be stored for a minimum of six (6) years. This is in compliance with legislation and PI responsibilities.

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5 Management responsibility 5.1 Management commitment Top management provides evidence of its commitment to the development and implementation of the SEED Management System and continually improving its effectiveness by a) communicating to SEED the importance of meeting requirements, b) establishing the quality policy, c) ensuring that quality objectives are established, d) conducting management reviews, and e) ensuring the availability of resources. This is achieved in the regular training provided to SEED Employees. It also requires demonstration of participation by SEED Director.

5.2 Customer focus Top management shall ensure that customer requirements are determined and are met with the aim of enhancing customer satisfaction (see 7.2.1 and 8.2.1). This is primarily addressed in Customer Care Commitment & Customer Workflow Chart. It is also a reminder in the Audit & Review Forms.

5.3 Quality policy The SMS system is designed to improve our consistency and customer satisfaction and is applicable for all of our work. The effective application of the SMS system allows us to achieve our business mission of “helping projects realise their sustainability potential” through the practice of engineering consultancy. Continual improvement, avoiding errors, and consistent processes are three areas where this SMS assists in our business mission. Management are committed to improving the effectiveness reviews (weekly, monthly, quarterly and annual). Where processes and the context shall be reviewed to determine occurrence. Non-compliant work shall not be issued. The work

of the SMS system through regular non-compliance is discovered, the the necessary steps to prevent reshall be re-done.

We are committed to consistency and improvement of service. Regardless of our work type, our client or our staffing – our product [think our service] needs to be the same or better than previous efforts. As engineering methods change and improve, we must ensure we are adopting useful improvements yet remaining focussed on the provision of customer-requested consultancy. Reviews are regularly undertaken internally and when a customer provides feedback, which is at the end of every project. In the annual review, top management shall review and take action to ensure that the quality policy a) is appropriate to the purpose of the organization, b) includes a commitment to comply with requirements and continually improve the effectiveness of the SEED Management System, c) provides a framework for establishing and reviewing quality objectives, d) is communicated and understood within the organization, and e) is reviewed for continuing suitability. Annual reviews are undertaken by an external auditor at the moment, until the practice develops.

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5.4 Planning 5.4.1 Quality objectives Top management shall ensure that quality objectives, including those needed to meet requirements, are established at relevant functions and levels within the organization. The quality objectives are measurable and consistent with the quality policy:a) to demonstrate its ability to consistently provide a product that meets requirements, and b) to enhance customer satisfaction through the effective application of the system. The ―GETTING THE MOST OUT OF SMS‖ Workflow Chart highlights the activities monitoring the achievement of these objectives. 5.4.2 SEED Management System planning In the annual review, top management shall ensure that a) the planning of the SEED Management System is carried out in order to meet the requirements given in Section 4.1,as well as the quality objectives, and b) the integrity of the SEED Management System is maintained when changes to the SEED Management System are planned and implemented.

5.5 Responsibility, authority and communication 5.5.1 Responsibility and authority Top management shall ensure that responsibilities and authorities are defined and communicated within the organization. Currently this is managed through the SMS Workflow Charts and the SMS directory in the Job File. 5.5.2 Management representative As per the SEED RACI chart, the Director shall have responsibility and authority that includes a) ensuring that processes needed for the SEED Management System are established, implemented and maintained, b) reporting to top management on the performance of the SEED Management System and any need for improvement, (undertaken by the monthly review) and c) ensuring the promotion of awareness of customer requirements throughout the organization. (undertaken in the regular reviews) 5.5.3 Internal communication In the annual review, top management shall ensure that appropriate communication processes are established within the organization and that communication takes place regarding the effectiveness of the SEED Management System.

5.6 Management review 5.6.1 General In the annual review, top management shall review the organization's SEED Management System, to ensure its continuing suitability, adequacy and effectiveness. This review shall include assessing opportunities for improvement and the need for changes to the SEED Management System, including the quality policy and quality objectives. Records from the annual reviews shall be maintained.(see 4.2.4). 5.6.2 Review input The input to management review shall include information on a) results of audits, b) customer feedback, c) process performance and product conformity, d) status of preventive and corrective actions, e) follow-up actions from previous management reviews, f) changes that could affect the SEED Management System, and 9 June 11

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g) recommendations for improvement. 5.6.3 Review output The output from the management review shall include any decisions and actions related to a) improvement of the effectiveness of the SEED Management System and its processes, b) improvement of product related to customer requirements, and c) resource needs.

