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Prequalification for Physical
Works
Application Pack
NZ Transport Agency Page i
Prequalification for Physical Works Application Pack
Issue 1Revision 9, October 2013
Table of Contents
Record of Amendments ............................................................................................... ii
Document Management Plan ....................................................................................... iii
Section 1 - Guidelines for Completing Registration Application ..................................... 1
Section 2 - Applying for Registration ............................................................................ 6
Section 3 – Prequalification Classification ..................................................................... 8
Section 4 - Definition of Performance Criteria ............................................................... 9
Section 5 – Assessment of Registration Application .................................................... 10
Section 6 – Appeal on PET’s Decision ......................................................................... 12
Section 7 – Review of Contractor Project Performance ................................................. 13
Section 8 – Review of Contractor Safety Performance .................................................. 14
Section 9 – Renewal of prequalification registration .................................................... 15
Section 10 – Definition of Work Categories ................................................................. 16
Glossary of Terms ...................................................................................................... 19
Appendices
A1: Prequalification Application Form
A2: Quality Compliance Checklist Input Requirements
A3: Contractors Occupational Health and Safety Management Information
A4: Template for Environmental Management Confirming Letter (QCC)
A5: Template for Quantum or Size of Work Confirming Letter in (QCC)
A6: Template for Co-operation & Pro-active Partnering Confirming Letter (QCC)
NZ Transport Agency Page ii
Prequalification for Physical Works Application Pack
Issue 1Revision 9, October 2013
Record of Amendments
Amendment
No
Subject Effective
Date
Updated
By
Version 1 Prequalification for Physical Works Procedure Manual
Issued for Trial
13 Mar
2003
N/A
Version 2 Amended to include feedback from Trial 9 Aug
2004
Ian Gray
Version 3 Amended following North Island consultation 5 Jan
2005
Ian Gray
Version 4 Amended to include feedback from Trial 30 Nov
2005
Ian Gray
Issue 1 Prequalification for Physical Works Application Pack
Issued (replaces the previous “Prequalification for Physical
Works Procedure Manual”
The Prequalification Trial ended on 30 June 2007 and
Prequalification is now a “Business As Usual” procurement
procedure.
Split of content between the new Application Pack and the
Contract Procedures Manual
12 Dec
2007
Raj
Rajagopal
Revision 1 New Appendix 3: Contractor’s Occupational Health and Safety
Management Information incorporated
1 Mar
2008
Raj
Rajagopal
Revision 2 Amendment to Section 1, Item 1. 5 Mar
2008
Raj
Rajagopal
Revision 3 Minor miscellaneous changes.
All references to Transit NZ replaced with NZTA
1 July
2009
Richard
Quinn
Revision 4 Minor Miscellaneous changes 15 July
2009
Valfrid Jarl
Revision 5 Amendment Section 7.2 5 Feb.
2010
Valfrid Jarl
Revision 6 Amendment Appendix 3 1 May
2010
Valfrid Jarl
Revision 7 Amendments from annual prequalification workshop July 2010 8 Sep
2010
Valfrid Jarl
Revision 8 Amendments from prequalification industry meetings and
addition of Operator Rating System into H&S
8 April
2013
Michele
Berry
Revision 9 Amendment to Section 1.4: Step 4, Section 3 and Glossary of
Terms
30 Oct
2013
Paula
Alkema
NZ Transport Agency Page iii
Prequalification for Physical Works Application Pack
Issue 1Revision 9, October 2013
Document Management Plan
1. Purpose
This Management Plan details the process for updates, amendments and includes
contact points in relation to the “Prequalification for Physical Works Application
Pack”.
2. Document Information
Document Name Prequalification for Physical Works Application Pack
Document No. Not Applicable
Availability This document is located in electronic, PDF format on the NZTA
website
Document Owner The Prequalification Manager
Sponsor Group Manager, Highways
3. Amendments and Review Strategy
All Corrective Action/Improvement Requests (CAIRs) suggesting changes will be
acknowledged by the document owner.
Comments Frequency
Amendments
(of a minor
nature)
Updates to the Application Pack will be incorporated as
soon as practicable.
As required
Review (major
changes)
Amendments fundamentally changing the content or
structure of the document will be incorporated as soon as
practicable. They may require coordinating with the review
team timetable.
Annually
Notification All users that have registered their interest by email to
[email protected] will be advised by email of
amendments and updates.
Immediately
4. Other Information (at Document Owners discretion)
There will be occasions, depending on the subject matter, when amendments will
need to be worked through by the Review Team before the amendment is
actioned. This may cause some variation to the above noted time frames.
5. Distribution
Copies of this Document Management Plan are included in the document.
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Prequalification for Physical Works Application Pack
Issue 1Revision 9, October 2013
Section 1 - Guidelines for Completing Registration Application
1.1 Introduction
1.1.1 The Highways group of the NZ Transport Agency (NZTA) is continuously inviting
Contractors to register their interest in pre-qualifying for Physical Works Contracts
1.1.2 Prequalification is a joint NZTA / industry initiative aimed at simplifying the
tendering process and reducing tendering costs. It is an alternative procedure to
what would normally be let under the Lowest Price Conforming or Price Quality
Methods.
1.1.3 The prequalification system was originally developed as a trial for the South Island
in 2003. This was subsequently extended to the North Island. In 2007 the
system was accepted as a permanent system, and its trial status removed. Today
over 110 suppliers are registered with the Prequalification System.
