IRE Project Audit Form Information Sheet€¦ · audit a project manager, managing or head...

Compliance with Industrial Relations and Employment Obligations Strategy

1 Information Sheet for Contractors, IRE Project Audits| ACT Government v2 Nov 2016

IRE Project Audit Form

Information Sheet

The ACT Government has introduced the Compliance with Industrial Relations and Employment Obligations Strategy (Strategy). You may obtain a copy of the Strategy from the Procurement and Capital Works website : www. procurement.act.gov.au. The Strategy is part of a package of ACT Government initiatives being introduced to ensure industrial relations and employment compliance best practice is part of the culture of the construction industry. As part of the Strategy, the ACT Government has developed contractual provisions which enable it to audit entities engaged to perform building work on its sites for their compliance with industrial relations and employment obligations. The ACT Government may choose to audit a project manager, managing or head contractor, trade contractor or subcontractor (or a combination of all of them). The attached IRE Project Audit Form (also called the Form) is to be completed by entities where they are the subject of an audit by the ACT Government. Notification of audit If the ACT Government project you are engaged to work on has become the subject of a project compliance audit you (or the Project Manager or head contractor for the Project) will receive a letter of notification of the proposed audit from the ACT Government. In that letter will be: 1. details of the auditor (Auditor) appointed to conduct the audit; 2. confirmation that the Auditor will contact you (or the head contractor/ Project

Manager) shortly to arrange a date and place for the conduct of that audit; and 3. confirmation that if you are a head contractor / Project Manager you may be advised

to contact your subcontractors and ensure they comply with the audit requirements, with an audit of the subcontractor to be conducted at the same time or a prearranged time with the Auditor.

2 Information Sheet for Contractors, IRE Project Audits| ACT Government v2 Nov 2016

Costs of Audit The costs of the Auditor will be met by the ACT Government. The entities which are the subject of the audit will meet all of their own costs associated with complying with the audit requirements and will have no claim for recovery of those costs from the ACT Government or the head contractor / project manager. Preparation for audit The following steps should be taken if your entity is to be the subject of an audit: 1. have an authorised officer of your organisation complete the attached IRE Project

Audit Form and sign the statutory declaration at Attachment 1 in front of a qualified witness;

2. collect all of the information outlined in the Form; 3. provide the completed Form, the statutory declaration and all of the information

required by the Form to the Auditor at the time of audit; 4. provide the Auditor with such other information it requires to reasonably complete

the audit, including clarification of any information supplied; 5. liaise with the Auditor to settle an agreed time and place for the audit and meet as

agreed; and 6. if applicable, ensure any subcontractors engaged by you which are to be the subject

of the audit do all of the things necessary to enable the audit of that entity to take place.

A failure to comply with the audit requirements may result in a finding that you or your subcontractor, is non compliant and may have contractual and other implications (see the Strategy for details). What happens to the information supplied by you? The Form, together with the information provided by you as part of the audit process (with the exception of the statutory declaration) will remain with you following the audit and will not be provided to the ACT Government. Some of the information supplied will be used by the Auditor to complete the IRE Project Audit Report. A proforma of that report can be viewed on the Procurement and Capital Works website: www. procurement.act.gov.au prequalification tab. The Auditor will also supply the Territory with a copy of the statutory declaration supplied by you. No personal information relating to you or your employees will be provided to the ACT Government as part of this process. All documents provided by you in the conduct of the audit are to be treated in the strictest confidence in accordance with the Privacy Act 1988 (Cth).

3 IRE Audit Form| ACT Government

What happens with the Auditor’s findings

Once the audit is complete the Auditor will provide the ACT Government with an IRE Project Audit Report. In that report the Auditor may recommend that the ACT Government refer the matters discovered to the relevant regulatory authority established to regulate the area, for example: the ACT Revenue Office if there is a possible breach of payroll tax obligations or the Long Service Leave Authority where compliance with long service obligations may not have been met. In addition the matters raised by the Auditor may:

1. be taken into consideration by the ACT Government in assessing your performance for future tendering opportunities;

2. be the subject of further action as provided in your contract with the ACT

Government or your subcontract with your head contractor; and/or 3. be considered by the ACT Government who may decide to do one or more of the

following with regard to your IRE Certificate:

(1) revoke it;

(2) suspend you from applying for a new IRE Certificate for a period up to 12 months; and/or

(3) place conditions on the retention of your IRE Certificate, which you must comply

with in order to retain the IRE Certificate.

