Prequalification for Physical · Prequalification for Physical Works Application Pack Issue...

Prequalification for Physical

Works

Application Pack

NZ Transport Agency Page i

Prequalification for Physical Works Application Pack

Issue 1Revision 9, October 2013

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 .................................................... 10

Section 6 – Appeal on PET’s Decision ......................................................................... 12

Section 7 – Review of Contractor Project Performance ................................................. 13

Section 8 – Review of Contractor Safety Performance .................................................. 14

Section 9 – Renewal of prequalification registration .................................................... 15

Section 10 – Definition of Work Categories ................................................................. 16

Glossary of Terms ...................................................................................................... 19

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)

NZ Transport Agency Page ii



Record of Amendments

Amendment

No

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

Ian Gray

Version 3 Amended following North Island consultation 5 Jan

2005

Ian Gray

Version 4 Amended to include feedback from Trial 30 Nov

2005

Ian Gray

Issue 1 Prequalification for Physical Works Application Pack

Issued (replaces the previous “Prequalification for Physical

Works Procedure Manual”

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

12 Dec

2007

Raj

Rajagopal

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

Valfrid Jarl

Revision 5 Amendment Section 7.2 5 Feb.

2010

Valfrid Jarl

Revision 6 Amendment Appendix 3 1 May

2010

Valfrid Jarl

Revision 7 Amendments from annual prequalification workshop July 2010 8 Sep

2010

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

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 Prequalification for Physical Works Application Pack

Document No. Not Applicable

Availability This document is located in electronic, PDF format on the NZTA

website

Document Owner The Prequalification Manager

Sponsor Group Manager, Highways

3. Amendments and Review Strategy

All Corrective Action/Improvement Requests (CAIRs) suggesting changes will be

acknowledged by the document owner.

Comments Frequency

Amendments

(of a minor

nature)

Updates to the Application Pack will be incorporated as

soon as practicable.

As required

Review (major

changes)

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.

Annually

Notification All users that have registered their interest by email to

[email protected] will be advised by email of

amendments and updates.

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.

mailto:[email protected]

NZ Transport Agency Page 1 of 21



Section 1 - Guidelines for Completing Registration Application

1.1 Introduction

1.1.1 The Highways group of the NZ Transport Agency (NZTA) is continuously inviting

Contractors to register their interest in pre-qualifying for Physical Works Contracts

1.1.2 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.

1.1.3 The prequalification system was originally developed as a trial for the South Island

in 2003. 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.

1.1.4 It should be noted that Prequalification is about the skills and experience of the

company not individuals within the company.

1.1.5 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.

1.1.6 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).

1.1.7 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

1.2.1 All communications between NZTA and applicants must be in writing.

1.2.2 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).

1.2.3 All queries should be addressed to:

The Prequalification Manager

NZ Transport Agency

Victoria Arcade

44 Victoria Street

Private Bag 6995

Wellington 6141

Email: [email protected]

1.2.4 NZTA will endeavor to respond to all queries within five (5) working days of

receiving them.





1.3 General Application Details

1.3.1 The application must be submitted in one envelope and addressed to:

The Tender Secretary

National Office

NZ Transport Agency

Private Bag 6995

Wellington 6141

1.3.2 Faxed or e-mailed 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.

1.3.3 One Prequalification application only is allowed for each company.




1.4 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




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.

Requirement Performance Criteria Attachment

Quality Assurance

Attach a copy of

certificate

Traffic Management

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

Environmental

Management

Reference letters

completed and signed by

Supervising Authority

All Levels: 3 reference

letters per category

Quantum or Size of

Work

Levels A, B & C: 1 reference

letter per category

Cooperation and

Proactive Partnering

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.




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.




Section 2 - Applying for Registration

2.1 Confirming letters required for Quality Compliance Checklist (QCC)

2.1.1 Where more than one confirming letter is required for a Performance Criteria, each

letter shall be signed by a different person.

2.1.2 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 6.

2.2 Determining Classification Level

2.2.1 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.

2.2.2 A Contractor who is registered for Level A is automatically qualified for lower

classification levels (B, C and D)

2.3 Additional Information Required

2.3.1 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

2.4.1 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

2.5.1 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.

2.5.2 The Register of Prequalified Contractors may be updated outside these dates in

exceptional circumstances, in which case all Prequalified Contractors who have

submitted email contact details will be notified by email of the change to the

register.




2.6 Company Changes

2.6.1 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 email

to [email protected]

2.6.2 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

2.7.1 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).





Section 3 – Prequalification Classification

3.1 Basis for Classification

3.1.1 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

3.2.1 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




Section 4 - Definition of Performance Criteria

4.1 Performance determines Classification

4.1.1 NZTA has seven (7) performance Criteria of Physical Works Contracts that

Contractors are required to meet.

4.2 Performance Criteria

4.2.1 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.




Section 5 – Assessment of Registration Application

5.1 Assessment Process

5.1.1 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

email 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 emails 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

5.2.1 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.




5.3 Updating of Prequalification Register

5.3.1 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

5.4.1 The current list of Prequalified Contractors and their Classification is available on

the NZTA website (www.nzta.govt.nz).

5.5 Reapplying for registration

5.5.1 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.




Section 6 – Appeal on PET’s Decision

6.1 Period to appeal PET’s decision

6.1.1 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:


Prequalification Review Committee

NZ Transport Agency

Private Bag 6995

Wellington 6141

6.2 Additional information

6.2.1 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

6.3.1 The decision of the Prequalification Review Committee will be final.




Section 7 – Review of Contractor Project Performance

7.1 Overview

7.1.1 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

7.2.1 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

7.3.1 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.

7.3.2 The PRC will advise the Contractor in writing of the outcome of the performance

review.

7.4 Penalties for inadequate performance

7.4.1 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

7.5.1 The PRC has the right to review any registration/classification at any time.

7.6 Appeal

7.6.1 The Contractor has 14 calendar days to appeal the PRC decision.




Section 8 – Review of Contractor Safety Performance

8.1 Overview

8.1.1 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

8.2.1 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

8.3.1 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.

8.3.2 The PRC will advise the Contractor in writing of the outcome of the performance

review.

8.4 Penalties for inadequate performance

8.4.1 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

8.5.1 The Contractor has 14 calendar days to appeal the PRC decision.




Section 9 – Renewal of Prequalification Registration

9.1 Registration cycle

9.1.1 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

9.2.1 12 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.

9.2.2 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

9.3.1 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

9.4.1 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 case-

by-case basis.

9.4.2 The final approval of the change will be made by the PET.




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

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.

Carriageway

Lighting

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

Vegetation

Control

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

Amenity/Safety

Maintenance

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)




Cleaning channels, sumps and cesspits

Traffic

Management

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

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

Bridge

Construction

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




Drainage

Improvements

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

Road

Construction

New road realignments

Regrading

Widening

Intersection Improvements

Approaches to bridge renewals

New retaining structures

Tunnels




Glossary of Terms

Applicant 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.

Classification

Level

The Prequalification system has four Classification Levels A

through D, Level A being the highest and D the lowest

Classification Level

Group Manager 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.

Operator Rating

System (ORS)

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

PACE 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 (www.nzta.govt.nz).

Performance

Criteria

These define the quality standards required to achieve

Prequalification. There are seven Performance Criteria that the

Contractor needs to comply:

Quality Assurance

Traffic Management


Health and Safety

Project Management


Cooperation and Proactive Partnering

Prequalification

Certificate

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.




Prequalification

Evaluation Team

(PET)

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.

Prequalification

Manager

The person in NZTA who is responsible for the management of the

Prequalification system, and may also be a member of the PET.

Prequalification

Review Committee

(PRC)

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.

Prime Contractor 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

Quality

Compliance

Checklist (QCC)

The QCC details the Performance Criteria required for each

classification level. Contractors must complete these as part of the

Prequalification registration application.

Referee 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.

Regional Primary

Assessor (RPA)

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.

Registration The process of seeking acceptance to become a Prequalified

Contractor by submitting an application.




Tender Secretary

National Office

(TSNO)

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.

NZTA NZ Transport Agency

Work Categories Contractors are classified in accordance with their expertise in

four physical work categories i.e. Routine & Minor Works,

Surfacing, Bridge Construction, and Construction.



Appendices

NZ Transport Agency Page i


Issue 1Revision 9, April 2013

A1 – Prequalification Application Form

Item

Information Required

Complete

(Indicate where information

attached)

Checked

by Tender

Secretary

1 Work Category and

Classification Level/s

applied for i.e. 1A, 3D etc.

2 Business name of applicant

3 Main office address

4 Postal address

5 Contact person

6 Contact telephone no., fax

and e-mail

Tel:

Fax:

Email:

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,

12 Signature Date:

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:

2008.

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.


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.

NZ Transport Agency Page iii



Project Management

D

Work of a routine and repetitive

nature. Not technically

demanding.

Provide details of experience of project

management and technical staff (2 pages CV

for each staff)

C Some variation requiring technical

appreciation and understanding.


management and key supervisory staff (2

pages CV for each staff)

B

Technically complex requiring

technical appreciation and

understanding.


management and key supervisory staff, all

with at least three years’ experience (2

pages CV for each staff)

A

Technically complex requiring

specialist appreciation and

understanding.

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)


D

Has the capability, resources and

experience to carry out projects

estimated at less than $ 0.5M


authority on three recently completed

projects.

C



estimated at between $0.5M and

$2.5M


authority on three recently completed

projects.

B



estimated at between $2.5M and

$5.0M


authority for three recently completed

projects.

A


the experience to carry out

projects estimated at more than

$5.0M.


authority for three recently completed

projects.

Co-operation & Pro-Active Partnering

D Surveillance and support required.

Provide details of successful completion of

recent project demonstrating co-operation

with client/engineer.

C

Some surveillance required, pro-

active co-operation with all

parties.

Provide confirming letter from supervising

authority on recently completed project.

B

Very limited surveillance required,

adheres to the principles of

partnering.



A

Experienced in the establishment

and practice of a Full Partnering

Charter, and co-operates fully

with all parties (or demonstrates

capability to achieve this).



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 4.

2. 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 4.

3. 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 18001 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 18001 must be

extended to include New Zealand’s legal requirements for employee participation.

(attach copy of current “evidence-based” audit certificate)

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:

Date:

Name:

Position:

NZ Transport Agency Page vi



A4 – Template for Environmental Management Confirming Letter

(QCC)


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.:

E-Mail:

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.

NZ Transport Agency Page vii



A5 – Template for Quantum or Size of Work Confirming Letter

(QCC)


NZ Transport Agency

Victoria Arcade

44 Victoria Street

Private Bag 6995

Wellington 6141

…………….(Date)


Quantum or Size of Work for Work Category Performance Criteria

Prequalification Application by ……………..(Name of Contractor) for Work Category….


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 less than $0.5M

Level C between $0.5M and $2.5M

Level B between $2.5M and $5.0M

Level A more than $5.0M.



Yours faithfully

(Name)


Address:

Contact No.:

E-Mail:

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

NZ Transport Agency Page viii



A6 – Template for Cooperation and Proactive Partnering

Confirming Letter (QCC)


NZ Transport Agency

Victoria Arcade

44 Victoria Street

Private Bag 6995

Wellington 6141

………………(Date)


Co-operation and Pro-active Partnering Performance Criteria

Prequalification Application by …………………..(Name of Contractor) for Work

Category….


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).



Yours faithfully,

(Name)


Address:

Contact No.:

E-Mail:

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.

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