CAS SampleDocuments

Contract Administration System

Index of Sample Documents

Doc ID Title Date

SD-001 Powers and Duties Not delegated to Superintendent's Representative

27 Jan 2005

SD-003 Duty Statement for 27 Jan 2005

SD-004 Duty Statement for Inspector 27 Jan 2005

SD-006 Principal's Quarterly Report 27 Jan 2005

SD-007 Measured Quantity Report 27 Jan 2005

SD-008 Agenda for End of Project Debrief 05/2002

SD-009 As Constructed Design Changes 27 Jan 2005

SD-010 Post Construction Report 27 Jan 2005

SD-013 Superintendent's Surveillance Plan – Pro Forma 8 Dec 2004

SD-015 Record File Numbers 05/2002

Standard Documents List May 2006 Page 1 of 1


SD-001: POWERS AND DUTIES NOT DELEGATED TO THE SUPERINTENDENT'S REPRESENTATIVE

It is noted that generally the responsibilities for the Superintendent and Superintendent's Representatives are defined / delegated. This list is intended to simplify and assist in the listing of delegated responsibilities.

In accordance with Clause 24 of the General Conditions of Contract the Superintendent may delegate certain powers and duties to the Superintendent's Representative. The following powers and duties are NOT delegated.

Clause Power to:

8.1 Interpretation on and valuation of any ambiguity.

9.2 Approve sub-contractors.

12 Determine if Latent conditions exist. Value additional costs and determine any extension of time.

14.2 Direct variations due to a change in statutory requirements. Value the effects where a variation is not applicable.

24 Delegate powers or revoke delegation.

26 Remove Contractor's employees.

27.5 To assess the Contractor's cost of taking precautions against loss in relation to minerals, fossils, relics etcetera.

30.4 & Acceptance of defective materials and valuation. 30.5 32 Approve working hours

33.1 Declare a default under the Contract due to unsatisfactory progress.

33.3 Order acceleration of the work.

34.1 Suspend the Progress of the Works.

35.5 Grant extension to Period for Construction on account of an unreasonable delay.

35.6 Assess liquidated damages on partially completed works.

36 Determine adjustment to Contract Price on account of delay or disruption costs.

37 Reduce Defects Liability Period.

39 Determine responsibility for costs of emergency works carried out by Principal.

40.1 Order variation:

a) To change quality,

b) For additional work,

c) To vary program,

d) To work outside agreed working hours.

40.5/ Agree or determine adjusted rate for work which is in excess of 110%, or less than 90%,

SD - 001 27/01/2005 Page 1 of 2


3.2 of scheduled quantity.

40.5 Agree or assess rate for unscheduled work.

41 (c) Approve plant hire charges where they are not invoiced or Contract plant hire rates.

42.5 Issue Certificate of Practical Completion.

42.8 Issue Final Certificate.

44.6 Adjust costs in the event of default or bankruptcy of Contractor.

47 Make decisions on claims, or refer claims to arbitration.

SD - 001 27/01/2005 Page 2 of 2


SD-003: Duty Statement for _____________ (customise the table as required) Site Engineer Functions / Activities for General Conditions of Contract

Clause Number / Key Area

Activity / Function Duties / Responsibilities

Area 1

Area 2

SD - 003 27/01/2005 Page 1 of 1


SD - 004 27/01/2005 Page 1 of 1

SD-004: Duty Statement for Inspector

Project Name: Job No.: Contractor:

Position INSPECTOR (ID) CONTRACTS

Reports to PRINCIPAL ENGINEER (ID) CONTRACTS / ENGINEERS (ID)

Subordinates Refer to Organisational Structure [STRUCTURE]

Financial Delegation Refer to Unit's Financial Delegation Extract

Resource Delegation Refer to Human Resource Delegation

Authority Delegation Refer to Instrument of Delegation

Key Areas Responsibilities

Quality System Be proactive and report any deficiencies or possible improvements in this quality system or work practices to management.

Act on Quality Audit reports and ensure the implementation of corrective action (if delegated).

Perform incoming inspections on purchased goods, services and materials. Develop procedures and processes for critical activities in area of responsibility

(if requested).

Contract Surveillance Develop procedures and processes for critical activities in area of responsibility (if requested)

Undertake the role of Inspector on construction and maintenance works carried out by Private Contractors, RoadTek and Local Governments.

Carry out inspection of works undertaken by contract to ensure that processes and procedures described in the quality manual and quality plan are adhered to and that the works are being constructed in accordance with the Principal's requirements (specifications and drawings).

Carry out administrative functions in respect to conformance and non-conformance reports, checklists, data transfer and maintenance of these records.

Keep the Engineer's Representative informed of progress, quality of works and problems as they occur.

Monitor safety procedures on specific works to ensure compliance with the Workplace Health and Safety Legislation.

Provide assistance to the Infrastructure Delivery Unit on matters relating to the inspection of contracts, construction practice, and the development and implementation of Infrastructure Delivery Unit's contract administration quality system.

Delegations As stated in delegations letter.