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6 Resource management 6.1 Provision of resources SEED shall determine and provide the resources needed a) to implement and maintain the SEED Management System and continually improve its effectiveness, and b) to enhance customer satisfaction by meeting customer requirements. Currently a SEED Resourcing Plan is used to outline what current resources are required.

6.2 Human resources 6.2.1 General Personnel performing work affecting conformity to product requirements shall be competent on the basis of appropriate education, training, skills and experience. The Job Descriptions that form part of the SEED Resourcing Plan outline the requirements for that position. 6.2.2 Competence, training and awareness In the annual review, SEED shall a) determine the necessary competence for personnel performing work affecting conformity to product requirements, b) where applicable, provide training or take other actions to achieve the necessary competence, c) evaluate the effectiveness of the actions taken, d) ensure that its personnel are aware of the relevance and importance of their activities and how they contribute to the achievement of the quality objectives, and e) maintain appropriate records of education, training, skills and experience (see 4.2.4).

6.3 Infrastructure In the annual review, SEED shall determine, provide and maintain the infrastructure needed to achieve conformity to product requirements. Infrastructure includes, as applicable, a) buildings, workspace and associated utilities, b) process equipment (both hardware and software), and c) supporting services (such as transport, communication or information systems).

6.4 Work environment In the annual review, SEED shall determine and manage the work environment needed to achieve conformity to product requirements. Currently this is seen as the basic office environment.

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7 Product realization 7.1 Planning of product realization SEED has developed the processes needed for product realization. Planning of product realization shall be consistent with the requirements of the other processes of the SEED Management System(see 4.1). The ―product‖ that SEED realizes is a design process and deliverable that also in itself will realise a product for our client – namely a building. In planning product realization, SEED has determined the following, as appropriate: a) quality objectives and requirements for the product;(refer to PROJECT OPPORTUNITY& WOKPLAN/DDG WORKFLOWS) b) the need to establish processes and documents, and to provide resources specific to the product;(refer to WOKPLAN/DDG) c) required verification, validation, monitoring, measurement, inspection and test activities specific to the product and the criteria for product acceptance;(refer to WOKPLAN/DDG& Customer care Commitment) d) records needed to provide evidence that the realization processes and resulting product meet requirements(see 4.2.4). The output of this planning shall be stored in the job directory folder CUSTOMER REQUIREMENTS. This is considered suitable and accessible for the organization's method of operations.

7.2 Customer-related processes 7.2.1 Determination of requirements related to the product For each project, the engineer shall determine all requirements including those a) requirements specified by the customer, including the requirements for delivery and postdelivery activities, b) requirements not stated by the customer but necessary for specified or intended use, where known, c) statutory and regulatory requirements applicable to the product, and d) any additional requirements considered necessary by the organization. 7.2.2 Review of requirements related to the product SEED shall review the requirements related to the product. This review shall be conducted prior to the organization's commitment to supply a product to the customer (e.g. submission of tenders, acceptance of contracts or orders, acceptance of changes to contracts or orders) and shall ensure that a) product requirements are adequately defined, b) contract or order requirements differing from those previously expressed are resolved, and c) SEED has the ability to meet the defined requirements. Records of the results of the review and actions arising from the review shall be considered as stored and defined in the fee proposal. (refer Section 4.2.4). Where the customer provides no documented statement of requirement, the customer requirements shall be confirmed by SEED before acceptance. Similarly, our fee proposal should define the customer requirements and if this is accepted, it shall be considered that our customer approves of this definition of requirements. Where product requirements are changed, SEED shall ensure that relevant documents are amended and that both the customer and the relevant personnel are made aware of the changed requirements. There may need to be an adjustment to our fee proposal or a ―variation‖. Such variations shall be treated as if they were an adjustment to our original fee proposal.

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7.2.3 Customer communication The Customer Care Commitment describes effective arrangements for communicating with customers in relation to a) product information, b) enquiries, contracts or order handling, including amendments, and c) customer feedback, including customer complaints. Note if a variation is required (due to a client change of requirements) we need to define the necessary alterations to our process and explain how the IPO process works. This will ―justify‖ our variation but also assure our client we are taking this change seriously. A SEED Change Order form should be used for this purpose.

