austroads guide to project delivery part 3 - contract …- ecm 1.3.1 general - the ecm recommends...

RTA Supplement Guide to Project Delivery, Part 3 (Austroads) ______________________________________________________________________________________________

UNCONTROLLED WHEN PRINTED 1 (36 pages)

RTA Austroads Guide Supplements Publication Number: RTA/Pub.11.102

Publication date: 7 March 2011 Supersedes : Nil

AUSTROADS GUIDE TO PROJECT DELIVERY

PART 3 – CONTRACT MANAGEMENT

General Austroads has released the Guide to Project Delivery and all road agencies across Australasia have agreed to adopt the Austroads guides to provide a level of consistency and harmonisation across all jurisdictions. This agreement means that the new Austroads guides and the Australian Standards, which are referenced in them, will become the primary technical references for use within the Authority. This supplement is issued to clarify, add to, or modify the Austroads Guide to Project Delivery-Part 3 : Contract Management. The RTA NSW accepts the principles in the Austroads Guide to Project Delivery-Part 3 : Contract Management, with variations documented in this supplement under he following categories: t

RTA Enhanced Practice: RTA practices which enhance the Austroads Guides.

RTA Complementary Material: RTA project delivery reference material that complements the Austroads Guides. These documents include RTA Manuals and Guides (Engineering Contract Manual, RTA Project management guide for major road projects (May 2008)), RTA Procedures (Project Pack), GC21 RTA General Conditions of Contract and/or other reference material referred to below. These are to be read in conjunction with the Austroads Guides.

For this Austroads Guide, all material listed below comprises either an Enhanced Practice or Complementary Material. There are no departures from the Guide.


Document Information Title: RTA Supplement to Austroads Guide to Project

Delivery - Part 3 Branch / Section / Unit:

Infrastructure Contract Branch/Project Management Office

Author: Project/Contract Manager, Kim Sharman Contributors: Project Management Office Endorsed by: Manager Project Management Office, Peter Letts Audience: RTA and Public Approved by: Chair of RTA Austroads Reference Group, Chris

Harrison Date of approval and Effect:

7 March 2011

Next Review Date: December 2011 Publication Number: RTA/Pub.11.102 Keywords: Project Delivery, Contract Management

Document History Version Date Reason for Amendment Page No. Editor 1.0 Feb

2011 Initial document All

For enquiries and further issues to be added to this supplement email Austroads Supplements


mailto:[email protected]


Part 3 – Contract Management

Reference Section

RTA Enhanced Practice or Complementary Material

Date

1.0 Purpose of this Guide 2.0 Introduction 2.1 Types of Contract

RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 1.1.2 RTA Construction Contracts (a) Types of Contracts Used. - ECM 1.1.2 RTA Construction Contracts (b) Coverage by the Manual. - ECM 1.1.3 Need to follow procedures. -RTA Project Pack Procedures : ILC-MI-TP0-801 Procurement of PSC’s for infrastructure projects, ILC-MI-TP2-402 (pending) Selecting the contract delivery method for a major project.

2.2 What is a Contract? RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 1.2 What is a Contract?

2.2.1 Definition RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 1.2.1 Definition - While Contracts can be either written or oral RTA always uses written contracts.

2.2.2 Essential Elements RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 1.2.2 Essential Elements.

2.2.3 What does a Contract do? RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 1.2.3 What does a contract do?

2.3 Pre-contract Activities RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 1.3 Precontract Activities. - ECM 1.3.1 General - The ECM recommends that all precontract activities must be resolved and completed prior to the invitation of tenders. If not and approval is given to invite tenders, then any adjustments as a consequence must be agreed before issue of the Letter of Award or acceptance of the contract.




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(Note - Austroads recommends that all pre-contract activities should be resolved prior to award of a construct only contract). - ECM 1.3.2 Funding - Tenders should not be called until and unless funding is confirmed. Particularly important for Federally funded Major Contracts which require Project Proposal Reports to be submitted for various stages. Refer to the Project Management Guide and Auslink, Notes on Administration.

2.4 Procurement of Contracts RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 1.0 Introduction to RTA Contracts for Construction, ECM 2.0 Tender Documents and ECM 3.0 Tenders. - RTA Project Pack Procedures : ILC-MI-TP0-801 Procurement of professional service contractors for infrastructure projects, ILC-MI-TP3-302 Preparation of tender documentation for construction contracts, ILC-MI-TP3-302-G01 Guidelines for the preparation of tender documentation for construction contracts, ILC-MI-TP3-303 Managing construction tendering, ILC-MI-TP3-303-G01 Guidelines for managing construction tendering.

2.4.1 Types of Construct Only Contracts RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 2.2 Legal Documents.

3.0 Documentation

RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 2.0 Tender Documents. - ECM 2.1.1 General Requirements (point 1) - RTA Information Documents for road and bridgeworks are to be provided through the C12 “Request for Tenders” process by major contract incorporating the GC21 (Edition 1) RTA General Conditions of Contract for Design (to the extent specified) and Construction (GC21). - ECM 2.1.1 General Requirements (point 2) - The NSW Government Procurement Policy applies to the development of Information Documents, particularly the relevant parts of Attachment 2 “Procurement Process-Ten Stages”. - RTA Project Pack Procedures : ILC-MI-TP3-302 Preparation of tender documentation for construction contracts, ILC-MI-TP3-302-G01 Guidelines for preparation of tender documentation for construction contracts.

