webapps.vicroads.vic.gov.auwebapps.vicroads.vic.gov.au/vrne/prequal.nsf... · Web viewGENERAL INSTRUCTIONS: This Application Form is applicable to prequalification under the National

N P S A p p l i c a t i o n F o r m 1 8 / 0 7 / 2 0 1 8 – F I : 1 0 3 6 3 1 6 3 P a g e 1

Application Form National Prequalification System for Civil (Road and Bridge)

Department of Infrastructure, Energy and Resources

VicRoads Application Form

Austroads National Prequalification SystemFor Civil (Road and Bridge)Construction Contracts

18 July 2018

GENERAL INSTRUCTIONS:

This Application Form is applicable to prequalification under the National Prequalification System (NPS) and all sections must be fully completed by:

All new applicants Applicants requesting an upgrade.

Applicants prequalified with another Participating Authority and are seeking mutual recognition with VicRoads, are not required to complete this Application Form, but must apply for mutual recognition using a National Prequalification System Mutual Recognition Application Form which can be obtained from the VicRoads website.

Guide notes are included to assist in the completion of this Application Form. Guide notes are in shaded boxes below each relevant section. This Application Form should be read and filled out with reference to the National Prequalification System Guidelines, which provide additional relevant information.

When documentary evidence for an item is asked for, actual copies of project documentation must be provided, i.e. copies of the actual project management plans and completed ITP’s etc. Generic blank or sample documents will not be accepted.

It is possible that the provision of the same information is required more than once. The same information may be assessed a number of times under different assessment criteria. Unless otherwise requested, an Applicant may provide information once, and in instances where the information is requested again, cross-reference should be made to the location of the original information.

SUBMITTING THE APPLICATIONThe application including all supporting documents MUST be submitted in electronic format (USB only). Electronic files shall be either in WORD or PDF format only. All attachments / supporting documentation shall be files labelled as per the relevant section/sub-section number and name eg B3.5 Subcontractor Management.

In submitting this Application for prequalification, we certify that the information in this Application is true and correct and fully complies with the National Prequalification System Requirements in the Application Form. We also acknowledge and agree to and hereby incorporate the ‘Terms and Conditions of Prequalification’ referred to in the National Prequalification System Requirements and provide the undertakings therein.

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

Name: ………………………………..……………….………………………

Company Secretary / Director

Date: …………….………………………………

Applications should be forwarded to:

Director Procurement ServicesVicRoads60 Denmark StreetKEW VIC 3101


SECTION A - PreliminariesA.1.Nature of ApplicationIndicate whether this is a new Application or an Application for an upgrade of prequalification category(s) or financial level (please tick):

OR

A.2.General InformationApplicants must provide the following general information:

(a) Name of the company or entity under which this Application is being made and under which tenders will be submitted (hereinafter referred to as the Applicant) - cannot be a Trust

(b) Trading name (if different)

(c) State the type of entity e.g. public or private company, joint venture, foreign etc.(cannot be a “trust”)

(d) State of registration of company (if applicable)

(e) ABN

(f) ACN or ARBN


New Application

Upgrade

Road Category Bridge Category Financial Level

(g) Address of registered office

(h) Postal address

(i) Business address

(j) Preferred address for correspondence / web listing (please tick)

(k) Telephone number

(l) Facsimile number

(m) Email address

(n) Website address

(o) Contact for prequalification enquiries (full name, position, mobile number and email address)


Registered Office Postal Business

(p) Contact for general enquiries (full name, position, mobile number and email address)

(q) Membership of industry associations (please list)

(r) WorkCover insurance Applicants engaged by VicRoads on contracts must be able to provide evidence that the company is registered as an employer for the purposes of the Workplace Injury Rehabilitation and Compensation Act 2013 (and amendments).

Please provide:

Evidence of current WorkCover insurance (WorkCover Certificate of Currency)

OR

Certificate of currency if self insured.

A.3. Prequalification Categories and Financial LevelsThe prequalification categories and financial levels are defined in the Guidelines.

Applicants must tick the prequalification category or categories are being applied for. Financial levels will be determined by VicRoads.

Road categories Bridge categories


Certificate attached (please tick to confirm)

Certificate attached (please tick to confirm)

R1 B1

R2 B2

R3 B3

R4 B4

R5

GUIDE NOTE:

When selecting the prequalification category(s), the Applicant should carefully consider which particular category(s) best reflects its current capabilities. This step relies on the Applicant making a realistic self-assessment of its ability to successfully deliver contracts involving the type of work described in each category. Work descriptions are found in the Guidelines: National Prequalification System for Civil (Road and Bridge) Construction Contracts document in Appendix A.Following this, the Applicant must ensure that its application clearly addresses the relevant criteria and clearly demonstrates the Applicant’s experience and capabilities for the prequalification category(s) sought.


SECTION B - Assessment Criteria

GENERAL INSTRUCTIONS:

All information provided must be relevant to the prequalification category or categories sought.

B.1. Criteria 1: Company ExperienceB1.1 Structure, Stability and Period of OperationB1.1.1 Structure of Organisation

Applicants must attach an organisational chart showing the relationship between the Applicant and parent and subsidiary companies (where relevant), including names of principals, directors and partners.

Provide details of current directors, company secretary and other senior managers.

Full Name Position

B1.1.2 Stability of Organisation & Period of Operation

(a) Provide the following information:

Local state/territory Nationally Internationally

Years under current structure

Years under current ownership

(b) Indicate the number of years of relevant experience the Applicant has had.

Local state/territory Nationally Internationally

As a head contractor for relevant projects.

As a subcontractor for relevant projects.