7.3 Design and development 7.3.1 Design planning In preparing fee proposals, SEED shall plan the design process (using the appropriate WORKPLAN/DDG) and obtain customer approval before commencement. SEED shall manage the interfaces between different groups involved in design development to ensure effective communication and clear assignment of responsibility. Planning output shall be updated, as appropriate, as the design and development progresses. 7.3.2 Design inputs Design inputs shall include an extensive definition of requirements a) functional and performance requirements, b) applicable statutory and regulatory requirements, c) where applicable, information derived from previous similar designs, and d) other requirements essential for design and development. The inputs shall be reviewed for adequacy. Requirements shall be complete, unambiguous and not in conflict with each other. 7.3.3 Design outputs The outputs of design shall be in a form suitable for verification against the design input and shall be approved by the Director only prior to release. Design outputs shall a) meet the input requirements, b) provide appropriate information for purchasing, production and service provision, c) contain or reference product acceptance criteria, and d) specify the characteristics of the product that are essential for its safe and proper use e) adopt the required format. 7.3.4 Design review At suitable stages, systematic reviews of design shall be performed in accordance with planned arrangements (see 7.3.1) a) to evaluate the ability of the results of design to meet requirements, and b) to identify any problems and propose necessary actions. Typically this is defined by the SMS Workflows as at the HANDOVER STAGES contained in each project. Participants in such reviews shall include representatives of functions concerned with the design stage(s) being reviewed. Records of the results of the reviews and any necessary actions shall be maintained (see 4.2.4). The Review Audit form is appropriate and the HANDOVER Workflow defines the process. 13 June 11

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7.3.5 Design verification Verification shall be performed in accordance with planned arrangements (see 7.3.1) to ensure that the design outputs have met the design and development input requirements. Records of the results of the verification and any necessary actions shall be maintained (see 4.2.4). Verification comprises two levels: - the audit level and then more appropriately the Commissioning level in building projects. 7.3.6 Design validation Design validation shall be performed in accordance with planned arrangements (see 7.3.1) tonsure that the resulting product is capable of meeting the requirements. Wherever practicable, validation shall be completed prior to the delivery or installation of the product. Records of the results of validation and any necessary actions shall be maintained (see 4.2.4). Validation is typically the Customer feedback reviews where we believe we will have provided the customer’s requirement to the satisfaction of the customer. 7.3.7 Control of design changes Design changes shall be identified and records maintained. The changes shall be reviewed, verified and validated, as appropriate, and approved before implementation. The review of design changes shall include evaluation of the effect of the changes on constituent parts and product already delivered. Records of the results of the review of changes and any necessary actions shall be maintained (see 4.2.4).

7.4 Purchasing 7.4.1 Purchasing process& IRO SEED shall ensure that the specified product from sub-consultancies conforms to the specification requirements. This is achieved by the reviews outlined in HANDOVER workflow. The type and extent of control applied to the sub consultancy (supplier) and the purchased sub consultancy (product) shall be dependent upon the effect of the purchased product on subsequent product realization or the final product. Such schedules should be included within the procurement document (the contract we establish with the sub consultant). The IRO (Inventory Of Requirements) is a checklist that includes the DDG that shall specify the skill sets, [the processes] and the OUTPUTS required. SEED shall evaluate and select suppliers based on their ability to supply product in accordance with the IRO. Criteria for selection, evaluation and re-evaluation shall be established. Records of the results of evaluations and any necessary actions arising from the evaluation shall be maintained (see 4.2.4). 7.4.2 Purchasing information Purchasing information shall describe the product to be purchased, including, where appropriate, a) requirements for approval of product, procedures, processes and equipment, b) requirements for qualification of personnel, and c) SEED Management System requirements. SEED shall ensure the adequacy of specified purchase requirements prior to their communication tithe supplier. This is achieved by following the workflow charts HANDOVER, ARRANGING SUB CONSULTANCY, and WORKPLAN DDG. 7.4.3 Verification of purchased product SEED shall establish and implement the inspection or other activities necessary for ensuring that purchased product meets specified purchase requirements. This is achieved by WORKPLAN DDG & ARRANGING SUB CONSULTANCY workflows.

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Where SEED or its customer intends to perform verification at the supplier's premises, the organization shall state the intended verification arrangements and method of product release in the purchasing information.