SD - 006 27/01/2005 Page 1 of 5

SD-006: Principal’s Quarterly Report

Principal’s Quarterly Report No.

Project Name and Description

Job No. ░░░░░.

Period (...) To (...)

(insert photo)

(insert photo)

(insert photo)

(insert photo)


SD - 006 27/01/2005 Page 2 of 5

Contents 1.0 INTRODUCTION ........................................................................................................................................ 3 2.0 PROJECT COSTS ..................................................................................................................................... 3 3.0 PROJECT STATUS ................................................................................................................................... 3 4.0 PROGRAM AND PROGRESS................................................................................................................... 4 5.0 CONSTRUCTION PROGRAM.................................................................................................................... 4 6.0 EXTENSIONS OF TIME............................................................................................................................. 4 7.0 CLAIMS...................................................................................................................................................... 4 8.0 QUALITY .................................................................................................................................................... 4 9.0 BLASTING ................................................................................................................................................. 4 10.0 WEATHER................................................................................................................................................ 4 11.0 TRAFFIC MATTERS................................................................................................................................ 4 12.0 ENVIRONMENTAL .................................................................................................................................. 4 13.0 SAFETY.................................................................................................................................................... 4 14.0 PUBLIC RELATIONS/ COMMUNITY CONSULTATION ........................................................................ 4 15.0 DESIGN ISSUES...................................................................................................................................... 4 16.0 PRINCIPAL SUPPLIED MATERIALS ..................................................................................................... 5 17.0 CONCLUSION......................................................................................................................................... 5 Appendices

o Extension of Time Register o Variation Register o Corrective Action Register o Non-Conformance Register o Cost Forecast Spreadsheet o Construction Program


SD - 006 27/01/2005 Page 3 of 5

1.0 Introduction ░░░░░░░░ 2.0 Project Costs

The table below shows a summary of actual project costs to date.

Progress Payments to date

Approved Variations SUB-TOTAL

Principal’s materials at (date)

Variations to Principal’s materials

Departmental Costs TOTAL TO DATE

Table 1 - Summary of Project Costs at

See Appendices for Variation Register and Forecast Cash Flow.

3.0 Project Status

The construction time status summary is as follows:

Date of Acceptance of Tender Period of Construction Date for Completion Approved Extensions of Time to Approved Date for Completion Anticipated Date for Completion


SD - 006 27/01/2005 Page 4 of 5

4.0 Program and Progress

Works commenced onsite and are summarised as follows: Works in total are estimated at being complete (Contractor’s percentage estimate)

5.0 Construction Program ░░░░░░░░ 6.0 Extensions of Time 7.0 Claims 8.0 Quality ░░░░░░░░ 9.0 Blasting

. ░░░░░░░░ 10.0 Weather ░░░░░░░░ 11.0 Traffic Matters ░░░░░░░░ 12.0 Environmental ░░░░░░░░ 13.0 Safety ░░░░░░░░ 14.0 Public Relations/ Community Consultation ░░░░░░░░ 15.0 Design Issues ░░░░░░░░


SD - 006 27/01/2005 Page 5 of 5

16.0 Principal Supplied Materials See Appendix for forecast cash flow. ░░░░░░░░ 17.0 Conclusion The anticipated completion date for this contract based upon works completed to date and the delays ░░░░

Staffing levels for administration of this contract. Total project cost estimates for this project are listed below:

$ Original Estimat

e

Actual to (date)

Forecast Total

Program Approval

Contract Costs

Principal’s Materials

Departmental Costs

TOTAL


SD - 007 27/01/2005 Page 1 of 1

SD-007: Measured Quantity Report In order to develop consistency between projects it is recommended that the measured quantity report show the following details:

• Progress pay number • Schedule • Item number • Variation number • Quantity this period • Quantity previous period • Unit rate • Amount • Total value for each schedule (excluding GST)

PROJMAN is an IT financial management tool which supports the measurement of quantities. Assistance is available through DIT Help (refer QDoT address Book) or call 3834 8079.


SD-008: Agenda for End of Project Debrief As Constructed Plans The as-constructed plan should consist of any changes to the design and a copy of the annotated drawings. It is suggested that these changes are handed to the Superintendent at each monthly meeting. Project Debrief

Project Finalisation Reporting Agenda for Project Debrief

This procedure outlines the steps and discussion points for the Finalisation of Construction Projects undertaken by Roadworks Performance Contracts (RPC) or Road Construction Contracts (RCC). This “report” card is to be completed at the debrief meeting for all designated projects. Section Question Comments Preconstruction Was the project scope controlled during the

preconstruction process?

What significant issues were identified during consultation? Were these issues adequately addressed in the design?

Was the preconstruction cost managed successfully in this phase? What is the percentage difference between budget and actual preconstruction cost?

Was preconstruction timely (i.e. was scheme available 2 months prior to tender/ offer)?

Were any significant issues identified in the design safety audit? Are these applicable for related projects?

Were any significant issues identified during the constructability check? Were any maintenance issues identified? Have these issues been communicated to the planning/ design staff for future understanding?

Was preconstruction managed by a project team approach?