1.1.4 It should be noted that Prequalification is about the skills and experience of the
company not individuals within the company.
1.1.5 The Prequalification process consists of Contractors being evaluated over a range
of quality criteria and then being registered for specific types and sizes of work.
NZTA tenders using Prequalification will specify a minimum Prequalification level
and only Contractors who are prequalified to at least the specified level will be
able to submit a tender.
1.1.6 Under Prequalification, low risk routine projects will be awarded to the Prequalified
Contractor with the lowest price. Non-price attributes will not be required. For
more complex, higher risk projects, tenderers may be asked to provide some
project-specific non-price attribute information. The Prequalified Contractor will
then be evaluated using the Price Quality Method (Simple or Special).
1.1.7 Successful Contractors will be monitored for compliance against their
Prequalification level. Depending on performance, a Contractor may retain their
existing Prequalification level, or be moved to a lower level. Contractors can apply
for a higher level at any stage.
1.2 Communications on Applications
1.2.1 All communications between NZTA and applicants must be in writing.
1.2.2 Upon receipt of the Application Pack, the Contractor shall provide NZTA with the
name and contact details of the person that NZTA can communicate with during
the application period (the applicant’s nominated person).
1.2.3 All queries should be addressed to:
The Prequalification Manager
NZ Transport Agency
Victoria Arcade
44 Victoria Street
Private Bag 6995
Wellington 6141
Email: [email protected]
1.2.4 NZTA will endeavor to respond to all queries within five (5) working days of
receiving them.
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1.3 General Application Details
1.3.1 The application must be submitted in one envelope and addressed to:
The Tender Secretary
National Office
NZ Transport Agency
Private Bag 6995
Wellington 6141
1.3.2 Faxed or e-mailed applications will not be accepted. However, in order to process
the application sooner, it is NZTA’s preference that a soft copy of the application
be enclosed together with the hard copy.
1.3.3 One Prequalification application only is allowed for each company.
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1.4 Procedure for Completing Registration Application
Step 1 – Prequalification Procedure
Read and become familiar with the Prequalification procedures in this Application
Pack
Step 2 – Work Category
Identify which of the four work categories (described in detail in Section 10) cover
the type of NZTA work that your company may tender for. The four work
categories are:
1. Routine & Minor Works
2. Surfacing
3. Bridge Construction
4. Construction
Step 3 – Classification Level
Refer to Section 3 and Appendix 2 – Quality Compliance Checklist of this
Application Pack.
Decide on the Classification Level (A, B, C, D) that you meet and are able to
provide the appropriate supporting documentation for.
Complete a separate Quality Compliance Checklist for each work category you
identified at Step 2 above.
You must meet or exceed the Classification Level Input Requirements for all
the seven performance criteria for the work category you are applying for.
The seven performance criteria are:
1. Quality Assurance
2. Traffic Management
3. Environmental Management
4. Health and Safety
5. Project Management
6. Quantum or Size of Work
7. Co-operative and Pro-active Partnering
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Step 4 – Quality Compliance Checklist Input Requirement
Complete the Quality Compliance Checklist from Appendix 2, noting the input
requirement for the Classification Level(s) being applied for.
Requirement Performance Criteria Attachment
Quality Assurance
Attach a copy of
certificate
Traffic Management
Health and Safety
Complete the “Health
and Safety Management
Information” form and
provide ORS Rating
Level B: 3 yrs experience
Level A: 5 yrs experience
Project Management
Provide 2 page CV for
Project Management and
Technical Staff
Levels C & D: 1 reference
letter per category
Levels A & B: 3 reference
letters per category
Environmental
Management
Reference letters
completed and signed by
Supervising Authority
All Levels: 3 reference
letters per category
Quantum or Size of
Work
Levels A, B & C: 1 reference
letter per category
Cooperation and
Proactive Partnering
Complete a separate Quality Compliance Checklist (QCC) for each Work Category
applied for. Any common enclosures need not be supplicated but their location
should be noted on the QCC so that the assessor can find them.
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Step 5 – Application Form
Complete the Application Form (Appendix 1)
Information which should be attached to the Application Form includes:
Completed Quality Compliance Checklist(s)
All supporting information
Organisational structure (chart of management and technical personnel)
Curriculum vitae of all key Personnel
Resources - list plant and staff as at date of application.
Information supplied will be held in a database kept on each company.
In the event of changes to your company (refer to Section 2.6 “Company
Changes”) a comparison between the old and new company details can be
made.
You are required to notify NZTA of company changes at the time of the
change.
Step 6 – Submissions of Application
Forward the completed Application Form and all attachments to the Tender
Secretary National Office in Wellington, as detailed in Section 1.3 of this
Application Pack.
Each company can make only one application.
Faxed submissions will not be accepted.
All questions should be directed to the Prequalification Manager.
Applications will be processed on a first come first served basis.
You should receive notification of the result of your application within 10
weeks.
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Section 2 - Applying for Registration
2.1 Confirming letters required for Quality Compliance Checklist (QCC)
2.1.1 Where more than one confirming letter is required for a Performance Criteria, each
letter shall be signed by a different person.