7.5 Production and service provision 7.5.1 Control of production and service provision Using the WORKPLAN DDG, SEED shall plan and carry out production and service provision under controlled conditions. Controlled conditions shall include, as applicable, a) the availability of information that describes the characteristics of the product, b) the availability of work instructions, as necessary, c) the use of suitable equipment, d) the availability and use of monitoring and measuring equipment, e) the implementation of monitoring and measurement, and f) the implementation of product release, delivery and post-delivery activities. 7.5.2 Validation of processes for production and service provision SEED shall validate any processes for production and service provision where the resulting output cannot be verified by subsequent monitoring or measurement and, as a consequence, deficiencies become apparent only after the product is in use or the service has been delivered. The HANDOVER Workflow includes a review and this serves the validation process. Validation shall demonstrate the ability of these processes to achieve planned results. SEED shall establish arrangements for these processes including, as applicable, a) defined criteria for review and approval of the processes, b) approval of equipment and qualification of personnel, c) use of specific methods and procedures, d) requirements for records (see 4.2.4), and e) revalidation. 7.5.3 Identification and traceability Where appropriate, SEED shall identify the product by suitable means throughout product realization. SEED shall identify the product status with respect to monitoring and measurement requirements throughout product realization. The weekly phone calls to clients shall keep them informed as to product status. Where traceability is a requirement, SEED shall control the unique identification of the product and maintain records (see 4.2.4). 7.5.4 Customer property SEED shall exercise care with customer property while it is under the organization's control or being used by the organization. SEED shall identify, verify, protect and safeguard customer propertyprovided for use or incorporation into the product. If any customer property is lost, damaged or otherwise found to be unsuitable for use, SEED shall report this to the customer and maintain records (see 4.2.4). 7.5.5 Preservation of product SEED shall preserve the product during internal processing and delivery to the intended destination in order to maintain conformity to requirements. As our product is our consultancy service, preservation shall imply we will maintain our insurances our knowledge base, our qualifications and our availability.

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7.6 Control of monitoring and measuring equipment (primarily software) SEED shall determine the monitoring and measurement to be undertaken and the monitoring admeasuring equipment needed to provide evidence of conformity of product to determined requirements. This is undertaken in the WORKPLAN DDG & HANDOVER workflows. SEED shall establish processes to ensure that monitoring and measurement can be carried out and are carried out in a manner that is consistent with the monitoring and measurement requirements. Where necessary to ensure valid results, measuring equipment (primarily software) shall a) be verified, at specified intervals, or prior to use, against measurement standards traceable to international or national measurement standards (such as BESTEST); where no such standards exist, the basis used for calibration or verification shall be recorded (see 4.2.4); i.e. we will check our regularly b) be adjusted or re-adjusted as necessary; (this primarily means settings within the software) c) have identification in order to determine its calibration status;(this primarily means using the latest correct version of the software) d) be safeguarded from adjustments that would invalidate the measurement result; (this primarily means settings within the software) e) be protected from damage and deterioration during handling, maintenance and storage. (this primarily means having appropriate back-ups and preventing corruption of data) In addition, SEED shall assess and record the validity of the previous measuring results when the equipment is found not to conform to requirements. This is primarily achieved by being provided with certificates of compliance and having manuals from the software supplier. Records of the results of calibration and verification shall be maintained (see 4.2.4). When used in the monitoring and measurement of specified requirements, the ability of computer software to satisfy the intended application shall be confirmed. This shall be undertaken prior to initial use and reconfirmed as necessary.

8 Measurement, analysis and improvement 8.1 General SEED shall plan and implement the monitoring, measurement, analysis and improvement processes needed a) to demonstrate conformity to requirements,(Customer feedback) b) to ensure conformity of the SEED Management System, (regular external audits) and c) to continually improve the effectiveness of the SEED Management System (Process Improvement procedure).

8.2 Monitoring and measurement 8.2.1 Customer satisfaction As one of the measurements of the performance of the SEED Management System, SEED shall monitor information relating to customer perception as to whether SEED has met customer requirements. The methods for obtaining and using this information shall be confirmed within the fee proposal and typically involve the Project Closure procedure and Customer Care Commitment. 8.2.2 Internal audit SEED shall conduct internal audits quarterly to determine whether the SEED Management System:a) conforms to the planned arrangements (see 7.1), to the requirements of this SMS System and b) is effectively implemented and maintained. 16 June 11

