Difference between revisions of "DCOM Volume III Appendix 1"

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== APPENDICES ==
 
== APPENDICES ==
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=== Appendix 1: Template for Contract Management Plan ===
+
=== Appendix 1:Template for Contract Management Plan ===
−
<br>
+
 
 
[[File:App_1.PNG|700px]]<br>
 
[[File:App_1.PNG|700px]]<br>
−
Contract Manager/Supervisor Sign-off
+
 
 +
Contract Manager/Supervisor Sign-off <br>
 
I, as Contract Manager/Supervisor, will ensure that relevant legislation, policies and organizational requirements relating to contract management are adhered to.
 
I, as Contract Manager/Supervisor, will ensure that relevant legislation, policies and organizational requirements relating to contract management are adhered to.
  
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Date:...........................................................<br>
 
Date:...........................................................<br>
  
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+
Plan Approval<br>
−
 
 
−
Plan Approval
 
 
Signature:......................................................<br>
 
Signature:......................................................<br>
 
Name:...........................................................<br>
 
Name:...........................................................<br>
 
Position:.......................................................<br>
 
Position:.......................................................<br>
 
Date:...........................................................<br>
 
Date:...........................................................<br>
 +
 +
'''1. BACKGROUND'''<br>
 +
The [Insert name of Client] has awarded a contract for [Insert contract description] to [Insert name of Contractor].<br>
 +
 +
Provide brief background on:<br>
 +
• the branch/directorate<br>
 +
• the tendering and contracting process<br>
 +
• the selection of the successful Contractor<br>
 +
 +
The following documents are either referenced or relate to this contract management plan:<br>
 +
• Signed Works Contract <br>
 +
• [List Client contract management policies and other relevant documents ] <br>
 +
 +
'''2. PURPOSE AND OBJECTIVES'''<br>
 +
The purpose of this contract management plan is to document the key activities and tasks required to manage this contract to ensure that the objectives of the contract are achieved.<BR>
 +
The plan describes how the Client and the Contractor will work together over the life of the contract to ensure timely delivery of goods and services meeting the requirements specified in the contract.
 +
This plan will be used by the Client to review the performance of the contract and monitor the achievement of the contract outcomes.<br>
 +
 +
The objectives of this contract are to:<br>
 +
• [Identify objectives – refer acquisition plan and/or tender documentation]<br>
 +
• e.g. to ensure cost effective and efficient delivery of contracted goods/services;<br>
 +
• e.g. to ensure the continuous and timely supply of quality goods<br>
 +
• etc.<br>
 +
 +
'''3.PROCUREMENT KEY DELIVERABLES'''<BR>
 +
The key deliverables of this contract are:<br>
 +
• [identify key deliverables – refer contract documentation]<br>
 +
• etc.
 +
 +
Contractual Milestones and Deliverables<br>
 +
[[File:App_6.PNG|700px]]<br>
 +
 +
'''4. CONTRACT SUMMARY'''<br>
 +
 +
[[File:App_8.PNG|700px]]<br>
 +
 +
The following bank guarantees and other securities apply to this contract:<br>
 +
• specify securities<br>
 +
The following statutory and regulatory requirements are relevant to this contract:<br>
 +
• detail these requirements including work, health and safety, environmental, human resources etc.
 +
 +
The following warranties apply to this contract:<br>
 +
• document warranty provisions of contract<br>
 +
• detail how warranty provisions are to be managed during the life of the contract
 +
 +
Key contract conditions and clauses relevant to this contract include:<br>
 +
• [Insert key details including intellectual property ownership etc.]<br>
 +
• [Insert details of any other requirements (eg industry participation policy) that parties are required to comply with]
 +
 +
'''5. ROLES, RESPONSIBILITIES AND GOVERNANCE'''<br>
 +
 +
=== Governance Structure ===
 +
[Describe the governance structure relevant to the contract. Where possible include a diagram showing the key parties, the hierarchy, lines of reporting etc.]
 +
 +
=== Key Contacts, Roles and Responsibilities ===
 +
[Insert all key personnel for Contractor, Employer and the Consultant AND other important parties]<br>
 +
 +
[[File:App_10.PNG|700px]]<br>
