national prequalification system – inclusion of specialist ... · once prequalified by one road...

National Prequalification System – Inclusion of Specialist Precast Concrete Categories

Prepared By Elisa Casey

Publisher Austroads Ltd. Level 9, 287 Elizabeth Street Sydney NSW 2000 Australia

Phone: +61 2 9264 7088 [email protected] www.austroads.com.au

Project Manager

Michael Swainston

Abstract This report presents the outcomes of the harmonisation work undertaken by Austroads to develop new specialist precast concrete product categories for inclusion in the Austroads National Prequalification System for Civil (Road and Bridge) Construction Contracts. Road agencies that adopt these categories will be able to offer mutual recognition arrangements to prequalified contractors subject to specified restrictions and conditions.

About Austroads

Austroads’ purpose is to: • promote improved Australian and New Zealand

transport outcomes • provide expert technical input to national policy

development on road and road transport issues

• promote improved practice and capability by road agencies.

• promote consistency in road and road agency operations.

Austroads membership comprises: • Roads and Maritime Services New South

Wales • Roads Corporation Victoria • Department of Transport and Main Roads

Queensland • Main Roads Western Australia • Department of Planning, Transport and

Infrastructure South Australia • Department of State Growth Tasmania • Department of Transport Northern Territory • Department of Territory and Municipal Services

Australian Capital Territory • Commonwealth Department of Infrastructure

and Regional Development • Australian Local Government Association • New Zealand Transport Agency.

The success of Austroads is derived from the collaboration of member organisations and others in the road industry. It aims to be the Australasian leader in providing high quality information, advice and fostering research in the road transport sector.

Keywords

Prequalification, harmonisation, contract, mutual recognition, prequalification system, national prequalification system for civil (road and bridge) construction contracts.

Austroads Project No. TS1807

Published November 2014

Pages 114

© Austroads Ltd 2014

This work is copyright. Apart from any use as permitted under the Copyright Act 1968, no part may be reproduced by any process without the prior written permission of Austroads.

This report has been prepared for Austroads as part of its work to promote improved Australian and New Zealand transport outcomes by providing expert technical input on road and road transport issues.

Individual road agencies will determine their response to this report following consideration of their legislative or administrative arrangements, available funding, as well as local circumstances and priorities.

Austroads believes this publication to be correct at the time of printing and does not accept responsibility for any consequences arising from the use of information herein. Readers should rely on their own skill and judgement to apply information to particular issues.


Austroads 2014 | page i

Summary

Currently, various state and territory road agencies locally administer the Austroads National Prequalification System for Civil (Road and Bridge) Construction Contracts (‘National Prequalification System’). Under the National Prequalification System, contracting entities wishing to prequalify in road and bridge construction categories are assessed and managed using identical criteria and in line with national rules and procedures. Once prequalified by one road agency participating in the administration of the National Prequalification System, an entity can seek recognition of its prequalification status from other such agencies.

Some state and territory road agencies also prequalify entities in specialist areas related to road and bridge construction. Specialist categories are currently excluded from the National Prequalification System and are managed by those agencies either as local ‘add-ons’ to the system, or under separate jurisdictional schemes. As a consequence, the specialist categories used across the jurisdictions are not consistent, including with respect to requirements that must be met by applicants and prequalified contractors. Also, specialist contracting entities are not able to access the mutual recognition framework under the National Prequalification System, which means those wishing to work across jurisdictional boundaries must currently lodge separate prequalification applications with each relevant road agency. This is administratively cumbersome and results in additional, unnecessary cost to both contracting entities and assessing agencies.

In 2012, the National Prequalification System Management Committee identified a number of specialist areas where the development of new national categories could be beneficial, including:

• precast concrete products

• steel fabrication.

This Austroads project aims to define proposed new specialist categories in each of these two areas and explain how they can be incorporated into the National Prequalification System.

Full details of the proposed new specialist categories are presented in two separate draft Research Reports (including this report), each of which address one of the nominated specialist areas in detail. The reports include a thorough description of the proposed new categories, background to their development, the minimum requirements that are proposed to be met for prequalification, the mutual recognition framework, and how the categories (and contractors prequalified in them) will be managed at the national level.

Both reports will be released for a period of formal industry consultation to ensure that relevant contracting entities, industry groups and other stakeholders are able to provide input into the proposed national specialist categories before they are finalised and implemented by the various agencies that choose to adopt them.

This report focuses specifically on the area of precast concrete products and presents four separate categories for potential inclusion into the National Prequalification System, including a number of appendices containing draft system documentation (e.g. guidelines, application form, etc.). The report will be updated to take into account outcomes of the industry consultation process and finalised following formal endorsement from Austroads.


Austroads 2014 | page ii

Acknowledgements

Austroads acknowledges the role and contribution of the project Working Group in providing guidance and information for the preparation of this report. The project Working Group comprised the following members:

Mr Michael Swainston Department of Transport and Main Roads, Queensland

(Project Manager)

Mr Wayne Roberts Department of Transport and Main Roads, Queensland

Mr Paul Adams Department of Transport and Main Roads, Queensland

Ms Linda Ziebell Department of Transport and Main Roads, Queensland

Mr Peter Bamford Roads and Maritime Services, New South Wales

Mr Brian Bestwick Roads and Maritime Services, New South Wales

Mr Houman Hatamian Roads and Maritime Services, New South Wales

Mr Hamid Fatemi Roads and Maritime Services, New South Wales

Mr Kumar Ponnampalam Roads and Maritime Services, New South Wales

Mr Narendra Tripathi Roads and Maritime Services, New South Wales

Mr Richard Edwards Department of Transport, Planning and Infrastructure, South Australia

Mr John Houghton Main Roads, Western Australia

Mr Neville Schmidt VicRoads, Victoria

Mr Andrew Walker VicRoads, Victoria

Ms Lee-Anne Aldwell Commerce and Works Directorate, Australian Capital Territory

Ms Cindy-Lee McDonald Department of Construction, Northern Territory

Ms Annette Williams Department of Business, Northern Territory

Ms Genevieve Rider Department of State Growth, Tasmania

Mr Stephen Ward Contractor Accreditation Ltd.


Austroads 2014 | page iii

Contents

1. Introduction ............................................................................................................................................... 1 1.1 Definitions ................................................................................................................................................... 1 1.2 What is Prequalification? ............................................................................................................................ 1 1.3 Austroads National Prequalification System ............................................................................................... 2

1.3.1 Development .................................................................................................................................. 2 1.3.2 Implementation ............................................................................................................................... 3 1.3.3 Administration and Governance ..................................................................................................... 3 1.3.4 Inclusion of Specialist Categories .................................................................................................. 4

1.4 Project Overview ......................................................................................................................................... 4 1.5 Project Reports ........................................................................................................................................... 5

1.5.1 Overview ........................................................................................................................................ 5 1.5.2 Structure of This Report ................................................................................................................. 5

2. Project Method .......................................................................................................................................... 6 2.1 Establishment of Project Working Group .................................................................................................... 6 2.2 Adoption of Guiding Principles .................................................................................................................... 6 2.3 Development and Implementation of Specialist Categories ....................................................................... 8

2.3.1 Step 1: Review and Compare Existing Specialist Categories ....................................................... 8 2.3.2 Step 2: Harmonise and Develop Draft National Categories .......................................................... 9 2.3.3 Step 3: Document Proposed National Prequalification System Expansion and Consult............... 9 2.3.4 Step 4: Finalise National Prequalification System Expansion Framework and

Supporting Documentation ............................................................................................................. 9 2.3.5 Step 5: Adoption of New Categories by Participating Authorities ................................................ 10 2.3.6 Step 6: Transition of Currently Prequalified Entities .................................................................... 10 2.3.7 Step 7: Ongoing Administration and Governance........................................................................ 10

3. Harmonisation and Category Development ......................................................................................... 11 3.1 Review and Comparison of Existing Systems/Schemes .......................................................................... 11

3.1.1 Characteristics of System/Scheme Frameworks ......................................................................... 11 3.1.2 Characteristics of Application Requirements ............................................................................... 12

3.2 Harmonisation Focus Areas...................................................................................................................... 14 3.2.1 Category Descriptors ................................................................................................................... 14 3.2.2 Eligible Entities ............................................................................................................................. 14 3.2.3 Site Assessments ......................................................................................................................... 15 3.2.4 Financial Capacity ........................................................................................................................ 16 3.2.5 Certification of Management Systems ......................................................................................... 17

4. Proposed National Precast Concrete Categories ................................................................................ 18 4.1 Overview ................................................................................................................................................... 18

4.1.1 Category Details ........................................................................................................................... 18 4.1.2 Objectives ..................................................................................................................................... 19 4.1.3 Scope and Applicability ................................................................................................................ 19 4.1.4 Administration............................................................................................................................... 19


Austroads 2014 | page iv

4.2 Prequalification Status and Recognition Arrangements ........................................................................... 20 4.2.1 Prequalification Status Types ....................................................................................................... 20 4.2.2 Performance Levels ..................................................................................................................... 20 4.2.3 Mutual Recognition Framework ................................................................................................... 21

4.3 Eligibility Criteria ....................................................................................................................................... 23 4.4 Assessment Criteria .................................................................................................................................. 25

4.4.1 Financial Capacity ........................................................................................................................ 26 4.4.2 Management Systems ................................................................................................................. 26

4.5 Assessment Process ................................................................................................................................ 26 4.5.1 Desktop Assessment ................................................................................................................... 26 4.5.2 Site Assessment .......................................................................................................................... 27

4.6 Maintenance of Prequalification Status .................................................................................................... 28 4.6.1 Responsibilities of Prequalified Contractors ................................................................................ 28 4.6.2 Periodic Reviews .......................................................................................................................... 28 4.6.3 Performance Monitoring and Reporting ....................................................................................... 28

4.7 Upgrading Prequalification Status ............................................................................................................ 29 4.8 Sanctions, Reviews and Appeals ............................................................................................................. 29

4.8.1 Sanctions ...................................................................................................................................... 29 4.8.2 Reviews and Appeals ................................................................................................................... 31

4.9 Prequalified Tendering .............................................................................................................................. 31

5. Transition and Implementation.............................................................................................................. 33 5.1 Inclusion of New Specialist Categories into the National Prequalification System ................................... 33 5.2 Transition of Currently Prequalified Entities .............................................................................................. 33 5.3 Transition and Implementation Arrangements .......................................................................................... 33

6. Conclusions and Recommendations .................................................................................................... 35

References ...................................................................................................................................................... 36 Appendix A Characteristics of Current Prequalification Systems and Schemes ............................... 37 Appendix B Prequalification Guidelines .................................................................................................. 60 Appendix C Prequalification Application Form ...................................................................................... 78 Appendix D Registration Form for Mutual Recognition ......................................................................... 90 Appendix E Performance Report ............................................................................................................. 93 Appendix F Performance Report Scoring Guide .................................................................................. 102 Tables Table 3.1: National Prequalification System financial levels ...................................................................... 16 Table 4.1: National category descriptors ................................................................................................... 18 Table 4.2: Prequalification status types ..................................................................................................... 21 Table 4.3: Entities eligible for prequalification ............................................................................................ 24 Table 4.4: Assessment criteria (and sub-criteria) for prequalification ........................................................ 25 Figures Figure 1.1: Generic prequalification, tender and contract delivery process .................................................. 1 Figure 2.1: Approach to category development and implementation ............................................................ 8 Figure 4.1: Overview of the National Prequalification System and its relationship to tendering ................. 23 Figure 4.2: Assessment process (multi-jurisdiction applications) ............................................................... 27 Figure 4.3: Sanctions process ..................................................................................................................... 30 Figure 4.4: Review and appeals process .................................................................................................... 31


Austroads 2014 | page 1

1. Introduction

Definitions 1.1

In this report, unless the context precludes it, the following terms have the following meanings:

• National Prequalification System means the Austroads National Prequalification System for Civil (Road and Bridge) Construction Contracts implemented by participating authorities in January 2011

• participating authority refers to an Australian state or territory road agency that has adopted the National Prequalification System

• prequalified contractor refers to an applicant that has been awarded prequalification under the National Prequalification System

• tender includes quotation, proposal or registration/expression of interest.

What is Prequalification? 1.2

Prequalification is a strategy used by Australian state and territory road agencies to screen potential contractors for works and services on the basis of their organisational, technical and financial capacity/capability and past experience.

Successfully achieving prequalification is not a guarantee of contract work – rather, it is a precursor to participation in the delivery of road agency contracts (whether as a tenderer or as a supplier of products to a contractor), as broadly illustrated in Figure 1.1. In other words, prequalification is used to assess and classify entities that may be eligible to participate in future procurement processes for which prequalification in a particular category or level is a stated requirement.

Figure 1.1: Generic prequalification, tender and contract delivery process

Source: Based on Austroads (2010).

Submission of prequalification

application

Prequalification assessment

Prequalification award

Request for tender

Submission of tender

Contract award Contract delivery and performance monitoring

Tender assessment

Notification of local

requirements

START

Supply

product



The use of prequalification is considered beneficial for road agencies as it helps mitigate contractual risk by ensuring contracted projects are only delivered by entities that have been appropriately vetted. Prequalification is also broadly supported by industry as it has the effect of reducing the amount of information to be provided by respondents to a tender process.

Austroads National Prequalification System 1.3

Development 1.3.1

Prequalification systems or schemes were adopted by the various state and territory road agencies in the 1980s and have been progressively reviewed, refined and enhanced over time to meet the evolving needs of road agencies and industry, and to respond to legislative and regulatory changes in areas such as safety and environmental management.

Until recently, all prequalification systems or schemes in the civil (road and bridge) sector were managed at jurisdictional level, which meant that each individual road agency established, advertised and administered its own set of jurisdiction-specific categories. Contracting entities working across multiple jurisdictions were required to prequalify separately with each relevant road agency in order to become eligible to tender for work in those jurisdictions.

An unintended consequence of the use of individual prequalification regimes in each state and territory is that they have acted as barriers for entities seeking to work in more than one jurisdiction (Austroads 2010).

A review by state and territory road agencies in 2010 found that despite the number of different prequalification regimes in place at that time, there was a reasonable degree of commonality in the baseline requirements for prequalification in the ‘core’ road and bridge construction categories used by the various agencies. Consequently, the road agencies took the view that a harmonised approach would be possible which, in turn, would enable a mutual recognition framework to be implemented, reducing duplication of effort and unnecessary cost for both road agencies and industry.

During this period, the Council of Australian Governments’ Infrastructure Working Group (COAG IWG) also expressed a commitment to achieving harmonisation and mutual recognition across government agency prequalification regimes in the building and construction sector.

The COAG is the peak intergovernmental forum in Australia whose role is to initiate, develop and monitor the implementation of policy reforms of national significance that require cooperative action by Australian governments. The IWG consists of senior officers from relevant State, Territory and Australian Government departments and the Australian Local Government Association. It reports to the COAG through the Standing Council on Transport and Infrastructure.

The agreed IWG objectives are:

• better coordination of infrastructure planning and investment across the nation; across governments and the private sector

• identification and removal of blockages to productive investment in infrastructure.



In 2010, following discussions between Austroads and the COAG IWG, Austroads established a formal project to develop and implement a new Austroads national system that would represent a single harmonised approach to prequalification in the area of civil (road and bridge) construction, and which would enable the introduction of a mutual recognition framework. The COAG IWG had requested that Austroads establish this national prequalification system for contracts valued at over $50 million. However, Austroads took the view that the benefits of harmonisation and mutual recognition should not be limited to ‘top tier’ entities only, on the bases that:

• minimising administrative burden (and cost) was a worthwhile objective for the wider industry, including assessing agencies and potential contractors

• reducing barriers to entry could provide an incentive for small-to-medium-sized entities to expand and grow their businesses outside regional borders, which could have industry-wide benefits.

As a result, Austroads decided to develop and implement a national prequalification system that would apply at all financial levels.

Implementation 1.3.2

The Austroads National Prequalification System, which includes a range of road and bridge construction categories and financial levels, was implemented in full on 1 January 2011 by Australian state and territory road agencies in all jurisdictions except the NT (which has implemented the system only for contracts at the $50 M + level). These agencies are hereafter referred to as the ‘participating authorities’.

Administration and Governance 1.3.3

The National Prequalification System is a national system, administered locally. In other words, applicants for prequalification in road and bridge construction categories are assessed and managed by the participating authority of their choice (generally, the local state or territory road agency) using nationally agreed criteria and in line with national rules and procedures.

Once prequalified by one participating authority, these entities (hereafter referred to as ‘prequalified contractors’) can access the mutual recognition benefits of the National Prequalification System by obtaining recognition of their prequalification status from other participating authorities, subject to any specific documented conditions and restrictions. This reduces administrative burden and red tape for both participating authorities and contracting entities working across jurisdictions; promotes consistency, cooperation and information-sharing amongst the participating authorities; and drives improved practices across the civil construction sector.

A National Prequalification System Management Committee (‘Management Committee’) was established to provide general oversight and governance of the National Prequalification System. The Management Committee’s functions include addressing any issues occurring nationally, managing and coordinating national sanctions and appeals processes, and continuously improving and evolving the National Prequalification System such that it maintains relevance and applicability.

The Management Committee comprises knowledgeable and experienced representatives from all of the participating authorities. Its membership, role, and responsibilities are formalised through terms of reference and operating procedures



Inclusion of Specialist Categories 1.3.4

Some participating authorities also prequalify in specialist areas related to road and bridge construction and/or maintenance, e.g. traffic management, line-marking, product supply, etc. Specialist categories are currently excluded from the National Prequalification System and are therefore managed at jurisdictional level – either as local ‘add-ons’ to the system, or by way of separate registration or accreditation schemes. As such, the specialist categories used by the various road agencies are not currently consistent, including with respect to category types, category descriptions, requirements for applicants and prequalified entities, assessment criteria and processes, prequalification registration periods, and terms and conditions of prequalification.

As a consequence of this lack of consistency, specialist entities are not able to access the mutual recognition framework currently enjoyed by prequalified contractors under the National Prequalification System. This means that specialist entities interested in tendering for contract work and/or supplying products for contracted works in multiple jurisdictions must lodge separate prequalification applications with road agencies in each of the relevant jurisdictions, resulting in duplication of effort for both the applicants and the assessing agencies.

To address this, the Research Report detailing the original framework for the National Prequalification System suggested that a future expansion of the National Prequalification System to include specialist categories would be desirable (Austroads 2010).

At its meeting on 2 March 2012, the Management Committee identified a number of similar specialist categories being administered by multiple jurisdictions, and noted that entities prequalified in those categories at the jurisdictional level were capable of working across jurisdictional boundaries. The Management Committee agreed it would be beneficial to bring those particular categories into the National Prequalification System.

A proposal for an expansion of the National Prequalification System to include the nominated specialist categories was put to the Austroads Board and subsequently endorsed, leading to the creation of this Austroads Project TS1877. Commentary 1

Project Overview 1.4

The objective of Austroads Project TS1877 is to expand the Austroads National Prequalification System to include new specialist categories in the following two areas:

• precast concrete products

• steel fabrication.

This project will deliver a single harmonised approach to how categories in these two specialist areas are defined, and establish consistent processes for assessing applications for prequalification and managing specialist prequalified contractors. Under the expanded National Prequalification System, an applicant that achieves prequalification with a participating authority in one or more of the specialist categories will be able to obtain recognition of its prequalification status from other participating authorities that have adopted those categories, subject to any nominated restrictions and conditions.

This project is in line with:

• Austroads leadership strategic priority through the harmonisation of national contractor prequalification approaches throughout jurisdictions, in support of the COAG IWG’s national reform agenda

• Austroads Technology Program output: Nationally harmonised project delivery initiatives.



Project Reports 1.5

Overview 1.5.1

The key outputs of Austroads Project TS1877 are two separate Research Reports that outline the project findings, define the proposed specialist categories, describe how the National Prequalification System can be expanded to incorporate them (including how currently prequalified specialist entities in jurisdictional schemes will be transitioned), and include draft National Prequalification System documentation (e.g. guidelines, application forms, etc.).

The reports are:

• National Prequalification System – Inclusion of Specialist Precast Concrete Categories (this report).

• National Prequalification System – Inclusion of a Specialist Steel Fabrication Category.

Structure of This Report 1.5.2

This report is structured as follows:

• Main text, including this introduction (Section 1); a description of the project method which includes the guiding principles applied to the development of the new specialist categories (Section 2); an outline of the harmonisation work undertaken in the area of precast concrete products (Section 3); summary details of the proposed new specialist precast concrete categories (Section 4); an overview of the recommended implementation process, including transition arrangements (Section 5); and final conclusions and recommendations (Section 6).

• A comparative summary of the characteristics of current jurisdictional prequalification/registration/accreditation processes and requirements in the area of precast concrete products (Appendix A).

• A number of additional appendices, based on existing National Prequalification System documentation (Austroads 2010), that have been tailored by the project Working Group for use in supporting the administration of the proposed new categories:

– draft prequalification guidelines for the proposed new national precast concrete categories (Appendix B)

– draft application form for the proposed new national precast concrete categories, which details the minimum requirements to be met to satisfy the assessment criteria for prequalification (Appendix C)

– registration form for mutual recognition (Appendix D)

– template performance report (Appendix E)

– performance report scoring guide (Appendix F).



2. Project Method

The approach taken to the delivery of Austroads Project TS1877 is described in this Section 2.

Establishment of Project Working Group 2.1

This project is supported by a project Working Group consisting of senior prequalification and technical personnel from the following Austroads member agencies:

• Department of Transport and Main Roads, QLD

• Roads and Maritime Services, NSW

• Commerce and Works Directorate, ACT

• VicRoads, VIC

• Department of State Growth, TAS

• Department of Planning, Transport and Infrastructure, SA

• Main Roads WA

• Department of Infrastructure, NT

• Department of Business, NT.

The project Working Group has taken a practical, problem-solving approach to the process of harmonisation, in consultation with industry, with a view to developing new specialist categories for inclusion into the National Prequalification System that:

• meet the needs of the participating authorities, particularly with respect to risk management

• accommodate local requirements wherever possible

• reduce administrative burden for participating authorities

• minimise red tape and reduce barriers to entry for specialist entities in the nominated areas

• reflect current best practice in the relevant area of specialisation

• are acceptable to industry.

Adoption of Guiding Principles 2.2

A number of high-level guiding principles focusing on the overarching system framework for the proposed new specialist categories and critical success factors for implementation were adopted by the project Working Group to assist in its decision-making. These guiding principles are:

• Risk mitigation

– Prequalification is a risk mitigation strategy for Australian road agencies.

• Adoption of category(s)

– It will not be mandatory for participating authorities to adopt the new National Prequalification System specialist categories. However, should a participating authority decide to administer a prequalification category in the nominated specialist areas and covering the same subject-matter, it will be required to adopt the relevant National Prequalification System category(s).



• Alignment with pre-existing local requirements

– National Prequalification System specialist category descriptors will be aligned with pre-existing jurisdictional descriptors wherever possible.

– Requirements for prequalification in the National Prequalification System specialist categories will make provision for pre-existing jurisdictional requirements where feasible and appropriate. Where not feasible or appropriate, compliance with jurisdictional requirements may be managed outside of prequalification, including through tender processes.

• Industry consultation

– The National Prequalification System specialist categories will be developed in consultation with industry – particularly entities currently prequalified in similar jurisdictional categories, other non-prequalified entities working in the nominated specialist areas and relevant industry groups.

• Documentation

– Prequalification documentation will be concise and descriptive.

– Details of the minimum standards required for prequalification will be included in the application form to assist applicants.

– Participating authorities adopting one or more of the National Prequalification System specialist categories must also adopt the agreed National Prequalification System application form and guidelines, to ensure consistency and support the integrity of the system.

• Terms and conditions of prequalification

– Applicants for prequalification in the National Prequalification System specialist categories may be required to undergo an assessment of financial capacity in order to demonstrate ongoing financial solvency.

– Prequalified contractors in the National Prequalification System specialist categories will be bound by similar terms and conditions as those prequalified in road and bridge categories, and will be subject to the national sanctions process for relevant breaches.

• Mutual recognition

– Participating authorities that adopt one or more of the National Prequalification System specialist categories must recognise the status of entities prequalified in the same categories by other participating authorities without further assessment, subject to any stated conditions or restrictions.

• Continuous improvement

– Participating authorities commit to regularly reviewing the administration of the new specialist categories (including all supporting documentation) for the purpose of continuous improvement.



Development and Implementation of Specialist Categories 2.3

The proposed method being applied under this project to develop and incorporate the proposed new specialist categories into the National Prequalification System is shown in Figure 2.1.

Figure 2.1: Approach to category development and implementation

Steps 1 to 4, which form part of this Austroads Project TS1877, include all of the category development work such as analysis of relevant pre-existing categories, harmonisation, consultation, definition, and documentation of the proposed new national specialist categories and the process for incorporation into the National Prequalification System.