Organisational chart attached (please tick to confirm)

(c) Provide details of any former business names and give details for (a) above.

(d) In the last five years, has the Applicant, or any former business identified in B.1.1.2 (c), been liquidated or entered into receivership, administration, scheme of arrangement, or creditors’ composition pursuant to the Bankruptcy Act or Corporations Law? If yes, give details.

(e) Have any of the proprietors, principals, directors, managers or secretaries of the Applicant, or any former business identified in B.1.1.2 (c) (or their spouses) ever been bankrupt? If yes, give details.

(f) Has the Applicant, over the last six years, had any convictions recorded against it or are there any current or pending proceedings, either in a Court of Law or in arbitration?


B1.2 Experience in successfully delivering contractsNOTE:

(a) For projects involving combined roadworks and structures, details of the scope, value and timing of both the road component and the structures component must be separately identified.

(b) Ensure that referee contact name and phone number is included in Appendix A and that the referee has been advised and given permission to be contacted by VicRoads.

B.1.2.1 Current Projects

Provide details of relevant current projects (maximum of 10) applicable to each category of prequalification sought in the tabular format shown in Appendix A (use one page for each project).

B.1.2.2 Completed Projects

Provide details of relevant completed projects (maximum of 10) applicable to each category of prequalification sought in the tabular format shown in Appendix A.

(use one page for each project).

B.1.3 Demonstrated PerformanceB.1.3.1 Contract Completion

Has the Applicant, including any partner, principal, director or senior staff member ever been associated with a contract which has failed to complete or been renegotiated into a different contract type (e.g. AS 2124 contract renegotiated into an alliance)? If yes, provide the name of the individual or organisation and the reason for failure or renegotiation.

B.1.3.2 Contract Delivery Performance

GUIDE NOTE:

When assessing the Applicant’s delivery performance, VicRoads may seek comments from client contacts provided by the Contractor and other relevant source.


B.2. Criteria 2: Company Resources and Technical Capability

GENERAL INSTRUCTIONS:All information provided should be relevant to the prequalification category or categories sought.

B.2.1. Organisational / Managerial Structure

Provide a detailed and current version of a project organisational chart that clearly relates to the Applicant’s local roadworks and/or associated structures and operations, and also identifies senior positions and project personnel. The senior positions and project personnel should include those personnel with responsibility for quality management, OH&S management, environmental management and worksite traffic management.

GUIDE NOTE:Applicants should: provide an organisation chart identifying key positions and reporting responsibilities, together

with a summary of roles and responsibilities for key positions within the organisation outline its project team structure, and reporting responsibilities within the team and to

management, with details of projects where the project team has operated successfully demonstrate that the personnel identified in the organisation chart as project personnel are

available for contracts to be undertaken for the Participating Authority.

B.2.2. Personnel(a) List the average number of all full-time equivalent employees located in the local

state/territory and also separately list those located in the rest of Australia over the past 12 months under each of these general categories:

Number of Full-time Employees Local / State Territory Nationally

Management

Administration

Project Managers

Site Engineers

Surveyors

Supervisors

Site Staff (by trade classification)

Staff holding Advanced Worksite Traffic Management certificates

Staff holding Worksite Traffic Management certificates

Staff holding Traffic Controllers certificates

N P S A p p l i c a t i o n F o r m 1 8 / 0 7 / 2 0 1 8 – F I : 1 0 3 6 3 1 6 3 P a g e 1 0

Attached (please tick to confirm)

B.2.3 Key Personnel

B.2.3.1 Senior Management

Provide the names of directors and senior managers and a resume for each such person nominated in B1.1.1.

NAME/POSITION

NAME/POSITION

NAME/POSITION

NAME/POSITION

NAME/POSITION

NAME/POSITION

GUIDE NOTE:Resumes must be sufficiently detailed to demonstrate each person’s level of knowledge and experience relevant to the scope of works for the prequalification category(s) sought.

Resumes must include, as a minimum, the following information: current position title current role/responsibilities qualifications (including date of qualification) time with Applicant time in current role/position all dates for and details of previous experience names of previous employers managerial performance e.g. specific management initiatives of any significant awards achieved.


Resume attached (please tick to confirm)






B.2.3.2. Key Operational Personnel

Provide the names, qualifications, roles and responsibilities of all key operational personnel permanently employed in this state/territory or employed elsewhere and who are available and relevant to the Application for prequalification who are proposed for the following roles in relation to contract works to be undertaken for the Participating Authority:

operational management quality management OH&S management environmental management worksite traffic management project managers site engineers senior supervisors and contractor’s representatives quality management representative foremen others (e.g. surveyors – please specify).

Provide a current, detailed resume for each person nominated. Resumes must also demonstrate that each person has experience relevant to the duties and responsibilities of their nominated position. Resumes must include the following information:

current position and title current role/responsibilities qualifications including date of qualification (where qualifications are essential) evidence of licences held in the state or territory time with organisation time in current role/position other relevant training, including continuous professional development all dates for and details of previous experience names of previous employers.

The Applicant must demonstrate that the nominated personnel are available for contracts to be undertaken as and when required for the Participating Authority. It is accepted that for the lower categories of prequalification one person can occupy a variety of roles.

NAME:

ROLE:

DETAILS



NAME:

ROLE:

DETAILS

NAME:

ROLE:

DETAILS

NAME:

ROLE:

DETAILS





NAME:

ROLE:

DETAILS

NAME:

ROLE:

DETAILS

NAME:

ROLE:

DETAILS

GUIDE NOTE:The resumes should: indicate the extent of each person’s involvement in activities that demonstrate capability in relevant

projects clearly identify the scope of work involved in each project (i.e. type of bridge or roadworks) clearly indicate any direct involvement in any of the Applicant’s current or completed projects listed in

the Application.