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Referring to the SMS calendar, internal audits are planned to occur every quarter in the month before the quarterly BAS statements are required. This is done to even out effort. The audit criteria, scope, frequency and methods shall be defined. External auditors shall conduct these audits to ensure objectivity and impartiality of the audit process. The Resourcing plan RACI indicates the Director is currently responsible for the performance of the SMS system. Records of the audits and their results shall be maintained (see 4.2.4). SEED management is responsible to ensure that any necessary corrections and corrective actions are taken without undue delay to eliminate detected nonconformities and their causes. Follow-up activities shall include the verification of the actions taken and the reporting of verification results(see 8.5.2). 8.2.3 Monitoring and measurement of processes SEED shall apply suitable methods for monitoring and, where applicable, measurement of the SEED Management System processes. These methods shall demonstrate the ability of the processes to achieve planned results, as judged by customer feedback and SMS compliance audits. When planned results are not achieved, correction and corrective action shall be taken, as appropriate. 8.2.4 Monitoring and measurement of product SEED shall monitor and measure the characteristics of the product to verify that product requirements have been met. This shall be carried out at appropriate stages of the product realization processing accordance with the planned arrangements (see 7.1). Evidence of conformity with the acceptance criteria shall be maintained within the job file, as judged by customer feedback and technical audits. Records shall indicate the person(s) authorizing release of product for delivery to the customer (see 4.2.4). The release of product and delivery of service to the customer shall not proceed until the planned arrangements(see 7.1) have been satisfactorily completed, unless otherwise approved by a relevant authority and, where applicable, by the customer.

8.3 Control of nonconforming product SEED shall ensure that product which does not conform to product requirements is identified and controlled to prevent its unintended use or delivery. The technical audits defined in HANDOVER prevent the release of a non-compliant product. Where applicable, SEED shall deal with nonconforming product by re-doing the work and raising a PI as to why this non conformance came about. When nonconforming product is corrected it shall be subject to re-verification to demonstrate conformity to the requirements. Records of the nature of nonconformities and any subsequent actions taken, shall be maintained (see 4.2.4).

8.4 Analysis of data SEED shall determine, collect and analyse appropriate data to demonstrate the suitability and effectiveness of the SEED Management System and to evaluate where continual improvement of the

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effectiveness of the SEED Management System can be made. This shall include data generated as a result of monitoring and measurement and from other relevant sources. The analysis of data shall provide information relating to a) customer satisfaction (see 8.2.1), b) conformity to product requirements (see 8.2.4), c) characteristics and trends of processes and products, including opportunities for preventive action(see 8.2.3 and 8.2.4), and d) suppliers (see 7.4).

8.5 Improvement 8.5.1 Continual improvement SEED shall continually improve the effectiveness of the SEED Management System through the use of the quality policy, quality objectives, audit results, analysis of data, corrective and preventive actions and management review. 8.5.2 Corrective action SEED shall take action to eliminate the causes of nonconformities in order to prevent recurrence. Corrective actions shall be appropriate to the effects of the nonconformities encountered. A documented procedure shall be established to define requirements for a) reviewing nonconformities (including customer complaints), b) determining the causes of nonconformities, c) evaluating the need for action to ensure that nonconformities do not recur, d) determining and implementing action needed, e) records of the results of action taken (see 4.2.4), and f) reviewing the effectiveness of the corrective action taken. 8.5.3 Preventive action SEED shall determine action to eliminate the causes of potential nonconformities in order to prevent their occurrence. Preventive actions shall be appropriate to the effects of the potential problems. A documented procedure shall be established to define requirements for a) determining potential nonconformities and their causes, b) evaluating the need for action to prevent occurrence of nonconformities, c) determining and implementing action needed, d) records of results of action taken (see 4.2.4), and e) reviewing the effectiveness of the preventive action taken.

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9 SMS Calendar The following SMS activities and when they occur is as follows:Daily Conformance to SMS Workflows and SMS system Weekly Customer Care Health Check – refer Customer Care workflow Filing Health Check – refer Getting the Most out of SMS workflow Customer Feedback Health Check – refer Getting the Most out of SMS workflow Maintain Website – refer to Website workflow Review Financial Position – refer to Finance Workflow Progress on Process Improvement Register – refer to Process Improvement Register Monthly Conduct section 4.1 review Conduct PI review for Potential Non Conformance – is there any Preventative Action? Update SMS manual to incorporate changes – refer Getting the Most out of SMS workflow Quarterly Review Finance plan – refer to Finance Workflow Issue revised SMS system manuals or workflows to customers, suppliers, stakeholders. Distribute revised Customer Care Commitment document to stakeholders Prepare video briefing to accompany any revisions. Annual Conduct Section 4.1 review Conduct whole system review – is it meeting our objectives? Triennial SAI Global External Audit

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