 +
 +
=== Contract Manager ===
 +
 +
The contract manager/supervisor is responsible for:<br>
 +
• ensuring the contract outcomes are achieved;<br>
 +
• managing and addressing contract risks;<br>
 +
• identifying and addressing opportunities for improving the contract;<br>
 +
• maintaining good relationships with the Contractor<br>
 +
• scheduling regular contract management meetings; <br>
 +
• communicating with users, stakeholders and clients;<br>
 +
• ensuring that performance measures are met;<br>
 +
• providing performance reports to senior managers or the governance committee;<br>
 +
• addressing problems and conflicts that may arise; and<br>
 +
• assessing and (where required) seeking approval for any variations to the contract.<br>
 +
 +
The contract manager/supervisor should regularly refer to the contract management plan and ensure it is amended or updated as required to reflect any changes in circumstances during the operation of the contract.
 +
 +
The Contractor’s contract manager is<br>
 +
Name:<br>
 +
Position:<br>
 +
Address:<br>
 +
Telephone:<br>
 +
Email: <br>
 +
 +
=== Oversight Committee ===
 +
If an oversight committee is required please complete the following; if not relevant, delete.
 +
<br>
 +
A Contract Management Committee comprising the following members will provide oversight of the contract:<br>
 +
• insert names of committee members<br>
 +
• insert names of committee members <br>
 +
• etc
 +
 +
The role of this committee is to:<br>
 +
• list the committee responsibilities <br>
 +
• etc
 +
 +
=== Communication ===
 +
The following communication strategies and protocols will be used to communicate with the Contractor, users and key stakeholders:<br>
 +
 +
[[File:App_11.PNG|700px]]<br>
 +
 +
The following documents relating to the contract will be stored and filed for reference and audit purposes:<br>
 +
 +
• [Insert the name of the document, the version number and where they are held, for example, transition plans, risk management plans. Include any relevant documents that have been referred to in this plan.]<br>
 +
 +
'''6. CONTRACT MANAGEMENT MEETINGS'''<br>
 +
Contract management meetings will be held every one/three months (update as appropriate).<br>
 +
Attendees at these meetings are:<br>
 +
• Contract manager/Supervisor <br>
 +
• Contractor contract manager <br>
 +
• insert name of other attendees <br>
 +
• etc
 +
 +
A standard agenda (refer Attachment One) is to be used.<br>
 +
The contract manager shall organise the meeting and prepare minutes after each meeting.<br>
 +
The following meetings shall also be held:<br>
 +
 +
[[File:App_13.PNG|700px]]<br>
 +
 +
'''7.IMPLEMENTATION APPROACH'''<br>
 +
Contract implementation is a critical period that can entail specific risks and challenges.<br>
 +
The following implementation approach will be adopted:<br>
 +
• development of an implementation plan;<br>
 +
• a contract start-up meeting with the Contractor and key stakeholders will be held to discuss implementation;<br>
 +
• [Insert other details including, for example, establishment of governance committee, communication to users and stakeholders, briefings, timeframes, resources and strategies to address identified risks.]<br>
 +
The following transition in tasks and responsibilities will be addressed for this contract:<br>
 +
• [Where applicable, list details such as planning the kick-off Meeting, handover, etc.]<br>
 +
 +
'''8.RISK MANAGEMENT, INSURANCE, GUARANTEES AND SECURITIES'''<br>
 +
 +
=== Risk management ===
 +
The contract manager/supervisor is responsible for identifying and managing risks during the contract.<br>
 +
The contract manager must ensure systems are in place to monitor emerging risks so that appropriate actions can be taken proactively.<br>
 +
The following key contractual risks have been identified and will be monitored, treated and mitigated:<br>
 +
• [Insert details including risks that were identified earlier in the procurement process]<br>
 +
 +
=== Insurance ===
 +
The following insurance certificates are current and will be monitored to ensure future currency through the life of the contract:<br>
 +
 +
[[File:App_16.PNG|700px]]
 +
 +
=== Guarantees and Securities ===
 +
[[File:App_17.PNG|700px]]<br>
 +
 +
9.PERFORMANCE MANAGEMENT<br>
 +
 +
=== Reports ===
 +
The key milestones relating to the performance of this contract are:<br>
 +
• [List details]<br>
 +
 +
The following key performance indicators will be used to measure the performance of the contract:<br>
 +
• [List performance indicators]<br>
 +
 +
'''Key Performance Indicators (to measure performance and outcomes)'''<br>
 +
 +
[[File:App_19.PNG|700px]]<br>
