PERFORMANCE RATING OF CONTRACTOR BY DPTI (Major Transport Infrastructure) Contractor: ABN / ACN Contractor’s Prequalification category(s) Contractor’s representative Contract number Contract title Prequalification category(s) applicable to contract Contract sum Date of acceptance of tender Original date for practical completion Revised date for practical completion Date of practical completion Total price variations Date of Performance Report Stage of Contract (Interim / Practical / Final Completion) Instructions: Refer to attached scoring guidelines (pages 3 to 15) for assistance with determining an appropriate score. DPTI Site Management Team to complete Score Summary Sheet and forward copy to the Contractor’s Representative. This is to be discussed with the contractor, who must be given the opportunity to comment on the assessment within 10 working days. In all cases, DPTI staff must address any issues raised by the contractor and respond in writing. The contractor‘s comments and DPTI’s response must be documented.
SCORE SUMMARY Criteria Sub-criteria Sub-criteria Score Criteria (average of applicable Comments (reference evidence where applicable) 1. Time management and progress Program Progress of work against program 2. Contract management Management of subcontractors Contract resources (plant and personnel) Contract administration Management of construction work/site 3. Utilisation of management systems WHS management Quality management Environmental management Traffic management 4. Relationship management Cooperative relationships with principal Community relations stakeholders e.g. government authorities, utilities etc. 5. Quality of work Design Construction Maintenance Defects Not sub-criterion will be applicable to all contracts. Where a sub-criterion is not assessed, the remaining sub-criteria will be averaged to provide a score at the criteria level. When a Contractor’s performance is unsatisfactory, the report must be accompanied by backup evidence (eg meeting minutes, non-conformance reports) and all relevant details of the unsatisfactory performance.
Construction manager (roads/bridges) has limited knowledge and experience. Performance was below the acceptable standard. Qualifications did not meet requirements. Construction manager (roads/bridges) sometimes off-site for critical operations. Design manager has limited knowledge and experience. Performance was below the acceptable standard. Qualifications did not meet requirements. Key operational personnel have limited knowledge, experience and performance. Qualifications did not meet requirements. Inadequate number of key operational personnel. Some difficulty in delivering the contract. Some adverse effects on processes and outcomes. Some adverse effect on progress and quality caused by turnover in key operational personnel. acceptable standard. Qualifications met requirements. Construction manger (roads/bridges) on-site at most times but always for critical operations. Design manager has satisfactory knowledge and experience. Performance met the acceptable standard. Qualifications met requirements. Sufficient key operational personnel. Little difficulty in delivering the contract. Insignificant adverse effect on processes and outcomes. Insignificant adverse effect on progress and quality caused by turnover on key operational personnel. Key operational personnel on-site at most but always for critical operations. Note: Key operational personnel includes: Project manager Site engineers Senior supervisors Foremen Specialists. standard. Qualifications exceeded requirements. Construction manager almost always on-site but always on-site for critical operations. Design manager has good knowledge and experience. Performance was above the acceptable standard. Qualifications exceeded requirements. Key operational personnel have good knowledge, experience and performance. Qualifications exceeded requirements. More than sufficient key operational personnel. No difficulty in delivering the contract. No adverse effect on outcomes and processes. No adverse effect on progress and quality caused by turnover in key operational personnel. Key operational personnel almost always on-site but always for critical operations. Construction manager (roads/bridges) has excellent knowledge and experience. Performance was well above the acceptable standard. Qualifications exceeded requirements. Construction manager (roads/bridges) always and present at all critical operations. Design manager has excellent knowledge and experience. Performance was well above the acceptable standard. Qualifications exceeded requirements. Key operational personnel have excellent knowledge, experience and performance. Qualifications exceeded requirements. Exceptional number of key operational personnel. No difficulty in delivering an excellent contract. A significant positive effect on processes and outcomes. A positive effect on progress and quality due to turnover in key operational personnel. Key operational personnel always on-site and present at all critical operations. site
Key operational personnel sometimes off-site during critical operations. Note: Key operational personnel includes: Project manager Site engineers Senior supervisors Foremen Specialists. Note: Key operational personnel includes: Project manager Site engineers Senior supervisors Foremen Specialists. Note: Key operational personnel includes: Project manager Site engineers Senior supervisors Foremen Specialists. (c) Contract administration Compliance with the administrative and legal requirements of the contract was below acceptable standard. Contract records system was inadequately maintained. Some difficulty in ensuring that up-to-date drawings and specifications are used on-site. Some as-built records were submitted on time, with some incomplete. Inadequate follow-up action on minutes of site meetings. Compliance with the administrative and legal requirements of the contract met the acceptable standard. Contract records system was satisfactorily maintained. Usually ensured that drawings and specifications are used As-built records were submitted in time and mostly complete. Satisfactory follow-up action on minutes of site meetings. Compliance with the administrative and legal requirements of the contract was above the acceptable standard. Contract records system was maintained well. Almost always ensured that up-to-date drawings and specifications are used on-site. As-built records were submitted ahead of time, and complete. Good follow-up action on minutes of site meetings. Compliance with the administrative and legal requirements of the contract well above the acceptable standard. Maintenance of the contract records system was excellent Always ensured that drawings and specifications are used As-built records submitted complete and well ahead of time. Excellent follow-up action on minutes of meetings. Monthly progress reports. Daily diaries. Statutory declarations. Minutes of meetings. Interim Contractor Performance Reports. (d) Management of construction work/site Inadequate management structure and reporting procedures. Inadequate supervision of contractor’s own site personnel. Inadequate support of inexperienced construction personnel by experienced senior on-site personnel. Satisfactory management structure and reporting procedures. Satisfactory supervision of contractor’s own site personnel. Satisfactory support of inexperienced construction personnel by experienced senior on-site personnel. Good management structure and reporting procedures. Good supervision of contractor’s own site personnel. Good support of inexperienced construction personnel by experienced senior on-site personnel. Excellent management structure and reporting procedures. Excellent supervision of contractor’s own site personnel. Excellent support of inexperienced construction personnel by experienced senior on-site personnel. Monthly progress reports. Daily diaries. Interim Contractor Performance Reports.
