CAS SampleDocuments

Contract Administration System
Index of Sample Documents

Doc ID
Title
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
Standard Documents List
Date
05/2002
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 &
30.5
Acceptance of defective materials and valuation.
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: 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).
Develop procedures and processes for critical activities in area of responsibility
Contract Surveillance (if requested)
Delegations
SD - 004
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 nonconformance 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.
As stated in delegations letter.
27/01/2005
Page 1 of 1
SD-006: Principals Quarterly Report
Principals 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 1 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
o
o
o
o
o
SD - 006
Extension of Time Register

Variation Register
Corrective Action Register
Non-Conformance Register
Cost Forecast Spreadsheet
Construction Program
27/01/2005
Page 2 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
Principals materials at
(date)
Variations to Principals
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 3 of 5
4.0 Program and Progress

Works commenced onsite
and are summarised as follows:
Works in total are estimated at being complete

estimate)
(Contractors percentage
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 4 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
Principals
Materials
Departmental
Costs
TOTAL
SD - 006
27/01/2005
Page 5 of 5
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 - 007
27/01/2005
Page 1 of 1
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
Preconstruction Was the project scope controlled during the
preconstruction process?
What significant issues were identified during
consultation?
Comments
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
RIP Delivery
Project
Delivery
Question
Were there significant pavement design
issues?
Comments
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?
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?
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
Outcome
Question
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?
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?
Comments
ASSOCIATED DOCUMENTATION
C6015
C6119
General Conditions of Contract - Works by Local Government

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: As Constructed Design Changes

No.
SD - 009
Description
Chainage
27/01/2005
Plan No.
Page 1 of 1
SD-010: Post Construction Report

<Project description>
<Shire>
<Road Name>
<Project chainage>
Job No. <####>
<Contractor>
Date <******>
<<<INSERT PROJECT IMAGE HERE>>>
SD - 010
27/01/2005

Project Name: <<DESCRIPTION>>
Job Number: <<NUMBER>>
TABLE OF CONTENTS
1
INTRODUCTION
1.1
Project Description
1.2
Contract Type
PROJECT RESOURCES
2.1
Main Roads Staff
2.2
Contract Staff
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
CONSTRUCTION ASPECTS
4.1
Working Platform
4.2
Wearing Course
4.3
Pavement Configuration
4.4
Screening Sizes
PROGRAM AND PROGRESS
5.1
Performance of Contractor
5.2
Design Issues
5.3
Public Relations & Consultation
5.4
Material Sources
5.5
Quality, NCRs & CARs
5.5.1
Quality
5.5.2
Contractors NCRs
5.5.3
Departments CARs
5
5
5
5
SD - 010
27/01/2005

5.6
Financial Performance
5.6.1
Contractor
5.6.2
Departmental
6
6
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
6.7
Specifications
ATTACHMENTS
7.1
Performance Reports
7.2
7.3
Financial Data
7.4
Monitor Registers
7.5
Other
SD - 010
27/01/2005
ii

1 Introduction
1.1
Project Description
1.2
Contract Type
SD - 010
27/01/2005

2 Project Resources
2.1
Main Roads Staff
2.2
Contract Staff
SD - 010
27/01/2005

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

4 Construction Aspects
4.1
Working Platform
4.2
Wearing Course
4.3
Pavement Configuration
4.4
Screening Sizes
SD - 010
27/01/2005

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, NCRs & CARs
5.5.1 Quality
5.5.2 Contractors NCRs
5.5.3 Departments CARs
SD - 010
27/01/2005

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

6.7
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
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

7.5
Variations to Time Register
Variations/Claims Register
Principals Materials Variation Register
As Constructed Register
Other
Final Project Records Checklist
SD - 010
27/01/2005
Superintendent's Surveillance Plan

(SD-13)
Project name
Contract Number
Location
Name
Job title
Branch/District
Division/Region
Floor, street, city
Version no.
Revision date
2
8 December 2004
Status
Draft/Final review/Sign off (delete 2 of)

DMS reference number
File number/document number
Prepared by
Title
Branch/District
Division/Region
DMS ref. no.