What happens if the ACT Government revokes, suspends or places conditions on your IRE Certificate? If the ACT Government elects to revoke, suspend or place conditions on your IRE Certificate you may seek a review by the person holding the position of Executive Director, Procurement and Capital Works.

Compliance with Industrial Relations and Employment Obligations Strategy


Attachment 1 – Project Audit Form for Contractors

IRE Project Audit Form

(This form and the associated statutory declaration are to be completed by the authorised representative of project managers, managing contractors or head contractors, trade

contractors and sub-contractors who become the subject of a compliance audit by the ACT Government)

Please provide the following details:

1. Name of Entity/Contractor: .....................................................................................................

2. ABN / ACN: ................................................................................ Company Sole Trader Partnership Other

Address for correspondence:

........................................................................................................ ........................................................................................................ ........................................................................................................

3. Name and position of authorised person completing this form and the associated statutory declaration:

Name ............................................................................................................... Position held ......................................................................................................


4. Name of Project ...................................................................................................... Type of contract under which Contractor has been engaged (ie head contractor, sub-contractor, trade) ....................................................................................................... Date of letter from ACT Government notifying conduct of the audit for the Project (this letter may have been sent directly to you or sent to the head contractor/Project Manager for the Project). - ....................................................................................................... This date is the “Audit Notification Date” for the purpose of this form


5. Details of Employees Please provide a list of all your employees performing work on the Project at any time in the four weeks prior to the Audit Notifcation Date including the information requested in the table below for each of those employees and any apprentices/trainees. (If there is insufficient space please copy this sheet)

Employee Name ACT LSL Member No Superannuation Member No

Award / Common law contract or Enterprise Agreement/AWA

Guest Workers eg 459 Visa, F/T, P/T

Full Time Part Time

1.

2.

3.

4.

5.

6.

7.

8.


9.

10.

Apprentices employed by group training company’s

Name of group training company

1.

2.

3.


6. Documents to be made available to the auditor at the time of the audit:

a. Signed statutory declaration at Attachment 1.

b. Time sheets for all your employees performing work on the Project in the 4 weeks prior to the Audit Notifcation Date.

c. Pay slips and method of payment for all your employees performing work on the Project in the 4 weeks prior to the Audit Notifcation Date (including evidence of payment of all entitlements and allowances for employees .

d. Where appropriate, evidence of termination, redundancy or statutory payments made by you to any employees performing work on the Project in the four weeks prior to the Audit Notifcation Date.

e. Superannuation returns and receipts for the last payment period for all of your employees working on the Project in the four weeks prior to the Audit Notifcation Date.

f. Certificate of registration with the ACT Long Service Leave Board and details of all employees currently registered.

g. Workers Compensation Insurance Certificate of Currency and details of all employees covered by that Policy.

h. Public Liability Insurance Certificate of Currency.

i. With respect to all guest workers who performed work on the Project in the 4 weeks prior to the Audit Notification Date, evidence that they are legally entitled to work in Australia for example a copy of their current visa.

j. Payroll tax returns for the last completed 3 months prior to the Audit Notifcation Date.

k. A copy of your current IRE Certifcate. Note: information should be supplied in respect of all employees/ guest workers performing work for the whole or any part of the 4 week period prior to the Audit Notifcation Date.


7. List below details of all subcontractors (eg trades) which you have engaged who have performed work on the Project in the 4 weeks prior to the Audit Notifcation Date: (If there is insufficient space please copy this sheet)

Name of Sub-contractor ABN/ACN Business Address Name of Contact Person and Phone

1.

2.

3.

4.

5.

6.

7.

8.

9.

