New South Wales Government Procurement System for Construction

Procurement Practice Guide

GC21 meetings and workshops

February 2017 (revised)

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GC21 meetings and workshops

Contents

1Introduction

2Preparation

3Start-Up Workshop

4Evaluation and Monitoring Meetings

5Close-Out Workshop

6Reporting

7Attachments

February 2017

GC21 meetings and workshops

1 Introduction

This Practice Guide details the preparation, content, implementation and reporting requirements for Start-up workshops, Close-out workshops and Evaluation and Monitoring meetings for GC21 (Edition 2) Contracts:

  • Start-up workshops provide an opportunity for key stakeholders to meet and develop cooperative relations and communications while focusing the parties (Principal & Contractor) on progressing the contract and related aspects of the overall project.
  • Evaluation and Monitoring meetings provide an opportunity for the parties and stakeholders to meet, discuss and attempt to resolve issues of concern in an open and co-operative manner.
  • Close-out workshops provide an opportunity to review the management of the contract and related project and identify key learnings for feedback to improve communication and management processes for future projects.

These workshops and meetings have proven to be highly effective in bringing together key stakeholders to discuss and share ideas and concerns regarding the project, including the contract, as well as provide opportunities for innovations and improvements.

2 Preparation

The Principal, assisted by the Contractor, takes responsibility for the preparations for the workshops and meetings.

2.1 Scheduling of workshops and meetings

Workshops and meetings are scheduled according to the requirements of the contract.

Event / Start Date / Duration
Start-up workshop / Within 28 days after start of Contract / 3 - 4 hours
Evaluation and Monitoring meetings / Monthly (or as agreed) / ½ - 1 hour
Close-out workshop / within 21 days after Contract Completion / 2 – 3 hours

2.2 Workshop planning

The parties agree on the various aspects of the workshops including:

  • participants to attend (with Client)
/
  • use of external facilitator

  • date & time of workshop
/
  • sharing of costs

  • agenda

The Principal arranges the venue, catering and the delivery of any background information.

The arrangements for the Evaluation and Monitoring meetings are usually agreed at the Start-up workshop.

2.3 Workshop attendance

Listed below is a guide of attendees at Start-up workshops:

Participant / Minimum / Typical
Principal / • Authorised Person
• Project Manager / • Authorised Person
• Project Manager
• Senior Executive
• Designer
Contractor / • Authorised Person
• Project Manager / • Authorised Person
• Construction Manager
• Key Subcontractor/ Consultant
• Senior Executive/ CEO
Client / • Project Director / Program Manager / • Project Director
• Program Manager
End users of facility (e.g.) / •School Principal/ Deputy
•Hospital Director / Representative / • School Principal/ Deputy
• Hospital Director/ Rep.
• Head of Nursing
• Facility Maintenance/ Engineering Reps.
• Security Rep.
Community Representatives / • as agreed with Client/ End Users / • as agreed with Client/ End Users
Facilitator / •Principal’s Project Manager / • External Facilitator (for more significant/ sensitive projects)

The attendees at Close-out workshops usually comprise the persons listed under ‘Minimum’ in the above table.

The attendees at Evaluation and Monitoring meetings usually comprise:

Principal / • Authorised Person
Contractor / • Authorised Person
End users of facility (e.g.) / •Deputy School Principal
•Nursing Representative
•Facility Maintenance Rep.
Community Representatives / • as agreed at Start-up Workshop

2.4 Project background material for Start-up workshops

The provision of project background material allows participants, particularly end users and community interest groups, to contribute more effectively in the workshop.

This material may include:

  • The purpose and key deliverables of the project;
  • Details on the key components of the facility and their interaction;
  • Contract program, milestones and estimated cost; and
  • Concept plans.

The Workshop agenda should be provided to all participants in advance. Key participants, who are requested to present opening statements, should be asked to prepare a statement that reflects their organisation’s general aspirations and their expectations during the delivery of the project and for the completed Works.

Refer to Attachment A-1 for an Agenda template.

2.5 Handouts for Evaluation and Monitoring meetings

The following should be provided to participants:

  • Performance Evaluation Guide (section 4 of this Practice Guide) and Performance Evaluation Example & Form at the first meeting; and
  • Performance Evaluation Form and the updated Performance Evaluation Record at subsequent meetings.

Performance Evaluation Forms and examples are included in Attachments 2, 2A & 3 of the GC21 Edition 2 General Conditions of Contract (last 4 pages of the GC21- GCC document).

2.6 Handouts for Close-out workshops

The Workshop agenda and the completed Performance Evaluation Record from the last E&M meeting should be provided to participants prior to the workshop.

Refer to Attachment B for an Agenda template.

2.7 Arrangements for workshops

The suggested timing and arrangements for the workshops are shown in the workshop agendas.

The venue for the Start-up workshop should be comfortable and free from external disturbances. The availability of presentation aids such as data projectors, electronic whiteboard or butcher’s paper may assist in presenting key points and recording participant contributions.

