SWIFT USER MANUAL CONTRACTOR MODULE

March 2013

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Table of Contents 1. INTRODUCTION ............................................................................................................................................. 3

1.1. SWIFT CONTRACTOR MODULE ............................................................................................................................. 3

2. SWIFT OVERVIEW .......................................................................................................................................... 4

2.1. AUDIT AND STAGE TYPES ...................................................................................................................................... 4 2.2. SWIFT CONTRACTORS AUDIT PROCESS ...................................................................... ERROR! BOOKMARK NOT DEFINED. 2.2 LOGIN PROCESS ................................................................................................................................................... 5

3. PROJECT LIST ................................................................................................................................................. 8

4. PROJECT STATUS REPORT ............................................................................................................................ 10

4.1. ACCESS PROJECT STATUS REPORT ........................................................................................................................ 10 4.2. FEATURES OF THE PROJECT STATUS REPORT ........................................................................................................... 11

5. AUDITS ........................................................................................................................................................ 15

5.1 ACCESS AUDITS ................................................................................................................................................. 16 5.2 ISSUE MANAGEMENT ......................................................................................................................................... 20

5.2.1 Audit Findings Report ............................................................................................................................ 20 5.2.2 Issue Management Report ..................................................................................................................... 22

5.3 PROJECT STAGE REPORT ...................................................................................................................................... 24 5.3.1 Accessing the Project Stage Report ........................................................................................................ 24 5.3.2 Features of the Project Stage Report ..................................................................................................... 25

6. PROJECT COMPLETION ................................................................................................................................ 27

6.1. ACCEPTANCE OF WORKS (AOW) CERTIFICATE ........................................................................................................ 27 6.2. CERTIFICATE OF COMPLETION (COC) CERTIFICATE ................................................................................................... 27 6.3. WARRANTY BOND ............................................................................................................................................ 27

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1. Introduction South East Water is a leading provider of Water and Sewerage services of Melbourne, Australia.

SWIFT provides a web-based application that provides:

• Standardised audit process

• Automated workflow

• A record of all audit results

• Access to users through Intranet & Internet

• Audit trail reporting

• Audit reports

• Audit questionnaire management

• Online generation of Project Completion certificates.

1.1. SWIFT Contractor Module

The SWIFT Contrator Module allows the Contractor to view various information and documents that have been submitted to South East Water throughout a project:

• Project List

• Project Status Report

• View forms from Pre-construction to Completion of Works

• View Audit Report

• View Issues Findings Report

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2. SWIFT Overview 2.1. Audit and Stage Types There are a number of different project Stages, each with an associated Audit, including:

• Design (D)

• Pre-construction (PC)

• Construction (C)

• Issues can be flagged at any of the project stages (I)

• Testing (T)

• Survey

• Live Connection

• Acceptance of Works (AW)

• Defects Liability Period (DL)

• End of Defects of Liability Period (ED)

• Warranty Bond (W)

Forms

To initiate each stage of the project the Consultant submits a Form, with its associated audit.

The Contractor can view the forms from Pre-construction stage (Form D/N) onwards

The system provides the following Forms, with their associated project stages:

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2.2 Login Process Log on to the Internet Go to the Sout East Water home page: www.southeastwater.com.au Click on the Building & development tab Click on Developers and Contractors

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Click on Access online property tools Click on Manage a project through SWIFT

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Click on Login to SWIFT now

Enter your SWIFT username and password

Click on Submit to view the Project List

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3. Project List The Project List is the initial screen displayed by SWIFT after login

The SWIFT Project Progress screen shows the projects currently in the system.

Navigate through the list of projects using:

• The drop down filters: Filters and Project Status and click on Search

• The Page buttons: << and >>

• Enter the page number in the Go to Page field and then click on the Go button

• Sort by project name by clicking the Project link

• View the Project Status Report by clicking the status progress indicator (blue shading).

Field/Button Description

Filter The projects can be filtered using drop list Project Status The projects can be filtered by Status using the drop list Search button Click on after applying the filter criteria from the drop list Page << and >> Page forwards or backwards Go to Page Insert page number and press GO Go button Used to go to the specified page number.

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Field/Button Description

The Project List shows the project status details: Project Project name with the South East Water reference number

Below each project name, the Job Types within the project will be listed E.g. Water, Sewer, Re-use Water, Sewer Pumping Station, Sewer Rising Main. The links allow the Consultant to access Forms Processing

D This indicates the Design Verification phase of the project. If Form C / M have been submitted, the D column will be filled.

PC This indicates the Pre-Construction Verification phase of the project. If Form D / N has been submitted, the PC column will be filled.

C This indicates the Construction Verification phase of the project. If Form E / O has been submitted, the C column will be filled.

AW This indicates the Acceptance of Works phase of the project. If the AOW Audit has been created and not yet closed, the AW column will be filled.

DL This indicates the Defects Liability Period of the project. If the AOW Audit has been closed, the DL column will be filled.