Steps 5 to 7, which fall outside the scope of this project, relate to the final implementation of the new specialist national categories. This implementation phase will require individual participating authorities to agree to adopt the new national specialist categories, and to participate in a coordinated implementation process involving all of the relevant authorities. Ongoing administration and governance arrangements will be formalised during this phase.

Further detail regarding each of the seven steps depicted in Figure 2.1 is provided below.

Step 1: Review and Compare Existing Specialist Categories 2.3.1

At the commencement of the project, member agencies represented on the project Working Group were requested to submit details of any prequalification categories administered at the jurisdictional level in the nominated specialist areas, including information provided to prospective applicants (e.g. application forms, guidelines, fact sheets, etc.), and any documented agency processes relating to the assessment of submitted applications, ongoing management of prequalified entities, and general administration of the jurisdictional prequalification categories and schemes.

A collated summary of this baseline information is provided in Appendix A.

By comparing and analysing this jurisdictional information, the key points of similarity and difference between the pre-existing categories were ascertained, which helped the project Working Group to separate the category components that could be readily harmonised from those that had the potential to impede harmonisation and which required further review and discussion.

Step 6:Transition of

currently

prequalified

entities

Step 4:Finalise NPS

expansion

framework and

supporting

documentation

Step 2:Harmonise and

develop draft

national

categories

Step 3:Document

proposed NPS

expansion and

consult

Step 1:Review and

compare existing

specialist

categories

Step 5:Adoption of new

categories by

participating

authorities

DEVELOPMENT

IMPLEMENTATIONStep 7:Ongoing

administration

and governance



Step 2: Harmonise and Develop Draft National Categories 2.3.2

This step involved project Working Group members reviewing and workshopping the results of Step 1 to decide the key components of each of the proposed new specialist categories and to agree on a national approach that could be implemented by each participating authority’s procurement centre.

Importantly, project Working Group members were required to participate in targeted problem-solving exercises with respect to the various items identified for further review during Step 1.

These items – which generally reflected differences in local regulations, government and agency policies, and agency and/or market constraints – and information regarding the factors and considerations relevant to their harmonisation, are described in Section 3.

Step 3: Document Proposed National Prequalification System Expansion and 2.3.3Consult

Following the harmonisation process, details of the proposed new specialist categories, including the processes by which they were developed and how they could be incorporated into the National Prequalification System, were documented in the draft Research Reports described in Section 1.5.1 and were released for comment.

The draft Research Reports (including this report) contain proposed guidelines, application forms and other documentation to support the administration of the proposed specialist categories.

Feedback on the draft Research Reports will be specifically sought from relevant industry bodies such as the Civil Contractors Federation, local industry groups, and entities with an interest in prequalification (including those currently prequalified under the National Prequalification System or in similar specialist categories under jurisdictional schemes).

In addition to this formal consultation process, there is expected to be ongoing informal consultation with industry and affected government departments throughout the category development process, facilitated by individual project Working Group members. Project Working Group members will informally consult with relevant stakeholders as the need and opportunity arises, which may include briefings at local industry events, and discussion with individuals or small groups. Feedback provided through this mechanism will be put forward to the project Working Group by the relevant members and considered as part of the group’s discussions and deliberations.

Step 4: Finalise National Prequalification System Expansion Framework and 2.3.4Supporting Documentation

All submissions received through the consultation process in Step 3 will be thoroughly reviewed and considered by the proposed Working Group in finalising its recommendations regarding the proposed national specialist categories and National Prequalification System expansion, and will help refine the content of the supporting system documentation.

The project Working Group’s recommendations will be put forward to the Austroads Board for review and endorsement before the new national specialist categories are implemented.



Step 5: Adoption of New Categories by Participating Authorities 2.3.5

Subject to the endorsement of the Austroads Board (described in Step 4), the new National Prequalification System documentation will be published and made available to road agencies and industry to enable the new specialist categories to be formally introduced into the system.

Individual participating authorities will need to determine which (if any) of the new national specialist categories they will adopt at a jurisdictional level, and may advertise for applications from entities seeking to achieve prequalification. Advice of the categories adopted by each participating authority will be provided to the Management Committee, to enable appropriate governance arrangements to be implemented at the national level.

Step 6: Transition of Currently Prequalified Entities 2.3.6

Adoption of the new specialist categories and participation in mutual recognition will involve a program of transition and implementation tasks. Specific local transition and implementation activities will be managed and delivered by each participating authority under a coordinated plan. Current considerations regarding implementation and coordination at the national level are outlined in Section 5.

Step 7: Ongoing Administration and Governance 2.3.7

Ongoing administration of the new specialist categories will be the responsibility of the participating authorities that have adopted those particular categories; with oversight, governance and national coordination provided by the Management Committee. Specific arrangements to enable this to occur will be put in place as part of Step 7.



3. Harmonisation and Category Development

Currently, state and territory road agencies in three jurisdictions (NSW, QLD, NT) prequalify or otherwise register or accredit entities to supply precast concrete products either directly to the road agencies (via agency-initiated procurement processes) or to head contractors engaged by those agencies to deliver contracted works on their behalf.

The NSW road agency includes precast concrete products categories as a local add-on to the National Prequalification System; the QLD road agency administers precast concrete products categories in a registration scheme separate to the National Prequalification System; and the NT includes precast concrete products categories as part of its accreditation system, which is administered externally by Contractor Accreditation Limited (CAL).

Details of the current categories and system/schemes requirements are collated in Appendix A.

Review and Comparison of Existing Systems/Schemes 3.1

Characteristics of System/Scheme Frameworks 3.1.1

The following key similarities and differences were noted within the overarching frameworks of the existing jurisdictional systems/schemes.

Key similarities:

• A site assessment of the applicant’s nominated manufacturing facility is undertaken in QLD and NSW, as part of the assessment process.

• In NSW and QLD, it is both the entity and facility that is prequalified or registered, i.e. prequalification/registration is granted on a site-by-site basis.

• Mutual recognition arrangements are not currently in place in any of the three jurisdictions.

• In all three jurisdictions, maintenance of prequalification/registration/accreditation status is subject to lack of significant changes to an entity’s (or facility’s) financial or technical capacity together with ongoing satisfactory performance.

• The three road agencies may review prequalification/registration/accreditation status at any time.

• Suspension or cancellation may occur in all of the jurisdictions (following a ‘Show Cause’ process), and the road agency in NSW also reserves its right to downgrade prequalified entities/facilities to a lower category, which is a sanction currently available under the National Prequalification System.

• Prequalification/registration/accreditation decisions may be appealed in all jurisdictions, with review by the original assessors also an option in NSW under the National Prequalification System framework.

• Entities/facilities in all three jurisdictions may apply for upgrades to their status at any time.

• Lists of prequalified/registered/accredited entities are made publicly available in all three jurisdictions.



Key differences:

• The NSW and QLD road agencies include category descriptors as part of their systems/schemes. However, the NSW road agency has two broad categories: C1 – Pretensioned Concrete (Routine) and C2 – Pretensioned Concrete (Complex), whereas the QLD road agency’s descriptors are aligned to product types, and include many more products/categories than the other two jurisdictions’ systems/schemes. A detailed category descriptor is not currently included in the NT’s accreditation documentation.

• In the NT, CAL charges a fee for assessment of applications, and provides a detailed description of the appointment and workings of panels and sub-panels that assess the accreditation applications.

• Timeframes for the assessment process are not consistent – in the NT, the assessment is completed within 30 days of lodgement of the application; in NSW, the assessment period is a minimum of six weeks; and in QLD, no set time period for the assessment process is nominated.

• The road agency in QLD has specific requirements for product design as part of its scheme, and requires the applicant to undergo technical and system audits as part of the assessment process.

• Road agencies in the three jurisdictions have differing approaches to prequalification/registration/accreditation status:

– in NSW, ‘full’, ‘conditional’ and ‘restricted’ prequalification status are available in line with the existing National Prequalification System framework

– in QLD, three registration levels are available – ‘Provisional’, ‘Level 1’ and ‘Level 2’

– in the NT, conditional accreditation status may be offered at CAL’s discretion.

• Prequalification/registration/accreditation periods are not currently aligned:

– in NSW, entities/facilities are registered for three years

– in QLD, three different time periods apply – Provisional (three-to-six months on individual projects), Level 1 (three-to-twelve months) and Level 2 (one-to-three years)

– in the NT, accreditation is required annually.

Characteristics of Application Requirements 3.1.2

The following key similarities and differences were noted in the application requirements of the three jurisdictional systems/schemes.

Key similarities:

• Application lodgement requirements are similar in the three jurisdictions.

• Organisational and business information requested from applicants is similar in all three jurisdictions.

• Details of workers compensation and public liability insurance are requested in the NT and QLD. Insurance requirements are not specified in NSW.

• Information regarding relevant (past and current) projects is requested in all three jurisdictions.

• Details of key personnel (e.g. qualifications and experience) are requested in all three jurisdictions.

• Particulars of available resources/equipment are requested in all jurisdictions, with the QLD road agency’s requirements being the most prescriptive.

• Referee details are requested in NSW and the NT. Referee details are also requested in QLD in some instances.



Key differences:

• Eligibility criteria are not consistent in the three jurisdictions in that the NSW road agency specifies that an entity’s/facility’s prequalification/registration status does not extend to related or subsidiary corporations owned or controlled by the entity, and sole traders or unincorporated partnerships are not able to prequalify.

• A financial capacity assessment is not currently required in QLD.

• Approaches to certification of quality management systems (QMSs) differ in the following ways:

– in NSW, 3rd party certification of the applicant’s QMS to an Integrated Management System (IMS) standard is required, along with corporate policies and a sample or example quality plan, and inspection and test plan (ITP)

– in QLD, evidence of 3rd party certification (undertaken by a JAS-ANZ conformity assessment body) to ISO/AS 9001:2000 is required. Registered entities/facilities must also ensure QMSs are in place for the entire supply chain

– the NT requirements are more flexible, requiring evidence of a QMS in place, which is reviewed as part of the assessment process.

• Approaches to certification of occupational health and safety management systems (OHSMSs) differ in the following ways:

– in NSW, 3rd party certification of the OHSMS to IMS standard is required, along with a corporate policy and a sample/example OH&S plan. Alternatively, accreditation under the Australian Government Building and Construction OHS Accreditation Scheme is deemed to satisfy the prequalification requirements for OH&S

– in QLD, evidence of an OHSMS set up along the lines of AS/NZS 4801:2001 is required, and a summary of the site management plan formats utilised by the applicant, a summary reference to the applicant’s documented safety management systems, and a list of recent relevant projects on which the above have been utilised are also assessed

– the NT is more flexible, requiring evidence of an OHSMS in place, which is reviewed as part of the assessment process.

• In NSW, 3rd party certification of environmental management systems (EMSs) to IMS standard is required, along with corporate policy and a sample/example environmental management plan.

• The NSW road agency has specific requirements for traffic management, which are generic and applicable to road and bridge construction categories in the current National Prequalification System.

• Only in the NT are details of labour relations and other obligations relating to industrial relations requested.

• In NSW, details of relevant industry affiliations are requested.

• The NT has specific additional requirements in the areas of training, local commitment, compliance with codes and schedules, and contract control.



Harmonisation Focus Areas 3.2

Of the key differences specified in Section 3.1, the following items were noted as having the most potential to impede the harmonisation process and were therefore examined in detail by the project Working Group as part of Step 2 of the project (as described in Section 2.3.1).

As the NT has not fully adopted the National Prequalification System at this time, the main priority for the project Working Group was to find system solutions that would reconcile any differing approaches to key components of the current jurisdictional categories in QLD and NSW, and would also be acceptable to other road agencies that may wish to adopt the new precast concrete categories.

The outcomes of the project Working Group’s deliberations on these key items and other relevant matters are reflected in the proposed national categories described in Section 4 and Appendix B to Appendix F.

Category Descriptors 3.2.1

Given the significant divergences in the way current jurisdictional categories are classified and described, the highest priority task for the project Working Group was to resolve the scope of any proposed new national category or categories and settle on suitable descriptors.

As a starting point, the project Working Group considered whether the current NSW or QLD models, as described below, provided an appropriate platform to develop the proposed new national category(s):

• In NSW, the manufacturing facility nominated by the applicant achieves prequalification based on its capacity and capability to manufacture and supply prestressed (pretensioned) products considered either routine or complex.

• In QLD, the manufacturing facility nominated by the applicant is required to demonstrate it can produce and supply a range of specified products including pipes, culverts, prestressed products and miscellaneous products that comply with nominated specification requirements. The manufacturing facility is only eligible for prequalification with respect to the specific product type or types for which the compliance requirements are met.

Both approaches were noted to have their advantages and disadvantages, which were reviewed at length by the project Working Group.

A major consideration in developing the proposed national categories included in Section 4 was to set them broad enough to operate at the national level, whilst also accommodating as many of the NSW and QLD agencies’ pre-existing requirements as possible.

Eligible Entities 3.2.2

As some types of entities (sole traders and unincorporated partnerships) are not currently eligible to apply for prequalification of their manufacturing facilities in NSW, the project Working Group needed to determine what types of entities would be eligible for prequalification in the new national precast concrete categories.

In agreeing on the eligibility requirements detailed in Section 4, which take into account the guiding principle relating to risk mitigation, the project Working Group was mindful of ensuring that any nationally agreed position did not unreasonably preclude entity types not considered suitable for prequalification at the national level from continuing to prequalify at the jurisdictional level in circumstances where individual participating authorities were willing to allow this.



Site Assessments 3.2.3

A site assessment is considered an essential part of the prequalification assessment process for existing precast concrete categories administered in NSW and QLD. While the project Working Group agreed that a satisfactory site assessment would be a necessary prerequisite for prequalification in the proposed new national categories, three specific matters were noted as requiring consideration as part of any national approach. These are outlined below.

Site assessments for multi-jurisdiction applicants

The project Working Group had to consider how the site assessment process would be managed, in a practical sense, for applicants with facilities in multiple jurisdictions. Some options explored by the project Working Group were for:

• the participating authority with which the application was lodged (the assessing authority) to conduct all of the site assessments, including of facilities in other jurisdictions

• the assessing authority to engage participating authorities in other jurisdictions to undertake site assessments of facilities in those jurisdictions on behalf of the assessing authority

• participating authorities in each of the relevant jurisdictions to assume total responsibility for undertaking site assessments of facilities in their jurisdiction.

Following considerable deliberation, an agreed approach was confirmed by the project Working Group and presented in Section 4, based on the concept of separate prequalification for each facility with each participating authorities that have adopted the new category assuming total responsibility for undertaking site assessments of facilities in their jurisdiction. This means that the participating authority in the jurisdiction where the facility is located would have full responsibility for undertaking the site assessment and granting any subsequent prequalification. This approach is considered the most workable as it:

• appropriately responds to circumstances where the applicant seeks to prequalify more than one facility in multiple jurisdictions at the same time, as well as circumstances where an applicant with one facility already prequalified seeks to prequalify another facility in a different jurisdiction at a later date

• allows for the site assessment process and subsequent management of the prequalified contractor (facility) to be coordinated locally by the participating authority where the facility is located, rather than remotely by an interstate authority.

Manufacturing entities will benefit from the proposed approach through a cut-down process for prequalifying second or subsequent facilities under which non-site-related criteria, such as ‘company profile’ and ‘financial capacity’ (where applicable), will not need to be reassessed for each facility.

Site assessments of overseas or interstate facilities

The project Working Group was required to consider the feasibility of undertaking site assessments of facilities located overseas or interstate (in circumstances where the road agency in that jurisdiction has not adopted the proposed steel category). The project Working Group agreed that the most reasonable and practical way of managing this issue would be by way of cost recovery from the applicant for the on-site aspects of the assessment process.



Financial Capacity 3.2.4

Current differences in the jurisdictional approaches to financial capacity assessments was a matter specifically earmarked for resolution by the project Working Group.

Under the current NSW categories, a detailed financial assessment is undertaken and the successful applicant’s manufacturing facility is awarded a ‘financial level’, which notionally represents their financial stability, solvency and capacity to manage cash flow requirements throughout a hypothetical 12-month contract period. This approach aligns with the financial levels awarded with respect to road and bridge construction categories under the National Prequalification System.

The financial levels used in the current National Prequalification System are identified by the letter ‘F’ (F0.25, F1, F5, F10, F15, F20, F25, F50, F75, F100, F150 and F150 PLUS) as summarised in Table 3.1.

Table 3.1: National Prequalification System financial levels

Financial level Maximum values F0.25 Optional (jurisdiction-specific) F1 Optional (jurisdiction-specific) F5 $5 million F10 $10 million F15 $15 million F20 $20 million F25 $25 million F50 $50 million F75 $75 million F100 $100 million F150 $150 million F150 PLUS Unlimited

In the NT, CAL undertakes a detailed financial assessment as part of the assessment process and provides a financial ‘rating’ on the basis of the GST-exclusive price of contracts. Applicants nominate a preferred financial rating for each category sub-group for which accreditation is sought, with ratings set at $50k increments up to $1 million, $250k increments from $1 million to $20 million, and $10 million increments to $50 million. The lowest rating available is $50k and the highest is $50 million and over.

In QLD, a financial capacity assessment is not required for applicants seeking to prequalify their manufacturing facilities under the existing registration scheme.

The project Working Group reviewed the current options in developing the parameters for the recommended financial capacity assessment presented in Section 4.



Certification of Management Systems 3.2.5

An important part of the harmonisation process was to develop and agree upon national standards relating to management system certification, in light of the divergent approaches used in the various jurisdictional categories, as outlined below:

Quality management systems

• While 3rd party certification is currently a stated requirement of prequalification in NSW and registration in QLD, the NSW road agency accepts certification to an IMS standard, with certification provided by the Civil Contractors Federation (CCF) or a similar body.

• This certification is at a lower level than is currently required in QLD in that it only assesses entities against the key system requirements of AS/NZS ISO 9000, as determined by the civil contracting industry rather than against the entire standard. QLD also previously offered an option of 2nd party certification provided by the road agency, based on a detailed assessment of the entity’s QMS. However, the QLD Government began phasing out its provision of 2nd party certification services from 1 July 2013.

• In the NT, there is currently no QMS certification requirement.

Occupational health and safety management systems

• Third party certification of OHSMSs to IMS standard is required in NSW, unless the applicant has accreditation under the Australian Government Building and Construction OHS Accreditation Scheme. In QLD and the NT, applicants are only required to provide evidence of an OHSMS set up along the lines of AS/NZS 4801:2001.

Environmental management systems

• Certification of EMSs is currently only required in NSW (to IMS standard).

A key consideration for the project Working Group in determining the proposed national certification requirements in all three areas was to ensure some limited prequalification options were preserved at the jurisdictional level for applicants that may not fully meet the proposed national standard.



4. Proposed National Precast Concrete Categories

This section presents an outline of the system framework and major characteristics of a series of proposed new national precast concrete categories, which reflect the project Working Group’s deliberations on the matters detailed in Section 3.

Further information is located in the appendices to this report, which include draft:

• prequalification guidelines

• application form

• registration form for mutual recognition

• performance report

• performance report scoring guide.

It is anticipated that these documents, once reviewed and endorsed by Austroads, will be finalised and adopted nationally by individual participating authorities.

Overview 4.1

Category Details 4.1.1

Four separate categories are proposed, which relate to the manufacture of both precast and precast/pretensioned products.

Products requiring in-situ post-tensioning are specifically excluded.

To achieve prequalification in one or more of the proposed new categories, applicants must demonstrate the capacity and capability to manufacture all of the types of products shown in each of the categories in Table 4.1:

Table 4.1: National category descriptors

Pretensioned (routine) Pretensioned reinforced components (complex)

Precast products Pipes and poles

• Piles

• Deck units

• Bridge planks

• Girders

• Match cast girder segments

• Other pretensioned components

• Box culverts

• Traffic barriers

• Bridge parapets • Pits

• Wall panels (flat panels), RSS wall panels

• Noise barriers • Wing walls and head

walls (one piece or multi-piece)

• Arches

• Piles (not pretensioned)

• Steel-reinforced concrete pipes

• Fibre-reinforced concrete pipes

• Concrete poles



Objectives 4.1.2

The proposed new national precast concrete categories support the overarching objectives of the National Prequalification System, which are to:

• enable participating authorities to assess the capabilities of Applicants and identify those with the requisite technical, managerial and financial capacity to efficiently deliver contracts in accordance with their specific requirements

• minimise the contractual risks associated with constructing roads and structures

• minimise the costs of the tendering process for both participating authorities and industry

• promote best practice in the road and bridge construction industry

• ensure robust, consistent, transparent and objective processes across all participating authorities.

Two additional objectives specifically relevant to the proposed new national precast concrete categories are to:

• promote safe, consistent and high-quality manufacturing of precast concrete products that meet the participating authorities’ specifications and requirements

• ensure that all precast concrete products used in the participating authorities’ projects are obtained from facilities that are appropriately prequalified.

Scope and Applicability 4.1.3

The new national categories will cover the supply of specified precast concrete products to those Australian state and territory participating authorities that have adopted the categories, whether such supply is made directly to the participating authority (including, where specified, a local council acting on behalf of the participating authority) or to a contractor engaged by the participating authority.

Importantly, as the capability and capacity of an entity’s facility is critical to achieving prequalification, such status will be conferred on an entity operating at a specific permanent or temporary (i.e. project-specific) site location and would not be transferable to other facilities owned or operated by that entity. Consequently, an entity operating multiple facilities would be required to hold a separate prequalification for each facility.

However, to reduce administrative burden and duplication, an abridged application and assessment process would apply, focusing only on those criteria applicable to the assessment of the additional site(s), meaning that the non-site aspects of the original assessment processes would not generally need to be repeated.

Exemptions

Even in circumstances where the national specialist categories have been adopted, participating authorities will not be bound to use prequalification in all instances; for example, depending on local procurement policy, participating authorities may elect to use alternative forms of tendering (e.g. open tenders or expressions of interest) in circumstances where prequalification is not relevant. Additionally, standing exemptions to the requirement for prequalification may apply at the jurisdictional level, as advised by individual participating authorities in the prequalification guidelines.

Administration 4.1.4

The new precast concrete categories will be administered in the same manner as the existing road and bridge categories under the National Prequalification System, i.e. they will be administered locally, by participating authorities that have adopted those categories, in line with nationally agreed processes and procedures and supported by consistent documentation.



The administration of the new categories will include:

• maintenance and distribution of relevant documentation, e.g. guidelines, application form, information for applicants, etc.

• prequalification assessments (new, renewal and upgrade applications)

• ongoing management and performance assessment of prequalified contractors

• liaison and information-sharing with other participating authorities with respect to matters relating to prequalified contractors that have obtained recognition of their prequalification status with those authorities

• participation in national processes, as coordinated by the Management Committee.

These administration arrangements are working successfully with respect to the current road and bridge categories in that they:

• promote sound working relationships between participating authorities, individual contractors and local industry; and help to foster local industry development

• allow performance matters to be managed at the local level in the first instance, so that the participating authority can directly support the prequalified contractor in improving performance outcomes.

National governance of the administration/operation of the new categories will be provided by the Management Committee. The Management Committee will also be responsible for undertaking multi-jurisdictional reviews and managing the national sanctions and appeals process, as further described in Sections 4.6.2 and 4.8.

Prequalification Status and Recognition Arrangements 4.2

An applicant that achieves prequalification in one or more of the new national precast concrete categories will be advised by the assessing authority of the type of prequalification status that has been granted. Any prequalified contractor will be able to request recognition of its status from other participating authorities, however only those with ‘full’ prequalification status are able to obtain such recognition as of right, as outlined in Table 4.2.

Prequalification Status Types 4.2.1

The project Working Group agreed that the three status types (‘full’, ‘restricted’ and ‘conditional’) that were established for use in the road and bridge categories under the National Prequalification System would be applicable to prequalification granted in the new national precast concrete categories. These status types reflect a prequalified contractor’s level of achievement against both the eligibility criteria for prequalification and the assessment criteria for prequalification as described in Table 4.2, and Sections 4.3 and 4.4.

Performance Levels 4.2.2

Applicants that achieve prequalification, of any status type, will be allocated a performance level – either Level 1 or Level 2. Only those prequalified contractors that demonstrate a strong performance record, based on significant volumes of supply with consistent quality outcomes over a period of time, will be eligible to progress to Level 2.

An upgrade to Level 2 will be initiated by the assessing authority, at its sole discretion. Conversely, prequalified contractors may be downgraded from Level 2 to Level 1 where warranted, as part of the sanctions regime described in Section 4.8.



Mutual Recognition Framework 4.2.3

The mutual recognition framework to be deployed for the new national categories is based on the National Prequalification System framework currently applicable to road and bridge categories.

Under this mutual recognition framework, an applicant that achieves prequalification with one participating authority will be able to apply for its prequalification status to be recognised by other participating authorities that have adopted the relevant category(s), subject to any noted restrictions/conditions applicable to the prequalification status type granted.