B.2.4 Plant and Equipment (a) Provide details of the methodology and sources proposed for the supply of plant and

equipment to meet the Participating Authority’s requirements and identify the principal sources of supply.

(b) Provide a copy of the Applicant’s corporate policy / procedure on subcontracting for plant and equipment.

(c) Attach a list of major plant and equipment owned by the Applicant (excluding registered commuting vehicles.

GUIDE NOTE:Evidence could include, but should not be limited to:

approach to the use of external supply for its plant and equipment (if applicable)

approach to subcontracts or alliances for providing plant and equipment (if applicable)

listing of major plant and equipment owned by the organisation.

It is important that Applicants demonstrate how they propose to resource the Participating Authority’s contracts.




B.3. Criteria 3: Management SystemsApplicants must demonstrate that they have in place management systems that meet the mandatory requirements applicable to each prequalification category being applied for before they can be considered for prequalification.

Applicants must attach a copy of the Certificate, Scope of Certification (must cover the prequalification category(s) sought) and any relevant Schedules which demonstrate that the Applicant has the nominated systems in place according to Table 1.

For R1, R2 and /or B1, B2 applications using the VicRoads checklists, a fully completed “VicRoads Declaration Form” must be submitted with the application. VicRoads checklists and VicRoads Declaration Form are available on VicRoads website with this application form. Table 1 - Summary of audit and certification requirements for management systems under the National

Prequalification System

Category Management System Type Standard Type of Audit Required Auditor Level

R1,R2 B1,B2(refer to notes1&2)

(refer to notes 2)

Quality Management System VicRoads Checklist

Audit against the requirements the VicRoads Checklist.

4 JAS-ANZ accredited 3rd Party Conformity Assessment Body, employing auditors experienced in the Civil Construction industry.

OR5 Exemplar Global registered auditors, experienced in the Civil Construction industry.

Environmental Management System

VicRoads Checklist

OHS Management System VicRoads Checklist

Certified Integrated Management System (for example, CCF-IMS or equivalent)

Industry Code or Management System 3rd party

certification

Auditors engaged by a JAS-ANZ accredited Conformity Assessment Body and approved to assess to the CCF Code.

R3/B3 and above

Quality Management System AS/NZS ISO 9001:2016

3rd party certification

4 JAS-ANZ accredited 3rd Party Conformity Assessment Body, employing auditors experienced in the Civil Construction industry.

Environmental Management System

AS/NZS ISO 14001:2016

OHS Management System 3 AS/NZS 4801

1. Third party certification to the ISO, AS/NZS standards (also acceptable for R1, R2 and B1, B2 - refer to R3, B3 and above).

2. At R2 & B2 categories, if a company’s management systems are either a Certified Integrated management system or audited against the VicRoads checklists, the prequalification status will be deemed to be “Conditional”.

3. Accreditation under the Australian Government’s Building and Construction WHS Accreditation Scheme is deemed to satisfy the OHS requirements for prequalification at all levels. If the Applicant is accredited by the Office of the Federal Safety Commissioner in the above-mentioned Scheme, evidence of this accreditation must be attached. Further detailed information about the Scheme may be obtained from the Federal Safety Commissioner website at www.fsc.gov.au

4. A list of companies is available on the JAS-ANZ website www.jas-anz.com.au (go to the JAS-ANZ Register and select: Accredited Bodies).

5. Exemplar Global internet site: www.exemplarglobal.org select: “Find an Auditor/Training” then, “Find an Auditor”.Please tick the management system documentation applicable to your company.

OR

OR

OR


VicRoads Declaration Form (R1,R2 / B1,B2 only)

CCF certificate (R1,R2 / B1,B2 only)

3rd party certification

WHS (refer to note 2)

http://www.exemplarglobal.org/

http://www.jas-anz.com.au/

http://www.fsc.gov.au/

B.3.1 Quality Management All prequalification categoriesProvide evidence of a system in place, including a signed copy of the Applicant’s corporate quality policy, an example of a Quality Plan and an example of an Inspection and Test Plan.

Prequalification categories R3/B3 and above only(a) Provide evidence of utilisation of the QMS on relevant projects.

GUIDE NOTE:

Evidence of utilisation of the QMS on relevant projects could include, but should not be limited to:

audit reports example of corrective action requests actioned.

(b) Provide evidence of the overall performance of the Applicant’s QMS.

GUIDE NOTE:

The Application could include, but should not be limited to:

a general overview on how the QMS has performed and improved over the last five years minutes of management meetings reviewing the QMS reference to audit reports where positive comments have been made about the overall

improvement of the system from previous audits number of non-conformances identified by the Applicant through its QMS.


Corporate quality policy attached (please tick to confirm)

Actual example of Quality Plan / Project Management Plan attached (please tick to confirm)

Actual example of an Inspection and Test Plan attached (please tick to confirm)

(c) Provide copies of the reports of the last two compliance audits undertaken by the Applicant’s certifying body.

GUIDE NOTE:

The reports from the last two compliance audits by the certifying body are to confirm that the Applicant is managing quality issues in accordance with its QMS.

Complete reports must be provided and must include all comments.

(d) Has the Applicant received any major non-conformances from its certifying body in relation to its QMS over the last three years? If so, provide details and measures taken for corrective action and the outcome of these actions.

GUIDE NOTE:

Where system non-conformances are reported the number, nature, and how the contractor took corrective action will be noted. All non-conformances must be reported (unedited).