2.8 Arrangements for Evaluation and Monitoring meetings

These meetings are usually held before or after the monthly contract site meeting, ideally in a separate location to emphasize the different purpose of the meeting.

2.9 Facilitator for Start-up workshop

For most workshops the Principal’s Project Manager (PM) performs the facilitator role due to his/her experience and familiarity with the project.

For larger, very significant or sensitive projects, particularly where criticism of some aspects of the project are likely, an experienced external facilitator can offer the most effective means of conducting workshops. An external facilitator can:

  • relieve the Project Manager from taking on additional duties in planning and conducting the workshop as well as in writing up the workshop report;
  • allow the Project Manager to fully participate in the workshop; and
  • be seen as a neutral, unbiased facilitator by both parties and stakeholders.

3 Start-Up Workshop

The purpose of the Start-up workshop, as noted in clause 32 of of the GC21 Contract can be stated as:

  • the objective of the start-up workshop is to promote a culture of co-operation and teamwork for the management of the Contract; and
  • the start-up workshop is held to encourage the parties and others to work co-operatively towards achieving a successful Contract.

The following outlines the suggested content of the workshops. Note that for major projects and where sufficient time is available, the use of sub-groups of 3-5 persons may result in better outcomes for some of the suggested activities.

3.1 Welcome

The workshop is opened by the facilitator who welcomes the participants and advises his/ her role, i.e. to guide the participants through the workshop activities as listed in the agenda. The facilitator outlines the:

  • purpose of the workshop;
  • scope/ overview of the contract (assisted by PM input if an external facilitator is used); and
  • agenda to be followed (see Attachment A-1).

3.2 Introductions

All participants at the workshop are asked to introduce themselves and outline their roles. A Project Team directory is circulated amongst participants (a template is included as Attachment A-3). All participants attending the workshop as well as the names and details of any absent persons who are relevant to the project should be recorded.

3.3 Opening statements – Contract and project overview

The facilitator introduces key participants who make opening statements describing their organisation’s general aspirations and expectations of the project. Generally, senior representatives of the the Principal, the Contractor and Client make opening statements. The facilitator will collect a summary of prepared statements for inclusion in the workshop report.

3.4 Co-operative contracting - Overview

The facilitator, usually with input from the Principal’s representatives, provides:

(i) a general overview of co-operative contracting in terms of the Contract:

  • Co-operation (clause 3)
/
  • Duty not to hinder (clause 4)

  • Early warning (clause 5)

and

(ii) (where beneficial) an outline of the principles of co-operative contracting:

  • Commitment
/
  • Open communication

  • Trust & Respect
/
  • Timely responsiveness

  • Joint evaluation of the team’s performance

Refer to Attachment C for more information on co-operative contracting.

3.5 Co-operative contracting – Applied to the Contract/ Project

The facilitator works with the participants to identify practical applications of the co-operative contracting principles to the Contract and project, such as:

  • communication methods to ensure the parties and stakeholders are informed in a timely way of contract activities and changes. This could involve, bulletins, daily/ weekly briefings and access to key personnel; and
  • commitments to work together to facilitate performance of the contract and achievement of project objectives. This could involve being flexible in resolving problems, while still complying with contract and facility operational requirements.
  • Evaluation and Monitoring

The facilitator outlines the Evaluation and Monitoring (E&M) process, as described in section 4 of this Guide, to ensure adequate familiarity with the purpose and benefits of the joint evaluation of the team’s performance. The GC21 Contract E&M process forms may be beneficial in this regard.

The members of the E&M team will usually constitute the two Authorized Persons, a Client representative and selected stakeholders. The names of the team members are recorded by the facilitator.

Arrangements for the E&M meetings, including date, time and location of the meetings are also agreed and recorded.

3.7 Communications Matrix

An important aspect of any project is that all stakeholders and affected persons have a channel for effectively communicating their concerns and suggestions. With the help of the parties and the Client, the facilitator develops a matrix or chart outlining the preferred communication channel for each person, taking into account the protocols for communication under the contract and the respective organisations.

The facilitator should clarify that the Principal’s Authorised Person is the only person with authority to act on behalf of the Principal under the Contract. All project related matters that affect the Contract must be directed through the Principal’s Authorised Person to the Contractor’s Authorised Person. This is particularly important where Contract Price or Time for Completion may be affected.

Additionally, for emergencies, the Principal and the Contractor should nominate a minimum of two people each with 24 hour telephone numbers as contact people to accommodate essential communications. Record details in Team Directory. Refer Attachment A-3.

3.8 Key concerns and solutions

The facilitator conducts a short risk workshop. Relevant Risk Areas (e.g. safety, environmental, emergencies, traffic, communications, disruptions etc) are listed and input is sought from participants on their concerns and risks. Solutions or methods to minimize the agreed key concerns and risks are then identified and recorded for implementation, where feasible, by the parties and stakeholders. A form for participants to record their concerns and solutions is included as Attachment A-2.