carried out as per the Safety Plan. Non-conformances, incidents and accidents poorly reported and poorly actioned. Repetitions of the same non-conformance type with moderate consequences. 2nd party audits identified an inadequate level of compliance. Repetitions of the same non-conformance type with minor consequences. 2nd party audits identified a satisfactory level of compliance. almost always reported and almost always actioned promptly and effectively. Low number of repetitions of the same type. 2nd party audits identified a good level of compliance. always actioned promptly and effectively. No repetition of the same non-conformance type. 2nd party audits identified an excellent level of compliance. (b) Quality management Personnel Quality management representative has limited knowledge and experience. Performance was below the acceptable standard. Quality management representative sometimes off-site for critical operations. Preparation An initial Quality Plan that did not meet the minimum requirements. Personnel Quality management representative has satisfactory knowledge and experience. Performance met the acceptable standard. Quality management representative on-site at most times but always for critical operations. Preparation A satisfactory initial Quality Plan Initial Quality Plan finalised and accepted on time or in the time required by the contract. Personnel Quality management representative has good knowledge and experience. Performance was above the acceptable standard. Quality management representative almost always on-site but always on-site for critical operations. Preparation A good initial Quality Plan Initial Quality Plan finalised and accepted earlier than required or earlier than the time required by the contract. Personnel Quality management representative has excellent knowledge and experience. Performance was well above the acceptable standard. Quality management representative always and present at all critical operations. Preparation An excellent initial Quality Plan Initial Quality Plan finalised and accepted much earlier than required or much earlier than the time required by the contract. Copies of suitability and compliance audit reports, internal and 2nd party. Non-compliance with contract requirements and contract Quality Plan. Monthly progress reports. records, test results survey and other measurements and non-conformance reports. Initial Quality Plan finalised and accepted later than required or after some delays and later than the time required by the contract. Implementation Implementation Execution of work process met the acceptable standard. Satisfactory execution of Inspection and Test Plans. Most lots visually Implementation Execution of work process was above the acceptable standard. Good execution of Inspection and Test Plans. Almost all lots visually Implementation Execution of work process was well the acceptable standard. Excellent execution of Inspection and Test Plans. All lots visually inspected diaries. Interim Contractor Performance Reports. Copies of meeting minutes. Non-conformance register.