2.1.2 Referees are required to confirm that they do not have or have had financial
association or conflict of interest with the contractor. A subsidiary, sister company
or TLA ownership (e.g. CCOs) would constitute a conflict of interest. The formats
for these letters are given in Appendices 4, 5 and 6.
2.2 Determining Classification Level
2.2.1 The Quality Compliance Checklist (QCC) details the requirements for each
classification level. A Contractor must meet all the requirements described in the
QCC to be eligible for a particular level. If any requirement is not met the
Contractor can only be registered at the Classification Level of the lowest
requirement they are able to meet.
2.2.2 A Contractor who is registered for Level A is automatically qualified for lower
classification levels (B, C and D)
2.3 Additional Information Required
2.3.1 Contractors need to include the following additional information with their
application:
Quality Compliance Checklists (QCC)– include completed QCC for each work
category, together with all input requirements detailed on the QCC (i.e.
confirming letters, copies of certificates, registrations to accredited
management systems (where applicable).
Organisational Structure– provide a chart detailing all management and key
personnel
Curriculum Vitae of all key personnel– provide CVs of key management and
technical personnel
Resources– list all relevant plant (with year of manufacture) and total staff
employed. Also, indicate whether it is owned or rented by the Contractor.
2.4 Trading Divisions
2.4.1 Any organisation that is operating as a trading division of a company must be
separately prequalified to be able to tender under their own name.
2.5 Updating the Register of Prequalified Contractors
2.5.1 NZTA will endeavor to update the Prequalification Register within one (1) week of
the following dates: 31 January, 30 April, 31 July, and 31 October for applications
assessed in the previous quarter.
2.5.2 The Register of Prequalified Contractors may be updated outside these dates in
exceptional circumstances, in which case all Prequalified Contractors who have
submitted email contact details will be notified by email of the change to the
register.
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2.6 Company Changes
2.6.1 When a Contracting company is dissolved, taken over, changes their financial or
technical capacity, changes ownership or holding, or changes their core business,
they must advise the Prequalification Evaluation Team immediately via email
2.6.2 The PET will advise what action the Contractor is required to take, to ensure their
Prequalification is retained. This may involve continuing with the present
registration or applying for revised registration. In the latter case, the Contractor
must complete a full submission similar to a new or original application. This can
be carried out at the next available registration period.
2.7 Change of Classification Level
2.7.1 For any company or companies (e.g. joint ventures) that are already prequalified
and wish to move to a higher level or to a different work category outside the set
registration periods, they must apply to the PET with the necessary Letters of
Confirmations for that level(s) and category(s).
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Section 3 – Prequalification Classification
3.1 Basis for Classification
3.1.1 The Prequalification system classifies Contractors according to their ability to meet
specified quality levels within each of four (4) physical works categories.
3.2 Classification Levels
3.2.1 Each work category has four possible quality levels, where A is the highest and D
is the lowest, to give the following 16 Prequalification Classification Levels:
Classification Level
Work Categories A B C D
1. Routine & Minor Works 1A
*
1B 1C 1D
2. Surfacing 2A 2B 2C 2D
3. Bridge Construction 3A 3B 3C 3D
4. Construction 4A 4B 4C 4D
Level A Need the highest Quality Management System to ISO 9000
Technically complex requiring specialist appreciation and understanding
Involve full partnering and co-operation with all parties
Complex and sensitive Environmental Management issues
Are considered high risk
Capable resources and experience to carry out projects usually over $5.0
Million (indicative only)
Level B Quality Management System having certification to QEST and TNZ:TQS1
and evidence of working towards ISO 9000 certification
Technically complex requiring technical appreciation and understanding
Limited surveillance required and the contractor adheres to the principles
of partnering
Complex Environmental Management issues
Are considered medium to high risk
Capable resources and experience to carry out projects estimated at
between $2.5 and $5.0 Million (indicative only)
Level C Quality Management System that provides current certification to QEST and
TNZ: TQS1
Not technically complex but requiring technical appreciation and
understanding
Minimum surveillance on co-operation and pro-active partnering
Simple Environmental Management issues
Are considered low to medium risk
Capable resources and experience to carry out projects estimated at
between $0.5 and $2.5 Million (indicative only)
Level D Need only a simple level of quality control
Technically simple, routine or repetitive
Minor levels of surveillance and support
Does not involve sensitive Environmental Management issues
Are considered low risk
Capable resources and experience to carry out projects usually less than $0.5
Million
* Contractor needs to be directly responsible for the delivery of activities or have experience as a Prime Contractor
responsible for the delivery of activities included in this work category
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Section 4 - Definition of Performance Criteria
4.1 Performance determines Classification
4.1.1 NZTA has seven (7) performance Criteria of Physical Works Contracts that
Contractors are required to meet.
4.2 Performance Criteria
4.2.1 Contractors are required to supply information with their application under the
following Performance Criteria:
Quality Assurance
Traffic Management
Environmental Management
Health and Safety
Project Management
Quantum or Size of Work
Co-operation and Pro-active Partnering.
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Section 5 – Assessment of Registration Application
5.1 Assessment Process
5.1.1 The following outlines the assessment process for a Prequalification application:
TENDER SECRETARY
PREQUALIFICATION
MANAGER
The Contractor submits Prequalification Application
documents to the Tender Secretary, National Office
(TSNO).
The TSNO checks the application for completeness
and completes the Prequal Form 1 before scanning
it into the Document Management (DM) system. The
application is then sent to the Regional Primary
Assessor for evaluation.