File/Doc no.

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
09/24/2004
DC
Initial draft.
8/12/2004
DC
Draft for Comment
Project Plan Endorsement

The following officers have deemed this plan suitable.
Name
Position
Manager (Infrastructure Delivery) or ID (Project Manager)
Signature
Date
Name
Position
District Director
Signature
Main Roads
SD-013
Date
8 Dec 2004
Page 2 of 25

Project -
Contents
1
Introduction................................................................................................................ 5
Definitions ................................................................................................................... 5
Project Details ............................................................................................................ 5
Superintendents Surveillance Team......................................................................... 5
Stakeholders (affecting Surveillance)....................................................................... 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
6.4.2
6.4.3
6.4.4
Internal communication ........................................................................................................... 7

External communication .......................................................................................................... 7
Meetings................................................................................................................................... 7
Records Management............................................................................................................... 8
6.5
Procurement management............................................................................................ 8
6.6
Environment................................................................................................................. 8
6.7
Safety Management...................................................................................................... 8
6.8
Traffic Management..................................................................................................... 8
Risk Assessment Management .................................................................................. 8
7.1
Monitoring and Review ............................................................................................... 9
Surveillance Performance Measurement................................................................. 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
Main Roads
SD-013
8 Dec 2004
Page 3 of 25

Project 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
Main Roads
SD-013
8 Dec 2004
Page 4 of 25

Project -
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.
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
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.
Superintendents Surveillance Team

Recommend inclusion of Organisational Chart
Main Roads
SD-013
8 Dec 2004
Page 5 of 25

Project -
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)
Stakeholders (affecting Surveillance)

Stakeholder
Location
Interest/context
Communication issues are considered in "Communication"
Contract control
6.1
Integration / Management
This plan is aligned with the contractors Contract Plan and the risk assessment
undertaken by the Superintendent's team.
Consider pre award activities: see Contract Administration / SurveillanceEstablishment (P-002).
Other considerations for effective surveillance of the contract by the Superintending
team may include:
Main Roads
SD-013
Risk Assessment (refer Appendix F).
Project specific forms and procedures that may be used refer Appendix J.
Frequency of Reviews
8 Dec 2004
Page 6 of 25

Project -
6.2
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)
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:
Main Roads
SD-013
Pre start Meeting
Monthly Site Meetings

8 Dec 2004
Page 7 of 25

Project
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:
6.8
Superintendent's Site Office
Construction Site Induction
Site Safety / Incidents
Risk Activities and Dangerous Incidents
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 SF007). Appendix D1 includes a copy.
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.
Main Roads
SD-013
8 Dec 2004
Page 8 of 25

Project -
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.
Surveillance Performance Measurement

Success criteria
Responsibility
Measurement KPI
method
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 Sound
Measurement
Team satisfaction
Superintendent
Team Review
Team
Satisfaction
Sound
See Guideline document for additional notes.
References
Contract Administration Manual
Contractor's Contract Plan
District based contract management documentation refer
----- ooooo-----
Main Roads
SD-013
8 Dec 2004
Page 9 of 25

Project -
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
Main Roads
SD-013
8 Dec 2004
Page 10 of 25

Project
Appendix B Responsibility assignment matrix

Legend
PD
Principal's Delegate
EO
Superintendent
SR
Contractor
DSO Safety Officer (District)
ST
Soil Tester
Superintendent's Rep.
SS
Survey Services
AT
Asphalt Tester
SI
Senior Inspector
CC
Cost Clerk
CT
Concrete Tester
Inspector
RSE
Speciality surveillance <name>
A Assist
C Consult
Environmental Officer
O Coordinate
Primary responsibility
R Review
Sign off
ROLE <EXAMPLE ONLY>