Execution of work process was below the acceptable standard. Inadequate execution of Inspection and Test Plans. Many lots not visually inspected and assessed before submitting for acceptance. Non-conformances poorly reported and not satisfactorily addressed. Repetitions of the same non-conformance type with moderate-to- significant consequences. A medium level of rework. Observance of hold points inadequate. Internal audits not usually carried out as per the Quality Plan. Internal audits identified an inadequate level of compliance. 2nd party audits identified an inadequate level of compliance. inspected and assessed before submitting for acceptance. Non-conformances satisfactorily reported and generally satisfactorily addressed after some prompting. Repetitions of the same non-conformance type with minor consequences. A low level of rework. Satisfactory observance of hold points. Internal audits mostly carried out as per the Quality Plan. Internal audits identified a satisfactory level of compliance. 2nd party audits identified a satisfactory level of compliance. inspected and assessed before submitting for acceptance. Non-conformances almost always reported and addressed promptly and effectively. Low number of repetitions of the same type. A very low level of rework. Good observance of hold points. Internal audits almost always carried out as per the Quality Plan. Internal audits identified a good level of compliance. 2nd party audits identified a good level of compliance. and assessed before submitting for acceptance. Non-conformances always reported and addressed promptly and effectively. No repetition of the same non-conformance type. An insignificant level or rework. Excellent observance of hold points. Internal audits always carried out as per the Quality Plan. Audits identified an excellent level of compliance. 2nd party audits identified an excellent evel of compliance. Correspondence. Statutory declarations. (c) Environmental management Personnel Environmental management representative has limited knowledge and experience. Performance was below the acceptable standard. Qualifications did not meet requirements. Environmental management representative often Personnel Environmental management representative has satisfactory knowledge and experience. Performance met the acceptable standard. Qualifications met requirements. Environmental management Personnel Environmental management representative has good knowledge and experience. Performance was above the acceptable standard. Qualifications exceeded requirements. Environmental management representative almost Personnel Environmental management representative has excellent knowledge and experience. Performance was well above the acceptable standard. Qualifications exceeded requirements. Environmental management Copies of environmental audit reports, internal and 2nd party. Non-compliance with contract requirements and contract Environmental Management Plan. Inspection reports. Monthly progress reports.
for critical times and/or events. Preparation An initial Environmental Management Plan that did not meet the minimum requirements. Initial Environmental Management Plan finalised and accepted later than required or after some delays and later than the time required by the contract. Implementation Significant damage and/or blatant disregard for sensitive and/or significant features. Internal audits not usually carried out as per the Environmental Management Plan. representative on-site at most times but always for critical times and/or events. Preparation A satisfactory initial Environmental Management Plan. Initial Environmental Management Plan finalised and accepted on time or in the time required by the contract. Implementation May not proactively manage environmental, cultural or heritage issues. Internal audits mostly carried out as per the Environmental Management Plan. Non-conformances, incidents and accidents in environmental, cultural and heritage matters nearly always reported and nearly always actioned promptly and effectively. always on-site but always on-site at critical times and/or events. Preparation A good initial Environmental Management Plan. Initial Environmental Management Plan finalised and accepted earlier than required or earlier than the time required by the contract. Implementation Environmental, cultural and heritage matters approached proactively and sensitively. Internal audits almost always carried out as per Environmental Management Plan. Non-conformances, incidents and accidents in environmental, cultural and heritage matters almost always reported and almost always actioned promptly and effectively. representative always and present at all critical and/or events. Preparation An excellent initial Environmental Management Plan. Initial Environmental Management Plan finalised and accepted much earlier than required or much earlier than the time required by the contract. Implementation Environmental, cultural and heritage matters approached proactively and with great sensitivity. Internal audits always carried out as per the Environmental Management Plan. Non-conformances, incidents and accidents in environmental, cultural and heritage matters almost always reported and almost always actioned promptly and effectively. Non-conformance reports and registers. Daily diaries. Interim Contractor Performance Reports. Non-conformances, incidents and accidents in environmental, cultural and heritage matters often poorly reported and poorly actioned. Repetitions of the same non-conformance type Repetitions of the same non-conformance type with minor consequences. 2nd party audits identified a satisfactory level of compliance. Low number of repetitions of the same type. 2nd audits identified a good level of compliance. No repetition of the same non-conformance type. 2nd audits identified an excellent level of compliance.
with moderate consequences. 2nd party audits identified and inadequate level of compliance. (d) Traffic management Personnel Traffic management representative has limited knowledge and experience. Performance was below the acceptable standard. Qualifications did not meet requirements. Traffic management representative sometimes off-site for critical times and/or events. Preparation An initial Traffic Management Plan that did not meet the minimum requirements. Implementation Initial Traffic Management Plan finalised and accepted later than required or after some delays and later than the time required by the contract. Personnel Traffic management representative has satisfactory knowledge and experience. Performance met the acceptable standard. Qualifications met requirements. Traffic management representative on-site at most times but always for critical times and/or events. Preparation A satisfactory initial worksite Traffic Management Plan. Initial Traffic Management Plan finalised and accepted on time or in the time required by the contract. Implementation Other Traffic Management Personnel have very good knowledge and experience. Performance met the acceptable standard. Qualifications met requirements. Personnel Traffic management representative has good knowledge and experience. Performance was above the acceptable standard. Qualifications exceeded requirements. Traffic management representative almost always on-site but always on-site at critical times and/or events. Preparation A good initial Traffic Management Plan. Implementation Initial Traffic Management Plan finalised and accepted earlier than required or earlier than the time required by the contract. Other traffic management personnel have very good knowledge and experience. Performance was above the acceptable standard. Qualifications exceeded requirements. Personnel Traffic management representative has excellent knowledge and experience. Performance was well above the acceptable standard. Qualifications exceeded requirements. Traffic management representative always and present at all critical times and/or events. Preparation An excellent initial Traffic Management Plan. Implementation Initial Traffic Management Plan finalised and accepted much earlier than required or much earlier than the time required by the contract. Other traffic management personnel have excellent knowledge and experience. Performance was well above the acceptable standard. Qualifications exceeded requirements. Reports of major incidents or accidents. Copies of notices or reports issued by Police or Coroner. Copies of audit reports, internal audit and 2nd party. Copies of inspection reports. Monthly progress reports. Non-conformance reports and registers. Daily diaries. Interim Contractor Performance Reports. CVs for traffic management representative and other management personnel. Other traffic management personnel have fair knowledge and Satisfactory individual traffic control diagrams. Good individual traffic control diagrams. Excellent individual traffic control diagrams.