ED This indicates the End of Defect Liability Period of the project. If Form F / P has been submitted, the ED column will be filled.

W This indicates the Warranty Period of the project. If the DLP Audit has been closed, the W column will be filled

Design and Preconstruction Stages Issues I The red dot appears in the I column to indicate open

issues on the project that require: Rectify before Construction

Issues I The yellow dot appears in the I column to indicate open issues on the project that require: Rectify before AOW

Construction Testing Survey AOW Stages Form E Construction Verification may be submitted There can be holds for rectifications before AOW or before DLP are issued Issues I The red dot appears in the I column to indicate open

issues on the project that requires: Rectify before AOW

Issues I The yellow dot appears in the I column to indicate open issues on the project that requires: Rectify before DLP

Pre-Conditions Notes associated with the current phase of the project indicating any conditions that have not been met or available actions.

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4. Project Status Report 4.1. Access Project Status Report The Project Status Report function is accessed from the Project List: SWIFT Project Progress page

Click on the status indicator (blue shading) at the relevant stage of the project

View the Project Status Report

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4.2. Features of the Project Status Report Project Information

Stage and Status

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View Reports

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1. View Drawings and Data Files

View a list of all files that have been uploaded by the Consultant throughout the project job

− Project plans − Design drawings − Other files attached to Forms

Click on the View Drawings and Data Files button on the Project Status Report

A list of all files uploaded will appear in the View Uploaded Files screen

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2. View Form G Comments

View comments entered on all Form Gs submitted by the Consultant throughout the project

Click on the View Form G Comments button on the Project Status Report

A list of all comments will appear in the View Form G Comments screen

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5. Audits Overview

Each audit follows the Audit process.

It commences when the Consultant submits the Form associated with the type of Audit

For example: Form D - Preconstruction Verification Form initiates a Preconstruction and Document Control Audit

When Form is submitted, SWIFT automatically sends an email to the Audit Supervisor to create the audit.

The Audit Supervisor then creates the audit in SWIFT.

The Auditor then physically conducts the audit, and completes the audit questionnaire in SWIFT.

If an issue/s arises it is recorded into the SWIFT system and then evaluated by the Audit Supervisor

An Audit Findings Report is generated for actions to be taken by consultant

Communications are processed through SWIFT until all actions are undertaken for the issue to be resolved

Role Function

Audit Supervisor Generates the audit

Reviews audit issues

Assesses Consultants response

Classifies audit for compliance

Auditor Conducts requested audit to ensure compliance against the: − MRWA Standards and Specifications − Deed compliance − Duty of care to O H & S and environment

Consultant As per Development Deed Standard Conditions – Schedule 1

Contractor As per Development Deed Standard Conditions – Schedule 1

Issues Issues

Design & Pre Construction phase

Rectify before Construction – Significant issues must be rectified prior to construction.

Construction Phase

Rectify before AOW – Significant issues must be rectified prior to Submission of Form E

Design & Pre Construction phase

Rectify before AOW – Minor items should be rectified prior to AOW.

Construction Phase

Rectify before DLP - Minor items should be rectified prior to submission of Form F

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Audit Procedure

Audit

Issues Found NO YES

Audit Supervisor: Generates Audit Findings Report through SWIFT

Consultant is sent the Audit Findings Report Open Audit Summary in SWIFT to view the

Audit Findings Report

Consultant: Search for the Audit through Audit Summary

Uses Audit ID to find the Issue Management Report

Consultant: Complete: Root Cause, Corrective Actions and Preventative Actions

Audit Supervisor: − Reviews proposed actions − Generates responses for the Consultant in

the Issue Management Report − Reviews Re-Audit comments

Accept

Report emailed to Developer and Contractor

Continue

Response not accepted:

Audit Supervisor: Classifies the issues

for Accreditation

Consultant Responds

Re-submits the Issue

Management Report

Closed Accept Pending Review

Re-Audit; Consultants response to be

verified by Auditor

Further Issues found to be raised in new

Audit.

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5.1 Access Audits Audits are conducted at each stage of the project The results of the audits are submitted to SWIFT If issues are found the Audit Supervisor generates an Audit Findings Report The Contractor receives a copy of this report through email Access the audits

1. Search and locate the project through the Project List 2. Click on Audit Summary 3. View the Audit Summary

The Audit Summary shows the: − List of Audits − Stage and status of each Audit

Note: The Total shows the total number of Issues

The numbers in each subsequent column add up to the Total (Not the Total plus the numbers in the subsequent columns)

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Field/Button Description Search Functions: Enter information to narrow the search South East Water Ref Project number Audit ID Identify one specific audit Audit Status Findings Report Issued: All Issues Findings Reports

resolved or not All Issue Resolved: Resolved Reports Project Stage Report: Shows Responses Accepted Accepted Pending Review: Rectify before AOW/DLP Closed Audit: Responses are Accepted and audit is closed

