Standard Professional Services Specifications. Contract Management

Transcription

1 Standard Professional Services Specifications Contract Management

2 NZ Transport Agency

3 NZ Transport Agency Page 3 of 26 Contents 1 Interpretation and Definitions 5 2 Project Control 9 3 Consultant s Project Quality Plan Consultant s Programme Site Safety Plan 10 4 Reporting General Consultant s Monthly Report Accrual Report Public Relations Report Accident Report Large and Complex Projects I&R to D&PD Phase Handover Checklist Final Construction Report Activity Risk File 14 5 Financial Management General Budget Cashflows Value of Work (PROMAN) Reporting Exception Report and Formal Review Report Financial Authority: Professional Services Contracts Financial Authority: Physical Works Contracts Project Economic Analysis 17 6 Policy and Procedures 17 7 General Requirements Communications Client Involvement Liaison with Client s Property Acquisition Agent Land Entry Branding and Communications Media Releases Consultation Plan Landowner/Interested Party Notifications/Information Sheets/Newsletters Local Authority Liaison Social and Environmental Management Accidental Discovery Procedures Contractor s Social and Environmental Management Plan Health and Safety in Employment (HSE) Compliance State Highway Network Management Consultant Liaison Completion of Project Certification 22

4 Page 4 of 26 NZ Transport Agency 7.16 Emergency Closure of State Highway Format of Electronic Information Risk Management Travel Demand Management Submitting the Project for an Award or Other Advertising Project Websites (Subsites) Second Coat Sealing 23 8 Performance Assessment Evaluation of Consultant 24 Appendices Minimum Standard Z/1 - Consultants Project Quality Plan Minimum Standard Z/2 - Consultants Programme Minimum Standard Z/4 - Contractor s Social and Environmental Management Plan Minimum Standard Z/5 - Health and Safety Compliance Notice Minimum Standard Z/11 - Performance Evaluation Minimum Standard Z/17 - Branding and Communications Minimum Standard Z/19 - Social and Environmental Management Minimum Standard Z/21 - Large and Complex Projects I&R to D&PD Phase Handover Checklist Minimum Standard Z/22 - Accidental Discovery Procedures Minimum Standard Z/44 Risk Management Form PSF/4a - Justification for Additional Services Form PSF/4b - Request for Extension of Contract Budget - Physical Works Form PSF/5b - Project Completion Certificate Form PSF/6b - Agreement for Entry onto Land Form PSF/9a - Performance Evaluation of Consultant (Capital) Form PSF/9b - Performance Evaluation of Contractor (Capital) Form PSF/9c - Performance Evaluation of Contractor (Maintenance) Form PSF/9d - Performance Evaluation of Consultant (Maintenance) Form PSF/13 - Social and Environmental Management Form

5 NZ Transport Agency Page 5 of 26 1 Interpretation and Definitions Further to Clause 1. of the General Conditions, the following words shall have the meanings herein assigned to them: Accrual Accrual Report Activity Risk File Agreement for Entry Archaeological site Benefit Cost Ratio Benefit Cost Ratio Cutoff Budget Building Consent Application Means the expected level of expenditure commitment at the end of the month for each PROMAN work unit, whether claimed and/or approved or not, and as a minimum the expenditure the Client should expect to pay in the next two cheque runs. Means that report delivered in accordance with Clause 4.3 of this Specification. Means the collection of documents to be delivered in accordance with NZTA s Minimum Standard Z44 - Risk Management. Means Agreement for Entry onto Land, prepared by the Client s Property Acquisition Agent for any purpose, for the legally defined land under the control of a landowner(s) and/or lessee(s) and signed and witnessed by the Client and the landowner(s) and/or lessee(s), for each piece of land affected by the project, allowing legal access without trespass for the Consultant for the purposes of the project in accordance with Clause 7.4 of this specification. Is defined in Section 2 of the Historic Places Act In terms of this definition, a site could include an object or material. Means the ratio derived by dividing the project benefits by the total cost of the project and calculated in accordance with the methodology set out in NZTA s Economic Evaluation Manuals. Means that Benefit Cost Ratio nominated by NZTA in the National Land Transport Programme for the current year as the minimum allowable for a project to be included for funding in the National Land Transport Programme. Means the total financial allocation for a particular phase of the project, including contingencies, as agreed with the Client as the target for expenditure for the phase. Means an application made in accordance with clause 45 of the Building Act 2004 to carry out any building work for any temporary or permanent moveable or immovable structure not exempted by the Third Schedule of that Act.