10.

11.


8. Details of all ABN Workers engaged by you on the Project in the four weeks prior to the Audit Notification Date. Please supply contract documentation used to engage these workers and invoices for payment for the four weeks prior to the Audit Notification Date.

Name of ABN worker

ABN

1.

2.

3.

4.

5.

6.

7.

8.

9.

10.

11.

12.

13.

14.

15.

16.

17.

If you have any questions regarding this list of requirements please call ACT Government, Shared Services, Procurement on 02 6207 5982.


Attachment 1

Statutory Declaration - Compliance with Industrial Relations and Employment Obligations


STATUTORY DECLARATION

Statutory Declarations Act 1959 (Commonwealth)

I, [Name, address and occupation of person making declaration] make the following

declaration under the Statutory Declarations Act 1959 (Cth).

1. Name of the Project Manager/Contractor/Subcontractor (Contractor) in

relation to which I make this Declaration:

[Insert full legal title of Contractor e.g. XYZ Pty Limited

ACN / ABN of the Contractor:

[Insert ABN/ACN of Contractor]

The name and ACN/ABN of all Associated Entities of the Contractor are as follows:

[Insert full legal title of all Associated Entities of the Contractor and their ABN/ACN

e.g. ABC Pty Limited ACN 123 456 789 ABN 47 123 456 789]

The Project in relation to which this statutory declaration is provided is:

[Insert name of Project]

2, I acknowledge that the following definitions apply in this Declaration.

Associated Entity has the same meaning as “associated entity” in the Corporations Act 2001 (Cth) (see section 9 and section 50AAA of that Act).

Contractor means the legal entity (individual or company) described at paragraph 1 of this statutory declaration, and, for the purpose of this Declaration also includes any Associated Entity of the Contractor.

Contract means a written contract for the procurement of Prescribed Works or Services having a total consideration, or estimated total consideration, worth $20,000 or more.

Employee means a natural person who is employed under a contract of service to provide a supplier of Prescribed Works or Services with his or her labour, except for the provision of professional or information technology service.

Employee and industrial relations obligations means compliance with:

(a) Prescribed Legislation; and

(b) determinations made by a court, tribunal, board, commission or other entity with jurisdiction to determine employee and industrial relations matters in respect of the interpretation, breach or any other matter concerning any Prescribed Legislation.

Note: Examples of employee and industrial relations obligations may typically include payment of remuneration; training; annual holidays;


long service leave entitlements; occupational health and safety; workers’ compensation; injury management, (including rehabilitation); legal age of employment; discrimination; and superannuation. This list is non exhaustive.

Full Details means details of:

(a) the nature of the breach or offence or alleged breach or offence;

(b) any conviction recorded or adverse finding made in respect of the breach or offence;

(c) any penalty or orders imposed by a court, tribunal, commission or board in respect of the breach or offence and the maximum penalty that could have been imposed under the Prescribed Legislation;

(d) the name of the court, tribunal, commission or board, the State or Territory in which the proceeding or prosecution is brought, the date on which the proceeding or prosecution was commenced and the number or description assigned to the proceeding or prosecution by the court, tribunal, commission or board; and

(e) the name of the entity against which the finding or conviction was made or the proceeding or prosecution was initiated.

Industrial Instrument means an award or agreement, however designated, that:

(a) is made under or recognised by an industrial law; or

(b) concerns the relationship of an employer and the employer’s

employees.

Prescribed Legislation means:

(1) Industrial Instruments applicable to the Contractor;

(2) Long Service Leave Act 1976 (ACT);

(3) Work Safety Act 2008 (ACT);

(4) Long Service Leave (Building and Construction Industry) Act 1981

(ACT);

(5) Long Service Leave (Contract Cleaning Industry) Act 1999 (ACT);

(6) Long Service Leave (Portable Schemes) Act 2009 (ACT);

(7) Workers’ Compensation Act 1951 (ACT);

(8) Workplace Relations Act (1996) (Cth);

(9) Fair Work Act 2009 (Cth);