3.1 Tender Information RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 2.0 Tender Documents. - ECM 2.1.1 General Requirements (point 4) - The standard arrangement for RTA Information Documents is shown in Appendix 2.1-A. - ECM 2.1.1 General Requirements (point 5) - A checklist for compiling



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Information Documents is attached in Appendix 2.1-C. - RTA Project Pack Procedures : ILC-MI-TP0-201 Risk Management, ILC-MI-TP0-201-G01 Guidelines for risk management, ILC-MI-TP3-302 Preparation of tender documentation for construction contracts, ILC-MI-TP3-302-G01 Guidelines for preparation of tender documentation for construction contracts.

3.2 Legal Documents RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 2.2 Legal Documents. - ECM 2.2.1 General, Table 2.2-1 – This table details the legal documents used in RTA major roadworks and bridgeworks contracts. - RTA Project Pack Procedures : ILC-MI-TP0-201 Risk Management, ILC-MI-TP0-201-G01 Guidelines for risk management, ILC-MI-TP3-302 Preparation of tender documentation for construction contracts, ILC-MI-TP3-302-G01 Guidelines for preparation of tender documentation for construction contracts.

3.2.1 Request for Tenders RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 2.2.4 Request for Tenders. - RTA Project Pack Procedures : ILC-MI-TP0-201 Risk Management, ILC-MI-TP0-201-G01 Guidelines for risk management, ILC-MI-TP3-302 Preparation of tender documentation for construction contracts, ILC-MI-TP3-302-G01 Guidelines for preparation of tender documentation for construction contracts.

3.2.2 Schedule of Estimated Quantities RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 2.2.5 Schedule of Estimated Quantities. - ECM 2.2.5 Schedule of Estimated Quantities (a) General (point 5) - An example of a completed Schedule of Estimated Quantities is included in Appendix 2.2-D. - RTA Project Pack Procedures : ILC-MI-TP0-201 Risk Management, ILC-MI-TP0-201-G01 Guidelines for risk management, ILC-MI-TP3-302 Preparation of tender documentation for construction contracts, ILC-MI-TP3-302-G01 Guidelines for preparation of tender documentation for construction contracts, ILC-MI-TP0-601 Project estimates. - RTA’s Project Estimating Manual.

3.2.3 Tender Form RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 2.2.6 Tender Form. - ECM 2.2.6 Tender Form (a) General (point 2) - The RTA Tender Form includes : Schedule to Tender Form, Tender Price Summary Sheet, Schedule of Rates and Schedule of Prices. (Note that Austroads refers to a Schedule of



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Dayworks Rates. A Schedule of Dayworks Rates is not standard for RTA). - ECM 2.2.6 Tender Form (d) Schedule of Rates (point 6) - An example of a completed Schedule of Rates is included in Appendix 2.2-E. - ECM 2.2.6 Tender Form (e) Schedule of Prices (point 2) - An example of a completed Schedule of Prices is included in Appendix 2.2-F. - ECM 2.2.7 Schedule of Dayworks Rates (point 1) - GC21 is silent on the requirement of a Schedule of Daywork Rates to be provided by the Tenderer with its tender. Refer to this section for more details of the reasons GC21 suggests a Schedule of Daywork Rates is not required. - RTA Project Pack Procedures : ILC-MI-TP0-201 Risk Management, ILC-MI-TP0-201-G01 Guidelines for risk management, ILC-MI-TP3-302 Preparation of tender documentation for construction contracts, ILC-MI-TP3-302-G01 Guidelines for preparation of tender documentation for construction contracts, ILC-MI-TP0-601 Project estimates. - RTA’s Project Estimating Manual.

3.2.4 General Conditions of Contract RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 2.2.8 General Conditions of Contract and GC21. - ECM 2.2.8 General Conditions of Contract (point 1) - The General Conditions of Contract (GC21) requires the insertion of project specific information in the Contract Information. However the clauses in the General Conditions must not be changed. - ECM 2.2.8 General Conditions of Contract (point 2) - The Contract Information items are to be completed in accordance with Appendix 2.2-A “Guide Notes on Completing the Contract Information”. - RTA Project Pack Procedures : ILC-MI-TP0-201 Risk Management, ILC-MI-TP0-201-G01 Guidelines for risk management, ILC-MI-TP3-302 Preparation of tender documentation for construction contracts, ILC-MI-TP3-302-G01 Guidelines for preparation of tender documentation for construction contracts.

3.3 Specifications-General RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 2.3 Specification-General. - ECM 2.3.1 General (point 2) - The General section of the Specifications including their numbers and usage are shown in Table 2.3-1. - ECM 2.3.2 Job Specific Requirements. - ECM 2.3.3 General Requirements-the QA version of Specification G2. - RTA Project Pack Procedures : ILC-MI-TP0-201 Risk Management, ILC-MI-TP0-201-G01 Guidelines for risk management, ILC-MI-TP3-302 Preparation of tender documentation for construction contracts, ILC-MI-TP3-302-G01 Guidelines for preparation of tender documentation for construction contracts.