6 Page 6 of 26 NZ Transport Agency Cashflow Coastal Marine Consent Application Consultant s Monthly Report Consultant s Programme Consultant s Project Quality Plan Contractor s Social and Environmental Management Plan Discovery Area Ensure Means the expected cumulative lump sum expenditure, including funds expended in previous years, predicting how the budget for the project phase will be spent in the agreed timeframe. The cashflow will be provided in monthly and/or annual lump sums. Means a resource consent application for a consent defined in Section 87(c) of the Resource Management Act 1991 and otherwise managed in accordance with the section on Restricted Coastal Activities in that Act. Means that report delivered in accordance with Clause 4.2 of this Specification. Means a time based bar chart depicting the project programme in a manner that allows the progress of the project to be monitored and delivered in accordance with NZTA s Minimum Standard Z/2 - Consultants Programme and the Deliverables Schedule. Means that document to be delivered in accordance with NZTA s Minimum Standard Z/1 - Consultants Project Quality Plan and the Deliverables Schedule. Means that document developed by the Contractor under NZTA s Minimum Standard Z/4 - Contractor s Social and Environmental Management Plan. Means an area around the discovered material that: 1. The Project Archaeologist, the NZ Historic Places Trust or identified Māori stakeholders considers has a high probability of containing archaeological sites, Koiwi or Taonga similar to those already discovered, and that warrants careful consideration; and/or 2. The Contractor determines is necessary as a safety buffer zone separating those investigating archaeological sites or retrieving Koiwi or Taonga, from those carrying out other construction and/or maintenance activities, so as to provide an acceptable level of safety to all persons, and ensure the protection of the area and all material contained within. Means to undertake the specified service to the required duty of care as limited only by the level(s) of service specified in the contract documents and taking all demonstrably practicable steps to secure the project from the introduction of unnecessary risk.

7 NZ Transport Agency Page 7 of 26 Exception Report Final Construction Report Formal Review Health and Safety Compliance Notice Identified Māori Stakeholders Koiwi National Land Transport Programme Notice of Requirement Project Completion Certificate PROMAN Public Relations Report Regional Land Transport Programme Report Resource Consent Application Means that report to be delivered in accordance with Clause 5.4 of this specification. Means that report delivered in accordance with Clause 4.7 of this specification. Means a formal request to NZTA to alter the funding for a phase(s) of the project from that approved in the National Land Transport Programme for the current year and/or subsequent years. Means the notice contained in Minimum Standard Z/5 - Health and Safety Compliance Notice to be delivered in accordance with Clause 7.15 of this specification. Means all known Māori stakeholders with a consultation interest in the area of the works. Māori stakeholders are identified in the Maori Stakeholders List, which is included in the SRMS Consultation Project (refer Section 10.3 of NZTA s Standard Specification for Investigation and Reporting). Means human skeletal remains. Means the proposed programme of expenditure for the following 3 years, prepared by NZTA in accordance with the Land Transport Management Act 2003, Clause 19. Means a notice given in accordance with Section 168 of the Resource Management Act Means a form PSF/5b completed by the Client and forwarded to the Consultant in accordance with Clause 7.14 of this Specification. Means the Client s software system for the financial management of projects. Means that report to be delivered in accordance with Clause 4.4 of this specification. Means the proposed regional land transport programme of expenditure for the following year, prepared by NZTA in accordance with the Land Transport Management Act 2003, Clauses 12 to 18. Means a defined deliverable the Client shall receive in writing. Means an application made in accordance with s.88 of the Resource Management Act 1991.

8 Page 8 of 26 NZ Transport Agency Risk Management Shall be as defined in Section 2.2 of AS/ISO 31000: 2009 Risk Management Principles and guidelines. Scheme Assessment Report Site Safety Plan Social and Environmental Assessment Stakeholder Relationship Management System (SRMS) Statement of Identified Maori Interests (SIMI) Taonga Means that report described in NZTA s Minimum Standard Z/6 - Scheme Assessment Report. Means that document defined in Clause 3.2 of this specification and describing how the Consultant will manage his/her execution of the contract services within the context of the Health and Safety in Employment Act Means that document described in and prepared under NZTA s Minimum Standard Z/19 Social and Environmental Management. Means a NZTA consultation project management system for Maori consultation and management of SIMI deliverables. Means a statement that provides information to enable an assessment of the potential impacts of the project on particular Maori interests and assists in managing relationships with those particular interests. Means an object that: 1. Relates to Māori culture, history, or society; and 2. Was or appears to have been: a. Manufactured or modified in New Zealand by Māori; or b. Brought into New Zealand by Māori; or c. Used by Māori. Taonga Tuturu Is defined in Section 2 of the Protected Objects Act Value of Work Report Value for Money Work Unit Means that report to be delivered in accordance with Clause 5.3 of this specification. Means optimal selection using NZTA s Allocation Profile (includes the projects contribution to the New Zealand Transport Strategy Objectives in a cost effective manner). Means an individual allocation that needs to be financially managed by the Consultant. There may be one or more work units relating to any phase of a project.