The key characteristics of each status type, and the implications of status type on a prequalified contractor’s mutual recognition prospects, are described in Table 4.2.

Table 4.2: Prequalification status types

Status type Applicability Effect

Full An applicant that meets both the eligibility criteria and satisfies all of the assessment criteria under the National Prequalification System will be awarded ‘full’ prequalification status.

An applicant that achieves ‘full’ prequalification status is:

• eligible to submit tenders and supply products for the assessing authority’s contracts in the category(s) it is prequalified in

• entitled to obtain recognition of its prequalification status with any other participating authority that has adopted the relevant category.

Restricted Where an applicant does not meet the nationally agreed eligibility criteria for prequalification (i.e. the entity is a type other than a company or incorporated joint venture) it may seek prequalification with a participating authority that accepts that particular type of entity. Where successful, the applicant will be provided with ‘restricted’ prequalification status.

• An applicant that achieves ‘restricted’ prequalification status is eligible to submit tenders and supply products for the assessing authority’s contracts in the category(s) it is prequalified in.

• An applicant that achieves ‘restricted’ prequalification status is not automatically entitled to obtain recognition of its prequalification status with participating authorities other than the assessing authority. However, it is not precluded from requesting recognition from other participating authorities, which may be granted at the other participating authority’s sole discretion.

Conditional Where an applicant meets the eligibility criteria for prequalification in the nominated precast concrete category(s), but does not fully meet all of the assessment criteria (e.g. it does not have 3rd party management systems) an authority may, at its sole discretion, grant ‘conditional’ prequalification status.

• Providing a conditionally prequalified contractor continues to comply with the nominated conditions of its prequalification, it will be eligible to submit tenders for and supply products for the assessing authority’s contracts in the category(s) it is conditionally prequalified in.

• An applicant that achieves ‘conditional’ prequalification status is not automatically entitled to obtain recognition of its prequalification status with participating authorities other than the assessing authority. However, it is not precluded from requesting recognition from other participating authorities. Such recognition may be granted, at the other participating authority’s sole discretion. In some instances, recognition may be granted on basis that that the prequalified contractor agrees to the same conditions or similar conditions to address the other authorities’ specific requirements.



There may be instances when a prequalified contractor whose status is recognised by another participating authority needs to provide additional information to that authority to demonstrate compliance with local requirements (e.g. local legislation) before it is eligible to submit tenders or supply relevant products. Where specific local requirements apply, the recognising authority will advise contractors of these in the ‘Letter of Recognition’.

In summary, the main characteristics of the mutual recognition framework are:

• Recognition is not automatic – an applicant prequalified by the ‘assessing’ authority must specifically apply for recognition with other authorities.

• The process to request recognition will only require minimal details to be submitted, by way of a ‘Registration Form for Mutual Recognition’ (Appendix D) accompanied by evidence of prequalification with the ‘assessing’ authority.

• Applicants that achieve ‘full’ prequalification status are eligible to obtain recognition of that status with other relevant authorities.

• Applicants that achieve ‘restricted’ or ‘conditional’ prequalification status may request recognition from other participating authorities, but such recognition is at those authorities’ sole discretion.

• In the letter advising of recognition of prequalification status, prequalified contractors will be advised that their tenders will only be accepted if they can demonstrate compliance with local requirements (where relevant).

• Assessment of local compliance issues (where relevant) is typically deferred to tender assessment.

• Changes in prequalification status, whether as the result of an upgrade or downgrade/suspension/cancellation, will generally be recognised in all jurisdictions where the contractor has sought recognition of its prequalification status. See Sections 4.7 and 4.8.1 for further details.

The application and assessment process for prequalification (including mutual recognition framework), and its relationship to the tendering process is broadly depicted in Figure 4.1.



Figure 4.1: Overview of the National Prequalification System and its relationship to tendering

Source: Austroads (2010).

Eligibility Criteria 4.3

The project Working Group propose that only companies and incorporated joint ventures will be eligible to achieve ‘full’ prequalification status in the new national categories. This is because these types of entities are currently universally accepted, for prequalification purposes, by all of the participating authorities. Individual participating authorities may elect to allow other entity types, including unincorporated joint ventures, trusts, sole traders, partnerships and government entities, to also prequalify in the national categories; however, such entities will only be granted ‘restricted’ prequalification status, making them ineligible for mutual recognition privileges except at the sole discretion of the other participating authority(s).

Table 4.3 summarises the approach to eligibility for each entity type agreed by the project Working Group.

Request for tender

Submission of tender

applicationContract award Contract

deliveryTender

assessment


application (assessing authority)


Prequalification rejected or awarded at lower level

Award of prequalification

status

Periodic review of

prequalification status

Notification of local tender requirements

Prequalification registration

application (other authority)

Prequalification recognition and

registration

Request for review or appeal

lodgment

Review or appeal

Performance monitoring and

reporting

Contractor

Road authority

Indicates contractor responsibilities

Indicates road authority responsibilities

START



Table 4.3: Entities eligible for prequalification

Entity Characteristics Prequalification Recognition Companies Companies that possess relevant capability,

capacity and experience in the manufacture of the specified product types are considered to be eligible entities at the national level, and may be granted ‘full’ prequalification status provided all the requirements for prequalification have been met.

Eligible Eligible

Newly-formed companies Whilst eligible, newly-formed companies are unlikely to be in a position to provide details of any significant past experience or financial capacity. As such, the suitability for prequalification of newly-formed companies will be assessed by participating authorities on a case-by-case basis, taking the applicant’s circumstances into account.

Eligible Eligible

Incorporated joint ventures A separate legal entity typically formed specifically to undertake a project or projects

Incorporated joint ventures (JV) that possess relevant capability, capacity and experience in the manufacture of the specified product types are considered to be eligible entities at the national level, and may be granted ‘full’ prequalification status provided all the requirements for prequalification have been met and a copy of the JV agreement and other supporting documentation are provided for assessment and deemed satisfactory. The entity may draw upon the resources (technical and/or financial) of the entities supporting the JV. As a newly-formed JV may have difficulty satisfying some of the financial criteria (e.g. profit performance), the same principles regarding newly-formed companies will apply.

Eligible Eligible

Unincorporated joint ventures Comprises separate legal entities coming together and combining strengths for the purpose of undertaking specific projects. An unincorporated JV is not an entity in its own right and operates under a contractual arrangement between the JV parties.

Unincorporated JV arrangements that possess relevant capability, capacity and experience in the manufacture of the specified product types may be considered eligible for prequalification by some participating authorities.

Restricted – eligible at discretion of prequalifying authority

Restricted – eligible at discretion of other authority

Trusts An arrangement where a trustee carries on a business for the benefit of specific beneficiaries.

Trust arrangements that possess relevant capability, capacity and experience in the manufacture of specified product types may be considered eligible for prequalification by some participating authorities.



Sole traders Sole business owners - either trading under their own name or a business name.

Sole traders that possess relevant capability, capacity and experience in the manufacture of the specified product types may be considered eligible for prequalification by some participating authorities.



Partnerships Two or more persons carrying on a business together with a view to a profit.

Partnerships that possess relevant capability, capacity and experience in the manufacture of the specified product types may be considered eligible for prequalification by some participating authorities.



Government entities Government entities that possess relevant capability, capacity and experience in the manufacture of the specified product types may be considered eligible for prequalification by some participating authorities.





Assessment Criteria 4.4

To ensure alignment with the road and bridge categories under the National Prequalification System, applicants for prequalification in one or more of the precast concrete categories will be assessed against the following four criteria:

• company profile

• financial capacity (optional criterion – to be assessed at the sole discretion of the participating authority)

• company experience

• technical capacity.

The assessment will comprise both a desktop component, and a full site assessment.

Details of the sub-criteria applicable to each criterion are nominated in Table 4.4.

Table 4.4: Assessment criteria (and sub-criteria) for prequalification

Assessment criterion

Sub-criterion Description

Company profile

Organisational structure The applicant must have management and governance structures in place appropriate to the size of the entity and the scale and complexity of the work to be undertaken in the prequalification category(s).

Stability of organisation Demonstrated stability and reliability of the applicant. For example, the period of time the entity has operated as primary contractor or subcontractor, previous history of liquidity and bankruptcy issues, etc.

Senior management The involvement of senior personnel in the applicant’s operations that are qualified civil engineers with relevant experience.

Industrial relations Assurance that the applicant operates in accordance with the appropriate award(s).

Management system certification

Evidence of 3rd party certification of the applicant’s QMS and OHSMS.

Financial capacity (optional)

General financial information Positive financial position, as determined by an independent professional assessment of the contractor’s cash and assets, financial history and profit performance. Details of bank balances

Company experience

Past experience Length of time the entity and the nominated facility have been manufacturing products relevant to the category(s) applied for.

Relevant projects (current and completed)

Demonstrated experience in supplying products for projects relevant to category applied for.

Contract completion Demonstrated ability to complete contracts. Utilisation of quality management system (QMS)

Evidence that the QMS is appropriately implemented and functional.

Utilisation of occupational health and safety management system (OHSMS)

Evidence that the OHSMS is appropriately implemented and functional.

Technical capacity

Technical documentation and procedures

Evidence of work procedures/instructions (including concrete mix design, placement of concrete, handling of components, storage procedures), etc. being appropriately implemented and functional.

Key personnel Number, experience and licences/qualifications of the applicant’s personnel based at the nominated facility.

Plant and equipment Appropriate levels and type of plant and equipment. Product Materials are properly sourced, and both materials and products

are transported, handled, stored and packed appropriately.



While the majority of the criteria and sub-criteria are largely self-explanatory, and reflect the criteria used by road agencies in the three jurisdictions that currently administer precast concrete categories (QLD, NSW and the NT), the following were identified by the project Working Group as warranting further explanation.

Financial Capacity 4.4.1

The project Working Group took the view that the financial capacity assessments currently applied to the road and bridge categories under the National Prequalification System, which result in the provision of a specified ‘Financial Level’, were not appropriate for the proposed new national precast concrete categories. However, it was agreed that participating authorities would retain the discretion to request financial information and undertake a financial assessment, where considered warranted.

Management Systems 4.4.2

For the purposes of prequalification in one or more of the new national precast concrete categories, an applicant must provide evidence of current 3rd party certification to IMS standard for its OHSMS and current full 3rd party standard for its QMS. The ‘Scope of Certification’ must clearly state the types of products, services and processes (as well as the specific sites) covered by the certification.

In some instances, individual participating authorities may agree to prequalify an applicant that does not have the requisite management systems certification. Generally, the applicant would need to be able to demonstrate that appropriate – albeit uncertified – systems are in place to manage quality and OH&S in order to be considered for prequalification.

Any prequalification granted by a participating authority to an applicant that does not have its management systems certified to the required national standard would be considered ‘conditional’ prequalification status. Consequently, other participating authorities could elect to recognise that contractor’s prequalification status at their discretion, but such recognition would not be guaranteed.

Assessment Process 4.5

Applicants for prequalification in the new national precast concrete categories will be assessed in accordance with an agreed national assessment framework based on the minimum requirements described in the application form in Appendix C.

Achievement against the requirements of the criteria and sub-criteria will be assessed by the assessing authority and a determination made as to whether the applicant meets (or does not meet) the prequalification requirements of each category for which prequalification is sought.

The assessment process will comprise both a desktop assessment and a site assessment, as further explained below.

Desktop Assessment 4.5.1

The ‘Company Profile’ and ‘Financial Capacity’ criteria (where applicable) will be assessed by the participating authority with which with application is lodged via a desktop assessment process.

Typically, the ‘Financial Capacity’ criterion will be assessed by a specialist external assessor engaged by the participating authority to undertake this aspect of the prequalification assessment on its behalf. In such instances, the financial assessor will be bound by the same confidentiality provisions as the assessing authority, and will complete its assessment in accordance with nationally agreed assessment guidelines in order to ensure consistent outcomes amongst the participating authorities.

The ‘Company Experience’ and ‘Technical Capacity’ criteria will be assessed both by way of a desktop assessment and as part of the site assessment detailed in Section 4.5.2.



Site Assessment 4.5.2

To ensure the facility’s capacity and capability are sufficient with respect to the category(s) applied for, a site assessment will be conducted as part of the prequalification assessment process. Site assessments will be conducted by appropriately skilled and qualified technical staff from the participating authority in the jurisdiction where the facility is based, provided the authority has adopted the category in question.

Overseas facilities (and interstate facilities in jurisdictions that have not adopted the national categories) seeking prequalification will be required to meet the full cost of the site assessment, including reasonable travel, accommodation and out-of-pocket expenses incurred by the assessors. The assessing authority will provide the applicant with an estimate of the cost of this site assessment prior to making the necessary arrangements.

The site assessment will concentrate primarily on the effectiveness of the applicant’s utilisation of its QMS and OHSMS, and the suitability of its plant and equipment. Other information may also be assessed during the site inspection to validate or verify findings of the desktop assessment, including availability and competence of key personnel, and details of past product supply (including the adequacy of testing data records from actual products produced). Site assessments will be undertaken in accordance with a nationally agreed checklist that would be used by all participating authorities.

Site assessments for multi-jurisdiction applicants

Applicants seeking to prequalify multiple facilities in different jurisdictions at the same time must lodge separate applications for each facility with the participating authority in the jurisdiction where at least one of the facilities is located. That authority will undertake the assessment process for the facility(s) located within its jurisdiction and, provided the applicant satisfies the desktop assessment and site assessment of the facility(s) located in that jurisdiction, and will pass on the application(s) relating to interstate facilities to the relevant other authority(s). Each authority will generally have full responsibility for undertaking the site assessment and providing any subsequent prequalification (see Figure 4.2).

If one or more of the applicant’s facilities are located in jurisdictions that have not adopted the pre-cast concrete category(s), the applicant and authority will need to discuss and agree arrangements for covering the cost of the on-site aspects of the assessment process prior to the commencement of the prequalification assessment.

Figure 4.2: Assessment process (multi-jurisdiction applications)

Contractor Assessing (home) authority

Contractor responsibility Assessing (home)

authority responsibility

Assessing (other) authority

Assessing (other) authority responsibility

Recognising authority

Recognising authority responsibility

LEGEND

STA

RT Submission of

prequalification application

(Multi-jurisdiction) Prequalification

assessment (desktop and

Site A)

Prequalification assessment (Site B only)


status

Seek recognition from other

participating authorities

Grant recognition and notify of

local requirements

Advise of prequalification

award


status



In circumstances where an entity/applicant prequalifies one facility and then seeks to prequalify an additional facility(s) at a later date, the completed application will be lodged with the participating authority that granted the original prequalification which will either:

• undertake the site assessment itself, provided the site is located within its jurisdictional boundaries

• pass responsibility for the site assessment and any subsequent prequalification onto the relevant other authority, or

• in circumstances where the other jurisdiction has not adopted the national category, perform the site assessment itself upon the applicant’s agreement to meet the on-site assessment costs.

Maintenance of Prequalification Status 4.6

Responsibilities of Prequalified Contractors 4.6.1

Once prequalified, a prequalified contractor is bound by the terms and conditions of prequalification for the duration of the prequalification registration period, as detailed in Appendix B.2. Prequalified contactors are also responsible for advising the assessing authority of any changes to its circumstances that have the potential to affect its prequalification status.

Periodic Reviews 4.6.2

Individual assessing authorities may also require prequalified contractors to submit updated financial and/or technical information periodically, and may elect to undertake additional site inspections during the prequalification registration period to confirm that the prequalified contractors continue to meet the requirements of prequalification. For interstate and overseas facilities, such additional site inspections will only be undertaken where reasonably necessary, and where arrangements can be made with the prequalified contractor with respect to the assessment costs.

Participating authorities may also be required to reassess a prequalified contractor’s status during the registration period, which may be prompted by:

• issues of poor performance identified through the performance reporting system

• breach of the terms and conditions of prequalification

• other matters considered relevant by the participating authority.

As with the road and bridge categories, where a prequalified contractor has not sought recognition of its status, the review would be undertaken by the assessing authority. However, where prequalification status has been recognised by other participating authorities, any review would need to be conducted by a committee of representatives from all the relevant authorities.

Performance Monitoring and Reporting 4.6.3

Ongoing satisfactory performance is critical to the maintenance of prequalification status. Performance of prequalified contractors (including quality of supplied product) will be monitored and evaluated by both the assessing authority, and any other participating authorities that have recognised their prequalification status.

Recognising and assessing authorities will assess prequalified contractors’ performance periodically, e.g.:

• following the completion of a contract

• at the authority’s discretion, e.g. when there is a continuing period of unsuitable performance.

Participating authorities may elect to use the template performance report and accompanying scoring guide, copies of which are located in Appendix E and Appendix F, for this purpose.



Upgrading Prequalification Status 4.7

Upgrades from performance Level 1 to Level 2 are initiated by the assessing authority, at its sole discretion.

A prequalified contractor can, however, apply to upgrade its national prequalification status, by adding additional categories, at any time. Where the prequalified contractor wishes to add an additional precast concrete category(s), the upgrade application must be lodged with the participating authority that assessed the initial precast concrete category application. However, where the prequalified contractor wishes to add a non-precast category, e.g. road or bridge, it can do so by lodging an Application Form relevant to that category with any participating authority.

Once an upgrade is awarded, the assessing authority is responsible for advising other participating authorities of the prequalified contractor’s upgraded status. This upgraded status will be recognised by all authorities with which the prequalified contractor had previously obtained recognition, and any that may subsequently provide recognition, subject to any constraints resulting from that contractor’s prequalification status, as described in Section 4.2.

Prequalified contractors can also seek an upgrade of their prequalification status, e.g. from ‘restricted’ or ‘conditional’ to ‘full’ status. Removal of ‘restricted’ status would require the prequalified contractor to have restructured its business into an eligible form of entity. Removal of ‘conditional’ status will generally require rectification of the area of non-conformance with the assessment criteria that resulted in the conditional status being applied, e.g. the prequalified contractor may have been granted ‘conditional’ prequalification status on the basis that its financial capacity was assessed with regard to a guarantee provided by the parent company, but may be able to demonstrate that its financial position has improved to the extent that the guarantee is no longer necessary to provide confidence in its solvency and overall financial fitness.

Sanctions, Reviews and Appeals 4.8

Sanctions 4.8.1

In keeping with the rules established for prequalified contractors in road and bridge categories under the National Prequalification System, if the outcome of a review confirms the need for action with respect to a prequalified contractor’s status, then this action will be managed via a uniform sanctions regime.

Under this regime, any sanction that would normally apply at jurisdictional level, such as cancellation of a contractor’s prequalification status or a downgrading of categories/levels, can apply in multiple jurisdictions where there are recognition arrangements in place. The processes surrounding imposition of any sanction in these circumstances will be coordinated by the Management Committee.

The sanctions regime was specifically designed to preserve the integrity of the mutual recognition framework by ensuring that a prequalified contractor’s categories and status would remain consistent across all the relevant participating authorities. As such, there is the need to accommodate two specific scenarios:

1. Where all participating authorities are affected

Where the basis for the action affects all relevant participating authorities, e.g. there is poor performance across the board, the contractor’s financial or technical capacity is significantly reduced, there is a breach of the terms and conditions of prequalification, etc., then any action, such as a downgrade of performance levels, removal of categories, or cancellation of prequalification status, will apply in all jurisdictions, with all participating authorities.

2. Where not all participating authorities are affected

If the basis for the action reflects an issue that affects only the assessing authority and no recognition arrangements are in place, the sanctions process will be managed by the assessing authority, in accordance with the national rules.



Where recognition arrangements are in place, but the issue only affects the assessing authority that awarded prequalification and is significant enough to warrant cancellation of a contractor’s prequalification status by that authority, then all mutual recognition arrangements will be extinguished. In these circumstances, the entity would need to reapply for prequalification (and subsequently seek mutual recognition, if desired) should it wish to tender for relevant contracts and supply products again in the future.

However, if the issue affects some (but not all) of the participating authorities that recognise the contractor’s prequalification status, the affected authorities may withdraw their recognition of its prequalification status for a designated period of time, which means that the prequalified contractor’s status in the remaining jurisdictions would be unaffected.

Given the potential of the sanctions to apply nationally, the regime is specifically designed to be fair and robust, to ensure prequalified contractors are afforded natural justice at each stage of the process. Figure 4.3 illustrates the decision processes in the sanctions regime.

Figure 4.3: Sanctions process


Proposed sanction

determined

Contractor to show cause why sanction should not be imposed

Matter reviewed by affected road

authorityNo action

taken

Sanction imposed

Reviews and appeals process

Matter referred to Chair of

Management Committee

Matter relevant to prequalification

becomes apparent

START

No action taken

Matter of no relevance to

prequalification

No mutual recognition arrangements registered and matter impacts prequalification

Show cause adequate

Failure to show cause

Mutual recognition arrangements registered and matter impacts prequalification Meeting of


Matter reviewed by Management

Committee

Proposed sanction

determined

Contractor to show cause why sanction should not be imposed

Matter reviewed by affected road

authorityNo action

taken

Sanction imposed

Reviews and appeals process

Matter referred to Chair of



becomes apparent

START


becomes apparent

START

No action taken

Matter of no relevance to

prequalification

No mutual recognition arrangements registered and matter impacts prequalification

Show cause adequate

Failure to show cause

Mutual recognition arrangements registered and matter impacts prequalification Meeting of


Matter reviewed by Management

Committee



Reviews and Appeals 4.8.2

As with the existing road and bridge categories, prequalified contractors will have the right to appeal prequalification and sanction decisions in accordance with the process shown in Figure 4.4.

The process applies to both single-jurisdiction decisions that can be dealt with by the affected participating authority, and multi-jurisdictional decisions that must be addressed at the national level. The only variance between single-jurisdictional appeals and national appeals is who the appeal is lodged with and coordinated by.

Appeals relating to single-jurisdictional decisions are lodged with the participating authority that made the prequalification decision or imposed the sanction.

Appeals of national decisions must be lodged with the chair of the Management Committee (described in Section 1.3.3) and will be reviewed and processed by a panel appointed by the chair in accordance with National Prequalification System operational procedures.

Figure 4.4: Review and appeals process


Prequalified Tendering 4.9

Where prequalification is relevant, participating authorities will seek quotations or call for tenders from prequalified contractors, or specify that products are sourced only from prequalified contractors.

Contractors prequalified in the precast concrete categories under the National Prequalification System with one authority will be eligible to receive and respond to requests for quotation and tender and supply product to other authorities that have recognised their prequalification status under the mutual recognition framework, subject to any local compliance matters that may be advised in the ‘Letter of Recognition’.


application


Prequalification rejected, awarded at lower level or status changed following review

Lodgment of appeal

Prequalification award

Review by original assessors

Appeal referred to appeals panel

Consideration and decision by

panel

Written notification of decision and

considerations

START



Prequalified contractors that are recognised/registered but were not assessed and prequalified in the state/territory in which they responded to quotations or tenders may be required to submit information relating to local assessment criteria at the time of tender. This enables authorities to assess the contractor’s ability to comply with specific local requirements such as legislative requirements, procurement policies, etc.

Recognised entities may request information on local requirements from the appropriate authority at any time.



5. Transition and Implementation

Inclusion of New Specialist Categories into the National Prequalification 5.1System

Inclusion of the new specialist categories into the National Prequalification System will involve a number of implementation tasks. Specific local transition and implementation activities will be managed and delivered by each participating authority in a coordinated fashion, as described in this section.

National coordination and consistency will be achieved through the provision and use of internal guidelines and plans by relevant parties, which may include a:

• communications plan

• transition and implementation plan.

This level of detailed internal communication and planning will ensure all stakeholders receive the same information and experience despite jurisdictional boundaries.

Transition of Currently Prequalified Entities 5.2

All existing jurisdictional precast concrete products categories which cover the same subject-matter as the new national categories will be closed to new entrants and renewals prior to 2 March 2015. New entrants will be assessed under the National Prequalification System from 2 March 2015, and if successful would receive prequalification in the national category(s) and be eligible for recognition of prequalification status in other jurisdictions1.

Depending on the participating authority’s preferred process, entities currently prequalified in jurisdiction-specific precast concrete products categories may be transitioned across to the National Prequalification System in the first instance, and would not be eligible for mutual recognition until such time as a full assessment under the new National Prequalification System category has been undertaken.

Transition and Implementation Arrangements 5.3

The process the participating authorities have agreed to undertake to implement the new national categories and to transition currently prequalified entities to the new National Prequalification System categories is summarised as follows:

1. Identify any entities currently prequalified in precast concrete products categories with more than one participating authority that is planning to implement the new National Prequalification System categories (multi-jurisdictional entities).

2. Review current work activities/business infrastructure of multi-jurisdictional entities, and determine and recommend their home jurisdiction and future assessing authority.