B.3.2. Occupational Health and Safety (OH&S) Management

GUIDE NOTE:

Applicants that are accredited with the Office of the Federal Safety Commissioner under the Australian Government’s Building and Construction WHS Accreditation Scheme are not required to complete this Section.

All prequalification categoriesProvide evidence of a system in place, including a signed copy of the Applicant’s corporate OH&S policy statement and an example of an OH&S Plan.



Corporate OH&S policy attached (please tick to confirm)

Sample/example OH&S Plan attached (please tick to confirm)

Prequalification categories R3/B3 and above only(a) Provide evidence of utilisation of the OH&S Management System on relevant projects.

GUIDE NOTE:

Evidence of successful use of the OH&S Management System on relevant projects could include, but should not be limited to: audit reports example of previous on-site induction process list of relevant projects on which the system has been effectively deployed nominated key personnel responsible for safety, including roles and responsibilities.

Important NoteThe Australian Government Building and Construction WHS Accreditation

Scheme (the Scheme) and the implications for undertaking contracts for the Participating Authority

The Scheme applies to any building work contract:• which is valued at $4 million or more;• where the contract is part of a project which is indirectly funded by the Australian

Government; and• the Australian Government’s contribution to the project is:

(a) at least $6 million and represents at least 50% of the total construction value; or(b) $10 million or more, irrespective of the proportion of Australian Government funding.

In Victoria a successful tenderer must be accredited under the Scheme at the time of close of tender submissions for building work, and maintain accreditation under the Scheme while the building work is being carried out.

Further detailed information about the Scheme may be obtained from the Federal Safety Commissioner website at www.fsc.gov.au

(b) Provide documentary evidence of the overall performance of the Applicant’s OH&S Management System.

GUIDE NOTE:

Evidence could include, but should not be limited to: a general overview on how the Applicant’s system has performed and improved over the last

five years reference can be made to audit reports where positive comments have been made about the

overall improvement of the system since previous audits documentation supporting a reduction to Lost Time Injury Frequency Rate and workers

compensation claims over an extended period of time, and any successful management initiatives, including details of outcomes.


http://www.fsc.gov.au/


GUIDE NOTE:

The reports from the last two compliance audits by the certifying body are to confirm that the Applicant is managing OH&S in accordance with its OH&S Management System.


(d) Has the Applicant received any major non-conformances from its certifying body in relation to its OH&S Management System over the last three years? If so, provide details and measures taken for corrective action and the outcome of these actions.

GUIDE NOTE:

Where system non-conformances are reported, the number, nature, and how the contractor took corrective action will be noted. All non-conformances must be reported (unedited).

(e) Has the Applicant ever been issued with any Improvement Notices or Infringement Notices from a regulatory body? If so, provide details.

GUIDE NOTE:

Details of any Improvement Notices issued to the Applicant should be complete and unedited.

(f) Give details of Lost Time Injury Frequency Rate over the last three years.

(g) Provide the details of workers compensation claims in the past three years.



B3.3. Environmental Management Systems (EMS)

All prequalification categoriesProvide evidence of a system in place including a signed copy of the Applicant’s corporate policy on environmental management and an example Environmental Management Plan.

Prequalification categories R3/B3 and above only(a) Provide evidence of utilisation of the EMS on relevant projects.

GUIDE NOTE:

Evidence of successful use of the EMS on relevant projects could include, but should not be limited to:

audit reports

risk assessments

list of relevant projects on which the system has been effectively deployed.

(b) Provide documentary evidence indicating the Applicant’s overall performance in environmental management.

GUIDE NOTE:

Evidence could include, but should not be limited to:

examples of good management practices in projects where environmental issues were present, showing how they were dealt with to manage, mitigate or eliminate the issues

copies of previous project environmental risk assessments.


Corporate policy on environmental management attached (please tick to confirm)

Actual example of Environmental Management Plan attached (please tick to confirm)


GUIDE NOTE:

The reports from the last two compliance audits by the certifying body are to confirm that the contractor is managing environmental matters in accordance with its EMS.


(d) Has the Applicant received any major non-conformances from its certifying body in relation to its EMS over the last three years? If so, provide details and measures taken for corrective action and the outcome of these actions.

GUIDE NOTE:

Where EMS non-conformances are reported, the number, nature, and how the contractor took corrective action will be noted. All non-conformances must be reported (unedited).

(e) In the last three years, has the Applicant been issued any prosecutions, notices or directions for legislative breaches by any Australian environmental regulatory authority? If so, provide details.

GUIDE NOTE:

Full details must be provided of any breaches (i.e. notices of incidents breaching environmental standards or requirements). This information must be complete and unedited.



B.3.4 Traffic ManagementThe company should identify that it manages its own traffic management by completing 3.4.1.

ORThe company has an established relationship with an accredited Worksite traffic management contractor by completing 3.4.2.

B.3.4.1 Traffic Management by the Applicant

(a) Provide a copy of the Applicant’s worksite traffic management procedures.

(b) Provide evidence of utilisation of the traffic management procedures on relevant projects

GUIDE NOTE:

Worksite traffic management procedures should be in accordance with the Participating Authority’s requirements. Applicants seeking prequalification for higher categories should have in place procedures for complex site traffic management which would include high traffic flows, staging, major detours and temporary roads. Procedures should address the safety of all road users, including pedestrians, cyclists, and other vulnerable road user groups.

Evidence of successful use of the traffic management procedures on relevant projects could include, but should not be limited to: audit reports sample of previous on-site induction process list of relevant projects on which the system has been effectively deployed nominated key personnel responsible for traffic/safety, including roles and responsibilities.