9 NZ Transport Agency Page 9 of 26 2 Project Control Further to Clause 7.1 of the General Conditions, the Client shall be entitled to withdraw, vary or discontinue parts or the whole of services under this contract at any time. Reasons may include, but not be limited to, a change in funding levels related to the project, the failure of any viable option to meet the NZ Transport Agency s (NZTA) criteria for funding or poor performance by the Consultant in accordance with Clause 8.1 of this specification. The Consultant shall be entitled to be paid only actual and reasonable costs incurred up to the date of notification of a reduction in scope. In the event of cancellation of any phase as the result of a termination of services by the Client in accordance with Clause 11.1 of the General Conditions, the Consultant shall, within one week of notification of the cancellation date, comply with the requirements of Clause 11.3, returning all and any business and technical information or data or any other property or equipment of the Client in the possession or control of the Consultant. Further, the Consultant shall, within the one week, provide to the Client all Deliverables and other Intellectual Property which has been prepared by the Consultant in respect of the project, including, but not limited to, all design details, specifications, plans, software, technical handbooks, drawings or other works. Where the Scope of Services specifies more than one phase of work to be included in the contract, each phase shall proceed only on the Client s written instructions. Acceptance of tender is the Client s approval to start the first phase. For most construction projects, the phases will comprise one or more of: Investigation and Reporting (I&R). Design and Project Documentation (D&PD). Management, Surveillance and Quality Assurance (MSQA). Each phase of the project may be broken down, by the Client, into one or more work units in PROMAN. The Consultant will generally be required to manage all work units comprising the project phase. 3 Consultant s Project Quality Plan The Consultant shall manage the project so that the services of the contract are met, with emphasis on ensuring all deliverables are completed and submitted within the times specified. To this end, the Consultant shall prepare, submit, implement and manage the Consultant s Project Quality Plan in accordance with the Minimum Standard Z/1 - Consultants Project Quality Plan. The Consultant s Project Quality Plan shall be regularly reviewed and updated and the changes reported to the Client in each Monthly Report. The Consultant s Project Quality Plan shall be provided within the time specified in the contract documents.

10 Page 10 of 26 NZ Transport Agency 3.1 Consultant s Programme The Consultant shall prepare a baseline Consultant s Programme in accordance with NZTA s Minimum Standard Z/2 - Consultants Programme for inclusion with the Consultant s Project Quality Plan. The Consultant s Programme shall be updated at least monthly and provided with each Consultant s Monthly Report Management of Programme The Consultant shall develop the Consultant s Programme against the Client s timetable. On Client approval of the initial Consultant s Programme, the Consultant shall set the baseline and advise the Client (in writing) of the date that the baseline was set. Under no circumstances shall the Consultant reset the baseline. The Consultant shall monitor, track and update the programme at least monthly, but also when significant variations have occurred and at the request of the Client. Adjustments to the Consultant s Programme beyond the Client s reasonable expectation may be considered a time extension by the Client. For each item where the actual progress has slipped behind the baseline the Consultant shall state in the Consultant s Monthly Report why this has occurred, what actions are being taken to get the project back on programme and what the implications are to the budgeted cashflows for the current and future financial years. The Consultant shall liaise with relevant local authorities and, where applicable, with the Client s Property Acquisition Agent to update the relevant portions of the Consultant s Programme. 3.2 Site Safety Plan Site Safety Plan The Consultant shall prepare a Site Safety Plan for inclusion in the Consultant s Project Quality Plan, covering the services of this contract. The Site Safety Plan shall accompany the Consultant to all project sites. The Site Safety Plan shall detail the procedures required to ensure the contract services are executed in a safe and efficient manner and shall include as a minimum: 1. A Traffic Management Plan incorporating the requirements of the Code of Practice for Temporary Traffic Management; and 2. A Hazard Management Plan Temporary Speed Restrictions Temporary speed restrictions shall be in accordance with NZTA s Code of Practice for Temporary Traffic Management (COPTTM) requirements for the appropriate Level of Road.

11 NZ Transport Agency Page 11 of 26 4 Reporting 4.1 General The Consultant shall provide reports as requested in the contract documents. A description of the requirements of the following standard report types are specified below: Consultant s Monthly Report. Accrual Report. Public Relations Report. Accident Report. Final Construction Report. Activity Risk File. 4.2 Consultant s Monthly Report A Consultant s Monthly Report shall be submitted within the times specified in the contract documents. The Report will include: 1. A brief written report detailing the past month s progress, highlighting the key milestones, summarising the current status of the contract, and comparing it with the programme. Progress in regard to each critical path activity, including land purchase where applicable, must be discussed in some detail; 2. Financial progress information on all phases in tabular form. This should include all years, approved allocation, current invoice, expenditure to date, and forecast total; 3. Risk Management activity and shall as a minimum provide: Expenditure to date and forecast to contract completion for cost of mitigation and risk contingency; A list of Extreme level risks with treatment progress update; A brief written report detailing the past month s risk management activity, to include: risks identified, impacted, closed or where there has been a change in risk level (current or target) Issues identified as requiring Client notification; A copy of the current project RAP (asset improvement contracts), or annual RAP (asset management contracts); The Risk Register 4. A copy of the updated Consultation Plan; 5. A copy of the updated Consultant s Programme; 6. A copy of the updated Social and Environmental Assessment; 7. A copy of the Consultant s monthly invoice schedule, with the Client s appropriate financial identification code(s) highlighted; 8. The following, where physical works contracts are running:

12 Page 12 of 26 NZ Transport Agency Copies of the monitoring records generated from implementation of the Contractor s Social and Environmental Management Plan to ensure compliance with Consent conditions; A report on any non-compliance with the Contractor s Social and Environmental Management Plan; A copy of any corrective or preventative action required with the Contractor s Social and Environmental Management Plan; A report on successful innovations that may contribute to best practice with the Contractor s Social and Environmental Management Plan; Copies of the audit records in accordance with the Contractor s Environmental Management System; A copy of the minutes of meetings with the physical works contractor(s); A schedule of all physical works contract and non-contract claims (eg service authority charges not included in contract) certified for payment; Photographs of physical works if required by the contract documents; An exception report on health and safety issues, especially non-compliance reports and copies of accident notification forms required under the Health and Safety in Employment Act 1992 and Amendments; and Contractor Performance Assessment Reports; 8. A brief written report detailing proposed progress for the following month; 9. The following Client/Consultant communications: A summary of Notices to/from Consultant where a reply is currently outstanding; and Any actions/decisions outstanding from the Client. 10. Any additional information considered pertinent by the Consultant or requested in the Scope of Services. Where requested by the Client, the Consultant shall arrange a time with the Client and meet with the Client to discuss the Consultant s Monthly Report at the Client s office, unless agreed otherwise. 4.3 Accrual Report An Accrual Report shall be submitted within the times specified in the contract documents and include: A summary of the Value of Work Reporting, by work unit, in accordance with Clause 5.3 of this specification; An Exception Report in accordance with Clause 5.4 of this specification; A Formal Review Report(s) when and as applicable in accordance with Clause 5.4 of this specification; and 4.4 Public Relations Report A Public Relations Report shall be submitted within the times specified in the contract documents to include reports on the following: 1. All issues relating to Public Relations (including Traffic Safety) whether directly or indirectly drawn to the attention of the Consultant; and

13 NZ Transport Agency Page 13 of Liaison with adjacent landowners, relevant Local Authorities and other interested and affected parties. 4.5 Accident Report The Consultant shall report to the Client within 24 hours, or as soon as practicable, any accident that occurs within the project length during the period of any physical works contract managed as part of the contract services. The Consultant shall also report any accident associated with the project where there is a possibility or allegation of Consultant or Contractor-initiated actions being associated with the accident. If requested, the Consultant shall prepare, as an additional service, a detailed Accident Report showing photos, description of events, probable causes and other relevant comments. This report shall be provided within 48 hours of a Client request. 4.6 Large and Complex Projects I&R to D&PD Phase Handover Checklist For large or complex projects, on completion of the I&R phase, the Consultant shall provide the Client with the information identified in the relevant sections of NZTA s Minimum Standard Z/21 - Large and Complex Projects I&R to D&PD Phase Handover Checklist, electronically in PDF format. 4.7 Final Construction Report A Final Construction Report shall be submitted to the Client within the times specified in the Contract documents. The Final Construction Report shall include: 1. A description of the extent to which the completed project meets the stated objectives and the National State Highway Strategy goals and objectives; 2. A Contract Performance Report for each physical works Contractor comprising relevant PACE reports, a summary of any noteworthy features of the construction process or the completed physical works and a summary of the lessons learnt during the life of the project. The Consultant shall complete the report, allow the Contractor(s) to review and comment; 3. Certification, to the level of service specified, that the physical works were completed in accordance with the contract specifications and that all deficiencies listed in any Client inspection report were addressed prior to issue of the Maintenance Certificate; 4. A copy of the RAMM update data as delivered earlier, and a record of any subsequent changes required to the database due to works during the Defects Liability Period; 5. A comparison for each phase completed, of the tendered value with the final invoiced value and reasons for any differences; 6. For each physical works contract managed as part of the contract services: A comparison of the Design Estimate and Construction Estimate, calculated in accordance with NZTA s Cost Estimation Manual (SM014), against the final physical works costs as certified by the Consultant; and Discussion of differences (if any) that occurred. Where appropriate the Consultant shall reference the related correspondence previously forwarded to the Client;

14 Page 14 of 26 NZ Transport Agency 7. The final project Benefit Cost Ratio. The Benefit Cost Ratio shall be based on the final physical works contract(s) costs, all Consultant fees, land costs, and all other project costs met by the Client; and 8. A final version of the Consultant s Programme including comments as may be necessary on observed slippage of the actual programme when compared to the baseline. 4.8 Activity Risk File The Activity Risk File shall be submitted to the Client within the times specified in the Contract documents and shall be in accordance with NZTA s Minimum Standard Z/44 Risk Management. The File shall include: Risk register Risk review minutes Risk adjusted programmes Risk analysis data Contract close out risk report. 5 Financial Management 5.1 General The Consultant shall be responsible for the implementation of the project within the financial parameters and budgets established by the Client. Implementation shall include, but be not limited to, managing the financial allocations established by the Client and contingency allowances for the contract and physical works contract(s) and non-contract works managed by the Consultant. Financial management shall include setting the budget cashflows, completing Value of Work Reports and providing Exception Reports, Formal Review Requests and updating the project data in PROMAN as required. Contingencies shall be calculated and managed in accordance with the requirements in the NZTA Cost Estimation Manual SM Budget Cashflows The Consultant shall, within one week of acceptance of tender, estimate budget cashflows for the base allocation and contingency for each phase of the project included in the contract services (including physical works where applicable), as follows (with land costs detailed separately): Monthly for the remaining period of the current financial year; and Annually to 30 th June for all subsequent financial years. Contingency factors shall be determined to take account of risk of increases to the estimates at each phase and shall be applied to the cost estimates to determine the contingency allowance per phase. This contingency allowance shall generally be held in the final year (or following year) of the contract.

15 NZ Transport Agency Page 15 of Value of Work (PROMAN) Reporting Value of Work Reporting shall be carried out for each PROMAN work unit, within the times specified in the contract documents, by direct entry into the Client s PROMAN financial reporting system (access to be provided by the Client) and shall state the cumulative value of work completed in the current financial year up to and including the preceding month. This value will include, but not be limited to, the value of: All work claimed for payment; Work in progress; and Other commitments incurred during the month. For each PROMAN work unit, the Consultant will also enter the cumulative forecast expected to be completed for each future month to the end of the current financial year and thereafter annually to June 30 th for each subsequent financial year until the anticipated completion of the project. The Consultant shall report on all costs (to the nearest $1,000) for each PROMAN work unit. This will include project costs not certified by the Consultant but required to be included in the accrual, which will be notified by the Client from time to time. The Consultant shall reconcile the actual costs (transactions) contained within PROMAN with the information provided by the Consultant as part of his Value of Work Reporting and advise the Client of any discrepancies. 5.4 Exception Report and Formal Review Report Where any expenditure variation occurs, or is forecast to occur, the Consultant shall provide an Exception Report. The report shall for each PROMAN work unit: 1. Compare the end of year forecast with the current financial year s allocation and report on any variation from the Value of Work Reporting; 2. Compare the current month s accrual for the contract services and any physical works contracts under the Consultant s control, with the associated monthly budget(s) as agreed with the Client, and report on any variation greater than ± 5%; and 3. Explain the variation on a by work unit basis. Under no circumstances shall the Consultant commit funds in excess of any approved allocation. The Consultant shall prepare a Formal Review Report where end of year forecast is expected to differ from the allocation by ±5% or ±$50,000 or other value approved by the Client whichever is the lesser. The Consultant shall have no expectation that the project budget will necessarily be increased. A Formal Review Report shall provide appropriate detail to support the Client s application for changes to the financial allocations for the project, in a Formal Review to NZTA to amend the National Land Transport Programme, for each project phase in the current year, and can only be authorised by the Client. The Consultant shall ensure that he is aware which PROMAN work units combine to form the project phase. The Consultant shall provide documentation to support any formal allocation adjustment and this may include updated project economic evaluation documentation.

16 Page 16 of 26 NZ Transport Agency The Consultant shall maintain the currency of all appropriate fields in PROMAN in accordance with NZTA s procedural requirements. 5.5 Financial Authority: Professional Services Contracts Approved Contract Budget The approved contract budget for the professional services contract shall, comprise the accepted professional services contract value less any included Geotechnical Testing Amount, Additional Services Amount or Provisional Sums Payment for Additional Services for Professional Services Further to Clause 2.7(e) of the Special Conditions of Contract, where there is a Consultant or Client initiated change in scope of service, the Consultant shall submit for Client approval, a Justification For Additional Service (PSF/4a) form. The Consultant shall obtain the PSF/4a approval from the Client in advance of any Additional Service being undertaken by the Consultant. Where the Consultant undertakes a service outside the scope of service without Client approval this shall not be deemed to be a variation to the contract. 5.6 Financial Authority: Physical Works Contracts Approved Contract Budget The approved contract budget for each physical works contract managed as part of the contract services shall, as agreed with the Client, comprise the accepted physical works contract value less any included contingency sum, plus the percentage works contingency allowance provided by the Client as part of the budget. The included contingency sum shall be nominated by the Consultant and approved by the Client. The value and form of the included contingency sum shall be approved by the Client prior to advertising any physical works contract. Provisional sums in the schedule should remain part of the contract value, but any provisional item or dayworks schedule that was included in the contract schedule of rates to obtain tendered prices or rates should be managed as part of the contingency. In no circumstances may contracts be advertised if the works estimate plus the total contingency allowance is greater than the allocation, unless specifically directed by the Client. Similarly, contracts may not be awarded if the contract price less any contingency plus the works contingency allowance (ie. excluding price contingency) exceeds the allocation Variations to the Approved Contract Budget for Physical Works The Consultant shall not issue a variation that will exceed the approved contract budget. If additional monies are required to complete the physical works, the Consultant shall make a formal request advising the Client of: The value of additional monies required, and The specific reason(s) why the additional monies are required.