3.4 Model Quality Assurance Specifications RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 2.3.4 Occupational Health and Safety (Major Works).



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- ECM 2.3.5 Principal’s Project Accommodation. - ECM 2.3.6 Environmental Protection. - ECM 2.3.7 Soil and Water Management. - ECM 2.3.8 Clearing and Grubbing. - ECM 2.3.9 Construction Surveys. - ECM 2.3.10 Special Conditions for Work on Australian Rail Track Corporation Ltd (ARTC) Property. - ECM 2.3.11 Control of Traffic. - ECM 2.3.12 Other General Specifications. - ECM 2.5 Model RTA QA Specifications. - RTA Project Pack Procedures : ILC-MI-TP0-201 Risk Management, ILC-MI-TP0-201-G01 Guidelines for risk management, ILC-MI-TP3-302 Preparation of tender documentation for construction contracts, ILC-MI-TP3-302-G01 Guidelines for preparation of tender documentation for construction contracts.

3.5 Roadworks, Bridgeworks and Materials Specifications RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 2.4.2 Roadworks and Bridgeworks and 2.4.3 Materials. - RTA Project Pack Procedures : ILC-MI-TP0-201 Risk Management, ILC-MI-TP0-201-G01 Guidelines for risk management, ILC-MI-TP3-302 Preparation of tender documentation for construction contracts, ILC-MI-TP3-302-G01 Guidelines for preparation of tender documentation for construction contracts.

3.6 Drawings RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 2.6 Drawings. - RTA Project Pack Procedures : ILC-MI-TP0-201 Risk Management, ILC-MI-TP0-201-G01 Guidelines for risk management, ILC-MI-TP3-302 Preparation of tender documentation for construction contracts, ILC-MI-TP3-302-G01 Guidelines for preparation of tender documentation for construction contracts.

3.7 Geotechnical Information RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 2.7 Geotechnical and other information. - ECM 2.7.3 Geotechnical Investigations, Guidance (point 9) - The Project Manager must review all geotechnical reports for compliance with ECM 2.7. - ECM 2.7.4 Other Information. - RTA Project Pack Procedures : ILC-MI-TP0-201 Risk Management, ILC-MI-TP0-201-G01 Guidelines for risk management, ILC-MI-TP3-302 Preparation of tender documentation for construction contracts, ILC-MI-TP3-302-G01 Guidelines for preparation of tender documentation for construction contracts.

3.8 Public Utility Adjustments



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RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 2.3.2 Job Specific Requirements (g) Public Utility Adjustments. - RTA Project Pack Procedures : ILC-MI-TP0-102-F08 Template for the utility action plan, ILC-MI-TP3-225 Utility adjustments on major projects, ILC-MI-TP3-225-G01 Guidelines for utility adjustments on major projects, ILC-MI-TP3-302 Preparation of tender documentation for construction contracts, ILC-MI-TP3-302-G01 Guidelines for preparation of tender documentation for construction contracts, ILC-MI-TP0-201 Risk Management, ILC-MI-TP0-201-G01 Guidelines for risk management. - RTA Project Management Guide for major road projects (May 2008) : section 4.6.11 Utility management.

3.9 Environmental Assessment and Planning Information RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 2.3.6 Environmental Protection. - ECM 2.3.6 Environmental Protection (point 2) – The QA version of Environmental Protection i.e. Specifications G35 and G36, are available in the QA Model Specification documents distributed by Infrastructure Contracts Branch (refer to ECM 2.5.2). - RTA Project Pack Procedures : ILC-MI-TP0-102-F03 Template for the environmental action plan, ILC-MI-TP0-401-G01 Guidelines for managing environmental issues in infrastructure projects, ILC-MI-TP0-415 Assess environmental impacts, ILC-MI-TP0-401-G01 Guidelines for assessing environmental impacts, ILC-MI-TP3-302 Preparation of tender documentation for construction contracts, ILC-MI-TP3-302-G01 Guidelines for preparation of tender documentation for construction contracts, ILC-MI-TP0-201 Risk Management, ILC-MI-TP0-201-G01 Guidelines for risk management. - Refer to the RTA Project Management Guide for major road projects (May 2008) : section 4.6.5 Environmental management.

3.10 Other Information RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 2.7.4 Other Information. - RTA Project Pack Procedures : ILC-MI-TP3-302 Preparation of tender documentation for construction contracts, ILC-MI-TP3-302-G01 Guidelines for preparation of tender documentation for construction contracts, ILC-MI-TP0-201 Risk Management, ILC-MI-TP0-201-G01 Guidelines for risk management.

4.0 Tendering

RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 3.0 Tenders. - RTA Project Pack Procedures : ILC-MI-TP3-302 Preparation of tender documentation for construction contracts, ILC-MI-TP3-302-G01 Guidelines for the preparation of tender documentation for construction contracts, ILC-MI-TP3-303 Managing construction tendering, ILC-MI-TP3-303-G01 Guidelines for



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managing construction tendering.

4.1 Introduction RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 3.0 Tenders. - ECM 3.0.2 Code of Practice (point 1) - All parties undertaking procurement activities on government contracts must comply with the New South Wales Government Code of Practice for Procurement.