(c) Provide evidence that at least one of the Applicant’s employees with overall responsibility for construction operations holds an Advanced Worksite Traffic Management Certificate, and approximately one half of the Applicant’s project managers nominated to work on contracts for the Participating Authority, hold Worksite Traffic Management Certificates or an equivalent qualification, issued by an accredited training provider.

(d) Provide evidence that the Applicant’s policy and training program requires:— each of the Applicant’s employees, who are or can be directly in charge of operations on

site (e.g. project managers, supervisors and foremen), to hold, as a minimum, a Worksite Traffic Management Certificate issued by an accredited training provider

— each person controlling traffic on a worksite to hold a Traffic Controller’s Certificate issued by an accredited training provider.


Procedures attached (please tick to confirm)

(e) Provide details of the number of traffic-related accidents which occurred at the Applicant’s worksites over the last three years.

GUIDE NOTE:

Details could include, but should not be limited to traffic-related accidents associated with the works (vehicular accidents, accidents involving cyclists, pedestrians, and any other user group).

Information relating to any insurance claims or legal action must be provided.

(f) Provide a minimum of three most recent Traffic Management Plans, prepared by the applicant, applicable to the level of prequalification sought. How effective were they? Were there any traffic-related accidents?

GUIDE NOTE:

Information provided could include, but should not be limited to:

plans showing a variety of appropriate worksite scenarios (e.g. a high level prequalification category would require demonstration of detailed management plans for complex worksite traffic management involving high traffic flows, staging, major detours and temporary roads

details of consultation undertaken in relation to the traffic management planning

procedures for monitoring and measuring of Traffic Management Plans.

(g) Has the Applicant ever received a complaint by any previous client in relation to inadequate worksite traffic management? If so, provide details.

GUIDE NOTE:

Unedited details of complaints and their outcomes must be included if they have occurred.


Traffic Management Plans attached (please tick to confirm)

B.3.4.2 Traffic Management by subcontractor

(a) Provide a copy of the Applicant’s worksite traffic management purchasing procedure.

(b) Provide names of accredited Worksite traffic management contractor(s) with which the applicant has an established relationship.

(c) Provide evidence of utilisation of the traffic management purchasing procedures on relevant projects.

GUIDE NOTE:

Worksite traffic management purchasing procedure should reflect the category of prequalification sought. Applicants seeking prequalification for higher categories should have in place procedures that include traffic management strategies for complex site traffic management which would typically include high traffic flows staging major detours and temporary roads.

Evidence of successful use of the traffic management procedures on relevant projects could include, but should not be limited to:

audit reports

list of relevant projects on which the system has been effectively deployed

nominated key personnel responsible for traffic/safety, including roles and responsibilities.

(d) Provide evidence that at least one of the Applicant’s employees with overall responsibility for construction operations holds a Worksite Traffic Management Certificate or an equivalent qualification, issued by an accredited training provider.

(e) Provide details of the number of traffic-related accidents which occurred at the Applicant’s worksites over the last three years.

GUIDE NOTE:

Details could include, but should not be limited to traffic-related accidents associated with the works (vehicular accidents, accidents involving cyclists, pedestrians, and any other user group).


Procedures attached (please tick to confirm)

(f) Provide a minimum of three most recent Traffic Management Plans, prepared by the applicant’s accredited worksite traffic management contractor(s), and commensurate with the level of prequalification sought.

GUIDE NOTE:

Information provided could include, but should not be limited to:

plans showing a variety of appropriate worksite scenarios (e.g. a high level prequalification category would require demonstration of detailed management plans for complex worksite traffic management involving high traffic flows, staging, major detours and temporary roads

details of consultation undertaken in relation to the traffic management planning

(g) Has the Applicant ever received a complaint by any previous client in relation to inadequate worksite traffic management? If so, provide details.

GUIDE NOTE:

Unedited details of complaints and their outcomes must be included if they have occurred.


Traffic Management Plans attached (please tick to confirm)

B.3.5. Subcontractor Management (a) Provide details of the Applicant’s approach to the management of its consultants,

subcontractors and suppliers.

GUIDE NOTE:

Information could include, but should not be limited to:

Subcontractor management procedures

outcomes of meetings, workshops and surveys

examples of the form of subcontract used and/or details of any alliance arrangements.

(b) Provide details of how, and to what extent, the Applicant would typically utilise consultants, subcontractors and suppliers.

GUIDE NOTE:

The extent of use of consultants, subcontractors and suppliers will influence the level of project management required on the part of the contractor to effectively manage the contracted works.

The Applicant could consider the individual work components which make up a typically appropriate project(s) and describe briefly whether each component is typically carried out by consultants, direct labour force or by subcontract.

B.3.5.1 Industrial Relations Refer section C - Industrial Relations Management Systems (VicRoads)


B.3.6. Partnering / Relationship Management(a) Provide a signed copy of the Applicant’s corporate policy on partnering/relationship

management.

(b) Detail the Applicant’s attitude to partnering/relationship management.

(c) Provide documentary evidence demonstrating the Applicant’s approach to partnering/relationship management. (List any attached documentation).

GUIDE NOTE:

Evidence could include, but should not be limited to:

Communication plans based on strong relationship management principles, including interfaces with the following:

— principal

— principal’s representative

— superintendent

— consultants

— major subcontractors

— other subcontractors

— suppliers.

Outcomes of partnering meetings/workshops, surveys.


Policy attached (please tick to confirm)

3.7 Community/Stakeholder Engagement(a) Provide a signed copy of the Applicant’s corporate policy on community/stakeholder

engagement.