3. Advise all currently prequalified entities (multi-jurisdictional and single) of the planned implementation of the new National Prequalification System categories and the implications for the entities’ prequalification, including the participating authority nominated as their future assessing authority under the National Prequalification System.

1 Only those applicants that achieve ‘full’ prequalification status will be eligible to access the mutual recognition framework.

Applicants that achieve prequalification on a ‘restricted’ or a ‘conditional’ basis may seek mutual recognition, but the granting of recognition is at the sole discretion of the participating authority from which the recognition is sought.



4. Where relevant, determine whether currently prequalified entities’ prequalification status may be transitioned to a National Prequalification System category(s), or whether they will be required to reapply and be reassessed under the National Prequalification System.

5. Participating authorities may advertise for applications in the new National Prequalification System categories.

6. Assess applicants or transition currently prequalified entities across to the new National Prequalification System category(s) and advise of the prequalification status granted.

7. Prequalified contractors may apply to register their prequalification status with other participating authorities under the mutual recognition framework, subject to any documented restrictions or conditions.



6. Conclusions and Recommendations

The proposed national precast categories presented in this report have been developed in consultation with all participating authorities, and the NT. As such, the categories are considered, in principle, to be suitable for adoption by any of the participating authorities.

To achieve the project objectives and finalise the proposed new precast concrete categories in readiness for incorporation into the National Prequalification System, the following recommendations are made:

• release this draft Austroads report to industry for comment

• consider submissions received with a view to finalising this report and amending the proposed new categories, where appropriate

• prepare final recommendations to Austroads.

Provided that Austroads endorse and agree to publish this report (as finalised), the new categories will be formally incorporated into the National Prequalification System from 2 March 2015.



References

Austroads 2010, National prequalification system for civil (road and bridge) construction contracts, AP-R371-10, Austroads, Sydney, NSW.

Standards Australia

AS/NZS 4801:2001, Occupational health and safety management systems: specification with guidance for use.

AS/NZS ISO 9001:2008, Quality management systems: requirements.

AS/NZS ISO 10005:2006, Quality management systems: guidelines for quality plans.



Appendix A Characteristics of Current Prequalification Systems and Schemes Characteristics of Australian state and territory prequalification systems/schemes, including overall framework and application requirements (as at June 2014) are summarised in Table A 1 and Table A 2.

NOTE: For the purposes of the schemes summarised in Table A 1 and Table A 2, applicants for prequalification in NSW and accreditation in the NT are in some instances referred to as ‘contractors’, whereas in QLD they are referred to as either ‘suppliers’ or ‘precasters’.

Table A 1: System/scheme framework

Item NSW NT QLD

Scope of system/scheme Prequalification for the following specialist categories are managed as local add-ons to the National Prequalification System: • C1 – Pretensioned Concrete (Routine) • C2 – Pretensioned Concrete (Complex) Prequalification is required for all contracts valued over $250k (ex GST).

Contractors wishing to submit tenders and quotations valued at > $50k must be accredited by Contractor Accreditation Ltd (CAL). Relevant categories include ‘Precast Concrete – All Types Including Drilling And Cutting’ and ‘Precast Culverts’.

• Suppliers of precast concrete products must be registered as part of the Department of Transport and Main Roads (TMR) standalone ‘Registration System for Supplying Precast Concrete Products’.

• Registration of precast concrete casting yards is given on the basis that it is for a specific manufacturer at a specific, permanent location. Any supplier of precast concrete products wishing to undertake precasting operations at a non-permanent or mobile precasting facility must seek individual registration for each facility or location. Requirements for registration also apply to contractors that may want to cast precast concrete on site for incorporation into a specific project.

Objectives The main objectives of the National Prequalification System are to: • enable participating authorities to assess the capabilities

of contractors and identify those with the requisite technical, managerial and financial capacity to efficiently deliver road and bridge construction contracts in accordance with their specific requirements



• promote best practice in the road and bridge construction

The NT Government supports CAL accreditation as its method of determining whether contractors have the right financial, technical, management and procedural capacity to work on government contracts.

The objectives of the system are to ensure that all precast concrete products proposed for use in TMR projects are obtained from registered suppliers.



Item NSW NT QLD industry


Entity requirements Contractors wishing to become prequalified under the National Prequalification System are assessed against the following four criteria: • company profile • financial capacity • company experience • technical capacity.

For businesses working with government, CAL accreditation is a mandatory pre-qualification to tender for a range of NT Government works and services contracts valued at > $50k.

General Suppliers are required to demonstrate that they have in place and maintain: • appropriate staff numbers with appropriate delegations at

all levels of the organisation to competently undertake the required work and to make changes to processes/practices as necessary (i.e. managers, supervisors and workers)

• appropriately skilled and qualified staff in these positions • equipment which is capable of performing the work in a

safe and efficient manner • the capability to successfully undertake the manufacture

of the required products to the standard(s) and within any specific limitations specified by TMR as a condition of registration

• a suitable 2nd or 3rd party certified QMS to control, document and ensure traceability of the products manufactured and/or distributed

• a suitable inspection and test plan which includes references to TMR specifications for the products supplied and relevant work method statements

• approved mix designs for use in all TMR products and or products supplied in accordance with TMR specifications

• adequate records of testing data from actual products produced

• a system to identify and isolate non-conforming products • a system to identify, isolate and correct non-conforming

processes. Supply chain Applicants/registered suppliers must satisfy both themselves and TMR that such QMSs are in place for the entire supply chain (e.g. manufacturers, suppliers, etc.). It is the



Item NSW NT QLD responsibility of the supplier to ensure that all companies in the supply chain are providing goods produced in accordance with the requirements of the latest versions of AS/NZS ISO 9001:2000, TMR specifications and relevant Australian Standards. Product design All product designs are to be undertaken by competent people considering the intended use of the product and the product specifications, and they must be certified by a competent Registered Professional Engineer, QLD (RPEQ). The precaster must demonstrate a design capability or understanding where required as detailed below: • Precast culverts:

- Small box culverts – load test two different sizes as per MRTS24.

- Large box culverts – submit and gain approval for two different designs as per MRTS24.

• Precast concrete pipes: - Demonstrate compliance as per MRTS25 and

relevant Australian Standard. • Precast fibre reinforced concrete pipes:

- Demonstrate compliance as per standard and/or MRTS26.

• Miscellaneous products: - Construct as per TMR standard drawings or gain

approval of proprietary design. • Prestressed products:

- Construct as per TMR drawings and demonstrate understanding of design issues.

Audits Suppliers seeking registration will be audited, on receipt of: • a new application for registration for each product • an application for renewal of registration of each product. Audits will generally comprise both a technical review and system review. Suppliers applying for registration must



Item NSW NT QLD successfully meet the requirements of an audit if they are to be considered for registration. The audit review will comprise the following elements: • System review:

- review of quality assurance (QA) system to AS/NZS ISO 9001:2000

- check of company details and insurances. • Technical review:

- review of products, manufacturing procedures and test results against specifications and Australian Standards.

• Approval: - the outcomes of the system and technical reviews are

reviewed by the Deputy Chief Engineer (Structures), or delegated authority, who then allocates the approval levels as appropriate.

Mutual recognition N/A for specialist categories. N/A N/A

Documentation • Guidelines • Application form • Assessment guide • Contractor performance report

• CAL brochure • Guidelines for the accreditation of contractors • Application form • NT procurement code • New application fact sheet

• ‘SMP – PCO1 Procedures Manual: Register of Approved Suppliers of Precast Concrete Products’.

• The manual shall be read in conjunction with TMR Standard Specifications, in particular - MRTS03 Drainage, Retaining Structures and

Protective Treatments - MRTS06 Reinforced Soil Structures - MRTS14 Road Furniture - MRTS15 Noise Barriers - MRTS24 Manufacture of Precast Concrete Culverts - MRTS25 Manufacture of Precast Concrete Pipes - MRTS26 Manufacture of Precast Fibre Reinforced

Drainage Pipes - MRTS70 Concrete - MRTS72 Precast Concrete Elements - MRTS73 Manufacture of Prestressed Concrete



Item NSW NT QLD Members and Stressing Units.

Category descriptor(s) C1 – Pretensioned Concrete (Routine) • Demonstrated capacity to produce precast, pretensioned

concrete bridge planks and simple girders. • Knowledge of RMS specifications. • Manager active in operations with at least five years

relevant experience. • Civil engineer on staff or externally. • Key supervisory personnel with at least three years

relevant experience. • Mobile or permanent casting yard facilities available. • An independently audited QA/OHS system that meets the

requirements of a checklist to be provided by the assessing authority or a 3rd party certified IMS (CCF or equivalent).

C2 – Pretensioned Concrete (Complex) • Demonstrated capacity to produce large precast,

pretensioned bridge members (trough girders). • Knowledge of and demonstrated experience with RMS

Specifications. • Manager active in operations with at least 10 years

relevant experience. • Civil engineer on staff. • Key supervisory personnel with at least five years relevant

experience. • Mobile or permanent casting yard facilities available. • An independently audited QA/OHS system that meets the

requirements of a checklist to be provided by the assessing authority or a 3rd party certified IMS (CCF or equivalent).

No specific descriptor. The products and processes requiring registration are: • MRTS24 Manufacture of Precast Concrete Culverts

- Small box culverts – span up to or less than 1200 mm.

- Large box culverts – span greater than 1200 mm. • MRTS25 Manufacture of Precast

- Precast concrete pipes – all diameters. • MRTS26 Manufacture of Precast Fibre Reinforced

Concrete Pipes - Precast fibre reinforced concrete pipes – all

diameters. • MRTS72 Manufacture of Precast Concrete Elements

- Precast concrete road barriers. - Precast concrete noise barriers. - Prestressed concrete noise barriers.

• Miscellaneous items: - arches, wall panels, retaining wall elements - drainage pits and electrical pits.

• MRTS73 Manufacture of Prestressed Concrete Elements - Prestressed concrete piles. - Prestressed concrete deck units. - Prestressed concrete girders.

Oversight The system is managed by the Infrastructure Contracts Branch, RMS.

The accreditation scheme is administered by CAL, a not-for-profit company sponsored by the NT Chamber of Commerce, Territory Construction Association and Small Business Association.

The Deputy Chief Engineer (Structures) or delegated authority is responsible for management of the approval process and the register. This includes removal of suppliers from the register. The Deputy Chief Engineer (Structures), or delegated authority, has final authority to approve or withhold approval of any supplier applying for registration, or for



Item NSW NT QLD renewal of registration. Certain administration activities associated with maintaining the register are undertaken by Contracts and Standards Branch of TMR.

Application form – lodgement

Two copies of the application and supporting information must be provided. The technical information should be separate from the financial information. Applicants are encouraged to submit the application on disc, in a read-only format. Applications cannot be submitted via facsimile.

Applications shall be: • in the form approved by CAL from time to time • accompanied by the non-refundable application fee fixed

by CAL from time to time • lodged with the registrar. Applications for accreditation will not be considered by CAL if the applicant: • has not supplied, in sufficient detail, the information

requested in the application form • has not executed the application form without deletion or

alteration (unless agreed by CAL) • has supplied any information which, after due inquiry by

the registrar, proves to be incorrect to a significant extent, and, if this has arisen through reasonable error or inadvertence, correct information was not supplied promptly.

Suppliers wishing to be considered for listing on the ‘Register of Approved Suppliers’ are required to complete an application form accompanied by the appropriate supporting details. Details must be concise and relevant to the criteria for suitability of applicants defined in the manual. Applicants may contact the Principal Engineer (Concrete Technology) to discuss the information required. Applications must be lodged in writing. Facsimiles will not be accepted. Applications may be submitted at any time, for example: • new applicants • suppliers currently listed on the register but circumstances

have changed in production • resubmission of relevant details in response to routine

requirements for periodic review of all organisations listed on the register.

Applications may not be considered if lodged during a tender process for the purpose of supplying to that tender, or if a contract has already been awarded for the supply of precast concrete to a particular project. Completed applications for registration must be submitted to the TMR Structural Materials Branch.

Application fee N/A First application • Processing fee: $412.50 to be paid at lodgement of

application, plus category accreditation fee of $138.50 per category.

• Sub-group accreditation fee: $69.30 per sub-category. • Rating fee: 0.05% of rating per sub-category. • The maximum accreditation fee will be $635.20 per

category. Renewals

N/A



Item NSW NT QLD • Processing fee: $412.50 to be paid at lodgement of

renewal. • Accreditation renewal: 50% of fee charged for new

accreditation. Upgrades (other than on renewal) • Requiring financial assessment: $412.50. • Not requiring financial assessment: $269.50.

Assessment process The participating authority will assess all applications for prequalification to determine whether or not the applicant meets the requirements of the specific prequalification category or categories, and to determine an appropriate financial level. A mixture of internal and external assessors may be used. Assessment of applications will be based on the following: • information contained in the completed application and

attached supporting documentation • referee reports • documented evidence held by the participating authority

regarding the applicant’s previous performance • information obtained by other participating authorities or

government agencies regarding the applicant’s previous performance.

The participating authority may consider any information in the assessment as is deemed necessary.

Assessment panel • An assessment panel shall be appointed by the board and

shall consist of such persons as the board may from time to time determine.

• The board shall use its best endeavours to ensure that the assessment panel shall comprise a broad representation of all sections of the civil, construction and building services industries and adequate regional representation.

Assessment sub-panels • Assessment of each applicant shall be carried out by an

assessment sub-panel appointed from the assessment panel. Each assessment sub-panel shall be made up of three persons, at least one of whom shall, if possible and depending on the availability and rotation of assessment panel members, be directly involved in the sub-category in which the applicant operates.

• The other members of each assessment sub-panel, to the extent possible, shall represent background and experience complementing those of the first assessment sub-panel member.

• On some occasions, for the sake of convenience, all members of an assessment sub-panel may be from the same sector of the industry and represent similar experience.

• Each assessment sub-panel shall comprise members of the assessment panel appointed by the registrar.

• If an assessment panel member is aware of any circumstance which might impede or make difficult the impartial consideration of any matter to be considered or

The Principal Engineer (Concrete Technology) shall decide firstly whether registration will be granted, and secondly, at what level successful applicants will be registered. Subsequently, the Principal Engineer (Concrete Technology), shall notify the applicant of his/her decision/s.



Item NSW NT QLD under consideration by an assessment sub-panel, they shall forthwith advise the registrar and may be excluded from selection for or continuing to act as a member of that assessment sub-panel.

• The applicant may, at the time of lodging the application for accreditation, advise the registrar in writing of the names of any members of the assessment panel to whom they object as appointees to the assessment sub-panel or assessment review panel chosen to consider or review the application for accreditation. The applicant need not give any reason for the objection.

Timeframe for assessment Applicants will generally be notified in writing regarding which, if any, prequalification category(s) and financial level they have achieved after a minimum of six weeks of their application (providing all relevant information was included), unless significant issues arise during consideration of an application, in which case further information may be sought. Such notifications will include, where warranted, any specific limitations or conditions applicable to the allocated prequalification category.

The whole accreditation process takes four-to-six weeks to complete.

Not specified.

Status types (including provisional/conditional)

Full prequalification status Applies to the following eligible entities: • companies (including newly formed companies • incorporated joint ventures. Restricted prequalification status Applies to the following entities: • unincorporated joint ventures • previously prequalified trusts (to 2 March 2015) • partnerships • government entities. Conditional prequalification status The participating authority may allow conditional prequalification in isolated cases where the applicant does not meet all of the criteria for a particular prequalification category or financial level. In such cases, prequalification

The assessment sub-panel considering the application may grant to the applicant provisional accreditation as certified by the financial consultant, or to a lower financial rating than as so certified, subject to a condition requiring the applicant, at its cost, to undergo a further assessment of financial capacity as recommended by the financial consultant.

Successful applicants may be registered as a Level 1 or Level 2 for each product. If a supplier applies to TMR and passes the audit requirements, initial registration will be at a Provisional Level, Level 1 or Level 2. Provisional level • Suppliers that have not previously undertaken works on

TMR projects and undertake work to prove their competency.

• Suppliers that have been listed as ‘conditionally approved’ for any reason (e.g. mediocre performance or undertaking work on a one-off project basis); or where new equipment and/or concrete mix designs or structural designs warrant limiting conditions.

Level 1 A supplier may remain at Level 1 due to a low volume of work or processes and systems not mature enough to grant Level 2 status. If performance is unsatisfactory, the supplier may be removed from the registration list, or asked to undertake



Item NSW NT QLD may be granted in a particular category or level, on a ‘conditional’ basis. The granting of conditional prequalification is at the sole discretion of the participating authority and would be generally on the basis that there is some benefit to the participating authority in allowing the conditional prequalification. Providing the conditionally prequalified contractor continues to comply with the nominated conditions of their prequalification, they will be eligible to tender for contracts in the categories and financial level they are conditionally prequalified in.

mandatory improvements followed by a reassessment. Level 2 Large volume suppliers with a significant record.

Registration period Three years. Accreditation is reviewed annually. Provisional level Three-to-six months on individual projects. Level 1 Three-to-twelve months. Level 2 One-to-three years. Shorter terms Shorter terms for listing of suppliers may be nominated by Deputy Chief Engineer (Structures) or delegated authority in the following circumstances: • suppliers which have not previously supplied to, or

undertaken works on, TMR projects • suppliers which have been listed as ‘conditionally

approved’ for any reason (e.g. mediocre performance) • where new equipment or products warrant limiting

conditions.

Maintenance of status • Prequalified contractors have an obligation to advise the participating authority of any change in circumstances that may be material to their prequalification status, including any convictions or breaches of legislation or statutory regulations.

• To maintain prequalification status contractors must submit for assessment regular and full updates of information to support its ongoing financial capacity, technical capacity, and experience as follows:

No specific provisions. However, it is implied that accredited contractors must comply with the accreditation policies and guidelines throughout the accreditation period.

• A supplier shall advise TMR of any pertinent changes that may adversely affect the performance of the company or changes to any management details that have previously been identified and collected as part of the registration process.

• A supplier shall also advise TMR of any changes that affects their registration or the suitability of their products to meet the requirements for continuing registration.



Item NSW NT QLD - up-to-date financial information – annually - up-to-date information on ‘Company Profile’,

‘Company Experience’ and ‘Technical Capacity’ – at a minimum of every three years or following a significant change in any of these areas.

• The participating authority will monitor and assess the ongoing performance of each prequalified contractor. Each contractor’s prequalification status will depend on the contractor maintaining a good level of performance in its delivery of the participating authority’s contracts.

• A contractor performance report will be prepared upon completion of each contract. Interim reports may also be prepared during the course of a contract, dependent on the duration of the contract. The reports will be used to promote the process of continuous improvement, to assist in applications for upgrades in prequalification status, to support the contractor’s ongoing prequalification status, and to ensure a common understanding of expectations for both parties regarding the contracted works.

Reviews of status The participating authority may review a contractor’s prequalification status at any time. A review may be initiated, amongst other reasons, for any one of the following: • where conditional prequalification has been granted

subject to a review being carried out following completion of the first contract under the conditional arrangement

• where a contractor’s performance is considered unsatisfactory

• following changes to a contractor’s organisational structure, or technical, financial or management capacity which, in the opinion of the participating authority, may have an adverse effect on the contractor’s performance

• where restrictions on a licence/registration to practise are imposed, or 3rd party certification of a management system is withdrawn or has expired

• for failure to comply with the terms and conditions of prequalification.

No specific provisions. However, it is implied that accredited contractors must comply with the accreditation policies and guidelines throughout the accreditation period.

Not specified. However, registered suppliers must demonstrate satisfactory ongoing performance.

Suspension, cancellation • As a result of a review, the participating authority may, at • CAL shall, upon an assessment sub-panel being satisfied If the performance of a supplier is unsatisfactory, a supplier



Item NSW NT QLD and downgrades its discretion, cancel, downgrade or suspend a

contractor’s prequalification status. If any such action is proposed, the contractor will first be given the opportunity to show cause why its prequalification status should not be adjusted. This shall be undertaken via a formal ‘Show Cause Notice’ to the contractor. The Show Cause Notice shall: - state that it is a notice under the National

Prequalification System terms and conditions - specify the alleged breach - require the contractor to show cause in writing why

the participating authority should not exercise the right to cancel, suspend or downgrade the contractor's prequalification status

- specify the time and date (not more than 10 business days) by which the contractor must show cause.

• The participating authority may make further enquiries to verify the contractor’s responses.

• If by the time specified in a Show Cause Notice the contractor fails to respond or to show reasonable cause why the participating authority should not adjust the prequalification status, the participating authority may cancel, suspend or downgrade the prequalification status without further notice to the contractor.

• The contractor may elect to appeal the imposition of the sanction in accordance with the process outlined in Section 6.4 of the National Prequalification System Guidelines.

Cancellation Examples of breaches that may give rise to cancellation of a contractor’s prequalification status include (but are not limited to): • unsatisfactory performance on one or more contracts

between the contractor and one or more participating authorities

• a Show Cause Notice has been issued in relation to a contract, or a contract has been terminated

that sufficient grounds have been shown by any person or by the registrar and upon the assessment sub-panel so recommending, without prior notice to the contractor, suspend the accreditation of a contractor and shall give notice to the contractor as soon as possible thereafter: - that its accreditation has been suspended - to show cause why its accreditation should not be

cancelled or downgraded to a lower rating. • Suspension of the accreditation of the contractor

concerned shall continue until the decision of the assessment sub-panel referred to in clause 4.3.4 of the guidelines.

• The notice to show cause shall: - specify the grounds upon which CAL considers that

the current accreditation should be cancelled or downgraded to a lower rating

- state briefly the particulars upon which CAL relies in respect of each ground

- invite the contractor concerned to advise CAL within a time to be specified in the notice of its response to the grounds and particulars set out in the notice.

• An assessment sub-panel shall, after the expiry of the time specified in the notice, consider the grounds shown and any response from the contractor concerned and shall recommend to CAL whether or not: - the contractor’s accreditation should be cancelled - the contractor’s accreditation should be downgraded

to a lower rating and the suspension terminated

– suspension of accreditation should continue pending receipt of further information and consideration

– suspension of accreditation should be terminated and accreditation reinstated fully.

• Where the original decision to issue a show cause notice was based in whole or in part on concerns regarding the

may be removed from the register or asked to undertake mandatory improvements followed by a reassessment. Reasons for removal from the register include: • failure to maintain a functioning QMS in accordance with

AS/NZS ISO 9001:2000 • repeated, significant product non-conformances • failure to make adequate management response to

improve systems when required or specifically requested by the Deputy Chief Engineer (Structures), or delegated authority

• failure to address environmental and workplace health and safety issues

• fraudulent operation of systems, including: - falsifying test results - failing to inform TMR, or its representatives, of non-

conforming tests or products - delivery of a product in the knowledge that it does not

comply with the specifications and/or drawings. TMR may also elect to de-register a precaster from the approved suppliers list if they do not supply product to the QLD Government for a period of 12 months. The supplier shall be notified of their removal from the register in writing by the Deputy Chief Engineer (Structures) or delegated authority together with the reasons for the decision.



Item NSW NT QLD • the prequalified contractor has been placed into voluntary

administration or involved in a compromise or other arrangements with creditors

• an adverse change in the organisation’s management systems or technical capability (including availability of key personnel) from that on which the prequalification level was assessed such that the contractor no longer fully meets the requirements for prequalification at any level

• where changes have been made to prequalification and the contractor has been given a nominated period of time to comply with the changes but fails to do so

• where a contractor has been granted conditional prequalification subject to it meeting certain requirements and it fails to meet those requirements within the stipulated timeframes

• where the contractor is experiencing financial problems, as verified by the participating authority or committee.

Suspension Prequalification may be suspended in particular circumstances, such as where the contractor is experiencing a temporary problem and is unable to satisfy all of the prequalification criteria in the short term. In such circumstances, the contractor's prequalification may be suspended until the temporary problem is remedied and the contractor is again able to satisfy all of the criteria corresponding to the level of prequalification granted. Downgrading Examples of breaches that may give rise to downgrading of a contractor's prequalification status include (but are not limited to): • repeated minor contractual or prequalification system non-

compliances where, in the opinion of the participating authority, there is an unacceptable risk in allowing the contractor to remain prequalified at their current prequalification level, but the contractor is able to demonstrate that it can fully comply with the prequalification requirements for a lower level of

contractor’s financial performance, the assessment sub-panel may direct the contractor to undergo assessment of financial capacity in accordance with clause 3.4.2.3 of the guidelines at the contractor’s expense prior to making a final determination in its case.

• CAL shall reinstate or cancel or downgrade or continue the suspension of the contractor’s accreditation in accordance with the recommendation of the assessment sub-panel.

• CAL shall advise the accredited person, in writing, of the decision of the assessment sub-panel, the reasons therefore and any cancellation or downgrading to a lower rating resulting there from. The contractor may, on written application to the registrar, request a review of the recommendation of the assessment sub-panel by an assessment review panel.