 +
 +
'''Underperformance/ default contractual actions'''<br>
 +
 +
[[File:App_20.PNG|700px]]
 +
 +
The following reports will be provided by the Contractor:<br>
 +
• [List details - refer specification or statement of requirements in the contract]<br>
 +
 +
[[File:App_21.PNG|700px]]<br>
 +
 +
The following reports will be prepared by the Contract Manager/Supervisor<br>
 +
 +
[[File:App_22.PNG|700px]]<br>
 +
 +
=== Records Management ===
 +
[[File:App_23.PNG|700px]]<br>
 +
 +
===Issues===
 +
'''Issues Escalation Procedure'''<br>
 +
 +
[[File:App_24.PNG|700px]]<br>
 +
 +
===Issues===
 +
'''Issues Escalation Procedure'''<br>
 +
 +
[[File:App_24.PNG|700px]]<br>
 +
 +
=== Inspection Checklist ===
 +
 +
==== Borehole Inspection Form Checklist ====
 +
 +
[[File:App_25.PNG|700px]]<br>
 +
[[File:App_26.PNG|700px]]<br>
 +
[[File:App_27.PNG|700px]]<br>
 +
[[File:App_28.PNG|700px]]<br>
 +
[[File:App_29.PNG|700px]]<br>
 +
 +
==== Dam Inspection Form Checklist (OWRB, 2011) ====
 +
 +
[[File:App_30.PNG|700px]]
 +
[[File:App_31.PNG|700px]]<br>
 +
[[File:App_32.PNG|700px]]
 +
[[File:App_33.PNG|700px]]<br>
 +
 +
''Legend'':<br>
 +
Please rate the condition of Sections 1 – 11 on inspection form either: Good, Acceptable, Deficient, or Poor.
 +
 +
'''Good:''' No existing or potential dam safety deficiencies are recognized. Acceptable performance is expected under all loading Conditions (static, hydrologic, seismic) in accordance with the applicable regulatory criteria or tolerable risk guidelines.
 +
 +
'''Acceptable:''' No existing dam safety deficiencies are recognized for normal loading conditions. Rare or extreme hydrologic and/or seismic events may result in a dam safety deficiency. Risk may be in the range to take further action.
 +
 +
'''Deficient:''' A dam safety deficiency is recognized for loading conditions which may realistically occur. Remedial action is necessary. Poor may also be used when uncertainties exist as to critical analysis parameters which identify a potential dam safety deficiency. Further investigations and studies are necessary.
 +
 +
'''Poor:''' A dam safety deficiency is recognized that requires immediate or emergency remedial action for problem resolution.
 +
 +
==== General Form Checklist ====
 +
 +
[[File:App_34.PNG|700px]]<br>
 +
[[File:App_35.PNG|700px]]<br>
 +
[[File:App_36.PNG|700px]]<br>
 +
[[File:App_37.PNG|700px]]<br>
 +
[[File:App_37.PNG|700px]]<br>
 +
 +
'''10.DISPUTE RESOLUTION AND TERMINATION'''<br>
 +
A formal contract must have dispute resolution clauses (refer clause – update clause no) which can be initiated by the contract manager when the informal process does not resolve a dispute.
 +
 +
The following dispute resolution process will be used for managing disputes:<br>
 +
• ''[List details including any escalation process. Reference the relevant contract clauses.]''<br>
 +
If the Contractor breaches or repudiates the contract and fails to remedy the breach as required by the appropriate contractual clause (refer clause – update clause no), then the Client may initiate action to terminate the contract. Approval must be sought from appropriate senior management prior to actioning the termination process.
 +
 +
=== Payment Plan/Procedures ===
 +
'''11. PAYMENT TERMS AND ARRANGEMENTS'''<br>
 +
[[File:App_40.PNG|700px]<br>
 +
 +
The following contract variation method and procedures will be used to consider and approve contract variations:<br>
 +
• [List details]
 +
 +
'''12.CONTRACT VARIATIONS AND EXTENSIONS'''<br>
 +
This contract has [List details where applicable] extension options. <br>
 +
The following review will be undertaken to determine whether the contract should be extended:<br>
 +
• [List details]<br>
 +
 +
'''13. CONTRACT FINALISATION'''<br>
 +
 +
The following contract finalization tasks and transition out requirements will be implemented at the conclusion of the contract to close the contract:<br>
 +
• Completion of all outstanding contract actions;<br>
 +
• finalisation of all deliveries required by the contract;<br>
 +
• completion and reconciliation of all payments and financial obligations;<br>
 +
• finalisation of all required reports; <br>
 +
• [List other details including, for example, the Contractor may be required to handover government owned assets, materials, files.]<br>
 +
 +
A post contract review report will be undertaken at the conclusion of the contract period.
 +
The report is to be forwarded to the Client procurement unit.
 +
 +
=== Contract Management Meeting Agenda ===
 +
[[File:App_43.PNG|700px]]<br>
 +
 +
Previous Page: [[ReferencesIII:_References]] <<  >> Next Page: [[DCOM_Volume_III_Appendix_2]]