Provide documentary evidence indicating the Applicant’s participation and performance in community/stakeholder engagement. Examples must be directly relevant to the prequalification category(s) applied for. (List any attached documentation.)

GUIDE NOTE:Evidence could include, but should not be limited to: Copies of relevant previous project community/stakeholder engagement plans. A list of typical activities undertaken during a project, e.g. leaflet drops, involvement in public

information sessions/presentations, dedicated community engagement personnel as well as evaluation (e.g. surveys).

Communication strategies for interfacing with, but not limited to, the following:— adjacent landowners— local community— cultural heritage and environmental stakeholder groups— road users— emergency services— media— local government— service providers.

An Applicant wishing to obtain a high level prequalification category(s) must be able to demonstrate greater detail and involvement.

(b) Has the Applicant ever received a complaint by any previous client in relation to poor management of community/stakeholder engagement? If so, provide details.

GUIDE NOTE:Details could include, but should not be limited to: location dates client nature of the complaint initiator of the complaint (i.e. resident, pedestrian etc.) total number of the same type of complaint how the complaint was handled, how the problem was managed to ensure it was minimised,

mitigated or eliminated so that it may not arise again on that project or future projects.

Details of any complaints must be provided and be complete and unedited.


Policy attached (please tick to confirm)

B.3.8 Human Resources

Provide documentary evidence of performance in, and policies for, the management of human resources. (Provide details below, listing all attachments.)

GUIDE NOTE:

Documentary evidence could include, but should not be limited to:

policy on human resource management

availability of training programs/professional development for staff

human resource management manuals and procedures

management of apprentices and trainees

other relevant HR policies such as equal opportunity etc.


B.4. Criteria 4: Financial Capacity

GENERAL INSTRUCTIONS:Financial information is not required to be submitted with this application.

The information submitted pursuant to this section shall remain confidential. The Applicant’s financial information must be audited by a *suitably qualified accountant. If the financial information is not audited, then a Compilation Report from a suitably qualified accountant should be provided. The signed Audit Report or Compilation Report, which must include the full name, qualifications, company and signature of the accountant, must be included with the financial information.

The cost of the initial financial assessment will be borne by the assessing authority. However, at the assessing authority’s discretion, the Applicant may be requested to cover the cost of any additional or follow-up assessments, including assessments in support of a prequalified contractor’s request for an upgrade of financial levels during the prequalification period.

*Note: A suitably qualified accountant is an accountant who is qualified as a Certified Practising Accountant, Chartered Accountant or Professional National Accountant within the Australian accounting profession.

B.4.1. Requirements for Different Types of ApplicantsThere are a variety of legal entities that can submit Applications for prequalification. These include companies and joint ventures.

The Applicant must fully describe the form of legal entity under which it operates. The nature of the entity will influence the financial information that the Applicant is required to submit. For entities not described below, refer to the prequalification Guidelines for more information.

Single companies

No additional requirements.

Company within a consolidated group

The Application must clearly identify which company within the group is applying for prequalification or, alternatively, if it is the group itself which is applying for prequalification. The company will be assessed in its own right, based on its individual financial statements and any additional information that may be requested. Where specifically allowed by the Participating Authority, a subsidiary company may submit audited financial statements for the parent company (or guaranteeing entity) for assessment, along with suitable undertakings from the parent entity, such as a Letter of Undertaking or Parent Company Guarantee. Where the parent company (or guaranteeing entity) is unable to provide the required undertakings, the subsidiary must be assessed in its own right.

In considering Applications from subsidiary companies or entities, the Participating Authority reserves the right to examine the resources of the parent company or entity if considered warranted.

Joint ventures

The Participating Authority will consider Applications for prequalification from joint ventures. Joint ventures may be either incorporated or unincorporated. An incorporated joint venture will be assessed as a legal entity in its own right. Where prequalification of unincorporated joint ventures is allowed by the assessing authority, they will be assessed on a case-by-case basis, which will include a separate assessment of each joint venture party. A copy of the proposed joint venture agreement is to be included with all Applications for joint venture prequalification.


B.4.2 Information to be Submitted (when requested by financial assessment consultant)

NOTE: Financial information is NOT required to be submitted with this application.

B.4.2.1. Basic Information

Following receipt of this application, VicRoads will appoint a Financial Assessment Consultant which will contact the Applicant. The Applicant or its nominated representative will be required to provide the following information (as a minimum) which will be treated with strict confidentiality.

Documentation

(a) Group structure.

(b) Audited annual report/financial statements for the last three years (*).

(c) Management accounts that are no more than three months old (*).

(d) Details of any debt facilities (type, amount, term, repayment arrangements, security details), including any undrawn credit lines.

(e) Details of any encumbrances over business assets.

(f) Details of any contingent liabilities, including guarantees provided.

(g) Details of any financial covenants by which the business must adhere for any loan facilities.

(h) Details of any current or pending legal action against the directors or company.

(i) Availability of guarantees (financial or performance). This includes any cross guarantees that may apply between group entities.

(j) Details of key management positions (name, position held, qualifications, experience).

(k) Governance practices, including details of accounting policies and controls, budget preparation processes, internal financial skills and qualifications, internal financial management reporting and review processes.

(*) The financial statements/management accounts should include the following: balance sheet profit and loss statement cash flow statement notes to and forming part of the financial statements signed Director’s Report (when Applicant is a company) signed Auditor’s Report signed Director’s Declaration.

If the Applicant is an entity of a type that is not required to be audited, statutory financial statements, including a Director’s Report and Director’s Declaration, must be provided, as well as a Compilation Report from the qualified accountant who prepared the financial statements.