The TSNO informs the Prequalification Manager via
email of the application.
REGIONAL PRIMARY
ASSESSOR (RPA)
The RPA assesses the application received from the
TSNO.
Evaluates information in documents, checks
referees and if information is consistent with
his/her knowledge of the Contractor.
Completes, scans and emails the checklist to the
Prequalification Evaluation Team.
PREQUALIFICATION
EVALUATION TEAM (PET)
PREQUALFICATION
MANAGER
The PET reviews comments from RPA and either
approves/rejects/downgrades the application
PET notifies the Prequalification Review Committee
of decisions made on applications received.
Prequalification Manager prepares Prequalification
Certificate upon receipt of advice from the PET.
PREQUALIFICATION REVIEW
COMMITTEE (PRC)
Review decisions and appeals in relation to the
rejection or downgrading of applicants.
Decide on the treatment of Prequalified Suppliers
subjected to a Performance Review.
5.2 Time taken to process application
5.2.1 Assessment process will be completed within 10 weeks from the date of receipt of
the application, subject to the information provided being complete and accurate.
An incomplete application may cause delays beyond the stipulated time.
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5.3 Updating of Prequalification Register
5.3.1 Submission of a Prequalification Application can be made at anytime. However,
the Register of Prequalified Contractors will only be updated quarterly (31 Jan, 30
April, 31 July and 31 Oct). E.g. a Contractor whose application is approved 21 Feb,
will have its Prequalification status confirmed at the next update (31 April) of the
Register of Prequalified Contractors.
5.4 Prequalification Register
5.4.1 The current list of Prequalified Contractors and their Classification is available on
the NZTA website (www.nzta.govt.nz).
5.5 Reapplying for registration
5.5.1 Contractors are entitled to reapply for registration on condition that they are able
to provide evidence the conditions and circumstances have changed sufficiently
for the PET to reconsider their application.
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Section 6 – Appeal on PET’s Decision
6.1 Period to appeal PET’s decision
6.1.1 Within 14 days of notification from the Prequalification Evaluation Team to either
downgrade or reject a Prequalification application, the Contractor may submit a
Letter of Appeal (with supporting documents) for the Prequalification Review
Committee’s consideration to:
The Prequalification Manager
Prequalification Review Committee
NZ Transport Agency
Private Bag 6995
Wellington 6141
6.2 Additional information
6.2.1 The Prequalification Review Committee will review any additional information
provided by the applicant and make a ruling on the Contractor’s appeal.
6.3 Final decision
6.3.1 The decision of the Prequalification Review Committee will be final.
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Section 7 – Review of Contractor Project Performance
7.1 Overview
7.1.1 The Prequalification Evaluation Team (PET) will use the NZTA Project Manager
generated Interim and Final PACE reports to monitor the performance of
Prequalified Contractors.
7.2 Inadequate performance
7.2.1 If the total score in a Pace Report (Interim or Final) for any of the 4 PACE main
Criteria Categories (Management Production, Health and Safety or
Administration) average 40% or less, a performance review will be undertaken.
In addition the PET, in discussion with the NZTA Project Manager, will make a
decision on whether a performance review is necessary when:
3 or more (in total) of the individual PACE criteria are 40% or less, or
2 or more in any one category are 40% or less
7.3 Performance review
7.3.1 The PET will initiate a Performance Review in consultation with the Project
Manager, supervising consultant and the Contractor. The PET will prepare a report
covering the Contractor’s performance and make a recommendation to
Prequalification Review Committee (PRC) within 4 weeks, regarding the continuing
Prequalification registration status of that Contractor.
7.3.2 The PRC will advise the Contractor in writing of the outcome of the performance
review.
7.4 Penalties for inadequate performance
7.4.1 Penalties for inadequate performance can apply to any or all NZTA Regions and
involve any of the following:
Warning: any recurrence will lead to automatic suspension.
Downgrading: Supplier downgraded and required to re-submit application to
reverse downgrading.
Suspension: Prequalification withdrawn for a set period.
Rescind registration: Prequalification withdrawn for a set period and
application must be resubmitted.
Evidence: Suppliers may be asked to demonstrate the remedial actions taken
to improve in the specific area of inadequate performance.
7.5 Review of registration / classification
7.5.1 The PRC has the right to review any registration/classification at any time.
7.6 Appeal
7.6.1 The Contractor has 14 calendar days to appeal the PRC decision.
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Section 8 – Review of Contractor Safety Performance
8.1 Overview
8.1.1 The Prequalification Evaluation Team (PET) will use NZTA’s Operator Rating System
(ORS) ratings to monitor the safety performance of Prequalified Contractors over a
given 24 month timeframe (reviews will be carried out 6 monthly). Contractors
must hold a minimum 4-star Rating to be prequalified.
8.2 Inadequate performance
8.2.1 If the Star Rating drops a first notification will result in an automatic warning letter
and a possible follow up visit by NZTA Transport Officers. The Contractor will
then be required to demonstrate improvement within 6-months following issue of
the warning letter.
8.3 Performance review
8.3.1 The PET will initiate a Performance Review in consultation with Access and Use and
the Contractor if no improvement is demonstrated within a 12-month period
following issue of the warning letter. The PET will prepare a report covering the
Contractor’s performance and make a recommendation to Prequalification Review
Committee (PRC) within 4 weeks, regarding the continuing Prequalification
registration status of that Contractor.
