Prequalification for Physical Works Application Pack

Transcription

1 Prequalification for Physical Works Application Pack

2 NZ Transport Agency Page i Table of Contents Record of Amendments... ii Document Management Plan... iii Section 1 - Guidelines for Completing Registration Application... 1 Section 2 - Applying for Registration... 6 Section 3 Prequalification Classification... 8 Section 4 - Definition of Performance Criteria... 9 Section 5 Assessment of Registration Application Section 6 Appeal on PET s Decision Section 7 Review of Contractor Project Performance Section 8 Review of Contractor Safety Performance Section 9 Renewal of prequalification registration Section 10 Definition of Work Categories Glossary of Terms Appendices A1: Prequalification Application Form A2: Quality Compliance Checklist Input Requirements A3: Contractors Occupational Health and Safety Management Information A4: Template for Environmental Management Confirming Letter (QCC) A5: Template for Quantum or Size of Work Confirming Letter in (QCC) A6: Template for Co-operation & Pro-active Partnering Confirming Letter (QCC)

3 NZ Transport Agency Page ii Record of Amendments Amendment N o Subject Effective Date Updated By Version 1 Prequalification for Physical Works Procedure Manual Issued for Trial 13 Mar 2003 N/A Version 2 Amended to include feedback from Trial 9 Aug 2004 Version 3 Amended following North Island consultation 5 Jan 2005 Version 4 Amended to include feedback from Trial 30 Nov 2005 Ian Gray Ian Gray Ian Gray Issue 1 Issued (replaces the previous Prequalification for Physical Works Procedure Manual 12 Dec 2007 Raj Rajagopal The Prequalification Trial ended on 30 June 2007 and Prequalification is now a Business As Usual procurement procedure. Split of content between the new Application Pack and the Contract Procedures Manual Revision 1 New Appendix 3: Contractor s Occupational Health and Safety Management Information incorporated 1 Mar 2008 Raj Rajagopal Revision 2 Amendment to Section 1, Item 1. 5 Mar 2008 Raj Rajagopal Revision 3 Minor miscellaneous changes. All references to Transit NZ replaced with NZTA 1 July 2009 Richard Quinn Revision 4 Minor Miscellaneous changes 15 July 2009 Revision 5 Amendment Section Feb Revision 6 Amendment Appendix 3 1 May 2010 Revision 7 Amendments from annual prequalification workshop July Sep 2010 Valfrid Jarl Valfrid Jarl Valfrid Jarl Valfrid Jarl Revision 8 Amendments from prequalification industry meetings and addition of Operator Rating System into H&S 8 April 2013 Michele Berry Revision 9 Amendment to Section 1.4: Step 4, Section 3 and Glossary of Terms 30 Oct 2013 Paula Alkema

4 NZ Transport Agency Page iii Document Management Plan 1. Purpose This Management Plan details the process for updates, amendments and includes contact points in relation to the Prequalification for Physical Works Application Pack. 2. Document Information Document Name Document No. Availability Document Owner Sponsor Not Applicable This document is located in electronic, PDF format on the NZTA website The Prequalification Manager Group Manager, Highways 3. Amendments and Review Strategy All Corrective Action/Improvement Requests (CAIRs) suggesting changes will be acknowledged by the document owner. Amendments (of a minor nature) Review (major changes) Notification Comments Updates to the Application Pack will be incorporated as soon as practicable. Amendments fundamentally changing the content or structure of the document will be incorporated as soon as practicable. They may require coordinating with the review team timetable. All users that have registered their interest by to prequalification@nzta.govt.nz will be advised by of amendments and updates. Frequency As required Annually Immediately 4. Other Information (at Document Owners discretion) There will be occasions, depending on the subject matter, when amendments will need to be worked through by the Review Team before the amendment is actioned. This may cause some variation to the above noted time frames. 5. Distribution Copies of this Document Management Plan are included in the document.

5 NZ Transport Agency Page 1 of 21 Section 1 - Guidelines for Completing Registration Application 1.1 Introduction The Highways group of the NZ Transport Agency (NZTA) is continuously inviting Contractors to register their interest in pre-qualifying for Physical Works Contracts Prequalification is a joint NZTA / industry initiative aimed at simplifying the tendering process and reducing tendering costs. It is an alternative procedure to what would normally be let under the Lowest Price Conforming or Price Quality Methods The prequalification system was originally developed as a trial for the South Island in This was subsequently extended to the North Island. In 2007 the system was accepted as a permanent system, and its trial status removed. Today over 110 suppliers are registered with the Prequalification System It should be noted that Prequalification is about the skills and experience of the company not individuals within the company The Prequalification process consists of Contractors being evaluated over a range of quality criteria and then being registered for specific types and sizes of work. NZTA tenders using Prequalification will specify a minimum Prequalification level and only Contractors who are prequalified to at least the specified level will be able to submit a tender Under Prequalification, low risk routine projects will be awarded to the Prequalified Contractor with the lowest price. Non-price attributes will not be required. For more complex, higher risk projects, tenderers may be asked to provide some project-specific non-price attribute information. The Prequalified Contractor will then be evaluated using the Price Quality Method (Simple or Special) Successful Contractors will be monitored for compliance against their Prequalification level. Depending on performance, a Contractor may retain their existing Prequalification level, or be moved to a lower level. Contractors can apply for a higher level at any stage. 1.2 Communications on Applications All communications between NZTA and applicants must be in writing Upon receipt of the Application Pack, the Contractor shall provide NZTA with the name and contact details of the person that NZTA can communicate with during the application period (the applicant s nominated person) All queries should be addressed to: The Prequalification Manager NZ Transport Agency Victoria Arcade 44 Victoria Street Private Bag 6995 Wellington prequalification@nzta.govt.nz NZTA will endeavor to respond to all queries within five (5) working days of receiving them.