3.9 Opportunities and innovation

Co-operative contracting encourages innovation. Opportunities are best identified early to ensure adequate time for planning and development with minimum impact on cost and time. This activity allows stakeholders, particularly end-users to suggest changes/ alternatives that could improve the utility or quality of the project or that result in improved support by others. However, it must be recognized that with the design intent completed and the Contract awarded, the scope for change may be limited.

The facilitator encourages stakeholders to raise improvements or changes and for these to be discussed with the Client and the parties. Agreed proposed changes are recorded for follow up by the Principal and Client.

3.10 Closing comments

Workshop participants are invited to make written closing comments for inclusion in the workshop report and are also given the opportunity to briefly address the workshop.

The facilitator advises the participants on the availability of the workshop report (usually within 1 week following the workshop).

The facilitator thanks the participants for their attendance and participation and formally closes the workshop.

3.11 Refreshments

Refreshments in the form of a light meal and beverages are provided following the conclusion of the workshop. This encourages participants to continue with discussions in a more leisurely and unstructured manner.

3.12 Workshop report

A report writer, normally the facilitator will prepare the report. The Principal will normally comment on the draft and may request comment from others. The final report is distributed to all workshop participants.

4 Evaluation and Monitoring Meetings

The Evaluation and Monitoring (E&M) meetings should be held as agreed at the Start-up workshop.

4.1 First meeting

The purpose of the first meeting is to explain the aims of E&M meetings, the applicable procedures and agree on the KPIs to be evaluated and monitored.

Purpose

The E&M meeting provides the opportunity to discuss issues of concern in the relevant Contract and project. This includes issues that may be sensitive to some stakeholders. The environment developed by the team should support the resolution of these issues. Issues are not restricted to the Contract but can include other concerns due to carrying out the Contract, i.e. to the broader project.

A danger for members who attend a number of these meetings is to follow a routine procedure with the main aim of completing the meeting rather than identifying and resolving issues. Complacency can make meetings ineffective. Every meeting should aim to identify and resolve an issue.

Evaluation is of the performance of the participants as a team. The scores recorded during the E&M meeting are for the active use of participants to improve the performance of the team and project outcomes. The scores are not to be used as a means of judging the performance of any one individual or stakeholder group. In particular, E&M scores are not to be confused with a system for Contractor Performance Reporting nor are scores from E&M meetings to be used to represent Contractor Performance.

Determine KPIs

As noted in section 2.6, Performance Evaluation Forms are included in Attachments 2, 2A & 3 of the GC21 Edition 2 General Conditions of Contract. Attachment 2 is a sample Performance Evaluation Form with suggested KPIs. However, as projects may have different issues, a blank Performance Evaluation Form is provided (Attachment 2A) for team members to choose the topics/ KPIs that suit the project.

The primary aim of the first meeting is for team members to agree on topics/ KPIs that reflect specific project concerns and potential issues that the team has capability to deal with.

Procedure

The recommended procedure is for each KPI to be separately addressed and a consensus score determined as follows:

  • where feasible, team members complete their own personal scoring on the Performance Evaluation Form (with agreed KPIs) and identify issues of concern prior to attending the meeting;
  • team members present their scores and clarify the reasons for their scoring, raising any relevant issues that affected their scoring;
  • the range of scores presented for each KPI are discussed and their reasons reviewed. Actions to deal with identified issues are agreed;
  • a team score for each KPI is recorded on the Performance Evaluation Form and Performance Evaluation Record; and
  • agreed actions to deal with issues are recorded.

Note that for continuous improvement, participants should be critically constructive and allocate conservative individual scores and discuss these with the team. The team is advised to resist the temptation to record the highest or even the average score. Lower scores can promote more meaningful discussions, brainstorming and action planning to improve project outcomes. Where a consensus in the score cannot be reached, it is appropriate to record the lowest individual score as the team’s score.

4.2 2nd & subsequent meetings

The above procedure is applied to score KPIs and identify issues.

The Chairperson plots the group scores against each KPI on the Performance Evaluation Record (Attachment 3) and presents these records to the participants.

The participants review and discuss:

  • the status of previous identified issues and strategies to deal with unresolved issues;
  • success factors for improving performance and factors that will/ have resulted in declining performance;
  • strategies to promote the continuation of any positive outcomes and trends and avoid the continuation of any negative outcomes and trends; and
  • assigned responsibilities to ensure corrective actions are carried out.

Note that responsibilities for actions should be assigned to the most appropriate team member(s), not only the parties to the Contract.

4.3 Preparation for next meeting

  • the Chairperson hands out copies of blank Performance Evaluation Forms (Attachment 2A) to each participant for use prior to the subsequent meeting;
  • a new “rotating” chairperson for the next meeting is identified;
  • the Chairperson closes the meeting; and
  • the Chairperson documents the outcomes of the meeting.

5 Close-Out Workshop

The purpose of the Close-out workshop is to provide an assessment of the team’s performance and an opportunity to review the management processes undertaken for the Contract. It is also used to collect and provide feedback to the Principal and Contractor on things such as design, the contract documents, communication and co-operative contracting strategies, to enable the parties to develop and implement improvements in future contracts. It is suggested that the content of a Close-out workshop includes: