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CONTRACTORCONTRACTOR PREQUALIFICATIONPREQUALIFICATION

SYSTEMSYSTEM

RAIL INFRASTRUCTURERAIL INFRASTRUCTURE WORKSWORKS

GUIDELINES, CONDITIONSGUIDELINES, CONDITIONS AND APPLICATION FORMAND APPLICATION FORM

DPTI – PREQUALIFICATION SCHEME FOR RAIL CONSTRUCTION WORKS

CONTENTS

1. Introduction

2. Application

3. Information to be Submitted and Assessment Criteria

4. Evaluation Form for Safety Systems

5. Conditions of Prequalification

2 Edition: August 2013

DPTI – PREQUALIFICATION SCHEME FOR RAIL CONSTRUCTION WORKS

PART 1: INTRODUCTION

1. Introduction

The Department of Planning, Transport and Infrastructure (DPTI) is responsible for the management of the Adelaide Metropolitan Passenger Rail Network. To ensure that only suitably qualified and experienced companies undertake work on this infrastructure, DPTI maintains a Rail Infrastructure Prequalification System. The purpose of the system is to reduce the time and cost to companies when preparing tenders, while also minimising risks to DPTI. The system aims to facilitate, but not to replace, tender assessment for individual projects.

Once prequalified, companies are subject to ongoing review by DPTI to ensure that the information submitted in their application remains valid and that they have performed satisfactorily when awarded contracts.

2. Scope of the Prequalification System

The system will apply to the following work on existing and / or new rail infrastructure:

construction, enhancement and maintenance;

demolition and removal;

project management of construction or enhancement.

Prequalification is available in Rail Infrastructure categories of:

RW1: Track;

RW2: Stations;

RW3: Signalling;

RW4: Communications;

RW5: Electrification Assets.

Companies must be prequalified with DPTI at the time of contract award where prequalification in any of the above categories has been specified. This System is expected to be current until mid 2016, although DPTI may vary this date at its absolute discretion.

3. Safety

Safety in working within a rail environment is a core value of DPTI and is integral to its operations. DPTI recognises its duty of care and places a high priority on the safety and wellbeing of all employees, contractors, subcontractors, volunteers and visitors to departmental workplaces.

It meets its strategic goals and operational objectives safely by adopting a continuous improvement philosophy and by integrating risk management practices to its systems, functions and activities.

It has an expectation that its contractors shall strive for excellence in WHS performance in all aspects of its operations to influence and encourage employees and sub contractors to contribute to this outcome.


DPTI – PREQUALIFICATION SCHEME FOR RAIL INFRASTRUCTURE WORKS

PART 2: APPLICATION

Companies are invited to apply for prequalification by completing and submitting the following application form.

The information described in Part 3 “Information to be Submitted and Assessment Criteria” must be attached to the application.

A read only electronic application must be submitted as follows:

If the application is on a CD, it should be marked for the attention of the Manager Contracting and Procurement and may be either:

posted to GPO Box 1533, ADELAIDE SA 5001; or

delivered to 77 Grenfell Street, ADELAIDE SA 5000.

If the application is attached to an email(s), it should be forwarded to [email protected]. Note: If submitting via email, please phone(08) 8343 2029 to confirm receipt. Also, it may be necessary to split the application into several emails to keep it to an acceptable size.

Enquiries should be directed to:(08) 8343 2029 or [email protected].


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mailto:[email protected]

mailto:[email protected]


PART 2: APPLICATION

Company Name ……………………………………………………………………

Company Numbers: ABN……………………………ACN…………….………..…

Address of Registered Office …………………………………………………………………

Postal Address …………………………………………………………………

CONTACT DETAILS FOR PREQUALIFICATION MATTERS

Contact Person: …………………………………………………………………

Position in Company …………………………………………………………………

Telephone …………………………………………………………………

Mobile …………………………………………………………………

Email …………………………………………………………………

CONTACT DETAILS FOR TENDER NOTIFICATION

Contact Person: …………………………………………………………………

Position in Company …………………………………………………………………

Telephone …………………………………………………………………

Mobile …………………………………………………………………

Email …………………………………………………………………

Prequalification Class being applied for (please indicate)RW1: Track Infrastructure RW2: Stations RW3: Signalling Infrastructure RW4: Communications Infrastructure RW5: Electrification Infrastructure

Details supporting this application for Prequalification are attached.

Signed: …………………………………….. Date: ………………..……………..

Notes:Invitations for Tender or Quotations may be either advertised on https://www.tenders.sa.gov.au or forwarded directly to the email address provided above. It is the responsibility of the company to ensure that the above details are kept up to date. The email address for tender notification should be a company mail box, not a personal email address.


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https://www.tenders.sa.gov.au/


PART 3: INFORMATION TO BE SUBMITTED AND ASSESSMENT CRITERIA These columns for DPTI use only

Please provide the information listed in the column “INFORMATION TO BE SUBMITTED BY APPLICANT” in the following table:The information should be clearly labelled and be of sufficient detail to enable an assessment to be undertaken against the corresponding DPTI requirement.

These columns for DPTI use only

SUBJECT INFORMATION TO BE SUBMITTED BY APPLICANT MINIMUM REQUIREMENTSMeets

Requirement

(Yes / No)

1. COMPANY STRUCTURE

Outline of company/entity structure and ownership.

Organisational Chart showing key personnel, including Company Directors, Operational Managers, Project Managers, Construction Managers, key professional staff, key site supervisory staff.

For information. N/A

2. INSURANCE Evidence of Insurance Policies and certificates of currency. $20,000,000 Public Liability insurance.

3. COMPANY EXPERIENCE AND TRACK RECORD

Details of 3 current or completed relevant rail infrastructure contracts undertaken in the last 5 years. This information is required for each of the Rail Infrastructure categories applied for and must include the following:

Contract name and client (include contact details for Superintendent or Principal’s Representative and of other referees).

Detailed description of work.

Duration of contract.

Contract Sum (including a statement clarifying the Registrant’s apportioned value of the total Contract Value, if this is applicable).

Details of demonstrated ability to manage subcontractors and supply chain.

Date.

Name and contact details of key Sub Contractors & Suppliers.

1. Successful completion of contracts relevant to the category being applied for, in accordance with the client’s time, cost and quality requirements.

2. Contracts provide evidence of:

Technical competency and ability relevant to category being applied for.

Strict compliance with WHS requirements.

Sound relationship with clients.

Meeting completion dates and budget.

3. Referees provide evidence to the above.


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PART 3: INFORMATION TO BE SUBMITTED AND ASSESSMENT CRITERIA These columns for DPTI use only

4. COMPANY RESOURCES

CV’s for:

Company Directors,

Operational Managers,

Senior Project Managers / Construction Managers,

Senior Rail Safety Manager,

Senior Quality Manager

Senior Environmental Manager,

clearly setting out levels of experience, skills and competencies in Rail Infrastructure works including:

Role / job title within Company and associated responsibilities.

Levels of experience (including commencement date with the company.

Relevant skills.

Competencies.

1. Staff nominated for DPTI projects possess satisfactory experience, skills and competencies for the category being applied for.

2. Operational Managers, Senior Project Managers, Senior Construction Managers, Senior Rail Safety Managers, Senior Quality Managers and Senior Environmental Managers have at least 5 years experience working on relevant rail infrastructure works.

5. ENVIRONMENTAL MANAGEMENT1

Copy of certification of Environmental Management System Certification to AS 14001

6. QUALITY SYSTEM

Copy of certification of Environmental Management System Certification to AS 9001

7. RAIL SAFETY SYSTEM

Please complete the Rail Commissioner - Safety in the Procurement of Works - Category 1 - Contractor Evaluation Form provided in Part 4

Compliant Rail Safety System which also complies with AS 4801 /ISO 18001.

Satisfactory Work Health and Safety performance

1 Environmental, quality and safety management systems may be combined into an integrated system.7 Edition: August 2013

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PART 4: EVALUATION FORM FOR SAFETY SYSTEMSThese columns for DPTI use only

Company …………………………………………………..…..

Contact Name……………………………………………………Contact Phone Number……………………

Instructions.

Tick Yes or No as relevant if your organisation has systems in place that address the element criteria. Provide information as requested in the requirement column (copies of policies, procedures and plans etc) Provide an outline of your organisation’s processes in relation to the element criteria List the applicable policies and procedures that relate to each element

Element Number & Name Y/N EvidentiaryRequirement

Provide an outline of the organisation’s process(es)

List Applicable Procedures

Column for DPTI useMeets Requirement

(Yes / No)

1. Safety PolicyThere is a written Safety and Risk Management Policy stating the organisation’s commitment to providing a safe work environment and ensuring safety of the public transport operation.

Y NCopy of policy

2. Safety CultureA Safety and Risk Management System (SRMS) is in operation enabling the authority for day to day safety and risk management activities to be delegated to responsible personnel.

Y NOverview of SRMS

3. Governance & Internal Control ArrangementsA Governance Framework is in place that enables the organisation to provide leadership, direction and authority for the management of safety and risk.

Y N Copy of org structure

4. Management, Responsibilities, Accountabilities & AuthoritiesProcess to ensure responsibilities, accountabilities and other SRMS requirements described within the SRMS are communicated to relevant personnel.

Y N Overview of process


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5. Regulatory ComplianceLegislative compliance register in place and regularly updated that identifies all relevant obligations.


6. Document Control Arrangements & Information ManagementThere is a document and data control system and procedures in place. Y N

Overview of processProcedures in place that facilitate the creation,

review, approval, distribution, use, storage, access, removal, preservation, review and update.

Y N

7. Review of the Safety Management SystemPeriodic reviews of the effectiveness of the safety and risk management system are undertaken.


8. Safety Performance MeasuresSafety performance and SMS effectiveness measured by means of suitable KPIs Y N

Overview of processOrganisational and functional area objectives,

targets and safety and risk plans are communicated and made accessible to all personnel.

Y N


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9. Safety Audit MeasuresThere is an audit and workplace inspection program in place. Y N Example audit plan

Audits conducted by qualified persons.

Y N

10. Corrective ActionThere is a process in place for the initiation and management of preventive and corrective actions. Y N Overview of

process

11. Management of ChangeProcess in place to ensure that all changes that impact safety, health, security and environment and risks associated with proposed changes are identified and assessed, with control measures approved and implemented prior to the change taking effect.


12. ConsultationConsultative mechanisms in place involving employees in development , planning, evaluation and implementation of SMS. Y N Overview of

process

13. Internal CommunicationCommunication mechanisms in place to ensure effective communication to employees of development, planning, evaluation and implementation of SMS



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14. Training & InstructionThere is an organisational skills matrix and training needs analysis.

Y N

Skills and competence identified for each position.

Y N

Example skills matrix / training plan

Competency assessed by accredited persons / organisations.

Y N

Safety induction process in place for all employees, subcontractors etc.

Y N


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15. Risk ManagementDocumented risk management process in place which meets the requirements of AS/NZS ISO31000 “Risk Management”. Y N

Evidence that system meets AS/NZS ISO 31000

Example Risk Register

There is an organisational risk register with that includes assessed risk levels, a description of control measures in place, and risk treatment plans.

Y N

There is a process in place for reporting, recording, managing and review of hazards and near miss events. Y N

There is a process in place for identifying, assessing and controlling high risk work activities /tasks that may impact on workplace or rail safety.

Y NExample of task specific safe work procedures or analysis for similar works.

Regular formal / informal safety and risk meetings occur.

Y N

16. Human FactorsProcedures in place to ensure that human factors are taken into account during the development, operation and maintenance of the SMS and are integrated into all relevant operational business systems.

Y N Overview of Process


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17. Procurement & Contract ManagementThere is a process in place for the evaluation and selection of Contractors commensurate with the level of risk associated with the intended scope of work.


18. General Engineering & Operational Systems Safety RequirementsAn engineering management system is documented and implemented, specific to the scope of work. Y N

Overview of process

EMS includes (applicable to scope of works) , competence, regulatory compliance, design standards, technical interfaces, Configuration Management, Installation, Test, Commissioning and Handover, Monitoring, Maintenance, Modification and Decommissioning and Disposal , Human factors in design and Control processes.

Y N

19. Process ControlProcedures for the control, calibration, inspection and maintenance of plant and equipment Y N Overview of

process

20. Asset ManagementAn asset management process that address all phases of the asset life cycle of the rail infrastructure or rolling stock operations. Y N Overview of

process


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21. Safety Interface CoordinationThere is a process in place for identifying interfaces within the organisation or between the organisation and external parties (e.g. rail operators, rail infrastructure managers, road authorities) whose activities may impact the safe operation of the railway.

Y N

Example Interface Coordination plan

Where interfaces are identified there is a written Interface Coordination Plan in place based upon a risk assessment with all relevant interface stakeholders involvement.

Y N

22. Management of Notifiable OccurrencesProcess in place for managing and communicating Notifiable occurrences.


23. Rail Safety Worker CompetenceRail Safety competence identified for each position.


Competency assessed by accredited persons / organisations.

Y N


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24. Security ManagementThere is an organisational Security Management Plan in place that is based upon a risk assessment. Y N

Example of Security Management Plan

25. Emergency ManagementThere is a process in place to identify foreseeable emergency scenarios based on risk assessment. Y N

Example of Emergency Management Plan

Emergency Management Plan / Procedures developed detailing response and recovery arrangement. Y N

Relevant stakeholders involved in emergency planning (e.g. relevant rail transport operators, SAPOL, MFS, roads). Y N

System to ensure that emergency and first aid facilities and personal are commensurate with the scope of works and level of risk. Y N


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26. Health & FitnessProcess in place to ensure that persons undergo fit for work health assessments relevant to their nominated role. Y N

Overview of process

Rail Safety Workers undergo health assessment as per National Health Assessment Standard for Rail Safety Workers, NTC.

Y N

Systems in place to identify, assess and manage occupational hygiene exposure.

Y N

Community health hazards related to or arising from the organisations activities are identified, assessed and communicated. Control measures are implemented to manage the risks.

Y N

27. Drugs & AlcoholThere is a process in place to ensure that alcohol and drug testing is carried out in accordance with Rail Safety National Law (South Australia) (Drug and Alcohol Testing) Regulations 2012 and AS 4308.

Y NCopy of Drug & Alcohol Management process

28. Fatigue risk ManagementA fatigue management program is in place and regularly reviewed and is cognisant of reg 29 Rail Safety Nation Law National Regulations 2012.

Y NCopy of Fatigue Risk Management process


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29. Resource AvailabilityThe organisation provides adequate resources required to achieve policy expectations.


30. WorkcoverWorkCover Registration Number, WorkCover renewal notification or Certificate of Currency for Workers Compensation.

Y N

WorkCover Reg No and renewal notification or Certificate of Currency for Workers Compensation

Additional Information Required

(1) Evidence of Rail Safety Accreditation.

(2) Detail and evidence that the Safety Management System complies with AS 4801/ISO 18001.

(3) An example of a Safety Management Plan for similar works.


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PART 5: CONDITIONS OF PREQUALIFICATION

1. Introduction

These Conditions of Prequalification prescribe the rules by which an application will be assessed by DPTI and if applicant is successful, for the management of the prequalification system. By submitting a application for prequalification, an applicant agrees to comply with, and be bound by, the rules contained within these Conditions of Prequalification.

2. Applications

Companies may submit applications for prequalification at any time. Applications must be submitted in accordance with Part 2 “Application” of this document . Prequalification only determines a company’s eligibility to submit tenders.

3. Assessment and Notification

Applications for prequalification will be assessed in accordance with DPTI’s internal procedures for management of its prequalification systems. DPTI and its agents may undertake any investigation that is reasonably necessary to validate the information submitted by the applicant.

The criteria considered in the assessment of an application are those listed in Part 3: “Information to be Submitted and Assessment Criteria” of this document.

Companies should allow at least eight weeks from the date of submission for the assessment process.

The prequalification of a Contractor does not extend to related or subsidiary companies owned or controlled by the Contractor.

4. Prequalification PeriodThe prequalification system is reviewed at least every three years. However, DPTI, in its absolute discretion, may at any time:

vary the period of review and/or revise the system;

advertise for new applications; and

request a company to validate or resubmit their application (either in part or in its entirety).

5. Reviewing, Rescinding or Downgrading PrequalificationAt any time, DPTI may review the prequalification status of a company and in its absolute discretion, rescind the company’s prequalification or reduce the level of prequalification as a result of:

in DPTI’s opinion, unsatisfactory performance by the company on a contract for any client;

material changes to a company’s organisational structure, third party certification or its technical, financial or management capacity; or

a failure to comply with the terms and conditions of prequalification.

Before such action is taken, the Contractor will be given an opportunity to show cause why the prequalification should not be rescinded or reduced. The Contractor will also be given details of the matters prompting the request to show cause.


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PART 5: CONDITIONS OF PREQUALIFICATION

6. Provisional PrequalificationA company may be granted Provisional Prequalification where it does not fully comply with every requirement specified in this document, but DPTI forms the reasonable opinion that the company will be able to do so in the near future. (e.g. a new company has been formed which is staffed by experienced managers and supervisors). This enables the company to submit tenders to DPTI for the period nominated by DPTI.

Full prequalification is then subject to the company demonstrating that they are able to comply with the specified requirements for full prequalification. If a provisionally prequalified company is unable to demonstrate compliance within the nominated period, DPTI may request resubmission of all or part of their application or withdraw the provisional prequalification.

7. Contractor to Advise

A prequalified company must immediately advise the Director, Contracting and Procurement, DPTI of any material change to: its financial capacity, contact details, ownership, resources or technical capacity; and /or any convictions or prohibition notices under Work Health and Safety legislation or

environmental legislation.

8. Confidentiality

Except as required by law, DPTI will ensure the confidentiality of all information supplied by companies is maintained and will sign an appropriate confidentiality agreement if requested.

9. Publication of Prequalification Status

A list of the prequalified companies will be disclosed to others on the following web site: http://www.dpti.sa.gov.au/documents/contractsandtenders/prequalification.

While a company may communicate its DPTI prequalification status to others, it must not represent that this prequalification necessarily means that they are competent to undertake work for organisations other than DPTI. No responsibility is accepted for any consequences arising from the use of the prequalification scheme other than for DPTI contracts.

10. Disclaimer

The decision to approve or reject, with or without conditions, any application for prequalification is at the absolute discretion of DPTI. DPTI is not liable for any costs or damage incurred in the exercise of such discretion or the discretion to rescind or downgrade any prequalification.

While other organisations may reference this prequalification system, DPTI: assumes no responsibility whatsoever to any other party in any matter associated with this

prequalification system; has developed this system solely for its internal purposes; and does not represent or warrant that any of the prequalified companies are technically

capable, financially sound or suitable for any non-DPTI project.

Any organisation seeking to deal with prequalified companies must rely on its own enquiries and bears all risks associated with the use of this prequalification system.


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