Item NSW NT QLD prequalification

• an adverse change in the organisation’s management systems or technical capability (including availability of key personnel) from that upon which the prequalification level was assessed, but the contractor can demonstrate that requirements for a lower level of prequalification are met.

Appeals process Reviews The contractor may request a review of the decision by the original assessors, providing sufficient additional information is submitted to warrant a review. Any request for a review must be lodged with the participating authority as appropriate within 20 business days of the date of the letter advising of the prequalification decision. Appeals • Requests for appeals must be lodged with the

participating authority within 20 business days of the date of the letter advising of the prequalification decision.

• The appeal will be heard by a specially convened appeals panel with the following characteristics: - minimum of three members - excludes the original assessors/committee members - includes one independent industry representative,

chosen by the appellant from a pool of three put forward by the participating authority. (Note: the appellant must make the selection of an industry representative within the time period specified by the participating authority).

• The appeals panel will be convened within five business days of lodgement of the appeal.

• The appeals panel will review the original decision, and may also consider new/additional information.

• The appeals panel will provide written reasons for its decision within 20 business days of the hearing.

The appeals panel decision will be final and binding on both the participating authority and the appellant.

• Applicants can also request the review of a decision of an assessment panel/sub-panel on payment of a $200 fee.

• The appeal will be heard by an assessment review panel comprising a chair and four members other than those participating in the original decision.

• The review is limited to a review of the reasons of the original decision and information relied on.

• The assessment review panel may seek assistance from professional consultants, other than the financial consultant, including a liaison officer appointed by the NT Government.

• All review decisions will be provided in writing.

• Applicants not satisfied with the decision of the Director (Structural Materials) or Principal Engineer (Concrete Technology) to reject their application, or accept their application subject to certain conditions or restrictions; may appeal the decision to the Deputy Chief Engineer (Structures) or delegated authority.

• Applicants not satisfied with the decision of the Deputy Chief Engineer (Structures) or delegated authority may then appeal to the Chief Engineer (Engineering and Technology).

• Suppliers not satisfied with a decision to remove them from the register; or make their continued registration subject to certain conditions or restrictions, may appeal in the same manner as that described above.

• Any appeals must be: - in writing - received within 28 days from the date the supplier is

notified of a decision - be accompanied by arguments supporting the appeal - be accompanied by information to support the

appeal. • All appeals will be considered in an expeditious manner

and the appellant will be informed in writing of any decision within 28 days of receipt of the appeal.



Item NSW NT QLD

Upgrading of status • A prequalified contractor may apply for an upgrade of its prequalification status at any time by completing and submitting a new application form. The application form may be lodged with any participating authority. If the application for an upgrade is approved, the upgraded categories/financial level will be recognised by other participating authorities with which the contractor’s prequalification status is recognised.

• In submitting an application for an upgrade in a prequalification category or financial level, a contractor must be able to demonstrate that its circumstances have changed sufficiently since its last prequalification application was assessed. As such, it may not be necessary for the applicant to complete the entire form. However, sufficient details supporting the request for an upgrade must be provided.

• Temporary upgrades for the purpose of tendering for specific contracts will not be provided.

An accredited contractor may, at any time, apply for: • accreditation to a higher rating • accreditation in categories, groups or sub-groups other

than that for which they hold current accreditation. Such application shall be in a form acceptable to the Registrar as providing sufficient information to enable full and proper assessment of the applicant’s financial capacity and the other criteria for accreditation, at the higher level, having regard to information previously supplied to CAL by the applicant.

Not specified.

Publication of status Lists of prequalified contractors may be made publicly available by the participating authority. Details may include: • name and address of organisation • unique identifier i.e. ABN, ACN and/or ARBN • categories and financial level prequalified in • date of the last assessment • notice that the contractor’s prequalification status is under

review.

The following data only will be made available to users in respect of any accredited contractor: • name • accreditation number • accreditation category, group, sub-group and rating • contact details such as postal and email addresses and

phone and fax numbers.

Successful suppliers (except those granted Provisional Level) will be listed on the TMR Register of Approved Suppliers.



Table A 2: Application requirements

Item NSW NT QLD

Eligibility criteria The following entities are not eligible for prequalification: • sole traders • unincorporated partnerships.

Not specified. Not specified.

Organisation details (Referred to as ‘Preliminaries’ under National Prequalification System)

Standard National Prequalification System information, e.g.: • address, contact details, ACN, ABN • details of business entity • membership of industry associations • details of category(s) applied for.

• Address, contact details, ACN, ABN. • Acknowledgements, releases and indemnities. • Authority to collect and supply information. Note: Section combined with ‘Company Profile’ (below). • Categories, groups, sub-groups and ratings applied for. Note: Standalone section.

Standard information, e.g.: • address, contact details, ABN • details of business entity • details of registration sought.

Company profile/Business information

Per the National Prequalification System, including: • organisation chart showing the relationships between the

applicant and parent and/or subsidiary companies, including names of principals, directors and partners, stability of organisation

• senior management • general performance.

• Directors, partners and owners. • Details of business entity.

• Details of company organisation, including directors, partners and owners.

• History of bankruptcy, etc.

Insurances Not specified. Provision of certificates of currency for: • public liability • builders warranty/insolvency insurance • workers compensation insurances (where staff are

employed).

Details of the following insurances: • public liability (value, expiry date, underwriter) • workers compensation (value, expiry date).

Company experience Current projects • client contact details • location • contract administrator / superintendent / principal’s

representative contact names and details • description of project • special features of project (if any), such as complex

Project information relating to a minimum of three projects: • contract no. • location of project • contract type • client contact details • commencement date

Past experience Details of the number of years of experience the organisation has manufacturing each product for which it is seeking registration, including a list of major projects, particularly TMR-related projects, for which the organisation has manufactured products. Current projects Details of products the organisation is currently



Item NSW NT QLD project management, traffic control,

• service relocations, construction method for various elements of work, etc.

• form of contract (AS 2124, AS 4300, etc.) • type of contract (lump sum, schedule of rates, etc.) • contract value at award • start date • date for practical completion • original contract period (weeks) • names of contractor’s key operational personnel

employed on contract • principal subcontractors’ contact names and details • value of subcontracted work • photographs and sample of plans, if available • a detailed description outlining why this project is relevant

to the prequalification category(s) applied for • referee details. Completed projects As above, together with the following details: • actual completion date • whether liquidated damages were applied. Other • history of contract completion • project management • partnering/relationship management • community/stakeholder engagement.

• date for practical completion • actual completion date • details of penalties applied • other information.

manufacturing, particularly those related to TMR projects. Other History of contract completion

Financial capacity The following details must be provided: • group structure • audited annual report/financial statements for the last

three years

The following details must be provided: • ATO reports:

- lodgement status reports for last 12 months - integrated client account list for last 12 months.

N/A



Item NSW NT QLD • management accounts that are no more than three

months old • details of any debt facilities (type, amount, term,

repayment arrangements, security details), including any undrawn credit lines

• details of any encumbrances over business assets • details of any contingent liabilities, including guarantees

provided • details of any financial covenants by which the business

must adhere for any loan facilities • details of any current or pending legal action against the

directors or company • availability of guarantees (financial or performance), which

includes any cross-guarantees that may apply between group entities

• details of key management positions (name, position held, qualifications, experience)

• governance practices, including details of accounting policies and controls, budget preparation processes, internal financial skills and qualifications, internal financial

• management reporting and review processes. Additional information: • cash flow • capacity to borrow – current bank facilities.

• Completed statement of assets and liabilities. • Completed debtor and creditor analysis information. Applicants seeking a rating of $100k or more must also provide the most recent profit and loss statement, balance sheet and notes prepared by accountant (or tax return for sole traders).

Personnel Total employees A detailed and current version of an organisational chart that clearly relates to the applicant’s local 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. Key operational personnel Names, qualifications, roles and responsibilities of all key operational personnel permanently employed in this

• Human resources: • managerial staff • administrative staff • professional staff • technical/qualified staff • trainees/apprentices • unqualified staff. Copies of relevant business and individual licences to be

Details of qualifications and experience of all managerial, supervisory and operational staff.



Item NSW NT QLD 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 – to be specified). CVs to be provided.

provided.



Item NSW NT QLD

Resources/equipment Details of the methodology and sources proposed for the supply of plant and equipment to meet the participating authority’s requirements and identification of the principal sources of supply.

Details of plant and equipment relevant to the category(s) sought.

Applicant precasting yards must supply the following details in relation to their manufacturing plant: • the type of concrete mixing plant – e.g. split drum, pan

type, mobile or permanently located • the method of batching concrete • the method and facilities for transferring concrete from

batching plant to casting area • the methods and facilities for placing concrete, including

details of compaction equipment • a brief description of the entire manufacturing process,

including the plant’s rated capacity • details of the stressing bed/s and jacking methods,

including the size and number of jacks, and the method of releasing tension

• formwork details, including who designs and manufactures it

• the safety equipment in use during manufacture of products

• the facilities and arrangements for storage and handling of all component materials

• the equipment used for steam curing of concrete, including proposed time/temperature curves and methods for monitoring steam curing

• incorporation of an efficient system which effectively traps dust and excess noise

• arrangements for the curing and testing of concrete test cylinders

• details of the cylinder test machine including its type, capacity, the operator’s name

• how it is calibrated and by whom, and a copy of the current calibration certificate.



Item NSW NT QLD

Quality management system (QMS)

Certification IMS independently audited by: • a conformity assessment body accredited by the Joint

Accreditation System for Australia and New Zealand (JAS-ANZ) to the relevant standard; or

• registered by RAB-QSA (or equivalent), with experience in the civil construction industry.

Utilisation of QMS • Corporate quality policy. • Sample/example quality plan. • Sample/example inspection and test plan.

• Name of quality manager. • Details of quality system, and confirmation of quality plan

available for inspection. • Details of any 3rd party certification. • Date of last independent audit. • Statement of capability to prepare, implement and operate

under a contract-specific quality plan.

• Quality manual. • Details of 3rd party certification to ISO 9001:2000 or 2nd

party certification (alternatively, a controlled copy of the quality assurance manual and procedures manual).

• An inspection and test plan, work method statements and relevant mix designs if applicable.

• Evidence of use of the QMS on relevant projects may be requested.

Environmental management system (EMS)


Accreditation System for Australia and New Zealand (JAS-ANZ) to the relevant standard, or


Utilisation of EMS • Corporate policy on environmental management. • Sample/example environmental management plan.

N/A • The applicant’s EMS should be established along the lines of AS14004: 2004 and in accordance with all requirements and obligations defined in the Environmental Protection Act 1994.

• Evidence of use of the EMS on relevant projects may be requested.



Item NSW NT QLD

OH&S management system (OHSMS)


Accreditation System for Australia and New Zealand (JAS-ANZ) to the relevant standard, or


Utilisation of OHSMS • Corporate OH&S policy. • Sample/example OH&S plan. (or details of accreditation under Australian Government Building and Construction OHS Accreditation Scheme).

• Details of accreditation under the Australian Government Building and Construction OH&S Accreditation Scheme.

• Details of person responsible for implementing the safety requirement in the organisation.

• Statement to demonstrate understanding of obligations under the Workplace Health and Safety Act and the Work Health (Occupational Health and Safety) Regulations.

• Details of safety management system and written safety plan which takes into account legislative obligations.

• Applicants are expected to supply summary information that enables assessment of their OHSMS for meeting their obligations under the Workplace Health & Safety Act 1995 and subsequent amendments and regulations. This information must include: - a summary of the site management plan formats

utilised by the applicant; and/or - a summary reference to the applicant’s documented

safety management systems; and - a list of recent relevant projects on which the above

have been utilised. • It is expected that the applicant’s OHSMS will be

established generally along the lines of AS 4801. • Evidence of use of the OHSMS on relevant projects may

be requested.

Traffic management • Policy and procedures. • Evidence of utilisation of the traffic management

procedures on relevant projects. • 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.

• 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.

N/A N/A



Item NSW NT QLD • Details of the number of traffic-related accidents which

occurred at the applicant’s worksites over the last three years.

• Minimum of three most recent traffic management plans applicable to the level of prequalification sought. Details of their effectiveness and whether there were any traffic-related accidents.

• Details of whether the applicant ever received a complaint by any previous client in relation to inadequate worksite traffic management.

Industrial relations N/A Details of labour relations: • use of subcontractors • statement of awareness and meeting of current

obligations under the Superannuation Guarantee (Administration) Act.

N/A

Referees Details of at least five referees. Trade referees: • creditor details • accountant details.

Applicants are required to supply details of recent experiences in the manufacture of the nominated products as relevant to their application. These details are to include the names and phone numbers of persons who can be contacted in order to obtain verification of satisfactory manufacture and performance of these products.

Other Industry affiliations Requested as part of ‘Preliminaries’.

Training • Statement of awareness and compliance with obligations

under NT Government policy regarding the employment of trainees and apprentices.

• Details of formal staff training/development policy. • No. of trade/technical trainees (as defined in the NT

Employment and Training Authority Act) employed or sourced from a group scheme in the last two years.

• No. of trade/technical trainees (currently employed or sourced from a group scheme.

• Statement of intention to increase trainees numbers in the next 12 months.

• Amount spent on staff training/development.

N/A



Item NSW NT QLD Local commitment • Details of where the business is established. • Details of whether the business employs a majority of

local staff on local projects. • Details of whether the business rents or owns local

premises. • Details of whether profits are kept or distributed locally. • Undertaking to give preference to locally sourced supplies

where price, performance, quality, suitability and other evaluation criteria are comparable.

Codes and schedules • Acknowledgement of understanding of compliance

obligations under the NT procurement code. • Acknowledgement of understanding of compliance

obligations under the NT Government policy relating to the employment of apprentices and trainees on government contracts and agreement to comply.

Contract control Details of contract administrator (name, qualifications and years of experience).



Appendix B Prequalification Guidelines Disclaimer

The National Prequalification System has been specifically established to meet the requirements of participating authorities, and participating authorities rely on an Applicant’s own documentation in undertaking any assessments.

Other persons and organisations seeking to deal with a Prequalified Contractor must rely on their own independent enquiries and judgment. The Participating Authority and its officers, employees and agents do not represent that any Prequalified Contractor is technically, financially or otherwise sound.

These Guidelines, together with the Application Form, outline the minimum requirements of the National Prequalification System adopted by the Participating Authority as it applies to specialist categories relating to the manufacture and supply of precast concrete products. The Participating Authority reserves the right to expand upon these requirements or any of the processes outlined in these Guidelines as appropriate to better reflect its local requirements. Where possible, the local contracting industry will be consulted before any significant changes are introduced.

To the extent permitted by law, the Participating Authority and its officers, employees and agents are not liable for any costs, loss, damage or injury (howsoever caused) incurred by any person as a result of the exercise of the discretion to grant prequalification, downgrade performance levels, remove categories, suspend or cancel a Prequalified Contractor’s prequalification status.

B.1 Introduction

B.1.1 Definitions

In this document, unless the context precludes it, the following terms have the following meanings:

• Applicant means the legal entity lodging the Application.

• Application means the completed submission (‘Application Form’) lodged by the Applicant seeking prequalification of its manufacturing facility.

• Guidelines mean this document.

• Jurisdiction is the jurisdiction nominated in Item 1 of the Schedule.

• National Prequalification System means the National Prequalification System for Civil (Road and Bridge) Construction Contracts developed by Austroads.

• Participating Authority is the road agency listed in Item 2 of the Schedule.

• Prequalified Contractor means a specific manufacturing facility owned or operated by the Applicant that has been awarded prequalification under the National Prequalification System.

• Schedule means the Schedule to these Guidelines.

• Tender includes quotation, proposal or registration/expression of interest.

B.1.2 Overview

Prequalification under the National Prequalification System is a prerequisite for the supply of precast concrete products for the Participating Authority or its contractors and agents in circumstances where prequalification in the nominated category(s) is a stated requirement.



The prequalification applies to an entity operating a specific manufacturing facility. Consequently, entities that manufacture precast concrete products at a number of different sites must separately apply for prequalification of each individual facility or yard. This requirement also applies to non-permanent or mobile precasting facilities, including on-site facilities established for specific projects.

Manufacturing facilities are approved for prequalification based on an assessment of the Applicant’s organisational profile, experience, financial capacity (where applicable), and the capacity and capability of the manufacturing facility and its personnel to manufacture products that meet the Participating Authority’s specifications and requirements.

Prequalification must be in effect at the time specified in Item 3 of the Schedule.

The Participating Authority may advertise for prequalification periodically and eligible entities may apply for prequalification at any time. Prequalification is granted for the time period nominated in Item 4 of the Schedule.

Prequalification is not required for any excluded work listed in Item 5 of the Schedule.

Prequalification in other categories under the National Prequalification System does not confer any prequalification status in the precast concrete categories described in these Guidelines. In other words, entities already prequalified in road or bridge construction categories or other specialist categories under the National Prequalification System and/or jurisdiction-specific prequalification schemes must apply separately for prequalification in the precast concrete category(s) described herein. However, for entities already prequalified under the National Prequalification System, an abridged application and assessment process may apply. Such entities should contact the Participating Authority for further information regarding the process for prequalifying in these circumstances.

Eligibility requirements are described in these Guidelines, along with the terms and conditions of prequalification, the assessment criteria against which Applications will be assessed, and the process that will be undertaken by the Participating Authority to assess and review the Applications.

B.1.3 Background

Prequalification is a risk mitigation strategy for Australian road agencies, which does not simply consist of a one-off assessment but is, in fact, a continuous process of review comprising:

• an initial assessment of an Applicant’s capabilities at the time of lodgement of an Application (including its operational management systems) and periodically throughout the registration period

• financial and/or technical checks during the tender assessment process, before a contract is awarded

• assessment of a Prequalified Contractor’s performance in contract, at the completion of contracts, and at other times when a review may be warranted

• in some jurisdictions, periodical renewal of prequalification via submission of a new Application.

The National Prequalification System was developed on behalf of Austroads by a Working Group comprising senior contract services personnel from state and territory road agencies. It commenced on 1 January 2011 and initially included road and bridge construction categories and corresponding financial levels only. Specialist categories, including the precast concrete categories described in these Guidelines, are being progressively introduced into the National Prequalification System.

Oversight of the National Prequalification System is provided by the National Prequalification System Management Committee (‘Management Committee’), which includes representatives from all the participating authorities.



B.1.4 Objectives

National Prequalification System objectives

The main objectives of the National Prequalification System are to:

• enable participating authorities to assess the capabilities of Applicants and identify those with the requisite technical, managerial and financial capacity to efficiently deliver contracts in accordance with their specific requirements



• promote best practice in the road and bridge construction industry


Category objectives

The objectives of the precast concrete categories described in these Guidelines include to:

• promote safe, consistent and high-quality manufacturing of precast concrete products that meet the participating authorities’ specifications and requirements

• ensure that all precast concrete products used in the participating authorities’ projects are obtained from facilities that are appropriately prequalified.

B.1.5 Prequalification Status Types and Recognition Arrangements

A successful Applicant will be granted one of three prequalification status types – ‘full’, ‘restricted’ or ‘conditional’. These status types reflect the Applicant’s level of achievement against both the eligibility criteria for prequalification and the assessment criteria for prequalification as described in these Guidelines.

Inclusion of a mutual recognition framework into the National Prequalification System was identified as one way of reducing the burden on potential contractors from applying for and maintaining prequalification with many separate authorities, each of which previously had slightly different requirements.

Under the mutual recognition framework, an Applicant that achieves prequalification with one participating authority will be able to apply for its prequalification status to be recognised by other participating authorities that have adopted the relevant category(s), subject to any listed restrictions or conditions applicable to its prequalification status type.

Participating authorities that have agreed to adopt the national precast concrete products categories, as at 2 March 2015 are listed in Table B 1:

Table B 1: Participating jurisdictions and authorities

Jurisdiction Authority

New South Wales Roads and Maritime Services, New South Wales (RMS)

Victoria Roads Corporation, Victoria (VicRoads)

Queensland Department of Transport and Main Roads, Queensland (TMR)

South Australia Department of Planning, Transport and Infrastructure, South Australia (DPTI)

Australian Capital Territory Commerce and Works Directorate

Tasmania Department of State Growth



The key characteristics of each status type, and the implications of status type on a prequalified contractor’s mutual recognition prospects, are described in Table B 2.

Table B 2: Prequalification status types

Status type Applicability Effect

Full An Applicant that meets both the eligibility criteria and satisfies all of the assessment criteria under the National Prequalification System will be awarded ‘full’ prequalification status.

An Applicant that achieves ‘full’ prequalification status is:

• eligible to submit quotations and tenders and supply products for the Participating Authority’s contracts in the category(s) it is prequalified in

• entitled to obtain recognition of its prequalification status with any other participating authority that has adopted the relevant category.

Restricted Where an Applicant does not meet the nationally agreed eligibility criteria for prequalification (i.e. the entity is a type other than a company or incorporated joint venture) it may seek prequalification with a participating authority that accepts that particular type of entity. Where successful, the Applicant will be provided with ‘restricted’ prequalification status.

• An Applicant that achieves ‘restricted’ prequalification status is eligible to submit quotations and tenders and supply products for the Participating Authority’s contracts in the category(s) it is prequalified in.

• An Applicant that achieves ‘restricted’ prequalification status is not automatically entitled to obtain recognition of its prequalification status with other participating authorities. However, it is not precluded from requesting recognition from other participating authorities, which may be granted at the other participating authority’s sole discretion.

Conditional Where an Applicant meets the eligibility criteria for prequalification in the relevant category but does not fully meet all of the assessment criteria (e.g. it does not have 3rd party management systems) an authority may, at its sole discretion, grant ‘conditional’ prequalification status. The Participating Authority’s position on conditional prequalification is stated in Item 6 of the Schedule.

• Providing a conditionally Prequalified Contractor continues to comply with the nominated conditions of its prequalification, it will be eligible to submit quotations and tenders and supply products for the Participating Authority’s contracts in the category(s) it is conditionally prequalified in.

• An Applicant that achieves ‘conditional’ prequalification status is not automatically entitled to obtain recognition of its prequalification status with other participating authorities. However, it is not precluded from requesting recognition from other participating authorities. Such recognition may be granted, at the other participating authority’s sole discretion. In some instances recognition will be granted on the basis that the Prequalified Contractor agrees to the same conditions or similar conditions to address the other authorities’ specific requirements.

Recognition of prequalification is not automatic and must be initiated by the Prequalified Contractor via submission of a ‘Registration Form for Mutual Recognition’, a copy of which can be obtained from the Participating Authority from which the recognition is sought. The completed ‘Registration Form for Mutual Recognition’ must be accompanied by evidence of currency and scope of prequalification with the assessing authority.



B.2 Terms and Conditions of Prequalification

B.2.1 General

Applicants for prequalification and Prequalified Contractors are required to comply with the terms and conditions and associated procedures described in this Appendix B.2.

B.2.2 No Guarantee of Work

Prequalification is not to be construed as a guarantee of work. Prequalification only determines a Prequalified Contractor’s eligibility to supply products and tender for work, subject to meeting any local legislative/regulatory requirements. Participating authorities apply government procurement principles, including value-for-money, in the assessment and selection of tenders.

Please note: Participating authorities are not precluded from adopting alternative forms of tendering (for example, open tenders or expressions of interest) for specific contracts for which prequalification may not be relevant or suitable.

B.2.3 Application Requirements

To obtain prequalification of its manufacturing facility, an entity (‘the Applicant’) must submit a completed Application Form with supporting information that addresses all specified criteria.

Applicants seeking to prequalify multiple facilities at the same time must complete and submit a separate Application Form for each facility. However, the ‘Company Profile’ and ‘Financial Capacity’ (where applicable) sections of the Application Form only need to be completed once, for the first Application lodged.

In submitting its Application, the Applicant gives permission to the Participating Authority to carry out such investigations as are considered necessary to evaluate the Application and to determine whether it meets the relevant prequalification criteria. These investigations include, but are not limited to, a company search, bank reference checks, and a full site assessment.

In undertaking its assessment, the Participating Authority may take into account other information in its possession, or information provided by other participating authorities or government agencies.

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

B.2.4 Confidentiality

The Participating Authority may refer an Applicant’s documentation to its external assessors for assessment. External assessors are required to maintain confidentiality of all information received. However, in lodging an Application, Applicants agree to provide the necessary authority to enable searches and enquiries to be carried out.

Information submitted in an Application for prequalification will be treated as commercial-in-confidence and will not be disclosed to any party outside the Participating Authority and its assessors unless the Participating Authority is legally required to do so for the purposes of obtaining legal or financial advice, or in relation to appeals regarding prequalification decisions.

Once prequalified, a Prequalified Contractor’s details, including details of its performance on specific contracts, may be shared with other participating authorities and government agencies for the purpose of monitoring performance and to determine continued eligibility for prequalification.