6 NZ Transport Agency Page 2 of General Application Details The application must be submitted in one envelope and addressed to: The Tender Secretary National Office NZ Transport Agency Private Bag 6995 Wellington Faxed or ed applications will not be accepted. However, in order to process the application sooner, it is NZTA s preference that a soft copy of the application be enclosed together with the hard copy One Prequalification application only is allowed for each company.

7 NZ Transport Agency Page 3 of Procedure for Completing Registration Application Step 1 Prequalification Procedure Read and become familiar with the Prequalification procedures in this Application Pack Step 2 Work Category Identify which of the four work categories (described in detail in Section 10) cover the type of NZTA work that your company may tender for. The four work categories are: 1. Routine & Minor Works 2. Surfacing 3. Bridge Construction 4. Construction Step 3 Classification Level Refer to Section 3 and Appendix 2 Quality Compliance Checklist of this Application Pack. Decide on the Classification Level (A, B, C, D) that you meet and are able to provide the appropriate supporting documentation for. Complete a separate Quality Compliance Checklist for each work category you identified at Step 2 above. You must meet or exceed the Classification Level Input Requirements for all the seven performance criteria for the work category you are applying for. The seven performance criteria are: 1. Quality Assurance 2. Traffic Management 3. Environmental Management 4. Health and Safety 5. Project Management 6. Quantum or Size of Work 7. Co-operative and Pro-active Partnering

8 NZ Transport Agency Page 4 of 21 Step 4 Quality Compliance Checklist Input Requirement Complete the Quality Compliance Checklist from Appendix 2, noting the input requirement for the Classification Level(s) being applied for. Complete a separate Quality Compliance Checklist (QCC) for each Work Category applied for. Any common enclosures need not be supplicated but their location should be noted on the QCC so that the assessor can find them. Requirement Performance Criteria Attachment Quality Assurance Traffic Management Attach a copy of certificate Health and Safety Complete the Health and Safety Management Information form and provide ORS Rating Level B: 3 yrs experience Level A: 5 yrs experience Project Management Provide 2 page CV for Project Management and Technical Staff Levels C & D: 1 reference letter per category Levels A & B: 3 reference letters per category All Levels: 3 reference letters per category Environmental Management Quantum or Size of Work Reference letters completed and signed by Supervising Authority Levels A, B & C: 1 reference letter per category Cooperation and Proactive Partnering

9 NZ Transport Agency Page 5 of 21 Step 5 Application Form Complete the Application Form (Appendix 1) Information which should be attached to the Application Form includes: Completed Quality Compliance Checklist(s) All supporting information Organisational structure (chart of management and technical personnel) Curriculum vitae of all key Personnel Resources - list plant and staff as at date of application. Information supplied will be held in a database kept on each company. In the event of changes to your company (refer to Section 2.6 Company Changes ) a comparison between the old and new company details can be made. You are required to notify NZTA of company changes at the time of the change. Step 6 Submissions of Application Forward the completed Application Form and all attachments to the Tender Secretary National Office in Wellington, as detailed in Section 1.3 of this Application Pack. Each company can make only one application. Faxed submissions will not be accepted. All questions should be directed to the Prequalification Manager. Applications will be processed on a first come first served basis. You should receive notification of the result of your application within 10 weeks.

10 NZ Transport Agency Page 6 of 21 Section 2 - Applying for Registration 2.1 Confirming letters required for Quality Compliance Checklist (QCC) Where more than one confirming letter is required for a Performance Criteria, each letter shall be signed by a different person Referees are required to confirm that they do not have or have had financial association or conflict of interest with the contractor. A subsidiary, sister company or TLA ownership (e.g. CCOs) would constitute a conflict of interest. The formats for these letters are given in Appendices 4, 5 and Determining Classification Level The Quality Compliance Checklist (QCC) details the requirements for each classification level. A Contractor must meet all the requirements described in the QCC to be eligible for a particular level. If any requirement is not met the Contractor can only be registered at the Classification Level of the lowest requirement they are able to meet A Contractor who is registered for Level A is automatically qualified for lower classification levels (B, C and D) 2.3 Additional Information Required Contractors need to include the following additional information with their application: Quality Compliance Checklists (QCC) include completed QCC for each work category, together with all input requirements detailed on the QCC (i.e. confirming letters, copies of certificates, registrations to accredited management systems (where applicable). Organisational Structure provide a chart detailing all management and key personnel Curriculum Vitae of all key personnel provide CVs of key management and technical personnel Resources list all relevant plant (with year of manufacture) and total staff employed. Also, indicate whether it is owned or rented by the Contractor. 2.4 Trading Divisions Any organisation that is operating as a trading division of a company must be separately prequalified to be able to tender under their own name. 2.5 Updating the Register of Prequalified Contractors NZTA will endeavor to update the Prequalification Register within one (1) week of the following dates: 31 January, 30 April, 31 July, and 31 October for applications assessed in the previous quarter The Register of Prequalified Contractors may be updated outside these dates in exceptional circumstances, in which case all Prequalified Contractors who have submitted contact details will be notified by of the change to the register.

11 NZ Transport Agency Page 7 of Company Changes When a Contracting company is dissolved, taken over, changes their financial or technical capacity, changes ownership or holding, or changes their core business, they must advise the Prequalification Evaluation Team immediately via to prequalification@nzta.govt.nz The PET will advise what action the Contractor is required to take, to ensure their Prequalification is retained. This may involve continuing with the present registration or applying for revised registration. In the latter case, the Contractor must complete a full submission similar to a new or original application. This can be carried out at the next available registration period. 2.7 Change of Classification Level For any company or companies (e.g. joint ventures) that are already prequalified and wish to move to a higher level or to a different work category outside the set registration periods, they must apply to the PET with the necessary Letters of Confirmations for that level(s) and category(s).

12 NZ Transport Agency Page 8 of 21 Section 3 Prequalification Classification 3.1 Basis for Classification The Prequalification system classifies Contractors according to their ability to meet specified quality levels within each of four (4) physical works categories. 3.2 Classification Levels Each work category has four possible quality levels, where A is the highest and D is the lowest, to give the following 16 Prequalification Classification Levels: Classification Level Work Categories A B C D 1. Routine & Minor Works 1A * 1B 1C 1D 2. Surfacing 2A 2B 2C 2D 3. Bridge Construction 3A 3B 3C 3D 4. Construction 4A 4B 4C 4D Level A Need the highest Quality Management System to ISO 9000 Technically complex requiring specialist appreciation and understanding Involve full partnering and co-operation with all parties Complex and sensitive Environmental Management issues Are considered high risk Capable resources and experience to carry out projects usually over $5.0 Million (indicative only) Level B Quality Management System having certification to QEST and TNZ:TQS1 and evidence of working towards ISO 9000 certification Technically complex requiring technical appreciation and understanding Limited surveillance required and the contractor adheres to the principles of partnering Complex Environmental Management issues Are considered medium to high risk Capable resources and experience to carry out projects estimated at between $2.5 and $5.0 Million (indicative only) Level C Quality Management System that provides current certification to QEST and TNZ: TQS1 Not technically complex but requiring technical appreciation and understanding Minimum surveillance on co-operation and pro-active partnering Simple Environmental Management issues Are considered low to medium risk Capable resources and experience to carry out projects estimated at between $0.5 and $2.5 Million (indicative only) Level D Need only a simple level of quality control Technically simple, routine or repetitive Minor levels of surveillance and support Does not involve sensitive Environmental Management issues Are considered low risk Capable resources and experience to carry out projects usually less than $0.5 Million * Contractor needs to be directly responsible for the delivery of activities or have experience as a Prime Contractor responsible for the delivery of activities included in this work category

13 NZ Transport Agency Page 9 of 21 Section 4 - Definition of Performance Criteria 4.1 Performance determines Classification NZTA has seven (7) performance Criteria of Physical Works Contracts that Contractors are required to meet. 4.2 Performance Criteria Contractors are required to supply information with their application under the following Performance Criteria: Quality Assurance Traffic Management Environmental Management Health and Safety Project Management Quantum or Size of Work Co-operation and Pro-active Partnering.

14 NZ Transport Agency Page 10 of 21 Section 5 Assessment of Registration Application 5.1 Assessment Process The following outlines the assessment process for a Prequalification application: TENDER SECRETARY PREQUALIFICATION MANAGER The Contractor submits Prequalification Application documents to the Tender Secretary, National Office (TSNO). The TSNO checks the application for completeness and completes the Prequal Form 1 before scanning it into the Document Management (DM) system. The application is then sent to the Regional Primary Assessor for evaluation. The TSNO informs the Prequalification Manager via of the application. REGIONAL PRIMARY ASSESSOR (RPA) The RPA assesses the application received from the TSNO. Evaluates information in documents, checks referees and if information is consistent with his/her knowledge of the Contractor. Completes, scans and s the checklist to the Prequalification Evaluation Team. PREQUALIFICATION EVALUATION TEAM (PET) PREQUALFICATION MANAGER The PET reviews comments from RPA and either approves/rejects/downgrades the application PET notifies the Prequalification Review Committee of decisions made on applications received. Prequalification Manager prepares Prequalification Certificate upon receipt of advice from the PET. PREQUALIFICATION REVIEW COMMITTEE (PRC) Review decisions and appeals in relation to the rejection or downgrading of applicants. Decide on the treatment of Prequalified Suppliers subjected to a Performance Review. 5.2 Time taken to process application Assessment process will be completed within 10 weeks from the date of receipt of the application, subject to the information provided being complete and accurate. An incomplete application may cause delays beyond the stipulated time.

15 NZ Transport Agency Page 11 of Updating of Prequalification Register Submission of a Prequalification Application can be made at anytime. However, the Register of Prequalified Contractors will only be updated quarterly (31 Jan, 30 April, 31 July and 31 Oct). E.g. a Contractor whose application is approved 21 Feb, will have its Prequalification status confirmed at the next update (31 April) of the Register of Prequalified Contractors. 5.4 Prequalification Register The current list of Prequalified Contractors and their Classification is available on the NZTA website ( 5.5 Reapplying for registration Contractors are entitled to reapply for registration on condition that they are able to provide evidence the conditions and circumstances have changed sufficiently for the PET to reconsider their application.

16 NZ Transport Agency Page 12 of 21 Section 6 Appeal on PET s Decision 6.1 Period to appeal PET s decision Within 14 days of notification from the Prequalification Evaluation Team to either downgrade or reject a Prequalification application, the Contractor may submit a Letter of Appeal (with supporting documents) for the Prequalification Review Committee s consideration to: The Prequalification Manager Prequalification Review Committee NZ Transport Agency Private Bag 6995 Wellington Additional information The Prequalification Review Committee will review any additional information provided by the applicant and make a ruling on the Contractor s appeal. 6.3 Final decision The decision of the Prequalification Review Committee will be final.

17 NZ Transport Agency Page 13 of 21 Section 7 Review of Contractor Project Performance 7.1 Overview The Prequalification Evaluation Team (PET) will use the NZTA Project Manager generated Interim and Final PACE reports to monitor the performance of Prequalified Contractors. 7.2 Inadequate performance If the total score in a Pace Report (Interim or Final) for any of the 4 PACE main Criteria Categories (Management Production, Health and Safety or Administration) average 40% or less, a performance review will be undertaken. In addition the PET, in discussion with the NZTA Project Manager, will make a decision on whether a performance review is necessary when: 3 or more (in total) of the individual PACE criteria are 40% or less, or 2 or more in any one category are 40% or less 7.3 Performance review The PET will initiate a Performance Review in consultation with the Project Manager, supervising consultant and the Contractor. The PET will prepare a report covering the Contractor s performance and make a recommendation to Prequalification Review Committee (PRC) within 4 weeks, regarding the continuing Prequalification registration status of that Contractor The PRC will advise the Contractor in writing of the outcome of the performance review. 7.4 Penalties for inadequate performance Penalties for inadequate performance can apply to any or all NZTA Regions and involve any of the following: Warning: any recurrence will lead to automatic suspension. Downgrading: Supplier downgraded and required to re-submit application to reverse downgrading. Suspension: Prequalification withdrawn for a set period. Rescind registration: Prequalification withdrawn for a set period and application must be resubmitted. Evidence: Suppliers may be asked to demonstrate the remedial actions taken to improve in the specific area of inadequate performance. 7.5 Review of registration / classification The PRC has the right to review any registration/classification at any time. 7.6 Appeal The Contractor has 14 calendar days to appeal the PRC decision.

18 NZ Transport Agency Page 14 of 21 Section 8 Review of Contractor Safety Performance 8.1 Overview The Prequalification Evaluation Team (PET) will use NZTA s Operator Rating System (ORS) ratings to monitor the safety performance of Prequalified Contractors over a given 24 month timeframe (reviews will be carried out 6 monthly). Contractors must hold a minimum 4-star Rating to be prequalified. 8.2 Inadequate performance If the Star Rating drops a first notification will result in an automatic warning letter and a possible follow up visit by NZTA Transport Officers. The Contractor will then be required to demonstrate improvement within 6-months following issue of the warning letter. 8.3 Performance review The PET will initiate a Performance Review in consultation with Access and Use and the Contractor if no improvement is demonstrated within a 12-month period following issue of the warning letter. The PET will prepare a report covering the Contractor s performance and make a recommendation to Prequalification Review Committee (PRC) within 4 weeks, regarding the continuing Prequalification registration status of that Contractor The PRC will advise the Contractor in writing of the outcome of the performance review. 8.4 Penalties for inadequate performance Penalties for inadequate performance can apply to any or all NZTA Regions and involve any of the following: Suspension: Prequalification withdrawn for a set period. Rescind registration: Prequalification withdrawn for a set period and application must be resubmitted. Evidence: Suppliers may be asked to demonstrate the remedial actions taken to improve in the specific area of inadequate performance. 8.5 Appeal The Contractor has 14 calendar days to appeal the PRC decision.

19 NZ Transport Agency Page 15 of 21 Section 9 Renewal of Prequalification Registration 9.1 Registration cycle Registration for Prequalification has a two-year life span with a maximum validity until 30 June the next odd year. 9.2 Renewal of registration weeks prior to end of the current registration period NZTA will write to all Prequalified Contractors to invite them to renew their registration based on the current status of classification This is done by re-confirming basic details about the Prequalified Contractors and in most circumstances will not require a new Prequalification Application to be provided. 9.3 Changes to classification level Where there has been a change in the category and /or classification of the Contractor or the Contractor intends to register for different work categories, a new Prequalification application must be submitted by the Contractor for evaluation and registration. The application needs to include documents for the categories the contractor wishes to upgrade only. 9.4 Change in classification level using PACE Report Where a PACE report is used by a Contractor to seek a change to their Prequalification level, the PET will advise the Contractor on additional Quality Compliance Inputs required. The exact requirements will be assessed on a caseby-case basis The final approval of the change will be made by the PET.

20 NZ Transport Agency Page 16 of 21 Section 10 Definition of Work Categories Projects may be categorised as one or more of the following four Work categories. 1 Routine & Minor Works Pavement Maintenance Patching and repairs including potholes Shoulder maintenance including flanking Routine maintenance and repair of surface water channel and subsoil drainage Stream clearing and debris removal; to maintain water courses through culverts Repair minor scour in water channels and other drainage facilities Renewal or installation of culverts with a diameter less than or equal to 600mm. Repair dropouts and/or slips that do not require restriction of a traffic lane, provided they do not need urgent attention to remove a threat to road safety or the road structure Repair to scour, degradation or aggradations threatening roads, bridges or other roading related structures which has accumulated over time Repair to any other deficiency which has developed from events occurring over a period of time Replacement of wearing and running course metal on unsealed roads Grading of unsealed roads Traffic Services Carriageway Lighting Vegetation Control Amenity/Safety Maintenance Provision and maintenance of signs. Provision and maintenance of road markers Provision and maintenance of pavement markings Operation and maintenance of traffic signals Operation and maintenance of traffic monitoring equipment, such as area-wide traffic control systems and CCTV Operation and maintenance of emergency telephones on motorways Maintenance of guardrails and sight rails Replacement of traffic signal and surveillance equipment with an equivalent but state of art facility. Provision and maintenance of operation of lighting on local roads Provision and maintenance of operation of lighting on state highways Provision and maintenance of operation of belisha beacons and floodlights at pedestrian crossings Protection planting projects Toe weighting of unstable slopes Drainage installed to drain incipient slips New works which protect existing roads from sea or river damage Snow clearing and ice control Vegetation control Litter collection on rural roads Removal of, protection against, graffiti on roading structures Removal and cleaning up crash debris and spillages (excluding hazardous substances which are responsibility of emergency services)

21 NZ Transport Agency Page 17 of 21 Traffic Management Cleaning channels, sumps and cesspits Provision and operation of advanced traffic management systems (ATMS) Provision and operation of variable message signs Provision and operation of local area traffic management schemes Provision and operation of surveillance devices Provision and operation of weighing devices Minor Safety Small isolated geometric improvements Intersection improvements Traffic calming measures Lighting improvements Power pole relocation Provision of guard railing Sight benching to improve visibility Pedestrian crossings Stock underpasses Formation of trailer parks 2 Surfacing Reseals/Seal Extension Conventional chip reseals including second coat seals Void filling seal coats Texturing seals Other approved special purpose chip seals Asphaltic surfacing 3 Bridge Construction Bridge Maintenance/ Repairs Bridge Construction Repair of bridge retaining walls Replacement of timber decks Replacement of damaged or deteriorated structural members Sand blasting and painting of structural members Foundation protection Replacing bridge structure Widening an existing bridge New Bridge 4 Construction Rehabilitation/ Pavement Treatment Removal and replacement of the existing pavement material Rip and relay Chemical stabilisation Unbound granular overlays not exceeding 70mm over high spots Treatments involving ripping and/or reshaping, including stabilisation of the existing pavement material

22 NZ Transport Agency Page 18 of 21 Drainage Improvements Road Construction Repair and replacement of kerb and channel Installation of water channels, sub-soil drainage Renewal or installation of culverts with a diameter greater than 600mm Routine maintenance and repair of surface water channel and subsoil drainage Stream clearing and debris removal; to maintain water courses through culverts New road realignments Regrading Widening Intersection Improvements Approaches to bridge renewals New retaining structures Tunnels

23 NZ Transport Agency Page 19 of 21 Glossary of Terms Applicant Classification Level Group Manager Operator Rating System (ORS) PACE Performance Criteria Prequalification Certificate The Contractor who is seeking Prequalification registration for one or more Work Category(s) and Classification Level(s) by submitting the documents and meeting the requirements stipulated in this document. The Prequalification system has four Classification Levels A through D, Level A being the highest and D the lowest Classification Level The Group Manager (GM) is a NZTA manager with the appropriate delegated powers and duties as described in NZTA s State Highway Control Manual. The GM is authorised to approve contracts that exceed the maximum value delegated to Regional Managers. The ORS is a system that aims to improve the safety of heavy vehicles on the roads by rating their compliance with safety-based legislation. The ORS scores range from between one and five stars based on compliance with the following safety-related events, over a 24- month period: certificate of fitness inspection (CoFs) roadside inspections relevant traffic offences Performance Assessment by Coordinated Evaluations (PACE) is the performance evaluation system used by NZTA to assess Physical Works contracts and Professional Services. The requirements of the PACE system can be downloaded for the NZTA s website ( These define the quality standards required to achieve Prequalification. There are seven Performance Criteria that the Contractor needs to comply: Quality Assurance Traffic Management Environmental Management Health and Safety Project Management Quantum or Size of Work Cooperation and Proactive Partnering The certificates issued to Contractors who have successfully completed Prequalification registration. The certificate allows a Contractor to tender for NZTA s Physical Works contracts with Prequalification requirements.

24 NZ Transport Agency Page 20 of 21 Prequalification Evaluation Team (PET) Prequalification Manager Prequalification Review Committee (PRC) Prime Contractor Quality Compliance Checklist (QCC) Referee Regional Primary Assessor (RPA) Registration The PET consists of representatives from NZTA and the Prequalification consultant. The PET, upon receipt of the report from the Regional Primary Assessor (RPA), carries out checks on the information submitted by the Contractor and, together with the RPA s recommendation and findings, decides on the approval or otherwise of the Contractor s application. The PET also monitors the performance of Prequalified Contractors using the Interim and Final PACE reports. The person in NZTA who is responsible for the management of the Prequalification system, and may also be a member of the PET. The PRC consists of a NZTA representative, a Contractor s representative, and a Consultant representative. The PRC: Reviews appeals from Contractors whose Prequalification application has been rejected and/or downgraded by the PET. Decides on the PET s recommendation on the PACE initiated Performance Review s of Contractors carried out pursuant to Section 7.2 Inadequate Performance, of this document. Be actively involved in any dispute resolutions regarding Prequalification, where necessary. Main contractor who has a contract with the Client for a project or job, and has the full responsibility for its completion. A prime contractor undertakes to perform a complete contract, and may employ (and manage) one or more subcontractors to carry out specific parts of the contract. The application of the prime contractor can only apply to Work Category 1A: Routine & Minor Works The QCC details the Performance Criteria required for each classification level. Contractors must complete these as part of the Prequalification registration application. A Referee shall be from the client organisation and/or the client s agent who has a good and creditable knowledge of the works that the Contractor has carried out and preferably have been directly responsible for supervising or overseeing the nominated project. The NZTA Project Manager appointed to receive and check the registration applications forwarded by the Tender Secretary. The RPA scrutinises the submission and satisfies themself that the information provided by the Contractor is accurate in form and content and is consistent with their knowledge of the Contractor. Comments in this regard are then forwarded to the PET together with the checklist. The process of seeking acceptance to become a Prequalified Contractor by submitting an application.

25 NZ Transport Agency Page 21 of 21 Tender Secretary National Office (TSNO) NZTA Work Categories The NZTA personnel with delegated authority from National Office responsible for receiving the Prequalification Application and setting the process in motion by sending the complete documentation to the concerned RPA for evaluation. NZ Transport Agency Contractors are classified in accordance with their expertise in four physical work categories i.e. Routine & Minor Works, Surfacing, Bridge Construction, and Construction.

26 Appendices

27 NZ Transport Agency Page i A1 Prequalification Application Form Item Information Required 1 Work Category and Classification Level/s applied for i.e. 1A, 3D etc. Complete (Indicate where information attached) Checked by Tender Secretary 2 Business name of applicant 3 Main office address 4 Postal address 5 Contact person 6 Contact telephone no., fax and 7 Organisational structure (attach) 8 Curriculum vitae of all key personnel (attach) 9 Resources including all plant and staff (attach) 10 QCC form (attach and include all criteria input requirement information listed) 11 Name (Printed), Position in Company, Tel: Fax: 12 Signature Date: Issue 1Revision 9, April 2013

28 NZ Transport Agency Page ii A2 Quality Compliance Checklist Input Requirements Work Category and Classification Level Applied For: Level Performance Criteria Prequalification Classification Input Requirement Included by Applicant Checked by TS Quality Assurance D Uses a Quality Control System based on the TNZ: TQS 2 specification. Provide copy of recent Quality Plan complying with TNZ: TQS 2. C Uses a Quality Control System that meets the TNZ: TQS 1 specification. Provide current certification to QEST and TNZ: TQS 1. B Uses a Quality Management system that meets ISO 9001: Provide current certification to QEST and TNZ: TQS 1 and evidence of progress towards ISO9001:2008 certification. A Uses quality management system certified to relevant ISO 9000 Standard by an accredited organisation. Provide current certification to ISO 9001:2008 by a JAS-ANZ accredited organisation. Traffic Management All levels Capable of meeting Level 1 of COPTTM. Code of Practice for Temporary Traffic Management. Provide current Level 1 Basic- Temporary Traffic Management (TTM) certificate for site management staff. Environmental Management D & C Capable of providing simple environmental management. Provide a confirming letter from a supervising authority on a recently completed project. B & A Capable of providing complex environmental management. Provide confirming letters from supervising authorities on three recently completed projects. Provide example of a Complex Environmental Management Programme prepared and operated by the applicant from one of the three recently completed projects Health and Safety All Levels Must fully comply with the relevant sections of the Health and Safety in Employment Act 1992 and have a documented Health and Safety Management System in operation. Complete Contractor s Health and Safety Management Information form (see Appendix 3) All Levels Must fully comply with the Land Transport Rule Operator Safety Rating 2008 (ORS Rule). Must hold a minimum of 4 Star under the NZTA Operator Rating System. Provide Transport Service Licence Number and name it is issued under, together with copy of current rating. Issue 1Revision 9, April 2013

29 NZ Transport Agency Page iii D C B A Work of a routine and repetitive nature. Not technically demanding. Some variation requiring technical appreciation and understanding. Technically complex requiring technical appreciation and understanding. Technically complex requiring specialist appreciation and understanding. Project Management Provide details of experience of project management and technical staff (2 pages CV for each staff) Provide details of experience of project management and key supervisory staff (2 pages CV for each staff) Provide details of experience of project management and key supervisory staff, all with at least three years experience (2 pages CV for each staff) Provide details of project management and key supervisory staff (one of whom is an Engineer or equivalent), all with at least five years experience (provide CVs of staff) Quantum or Size of Work D C B A Has the capability, resources and experience to carry out projects estimated at less than $ 0.5M Has the capability, resources and experience to carry out projects estimated at between $0.5M and $2.5M Has the capability, resources and experience to carry out projects estimated at between $2.5M and $5.0M Has the capability, resources and the experience to carry out projects estimated at more than $5.0M. Provide confirming letters from supervising authority on three recently completed projects. Provide confirming letters from supervising authority on three recently completed projects. Provide confirming letters from supervising authority for three recently completed projects. Provide confirming letters from supervising authority for three recently completed projects. Co-operation & Pro-Active Partnering D C B A Surveillance and support required. Some surveillance required, proactive co-operation with all parties. Very limited surveillance required, adheres to the principles of partnering. Experienced in the establishment and practice of a Full Partnering Charter, and co-operates fully with all parties (or demonstrates capability to achieve this). Provide details of successful completion of recent project demonstrating co-operation with client/engineer. Provide confirming letter from supervising authority on recently completed project. Provide confirming letter from supervising authority on recently completed project. Provide confirming letter from supervising authority on recently completed project. Issue 1Revision 9, April 2013

30 NZ Transport Agency Page iv A3 Contractor s Health and Safety Management Information To facilitate legislative compliance, a safe working environment and industry best practice, NZTA needs to demonstrate that it has taken all practicable steps to ensure that contractors have implemented a systematic approach to safety management practices, and that they have appropriately trained employees. NZTA requires all contractors to meet or exceed the requirements of ACC Work Safety Management Practices (WSMP) or Partnership Programme at Secondary or Tertiary levels, and be accredited with a H&S system acceptable to NZTA, and meet or exceed the requirements of industry best practice. The Contractor shall complete and provide copies of the documents referred to in the form below, and submit with their application. Applications that do not include the information required below may be deemed to be non-conforming. Contractor s Health and Safety Management Requirements 1. Please confirm which of NZTA s approved H&S providers you are registered with: QEST (attach copy of current audit certificate); or None of the above If you answered None of the above go to Section 2, otherwise go to Section Please confirm which ACC WSMP or Partnership Programme you are registered with: ACC Secondary Level (attach copy of current audit certificate); or ACC Tertiary Level (attach copy of current audit certificate); or None of the above If you answered None of the above go to Section 3, otherwise go to Section Please confirm which H&S system acceptable to NZTA you are registered with: Accredited H&S Systems in conformance with AS/NZS 4801 or OHSAS scoped to roading, construction, maintenance and other works that will be performed by your company on this contract: AS/NZS 4801: In order to meet or exceed the requirements of ACC WSMP or Partnership Programme at Secondary or Tertiary levels, AS/NZS4801 must be extended to include management of subcontractors (attach copy of current evidence-based audit certificate); or OHSAS 18001: In order to meet or exceed the requirements of ACC WSMP or Partnership Programme at Secondary or Tertiary levels, OHSAS must be extended to include New Zealand s legal requirements for employee participation. (attach copy of current evidence-based audit certificate) Issue 1Revision 9, April 2013