Task
Financial Approval
Project Staff
S
SR
SI
Surveillance Audits
Issues Registers
Survey Compliance Audits
Material Compliance Audits
Task
PD
EO
CC
DSO
SS
Others
RSE
ST
AT
P
P
ROLE <EXAMPLE ONLY>
Project Staff
Main Roads
SD-013
Support Staff
8 Dec 2004
Support Staff
Page 11 of 25
Others
CT

Project
S
SR
SI
PD
EO
CC
DSO
SS
RSE
ST
Compaction Compliance
Audits
Concrete Compliance Audits
(Material)
Asphalt Compliance Audits
(Laying and test procedure)
Pile Driving Records
Construction Diary (Hand)
Computerised Diary & Entry

into P3 Expedition
CARs
Site Meetings
Hold Point Release

(Approval to Proceed)
Photographic/video/voice file
Records
Marking up As Constructed
Drawing
Forward As Constructed
Drawings to Manager
(Transport Planning)
Approval of Inspector Time &
Dissection Sheets
Site Office Safety Audit

Site Office Inductions
P
S
P
P
Site Induction
Formal Process Audits
Main Roads
SD-013
P
P
8 Dec 2004
AT
Page 12 of 25
CT

Project
Appendix C Surveillance schedule

Model 1: Schedule for Gantt Chart
ID
WBS ID
Activity name
Resources
Duration
1
2
3
4
5
6
7
8
9
10
11
12
Match Activity to Contract Programme
Main Roads
SD-013
8 Dec 2004
Page 13 of 25
Depend.
Start
Finish

Project
Model 2: Table
ID
Risk
Activity name
Factor
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.
Main Roads
SD-013
8 Dec 2004
Page 14 of 25

Project
Appendix D1: Site Contact Details (SF007)

The site contact list is to be kept up to date as people join or leave the project.
Project Name:
Contractor:
Job No:
Date of Contact List:
Name:
Office Number:
Position:
Mobile Number:
Location:
Fax Number:
Postal Address:
After Hours Number:

eMail:
Name:
Office Number:
Position:
Mobile Number:
Location:
Fax Number:
Postal Address:
After Hours Number:

eMail:
Name:
Office Number:
Position:
Mobile Number:
Location:
Fax Number:
Postal Address:
After Hours Number:

eMail:
Name:
Office Number:
Position:
Mobile Number:
Location:
Fax Number:
Postal Address:
After Hours Number:

eMail:
Main Roads
SD-013
8 Dec 2004
Page 15 of 25

Project
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
Admin Services
Design
IT Support
Geotechnical Issues
Bitumen supply
Contractual Supply
Environmental
Support
Main Roads
SD-013
Name
Telephone
8 Dec 2004
e- mail
Page 16 of 25

Project
Appendix E Project budget

ID
WBS
ID
Activity name
Resources
Frequency Start
Duration
Internal
labour
Days or % cost
of Time
Contract
labour
cost
1
2
3
4
5
6
7
8
9
10
11
12
Main Roads
SD-013
8 Dec 2004
Page 17 of 25
External Other
services costs
and
material
costs
Other
costs
Total costs

Project
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
Main Roads
SD-013
8 Dec 2004
Page 18 of 25

Project
Main Roads
SD-013
8 Dec 2004
Risk rating
Risk factor
Impact
No.
Likelihood
Appendix F2 Risk management table

Proposed response / mitigation action
Revised Risk Rating

Liklhd
Page 19 of 25
Imp
Rtg
Related
activity
number

Project
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 arent 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 & RDOs 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.
Main Roads
SD-013
8 Dec 2004
Page 20 of 25

Project
Designer / RFI
All RFIs (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
Main Roads
SD-013
8 Dec 2004
Page 21 of 25

Project
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).
Main Roads
SD-013
8 Dec 2004
Page 22 of 25

Project
Appendix I Records Management (example)