Lists of Prequalified Contractors may be made publicly available by the Participating Authority, or on the National Prequalification Database. Details may include:

• name and contact details (address, telephone number and email address)

• unique identifier of Applicant, i.e. ABN, ACN and/or ARBN

• categories and, where relevant, financial level prequalified in

• name of the assessing authority and date of the last assessment

• details of recognition of the Prequalified Contractor’s status by any other participating authorities

• notice that the Prequalified Contractor’s status is under review (refer to Section B.6.3)

• additional details listed in Item 7 of the Schedule.

B.2.5 Change of Circumstances

Prequalified Contractors have an obligation to advise the Participating Authority of any change in circumstances that may be material to their facility’s prequalification status, including any convictions or breaches of legislation or statutory regulations.

Further information is provided in Section B.6 of these Guidelines.

B.2.6 Governing Law

These terms and conditions shall be governed by the laws of the state or territory nominated in Item 1 of the Schedule, and each party submits to the exclusive jurisdiction of the Courts in that state or territory.

Where appropriate, the reviews and appeals process outlined in Section B.6.5 will be utilised.

B.2.7 Other

The Applicant and Prequalified Contractor must comply with any local jurisdictional requirements, including state/territory or Participating Authority procurement codes. These are listed in Item 8 of the Schedule and may be assessed during prequalification, during tender assessment and/or during contract delivery.

B.2.8 Applicant’s Undertaking

Acceptance of terms and conditions

In applying for prequalification of its manufacturing facility (including renewal, where required by the Participating Authority) or upgrading, the Applicant is deemed to have accepted the terms and conditions of prequalification, which the Applicant acknowledges and accepts may be varied from time to time.

Accuracy of Application information

The Applicant must ensure that all particulars in the Application are true and correct in every detail.

Use of prequalification status for advertising and promotion

The Applicant agrees not to use any information relating to its prequalification status or contract performance in its advertising or promotional material or publish such information in any form without the express written consent of the Participating Authority. The Applicant further agrees that it accepts full responsibility for any consequences arising from the use of such information.



B.3 Prequalification Categories and Performance Levels

B.3.1 Prequalification Categories

Broadly speaking, manufacturing facilities seeking prequalification in one or more of the precast concrete products categories must demonstrate the capacity and capability to produce items of the types described in Table B 3.

Table B 3: Prequalification categories for precast concrete products

Pretensioned (routine) Pretensioned reinforced components (complex)

Precast products Pipes and poles

• Piles

• Deck units

• Bridge planks

• Girders

• Match cast girder segments

• Other pretensioned components

• Box culverts

• Traffic barriers

• Bridge parapets • Pits

• Wall panels (flat panels), RSS wall panels

• Noise barriers • Wing walls and head

walls (one piece or multi-piece)

• Arches • Piles (not pretensioned)

• Steel- reinforced concrete pipes

• Fibre-reinforced concrete pipes

• Concrete poles

B.3.2 Performance Levels

Applicants that achieve prequalification, of any status type, will be allocated a performance level – either Level 1 or Level 2. Only those Prequalified Contractors that demonstrate a strong performance record, based on significant volumes of supply with consistent quality outcomes over a period of time, will be eligible to progress to Level 2.

An upgrade to Level 2 will be initiated by the Participating Authority, at its sole discretion.

B.4 Prequalification Requirements

Applicants for prequalification are required to meet eligibility criteria, and to demonstrate sufficient achievement across the four over-arching criteria against which Applications are assessed.

The eligibility criteria and assessment criteria are described in this Section B.4.

B.4.1 Entities Eligible for Prequalification

The following entities are eligible to seek prequalification of their manufacturing facilities under the National Prequalification System:

Companies

Companies that possess appropriate levels of capacity and capability and relevant experience in the manufacture of precast concrete products are eligible to apply for prequalification of their manufacturing facility.



Civil engineering companies involved in the construction and/or maintenance of roads and bridge structures that possess appropriate levels of capacity and capability and relevant experience in the manufacture of precast concrete products are also eligible to apply for prequalification of their manufacturing facility.

Newly formed companies

It is acknowledged that newly formed companies will not be in a position to provide details of any significant past experience or financial capacity. As such, the suitability for prequalification of facilities owned or operated by newly formed companies will be assessed by the Participating Authority on a case-by-case basis, taking the Applicant’s circumstances into account.

Incorporated joint ventures

An incorporated joint venture is a separate legal entity that may have been formed specifically to undertake a project or projects. The entity may draw upon the resources (technical and/or financial) of the entities supporting the joint venture.

An incorporated joint venture applying for prequalification of its manufacturing facility must meet the criteria for prequalification in its own right. The Participating Authority recognises, however, that a newly formed joint venture may have difficulty satisfying some of the financial criteria (such as profit performance) and will therefore apply the same principles outlined above regarding newly formed companies.

B.4.2 Entities Eligible for Restricted Prequalification

Other forms of legal entity may also be eligible for prequalification of their manufacturing facilities where specified by the Participating Authority, as further described below.

Unincorporated joint ventures

Where specifically allowed by participating authorities, unincorporated joint ventures may seek prequalification of their manufacturing facilities on a ‘restricted’ basis, which will enable the facility to tender for work and supply products in the relevant state or territory only. Mutual recognition is not automatically available to facilities prequalified on a restricted basis.

Prequalification Applications from unincorporated joint ventures must include:

• a copy of the joint venture agreement

• the structure of the joint venture

• details of key personnel from each of the joint venture parties

• details of the management systems to be used by the joint venture.

Whilst it is acceptable to nominate the certified management systems of one of the joint venture parties for use by the joint venture, a statement should be provided to demonstrate how the systems will be integrated across the group and how other joint venture parties will be made familiar with the system details.

Trusts, individuals, sole traders, partnerships, government and other entities

Where specifically allowed by participating authorities, these entity types may seek prequalification of their manufacturing facilities on a ‘restricted’ basis, which will enable the facility to tender for work and supply products in the relevant state or territory only. Mutual recognition is not automatically available to facilities prequalified on a restricted basis.

A list of the entity types that are eligible to apply for prequalification of their manufacturing facilities can be requested from the Participating Authority listed in Item 2 of the Schedule.



B.4.3 Excluded Entities

Related entities

Prequalification does not extend to manufacturing facilities owned or operated by related or subsidiary companies or entities of a Prequalified Contractor. Any such company or entity must apply separately for prequalification of their facilities.

Other

Other types of entities’ facilities may also be excluded by the Participating Authority; these are listed in the Schedule in Item 9.

B.4.4 Assessment Criteria

Company profile

The Applicant’s company profile will be assessed to determine suitability for prequalification of their nominated facility, including in the following areas:

• organisational structure

• stability of organisation

• senior management

• industrial relations

• insurances

• general performance

• management system certification in the areas of quality management and occupational health and safety (OH&S) management, as per Table B 4.

Table B 4: Summary of management certification requirements

Quality management system OH&S management system*

Full 3rd party AS/NZS ISO 9001:2008 Full 3rd party AS/NZS 4801:2001 OR A 3rd party certified Integrated Management System (CCF or equivalent).

*Applicants that are accredited with the Office of the Federal Safety Commissioner are deemed to meet all of the OH&S requirements for prequalification.

Applicants are required to demonstrate that they have in place a quality management system and an OH&S management system that has been certified/audited in one of the ways described above. Further information regarding utilisation of these systems will be assessed as part of the ‘Company Experience’ criterion.



Please note: Where Applicants have in place full 3rd party certification, such certification must be undertaken by a conformity assessment body accredited by the Joint Accreditation System for Australia and New Zealand (JAS-ANZ) to the relevant standard(s).

Where Applicants have in place a certified Integrated Management System (IMS), the independent auditor that certifies the IMS or assesses the Applicant’s management systems against the checklists must be:

• a conformity assessment body accredited by JAS-ANZ to the relevant standard, or


Financial capacity (optional)

Where considered warranted, the Participating Authority may request the Applicant to provide financial information for assessment, in order to determine strong business viability over both the short and long term. In assessing financial capacity, inter-company arrangements, including loans and current contractual commitments, will be taken into account.

Applicants should note that the financial viability assessment is only indicative as it represents the Applicant’s financial capacity at a particular point in time. The Participating Authority reserves the right to require an updated financial assessment to be undertaken at any stage, including prior to the award of any contract. The results of any such updated assessment will not immediately affect a Prequalified Contractor’s status. However, a major variance between the financial position at pre-award and its position at the time the prequalification Application was assessed may trigger a review of the Prequalified Contractor’s status, and may result in it being excluded from further consideration with respect to any contract being tendered.

In some cases, the Participating Authority, at its own discretion, may allow the financial capacity of a subsidiary company to be assessed with consideration of the financial capacity of its parent company (or guaranteeing entity) along with suitable undertakings from the parent entity, such as a Letter of Undertaking or Parent Company Guarantee (as detailed in Item 10 of the Schedule). Any award of prequalification status based on an assessment of a parent company (or guaranteeing entity) will be regarded as conditional prequalification.

Please note: Applicants are not required to complete the section in the Application Form regarding ‘Criterion 2 -Financial Capacity’ unless specifically requested to do so by the Participating Authority.

Company experience

Applicants’ experience will be assessed to determine suitability for prequalification, including in the following areas:

• past experience

• relevant projects

• contract completion

• utilisation of quality management system

• utilisation of occupational health and safety (OH&S) management system.



Technical capacity

Applicants and Prequalified Contractors must demonstrate that they have the technical capacity and capability to undertake works in the nominated prequalification categories, as further detailed in these Guidelines and in the Application Form. In particular, Applicants and Prequalified Contractors must have:

• compliance with key specifications requirements of the participating authorities

• sufficient personnel with appropriate experience, qualifications, accreditations and licences to undertake work relevant to the category(s) sought

• appropriate plant and equipment

• appropriate procedures for sourcing materials, and managing materials and products (e.g. transporting, handling, storing and packing).

Please note: With respect to personnel, the overarching requirement is for the Applicant to demonstrate the facility has sufficient, appropriately qualified and experienced personnel to provide quality products to the specified standards. Guidance as to the minimum requirements for the various levels of staff are noted in the Application Form.

Of prime importance is the combined experience of the Applicant’s team of managerial and operational staff. As such, individual members of the Applicant’s personnel who do not have the nominated minimum experience on activities and/or works of the relevant type, scale and complexity may be accepted provided that:

• the total experience of the overall management team satisfies the intent of the nominated requirements

• critical requirements for operational staff are satisfied

• the Applicant can demonstrate it has adequate measures in place, including training and supervision, to compensate for any shortcomings with respect to the nominated requirements relating to any of its personnel.

B.5 Assessment Process

B.5.1 Assessment of Applications – Single Facility

The Participating Authority will assess all Applications for prequalification to determine whether the requirements of the requested category or categories have been met. The assessment will be by way of both a desktop and site assessment, and a mixture of internal and external assessors may be used.

Assessment of Applications will be based on the following:

• information contained in the completed Application and attached supporting documentation

• the results of the site assessment conducted by the Participating Authority

• referee reports

• documented evidence held by the Participating Authority regarding the Applicant’s or the manufacturing facility’s previous performance

• information obtained by other participating authorities or government agencies regarding the Applicant’s or the manufacturing facility’s previous performance.

The Participating Authority may consider any information in the assessment as is deemed necessary.



B.5.2 Assessment of Applications – Multiple Facilities

Where one or more of the facilities for which prequalification is sought are located in a different state or territory that has also adopted the national category(s), responsibility for undertaking the site assessment will be allocated to the participating authority in that jurisdiction, and any resultant prequalification will be granted directly by that participating authority.

B.5.3 Assessment of Applications – Interstate or Overseas Facilities

Where the Applicant’s manufacturing facility is located overseas or in a state or territory that has not adopted the ‘Steel Fabrication (Complex)’ category, the Applicant will be required to meet all the Participating Authority’s expenses relating to the prequalification site assessment. This includes all travel, accommodation and reasonable out-of-pocket expenses incurred by the site assessors conducting the assessment. Overseas or interstate-based prospective Applicants should contact the Participating Authority prior to submitting the completed Application to discuss the likely cost of the site assessment.

The Participating Authority may impose additional requirements for Applicants with interstate or overseas-based facilities, as noted in Item 8 in the Schedule to these Guidelines

B.5.4 Notification

Applicants will generally be notified in writing regarding whether their manufacturing facility has achieved prequalification within the timeframe shown in Item 11 of the Schedule, from the date of lodgement of the Application, providing all relevant information was included, unless significant issues arise during consideration of an Application in which case further information may be sought. Such notifications will include, where warranted, any specific limitations, restrictions or conditions applicable to the prequalification category(s).

Prequalification is awarded in the category or categories for which the Applicant meets all the assessment criteria, e.g. an Applicant may apply for its manufacturing facility to be prequalified in ‘Pretensioned Reinforced Components (Complex)’ and be awarded category ‘Pretensioned (Routine)’.

Applicants that are not satisfied with the outcome of the assessment may lodge a request for a review or appeal, as detailed in Section B.6.5 of these Guidelines.

B.5.5 Upgrading Prequalification Status

A Prequalified Contractor may apply at any time for an upgrade of its prequalification status to:

• include additional National Prequalification System categories

• remove a ‘condition’ or ‘restriction’ applicable to the prequalification.

Temporary upgrades for the purpose of tendering for specific contracts will not be provided.

Prequalification in additional precast concrete categories

Applications for prequalification in additional precast concrete category(s) require the completion and submission of a new Application Form addressing the requirements of that category(s). In submitting an Application for prequalification in an additional precast concrete category(s) a Prequalified Contractor must be able to demonstrate capacity and capability of producing products relevant to the requested category(s) that meet appropriate quality requirements. As such, it may not be necessary for the entire Application Form to be completed. However, sufficient details supporting the request for an upgrade must be provided. The Application Form must be lodged with the Participating Authority that assessed the Prequalified Contractor’s original Application.



Prequalification in other National Prequalification System categories

Upgrade requests relating to prequalification in other types of categories, e.g. road or bridge, require completion of the National Prequalification System Application Form specific to the category(s) for which prequalification is sought. Such applications may be lodged with any participating authority which, if different from the participating authority that assessed the original Application, will become the ‘assessing authority’ for the purposes of prequalification in the additional categories.

Removal of ‘restricted’ status

The Participating Authority will only change a ‘restricted’ status if the Prequalified Contractor can demonstrate it has restructured its business into an eligible form of entity, e.g. a previously unincorporated joint venture had become incorporated.

Removal of ‘conditional’ status

Applications to remove a ‘condition’ relating to prequalification require submission of evidence to address the deficiency that was the subject of the condition, e.g. if the Prequalified Contractor was granted ‘conditional’ prequalification status on the basis that it did not have in place a 3rd party certified QMS, then evidence of certification would be required for the condition to be reviewed.

Further details relating to the Participating Authority’s consideration of prequalification upgrades are listed in Item 12 of the Schedule.

B.6 Maintenance of Prequalification Status

B.6.1 Provision of Updated Information

In order for a Prequalified Contractor to maintain its prequalification status, the entity that owns or operates the facility must submit for assessment regular and full updates of information to support its ongoing financial capacity, technical capacity, and experience, following a significant change in any of these areas, or at the request of the Participating Authority.

B.6.2 Review of Prequalified Contractor’s Facilities and Performance

The Participating Authority will monitor and assess the ongoing performance of each Prequalified Contractor. Each Prequalified Contractor’s status will depend on it maintaining appropriate capacity and capability (which may be assessed through periodic desktop and site assessments) and a good level of performance in its delivery of the Participating Authority’s contracts and requirements.

Following the granting of the original prequalification status, site assessments will be undertaken, where possible:

• on receipt of a new application for renewal of prequalification status

• at 12-month intervals from the date of registration

• at other times when deemed necessary by Participating Authority.

The site assessment will comprise of both a technical review and a management systems review.

A performance report may be prepared upon completion of contracts. Interim reports may also be prepared during the course of a contract, depending on the duration of a contract. The reports will be used to promote the process of continuous improvement, to assist in Applications for upgrades in prequalification status, to support the Prequalified Contractor’s ongoing prequalification status, and to ensure a common understanding of expectations for both parties regarding the contracted works.



B.6.3 Review of a Prequalified Contractor’s Status

For Prequalified Contractors operating in a single jurisdiction

The Participating Authority may review a Prequalified Contractor’s prequalification status at any time. A review may be initiated, amongst other reasons, for any one of the following:

• where conditional prequalification has been granted subject to a review being carried out, following completion of the first contract under the conditional arrangement

• where a Prequalified Contractor’s performance is considered unsatisfactory, including with respect to product conformance

• following changes to a Prequalified Contractor’s organisational structure, or technical, financial or management capacity which, in the opinion of the Participating Authority, may have an adverse effect on the Prequalified Contractor’s performance

• where restrictions on a licence/registration to practise are imposed, or 3rd party certification of a management system is withdrawn or has expired

• for failure to comply with the terms and conditions of prequalification.

As a result of a review, the Participating Authority may, at its discretion, cancel, suspend or downgrade a Prequalified Contractor’s prequalification status. If any such action is proposed, the Prequalified Contractor will first be given the opportunity to show cause why its prequalification status should not be adjusted.

This shall be undertaken via a formal ‘Show Cause Notice’ to the Prequalified Contractor. The Show Cause Notice shall:

• state that it is a notice under the National Prequalification System terms and conditions

• specify the alleged breach

• require the Prequalified Contractor to show cause in writing why the Participating Authority should not exercise the right to cancel, suspend or downgrade the prequalification status

• specify the time and date (not more than 10 business days or within the timeframe shown in Item 13 of the Schedule) by which the Prequalified Contractor must show cause.

The Participating Authority may make further enquiries to verify the Prequalified Contractor’s responses.

If by the time specified in a Show Cause Notice the Prequalified Contractor fails to respond or to show reasonable cause why the Participating Authority should not adjust the prequalification status, the Participating Authority may cancel, suspend or downgrade the prequalification status without further notice to the Prequalified Contractor.

The Prequalified Contractor may elect to appeal the imposition of the sanction in accordance with the process outlined in Section B.6.5 of these Guidelines.

For Prequalified Contractors operating in multiple jurisdictions

Prequalified Contractors operating across multiple jurisdictions under the mutual recognition framework will be subject to a four-step multi-jurisdiction review process, as outlined below:

• Step 1: The relevant authority would issue a warning to the Prequalified Contractor regarding the matter of concern, e.g. poor performance and/or breach of the terms and conditions of prequalification, and initiate a jurisdictional review. This warning could potentially be recorded as an ‘under review’ flag on the National Prequalification Database for a specified period of time.

• Step 2: If the relevant authority assesses that the situation has not improved, it will convene a sub-committee of the Management Committee, comprising representatives from all relevant authorities. The sub-committee will, within 20 business days, provide written notification of its decision.



• Step 3: The Prequalified Contractor will be provided with a minimum period of 10 business days from receipt of the Show Cause Notice to show cause as to why the nominated sanction should not be applied.

• Step 4: If the Prequalified Contractor fails to show cause, the sanction will be applied without further notice to the Prequalified Contractor.

The Prequalified Contractor may elect to appeal the imposition of the sanction in accordance with the process outlined in Section B.6.5 of these Guidelines.

B.6.4 Cancellation, Suspension or Downgrading

Further details regarding the types of matters that may give rise to a cancellation, suspension or downgrading are provided below.

Cancellation

Examples of breaches that may give rise to cancellation of a Prequalified Contractor’s prequalification status include, but are not limited to:

• unsatisfactory performance on one or more contracts between the Prequalified Contractor and one or more participating authorities

• repeated, significant non-conformances of products manufactured or processed by the Prequalified Contractor

• a Show Cause Notice has been issued in relation to a contract, or a contract has been terminated

• failure to address environmental, or work health and safety issues

• failure to address management system issues following a specific request from the Participating Authority

• fraudulent operation of systems, including:

– falsifying test results

– failing to inform the Participating Authority or its representatives of non-conforming tests or products

– delivery of a product in the knowledge that it does not comply with the Participating Authority’s specifications and/or drawings

• an adverse change in the Prequalified Contractor’s management systems or technical capability (including availability of key personnel) from that on which the prequalification level was assessed, such that the Prequalified Contractor no longer fully meets the requirements for prequalification at any level

• where changes have been made to prequalification and the Prequalified Contractor has been given a nominated period of time to comply with the changes but fails to do so

• where a Prequalified Contractor has been granted conditional prequalification subject to it meeting certain requirements and it fails to meet those requirements within the stipulated timeframes

• the Prequalified Contractor has been placed into voluntary administration or involved in a compromise or other arrangements with creditors

• where the Prequalified Contractor’s owner or operator is experiencing financial problems, as verified by the Participating Authority or Management Committee.

A cancellation of prequalification status by the assessing authority will extinguish any mutual recognition arrangements that a Prequalified Contractor may have in place with other participating authorities.



Suspension

Prequalification may be suspended in particular circumstances, such as where the Prequalified Contractor is experiencing a temporary problem and is unable to satisfy all of the prequalification criteria in the short-term, or in circumstances where the contractor’s status is recognised in other jurisdictions, where there is poor performance in one or more of those jurisdictions. In such circumstances, the Prequalified Contractor's prequalification may be suspended until the problem is remedied and it is again able to satisfy all of the criteria corresponding to the level of prequalification granted.

Where a Prequalified Contractor operates under mutual recognition arrangements, suspension may take the form of a withdrawal of recognition of the Prequalified Contractor’s prequalification status by participating authorities for a specified period of time. Other participating authorities that recognise the Prequalified Contractor’s status will be notified of the suspension and its cause. Where the matter affects compliance with the assessment criteria, (e.g. expiry of a management system certification), a suspension by the Participating Authority will result in an automatic suspension of prequalification with all other participating authorities that have recognised the Prequalified Contractor’s prequalification status.

Downgrading

Examples of breaches that may give rise to downgrading of a Prequalified Contractor's prequalification status (such as downgrade of performance levels or removal of categories) include, but are not limited to:

• repeated minor contractual, product-related or National Prequalification System non-compliances where, in the opinion of the Participating Authority or Management Committee, there is an unacceptable risk in allowing the Prequalified Contractor to remain prequalified at their current prequalification level, but the Prequalified Contractor is able to demonstrate that it can fully comply with the prequalification requirements for the lower level of prequalification

• an adverse change in the organisation’s management systems or technical capability (including availability of key personnel) from that upon which the prequalification level was assessed, but the Prequalified Contractor can demonstrate that requirements for the lower level of prequalification are met.

B.6.5 Reviews and Appeals

If an Applicant or Prequalified Contractor is not satisfied with any decision made by a Participating Authority or the Management Committee in relation to prequalification decisions or sanctions, it may either request a review of the original decision, or lodge an appeal against the decision, as follows:

Reviews

• A review of the decision by the original assessor may be requested, providing sufficient additional information is submitted to warrant a review. Any request for a review must be lodged with the Participating Authority or chair of the Management Committee, as appropriate, within 20 business days of the date of the letter advising of the prequalification decision.

Appeals

• Requests for appeals must be lodged with the Participating Authority or with the chair of the Management Committee within 20 business days of the date of the letter advising of the prequalification decision.

• The appeal will be heard by a specially convened appeals panel with the following characteristics:

– minimum of three members

– excludes the original assessors/committee members

– includes one independent industry representative, chosen by the appellant from a pool of three put forward by the Participating Authority or Management Committee chair.



– (Note: the appellant must make the selection of an industry representative within the time period specified by the Participating Authority or chair of the Management Committee.)

• The appeals panel will be convened within five business days of lodgement of the appeal.

• The appeals panel will review the original decision, and may also consider new/additional information.

• The appeals panel will provide written reasons for its decision within 20 business days of the hearing.

The appeals panel decision will be final and binding on both the Participating Authority(s) and the appellant.

B.7 Tendering as a Prequalified Contractor

B.7.1 General

Where specified in the invitation of tenders, Prequalified Contractors wishing to bid for the work must be prequalified in the nominated technical categories. The Participating Authority’s approach to the provision of tender documents to prequalified and non-prequalified entities is detailed in Item 14 of the Schedule.

When a contract involves road and bridge construction and a precast concrete component, the Participating Authority may nominate a road or bridge category as the primary category and a precast concrete category as a secondary category. In this example, an entity prequalified in the relevant road or bridge category would be eligible to tender providing it nominated a subcontractor prequalified to supply the necessary precast concrete products.

Tenders will not be accepted from Prequalified Contractors prequalified in the secondary category and nominating a subcontractor that is prequalified in the primary category.

Alternatively, the Participating Authority may invite tenders from entities prequalified in the relevant road and/or bridge categories only, and require the successful contractor to only source precast concrete products for the works from entities prequalified in the nominated precast concrete category(s).

In no circumstances will Prequalified Contractors be permitted to subcontract work to manufacturing facilities that are not prequalified in the nominated National Prequalification System precast concrete category(s).