Column Headings: Click on the headings to change the order of the list Audit ID Each Audit has an identifying number Audit Name Stage or Job Type within the project Auditor ID Identifies the person reviewing the audit information SEW Ref No. Project number Last Updated Records each time there is input into the audit Total Total number of audits relevant to the Consultant New Number of new audits submitted Issue Responded Number of audits that have received a response Awaiting Re Audit Auditor has directed a new audit be conducted Audit Conducted Audit has been conducted with no further action yet been

taken Response Rejected Audit response from the Consultant has been rejected Response Accepted Audit response from the Consultant has been accepted Rectify by AOW Identifies which issues need to be rectified by the time of

AOW Rectify by DLP Identifies which issues need to be rectified by the time of

DLP

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Search for Audits 1. Search by South East Water Ref number

2. Search by Audit ID

3. Search by Audit Status

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5.2 Issue Management

5.2.1 Audit Findings Report

The Audit Findings Report is the record of the issues found from the audit of the project There may be one or more issues found in any one audit The report is emailed to the Contractor View the Audit Finding Report through SWIFT

1. Click on the Icon next to the Audit ID number

2. View the list of audits screen 3. Click on the date in Findings Report column to view the AuditFinding Report

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Example: Audit Findings Report

Report Section Description Project Description Details of the project Report Number Same as Audit ID number

Audit Date Date of Audit \ Validation Summary of the Issues: Grouped into Rectify Catagory Question Query posed by the Audit Supervisor Issue ID Number of the Issue within the one Validation Reference Resources to consult to assist to rectify issue Comments Conditions to be met to facilitate resolution General Audit Comments More information to assist in resolution Instructions Refers to Issue Management requirements

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5.2.2 Issue Management Report

Issue Management Report This report facilitates the processes of flagging issues from an audit, submissions from the Consultant and responses from the Audit Supervisor

1. Click on the Audit ID number to open the Issue Management Report

2. View Issue Management Report

Report Section Description Audit Description Details of the Audit Issue ID Number of the Issue within the one Audit/Validation

Rectify before Audit Supervisor determines if the issue needs to be rectified before AOW or DLP

Issue Status Stage of the Audit process from New to Resolved Question Query posed by the Audit Supervisor Comments Conditions to be met to facilitate resolution Root Cause Analysis to determine the fundamental cause Corrective Action Immediate actions to rectify the issue Preventative Action Long term actions and planning to prevent reoccurance

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Example: Issue Management Report Features:

• Project and audit information • Audit Status shows findings reports have been issued • Issue ID 2 shows the issue needs to be rectified before DLP • Issue ID 3 shows Consultant responses have been accepted and no further action is requied • Issue ID 1 shows a Re-Audit is required and the issue needs to be rectified before AOW

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5.3 Project Stage Report When all issues have been resolved the Audit Supervisor reviews the entire audit for the purposes of Classification Each issue in the audit is subject to a classification of non-compliance Not all classifications impact accreditation Classification details are recorded in the Project Stage Report Contractors can view the Project Stage Report after Classification Non-compliance issues impacting accredition

Non-compliance issues NOT impacting accredition

NC Consultant Third Party NC Contractor Product Defect NC Consultant and Contractor Other

5.3.1 Accessing the Project Stage Report

1. Open the Project List 2. Click on the Progress Indicator (blue shading) 3. Locate the Project Status Report 4. Scroll down to Audit Information 5. Click on Audit Closed to open the Project Stage Report

Note: Only the Audit Closed are linked and can be opened as a report

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5.3.2 Features of the Project Stage Report

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Report Section Description Project Stage Report ProjectDetails Identifies the project details incuding the type of audit

Eg Sewer Design Shows the date of the audit

Audit Details Audit ID, the date the audit was conducted Shows the Audit Supervisor for this stage

Classifications Shows the number of issues and their classifications − Issues affecting accreditation − Non conformance Issues not affecting accreditation

Classifiaction Details

Lists each issue and its classification under that particular Audit ID Question: Why the issue was raised Audit Comment: Information and responses from the audit Classification Comment: Information detailing the reasons for the type of classification attributed to that issue

Final Comments Additional comments from the Audit Supervisor pertaining to the whole audit:

− Postive comments − Opportunities for Improvement

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6. Project Completion 6.1. Acceptance of Works (AOW) Certificate Upon successful completion of construction, Asset Quality will issue an Acceptance of Works Certificate to the Consultant.

Acceptance of Works Certificate is issued once all audits are closed, non-conformances resolved and Warranty Bond Paid.

6.2. Certificate of Completion (CoC) Certificate Certificate of Completion is issued upon submission of End of defects Verification by the Consultant.

6.3. Warranty Bond Warranty Bond is returned 2 years after COC is issued. For the two year period, the water company may require the Consultant or the Contractor to rectify any fault attributable to a deficiency in the design or construction.