SD - 008 05/2002 Page 1 of 3


Section Question Comments Were there significant pavement design

issues?

How would you rate the overall quality of design? Is this based on feedback from Delivery or Contractor staff?

Were all environmental issues successfully managed during the phase?

Were resumptions completed prior to Tendering/Offers?

RIP Delivery Was the project delivered within the original RIP programmed timeframe?

What is the comparison between the initial RIP figure (years 3-5) to the final project cost?

What was the final project cost as compared to the approved RIP amount?

Project Delivery

What was the roughness (NRM or subjective comment) and was a bonus or penalty applied?

Were any lots rejected or accepted at a reduced level of service. If yes, why and what lessons were learned? What was the value of the rejected works or the value of the reduced level of service?

Do you consider the delivery method was appropriate (i.e. tender, RPC etc)? Why?

Were there significant variations in the project? Why and what have we learned? Please attach variations register/listing. What value of the contract is the total cost of the variations?

What were the contractual relationships like (list partnering scores if available)? Are there any unresolved relationship issues?

Were there any consultations (eg property owners, motorists etc) issues during construction?

Did the Contractor carry out the required public consultation issues adequately?

Was the project delivered within the contract timeframe? Were extensions of time (EOT) handled in a timely manner?

What innovation occurred on this project?

Were there any significant findings from a pre-opening road safety audit?

Were there any traffic management issues during construction?

Are there any potential ongoing/future maintenance issues that need to be addressed?

SD - 008 05/2002 Page 2 of 3


Section Question Comments Was an Environmental Management Plan

approved and was it followed? Was an Environmental audit carried out?

Did the District Workplace Health and Safety Officer visit site and carry out an audit?

Outcome Was the delivered project as “fit for purpose”; e.g. overdesigned/ underdesigned?

Did the outcome align with our investment strategies for this road?

Did the delivered project align with the approval project scope?

Does this project contribute to any specific Main Roads outcomes (eg extension of FEV route; 110 km zone; flood immunity)?

Has there been any feedback received from stakeholders/communities about this project?

Does it “look and feel” like a project you are proud of?

ASSOCIATED DOCUMENTATION

C6015 General Conditions of Contract - Works by Local Government C6119 Contractor Performance Report

Job Construction Procedures SL-029 Certificate of Practical Completion SL-031 Final Payment Certificate SL-072 Notice that Practical Completion has not been Reached SL-053 Notice for Rectification of Defects SD-011 Contractor Performance Report Memorandum

SD - 008 05/2002 Page 3 of 3


SD - 009 27/01/2005 Page 1 of 1

SD-009: As Constructed Design Changes No. Description Chainage Plan No.


SD - 010 27/01/2005

SD-010: Post Construction Report

Post Construction Report

<Project description> <Shire>

<Road Name> <Project chainage>

Job No. <####> <Contractor>

Date <******>

<<<INSERT PROJECT IMAGE HERE>>>

Post Construction Report Project Name: <<DESCRIPTION>> Job Number: <<NUMBER>>

TABLE OF CONTENTS

1 INTRODUCTION 1

1.1 Project Description 1

1.2 Contract Type 1

2 PROJECT RESOURCES 2

2.1 Main Roads Staff 2

2.2 Contract Staff 2

3 DETAILS OF CONTRACT 3

3.1 Possession of Site 3

3.2 Date for and of Completion 3

3.3 Contract Duration 3

3.4 Extensions of Time 3

3.5 Project Costs 3

4 CONSTRUCTION ASPECTS 4

4.1 Working Platform 4

4.2 Wearing Course 4

4.3 Pavement Configuration 4

4.4 Screening Sizes 4

5 PROGRAM AND PROGRESS 5

5.1 Performance of Contractor 5

5.2 Design Issues 5

5.3 Public Relations & Consultation 5

5.4 Material Sources 5

5.5 Quality, NCR’s & CAR’s 5 5.5.1 Quality 5 5.5.2 Contractors’ NCR’s 5 5.5.3 Departments’ CAR’s 5

SD - 010 27/01/2005 i


5.6 Financial Performance 6 5.6.1 Contractor 6 5.6.2 Departmental 6

6 AREAS REQUIRING IMPROVEMENT 6

6.1 Environment 6

6.2 Drainage 6

6.3 Revegetation 6

6.4 Provision for Traffic 6

6.5 Service Issues 6

6.6 Geotechnical 6

6.7 Specifications 7

7 ATTACHMENTS 7

7.1 Performance Reports 7

7.2 As Constructed Plans 7

7.3 Financial Data 7

7.4 Monitor Registers 7

7.5 Other 8

SD - 010 27/01/2005 ii


1 Introduction

1.1 Project Description

1.2 Contract Type

SD - 010 27/01/2005 1


2 Project Resources

2.1 Main Roads Staff

2.2 Contract Staff

SD - 010 27/01/2005 2


3 Details of Contract

3.1 Possession of Site

3.2 Date for and of Completion

3.3 Contract Duration

3.4 Extensions of Time

3.5 Project Costs

SD - 010 27/01/2005 3


4 Construction Aspects

4.1 Working Platform

4.2 Wearing Course

4.3 Pavement Configuration

4.4 Screening Sizes

SD - 010 27/01/2005 4


5 Program and Progress

5.1 Performance of Contractor

5.2 Design Issues Post "Implementation Report on Designer": refer to the latest version on Main Roads Junction under the Manual for Use and Engagement of Consultants on Engineering Projects Appendix K and Clause 11.4.