Details of any other information that has the potential to materially affect the financial position of the entity must be provided with the Application.

Additional information

Additional information may be requested to support the assessment, and the financial assessor may also source relevant information from publicly available sources e.g. Dun and Bradstreet and/or IBIS World reports and ratings, ASIC and the Australian Business Register.


B.4.2.2. Cash Flow

(a) Details of historical cash flow performance for the current financial year and the previous three financial years.

(b) A cash flow budget for the next 12 months, clearly defining the expected source and timing of:— inflows (receipts from billing)— outflows (including labour costs, material costs, equipment costs, etc.).

Details of all assumptions used must be included.

B.4.2.3. Capacity to borrow – current bank facilities

(a) Name of bank and contact details of bank manager.

(b) Details of all current bank balances. The following bank facilities, showing funds available, utilised and remaining, are to be provided.— Overdraft— Revolving lease— Other leases— Business credit card access— Guarantee by bank revolving facility— Other credit facilities (please specify)

(c) Letter/s from the bank/financiers which details the facilities available to the Applicant. Also, give details of the facilities that have been utilised by the Applicant. Typically, this will include information on overdrafts, credit facilities, and other sources of finance.


IR Management Systems (VicRoads)

C. INDUSTRIAL RELATIONS MANAGEMENT SYSTEM (VICROADS)Detail Guidance on Industrial Relations (IR) Management Criteria

C.1. INTRODUCTIONThe construction industry is a major contributor to the Australian economy. The Victorian Government is supporting this key industry in becoming more forward-looking, innovative and internationally competitive. The keys to success are an improved workplace and management culture, better employer and employee relationships, and improved industrial relations planning and management at both the enterprise level and on projects.

Relevant federal and state legislation includes:

Fair Work Act 2009 (Clth)Fair Work (Building Industry) Act 2012 (Clth)Fair Work (Registered Organisations) Act 2009 (Clth)Construction Industry Long Service Leave Act 1997 (Vic.) Dangerous Goods Act 1985Equipment (Public Safety) Act 1994Long Service Leave Act 1992Occupational Health and Safety Act 2004Outworkers (Improved Protection) Act 2003

Government encourages the industry to adopt a strategic approach to the management of industrial relations at the enterprise level, and to integrate industrial relations management activity into project planning and management.

C.2. INDUSTRIAL RELATIONS SELF-ASSESSMENT CHECKLIST

The self-assessment checklist, Part B, has been prepared in consultation with Industrial Relations Victoria, the Construction Contracts Advisory Panel, the Regulatory Development Unit of the Building Commission (since replaced by the Victorian Building Authority) and staff of the Construction Supplier Register, (at the time the Department of Transport but now) Department of Treasury and Finance.

To be considered for pre-qualification or acceptance, in response to a publicly advertised tender, contractors must complete and submit the Industrial Relations Management Self-assessment Checklist along with the pre-qualification application or tender submission.

The purpose of the self-assessment test is to assist Victorian Government departments and public bodies establish confidence in the industrial relations management practices of contractors who seek to undertake work for the Victorian Government.

C.3. INDUSTRIAL RELATIONS MANAGEMENT CRITERIA

C.3.1. Policy Statement that addresses:

Senior management support;Enterprise goals for industrial and employee relations;Responsible personnel for managing industrial and employee relations;Communications processes;Subcontractor compliance.



C.3.2 Identification of legal and other industrial relations and employment obligations such as:Awards;Enterprise, workplace or other enforceable agreements;Federal or Victorian legislation;Project agreement (where applicable).

C.3.3 Management plans that address:(i) Industrial issues relevant to the enterprise;

(ii) Actions to be taken for specific events such as:

Grievance disputes; Inclement weather; Threatened or actual industrial action; Unforeseen risks.

C.3.4 Compliance over preceding 24 months in following areas:Remuneration to employees;Annual leave; Long service leave payment scheme registration;Workers Compensation insurance;Superannuation fund membership;Other lawful payments.

C.3.5 Sub-contractors relationships that address:Selection methods that test compliance with industrial relations laws; and employment

obligations;Management of sub-contractors;Ongoing sub-contractor compliance.



INDUSTRIAL RELATIONS MANAGEMENT SELF-ASSESSMENT

PART A: Identification and Declaration

Date of completion/update

Completed in relation to

Name of Company

ACN

Address

Nature of business/service

Contact Person

Name

Title

Telephone / Facsimile

Email

I, , authorised officer of (“the Supplier”) hereby certify that all information (“the information”) provided by or on behalf of the Supplier as part of a pre-qualification or public tendering process is current, accurate and provided in good faith. The Supplier acknowledges that those employing this Checklist for pre-qualification or public tendering processes may rely on the information and hereby agrees to hold harmless and wholly indemnify officers of VicRoads for any costs or liabilities incurred from or associated with the provision of, use of or reliance upon the information.

Signed:

Dated:

Comments: (include any comments here in support of your self-assessment)


PART B: CHECKLISTThe contractor’s compliance with the Industrial Relations criteria may be subject to further assessment by the relevant department or public body. Documentary evidence to substantiate the contractor’s assessment may be required.

TO BE COMPLETED BY THE CONTRACTORCircle YES or NO to indicate whether you can provide, if required, evidence to demonstrate that you meet the requirements of the criterion. Where you have ticked NO you MUST provide explanatory comments.

Industrial Relations Management criteria

1. Do you have an Industrial Relations Policy Statement which:

● has chief executive officer/senior management support?