B.7.2 Joint Ventures

Joint ventures generally must be prequalified before they are eligible to obtain tender documents. Refer to Item 14 of the Schedule for information regarding the Participating Authority’s approach to the provision of tender documents to prequalified and non-prequalified entities, including joint ventures.

Joint ventures must note that all contracts entered into with the Participating Authority are on the basis of joint and several liability.

B.7.3 Prequalification Checks Prior to Awarding of a Contract

The Participating Authority may undertake a check of the preferred tenderer’s prequalification status prior to the award of a contract, including any technical or financial matters.



Schedule to the Guidelines

Item Instructions Detail/response

1 Insert name of state or territory.

2 Insert name and address details of Participating Authority.

3 Insert relevant details, e.g. at the time of calling tenders/at submission of tenders/at award of contracts, etc.

4 Insert time period of registration, or note as ‘unlimited, subject to continued compliance with the terms and conditions of prequalification and other requirements specified by the Participating Authority’.

5 Detail any exclusions that may apply to prequalification (e.g. short-term emergency product supply, etc.) or note ‘no exclusions apply’.

6 Indicate Participating Authority position on conditional prequalification.

7 List additional Prequalified Contractor details that may be made publicly available.

8 Detail local requirements specific to the Participating Authority and jurisdiction. Note: This could include compliance with local procurement codes, evidence of additional insurances to be provided by the Applicant, requirements regarding industrial relations, local participation, compliance with local training policies, any application fees payable by the Applicant, etc. For QLD, this could include the requirement to demonstrate that product specifications are certified by a Registered Professional Engineer. For VIC and QLD, reference should be included to the ‘Industrial Relations Self-Assessment’ checklist to be attached to the Application Form.

9 List additional types of entities excluded from prequalification.

10 Indicate if ‘letters of undertaking’ or parent company guarantees will be considered and provide details of approach and requirements if applicable.

11 Show time period Applicants will be notified in writing regarding outcome of prequalification assessment.

12 List details relating to the consideration of prequalification upgrades by the Participating Authority.

13 Show timeframe within which the Prequalified Contractor must show cause for a review of the prequalification status.

14 Insert approach to provision of tender documentation to prequalified and non-prequalified entities, including joint ventures.



Appendix C Prequalification Application Form

General instructions

This Application Form must be completed by Applicants seeking prequalification of their manufacturing facility in one or more of the National Prequalification System precast concrete categories. It contains expandable form fields to enable it to be completed either electronically or in hard copy.

The Application Form should be read with reference to the prequalification Guidelines, which provide additional relevant information.

The Application Form contains a ‘Preliminaries’ section to capture basic details, and four further sections addressing the assessment criteria (‘Company Profile’, ‘Financial Capacity’ (where applicable), ‘Company Experience’ and ‘Technical Capacity’). The Application Form must be completed as follows:

• New or renewal Applicants

New Applicants and those seeking renewal of prequalification in one or more precast concrete categories under the National Prequalification System must complete all sections of the Application Form.

• Applicants prequalified in other National Prequalification System categories e.g. Road/Bridge

Applicants prequalified under the National Prequalification System in categories other than precast concrete categories may be able to submit an abridged Application, and should contact the Participating Authority prior to preparation and lodgement of the Application Form to confirm which sections need to be completed.

• Prequalifying multiple facilities at the same time

Applicants seeking to prequalify multiple facilities must submit a new Application Form for each facility. However, the ‘Company Profile’ and ‘Financial Capacity’ (where applicable) sections of the Application Form only need to be completed once.

• Upgrading a facility’s prequalification status

Removal of ‘restricted’ or ‘conditional’ status

Prequalified Contractors in the precast concrete category(s) with ‘restricted’ or ‘conditional’ status may apply for a change in status type by submitting evidence that demonstrates why the restriction or condition should no longer apply. These facilities should contact the Participating Authority that granted the original prequalification for advice on the information to be provided.

Adding additional precast concrete categories

Prequalified Contractors in one or more precast concrete categories under the National Prequalification System seeking an upgrade of the facility’s prequalification status to include additional precast concrete categories must complete this Application Form with sufficient details to support the upgrade application.

Adding other categories

Prequalified Contractors in one or more precast concrete categories under the National Prequalification System seeking an upgrade of the facility’s prequalification status to include additional National Prequalification System categories (other than precast concrete categories) must complete the Application Form specific to the category(s) sought, a copy of which can be obtained directly from the relevant participating authority.



• Prequalifying additional facilities

Prequalified Contractors in one or more precast concrete categories seeking to prequalify additional manufacturing facility(s) owned or operated by the same entity will need to submit a new Application for each additional facility. However, the entity may be able to submit an abridged Application and should contact the Participating Authority in the first instance to confirm which sections need to be completed. The Participating Authority will either perform the site assessment of the additional facility(s) itself or, if it is located in another jurisdiction that administers the national category, pass responsibility for the site assessment and any subsequent prequalification onto the relevant authority.

• Obtaining recognition of facilities prequalified in other jurisdictions

Contractors prequalified in precast concrete categories under the National Prequalification System with other participating authorities that are seeking recognition of prequalification status with the Participating Authority do not need to complete this Application Form. Recognition must be applied for using the ‘National Prequalification System Registration Form for Mutual Recognition’.



Subject Information to be submitted by Applicant Minimum requirements Meets requirements

Y/N These columns are for use by the Participating Authority only

PRELIMINARIES Nature of Application Indicate whether this is a new Application, a renewal Application, or an Application for an upgrade:

New Application Pretensioned (Routine) Pretensioned Reinforced Components (Complex) Precast Products Pipes

OR

Renewal Application Pretensioned (Routine) Pretensioned Reinforced Components (Complex) Precast Products Pipes

OR

Upgrade (i.e. adding a new category)

Pretensioned (Routine) Pretensioned Reinforced Components (Complex) Precast Products Pipes

N/A

General information Applicants must provide the following general information: (a) Name of the company or entity under which this Application is being made (hereinafter referred to as the Applicant)

(b) Trading name (if different)

(c) State the type of entity e.g. public or private company, individual, joint venture, etc.

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

(e) ABN

(f) ACN or ARBN

Basic information required to establish the Applicant’s file. Affiliation or memberships not required for assessment (for information only).




Y/N (g) Address of registered office

(h) Postal address

(i) Address of manufacturing facility

(j) Preferred address (please tick):

Address of registered office

Postal address

Address of manufacturing facility

(k) Telephone number

(l) Facsimile number

(m) Email address

(n) Website address

(o) Contact for prequalification enquiries

Name Position Phone No. Email address

(p) Contact for general enquiries

Name Position Phone No. Email address

(q) Membership of industry associations (please list)




Y/N CRITERION 1 – COMPANY PROFILE

Organisational structure (r) Applicants should attach an organisational chart showing the relationship between the Applicant and parent and subsidiary companies (where

relevant) including names of principals, directors and partners

Organisational Chart attached? (please tick to confirm)

(s) Provide names and addresses of all business or companies in which the Applicant has a financial interest

Business/company name Address Nature of interest

Appropriate organisational structure relevant to the prequalification category(s) sought.

Stability of organisation

(t) Please provide the following information

Local state/territory Nationally Internationally

Years under current structure

Years under current ownership

(u) If applicable, provide details of any former business names and give details as for (a) above

(v) In the last five years, has the Applicant or any former business identified in sub-clause (b) been liquidated or entered into receivership, administration, managed agreement, scheme of arrangement or creditors’ composition pursuant to the Bankruptcy Act or Corporations Law? If yes, give details.

(w) Have any of the proprietors, principals, directors, managers or secretaries of the Applicant, or any former business identified in sub-clause (b) (or their spouses) ever been bankrupt or disqualified by the Australian Securities and Investments Commission? If yes, give details.

(x) 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?

Sufficient evidence to demonstrate that: the Applicant has been successfully operating under its current structure and ownership for some years, especially in

the local state/territory and within Australia there are no recent/current issues with liquidity, bankruptcy, etc. This provides confidence that the Applicant is stable.

Senior management Provide details of directors and company secretary (where relevant) and/or other senior managers

Name Position Years of service

Key senior management personnel have at least five years’ experience in manufacturing products relevant to the prequalification category(s) sought and are active in the facility’s operations.

Industrial relations Provide evidence that, as a minimum, employees are remunerated in accordance with the appropriate award

Information provided sufficiently demonstrates that the Applicant meets the requirements of the relevant awards.




Y/N General performance Have any adverse judgements (excluding minor fines or notices) been made against the Applicant for any breaches of or unlawful acts under legislation

covering occupational health and safety, environmental protection, anti-discrimination, fair trading or industrial relations? If yes, give details.

Sufficient evidence that the Applicant is operating within legislative and regulatory frameworks, and that any minor issues or transgressions have been managed and resolved appropriately.

Management system certification

For quality management, Applicants must attach evidence to demonstrate its management systems are independently certified as described below, including a copy of the Certificate, Scope of Certification and any attached Schedules.

Quality management system

Full 3rd party AS/NZS ISO 9001:2008 (certified by a JAS-ANZ conformity assessment body) Attached

For occupational health and safety (OH&S) management, Applicants must attach evidence to demonstrate its management systems are independently certified or accredited in one of the ways described in the table below. Where 3rd party is selected (either full 3rd party, or CCF or equivalent), Applicants must attach.

OH&S management system*

Full 3rd party AS/NZS 4801:2001 Attached

A 3rd party certified Integrated Management System (CCF or equivalent) Attached

* Note: Applicants that hold accreditation with the Office of the Federal Safety Commissioner are deemed to satisfy all the OH&S requirements for prequalification in all of the listed categories and are not required to provide the information requested in the above table.

If Applicant’s QMS and/or OHSMS are not certified, accredited or independently audited as described above, provide an outline of the systems currently in place

Quality Management System Evidence of full 3rd party certification to AS/NZS ISO 9001:2008 OH&S Management System Evidence of full 3rd party certification to AS/NZS 4801:2001, or evidence of a 3rd party certified IMS.

CRITERION 2 – FINANCIAL CAPACITY (OPTIONAL – COMPLETION OF THE FOLLOWING SECTION IS NOT REQUIRED UNLESS SPECIFICALLY REQUESTED BY THE PARTICIPATING AUTHORITY) General financial information Documentation Attached

(please tick) (a) Audited annual report/financial statements for the last three years which shall include:

balance sheet profit and loss statement cash flow statement (if prepared) notes to and forming part of the financial statements signed Director’s Report (when Applicant is a company) signed Auditor’s Report (where relevant).

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.

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

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

(d) Details of any encumbrances over business assets.

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

The following criteria will be applied to assess Applicants’ solvency and general financial fitness: Current asset ratio >=1:1 Debt ratio <=1:1 Net tangible assets >= to 2% of current year’s revenue Working capital >= to 2% of current year’s revenue




Y/N

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

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

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

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

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

(k) 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.

(l) Letter 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

Details of bank balances

Provide details of all current bank balances. The information must be submitted in the format shown in the table below:

Available Utilised Remaining

Overdraft

Revolving lease

Other leases

Business credit card access

Guarantee by bank revolving facility

Other credit facilities (please specify)

CRITERION 3 – COMPANY EXPERIENCE Past experience (y) How many years has the Applicant been manufacturing products relevant to the prequalification category sought and at which facility(s)?

(z) How many years has the facility for which the Applicant is seeking prequalification been manufacturing products relevant to the prequalification

category sought?

The entity has operated for a minimum of three years (approx.) as a main contractor or four years (approx.) as a major subcontractor, and has produced products at the manufacturing facility for a minimum of 12 months (approx.).




Y/N Relevant projects (current and completed)

Provide details of relevant manufacturing projects that have been or are being undertaken by the facility for which prequalification is being sought over the past two years. Emphasis should be placed on projects undertaken to supply product for the Participating Authority’s projects. A minimum of three projects and a maximum of six projects may be referenced.

Project 1 Project name Description of products manufactured Dates of supply Contract value Client – name and contact details



Project 4 (Optional) Project name Description of products manufactured Dates of supply Contract value Client – name and contact details

Project 5 (Optional)

Project name Description of products manufactured Dates of supply Contract value Client – name and contact details

Project 6 (Optional) Project name Description of products manufactured Dates of supply Contract value Client – name and contact details

The Applicant has demonstrated sound experience with at least two projects (relevant to the category requested). Projects cited must demonstrate: product suitability technical competence sound relationship with clients. meeting completion dates & budget. Client reports provide evidence of above.

Contract completion Has the Applicant, under any business name, ever failed to complete a contract? If yes, give details.

A track record of successful completion of contracts to the client’s time, cost and quality requirements.

Utilisation of Quality Management System

Provide the following evidence of system in place that meets the requirements of AS/NZS ISO 9001:2008

Sample/example 'Quality Plan' attached (please tick to confirm)

The Quality Plan to be in accordance with AS/NZS ISO 10005 and shall be adequate to the prequalification category applied for.

The Inspection and Test Plan shall be adequate to the prequalification category applied for, and should include




Y/N

Sample/example 'Inspection and Test Plan' attached (please tick to confirm)

Copies of recent compliance/system audits

Note: Further information, including mix designs, and additional evidence of quality management system utilisation may be sought from the Applicant during the assessment process.

reference to the Participating Authority’s specifications for the products supplied and relevant work method statements. Results of compliance audits show system demonstrate that the system is working and any non-conformances have

been dealt with effectively. In particular, the results should demonstrate the ability of the quality management system to:

— control, document and ensure traceability of the products manufactured and/or distributed — ensure adequate records of testing data from actual products produced are maintained — identify and isolate non-conforming products and identify the cause(s) of the non-conformance — identify, isolate and correct non-conforming processes — advise appropriate parties e.g. contract superintendents of the non-conformances —prevent further supply of non-conforming products.

The applicant shall have in place inspection and test procedures for quality control that address the requirements of the standards and the participating authorities’ specifications.

Utilisation of Occupational Health & Safety (OHS) Management System

Note: Applicants that are accredited with the Office of the Federal Safety Commissioner under the Australian Government’s Building and Construction OH&S Accreditation Scheme are not required to complete this section. Provide the following evidence of system in place that meets the requirements of AS/NZS ISO 4801:2001:

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

Copies of recent compliance/system audits

Note: Additional information to support utilisation of the OH&S management system on relevant projects may be requested from the Applicant.

Sample/example OH&S Plan is adequate. Results of compliance audits show system demonstrate that the system is working and any non-conformances have

been dealt with effectively.

CRITERION 4 – TECHNICAL CAPACITY Technical documentation and procedures

N/A – to be assessed as part of the site inspection. Applicants must provide evidence of work procedures/instructions (including concrete mix design, placement of concrete, handling of components, storage procedures), etc. being appropriately implemented and functional.

Key personnel Provide details of all key personnel working at the facility for which prequalification is sought, including CVs detailing relevant qualifications and years of experience. Copies of all relevant licences and certificates should be attached.

Name Position CV attached? (please tick to confirm)

Licences/Certificates attached?

(please tick to confirm) Attached

Attached

Attached

Attached

Attached

Attached

Attached

Attached

Attached

Attached

Attached

Attached

Attached

Attached

Applicants need to demonstrate the facility is staffed by sufficient personnel (e.g. managers, supervisors and operational personnel) with appropriate delegations at all levels of the Applicant’s organisation to undertake the type of work required under the prequalification category sought and to make changes to processes/practices as necessary. All nominated personnel should be appropriately skilled and qualified for their positions As a guide, Applicants should be able to show evidence of the following: For categories: Pretensioned (Routine), Precast Products and Pipes: a manager active in operations with at least five years’ relevant experience with knowledge of relevant manufacturing

processes and/or plant and a capability to manage such plant, and to plan and supervise processes relevant to the products being manufactured

key supervisory staff with at least three years’ relevant experience as a supervisor of a manufacturing facility relevant to the prequalification category

a civil engineer on staff at the facility (or available externally) all product design undertaken by competent personnel and certified (where appropriate) knowledge of and experience working with the Participating Authority’s specifications. For category: Pretensioned Reinforced Components (Complex) a manager active in operations with at least 10 years’ relevant experience with knowledge of relevant manufacturing

processes and/or plant and a capability to manage such plant, and to plan and supervise processes relevant to the products being manufactured

key supervisory staff with at least five years’ relevant experience as a supervisor of a manufacturing facility relevant to the prequalification category

a civil engineer on staff at the facility (or available externally) all product design undertaken by competent personnel and certified (where appropriate) knowledge of and experience working with the Participating Authority’s specifications.




Y/N Plant and equipment Provide information about the manufacturing plant available at the facility for which prequalification is sought, including details of NATA certification:

Item Description

The type of concrete mixing plant – e.g. split drum, pan type, mobile or permanently located

The method of batching concrete The method and facilities for transferring concrete from batching plant to casting area The method and facilities for determining the concrete’s conformance before placement

The methods and facilities for placing concrete, including details of compaction equipment

A brief description of the entire manufacturing process, including the plant’s rated capacity

Details of the stressing bed/s and jacking methods, including the size and number of jacks, and the method of releasing tension

Formwork details, including who designs and manufactures it The safety equipment in use during manufacture of products The facilities and arrangements for storage and handling of all component materials The equipment used for steam curing of concrete, including proposed time/temperature curves and methods for monitoring steam curing

The equipment used for other curing methods/mediums, such as hot water, including monitoring of the curing process

Incorporation of an efficient system which effectively traps dust and excess noise Arrangements for the preparation, curing and testing of concrete test cylinders Details of the cylinder test machine including its type, capacity, the operator’s name and NATA accreditation

A register of the monitoring and measuring devices used.

Sufficient information is provided (and available to the site inspectors) to demonstrate that the facility’s equipment is NATA certified and capable of manufacturing the relevant products in a safe and efficient manner and to the standard required by the Participating Authority, including: evidence that plant is maintained in accordance with manufacturer’s recommendations a replacement program to ensure that old / non-compliant equipment is not used.

Product (aa) Provide copies of the procedures used to ensure all materials are appropriately sourced and checked against purchase requirements.

Name of procedure Copy attached? (please tick to confirm)

Attached

Attached

(bb) Provide copies of the procedures used the transportation, handling, storage and packaging of materials and product.

Name of procedure Copy attached? (please tick to confirm)

Attached

Attached

Sufficient evidence of procedures in place to appropriately source all materials used in the manufacturing of precast concrete products.

Procedures are suitable for ensuring that purchased constituent materials meet specified purchase requirements. Such procedures shall cover, but not be limited to:

— obtaining objective evidence of the quality of the material from the supplier and verifying the authenticity of accompanying documentation

— reviewing material documentation to confirm relevance, accuracy and completeness — inspection and sample testing of the material upon receipt — ensuring that personnel allocated to the work and materials are traceable as well as identifiable.

Appropriate documented procedures for the transportation, handling, storage and packaging of materials and product.




Y/N Referees Provide the names of five persons external to the Applicant’s operations who can act as referees for the Applicant’s overall reputation and performance

in the manufacture and performance of products relevant to the prequalification category sought. At least one of the nominated referees should be from a local government authority or other road agency.

Referee 1 Referee 2 Referee 3 Referee 4 Referee 5 Name Position Role during contract Company Contract Phone Contact details

Note: Documentary evidence may be provided. However, the Applicant must ensure that its use for the purposes of an Application for prequalification is permitted by the owner of the subject documents and provide advice that the referees or the originators of any reports and references have given permission for the Participating Authority to contact them for comment on the Applicant’s overall performance.

Client reports regarding the Applicant’s performance are satisfactory.



Submitting the Application

Applications should include a covering letter on company letterhead, including the following paragraph:

In submitting this Application for prequalification, we certify that the information in this Application is true and correct and fully complies with the requirements in the prequalification Guidelines and Application Form. We also acknowledge and agree to and hereby incorporate the ‘Terms and Conditions’ referred to in Appendix B.2 of the prequalification Guidelines and provide the undertakings detailed in Appendix B.2.8 of the prequalification Guidelines.

The letter must be signed off by the Applicant’s authorised representative (for companies, this should be a director or company secretary), as follows:

Signed: ……………………………………………………..

Name: ………………………………………………………

Date: …………….…………………………………………

Applications should consist of all documentation outlined in these procedures, together with any other supporting technical or financial information (where applicable).

Two copies of the Application and supporting information must be provided. The technical information should be separate from the financial information (where applicable). Applicants are encouraged to submit the Application on disc, in a read-only format.

Applications cannot be submitted via facsimile.

Applications should be forwarded to the address given by the Participating Authority.



Appendix D Registration Form for Mutual Recognition

GENERAL INSTRUCTIONS:

Applicants that are prequalified under the National Prequalification System with another participating authority and are seeking recognition with this authority must complete this Registration Form.

The Registration Form contains form fields to enable it to be completed either electronically or in hard copy.

D.1 General Information

Applicants must provide the following general information:

a. Name of the company or entity under which this registration is being made and under which tenders will be submitted (hereinafter referred to as the Applicant)

b. Trading name (if different)

c. State the type of entity e.g. public or private company, individual, joint venture, etc.

d. State of registration of company (if applicable)

e. ABN



f. ACN or ARBN

g. Address of registered office

h. Postal address

i. Business address

j. Preferred address (please tick)

Address of registered office

Postal Address

Business address

k. Telephone number

l. Facsimile number

m. Email address



n. Website address

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

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

q. Membership of industry associations (please list)

D.2 Prequalification Categories

Applicants for mutual recognition must note the name of the assessing authority (i.e. the participating authority with whom the Applicant is prequalified). The Registration Form must include a copy of the registration letter/certificate provided by the assessing authority that lists the prequalification categories registered in and whether any restrictions or conditions apply to the prequalification.

Name of assessing authority

Prequalification letter/certificate attached (please tick)



Appendix E Performance Report This report is to be completed by the superintendent2, principal’s representative or head contractor as required by the Participating Authority. The performance criteria and a preliminary assessment should be discussed with the Prequalified Contractor prior to issuance of the completed report by the superintendent/principal’s representative.

Release of Information: Participating authorities will treat this report as confidential; however, they may make information concerning the Prequalified Contractor available to other participating authorities and government authorities. This information may include, but is not limited to, any information provided by the contractor to the Participating Authority and any information relating to the Prequalified Contractor’s performance under the contract.

Participating Authority

Prequalified Contractor details

Name

ABN/ACN

Prequalification category(s)

Prequalified Contractor’s representative

Contract details (mandatory)

Contract number

Contract title

Contract description

Prequalification category(s) of contract

Date(s) of supply / /20

/ /20

/ /20

2 Where superintendent is specified it should be noted that this shall include the superintendent’s representative.



Additional contract details (optional)

Value of supplied product $

Total price variations $

Warranty period days

Report details

Contract stage

Period of assessment

Interim / /20 TO / /20

Assessment date

Supply date / /20

Contract completion date / /20

Summary

Criterion Sub-criterion score Overall average score

• Time management and progress

• Supply program

• Supply of product in accordance with program

• Contract management

• Management of subcontractors

• Management of resources (plant & personnel)

• Contract administration

• Utilisation of management systems

• Quality management

• OH&S management

• Relationship management

• Cooperative relationships with principal/superintendent

• Cooperative relationships with head contractor

• Cooperative relationships with other contractors

• Quality of work

• Product design

• Final product



Superintendent/principal’s representative

Superintendent/principal’s representative/head contractor’s representative

Superintendent/principal’s representative’s/ head contractor’s representative’s overall comments

Authorise release of report to Prequalified Contractor

Signature .........................................................

Date / /20

Prequalified Contractor’s response

I have read and understood the performance report and, as the Prequalified Contractor’s representative, I advise that the Prequalified Contractor:

Accepts this report in full and without comment

Objects to one or more of the scores in this report (see guide note below)

Prequalified Contractor’s representative

Position

Signature .........................................................

Date / /20

GUIDE NOTE:

Where the Prequalified Contractor objects to the assessment for a criterion, it must insert in the space provided on the form, a score that it considers best represents its own performance for that criterion and information to support the suggested score, and lodge a copy of the report with the relevant Participating Authority. The objection will be noted by the Participating Authority and, where specifically advised by the Participating Authority, a determination may be made to establish the final scores.

Report stage

Released to Prequalified Contractor for comment / /20

Finalised and entered into records/database / /20



Score Rating Descriptor (the extent to which the Prequalified Contractor meets performance requirements)

10 Superior Exceptional. Always well above the required standard of performance. Demonstrated strengths and use of innovation where appropriate. No errors, risks, weaknesses or omissions.

9 Good

Often exceeds the required standard of performance. Demonstrated strengths and use of innovation where appropriate. Negligible minor errors, risks, weaknesses or omissions which are acceptable as offered.

8 Sound achievement of the required standard of performance. Minimal minor errors, risks, weaknesses or omissions which are acceptable as offered.

7

Acceptable

Reasonable achievement of the required standard of performance. Some minor errors, risks, weaknesses or omissions which may be acceptable as offered.