Stored
logged
Location
DBS
Communication Description
P3
Expedition
Paper Based
Data base
DMS
Contractor
Reference
Folder No.
14
Evidence of insurance
Notices to tenderers
Project Plans
20
Schedule
27
Extension Of Time
19
Extras
Partnering documents
13
13
17
CD05F02
17
CD05F03
17
CD05F04
18
18
18
26
Financial Approvals
Notification of possession of
site
Requests/agreement/rejection
Variation
requests/approval/rejections
Site Issues resolution

(Partnering)
Prestart Meeting minutes
Quality Prestart Meeting
Minutes
Monthly Site Meeting
Contractors approved Traffic
Management Plan
Contractors Initial set out of
individual installations (TMP)
M994
Working Risk Management
Plan
Surveillance Audits
Main Roads
SD-013
8 Dec 2004
Page 23 of 25

Project
Inward correspondence from
Request for information
16
Corrective Action Reports
Non Conformance Reports
12
Computerised daily diary
As Constructed Program

17
21
Designer (Cardno)
Outward correspondence from
Designer (Cardno)
Contractors Statused
construction program
Construction Diary (hand)
Photographs
Videos
Voice Files
Main Roads
SD-013
8 Dec 2004
Page 24 of 25

Project
Appendix J - Forms and Procedures relevant to project

Procedures
Number
Forms
Description / Location
Number
Description / Location
Main Roads
SD-013
8 Dec 2004
Page 25 of 25
SD-015: Record File Numbers

DMS Storage
Name of File
Documents contained within file
Are
docs.scanned
Location of
scanned docs.
Paper Copy Storage

Is paper copy
kept
Paper File
No.
Paper File
Location
Yes, except emails Correspondence
Yes, except
emails
A1
Compactus
Yes, except emails Correspondence
Yes, except
emails
A2
Compactus
CORRESPONDENCE
Incoming Correspondence
Outgoing Correspondence
Letter, Reports, Memo's, Faxes, Emails, Minutes and Correspondence

Letter, Reports, Memo's, Faxes, Emails, Minutes and Correspondence
ADMINISTRATION
Contracts
Tender Documents
Invoices
Financial
Employee Relations
Partnering Team
Insurance
Minor Works, Plant Hire, Supply, Works, Contract Letter, Progress Claims/Payments,
Contractor Variations
Tender Documents & Dead Tenders
Creditor Invoices A-Z
Monthly Progress Claims, Monthly Claim Audit File, Petty Cash Claims, Credit
Applications/Agreements, Creditor Purchase Orders, Salary Staff Leave, Final Release &
Waivers
Employee Details, Weekly Timesheets, Employee Leave, Employee WorkCover Claims,
Employee Classification Changes, Project Certified Agreement, Commerce Queensland,
Training
Minutes, Handouts
Insurance
Legal Documents
Yes
Administration
Yes
A3
Compactus
Yes
Administration
Yes
A4
Compactus
No
Yes
A5
Compactus
No
Yes
A6
No
Yes
A7
Compactus
Yes, except
general info
Correspondence
Yes
A8
Compactus
Yes
Administration
Yes
A10
Compactus
No
Yes
A11
Compactus
Yes, at end of
month
Management
System Doc.
Yes
M1
Yes
Management
System Doc.
Yes
M2
Yes
Management
System Doc.
Yes
M3
Yes, at end of
month
Management
System Doc.
Yes
M4
No
Yes
M5
No
Yes
M6
MANAGEMENT SYSTEM
NCR
Non Conformance Reports
Audits
Audit Reports, Supplier Audits, Audit Schedules
Approved Documents
Request for Information
Position Descriptions
Calibration
SD - 015
Plans, Manuals, Procedures, Inspection & Test Plans, Forms, Check Lists, Construction
Method Statements, Safe Work Method Statements, Review & Approval Forms
Forms, Register, RFI
Position Descriptions
Test Methods/Inspection Measurement Test Equipment (IMTE) Register
05/2002
Page 1 of 4
DMS Storage
Name of File
Paper Copy Storage
Are
docs.scanned
Location of
scanned docs.
Is paper copy
kept
Paper File
No.
Paper File
Location
Yes
Construction
Yes
C1
Compactus
No
Yes
C2
Compactus
No
Yes
C3
Compactus
No
Yes
C4
Compactus
No
Yes
C5
Compactus
Yes
Construction
Yes
C6
Compactus
No
Yes
C7
Compactus
Yes
Construction
Yes
C8
No
Yes
C9
No
Yes
C10
Compactus
No
Yes
C11
Compactus
No
Yes
C13
Compactus
No
Yes
C14
Compactus
Yes
Construction
Yes
C15
No
Yes
C16
CONSTRUCTION
Meetings
Safety Inspections
Incidents
Inductions
Other Safety Records