4.1.1 Confidentiality, Probity and Fairness RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 3.5.2 Confidentiality, Probity and Fairness. - ECM 3.5.2 Confidentiality, Probity and Fairness (point 3) -Attention is drawn to the Authority’s Code of Conduct and Ethics which is contained in Section 6.10 of the RTA Human Resources Manual. The Code covers matters such as conflict of interests, accountability, fairness and equity. - ECM 3.5.2 Confidentiality, Probity and Fairness (point 4) - Shows an example of a statement from each Committee member that there is no actual or potential conflict or incompatibility between their personal or corporate interests and the impartial fulfilment of their duties in carrying out the tender assessment. - RTA Project Pack Procedures : ILC-MI-TP3-302 Preparation of tender documentation for construction contracts, ILC-MI-TP3-302-G01 Guidelines for the preparation of tender documentation for construction contracts, ILC-MI-TP3-303 Managing construction tendering, ILC-MI-TP3-303-G01 Guidelines for managing construction tendering.

4.1.2 Collusion RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 3.5.3 Collusion and Fraud - RTA requires tenderers to provide statements with their tender submission declaring that they have not colluded with other tenderers. - ECM 3.5.3 Collusion and Fraud (point 3) - If any proof of collusion or fraud is available, the matter is to be referred to the RTA’s Legal Counsel, Infrastructure Contracts Law, for advice on the appropriate course of action. - RTA Project Pack Procedures : ILC-MI-TP3-302 Preparation of tender documentation for construction contracts, ILC-MI-TP3-302-G01 Guidelines for the preparation of tender documentation for construction contracts, ILC-MI-TP3-303 Managing construction tendering, ILC-MI-TP3-303-G01 Guidelines for managing construction tendering, ILC-MI-TP3-303-F03 Template for a statement of no conflict of interest.

4.2 Tender Methods and Process RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 3.0.2 Code of Practice (point 2) (b) Tender Methods and Process.



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- ECM 3.0.2 Code of Practice (point 2) (b) Tender Methods and Process - Project Managers should refer to the Code from time to time when dealing with the tendering process, particularly in specific areas which may not be adequately covered in ECM 3.0. - RTA Project Pack Procedures : ILC-MI-TP3-302 Preparation of tender documentation for construction contracts, ILC-MI-TP3-302-G01 Guidelines for the preparation of tender documentation for construction contracts, ILC-MI-TP3-303 Managing construction tendering, ILC-MI-TP3-303-G01 Guidelines for managing construction tendering.

4.3 Document Terminology RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 3.0.3 Document Terminology. - ECM 3.0.3 Document Terminology (point 2) - Documents must be described in accordance with the definitions provided in C12 Request for Tenders and as further detailed in ECM 2.1. - RTA Project Pack Procedures : ILC-MI-TP3-302 Preparation of tender documentation for construction contracts, ILC-MI-TP3-302-G01 Guidelines for the preparation of tender documentation for construction contracts, ILC-MI-TP3-303 Managing construction tendering, ILC-MI-TP3-303-G01 Guidelines for managing construction tendering.

4.4 Inviting Tenders RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 3.1 Inviting Tenders. - ECM 3.1.1 General (point 2) – A checklist for inviting tenders is contained in Appendix 3.1-A. - ECM 3.1.2 Authority to invite tenders. - ECM 3.1.3 Ministerial Media Release. - ECM 3.1.4 Estimating Cost. - ECM 3.1.4 Estimating Cost (point 1) - A “job price” estimate of the cost of the work proposed (including GST) is to be prepared as detailed in the RTA’s Estimating Manual before tenders are invited. - ECM 3.1.5 Advertising Tenders. - RTA Project Pack Procedures : ILC-MI-TP3-302 Preparation of tender documentation for construction contracts, ILC-MI-TP3-302-G01 Guidelines for the preparation of tender documentation for construction contracts, ILC-MI-TP3-303 Managing construction tendering, ILC-MI-TP3-303-G01 Guidelines for managing construction tendering, ILC-MI-TP3-303-F01 Template for an approval to invite tenders, ILC-MI-TP3-303-V01 Verification record for managing construction tendering.

4.5 Pre-tender Meeting RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 3.1.10 Pre-Tender Meeting. - ECM 3.1.10 Pre-Tender Meeting (point 1) - note that for RTA a pre-tender meeting is to be arranged during the tender period for all major contracts. - ECM 3.1.10 Pre-Tender Meeting (point 2) - Attendance at the meeting and



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site inspection is compulsory. (Austroads says that consideration should be given to making attendance compulsory at the meeting and site inspection for all firms intending to lodge a tender) - ECM 3.1.10 Pre-Tender Meeting (point 6) - A typical agenda is shown in Appendix 3.1-F. - ECM 3.1.10 Pre-Tender Meeting (point 7) - Notes on the typical arrangements for, and the conduct of a pre-tender meeting are given in Appendix 3.1-G. - RTA Project Pack Procedures : ILC-MI-TP3-302 Preparation of tender documentation for construction contracts, ILC-MI-TP3-302-G01 Guidelines for the preparation of tender documentation for construction contracts, ILC-MI-TP3-303 Managing construction tendering, ILC-MI-TP3-303-G01 Guidelines for managing construction tendering, ILC-MI-TP3-303-F02 Template for a pre-tender meeting and site inspection attendance record, ILC-MI-TP3-303-V01 Verification record for managing construction tendering.