5.3 Public Relations & Consultation

5.4 Material Sources

5.5 Quality, NCR’s & CAR’s

5.5.1 Quality

5.5.2 Contractors’ NCR’s

5.5.3 Departments’ CAR’s

SD - 010 27/01/2005 5


5.6 Financial Performance

5.6.1 Contractor

5.6.2 Departmental

6 Areas Requiring Improvement

6.1 Environment

6.2 Drainage

6.3 Revegetation

6.4 Provision for Traffic

6.5 Service Issues

6.6 Geotechnical

SD - 010 27/01/2005 6


6.7 Specifications

7 Attachments

7.1 Performance Reports • Contractor Performance Report

Refer MRPDS Vol. 3 • Sub Contractor Performance Report (s) • Specialist Supplier Report (s)

Eg. Asphalt, Steel, Precast Concrete

7.2 As Constructed Plans

7.3 Financial Data • Actuals • CMS Reports • FiMS Reports

7.4 Monitor Registers • Certifications • Contact Details

• Milestones • Correspondence Register

• Action Register

• Non-Conformance Register

SD - 010 27/01/2005 7


• Variations to Time Register

• Variations/Claims Register

• Principal’s Materials Variation Register

• As Constructed Register

7.5 Other Final Project Records Checklist

SD - 010 27/01/2005 8

Superintendent's Surveillance Plan (SD-13)

Project name

Contract Number

Prepared by Name Title Job title Branch/District Branch/District Division/Region Division/Region Location Floor, street, city Version no. 2 Revision date 8 December 2004 Status Draft/Final review/Sign off (delete 2 of) DMS ref. no. DMS reference number File/Doc no. File number/document number

Superintendent's Surveillance Plan Project -

Document control sheet

Contact for enquiries and proposed changes

If you have any questions regarding this document or if you have a suggestion for improvements, please contact:

Superintendent Insert Superintendent's name here

Phone Insert phone number here

Version history

Version no. Date Changed by Nature of amendment

1 09/24/2004 DC Initial draft.

2 8/12/2004 DC Draft for Comment

Project Plan Endorsement

The following officers have deemed this plan suitable.

Name

Manager (Infrastructure Delivery) or ID (Project Manager) Position

SD-013

Signature Date

Name

District Director Position

Signature Date

Main Roads 8 Dec 2004 Page 2 of 25


Main Roads 8 Dec 2004 Page 3 of 25 SD-013

Contents

1 Introduction................................................................................................................ 5

2 Definitions ................................................................................................................... 5

3 Project Details ............................................................................................................ 5

4 Superintendents Surveillance Team......................................................................... 5

5 Stakeholders (affecting Surveillance)....................................................................... 6

6 Contract control ......................................................................................................... 6 6.1 Integration / Management ............................................................................................ 6

6.2 Procedures and Forms.................................................................................................. 7

6.3 Product Quality ............................................................................................................ 7

6.4 Communication management ...................................................................................... 7 6.4.1 Internal communication ........................................................................................................... 7 6.4.2 External communication .......................................................................................................... 7 6.4.3 Meetings................................................................................................................................... 7 6.4.4 Records Management............................................................................................................... 8 6.5 Procurement management............................................................................................ 8

6.6 Environment................................................................................................................. 8

6.7 Safety Management...................................................................................................... 8

6.8 Traffic Management..................................................................................................... 8

7 Risk Assessment Management.................................................................................. 8

7.1 Monitoring and Review ............................................................................................... 9

8 Surveillance Performance Measurement................................................................. 9

9 References ................................................................................................................... 9

Appendix A – Project Definition........................................................................................... 10

Appendix B – Responsibility assignment matrix................................................................. 11

Appendix C – Surveillance schedule..................................................................................... 13

Model 1: Schedule for Gantt Chart ...................................................................................... 13

Model 2: Table........................................................................................................................ 14

Appendix D1: Site Contact Details (SF007)......................................................................... 15

Appendix D2: Support and Specialist Personnel - Contact Details (SF002) .................... 16

Appendix E – Project budget ................................................................................................ 17

Appendix F1 – Risk management plan ................................................................................ 18



Appendix F2 – Risk management table................................................................................ 19

Appendix G – Internal communication management plan ................................................ 20

Appendix H – External Communications Plan ................................................................... 22

Appendix I – Records Management (example) ................................................................... 23

Appendix J - Forms and Procedures relevant to project ................................................... 25



1 Introduction This is the management plan for the Superintending team. It sets out the relevant information for the provision of surveillance and administration of the project, commensurate with the risks associated with the project.