Latest revision as of 13:46, 20 July 2022

1 APPENDICES

1.1 Appendix 1:Template for Contract Management Plan

App 1.PNG

Contract Manager/Supervisor Sign-off
I, as Contract Manager/Supervisor, will ensure that relevant legislation, policies and organizational requirements relating to contract management are adhered to.

Signature:......................................................
Name:...........................................................
Position:.......................................................
Address:........................................................
Telephone:......................................................
Email:..........................................................
Date:...........................................................

Plan Approval
Signature:......................................................
Name:...........................................................
Position:.......................................................
Date:...........................................................

1. BACKGROUND
The [Insert name of Client] has awarded a contract for [Insert contract description] to [Insert name of Contractor].

Provide brief background on:
• the branch/directorate
• the tendering and contracting process
• the selection of the successful Contractor

The following documents are either referenced or relate to this contract management plan:
• Signed Works Contract
• [List Client contract management policies and other relevant documents ]

2. PURPOSE AND OBJECTIVES
The purpose of this contract management plan is to document the key activities and tasks required to manage this contract to ensure that the objectives of the contract are achieved.
The plan describes how the Client and the Contractor will work together over the life of the contract to ensure timely delivery of goods and services meeting the requirements specified in the contract. This plan will be used by the Client to review the performance of the contract and monitor the achievement of the contract outcomes.

The objectives of this contract are to:
• [Identify objectives – refer acquisition plan and/or tender documentation]
• e.g. to ensure cost effective and efficient delivery of contracted goods/services;
• e.g. to ensure the continuous and timely supply of quality goods
• etc.

3.PROCUREMENT KEY DELIVERABLES
The key deliverables of this contract are:
• [identify key deliverables – refer contract documentation]
• etc.

Contractual Milestones and Deliverables
App 6.PNG

4. CONTRACT SUMMARY

App 8.PNG

The following bank guarantees and other securities apply to this contract:
• specify securities
The following statutory and regulatory requirements are relevant to this contract:
• detail these requirements including work, health and safety, environmental, human resources etc.

The following warranties apply to this contract:
• document warranty provisions of contract
• detail how warranty provisions are to be managed during the life of the contract

Key contract conditions and clauses relevant to this contract include:
• [Insert key details including intellectual property ownership etc.]
• [Insert details of any other requirements (eg industry participation policy) that parties are required to comply with]

5. ROLES, RESPONSIBILITIES AND GOVERNANCE

1.2 Governance Structure

[Describe the governance structure relevant to the contract. Where possible include a diagram showing the key parties, the hierarchy, lines of reporting etc.]

1.3 Key Contacts, Roles and Responsibilities

[Insert all key personnel for Contractor, Employer and the Consultant AND other important parties]

App 10.PNG

1.4 Contract Manager

The contract manager/supervisor is responsible for:
• ensuring the contract outcomes are achieved;
• managing and addressing contract risks;
• identifying and addressing opportunities for improving the contract;
• maintaining good relationships with the Contractor
• scheduling regular contract management meetings;
• communicating with users, stakeholders and clients;
• ensuring that performance measures are met;
• providing performance reports to senior managers or the governance committee;
• addressing problems and conflicts that may arise; and
• assessing and (where required) seeking approval for any variations to the contract.

The contract manager/supervisor should regularly refer to the contract management plan and ensure it is amended or updated as required to reflect any changes in circumstances during the operation of the contract.

The Contractor’s contract manager is
Name:
Position:
Address:
Telephone:
Email:

1.5 Oversight Committee

If an oversight committee is required please complete the following; if not relevant, delete.
A Contract Management Committee comprising the following members will provide oversight of the contract:
• insert names of committee members
• insert names of committee members
• etc

The role of this committee is to:
• list the committee responsibilities
• etc

1.6 Communication

The following communication strategies and protocols will be used to communicate with the Contractor, users and key stakeholders:

App 11.PNG

The following documents relating to the contract will be stored and filed for reference and audit purposes:

• [Insert the name of the document, the version number and where they are held, for example, transition plans, risk management plans. Include any relevant documents that have been referred to in this plan.]

6. CONTRACT MANAGEMENT MEETINGS
Contract management meetings will be held every one/three months (update as appropriate).
Attendees at these meetings are:
• Contract manager/Supervisor
• Contractor contract manager
• insert name of other attendees
• etc

A standard agenda (refer Attachment One) is to be used.
The contract manager shall organise the meeting and prepare minutes after each meeting.
The following meetings shall also be held:

App 13.PNG

7.IMPLEMENTATION APPROACH
Contract implementation is a critical period that can entail specific risks and challenges.
The following implementation approach will be adopted:
• development of an implementation plan;
• a contract start-up meeting with the Contractor and key stakeholders will be held to discuss implementation;
• [Insert other details including, for example, establishment of governance committee, communication to users and stakeholders, briefings, timeframes, resources and strategies to address identified risks.]
The following transition in tasks and responsibilities will be addressed for this contract:
• [Where applicable, list details such as planning the kick-off Meeting, handover, etc.]