Lot Records
Manufacturer's Data &
Technical Queries
External Quality & Safety
Records
Survey Records
Plant & Equipment (a)
Construction Program
Safety Alerts
Construction Minutes
Traffic
(a)Tool Box Meeting Minutes

(b) Prestart Meetings
(c) Safety Committee
(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
Register of Injuries, Incident Reports and Investigations
(a) Site Induction / Register
(b) Short Term Inductions
(c) Non Permanent Site Personnel
(a) Operators Certificates, Confined Space Entry, Permits/Information Excavation Permits
Completed
(b) Safety Equipment Issue
(c) Delivery & Pick up Instructions Various Companies
(a) Process Control Plans, Inspection & Test Plans, Forms & Checklist Test Results, Traffic
Control Plans, Lot Completed Records
(b) Work Method, Risk Assessments
(a)
(b)
Technical Queries, Safety Alerts

Material Safety Data Sheets, Hazardous Substances Register
Quality Assurance & Safety Procedures

Survey Records, Quantities
(a) General
(b) Major Plant Checklist Crane
(c) Major Plant Checklist - Plant
Construction Program, Short Term Rolling Program, Fortnightly Program, Extension of Time,
Extension of Time Register
Safety Alerts
Minutes from Civil Works and Structures Meetings
Service Authority Design Approvals
Personnel Surveys
SD - 015
Personnel Surveys (Field Personnel and Project Staff)
05/2002
Compactus
Page 2 of 4
DMS Storage
Name of File
Paper Copy Storage
Are
docs.scanned
Location of
scanned docs.
Is paper copy
kept
Paper File
No.
Paper File
Location
Yes
Design
Yes
D1
Compactus
Yes
Design
Yes
D2
Compactus
Yes
Design
Yes
D3
Compactus
Yes
Design
Yes
D4
Compactus
Yes
Design
Yes
D5
Compactus
No/Electronic
Transmittal
Yes
D6
Compactus
No
Yes
D7
Yes
D8
D9
D10
D11
D12
D13
DESIGN
External Drawings
Master Control Drawings
Design Reports
Brief & Specifications
Designer Site Notes
Transmittals
Design Calculations
Landscape Files
External Drawings
Internal Drawings
Concept Preliminary & Final Design Reports
Briefs & Standard & Supplementary Specifications
Designer Site Notes
Transmittals
(a) Geometry
(b) Drainage
(c) Structures
(d) Pavements
(e) Noise
(f) Settlement
(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
ENVIRONMENTAL AND STAKEHOLDER

(a)
Environmental Reports
Environmental Meetings &

Training
Environmental Inspections
SD - 015
(b)
(c)
(d)
(e)
(a)
(b)
(c)
(a)
(b)
(c)
Historical environmental information e.g. IAS, Environmental Reports compiled preproject