4.6 Pre-qualification and Pre-registration RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 3.2 Pre-qualification and Pre-registration. - ECM 3.2.1 Prequalifying Contractors (point 1) - The RTA operates a prequalification scheme. Details of the RTA’s current scheme are provided in the document Prequalification Scheme for Construction Industry and ITS Contractors and is available on the RTA Intranet. - ECM 3.1.2 Prequalifying Contractors (point 4) - The prequalification classes for the Main and Specialist Categories and for ITS Descriptions are shown in Tables 3.2-1, 3.2-2 and 3.2-3 respectively. - RTA Project Pack Procedures : ILC-MI-TP3-302 Preparation of tender documentation for construction contracts, ILC-MI-TP3-302-G01 Guidelines for the preparation of tender documentation for construction contracts, ILC-MI-TP3-303 Managing construction tendering, ILC-MI-TP3-303-G01 Guidelines for managing construction tendering, ILC-MI-TP3-303-V01 Verification record for managing construction tendering.

4.6.1 Pre-qualifying Contractors RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 3.1.2 Prequalifying Contractors. - ECM 3.1.2 Prequalifying Contractors (point 5) - A list of prequalified contractors and their approved classification (s) is available on the RTA website. - ECM 3.2.2 Specifying Prequalification Classes. - RTA Project Pack Procedures : ILC-MI-TP3-302 Preparation of tender documentation for construction contracts, ILC-MI-TP3-302-G01 Guidelines for the preparation of tender documentation for construction contracts, ILC-MI-TP3-303 Managing construction tendering, ILC-MI-TP3-303-G01 Guidelines for managing construction tendering, ILC-MI-TP3-303-V01 Verification record for managing construction tendering.

4.6.2 Pre-registering Tenderers RTA Project Managers are to refer to the following references for enhanced practice and complementary material :



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- ECM 3.2.3 Registering Contractors. - ECM 3.2.3 Registering Contractors (point 1) - Details of the Registration Scheme are provided in the document Registration Scheme for Construction Industry Contractors-Guidelines and Conditions (September 2004) and is available on the RTA Intranet. - ECM 3.2.4 Preregistering Tenderers (point 1) - The General Manager, ICB must be consulted before any preregistration of tenderers process is initiated. - ECM 3.2.4 Preregistering Tenderers - points (a-f) describe the usual process in the RTA for preregistration of tenderers. - RTA Project Pack Procedure : ILC-MI-TP3-302 Preparation of tender documentation for construction contracts, ILC-MI-TP3-302-G01 Guidelines for the preparation of tender documentation for construction contracts, ILC-MI-TP3-303 Managing construction tendering, ILC-MI-TP3-303-G01 Guidelines for managing construction tendering, ILC-MI-TP3-303-V01 Verification record for managing construction tendering.

4.6.3 Short-listing of Tenderers RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - RTA Project Pack Procedures : ILC-MI-TP3-302 Preparation of tender documentation for construction contracts, ILC-MI-TP3-302-G01 Guidelines for the preparation of tender documentation for construction contracts, ILC-MI-TP3-303 Managing construction tendering, ILC-MI-TP3-303-G01 Guidelines for managing construction tendering, ILC-MI-TP3-303-V01 Verification record for managing construction tendering.

4.6.4 Interactive Tender Process RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - RTA Project Pack Procedures : ILC-MI-TP3-302 Preparation of tender documentation for construction contracts, ILC-MI-TP3-302-G01 Guidelines for the preparation of tender documentation for construction contracts, ILC-MI-TP3-303 Managing construction tendering, ILC-MI-TP3-303-G01 Guidelines for managing construction tendering, ILC-MI-TP3-303-V01 Verification record for managing construction tendering.

4.7 Receiving Tenders RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 3.3 Receiving Tenders. - ECM 3.3.1 Lodging Tenders (point 1) - C12 Request for Tenders provides directions for both Hard Copy lodgement and E-Tender lodgement of tenders. - ECM 3.3.2 Tender Box Requirement. - ECM 3.3.3 Tender Opening Committee. - ECM 3.3.4 Opening Tenders. - ECM 3.3.5 Late Tenders. - RTA Project Pack Procedures : ILC-MI-TP3-303 Managing construction tendering, ILC-MI-TP3-303-G01 Guidelines for managing construction tendering, ILC-MI-TP3-303-F04 Template for the public list of tenders received, ILC-MI-TP3-303-F05 Template for the schedule of tenders received, ILC-MI-



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TP3-303-V01 Verification record for managing construction tendering.

4.8 Tender Assessment Committee RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 3.6.2 Tender Assessment Committee. - RTA Project Pack Procedures : ILC-MI-TP3-303 Managing construction tendering, ILC-MI-TP3-303-G01 Guidelines for managing construction tendering, ILC-MI-TP3-303-V01 Verification record for managing construction tendering.