31 NZ Transport Agency Page v Declaration 4. I confirm our organisation will have H&S processes and systems in place for this contract and that our systems or system provider are committed to working towards industry best practice to continuously improve H&S outcomes within the civil sector. I authorise NZTA to discuss and verify our organisation s stated H&S record with independent bodies (e.g. ACC, Dept of Labour, QEST). Signed: Name: Date: Position: Issue 1Revision 9, April 2013

32 NZ Transport Agency Page vi A4 Template for Environmental Management Confirming Letter (QCC) The Prequalification Manager NZ Transport Agency Victoria Arcade 44 Victoria Street Private Bag 6995 Wellington 6141.(Date) PREQUALIFICATION FOR PHYSICAL WORKS Environmental Management Performance Criteria Prequalification Application by..(name of Contractor) for Work Category. Further to the NZTA Prequalification process, I have been asked to confirm in my opinion that. (Name of Contractor) has satisfactorily completed the. (Name of project and value) in. (year), and in my view is capable of providing Simple (Level C and D) environmental management Complex (Level A and B) environmental management (Strike out the item above that does not apply). An adequate Contractor s Environmental Management Plan was provided and compliance with all conditions was achieved (strike out if not appropriate). I also confirm that I have or have had no financial association with this Contractor, and in my opinion no conflict of interest exists. Yours faithfully, (Name) Title (Supervising Authority) Address: Contact No.: Note: Levels A and B require three confirming letters written by three different referees (who should be from the client organisation and/or the client s agent and must have been directly responsible for supervising or overseeing the nominated project) relating to three different projects. Levels C and D require one confirming letter, for Environmental Management. The confirming letter(s) are to be included in the Prequalification application. Issue 1Revision 9, April 2013

33 NZ Transport Agency Page vii A5 Template for Quantum or Size of Work Confirming Letter (QCC) The Prequalification Manager NZ Transport Agency Victoria Arcade 44 Victoria Street Private Bag 6995 Wellington 6141.(Date) PREQUALIFICATION FOR PHYSICAL WORKS Quantum or Size of Work for Work Category Performance Criteria Prequalification Application by..(name of Contractor) for Work Category. Further to the NZTA Prequalification process, I have been asked to confirm in my opinion that. (Name of Contractor) has satisfactorily completed the..(name of project and value) in. (year). In my view.(name of Contractor) have the capability, resources and experience to carry out projects in the Work Category: for the following value:(strike out all except one): Level D Level C Level B Level A less than $0.5M between $0.5M and $2.5M between $2.5M and $5.0M more than $5.0M. I also confirm that I have or have had no financial association with this Contractor, and in my opinion no conflict of interest exists. Yours faithfully (Name) Title (Supervising Authority) Address: Contact No.: Note: All levels require three confirming letters written by three different referees (who should be from the client organization and/or the client s agent and must have been directly responsible for supervising or overseeing the nominated project) relating to three different projects are required for Quantum and Size of Work. These confirming letters are to be included in the Prequalification application Issue 1Revision 9, April 2013

34 NZ Transport Agency Page viii A6 Template for Cooperation and Proactive Partnering Confirming Letter (QCC) The Prequalification Manager NZ Transport Agency Victoria Arcade 44 Victoria Street Private Bag 6995 Wellington 6141 (Date) PREQUALIFICATION FOR PHYSICAL WORKS Co-operation and Pro-active Partnering Performance Criteria Prequalification Application by..(name of Contractor) for Work Category. Further to the NZTA Prequalification process, I have been asked to confirm in my opinion that...(name of Contractor) has satisfactorily completed the..(name of project and value) in. (Year), and in my view has the capability for Co-operation and Pro-active Partnering in that they require minimum surveillance and promote pro-active co-operation with all parties (level C) Co-operation and Pro-active Partnering in that they require very limited surveillance and adhere to the principles of partnering (level B) Co-operation and Pro-active Partnering in that they are capable of establishing and practicing under a full Partnering Charter and co-operating fully with all parties (level A) (Strike out the items above that do not apply). I also confirm that I have or have had no financial association with this Contractor, and in my opinion no conflict of interest exists. Yours faithfully, (Name) Title (Supervising Authority) Address: Contact No.: Note: Levels A B and C require one confirming letter written by a referee (who should be from the client organization and/or the client s agent and must have been directly responsible for supervising or overseeing the nominated project), for Co-operation and Pro-active Partnering. The confirming letter(s) are to be included in the Prequalification application. Issue 1Revision 9, April 2013