8.3.2 The PRC will advise the Contractor in writing of the outcome of the performance
review.
8.4 Penalties for inadequate performance
8.4.1 Penalties for inadequate performance can apply to any or all NZTA Regions and
involve any of the following:
Suspension: Prequalification withdrawn for a set period.
Rescind registration: Prequalification withdrawn for a set period and
application must be resubmitted.
Evidence: Suppliers may be asked to demonstrate the remedial actions taken
to improve in the specific area of inadequate performance.
8.5 Appeal
8.5.1 The Contractor has 14 calendar days to appeal the PRC decision.
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Section 9 – Renewal of Prequalification Registration
9.1 Registration cycle
9.1.1 Registration for Prequalification has a two-year life span with a maximum validity
until 30 June the next odd year.
9.2 Renewal of registration
9.2.1 12 weeks prior to end of the current registration period NZTA will write to all
Prequalified Contractors to invite them to renew their registration based on the
current status of classification.
9.2.2 This is done by re-confirming basic details about the Prequalified Contractors and
in most circumstances will not require a new Prequalification Application to be
provided.
9.3 Changes to classification level
9.3.1 Where there has been a change in the category and /or classification of the
Contractor or the Contractor intends to register for different work categories, a
new Prequalification application must be submitted by the Contractor for
evaluation and registration. The application needs to include documents for the
categories the contractor wishes to upgrade only.
9.4 Change in classification level using PACE Report
9.4.1 Where a PACE report is used by a Contractor to seek a change to their
Prequalification level, the PET will advise the Contractor on additional Quality
Compliance Inputs required. The exact requirements will be assessed on a case-
by-case basis.
9.4.2 The final approval of the change will be made by the PET.
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Section 10 – Definition of Work Categories
Projects may be categorised as one or more of the following four Work categories.
1 Routine & Minor Works
Pavement
Maintenance
Patching and repairs including potholes
Shoulder maintenance including flanking
Routine maintenance and repair of surface water channel and
subsoil drainage
Stream clearing and debris removal; to maintain water courses
through culverts
Repair minor scour in water channels and other drainage facilities
Renewal or installation of culverts with a diameter less than or
equal to 600mm.
Repair dropouts and/or slips that do not require restriction of a
traffic lane, provided they do not need urgent attention to
remove a threat to road safety or the road structure
Repair to scour, degradation or aggradations threatening roads,
bridges or other roading related structures which has
accumulated over time
Repair to any other deficiency which has developed from events
occurring over a period of time
Replacement of wearing and running course metal on unsealed
roads
Grading of unsealed roads
Traffic Services
Provision and maintenance of signs. Provision and maintenance
of road markers
Provision and maintenance of pavement markings
Operation and maintenance of traffic signals
Operation and maintenance of traffic monitoring equipment, such
as area-wide traffic control systems and CCTV
Operation and maintenance of emergency telephones on
motorways
Maintenance of guardrails and sight rails
Replacement of traffic signal and surveillance equipment with an
equivalent but state of art facility.
Carriageway
Lighting
Provision and maintenance of operation of lighting on local roads
Provision and maintenance of operation of lighting on state
highways
Provision and maintenance of operation of belisha beacons and
floodlights at pedestrian crossings
Vegetation
Control
Protection planting projects
Toe weighting of unstable slopes
Drainage installed to drain incipient slips
New works which protect existing roads from sea or river damage
Amenity/Safety
Maintenance
Snow clearing and ice control
Vegetation control
Litter collection on rural roads
Removal of, protection against, graffiti on roading structures
Removal and cleaning up crash debris and spillages (excluding
hazardous substances which are responsibility of emergency
services)
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Cleaning channels, sumps and cesspits
Traffic
Management
Provision and operation of advanced traffic management systems
(ATMS)
Provision and operation of variable message signs
Provision and operation of local area traffic management
schemes
Provision and operation of surveillance devices
Provision and operation of weighing devices
Minor Safety Small isolated geometric improvements
Intersection improvements
Traffic calming measures
Lighting improvements
Power pole relocation
Provision of guard railing
Sight benching to improve visibility
Pedestrian crossings
Stock underpasses
Formation of trailer parks
2 Surfacing
Reseals/Seal
Extension
Conventional chip reseals including second coat seals
Void filling seal coats
Texturing seals
Other approved special purpose chip seals
Asphaltic surfacing
3 Bridge Construction
Bridge
Maintenance/
Repairs
Repair of bridge retaining walls
Replacement of timber decks
Replacement of damaged or deteriorated structural members
Sand blasting and painting of structural members
Foundation protection
Bridge
Construction
Replacing bridge structure
Widening an existing bridge
New Bridge
4 Construction
Rehabilitation/
Pavement
Treatment
Removal and replacement of the existing pavement material
Rip and relay
Chemical stabilisation
Unbound granular overlays not exceeding 70mm over high spots
Treatments involving ripping and/or reshaping, including
stabilisation of the existing pavement material
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Drainage
Improvements
Repair and replacement of kerb and channel
Installation of water channels, sub-soil drainage
Renewal or installation of culverts with a diameter greater than
600mm
Routine maintenance and repair of surface water channel and
subsoil drainage
Stream clearing and debris removal; to maintain water courses
through culverts
Road
Construction
New road realignments
Regrading
Widening
Intersection Improvements
Approaches to bridge renewals
New retaining structures
Tunnels
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Glossary of Terms
Applicant The Contractor who is seeking Prequalification registration for one
or more Work Category(s) and Classification Level(s) by submitting
the documents and meeting the requirements stipulated in this
document.