4.9 Reporting on Tenders RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 3.4 Reporting on Tenders. - ECM 3.4.2 Report on Tenders-Examination of Tenders : The RTA has a uniform approach to the examination of tenders and guidelines for this process are documented in ECM 3.5 “Examining Tenders”. - ECM 3.4.2 Report on Tenders-Assessment of Tenders : RTA has a uniform approach to the assessment of tenders and guidelines for this process are documented in ECM 3.6 “Assessing Tenders”. - ECM 3.4.3 Format for Report on Tenders - Appendix 3.4-A provides the format for the preparation of the Report on Tenders. - ECM 3.4.4 Report on Tenders-Example (point 4) - Appendix 3.4 B provides a typical example of a Report on Tenders. - RTA Project Pack Procedures : ILC-MI-TP0-601 Project estimates, ILC-MI-TP3-303 Managing construction tendering, ILC-MI-TP3-303-G01 Guidelines for managing construction tendering, ILC-MI-TP3-303-V01 Verification record for managing construction tendering.

4.10 Assessment RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 3.6 Assessing Tenders. - ECM 3.6.1 General (point 1) - The assessment of tenders is part of the Report on Tenders (refer to ECM 3.4) and is to be documented in accordance with the format in Appendix 3.4-A. - ECM 3.6.1 General (point 4) - ECM 3.6.17 provides direction for the assessment of tenders for Design and Construct (D&C) contracts and for Design, Construct and Maintain (DCM) contracts. - ECM 3.6.1 General (point 5) - ECM 3.6.18 provides direction for the assessment of tenders for Maintenance contracts. - ECM 3.6.3 Reporting on Assessment of Tenders. - ECM 3.6.3 Reporting on Assessment of Tenders (point 7) - Where it is recommended that the lowest tender be bypassed, the Report on Tenders and supporting information must be able to withstand both internal and potentially external scrutiny. - ECM 3.6.3 Reporting on Assessment of Tenders (point 8) - where the lowest priced tender is not being recommended, the approval of the Director, Major Infrastructure is required. - ECM 3.5.2 Confidentiality, Probity and Fairness.



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- ECM 3.5.3 Collusion and Fraud. - ECM 3.6.12 Claims History. - RTA Project Pack Procedures : ILC-MI-TP0-601 Project estimates, ILC-MI-TP3-303 Managing construction tendering, ILC-MI-TP3-303-G01 Guidelines for managing construction tendering, ILC-MI-TP3-303-V01 Verification record for managing construction tendering.

4.10.1 Examining Tenders RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 3.5 Examining Tenders. - ECM 3.5.1 General (point 2) - The Project Manager is required to document the considerations and outcomes of the examination as part of the Report on Tenders (refer to ECM 3.4). Documentation is to be in accordance with the format in Appendix 3.4-A. - ECM 3.5.4 Conformity of Tenders (point 1) - Tenders must be examined to determine their conformity or otherwise with all of the requirements specified in C12 Request for Tenders. - ECM 3.5.5 Checking Computations. - ECM 3.5.6 New South Wales Government Purchasing Policy. - ECM 3.5.7 Examining Alternative Tenders. - ECM 3.5.8 Conditional Tenders. - ECM 3.5.9 Contacting and Meeting with Tenderers. - RTA Project Pack Procedures : ILC-MI-TP0-601 Project estimates, ILC-MI-TP3-303 Managing construction tendering, ILC-MI-TP3-303-G01 Guidelines for managing construction tendering, ILC-MI-TP3-303-V01 Verification record for managing construction tendering.

4.10.2 Value for Money Assessment RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 3.6.4 Value for Money. - ECM 3.6.12 Claims History - Claims History is an important inclusion in the criteria for “Best Value for Money Assessment”. Refer further to ECM 3.6.12. - RTA Project Pack Procedures : ILC-MI-TP0-601 Project estimates, ILC-MI-TP3-303 Managing construction tendering, ILC-MI-TP3-303-G01 Guidelines for managing construction tendering, ILC-MI-TP3-303-V01 Verification record for managing construction tendering.

4.10.3 Assessment of Alternative Tenders RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 3.5.7 Examining Alternative Tenders. - ECM 3.5.7 Examining Alternative Tenders (point 2) - Requirements for the lodgement of an alternative tender are specified in clause 7 of C12 Request for Tenders, particularly clause 7.2 “Details Required for an Alternative Tender”, and the examination of alternative tenders must include a comprehensive check for compliance with the specified requirements. - ECM 3.6.5 Assessing Alternative Tenders. - RTA Project Pack Procedures : ILC-MI-TP0-601 Project estimates, ILC-MI-TP3-303 Managing construction tendering, ILC-MI-TP3-303-G01 Guidelines for



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managing construction tendering, ILC-MI-TP3-303-V01 Verification record for managing construction tendering.

4.10.4 Comparative Price Assessment RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 3.6.6 Comparative Price Assessment. - ECM 3.6.6 Comparative Price Assessment (point 1) - A Comparison of Tendered Rates Schedule is to be prepared for all major contracts. - ECM 3.6.6 Comparative Price Assessment (point 2 and 3) - Refer to Appendix 3.6A. - ECM 3.6.6 Comparative Price Assessment (point 5) - A sensitivity analysis should be carried out. Refer to Appendix 3.6-B Typical Sensitivity Analysis for Variations in Quantities. - ECM 3.6.6 Comparative Price Assessment (point 8) - For projects over $5M, it is RTA policy that a formal risk assessment be undertaken in developing the project documentation. - ECM 3.6.6 Comparative Price Assessment (point 9) - A typical Comparative Price Assessment is shown in Appendix 3.6-C. - RTA Project Pack Procedures : ILC-MI-TP0-601 Project estimates, ILC-MI-TP3-303 Managing construction tendering, ILC-MI-TP3-303-G01 Guidelines for managing construction tendering, ILC-MI-TP3-303-V01 Verification record for managing construction tendering, ILC-MI-TP0-201 Risk management, ILC-MI-TP0-201-G01 Guidelines for risk management.

4.10.5 Make-up of Tender Prices RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 3.6.6 Comparative Price Assessment. - RTA Project Pack Procedures : ILC-MI-TP0-601 Project estimates, ILC-MI-TP3-303 Managing construction tendering, ILC-MI-TP3-303-G01 Guidelines for managing construction tendering, ILC-MI-TP3-303-V01 Verification record for managing construction tendering, ILC-MI-TP0-201 Risk management, ILC-MI-TP0-201-G01 Guidelines for risk management.

4.10.6 Tender Program RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 3.6.8 Tender Program. - ECM 3.6.8 Tender Program (point 1) - The specific requirements for the Tender Program are detailed in clause 6.5 of C12 Request for Tenders. - RTA Project Pack Procedures : ILC-MI-TP0-601 Project estimates, ILC-MI-TP3-303 Managing construction tendering, ILC-MI-TP3-303-G01 Guidelines for managing construction tendering, ILC-MI-TP3-303-V01 Verification record for managing construction tendering, ILC-MI-TP0-201 Risk management, ILC-MI-TP0-201-G01 Guidelines for risk management, ILC-MI-TP0-620 Constructability assessment.

4.10.7 Quality System Assessment RTA Project Managers are to refer to the following references for enhanced



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practice and complementary material : - ECM 3.6.9 Quality System Assessment. - ECM 3.6.9 Quality System Assessment (point 1) - The submission of Quality System details is specified in clause 8.2 of C12 Request for Tenders. Experience and performance in the carrying out of QA contracts is included in the “Best Value for Money Assessment” criteria. - RTA Project Pack Procedures : ILC-MI-TP3-303 Managing construction tendering, ILC-MI-TP3-303-G01 Guidelines for managing construction tendering, ILC-MI-TP3-303-V01 Verification record for managing construction tendering, ILC-MI-TP0-201 Risk management, ILC-MI-TP0-201-G01 Guidelines for risk management, ILC-MI-TP3-306-F03 Template for audit plan and schedule, ILC-MI-TP3-307 Construction site surveillance management, ILC-MI-TP3-307-G01 Guidelines for construction site surveillance management.

4.10.8 Recent Performance and Current Financial Position RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 3.6.10 Recent Performance and Current Financial Position. - ECM 3.6.10 Recent Performance and Current Financial Position (point 9) - The RTA’s Contract Management database “CM21” maintains contract and performance details of all contracts, and information can be obtained from “CM21”. - RTA Project Pack Procedures : ILC-MI-TP3-303 Managing construction tendering, ILC-MI-TP3-303-G01 Guidelines for managing construction tendering, ILC-MI-TP3-303-V01 Verification record for managing construction tendering, ILC-MI-TP0-106 Updating the CM21 system, ILC-MI-TP0-106-G01 Guidelines for updating the CM21 system.

4.10.9 Organisational Details and Sub-contracting RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 3.6.11 Organisation Details and Sub-contracting. - ECM 3.6.11 Organisation Details and Sub-contracting (point 1) - The submission of Organisation Details and Subcontracting Proposal is specified in clauses 8.3 and 8.4 of C12 Request for Tenders, as part of post-tender supporting information when requested by RTA. - RTA Project Pack Procedures : ILC-MI-TP3-303 Managing construction tendering, ILC-MI-TP3-303-G01 Guidelines for managing construction tendering, ILC-MI-TP3-303-V01 Verification record for managing construction tendering.

4.10.10 Industrial Relations, Occupational Health and Safety and Community Relations Requirements - ECM 3.6.13 Occupational Health Safety & Rehabilitation Management Experience and Performance and ECM 3.6.15 Industrial Relations, Community Relations and Requirements in Annexure RFT2. - ECM 3.6.14 Environmental Management Experience and Performance. - RTA Project Pack Procedures : ILC-MI-TP3-303 Managing construction tendering, ILC-MI-TP3-303-G01 Guidelines for managing construction tendering, ILC-MI-TP3-303-V01 Verification record for managing construction tendering, ILC-MI-TP0-301 Development, implementation and management of



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community and stakeholder involvement, ILC-MI-TP0-401-G01 Guidelines for managing environmental issues in infrastructure projects, ILC-MI-TP0-501 Managing OHS issues in infrastructure projects.

4.10.11 Weighted Scoring RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 3.6.16 Weighted Scoring. - RTA Project Pack Procedures : ILC-MI-TP3-303 Managing construction tendering, ILC-MI-TP3-303-G01 Guidelines for managing construction tendering, ILC-MI-TP3-303-V01 Verification record for managing construction tendering.