2 Definitions Terms, abbreviations and acronyms Meaning

ID Infrastructure Delivery DBS District Business System QES Quality, Environment and Safety RS&E Road Systems and Engineering RoadTek Commercial Operations Unit Of Main Roads EOT Extension Of Time EHM Extreme, High and Medium Risks CAR Corrective Action Report NCR Non Conformance Report

DMS Document Management System (Records and Archiving)

ATP Approval to Proceed RFI Request for Information EMP Environmental Management Plan TMP Traffic Management Plan

3 Project Details Describe the project in summary, for example:

"The highway is to be widened to six lanes, with provision of noise barriers, fencing, and upgrading of drainage and traffic structures within the site."

Refer Appendix A for a more detailed outline of project.

4 Superintendents Surveillance Team Recommend inclusion of Organisational Chart


Superintendent / Principal's Agent

Name

Superintendent's Representative

Name

Package 1: Inspector

Name


Name


Name

Other Support Staff: Refer Appendix D2. (Modified CAS Form SF02)

Consider standard documents SD-01, SD02 to assist in defining delegations.

The Responsibility Matrix is defined in Appendix B.

The Contact List for the Project is shown in Appendix D1. (Modified SF07)

5 Stakeholders (affecting Surveillance) Stakeholder Location Interest/context

Communication issues are considered in "Communication"

6 Contract control

6.1 Integration / Management This plan is aligned with the contractor’s Contract Plan and the risk assessment undertaken by the Superintendent's team.

Consider pre award activities: see Contract Administration / Surveillance- Establishment (P-002).

Other considerations for effective surveillance of the contract by the Superintending team may include:

• Risk Assessment (refer Appendix F).

• Project specific forms and procedures that may be used – refer Appendix J.

• Frequency of Reviews




• Frequency of regular, and timing of specific, surveillance activities. This includes changing to suit changing risks - See Section 4.1 of "Superintendent surveillance Plan - Guideline for Development".

• Used of CAR's, Issues Management, Incident Reporting and NCR/ Improvement notices (within the team)

6.2 Procedures and Forms Detail use of locally derived, District or Main Roads based procedures or forms – Refer Appendix J.

6.3 Product Quality Surveillance Activities

The Surveillance schedule is located in Appendix C. This will be impacted by the assessed risks such as:

• Hold Points

• Materials and construction processes

• Material supply and quality

• Safety, environmental or traffic issues

• Community Issues

Issues arising are captured on the "Issues Register" (see Guideline P-028). This is maintained on site, tabled at the monthly site meeting, and attached to form part of the minutes.

6.4 Communication management

6.4.1 Internal communication Communications Plan – See Appendix G.

6.4.2 External communication See Appendix H

Consider:

• Contractor

• Service Authorities

• Community

6.4.3 Meetings Describe the various major meetings. These may include:

• Pre start Meeting

• Monthly Site Meetings



• Post Construction Conference

6.4.4 Records Management Develop a table for "Records Management" – see Appendix I.

6.5 Procurement management Suppliers (List / Date) To Be Confirmed???

6.6 Environment Surveillance activities may well be incorporated within the general surveillance schedule.

Incident management may be incorporated in general incident management, or described separately. Integration is recommended.

Detail specific activities and contacts in the event of environmental incidents. The latter may be included in the general Contacts list (SF-007). Appendix D1 includes a copy.

6.7 Safety Management Considerations may include:

• Superintendent's Site Office

• Construction Site Induction

• Site Safety / Incidents

• Risk Activities and Dangerous Incidents

6.8 Traffic Management Surveillance activities may well be incorporated within the general surveillance schedule.

Incident management may be described separately, while still using much of the standard Incident reporting processes.

Detail specific activities and contacts deemed appropriate in the event of (dangerous) traffic incidents. The latter may be included in the general Contacts list (Form SF-007). Appendix D1 includes a copy.

7 Risk Assessment Management The risk analysis process is to be carried out by the relevant members of the project team. The analysis is attached in Appendix F. Issues that are identified as having a significant risk will be managed through assigning appropriate levels of surveillance. This influences timing, frequency and the skill set requirement of the surveillance officer.



7.1 Monitoring and Review Reviews are part of the site meeting with the contractor. Identified changes to the risk profile of the contract are managed through aligning the surveillance programme. Reports are forwarded (monthly) to the principal identifying progress, issues arising and forecast.

8 Surveillance Performance Measurement Success criteria Responsibility Measurement

method KPI Target

Surveillance Plan development

Superintendent Review Completed Developed

Implementation of Surv. Plan – management of associate risks for the principal.

Superintendent Review (Risk) practices / activities undertaken

Principal related risks effectively managed

Relationships Superintendent Review / assessment

Relationship Measurement

Sound

Team satisfaction Superintendent Team Review Team Satisfaction

Sound

See Guideline document for additional notes.

9 References Contract Administration Manual

Contractor's Contract Plan

District based contract management documentation – refer

----- ooooo-----


Appendix A – Project Definition Job Number:

Local Authority:

Road:

Location:

Scope of Work:

The existing highway is to be widened to six lanes, with provision of noise barriers, fencing, and upgrading of drainage and traffic structures within the site. (Copy this into Scope statement in Main Project)

The scope includes:

• Asphalt overlay of the existing highway from

Ch3308 to Ch4500 (approx)

Ch5120 (approx) to Ch5650 (approx)

Ch6300 (approx) to Ch10500 (approx)

• Full reconstruction of the existing highway including lowering of the gradeline from

Ch4500 to Ch5120 (approx) (Brays Road)

Ch5650 (approx) to Ch6300 (Anzac Avenue)

• Minor widening into the median using full depth asphalt pavements

• Installation of silt ponds

• Upgrade of electrical installations

Contractor:

Date of the Letter of Acceptance:

Period for Practical Completion:

Original Date for Practical Completion:

Contract Amount: $XXXXXXXXXXXXX

Out of Scope:

Assumptions: for example, Foundations, services


Superintendent's Surveillance Plan Project –


Appendix B – Responsibility assignment matrix

Legend

PD Principal's Delegate EO Environmental Officer C Contractor

S Superintendent DSO Safety Officer (District) ST Soil Tester

SR Superintendent's Rep. SS Survey Services AT Asphalt Tester

SI Senior Inspector CC Cost Clerk CT Concrete Tester

I Inspector RSE Speciality surveillance <name>

A Assist C Consult O Coordinate P Primary responsibility R Review S Sign off

ROLE <EXAMPLE ONLY>

Project Staff Support Staff Others Task

S SR SI I PD EO CC DSO SS RSE C ST AT CT

Financial Approval S P

Surveillance Audits P A

Issues Registers P A

Survey Compliance Audits O A P

Material Compliance Audits O A P

ROLE <EXAMPLE ONLY>Task

Project Staff Support Staff Others



S SR SI I PD EO CC DSO SS RSE C ST AT CT Compaction Compliance Audits O A P

Concrete Compliance Audits (Material) O A P

Asphalt Compliance Audits (Laying and test procedure) O A P

Pile Driving Records P P

Construction Diary (Hand) S P P Computerised Diary & Entry into P3 Expedition A P

CAR’s P P A

Site Meetings P A A Hold Point Release (Approval to Proceed) P A O

Photographic/video/voice file Records A P A

Marking up As Constructed Drawing O P A

Forward As Constructed Drawings to Manager (Transport Planning)

P

Approval of Inspector Time & Dissection Sheets S P

Site Office Safety Audit P

Site Office Inductions P A A

Site Induction P

Formal Process Audits P A



Appendix C – Surveillance schedule

Model 1: Schedule for Gantt Chart

ID WBS ID Activity name Resources Duration Depend. Start Finish

1

2

3

4

5

6

7

8

9

10

11

12

Match Activity to Contract Programme



Model 2: Table

ID Risk Factor

Activity name Resources

(See Responsibility Matrix)

Surveillance Mechanism

Duration and Frequency of Surveillance Activity

(Match to Contract Programme)

1

2

3

4

5

6

7

8

9

10

11

12

This has more information and may also lead to a Gantt Chart for the Surveillance Schedule.


Appendix D1: Site Contact Details (SF007) The site contact list is to be kept up to date as people join or leave the project.

Job No: Project Name: Contractor:

Date of Contact List:

Name: Office Number:

Position: Mobile Number:

Location: Fax Number:

Postal Address: After Hours Number:

eMail:





eMail:





eMail:





eMail:



Appendix D2: Support and Specialist Personnel - Contact Details (SF002)

Project Name: Description:

Contractor: Contract Number:

This register is designed to list support services such as a list of technical contacts, consultants and companies that provide specialist services.

Number Description Name Telephone e- mail

1 Admin Services

2 Design

3 IT Support

4 Geotechnical Issues

5 Bitumen supply

6 Contractual Supply

7 Environmental Support




Appendix E – Project budget

ID WBS ID

Activity name Resources Frequency Start Duration

Days or % of Time

Internal labour cost

Contract labour cost

External services and material costs

Other costs

Other costs

Total costs

1

2

3

4

5

6

7

8

9

10

11

12


Appendix F1 – Risk management plan

Broad strategy for risk management Type here

A summary of significant risk factors Type here

Overall assessment of project risk Type here



Appendix F2 – Risk management table

SD-013

Revised Risk Rating No. Risk factor Proposed response / mitigation action

Like

lihoo

d

Impa

ct

Ris

k ra

ting

Liklhd Imp Rtg

Related activity number

Main Roads 8 Dec 2004 Page 19 of 25


Appendix G – Internal communication management plan

Introduction Type here

Exception reports Type here

Team Meetings Team Meetings are held <frequency> in the Site Office Conference Room. Agendas and Minutes are published < >.

Staff Satisfaction Surveys

Surveys are distributed at the end of each month. Survey results and comments are addressed at Team Meetings. Results are included in the monthly report

Management of information systems Refer - Information / Records Management procedure (P- ) for correspondence management, daily diary, photographic records and general document control.

Project office procedures Examples may include:

Mail Procedures for Site Office

Mail procedures for the site office are as follows:

Email

Email is utilised for phone messages and where necessary to record communication between team members. Team Members are to consider emails received as priority and ensure appropriate action.

Timesheets

Tadpole is completed by individuals and submitted for approval on a weekly basis. Timesheets are then printed and stored in the folder at reception.

Telephone

If calls aren’t taken they will automatically divert to reception. If team members are out of the office, they are to ensure their phones are diverted to mobiles, where possible. If team members are unavailable, telephone messages will be advised via email.

Staff Rosters

There is a white board located at reception for recording staff rosters. Approved Holidays & RDO’s are also to be recorded here. A 6 month look ahead, flexible roster records staff leave and scheduled RDO's and is available from reception. The reception Lotus Notes Calendar is utilised for site activities / meetings / events, all team members have access to this calendar and can update accordingly.



Designer / RFI All RFI’s (request for information) are forwarded to the designer, with a copy logged and maintained on site (RFI Register). Response times are to be provided to the designer. A copy is also forwarded to the Design Project Manager. Refer to Appendix C “Contact Details.”

References Refer Appendix C for contacts List



Appendix H – External Communications Plan

Contractor

Site meeting schedule

Contacts – See App D

Service Authorities

What services may require discrete and / or emergency contact.

Contacts – see App D

Community

This may include a community consultation plan.

Standard project reporting

Refer - Procedure Reporting for Principal / Principal Related Correspondence (P-010).



Appendix I – Records Management (example) Stored logged

Location

Paper Based Communication Description P3

Expedition Data base

Folder No. DMS

DBS

Reference Contractor

Financial Approvals 14

Notification of possession of

site 6

Evidence of insurance 5

Notices to tenderers 8

Project Plans 20

Schedule 27

Extension Of Time –

Requests/agreement/rejection 9

Variation

requests/approval/rejections 19

Extras

Partnering documents 13

Site Issues resolution

(Partnering) 13

Prestart Meeting minutes 17 CD05F02

Quality Prestart Meeting

Minutes 17 CD05F03

Monthly Site Meeting 17 CD05F04

Contractor’s approved Traffic

Management Plan 18

Contractor’s Initial set out of

individual installations (TMP) 18

M994 18

Working Risk Management

Plan 26

Surveillance Audits 1



Inward correspondence from

Designer (Cardno) 3

Outward correspondence from

Designer (Cardno) 4

Request for information 16

Corrective Action Reports 7

Non Conformance Reports 12

Computerised daily diary

As Constructed Program

Contractor’s Statused

construction program 17

Construction Diary (hand) 21

Photographs

Videos

Voice Files



Appendix J - Forms and Procedures relevant to project Procedures Forms

Number Description / Location Number Description / Location

•

•



SD - 015 05/2002 Page 1 of 4

SD-015: Record File Numbers DMS Storage Paper Copy Storage

Name of File Documents contained within file Are docs.scanned

Location of scanned docs.

Is paper copy kept

Paper File No.

Paper File Location

CORRESPONDENCE Incoming Correspondence

Letter, Reports, Memo's, Faxes, Emails, Minutes and Correspondence Yes, except emails Correspondence Yes, except

emails A1 Compactus

Outgoing Correspondence Letter, Reports, Memo's, Faxes, Emails, Minutes and Correspondence

Yes, except emails Correspondence Yes, except emails A2 Compactus

ADMINISTRATION Contracts Minor Works, Plant Hire, Supply, Works, Contract Letter, Progress Claims/Payments,

Contractor Variations Yes Administration Yes A3 Compactus

Tender Documents Tender Documents & Dead Tenders

Yes Administration Yes A4 Compactus

Invoices Creditor Invoices A-Z

No - Yes A5 Compactus

Financial Monthly Progress Claims, Monthly Claim Audit File, Petty Cash Claims, Credit Applications/Agreements, Creditor Purchase Orders, Salary Staff Leave, Final Release & Waivers

No - Yes A6

Employee Relations Employee Details, Weekly Timesheets, Employee Leave, Employee WorkCover Claims, Employee Classification Changes, Project Certified Agreement, Commerce Queensland, Training


Partnering Team Minutes, Handouts

Yes, except general info Correspondence Yes A8 Compactus

Insurance Insurance

Yes Administration Yes A10 Compactus

Legal Documents


MANAGEMENT SYSTEM NCR

Non Conformance Reports Yes, at end of

month Management System Doc. Yes M1

Audits Audit Reports, Supplier Audits, Audit Schedules

Yes Management System Doc. Yes M2

Approved Documents Plans, Manuals, Procedures, Inspection & Test Plans, Forms, Check Lists, Construction Method Statements, Safe Work Method Statements, Review & Approval Forms

Yes Management System Doc. Yes M3

Request for Information Forms, Register, RFI

Yes, at end of month

Management System Doc. Yes M4

Position Descriptions Position Descriptions

No - Yes M5

Calibration Test Methods/Inspection Measurement Test Equipment (IMTE) Register

No - Yes M6


SD - 015 05/2002 Page 2 of 4

DMS Storage Paper Copy Storage Name of File Documents contained within file Are

docs.scanned Location of

scanned docs.Is paper copy

kept Paper File

No. Paper File Location

CONSTRUCTION Meetings

(a)Tool Box Meeting Minutes (b) Prestart Meetings (c) Safety Committee

Yes Construction Yes C1 Compactus

Safety Inspections

(a) Operators Daily Check Sheets (b) Daily Site Safety Checks (c) Weekly Site Safety Checks (d) Senior Management Site Safety Checks (e) Pre Commencement Crane Check, Plant Condition Report (f) Electrical Equipment Register, First Aid Kit Checks, Fire Extinguisher Checks