17 NZ Transport Agency Page 17 of 26 The request shall be detailed on the form PSF/4b titled Request for Extension of Contract Budget - Physical Works and forwarded to the Client as soon as the Consultant is aware that the budget may be over-expended Reporting of Variations The following variations shall be reported to the Client in the Consultant s Monthly Report: Any unscheduled item, and Ay variation in individual scheduled quantities ±5% of the original scheduled quantity. In addition, the Consultant shall advise the Client in writing immediately of any variations for unscheduled items or changes in scheduled quantities that have a value equal to or greater than $5,000 or such other figure as agreed with the Client. 5.7 Project Economic Analysis All Benefit Cost Ratio analyses will be carried out in accordance with the relevant sections of the NZTA Economic Evaluation Manual. Contingency allowances, as specified in the NZTA Cost Estimation Manual (SM014), shall be added to the project cost estimate to give the total project cost to be used for the calculation of the BCR and for seeking funding allocations. 6 Policy and Procedures The Consultant shall be familiar with and comply fully with all relevant requirements of the documents listed in the Land Transport New Zealand Standards and Guidelines Manual (Edition 1 of May 1997 plus any subsequent amendments) and in NZTA s current Standards and Guidelines Manual that may be viewed on NZTA s website. 7 General Requirements 7.1 Communications All written communications with the Client (including Deliverables) shall be addressed to the Project Manager and signed by the Team Leader or such other appointee listed in the Consultant s Project Quality Plan. Written communications shall be referenced with the contract name and number. 7.2 Client Involvement The Project Manager or delegated personnel of the Client shall be advised of and invited to attend all meetings and the like, as part of the consultation and planning process. A record of all consultation, liaison matters and meetings must be kept and promptly conveyed to the Project Manager.

18 Page 18 of 26 NZ Transport Agency 7.3 Liaison with Client s Property Acquisition Agent The relationship between the Consultant and the Client s Property Acquisition Agent is an important aspect to the project. There must be a free-flow of information between the parties, so that each party has the most up-to-date information, particularly in terms of communication with landowners, project information, property compensation estimates, and land requirement plans. Any services required of the Consultant which are requested by the Client s Property Acquisition Agent, must firstly be approved by the Project Manager. Meetings must be held, as a minimum requirement, between the Property Acquisition Agent, the Professional Services Consultant, and the Project Manager, at the following key stages of each of the project phases: I &R Immediately after the Award of the Professional Services Contract; Following delivery of the Route Option Evaluation from the Acquisition Agent; Following completion of the Option Evaluation and identification of the preferred option; and Following delivery of the Property Acquisition Strategy from the Acquisition Agent. D&PD Immediately after the commencement of the Design contract (including the Property Management Consultant, with regard to any legal interests in the property); and Prior to finalising the tender documents, to ensure all NZTA s commitments in terms of property (including any conditions in the Memoranda of Agreement, early disposal of surplus land, easement issues, and property availability etc). MSQA Prior to construction commencing (together with Contractor and Client s Property Acquisition Agent to highlight all property issues); and At Practical Completion of the physical works to identify any outstanding landowner issues, legalisation of boundaries, and potential property disposal. 7.4 Land Entry All land entry consents required for investigation, survey, testing, inspection, or construction, shall be arranged by the Client s Property Acquisition Agent, unless otherwise directed. The Consultant is responsible for organising the Client s Property Acquisition Agent to gain the land entry consents in a timely manner. Where land entry consents are required for geotechnical testing, the Consultant shall superimpose on aerial photographs of the project site, property boundaries drawn using a computer aided design package, location of test sites and information as to the type of testing proposed. This information shall accompany and form part of the Agreement for Entry onto land. Prior to initiating any communication with landowners (and/or occupiers), the Consultant shall discuss on a case-by-case basis with the Client s Property Acquisition Agent, the approach to be taken.

19 NZ Transport Agency Page 19 of 26 At no stage of the project shall the Consultant discuss valuations, land exchanges or compensation matters with the landowner/occupier. These matters will be dealt with by the Client s Property Acquisition Agent in subsequent negotiations with the landowner. Any problems in obtaining an Agreement for Entry shall be immediately reported to the Client. 7.5 Branding and Communications The Consultant shall ensure that the requirements of NZTA s Minimum Standard Z/17 - Branding and Communications and NZ Transport Agency Visual Identity Guidelines are complied with. 7.6 Media Releases When requested, the Consultant shall prepare for the Client s approval and action appropriate media releases in accordance with NZTA s Minimum Standard Z/17 - Branding and Communications. Liaison shall be undertaken with the Client s Public Relations Consultant about content, timings and distribution. A media release shall be available when key milestones are reached (eg prior to starting physical works, where applicable) and at such other times as required by the Client. The release shall state the: Name and contact telephone number of the Client s contact person; Purpose of the project; Description of physical works, where applicable, including location, construction period, name of the contractor and construction cost; and Points of interest or concerns (eg delays) the travelling public may encounter. The Consultant shall not use the release for the purpose of advertising the Consultant s company or services. All costs associated with preparing a media release for physical works shall be included in the Consultant s fee for the MSQA Phase. All other media releases requested will be paid as an additional service, except where specified in the Scope of Services. 7.7 Consultation Plan The Consultant shall submit a structured project Consultation Plan with the Consultant s Project Quality Plan for Client approval. The Consultation Plan shall be developed in accordance with NZTA s Public Engagement Manual and be based on the consultation objectives the Client has included in the Scope of Services. The Consultation Plan shall: Be approved by the Client prior to implementation; Allow for a Client representative to lead all significant events. (This will, for the I&R Phase in particular, generally be the Regional Manager for all large projects, and complex or sensitive small and medium sized projects); Detail the consultation and liaison proposed for the project including consultation to meet the requirements of NZTA s SRMS, the RMA and HPA and any other relevant legislation;