8.RISK MANAGEMENT, INSURANCE, GUARANTEES AND SECURITIES

1.7 Risk management

The contract manager/supervisor is responsible for identifying and managing risks during the contract.
The contract manager must ensure systems are in place to monitor emerging risks so that appropriate actions can be taken proactively.
The following key contractual risks have been identified and will be monitored, treated and mitigated:
• [Insert details including risks that were identified earlier in the procurement process]

1.8 Insurance

The following insurance certificates are current and will be monitored to ensure future currency through the life of the contract:

App 16.PNG

1.9 Guarantees and Securities

App 17.PNG

9.PERFORMANCE MANAGEMENT

1.10 Reports

The key milestones relating to the performance of this contract are:
• [List details]

The following key performance indicators will be used to measure the performance of the contract:
• [List performance indicators]

Key Performance Indicators (to measure performance and outcomes)

App 19.PNG

Underperformance/ default contractual actions

App 20.PNG

The following reports will be provided by the Contractor:
• [List details - refer specification or statement of requirements in the contract]

App 21.PNG

The following reports will be prepared by the Contract Manager/Supervisor

App 22.PNG

1.11 Records Management

App 23.PNG

1.12 Issues

Issues Escalation Procedure

App 24.PNG

1.13 Issues

Issues Escalation Procedure

App 24.PNG

1.14 Inspection Checklist

1.14.1 Borehole Inspection Form Checklist

App 25.PNG
App 26.PNG
App 27.PNG
App 28.PNG
App 29.PNG

1.14.2 Dam Inspection Form Checklist (OWRB, 2011)

App 30.PNG App 31.PNG
App 32.PNG App 33.PNG

Legend:
Please rate the condition of Sections 1 – 11 on inspection form either: Good, Acceptable, Deficient, or Poor.

Good: No existing or potential dam safety deficiencies are recognized. Acceptable performance is expected under all loading Conditions (static, hydrologic, seismic) in accordance with the applicable regulatory criteria or tolerable risk guidelines.

Acceptable: No existing dam safety deficiencies are recognized for normal loading conditions. Rare or extreme hydrologic and/or seismic events may result in a dam safety deficiency. Risk may be in the range to take further action.

Deficient: A dam safety deficiency is recognized for loading conditions which may realistically occur. Remedial action is necessary. Poor may also be used when uncertainties exist as to critical analysis parameters which identify a potential dam safety deficiency. Further investigations and studies are necessary.

Poor: A dam safety deficiency is recognized that requires immediate or emergency remedial action for problem resolution.

1.14.3 General Form Checklist

App 34.PNG
App 35.PNG
App 36.PNG
App 37.PNG
App 37.PNG

10.DISPUTE RESOLUTION AND TERMINATION
A formal contract must have dispute resolution clauses (refer clause – update clause no) which can be initiated by the contract manager when the informal process does not resolve a dispute.

The following dispute resolution process will be used for managing disputes:
• [List details including any escalation process. Reference the relevant contract clauses.]
If the Contractor breaches or repudiates the contract and fails to remedy the breach as required by the appropriate contractual clause (refer clause – update clause no), then the Client may initiate action to terminate the contract. Approval must be sought from appropriate senior management prior to actioning the termination process.

1.15 Payment Plan/Procedures

11. PAYMENT TERMS AND ARRANGEMENTS
[[File:App_40.PNG|700px]

The following contract variation method and procedures will be used to consider and approve contract variations:
• [List details]

12.CONTRACT VARIATIONS AND EXTENSIONS
This contract has [List details where applicable] extension options.
The following review will be undertaken to determine whether the contract should be extended:
• [List details]

13. CONTRACT FINALISATION

The following contract finalization tasks and transition out requirements will be implemented at the conclusion of the contract to close the contract:
• Completion of all outstanding contract actions;
• finalisation of all deliveries required by the contract;
• completion and reconciliation of all payments and financial obligations;
• finalisation of all required reports;
• [List other details including, for example, the Contractor may be required to handover government owned assets, materials, files.]

A post contract review report will be undertaken at the conclusion of the contract period. The report is to be forwarded to the Client procurement unit.

1.16 Contract Management Meeting Agenda

App 43.PNG

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