and the ready exchange of information). Issues mostly resolved slowly and inefficiently due to generally ineffective communication and attitude. and the ready exchange of information). Issues resolved in a timely and efficient manner through open and effective communication. and the ready exchange of information). Issues always resolved quickly and efficiently through open and very effective communication. and the ready exchange of information). Issues always resolved very quickly and efficiently through excellent communication. Very in maintaining an excellent relationship. (b) Community relations An inadequate initial community engagement plan. Initial community engagement plan finalised and accepted later than required or after some delays and later than the time required by the contract. Liaison with community and stakeholders fairly effective but sometimes confrontational. Attitude to community engagement was the acceptable standard. Inadequate complaints management. Complaints sometimes handled with respect and consideration. Complaints mostly resolved slowly and inefficiently through poor and generally ineffective communication. Some complaints remain unresolved. A satisfactory initial community engagement plan. Initial community engagement plan finalised and accepted on time or in the time required by the contract. Liaison with community and stakeholders mostly effective and mostly Attitude to community engagement met the acceptable standard. Satisfactory complaints management. Complaints mostly handled with respect and consideration. Complaints almost always resolved in a timely and efficient manner through open and effective communication. Very few complaints remain unresolved. A good initial community engagement plan. Initial community engagement plan finalised and accepted earlier than required or earlier than the time required by the contract. Liaison with community and stakeholders almost always very effective and almost always Attitude to community engagement was above the acceptable standard. Good complaints management. Complaints nearly always handled with respect and consideration. Complaints nearly always resolved quickly and efficiently through open and very effective communication. No unresolved complaints. An excellent initial community engagement plan. Initial community engagement plan finalised and accepted much earlier than required or much earlier than the time required by the contract. Liaison with community and stakeholders always excellent and always Attitude to community engagement was well above acceptable standard. Excellent complaints management. Complaints always handled with respect and consideration. Complaints always resolved very quickly and efficiently through excellent communication. Very proactive in maintaining excellent community relations. No unresolved complaints. Some complimentary comments received. Daily diaries. Complaints register. Commitment Register. Interim Contractor Performance Report.
Contractor seeks guidance by superintendent / PAP on frequent occasions. Major weaknesses, has not met the required standard of performance and is not able to carry out this type of work. and infrequent issues relating to equipment and resources. Mostly meets required standard of performance but has some weaknesses. Supervision required was slightly less than expected. Average down time due to illness/injury or equipment breakdowns. Better than satisfactory and sometimes exceeds the required standard of performance. Supervision required was minimal compared to industry norms. Exceptional standard, always well above the required standard of performance (c) Maintenance Maintenance before practical completion almost always fails to comply with specification requirements. Accident or near-miss occurs due to failure to address maintenance. Contractor does not rectify safety hazards that could cause an accident. Maintenance before practical completion often fails to comply with specification requirements. Multiple on the same issue and no evidence of addressing the cause. Multiple prompts required to rectify maintenance defects. Maintenance before practical completion almost always complies with specification requirements. Contractor complies with specification requirements. Maintenance before practical completion exceeds specification requirements. Contractor proactively rectifies maintenance defects without prompting from the superintendent / PAP, or undertakes new initiatives. No non-compliances issued regarding maintenance before Practical Completion. Monthly progress reports. diaries. Interim Contractor Performance Reports. Correspondence. (d) Defects Maintenance and defects rectification after practical completion almost always fails to comply with specification requirements. Minimal effort in rectifying defects and omissions. Maintenance and defects rectification after practical completion often fails to comply with specification requirements. Defects and omissions completed later than the time nominated by the superintendent / PAP. Maintenance and defects rectification after practical completion almost always complies with specification requirements. Defects and omissions completed within the time nominated by the superintendent / PAP. Maintenance and defects rectification after practical completion often exceeds specification requirements. Defects and omissions completed earlier than the time nominated by the superintendent / PAP. Monthly progress reports. Daily diaries. Interim Contractor Performance Reports.