20 Page 20 of 26 NZ Transport Agency Include the objectives/purpose; Identify the parties (including Maori Stakeholders) and activities involved; Describe any critical issues for discussion/resolution and how these might affect the project; Detail the requirements for and contents of the Consultation Report required under the Professional Services Specification for Investigation and Reporting; Provide for initial meetings to be held early in the contract with all interested parties to explain the project and at the commencement of each succeeding project phase as necessary, to ensure the smooth transition from the previous phase. Individual consultation should be ongoing as appropriate. Should note the requirement for discussion with the Client s Property Acquisition Agent, prior to initiating any communication with landowners (and/or occupiers). The Consultant shall review and update the Consultation Plan as necessary during the course of each project phase (with any changes reported in the Consultants Monthly Report) and at the beginning of each new project phase. 7.8 Landowner/Interested Party Notifications/Information Sheets/Newsletters The Consultant shall prepare in accordance with NZTA s Minimum Standard Z/17 - Branding and Communications a notice/information sheet/newsletter providing information for all affected and adjacent landowners and other interested parties affected by the project. Following the Client s approval the Consultant shall distribute the notice/information sheet/newsletter prior to the commencement of each specified phase, at key milestones and/or as the Scope of Services requires. The notice/information sheet/newsletter shall: Explain the purpose of the project; Explain the objectives of the investigation or physical works; Provide the Consultant s Team Leader and contact phone number for public inquiries; Describe possible inconvenience to landowners and occupiers during investigations or physical works; Explain that the work may not proceed due to circumstances outside the control of the Client; Explain that there is no obligation for the landowner to agree to the project; Advertise times, dates and locations for Public Information Days, if applicable; Invite input from landowners and key stakeholders; Include maps, diagrams, photographs, etc, applicable to the intent of the notice/information sheet/newsletter; Be designed and formatted in accordance to NZ Transport Agency Visual Identity Guidelines; and Include any other information considered pertinent by the Consultant or requested by the Client. The Consultant shall not use the notice for the purpose of advertising the Consultant s company or services.

21 NZ Transport Agency Page 21 of 26 All costs shall be included in the Consultant s fee for the respective phase, unless otherwise specified. 7.9 Local Authority Liaison The Client has a firm policy of involving the relevant Regional and Territorial Local Authorities in the formulation of solutions to problems. The Consultant shall liaise with those Authorities on all requirement and consent issues to be considered Social and Environmental Management In the performance of the contract (which, for the purposes of this clause, includes any associated physical works contracts) the Client aims to foster an environmentally and socially responsible attitude on the part of the Consultant and its employees. The Consultant shall be responsible for ensuring compliance with all conditions of consents affecting the contract services and meeting all social and environmental requirements. The Consultant shall integrate a system of social and environmental management throughout the contract that extends to all contractors, sub-contractors and their employees under the control of the Consultant in the performance of the contract. In pursuance of this aim the Consultant shall: Ensure Client s Consent Compliance Management System (CS-VUE) is used to manage consents and monitor consent compliance; Ensure all persons undertaking work in the performance of the contract comply with NZTA s Minimum Standard Z/19 - Social and Environmental Management; and Approve and monitor the implementation of the Contractor s Social and Environmental Management Plan (prepared in accordance with Minimum Standard Z/4 - Contractor s Social and Environmental Management Plan). Where a project requires consent(s) in terms of the Resource Management Act 1991 or other relevant legislation, the Consultant shall be fully responsible for providing and presenting information and evidence sufficient to satisfy the consent authority that consent should be granted on conditions acceptable to the Client Accidental Discovery Procedures The Consultant shall ensure all persons undertaking work in the performance of the contract (including the Contractor) comply with NZTA Minimum Standard Z/22 - Accidental Discovery Procedures or otherwise as detailed in the Scope of Services. It is possible that a resource consent, designation or NZHPT authority obtained during the term of the contract may further modify the requirements of NZTA Minimum Standard Z/22 - Accidental Discovery Procedures Contractor s Social and Environmental Management Plan Where applicable, and in accordance with the Consultant s Project Quality Plan, the Consultant shall require the Contractor to prepare and maintain a Contractor s Social and Environmental Management Plan in accordance with NZTA s Minimum Standard Z/4 - Contractor s Social and Environmental Management Plan and monitor its implementation.