Classification
Level
The Prequalification system has four Classification Levels A
through D, Level A being the highest and D the lowest
Classification Level
Group Manager The Group Manager (GM) is a NZTA manager with the appropriate
delegated powers and duties as described in NZTA’s State
Highway Control Manual. The GM is authorised to approve
contracts that exceed the maximum value delegated to Regional
Managers.
Operator Rating
System (ORS)
The ORS is a system that aims to improve the safety of heavy
vehicles on the roads by rating their compliance with safety-based
legislation.
The ORS scores range from between one and five stars based on
compliance with the following safety-related events, over a 24-
month period:
certificate of fitness inspection (CoFs)
roadside inspections
relevant traffic offences
PACE Performance Assessment by Coordinated Evaluations (PACE) is the
performance evaluation system used by NZTA to assess Physical
Works contracts and Professional Services.
The requirements of the PACE system can be downloaded for the
NZTA’s website (www.nzta.govt.nz).
Performance
Criteria
These define the quality standards required to achieve
Prequalification. There are seven Performance Criteria that the
Contractor needs to comply:
Quality Assurance
Traffic Management
Environmental Management
Health and Safety
Project Management
Quantum or Size of Work
Cooperation and Proactive Partnering
Prequalification
Certificate
The certificates issued to Contractors who have successfully
completed Prequalification registration. The certificate allows a
Contractor to tender for NZTA’s Physical Works contracts with
Prequalification requirements.
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Prequalification
Evaluation Team
(PET)
The PET consists of representatives from NZTA and the
Prequalification consultant. The PET, upon receipt of the report
from the Regional Primary Assessor (RPA), carries out checks on
the information submitted by the Contractor and, together with
the RPA’s recommendation and findings, decides on the approval
or otherwise of the Contractor’s application.
The PET also monitors the performance of Prequalified Contractors
using the Interim and Final PACE reports.
Prequalification
Manager
The person in NZTA who is responsible for the management of the
Prequalification system, and may also be a member of the PET.
Prequalification
Review Committee
(PRC)
The PRC consists of a NZTA representative, a Contractor’s
representative, and a Consultant representative.
The PRC:
Reviews appeals from Contractors whose Prequalification
application has been rejected and/or downgraded by the PET.
Decides on the PET’s recommendation on the PACE initiated
Performance Review’s of Contractors carried out pursuant to
Section 7.2 – Inadequate Performance, of this document.
Be actively involved in any dispute resolutions regarding
Prequalification, where necessary.
Prime Contractor Main contractor who has a contract with the Client for a project or
job, and has the full responsibility for its completion. A prime
contractor undertakes to perform a complete contract, and may
employ (and manage) one or more subcontractors to carry out
specific parts of the contract.
The application of the prime contractor can only apply to Work
Category 1A: Routine & Minor Works
Quality
Compliance
Checklist (QCC)
The QCC details the Performance Criteria required for each
classification level. Contractors must complete these as part of the
Prequalification registration application.
Referee A Referee shall be from the client organisation and/or the client’s
agent who has a good and creditable knowledge of the works that
the Contractor has carried out and preferably have been directly
responsible for supervising or overseeing the nominated project.
Regional Primary
Assessor (RPA)
The NZTA Project Manager appointed to receive and check the
registration applications forwarded by the Tender Secretary. The
RPA scrutinises the submission and satisfies themself that the
information provided by the Contractor is accurate in form and
content and is consistent with their knowledge of the Contractor.
Comments in this regard are then forwarded to the PET together
with the checklist.
Registration The process of seeking acceptance to become a Prequalified
Contractor by submitting an application.
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Tender Secretary
National Office
(TSNO)
The NZTA personnel with delegated authority from National Office
responsible for receiving the Prequalification Application and
setting the process in motion by sending the complete
documentation to the concerned RPA for evaluation.
NZTA NZ Transport Agency
Work Categories Contractors are classified in accordance with their expertise in
four physical work categories i.e. Routine & Minor Works,
Surfacing, Bridge Construction, and Construction.
Prequalification for Physical Works Application Pack
Issue 1Revision 9, October 2013
Appendices
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Prequalification for Physical Works Application Pack
Issue 1Revision 9, April 2013
A1 – Prequalification Application Form
Item
Information Required
Complete
(Indicate where information
attached)
Checked
by Tender
Secretary
1 Work Category and
Classification Level/s
applied for i.e. 1A, 3D etc.
2 Business name of applicant
3 Main office address
4 Postal address
5 Contact person
6 Contact telephone no., fax
and e-mail
Tel:
Fax:
Email:
7 Organisational structure
(attach)
8 Curriculum vitae of all key
personnel (attach)
9 Resources including all
plant and staff (attach)
10 QCC form (attach and
include all criteria input
requirement information
listed)
11 Name (Printed), Position in
Company,
12 Signature Date:
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A2 – Quality Compliance Checklist Input Requirements
Work Category and Classification Level Applied For: ________________
Level Performance Criteria Prequalification Classification Input
Requirement
Included
by
Applicant
Checked
by TS
Quality Assurance
D
Uses a Quality Control System
based on the TNZ: TQS 2
specification.