YES NO If NO provide comments in box below:

GUIDE NOTE:A copy of the company industrial relations policy, signed by the CEO, Directors, or Senior Managers (as appropriate)

● sets enterprise goals for industrial and employee relations?


GUIDE NOTE:The policy statement should contain objectives or goals relating to industrial and employee relations.

● identifies responsible personnel for managing industrial and employee relations, and provides contact details?


GUIDE NOTE:The contact person should be able to discuss and clarify the industrial relations policy.

● outlines communication processes with workers, unions, other contractors, and subcontractors?


GUIDE NOTE:Communication processes and sub-contractor assessment measures should be described (for example meetings, consultative committees, bulletins)

● outlines measures for assessing subcontractors’ compliance with industrial relations and employment obligations?


2. Industrial Relations Obligations

Do you have a statement of your legal and other obligations relating to industrial relations and employment, including the names and details of applicable:

● awards?


● enterprise, workplace or other enforceable agreements?


● Federal or Victorian legislation?


● Project Agreement?


GUIDE NOTE:Please indicate if such obligations are not applicable in your case.

Note: Most projects will not have a project agreement. If you consider a project agreement may be appropriate for a project you are tendering for, please tick the relevant box, and, if necessary include a comment.

3. Industrial relations management and responses

Do you have an Industrial Relations Management plan that:

● identifies the industrial relations issues that are relevant to your enterprise?


● details the actions that you will take in the event of incidents such as:

- grievance disputes


- inclement weather, site issues threatened or actual industrial action


- other unforeseen risks


GUIDE NOTE:The Industrial Relations Plan should provide information about the key industrial relations issues that affect the enterprise. This may be part of the industrial relations policy statement.

The plan should address items that are likely to emerge as part of the contractor’s work and describe what the contractor will do to address problems that may emerge.

“Site issues” might include situations arising from site allowances, amenities, clothing, tools, etc.

The plan should include a contingency plan that outlines a process for responding to unforeseen risks.

4. Compliance

Provide a signed declaration or statement verifying compliance in the preceding twenty-four (24) months with all employment and legal obligations including:

● payment of remuneration to employees including the location of time and wage records?


● annual leave?


● Long Service Payment Scheme registration?


● Workers’ compensation insurance?


● superannuation fund membership and contributions?


● other lawful payments?


GUIDE NOTE:

Businesses must provide a signed statement or declaration that states compliance with each item. You may be asked for evidence of registration with the long service leave scheme (CoInvest), superannuation scheme (e.g. C+BUS), and other payments (e.g. Incolink for redundancy purposes) which are part of the award or relevant enterprise agreement.

Businesses must provide a signed statement or declaration that details the information required in each item.

Remedial measures should indicate how the business has amended, or plans to amend, its practices to address the problem that was the subject of the past or current actions listed.

Signing the Part A Declaration is evidence of verification of compliance with all items. If the business has not complied with any or all of the items then a signed declaration or statement must be provided detailing: any findings against the tendering entity by a court, tribunal, commission or board of a breach of an

applicable industrial instrument, including a finding of a breach in a non-confidential consent order, in the preceding 24 months and any convictions under legislation in the preceding 24 months:

any convictions in the preceding 24 months; any current prosecutions or proceedings; and remedial measures implemented to ensure future compliance.

5. Subcontractors

Do you have a procedure that provides an outline of:

● the measures that you will take to select subcontractors who comply with industrial relations laws and employment obligations?


● how your dealings with subcontractors and other contractors are to be managed?


● how you will monitor and assess ongoing subcontractor compliance with industrial relations requirements?


GUIDE NOTE:

Your approach to selection of sub-contractors who comply with industrial relations laws and obligations may be included in your industrial relations policy. For example you may require that subcontractors provide documentation similar to this pre-qualification requirement.

It would be expected that the contractor can demonstrate effective industrial relations management of sub-contractors.

Agencies should note that CCAP prepares model contract conditions for incorporation into Contract Conditions approved in accordance with Ministerial Direction No 2 Contractual Provisions for Public Construction. These contract conditions may require the preparation of an industrial relations plan (plan) for the required construction work. The plan may require that the industrial management procedures developed for the work are implemented and maintained during the period of the contract. Agencies may be required to monitor the plan. Where the contractor has been selected from a register the agency may be required to provide information on the contractor’s industrial relations performance to the agency that maintains the relevant register.

Assessment Notes:a. VicRoads may further assess the contractor’s compliance with these industrial relations criteria.b. The contractor may be required to provide copies of industrial relations documents and supporting

evidence to assist such further assessment.c. VicRoads may also consult Industrial Relations Victoria in determining the contractor’s compliance.

B.1.2 Company Experience - Appendix A

(use multiple pages)

Current/Completed Project # Current/Completed Project #

Name of Project

Location

Client contact details

Contract administrator’s name and contact details

Head contractor or subcontractor?

Description of project.

*Detailed description of projectincluding any special features eg. Complex project management, traffic control, service relocation, drainage, environmental, earthworks and pavement works, structural type, foundations, construction methodology for various elements of the work.

Value of work done by contractor (final)

Value of subcontracted work

Names of main subcontractors

Start date

Original contract period (weeks)

Names of Contractor’s key operational personnel employed on contract

Photographs and samples of plans, if available

# delete whichever is not applicable

*include, where applicable, characteristics described in Appendix A, - refer to VicRoads website: “Guidelines - National Prequalification System For Civil (Road and Bridge) Construction Contracts”

Documents

webapps.vicroads.vic.gov.auwebapps.vicroads.vic.gov.au/vrne/prequal.nsf... · Web viewGENERAL INSTRUCTIONS: This Application Form is applicable to prequalification under the National