(10) Superannuation Guarantee (Administration) Act 1992 (Cth);

(11) Building and Construction Industry Improvement Act 2005 (Cth);


(12) Equal Opportunity for Women in the Workplace Act 2005 (Cth)

(13) Paid Parental Leave Act 2010 (Cth);

(14) Payroll Tax Act 1987 (ACT);

(15) Any Regulations made under the above Acts;

(16) Any laws of the Commonwealth or the Australian Capital Territory

which vary or replace the above Acts or Regulations, or any part of

them; and

(17) Any other Acts or Regulations of the Commonwealth or the Australian

Capital Territory, which deal with matters relating to industrial

relations, employment and/or workplace safety obligations.

Prescribed Works or Services means works or services that require the

exertion of labour by Employees.

Project means the project described in paragraph 1 of this statutory

declaration.

Subcontractor means an entity that is contracted by the Contractor to provide

services or works in connection with a Contract between the Australian Capital

Territory and the Contractor.

3. I am authorised on behalf of the Contractor to make this statutory declaration.

4. The following Industrial Instruments made pursuant to any Prescribed Legislation specifically applies to the Employees of the Contractor and are binding on it or them.

[Insert details of Industrial Instruments]

5. The Contractor has in the preceding 24 months of the date of this Declaration complied

with all Prescribed Legislation.

YES NO

6. The Contractor has in the preceding 24 months of the date of this Declaration recognised the rights of Employees to union membership and representation.

YES NO


7. The Contractor has in the preceding 24 months of the date of this Declaration complied with any amendments to wages and conditions of employment for their Employees as decided by any authorised industrial or wage-setting agency.

YES NO

8. In the preceding 24 months of the date of this Declaration there have been either:

(a) no findings against the Contractor by a court, tribunal, commission or board of a breach of any Prescribed Legislation, including a finding of a breach in a non-confidential consent order;

OR

(b) the following findings against the Contractor by a court, tribunal, commission or board of a breach of any Prescribed Legislation, including a finding of a breach in a non-confidential consent order [provide Full Details].

[Insert Full Details of findings]

9. In the preceding 24 months of the date of this Declaration there have been either:

(a) no convictions under the Prescribed Legislation against the Contractor;

OR

(b) the following convictions under the Prescribed Legislation against the Contractor [provide Full Details].

[Insert Full Details of convictions]


10. There are currently no proceedings or prosecutions against the Contractor in respect of a possible breach of any Prescribed Legislation

OR

the following proceedings and/or prosecutions are currently brought against the Contractor in respect of a possible breach of Prescribed Legislation [provide Full Details].

[Insert Full Details of proceedings and prosecutions]

11. The Contractor has not been required to implement any remedial measures to ensure future compliance with the Prescribed Legislation

OR

the Contractor has implemented the following remedial measures to ensure future compliance with Prescribed Legislation.

[Insert details of remedial measures]

12. All Employees of the Contractor employed to provide Prescribed Works or Services

for the Project have, at the date of this statutory declaration been paid all moneys

due and payable to them in respect of their employment on the work in respect of

the Project.

13. The Contractor has paid to or on behalf of the Employees of the Contractor

employed to provide Prescribed Works or Services for the Project all their

entitlements under Prescribed Legislation.

14. All Subcontractors (if engaged by the Contractor) have been paid all monies due

and payable to them in respect of work performed referable to the Project.

15. I am authorised on behalf of the Contractor named in the IRE Audit Form (Form)

which accompanies this declaration to complete the Form.

16. The information contained in the Form is complete, true and correct;


17. The information referred to in the Form to be supplied to the auditor (Auditor)

appointed by the Australian Capital Territory will be a complete, true and correct

record of the information and records held by the Contractor.

18. I will advise the Auditor as soon as reasonably possible should I become aware

that:

(1) any information contained in the Form; or

(2) any information supplied to the Auditor,

is not complete, true and correct.

19. I understand that a person who intentionally makes a false statement in a

statutory declaration is guilty of an offence under section 11 of the Statutory

Declarations Act 1959, and I believe that the statements in this declaration are

true in every particular.