Provide copy of recent Quality Plan
complying with TNZ: TQS 2.
C
Uses a Quality Control System
that meets the TNZ: TQS 1
specification.
Provide current certification to QEST and
TNZ: TQS 1.
B
Uses a Quality Management
system that meets ISO 9001:
2008.
Provide current certification to QEST and
TNZ: TQS 1 and evidence of progress
towards ISO9001:2008 certification.
A
Uses quality management system
certified to relevant ISO 9000
Standard by an accredited
organisation.
Provide current certification to ISO
9001:2008 by a JAS-ANZ accredited
organisation.
Traffic Management
All
levels
Capable of meeting Level 1 of
‘COPTTM’. Code of Practice for
Temporary Traffic Management.
Provide current Level 1 Basic- Temporary
Traffic Management (TTM) certificate for site
management staff.
Environmental Management
D & C Capable of providing simple
environmental management.
Provide a confirming letter from a
supervising authority on a recently
completed project.
B & A Capable of providing complex
environmental management.
Provide confirming letters from supervising
authorities on three recently completed
projects.
Provide example of a Complex
Environmental Management Programme
prepared and operated by the applicant from
one of the three recently completed projects
Health and Safety
All
Levels
Must fully comply with the
relevant sections of the Health
and Safety in Employment Act
1992 and have a documented
Health and Safety Management
System in operation.
Complete ‘Contractor’s Health and Safety
Management Information’ form (see
Appendix 3)
All
Levels
Must fully comply with the Land
Transport Rule Operator Safety
Rating 2008 (ORS Rule). Must
hold a minimum of 4 Star under
the NZTA Operator Rating System.
Provide Transport Service Licence Number
and name it is issued under, together with
copy of current rating.
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Project Management
D
Work of a routine and repetitive
nature. Not technically
demanding.
Provide details of experience of project
management and technical staff (2 pages CV
for each staff)
C Some variation requiring technical
appreciation and understanding.
Provide details of experience of project
management and key supervisory staff (2
pages CV for each staff)
B
Technically complex requiring
technical appreciation and
understanding.
Provide details of experience of project
management and key supervisory staff, all
with at least three years’ experience (2
pages CV for each staff)
A
Technically complex requiring
specialist appreciation and
understanding.
Provide details of project management and
key supervisory staff (one of whom is an
Engineer or equivalent), all with at least five
years’ experience (provide CVs of staff)
Quantum or Size of Work
D
Has the capability, resources and
experience to carry out projects
estimated at less than $ 0.5M
Provide confirming letters from supervising
authority on three recently completed
projects.
C
Has the capability, resources and
experience to carry out projects
estimated at between $0.5M and
$2.5M
Provide confirming letters from supervising
authority on three recently completed
projects.
B
Has the capability, resources and
experience to carry out projects
estimated at between $2.5M and
$5.0M
Provide confirming letters from supervising
authority for three recently completed
projects.
A
Has the capability, resources and
the experience to carry out
projects estimated at more than
$5.0M.
Provide confirming letters from supervising
authority for three recently completed
projects.
Co-operation & Pro-Active Partnering
D Surveillance and support required.
Provide details of successful completion of
recent project demonstrating co-operation
with client/engineer.
C
Some surveillance required, pro-
active co-operation with all
parties.
Provide confirming letter from supervising
authority on recently completed project.
B
Very limited surveillance required,
adheres to the principles of
partnering.
Provide confirming letter from supervising
authority on recently completed project.
A
Experienced in the establishment
and practice of a Full Partnering
Charter, and co-operates fully
with all parties (or demonstrates
capability to achieve this).
Provide confirming letter from supervising
authority on recently completed project.
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A3 – Contractor’s Health and Safety Management Information
To facilitate legislative compliance, a safe working environment and industry best
practice, NZTA needs to demonstrate that it has taken “all practicable steps” to ensure
that contractors have implemented a systematic approach to safety management
practices, and that they have appropriately trained employees.
NZTA requires all contractors to meet or exceed the requirements of ACC Work Safety
Management Practices (WSMP) or Partnership Programme at Secondary or Tertiary levels,
and be accredited with a H&S system acceptable to NZTA, and meet or exceed the
requirements of industry best practice.
The Contractor shall complete and provide copies of the documents referred to in
the form below, and submit with their application.
Applications that do not include the information required below may be deemed to be
non-conforming.
Contractor’s Health and Safety Management Requirements
1. Please confirm which of NZTA’s approved H&S providers you are registered with:
QEST (attach copy of current audit certificate); or
None of the above
If you answered “None of the above” go to Section 2, otherwise go to Section 4.
2. Please confirm which ACC WSMP or Partnership Programme you are registered with:
ACC Secondary Level (attach copy of current audit certificate); or
ACC Tertiary Level (attach copy of current audit certificate); or
None of the above
If you answered “None of the above” go to Section 3, otherwise go to Section 4.