No - Yes C2 Compactus

Incidents Register of Injuries, Incident Reports and Investigations


Inductions (a) Site Induction / Register (b) Short Term Inductions (c) Non Permanent Site Personnel


Other Safety Records

(a) Operators Certificates, Confined Space Entry, Permits/Information – Excavation Permits Completed

(b) Safety Equipment Issue (c) Delivery & Pick up Instructions – Various Companies


Lot Records (a) Process Control Plans, Inspection & Test Plans, Forms & Checklist Test Results, Traffic

Control Plans, Lot Completed Records (b) Work Method, Risk Assessments

Yes Construction Yes C6 Compactus

Manufacturer's Data & Technical Queries

(a) Technical Queries, Safety Alerts (b) Material Safety Data Sheets, Hazardous Substances Register


External Quality & Safety Records Quality Assurance & Safety Procedures

Yes Construction Yes C8

Survey Records Survey Records, Quantities

No - Yes C9

Plant & Equipment (a) (a) General (b) Major Plant Checklist – Crane (c) Major Plant Checklist - Plant


Construction Program Construction Program, Short Term Rolling Program, Fortnightly Program, Extension of Time, Extension of Time Register


Safety Alerts Safety Alerts


Construction Minutes Minutes from Civil Works and Structures Meetings


Traffic Service Authority Design Approvals

Yes Construction Yes C15

Personnel Surveys Personnel Surveys (Field Personnel and Project Staff)



SD - 015 05/2002 Page 3 of 4




kept Paper File


DESIGN External Drawings

External Drawings Yes Design Yes D1 Compactus

Master Control Drawings Internal Drawings

Yes Design Yes D2 Compactus

Design Reports Concept Preliminary & Final Design Reports


Brief & Specifications Briefs & Standard & Supplementary Specifications


Designer Site Notes Designer Site Notes


Transmittals Transmittals

No/Electronic Transmittal Yes D6 Compactus

Design Calculations

(a) Geometry (b) Drainage (c) Structures (d) Pavements (e) Noise (f) Settlement

No - Yes D7

Landscape Files

(a) Landscape Design Programs / Actions and Requests (b) Landscape Specification (c) Soil Tests and Landscape Trials (d) Landscape Contractor and Landscape Suppliers (e) Landscape Cost Estimates (f) Plant Species List and Seed Information

No - Yes

D8 D9

D10 D11 D12 D13

ENVIRONMENTAL AND STAKEHOLDER Environmental Reports

(a) Historical environmental information e.g. IAS, Environmental Reports compiled pre-project

(b) Pre-construction e.g. Environmental Design Report, EMP (Planning) (c) Environmental Work Method Statements, Risk Analysis (d) Monthly Environmental Reports (e) Key Performance Indicator reporting

No

Yes Yes Yes Yes

Stakeholder

Yes

ES1

ES2 ES3 ES4 ES5

Environmental Meetings & Training

(a) Toolbox Talk Minutes (b) Environmental Steering Committee Minutes (c) Environmental Training information, attendance records

Yes Yes No

Stakeholder Yes ES6 ES7 ES8

Environmental Inspections (a) Daily inspections (b) Weekly inspections (c) Audits (internal & external)

No Yes Yes

Stakeholder Yes ES9

ES10 ES11


SD - 015 05/2002 Page 4 of 4




kept Paper File


Environmental Monitoring

(a) Baseline – Water Quality (b) Baseline – Noise (c) Baseline – Air Quality (d) Baseline – Vibration (e) Baseline – Contaminated Land (f) Baseline – Acid Sulfate Soil (g) Construction – Water Quality (h) Construction – Noise (i) Construction – Air Quality (j) Construction – Vibration (k) Construction – Contaminated Land (l) Construction – Acid sulfate soil

Yes – only summary

spreadsheet Stakeholder Yes

ES12 ES13 ES14 ES15 ES16 ES17 ES18 ES19 ES20 ES21 ES22 ES23

Environmental Incidents & Complaints (a)

(a) Complaints – Complaints register, follow up actions (b) Incidents – notification of incident, incident report, follow up action (c) Non-conformances – non-conformance report, corrective action

No No Yes

Stakeholder Yes ES24 ES25 ES26

Cultural Heritage

? Stakeholder Yes ES27

Licenses & Permits Licenses & Permits

Yes Stakeholder Yes ES28

Newsletters Newsletters and distribution details

No (Newsletters only) Stakeholder Yes

ES29

Record of Consultation Record of Consultation, Minutes of Meetings, Ministerial

No (Minutes only) - Yes ES30

Media Advertisements, Articles,

No - Yes ES31

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