Pre-construction e.g. Environmental Design Report, EMP (Planning)
Environmental Work Method Statements, Risk Analysis
Monthly Environmental Reports
Key Performance Indicator reporting
Toolbox Talk Minutes
Environmental Steering Committee Minutes
Environmental Training information, attendance records
Daily inspections
Weekly inspections
Audits (internal & external)
05/2002
No
Yes
Yes
Yes
Yes
Yes
Yes
No
No
Yes
Yes
ES1
Stakeholder
Yes
Stakeholder
Yes
Stakeholder
Yes
ES2
ES3
ES4
ES5
ES6
ES7
ES8
ES9
ES10
ES11
Page 3 of 4
DMS Storage
Name of File
Environmental Monitoring
Environmental Incidents &

Complaints (a)

(a)
(b)
(c)
(d)
(e)
(f)
(g)
(h)
(i)
(j)
(k)
(l)
Baseline Water Quality

Baseline Noise
Baseline Air Quality
Baseline Vibration
Baseline Contaminated Land
Baseline Acid Sulfate Soil
Construction Water Quality
Construction Noise
Construction Air Quality
Construction Vibration
Construction Contaminated Land
Construction Acid sulfate soil
(a)
(b)
(c)
Complaints Complaints register, follow up actions

Incidents notification of incident, incident report, follow up action
Non-conformances non-conformance report, corrective action
Cultural Heritage
Licenses & Permits
Newsletters
Record of Consultation
Media
Licenses & Permits

Newsletters and distribution details
Record of Consultation, Minutes of Meetings, Ministerial
Advertisements, Articles,
SD - 015
05/2002
Paper Copy Storage
Are
docs.scanned
Location of
scanned docs.
Is paper copy
kept
Yes only
summary
spreadsheet
Stakeholder
No
No
Yes
Stakeholder
Yes
Stakeholder
Yes
Yes
Stakeholder
Yes
No (Newsletters
only)
Stakeholder
Yes
No (Minutes only)
Yes
No
Yes
Yes
Paper File
No.
ES12
ES13
ES14
ES15
ES16
ES17
ES18
ES19
ES20
ES21
ES22
ES23
Paper File
Location
ES24
ES25
ES26
ES27
ES28
ES29
ES30
ES31
Page 4 of 4

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Contract Administration System

Index of Sample Documents

Powers and Duties Not delegated to Superintendent's

Duty Statement for

Duty Statement for Inspector

Principal's Quarterly Report

Measured Quantity Report

Agenda for End of Project Debrief

As Constructed Design Changes

Post Construction Report

Superintendent's Surveillance Plan Pro Forma

Record File Numbers

Standard Documents List

Contract Administration System

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

Interpretation on and valuation of any ambiguity.

Delegate powers or revoke delegation.

Remove Contractor's employees.

Acceptance of defective materials and valuation.

Approve working hours

Declare a default under the Contract due to unsatisfactory progress.

Order acceleration of the work.

Suspend the Progress of the Works.

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

Assess liquidated damages on partially completed works.

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

Reduce Defects Liability Period.

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

For additional work,

To work outside agreed working hours.

Contract Administration System

Agree or assess rate for unscheduled work.

Issue Certificate of Practical Completion.

Issue Final Certificate.

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

Make decisions on claims, or refer claims to arbitration.

Contract Administration System

SD-003: Duty Statement for _____________

Contract Administration System

SD-004: Duty Statement for Inspector

INSPECTOR (ID) CONTRACTS

PRINCIPAL ENGINEER (ID) CONTRACTS / ENGINEERS (ID)

Refer to Organisational Structure [STRUCTURE]

Refer to Unit's Financial Delegation Extract

Refer to Human Resource Delegation

Refer to Instrument of Delegation

Be proactive and report any deficiencies or possible improvements in this

Undertake the role of Inspector on construction and maintenance works carried

Contract Administration System

SD-006: Principals Quarterly Report

Principals Quarterly Report No.

Contract Administration System

Extension of Time Register

Contract Administration System

2.0 Project Costs

3.0 Project Status

Contract Administration System

4.0 Program and Progress

and are summarised as follows:

Works in total are estimated at being complete

5.0 Construction Program

6.0 Extensions of Time

11.0 Traffic Matters

14.0 Public Relations/ Community Consultation