3. Please confirm which H&S system acceptable to NZTA you are registered with:
Accredited H&S Systems in conformance with AS/NZS 4801 or OHSAS 18001 scoped to
roading, construction, maintenance and other works that will be performed by your company
on this contract:
AS/NZS 4801: In order to meet or exceed the requirements of ACC WSMP or
Partnership Programme at Secondary or Tertiary levels, AS/NZS4801 must be extended
to include management of subcontractors (attach copy of current “evidence-based”
audit certificate); or
OHSAS 18001: In order to meet or exceed the requirements of ACC WSMP or
Partnership Programme at Secondary or Tertiary levels, OHSAS 18001 must be
extended to include New Zealand’s legal requirements for employee participation.
(attach copy of current “evidence-based” audit certificate)
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Prequalification for Physical Works Application Pack
Issue 1Revision 9, April 2013
Declaration
4. I confirm our organisation will have H&S processes and systems in place for this contract and
that our systems or system provider are committed to working towards industry best practice
to continuously improve H&S outcomes within the civil sector. I authorise NZTA to discuss
and verify our organisation’s stated H&S record with independent bodies (e.g. ACC, Dept of
Labour, QEST).
Signed:
Date:
Name:
Position:
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A4 – Template for Environmental Management Confirming Letter
(QCC)
The Prequalification Manager
NZ Transport Agency
Victoria Arcade
44 Victoria Street
Private Bag 6995
Wellington 6141
…………….(Date)
PREQUALIFICATION FOR PHYSICAL WORKS
Environmental Management Performance Criteria
Prequalification Application by ……………..(Name of Contractor) for Work Category….
Further to the NZTA Prequalification process, I have been asked to confirm in my opinion
that. ……………(Name of Contractor) has satisfactorily completed the. (Name of project
and value) in. ……(year), and in my view is capable of providing
Simple (Level C and D) environmental management
Complex (Level A and B) environmental management
(Strike out the item above that does not apply).
An adequate Contractor’s Environmental Management Plan was provided and compliance
with all conditions was achieved (strike out if not appropriate).
I also confirm that I have or have had no financial association with this Contractor, and in
my opinion no conflict of interest exists.
Yours faithfully,
(Name)
Title (Supervising Authority)
Address:
Contact No.:
E-Mail:
Note: Levels A and B require three confirming letters written by three different referees (who should
be from the client organisation and/or the client’s agent and must have been directly responsible for
supervising or overseeing the nominated project) relating to three different projects. Levels C and D
require one confirming letter, for Environmental Management. The confirming letter(s) are to be
included in the Prequalification application.
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Prequalification for Physical Works Application Pack
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A5 – Template for Quantum or Size of Work Confirming Letter
(QCC)
The Prequalification Manager
NZ Transport Agency
Victoria Arcade
44 Victoria Street
Private Bag 6995
Wellington 6141
…………….(Date)
PREQUALIFICATION FOR PHYSICAL WORKS
Quantum or Size of Work for Work Category Performance Criteria
Prequalification Application by ……………..(Name of Contractor) for Work Category….
Further to the NZTA Prequalification process, I have been asked to confirm in my opinion
that. ……………(Name of Contractor) has satisfactorily completed the ………..(Name of
project and value) in. ……(year).
In my view…………………….(name of Contractor) have the capability, resources and
experience to carry out projects in the Work Category:………………for the following
value:(strike out all except one):
Level D less than $0.5M
Level C between $0.5M and $2.5M
Level B between $2.5M and $5.0M
Level A more than $5.0M.
I also confirm that I have or have had no financial association with this Contractor, and in
my opinion no conflict of interest exists.
Yours faithfully
(Name)
Title (Supervising Authority)
Address:
Contact No.:
E-Mail:
Note: All levels require three confirming letters written by three different referees (who should be
from the client organization and/or the client’s agent and must have been directly responsible for
supervising or overseeing the nominated project) relating to three different projects are required for
Quantum and Size of Work. These confirming letters are to be included in the Prequalification
application
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A6 – Template for Cooperation and Proactive Partnering
Confirming Letter (QCC)
The Prequalification Manager
NZ Transport Agency
Victoria Arcade
44 Victoria Street
Private Bag 6995
Wellington 6141
………………(Date)
PREQUALIFICATION FOR PHYSICAL WORKS
Co-operation and Pro-active Partnering Performance Criteria
Prequalification Application by …………………..(Name of Contractor) for Work
Category….
Further to the NZTA Prequalification process, I have been asked to confirm in my opinion
that…..………………….(name of Contractor) has satisfactorily completed
the……………………………..(name of project and value) in. …… (Year), and in my view has
the capability for
Co-operation and Pro-active Partnering in that they require minimum surveillance
and promote pro-active co-operation with all parties (level C)
Co-operation and Pro-active Partnering in that they require very limited surveillance
and adhere to the principles of partnering (level B)
Co-operation and Pro-active Partnering in that they are capable of establishing and
practicing under a full Partnering Charter and co-operating fully with all parties
(level A)
(Strike out the items above that do not apply).
I also confirm that I have or have had no financial association with this Contractor, and in
my opinion no conflict of interest exists.
Yours faithfully,
(Name)
Title (Supervising Authority)
Address:
Contact No.:
E-Mail:
Note: Levels A B and C require one confirming letter written by a referee (who should be from the
client organization and/or the client’s agent and must have been directly responsible for supervising
or overseeing the nominated project), for Co-operation and Pro-active Partnering. The confirming
letter(s) are to be included in the Prequalification application.