___________________________________

[Signature of person making the declaration]

___________________________________

[Print name of person making the declaration]

Declared at [place] on [day] of [month] [year]

Before me:

___________________________________

[Signature of person before whom the declaration is made]

___________________________________

[Full name, qualification and address of person before whom the

declaration is made (in printed letters)]

Note 1 A person who intentionally makes a false statement in a statutory

declaration is guilty of an offence, the punishment for which is imprisonment for a

term of 4 years — see section 11 of the Statutory Declarations Act 1959.

Note 2 Chapter 2 of the Criminal Code applies to all offences against the Statutory

Declarations Act 1959 — see section 5A of the Statutory Declarations Act 1959.


A statutory declaration under the Statutory Declarations Act 1959 may be made before –

(1) A person who is currently licensed or registered under a law to practise in one of the following occupations:

Chiropractor Dentist Legal practitioner

Medical practitioner Nurse Optometrist

Patent attorney Pharmacist Physiotherapist Psychologist Trade marks attorney Veterinary surgeon

(2) A person who is enrolled on the roll of the Supreme Court of a State or Territory, or the High Court of Australia, as a legal

practitioner (however described); or (3) A person who is in the following list:

Agent of the Australian Postal Corporation who is in charge of an office supplying postal services to the public

Australian Consular Officer or Australian Diplomatic Officer (within the meaning of the Consular Fees Act 1955) Bailiff

Bank officer with 5 or more continuous years of service

Building society officer with 5 or more years of continuous service Chief executive officer of a Commonwealth court

Clerk of a court

Commissioner for Affidavits Commissioner for Declarations

Credit union officer with 5 or more years of continuous service

Employee of the Australian Trade Commission who is: (a) in a country or place outside Australia; and

(b) authorised under paragraph 3 (d) of the Consular Fees Act 1955; and

(c) exercising his or her function in that place

Employee of the Commonwealth who is:

(a) in a country or place outside Australia; and

(b) authorised under paragraph 3 (c) of the Consular Fees Act 1955; and (c) exercising his or her function in that place

Fellow of the National Tax Accountants’ Association Finance company officer with 5 or more years of continuous service

Holder of a statutory office not specified in another item in this list

Judge of a court Justice of the Peace

Magistrate

Marriage celebrant registered under Subdivision C of Division 1 of Part IV of the Marriage Act 1961 Master of a court

Member of Chartered Secretaries Australia

Member of Engineers Australia, other than at the grade of student Member of the Association of Taxation and Management Accountants

Member of the Australasian Institute of Mining and Metallurgy

Member of the Australian Defence Force who is: (a) an officer; or

(b) a non-commissioned officer within the meaning of the Defence Force Discipline Act 1982 with 5 or more

years of continuous service; or

(c) a warrant officer within the meaning of that Act

Member of the Institute of Chartered Accountants in Australia, the Australian Society of Certified Practising Accountants

or the National Institute of Accountants Member of:

(a) the Parliament of the Commonwealth; or

(b) the Parliament of a State; or (c) a Territory legislature; or

(d) a local government authority of a State or Territory

Minister of religion registered under Subdivision A of Division 1 of Part IV of the Marriage Act 1961 Notary public

Permanent employee of the Australian Postal Corporation with 5 or more years of continuous service who is employed in

an office supplying postal services to the public Permanent employee of:

(a) the Commonwealth or a Commonwealth authority; or

(b) a State or Territory or a State or Territory authority; or (c) a local government authority;

with 5 or more years of continuous service who is not specified in another item in this list

Person before whom a statutory declaration may be made under the law of the State or Territory in which the declaration is made

Police officer

Registrar, or Deputy Registrar, of a court

Senior Executive Service employee of:

(a) the Commonwealth or a Commonwealth authority; or

(b) a State or Territory or a State or Territory authority Sheriff

Sheriff’s officer

Teacher employed on a full-time basis at a school or tertiary education in

IRE Project Audit Form Information Sheet€¦ · audit a project manager, managing or head...

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