6 Reasonable achievement of the required standard of performance standard of performance. Some errors, risks, weaknesses or omissions which can be corrected/overcome with minimum effort.

5 Minimal achievement of the required standard of performance. Some errors, risks, weaknesses or omissions which are possible to correct/overcome and make acceptable.

4

Unacceptable

Moderate weaknesses. Does not always meet the required standard of performance. 3 Significant weaknesses. Performance is often below the required standard of performance. 2 Major weaknesses. Rarely meets the required standard of performance. 1 General non-compliance. Has not met the required standard of performance.

0 Severe non-compliance. Does not meet the required standard of performance and is not recommended to carry out this type of work.

GUIDE NOTE:

It is possible that not all sub-criteria will be assessed for every contract. Where a sub-criterion is not assessed, the remaining sub-criteria will be averaged to provide a score at the criterion level. For example, for ‘Criterion 4: Relationship Management’ sub-criterion (a) will not be assessed if the contract is not directly with the principal. The overall score for Criteria 4 will therefore be the average of the remaining sub-criteria (b) and (c).



1. Time management and progress

Superintendent/principal’s representative’s/head contractor’s assessment Score

Reference evidence

(please list) Prequalified Contractor’s response

(a) Supply program

(b) Supply of product in accordance with program

Average score:



2. Contract management

Superintendent/principal’s representative’s/head contractor’s assessment Score Reference evidence


(a) Management of subcontractors

(b) Management of resources (plant & personnel)

(c) Contract administration

Average score:



3. Utilisation of management systems (Note: Assessment will focus on both quality of system and whether it was utilised successfully on the subject contract)

Superintendent/principal’s representative’s/head contractor’s assessment Score Reference evidence


(a) Quality management

(b) OH&S management

Average score:



4. Relationship management

Superintendent/principal’s representative’s/head contractor’s assessment Score

Reference evidence


(a) Cooperative relationships with principal/superintendent

(b) Cooperative relationships with head contractor

(c) Cooperative relationships with other contractors

Average score:



5. Quality of work

Superintendent/principal’s representative’s/ head contractor’s assessment Score

Reference evidence


(a) Product design

(b) Final product

Average score:



Appendix F Performance Report Scoring Guide

F.1 Application

This scoring guide provides guidance to support use of the template performance report for precast concrete categories under the National Prequalification System.

F.2 Reporting

F.2.1 Objectives

• Promote the process of continuous improvement.

• Recognise good and superior performance and manage poor performance.

• Encourage cooperative relationships between Prequalified Contractors and participating authorities.

• Obtain a measure of the Prequalified Contractor’s performance under the contract, to allow participating authorities to make informed decisions related to tender assessment and prequalification.

• Enable the meaningful exchange of performance reporting information under the National Prequalification System.

Note: The performance criteria and a preliminary assessment should be discussed with the Prequalified Contractor prior to allocating final scores.

F.2.2 Responsibility

Responsibility for completion of performance reports should be assigned to the person best able to make accurate and factual assessments in accordance with the evaluation criteria. For most contracts, this will be the person who has day-to-day liaison with the Prequalified Contractor and would generally be the Participating Authority’s site representative, or the head contractor’s site representative.

It is important to have all relevant facts and documentation to justify the assessment made, particularly if the assessment is negative.

F.2.3 Review and Assessment

When specified by the Participating Authority, a review of the appraisal may be made by a reviewing officer experienced in contract management at a more senior level. The reviewing officer’s task is to ensure that the report is objective and accurate to the extent that it can be relied upon by the Participating Authority to make accountable decisions related to prequalification and tender assessment.

Any disagreements with the report must be capable of substantiation and be supported by facts.

F.2.4 Prequalified Contractor’s Response

The Prequalified Contractor must be given a copy of each performance report. The report is to be discussed with the Prequalified Contractor, which must be given the opportunity to comment on the assessment within 10 working days or another period as may be determined by the Participating Authority.



In all cases, the reporting and/or reviewing officer must address any issues raised by the Prequalified Contractor and respond in writing. The Prequalified Contractor’s comments and the written response by the reporting and/or reviewing officer form part of the report.

F.3 Performance Ratings

The Prequalified Contractor’s performance is to be assessed against the performance criteria and scored in line with the descriptions outlined in Table F 1 and Table F 2 to promote consistency across participating authorities.

There should be no unsatisfactory performance rating unless evidence exists to demonstrate lack of achievement of the required standard of performance. Each criterion has an overall score that is made up of the average of the sub-criteria (total score = average of sub-criteria scores).

Table F 1: National Prequalification System performance scoring generic rating descriptions

Score Rating Descriptor (the extent to which the Prequalified Contractor meets performance requirements)

10 Superior Exceptional. Always well above the required standard of performance. Demonstrated strengths and use of innovation where appropriate. No errors, risks, weaknesses or omissions.

9 Good

Often exceeds the required standard of performance. Demonstrated strengths and use of innovation where appropriate. Negligible minor errors, risks, weaknesses or omissions, which are acceptable as offered.

8 Sound achievement of the required standard of performance. Minimal minor errors, risks, weaknesses or omissions, which are acceptable as offered.

7

Acceptable

Reasonable achievement of the required standard of performance. Some minor errors, risks, weaknesses or omissions, which may be acceptable as offered.

6 Reasonable achievement of the required standard of performance. Some errors, risks, weaknesses or omissions, which can be corrected/overcome with minimum effort.

5 Minimal achievement of the required standard of performance. Some errors, risks, weaknesses or omissions, which are possible to correct/overcome and make acceptable.

4

Unacceptable

Moderate weaknesses. Does not always meet the required standard of performance.

3 Significant weaknesses. Performance is often below the required standard of performance.

2 Major weaknesses. Rarely meets the required standard of performance.

1 General non-compliance. Has not met the required standard of performance.

0 Severe non-compliance. Does not meet the required standard of performance and is not recommended to carry out this type of work.

GUIDE NOTE:

It is possible that not all sub-criteria will be assessed for every contract. Where a sub-criterion is not assessed, the remaining sub-criteria will be averaged to provide a score at the criterion level. For example, for ‘Criterion 4: Relationship Management’ sub-criterion (a) will not be assessed if the contract is not directly with the principal. The overall score for Criterion 4 will therefore be the average of the remaining sub-criteria (b) and (c).



F.4 Final Performance Report

The final performance report on each completed contract will be the main source of data for evaluation of the performance of a Prequalified Contractor. For this reason, the final report should reflect the performance of the Prequalified Contractor during the whole of the contract. When performance is unsatisfactory, the report must be accompanied by backup evidence and all relevant details of the unsatisfactory performance.

Documentary evidence supporting reports, including minutes of meetings with the Prequalified Contractor, should be referenced in the report. Care should be taken not to destroy the evidence whilst it is still relevant to a performance report.



Table F 2: Performance criteria and detailed rating descriptions

Criterion Sub-criterion Score Examples of documentation to

support assessment 0-4 5-7 8-9 10 Unacceptable Acceptable Good Superior

1. Time management and progress

(a) Supply program • An initial supply program that did not meet the minimum requirements.

• Initial supply program finalised and accepted later than required or after some delays and later than the time specified in the contract.

• Inadequate planning, coordination and execution of activities, work processes and critical operations.

• A satisfactory initial supply program.

• Initial supply program finalised and accepted on time or in the time specified in the contract.

• Satisfactory planning, coordination and execution of activities, work processes and critical operations.

• A good initial supply program.

• Initial supply program finalised and accepted earlier than required or earlier than the time specified in the contract.

• Good planning, coordination and execution of activities, work processes and critical operations. Good effort made to keep on schedule.

• An excellent initial supply program.

• Initial supply program finalised and accepted much earlier than required or much earlier than the time specified in the contract.

• Excellent planning, coordination and execution of activities and work processes. Very proactive in keeping ahead of schedule.

• Supply program.

(b) Supply of product in accordance with program

• Contractual obligations not met within the prescribed time limits on many occasions and having a moderate-to-significant impact on the contract.

• Contractual obligations generally within the prescribed time limit.

• Contractual obligations met by the prescribed time limit.

• Contractual obligations met ahead of the prescribed timeframe.

• Early warning of potential issues.

• Early warning of possible variations.

• Copies of dated correspondence confirming time obligations met or not met.

• Site meeting minutes.

• Letters advising missed time limits.





2. Contract management

(a) Management of subcontractors

• Some contractual responsibility for consultants, subcontractors and suppliers.

• Inadequate management and coordination of consultants, subcontractors and suppliers.

• Inadequate control of the performance and work processes of each consultant, subcontractor and supplier.

• Poor performance with regard to the timeliness of payment and fairness of dealing with subcontractors.

• A satisfactory level of contractual responsibility for consultants, subcontractors and suppliers.

• Satisfactory management and coordination of consultants, subcontractors and suppliers.

• Satisfactory control of the performance and work processes of each consultant, subcontractor and supplier.

• Adequate performance with regard to the timeliness of payment and fairness of dealing with subcontractors.

• A high level of contractual responsibility for consultants, subcontractors and suppliers.

• Good management and coordination of consultants, subcontractors and suppliers.

• Good control of the performance and work processes of each consultant, subcontractor and supplier.

• Good performance with regard to the timeliness of payment and fairness of dealing with subcontractors.

• An exceptional level of contractual responsibility for consultants, subcontractors and suppliers.

• Excellent management and coordination of consultants, subcontractors and suppliers.

• Excellent control of the performance and work processes of each consultant, subcontractor and supplier.

• Excellent performance with regard to the timeliness of payment and fairness of dealing with subcontractors.

• Audit reports, internal and 2nd party.

• Daily diaries. • Interim performance

reports.

(b) Management of contract resources (plant and personnel)

Plant • Inadequate condition and

availability of plant. • Inadequate selection of plant

for the tasks involved in the contract.

• Plant use was below the acceptable standard and moderately effective.

Personnel • Prequalified Contractor’s

representative has limited knowledge and experience. Performance was below the acceptable standard.

Plant • Satisfactory condition and

availability of plant. • Satisfactory selection of plant


• Plant use met the acceptable standard and was effective.


representative has satisfactory knowledge and experience. Performance met the acceptable standard. Qualifications met

Plant • Good condition and

availability of plant. • Good selection of plant for

the tasks involved in the contract.

• Plant use was above the acceptable standard.


representative has good knowledge and experience. Performance was above the acceptable standard. Qualifications

Plant • Excellent condition and

availability of plant. • Excellent selection of plant


• Plant use was well above the acceptable standard.


representative has excellent knowledge and experience. Performance was well above the acceptable standard.

• Monthly progress reports.

• Daily dairies. • Interim performance

reports. • Prestart checklist or

plant condition reports.





Qualifications did not meet requirements.

• Key operational personnel have limited knowledge, experience and performance. Qualifications did not meet requirements.

• Inadequate number of key operational personnel. Some difficulty in delivering the contract. Some adverse effects on processes and outcomes.

• Some adverse effect on progress and quality caused by turnover in key operational personnel.

• Key operational personnel sometimes off-site during critical operations.

requirements. • Sufficient key operational

personnel. Little difficulty in delivering the contract. Insignificant adverse effect on processes and outcomes.

• Insignificant adverse effect on progress and quality caused by turnover in key operational personnel.

• Key operational personnel on-site at most times but always for critical operations.

exceeded requirements. • Key operational personnel

have good knowledge, experience and performance. Qualifications exceeded requirements.

• More than sufficient key operational personnel. No difficulty in delivering the contract. No adverse effect on outcomes and processes.

• No adverse effect on progress and quality caused by turnover in key operational personnel.

• Key operational personnel almost always on-site but always for critical operations.

Qualifications exceeded requirements.

• Key operational personnel have excellent knowledge, experience and performance. Qualifications exceeded requirements.

• Exceptional number of key operational personnel. No difficulty in delivering an excellent contract. A significant positive effect on processes and outcomes.

• A positive effect on progress and quality due to turnover in key operational personnel.

• Key operational personnel always on-site and present at all critical operations.

(c) Contract administration

• Compliance with the administrative and legal requirements of the contract was below the acceptable standard.

• Contract records system was inadequately maintained.

• Some difficulty in ensuring that up-to-date drawings and specifications were used.

• Inadequate follow-up action.

• Compliance with the administrative and legal requirements of the contract met the acceptable standard.

• Contract records system was satisfactorily maintained.

• Usually ensured that up-to-date drawings and specifications were used.

• Satisfactory follow-up action.

• Compliance with the administrative and legal requirements of the contract was above the acceptable standard.

• Contract records system was maintained well.

• Almost always ensured that up-to-date drawings and specifications were used.

• Good follow-up action.

• Compliance with the administrative and legal requirements of the contract well above the acceptable standard.

• Maintenance of the contract records system was excellent.

• Always ensured that up-to-date drawings and specifications were used.

• Consistently proactive


• Daily dairies. • Statutory

declarations. • Minutes of meetings. • Interim performance

report.





follow-up action.

3. Utilisation of management systems

(Note: Assessment will focus on both quality of system and whether it was utilised successfully on the subject contract)

(a) Quality management Personnel • Quality management

representative has limited knowledge and experience. Performance was below the acceptable standard.

• Quality management representative sometimes off-site for critical operations.

Preparation • An initial quality plan that did

not meet the minimum requirements.

• Initial quality plan finalised and accepted later than required or after some delays and later than the time specified in the contract.

Implementation • Execution of work process was

below the acceptable standard. • Inadequate execution of

inspection and test plans. Many lots not visually inspected and assessed before submitting for acceptance.

• Non-conformances often poorly reported and not satisfactorily addressed.

• Repetitions of the same non-conformance type with moderate-to-significant consequences.

Personnel • Quality management

representative has satisfactory knowledge and experience. Performance met the acceptable standard.

• Quality management representative on-site at most times but always on-site for critical operations.

Preparation • A satisfactory initial quality

plan. • Initial quality plan finalised

and accepted on time or in the time specified in the contract.

Implementation • Execution of work process

met the acceptable standard. • Satisfactory execution of

inspection and test plans. Most lots visually inspected and assessed before submitting for acceptance.

• Non-conformances satisfactorily reported and generally satisfactorily addressed after some prompting.

• Repetitions of the same non-conformance type with minor consequences.


representative has good knowledge and experience. Performance was above the acceptable standard.

• Quality management representative almost always on-site but always on-site for critical operations.

Preparation • A good initial quality plan. • Initial quality plan finalised

and accepted earlier than required or earlier than the time specified in the contract.


was above the acceptable standard.

• Good execution of inspection and test plans. Almost all lots visually inspected and assessed before submitting for acceptance.

• Non-conformances almost always reported and addressed promptly and effectively.


representative has excellent knowledge and experience. Performance was well above the acceptable standard.

• Quality management representative always on-site and present at all critical operations.

Preparation • An excellent initial quality

plan. • Initial quality plan finalised

and accepted much earlier than required or much earlier than the time specified in the contract.


was well above the acceptable standard.

• Excellent execution of inspection and test plans. All lots visually inspected and assessed before submitting for acceptance.

• Non-conformances always reported and addressed promptly and effectively.

• No repetition of the same non-conformance type.

• Copies of suitability and compliance audit reports, internal and 2nd/3rd party.

• Contract requirements and contract quality plan.

• Quality plan that complies with AS/NZS ISO 10005.


• Inspection and test plan.

• Lot records, test results survey and other measurements and non-conformance reports

• Daily diaries. • Interim performance

reports. • Copies of meeting

minutes. • Non-conformance

register. • Correspondence. • Statutory

declarations.





• A medium level of rework. • Observance of hold points

inadequate. • Internal audits not usually

carried out as per the quality plan.

• Internal audits identified an inadequate level of compliance.

• 2nd/3rd party audits identified an inadequate level of compliance.

• A low level of rework. • Satisfactory observance of

hold points. • Internal audits mostly carried

out as per the quality plan. • Internal audits identified a

satisfactory level of compliance.

• 2nd/3rd party audits identified a satisfactory level of compliance.

• Low number of repetitions of the same non-conformance type.

• A very low level of rework. • Good observance of hold

points. • Internal audits almost

always carried out as per the quality plan.

• Internal audits identified a good level of compliance.

• 2nd/3rd party audits identified a good level of compliance.

• An insignificant level of rework.

• Excellent observance of hold points.

• Internal audits always carried out as per the quality plan.

• Audits identified an excellent level of compliance.

• 2nd/3rd party audits identified an excellent level of compliance.

(b) OH&S management Personnel • OH&S representative has

limited knowledge and experience. Performance was below the acceptable standard.

• OH&S representative sometimes off-site for critical operations.

Preparation • An initial safety plan that did

not meet the minimum requirements.

• Initial safety plan finalised and accepted later than required or after some delays and later than the time specified in the contract.

Implementation • Limited safety induction

Personnel • OH&S representative has

satisfactory knowledge and experience. Performance met the acceptable standard.

• OH&S representative on-site at most times but always on-site for critical operations.

Preparation • A satisfactory initial safety

plan. • Initial safety plan finalised

and accepted on time or in the time specified in the contract.

Implementation • Satisfactory safety induction

program. • Holds toolbox meetings in


good knowledge and experience. Performance was above the acceptable standard.

• OH&S representative almost always on-site but always on-site for critical operations.

Preparation • A good initial safety plan. • Initial safety plan finalised

and accepted earlier than required or earlier than the time specified in the contract.

Implementation • Good safety induction


excellent knowledge and experience. Performance was well above the acceptable standard.

• OH&S representative always on-site and present at all critical operations.

Preparation • An excellent initial safety

plan. • Initial safety plan finalised

and accepted much earlier than required or much earlier than the time specified in the contract.

Implementation

• Copies of safety audit reports. Internal and 2nd/3rd party.

• Contract requirements and contract safety plan.


• Daily diaries. • Incident/accident

reports. • Worksafe

improvement notices.

• Interim performance reports.





program. • Holds toolbox meetings but not

in accordance with the safety plan.

• Inadequate safety performance.

• Standard of monthly OH&S reports inadequate.

• Monthly OH&S reports submitted after some delays and later than specified in the contract.

• Internal audits and inspections not usually carried out as per the safety plan.

• Non-conformances, incidents and accidents often poorly reported and poorly actioned.

• Repetitions of the same non-conformance type with moderate consequences.

• 2nd/3rd party audits identified an inadequate level of compliance.

accordance with the safety plan.

• Adequate safety performance.

• Standard of monthly OH&S reports adequate.

• Monthly OH&S reports submitted on time, as specified in the contract.

• Internal audits and inspections mostly carried out as per the safety plan.

• Non-conformances, incidents and accidents nearly always reported and nearly always actioned promptly and effectively.

• Repetitions of the same non-conformance type with minor consequences.

• 2nd/3rd party audits identified a satisfactory level of compliance.

program. • Holds toolbox meetings in

accordance with the safety plan, sometimes more frequently.

• Good safety performance. • Good standard of monthly

OH&S reports. • Monthly OHS reports

always submitted earlier than specified in the contract.

• Internal audits and inspections almost always carried out as per the safety plan.

• Non-conformances, incidents and accidents almost always reported and almost always actioned promptly and effectively.

• Low number of repetitions of the same non-conformance type.

• 2nd/3rd party audits identified a good level of compliance.

• Excellent safety induction program.

• Holds toolbox meetings in accordance with the safety plan, usually more frequently.

• Excellent safety performance.

• Standard of monthly OH&S reports excellent.

• Monthly OH&S reports always submitted much earlier than specified in the contract.

• Internal audits and inspections always carried out as per the safety plan.

• Non-conformances, incidents and accidents always reported and always actioned promptly and effectively.

• No repetition of the same non-conformance type.

• 2nd/3rd party audits identified an excellent level of compliance.





4. Relationship management

(a) Cooperative relationships with principal/superintendent

• Inadequate commitment and attitude to working relationships (e.g. respect, trust, cooperation, openness and the ready exchange of information).

• Issues mostly resolved slowly and inefficiently due to generally ineffective communication and attitude.

• Satisfactory commitment and attitude to working relationships (e.g. respect, trust, cooperation, openness and the ready exchange of information).

• Issues resolved in a timely and efficient manner through open and effective communication.

• Good commitment and attitude to working relationships (e.g. respect, trust, cooperation, openness and the ready exchange of information).

• Issues always resolved quickly and efficiently through open and very effective communication.

• Excellent commitment and attitude to working relationships (e.g. respect, trust, cooperation, openness and the ready exchange of information).

• Issues always resolved very quickly and efficiently through excellent communication. Very proactive in maintaining an excellent relationship.

• Daily diaries. • Correspondence. • Interim performance

reports.

(b) Cooperative relationships with head contractor

• As above. • As above. • As above. • As above. • Daily diaries. • Correspondence. • Interim performance

reports.

(c) Cooperative relationships with other contractors

• As above. • As above. • As above. • As above. • Daily diaries. • Complaints register. • Commitment

register. • Interim performance

reports.





5. Quality of work (a) Product design • Frequent significant design errors/omissions.

• Significant contribution to approved variations.

• Significant impact on contract completion timing.

• Errors/omissions caused significant difficulties to construction contractor.

• Some errors and omissions. • Minor delays to program as a

result of the errors/omissions. • Minor increase in cost to

Principal. • Design queries were

answered in accordance with the contract documents.

• Minor errors/omissions. • No significant impact on

overall quality of contract. • Design errors/omissions

did not cause any difficulties for the construction contractor or subcontractors.

• Design errors or omissions did not result in any significant variations to the contract or increase in cost.

• Design queries were answered promptly by the designers.

• No design errors/omissions or those that did occur could not be foreseen/were minor.

• Extra effort made by designers to make plans easy to interpret by construction personnel.

• Innovative design.


• Daily dairies. • Interim performance

reports. • Correspondence.

(b) Final product • Lack of proper procedures in place to ensure appropriate sources of supply for all materials used in the manufacturing of the product and to ensure purchased materials meet specified requirements (or procedures not utilised appropriately).

• Lack of proper procedures in place for the transportation, handling, storage and packaging of materials and product (or procedures not utilised appropriately).

• Inappropriate manufacturing techniques used on many occasions with significant impact on the delivery of the

• Proper procedures in place to ensure appropriate sources of supply for all materials used in the manufacturing of the product and to ensure purchased materials meet specified requirements. Procedures utilised appropriately on most occasions.

• Proper procedures in place for the transportation, handling, storage and packaging of materials and product. Procedures utilised appropriately on most occasions.

• Occasionally inappropriate manufacturing techniques used with minimal impact on

• Proper procedures in place to ensure appropriate sources of supply for all materials used in the manufacturing of the product and to ensure that purchased materials meet specified requirements. Procedures are utilised consistently.

• Proper procedures in place for the transportation, handling, storage and packaging of materials and product. Procedures are utilised consistently.

• Product fully meets specification

• Robust procedures in place to ensure appropriate sources of supply for all of the materials used in the manufacturing of the product and ensure that purchased materials meet specified requirements. Procedures are utilised consistently.

• Robust procedures in place for the transportation, handling, storage and packaging of materials and product. Procedures are utilised consistently.

• Innovative and advanced manufacturing techniques

• Procedures. • Inspection and test

results. • Monthly progress

reports. • Daily dairies. • Interim performance

reports.





contract. • Excessive supervision

required. • Frequently seeks guidance

from head contractor, principal or superintendent.

• Major weaknesses, has not met the required standard and is not able to carry out this type of work.

overall contract. • Supervision required was in

line with expectations for this type of contract.

• Minor and infrequent issues relating to equipment and resources.

• Mostly meets required standard but has some minor weaknesses.

requirements. • Adequate equipment and

resources. • Effective use of available

equipment and resources. • Supervision required was

slightly less than expected.

• Average down time due to illness/injury or equipment breakdowns.

• Better than satisfactory and sometimes exceeds the required standard.

used to deliver a superior product.

• Product fully meets specification requirements and is of an exceptional standard.

• Modern equipment and highly skilled resources. Backup resources to cover for illness/injury.

• Supervision required was minimal compared to industry norms.

• Proactive maintenance of equipment with better than average down time.



COMMENTARY 1 The specialist areas originally earmarked for national category development originally included ‘traffic management and control’. However, the project Working Group decided not to progress with the development of a national prequalification category this area at this particular point in time, but to defer this work until such time as other relevant harmonisation activities were complete – particularly the work being progressed under Austroads Project Austroads NT1919 (National Traffic Control at Worksites – Implementation Plan) to develop training materials to enable Registered Training Organisations deliver standardised traffic management training to personnel under an agreed new national framework.

Specifically, the project Working Group’s rationale for the deferral was that there would be little benefit to traffic management organisations from prequalifying with one road authority under a national system, and obtaining recognition of that prequalification status with other authorities, in circumstances where their personnel would still need to undertake further training and obtain jurisdiction-specific licences and/or accreditation to be able to work in the jurisdiction(s) where recognition had been provided. Back to body text

national prequalification system – inclusion of specialist ... · once prequalified by one road...

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