22 Page 22 of 26 NZ Transport Agency 7.13 Health and Safety in Employment (HSE) Compliance In the performance of the contract (which, for the purposes of this clause, includes any associated physical works contracts) the Client aims to foster a responsible attitude toward occupational health and safety on the part of the Consultant, sub-consultants and their employees. This shall extend to all contractors, sub-contractors and their employees under supervision of the Consultant in the performances of the contract. In pursuance of this aim, the Consultant is responsible for ensuring compliance with the Health and Safety in Employment Act 1992 (HSE Act) and that all persons undertaking work in the performance of the contract, comply with NZTA sminimum Standard Z/5 - Health and Safety Compliance Notice. The Consultant shall ensure adequacy of and monitor the contractor s Method Statement. The Consultant shall also be responsible for ensuring compliance with other related relevant legislation, regulations, codes of practice and other guidelines relating to the safety of the works arising under the contract State Highway Network Management Consultant Liaison The Consultant shall liaise with the Client s Network Management Consultant on a regular basis (at least monthly) to advise the Network Management Consultant of items such as: The progress of the project; Contact names and telephone numbers; Dates that field investigations including surveys will be undertaken; Details of physical works construction in accordance with the requirements of the Standard Specification Management, Surveillance and Quality Assurance; and Provision of copies of relevant reports, documents and drawings as required by the contract Completion of Project Certification The Client shall issue to the Consultant a Project Completion Certificate (PSF/5b) on the satisfactory supply of all deliverables. The issue of the Certificate does not release the Consultant from responsibility to indemnify the Client for the period specified in the contract documents Emergency Closure of State Highway In the event of an emergency closing of the state highway at a project site due to unforeseen circumstances (eg dropout, slip, major vehicle crash, etc), the Consultant and/or the contractor shall: 1. Take immediate action to ensure the safety of motorists and the Consultant s/ Contractor s staff; and 2. Notify the relevant Network Management Consultant urgently. The Network Management Consultant will be responsible for actioning the appropriate Emergency Manual procedures.

23 NZ Transport Agency Page 23 of Format of Electronic Information The Client currently utilises the following applications for the electronic processing of data, which may be upgraded during the course of the contract: Microsoft Access Microsoft Project Microsoft Excel Microsoft Word Microsoft PowerPoint Adobe Professional 9.0. All electronic data transfer will be in a format directly compatible with these applications unless agreed otherwise with the Client. The maintenance of electronic records will be carried out in the application from which the data was supplied. No electronic data shall be supplied with active fields embedded in the document. Where the Client is not able to accept a specific software application file format, the standard used for transfer will be ASCII, unless otherwise agreed. Any storage systems selected by the Consultant must be capable of producing an ASCII standard file Risk Management The Consultant shall ensure compliance with the requirements of NZTA s Minimum Standard Z/44 - Risk Management Travel Demand Management Travel demand management must be considered in accordance with NZTA s Travel Demand Management Guide PSG/14 and the Checklist of TDM Measures to be Considered for Inclusion in State Highway Schemes PSF/14 completed, during the course of all transportation studies, and project investigation and design phases Submitting the Project for an Award or Other Advertising In the event of the Consultant wishing to submit the project, or any part of it, for an industry award or to use for advertising their consultancy business, the Consultant shall ensure that the Client is given appropriate recognition and that the text is provided in advance so the Client may check it for accuracy Project Websites (Subsites) If the Contract Scope requires a specific project subsite, or should a change of contract scope be agreed to require a subsite, as part of the project communications plan, the Consultant shall liaise with the NZTA Web Team for assistance and for development of the subsite and/or summary page. Refer to NZTA s Framework and Positioning Branding PSG/11 for assistance in setting up websites Second Coat Sealing Any second coat sealing required as a result of the works is included in the scope of the project. The Consultant shall allow for the second coat sealing costs to be

24 Page 24 of 26 NZ Transport Agency included in the project estimates and for second coat sealing to be included in the project programme. The Consultant will agree with the Client the method of delivery and the specific technical requirements of any second coat seals required for the project works. 8 Performance Assessment 8.1 Evaluation of Consultant Performance Assessments Levels and Objectives Two levels of performance assessment will be applicable to this contract: Performance Evaluations regular and routine evaluations undertaken using the Performance Assessment by Coordinated Evaluations (PACE) method, in accordance with NZTA s Minimum Standard Z/11 - Performance Evaluation; and Contract Management Reviews utilising procedures developed by the Client with, or without, assistance from resources external to NZTA. The objectives of performance assessments are to: 1. Ensure the Consultant s management approach is in accordance with NZTA s policies, procedures, standards, guidelines and the contract; 2. Provide evidence that the project is being developed to the levels of service and standards required in a cost-effective manner; 3. Enable the Client to take part in and provide direction to the management of the project; 4. Enable the Client and Consultant to take steps outside the immediate contract to resolve any issues that might be influencing performance; and 5. Enable the Client and Consultant to have a current view of performance during the project, and arrive at a track record mark on completion of each phase Performance Evaluations The Project Manager will carry out performance evaluations of the Consultant in accordance with the procedures in Minimum Standard Z/11- Performance Evaluation. Once the contract for physical works has been awarded, the Contractor will be asked to provide input to the performance assessment of the Consultant when this has been indicated in the contract scope. The performance assessment is to be completed interactively and will be completed at the intervals specified in NZTA s Minimum Standard Z/11 - Performance Evaluation. The completed performance assessment will be recorded and signed by the Project Manager and Team Leader on form PSF/9a. The data from these performance assessments will be collected and used as input for the Consultant s future Track Record assessments in future tender evaluations.