4.10.12 Post-tender (Pre-award) Meeting RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 3.5.9 Contacting and Meeting with Tenderers. - RTA Project Pack Procedures : ILC-MI-TP3-303 Managing construction tendering, ILC-MI-TP3-303-G01 Guidelines for managing construction tendering, ILC-MI-TP3-303-V01 Verification record for managing construction tendering.

4.11 Inviting Fresh Tenders RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 3.6.19 Inviting Fresh Tenders. - ECM 3.6.19 Inviting Fresh Tenders (point 4) - The findings in the Tender Assessment Report must support the recommendation that none of the tenders received should be accepted and that fresh tenders be invited. - RTA Project Pack Procedures : ILC-MI-TP3-303 Managing construction tendering, ILC-MI-TP3-303-G01 Guidelines for managing construction tendering, ILC-MI-TP3-303-V01 Verification record for managing construction tendering, ILC-MI-TP3-303- F01 Template for an approval to invite tenders.

4.12 Feedback to Tenderers RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 3.7.5 Advising Unsuccessful Tenderers. - RTA Project Pack Procedures: ILC-MI-TP3-303 Managing construction tendering, ILC-MI-TP3-303-G01 Guidelines for managing construction tendering, ILC-MI-TP3-303-V01 Verification record for managing construction tendering.

5.0 Contract Award 5.1 Approving a Tender

RTA Project Managers are to refer to the following references for enhanced practice and complementary material :



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- ECM 3.7 Accepting Tenders. - ECM 3.7.1 Approving a Tender or Inviting Fresh Tenders. - ECM 3.7.1 Approving a Tender or Inviting Fresh Tenders (point 1) - As stated in clause 3.6.3 (5), the Project Manager must refer to the RTA Delegations Manual (Contract and Project Management) for the appropriate Officer with the delegated authority to approve acceptance of the preferred tender (or the invitation of fresh tenders). - RTA Project Pack Procedures: ILC-MI-TP3-303 Managing construction tendering, ILC-MI-TP3-303-G01 Guidelines for managing construction tendering, ILC-MI-TP3-303-V01 Verification record for managing construction tendering.

5.2 Letter of Award/Acceptance RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 3.7.2 Letter of Award. - ECM 3.7.2 Letter of Award (point 1) - ICB is responsible for the preparation of the Letter of Award for all major contracts. - ECM 3.7.2 Letter of Award (point 1) - It is RTA policy that a Letter of Award will not be issued until the outcome of a financial assessment (if required) on the approved tenderer is confirmed as satisfactory (refer to ECM 3.6.10). - ECM 4.1.4 Letter of Award. - ECM 4.1.4 Letter of Award – refer to 4.1-A : Typical Letter of Award.

5.2.1 Memorandum RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 3.7.2 Letter of Award (a) Memorandum.

5.2.2 Original Tender RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 3.7.2 Letter of Award (b) Original Tender.

5.2.3 Tender Request Documents RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 3.7.2 Letter of Award (c) Tender Request Documents.

5.2.4 Supplementary Documents RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 3.7.2 Letter of Award (d) Supplementary Documents.

5.3 Media Release



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RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 3.7.4 Press Releases. - ECM 3.7.4 Press Releases (point 3) - Advice of the preferred tenderer for a major contract is to be forwarded direct to the Manager, Corporate Media Unit as soon as possible after tenders have been assessed. - RTA Project Pack Procedures : ILC-MI-TP0-108 Media releases and printed/published information, ILC-MI-TP0-108-G01 Guidelines for media releases and printed/published information, ILC-MI-TP0-108-F01 Template for essential information for the preparation of media releases.

5.4 Advising Unsuccessful Tenderers RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 3.7.5 Advising Unsuccessful Tenderers.

5.5 Disclosure of Information on Tenders RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 3.7.6 Disclosure of Information on Tenders and Contracts after Award. - ECM 3.7.6 Disclosure of Information on Tenders and Contracts after Award (point 1) - Following award of a contract the NSW Government requires disclosure of information on all contracts entered into within 60 days of award, except for contracts=<$150,000 where disclosure is to be on request. (Note-This is a requirement for RTA, whereas Austroads says that the government may require) - ECM 3.7.6 Disclosure of Information on Tenders and Contracts after Award (point 2) - The Schedules of Disclosure in Appendix 3.7-A outline the information to be disclosed for each contract.

6.0 Contract Administration

- For the RTA, the contract administrator is referred to as “the Principal’s Authorised Person”. RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.0 Contract Administration.

6.1 Contractual Roles and Relationships RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.2 Roles and Relationships. - ECM 4.2.2 Principal-Contractor Relationship.

6.1.1 Role of the Principal RTA Project Managers are to refer to the following references for enhanced



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practice and complementary material : - ECM 4.2.4 Role of the Principal. - ECM 4.2.4 Role of the Principal (point 1) - The Principal is the Roads and Traffic Authority of New South Wales. - ECM 4.2.4 Role of the Principal (point 2) - The Principal’s Senior Executive for all RTA engineering contracts is the Director, Network Services, Roads and Traffic Authority NSW.

6.1.2 Role and Responsibilities of the Contract Administrator RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.2.5 Role and Responsibilities of the Principal’s Authorised Person. - ECM 4.2.5 Role and Responsibilities of the Principal’s Authorised Person (c) Approval of Principal’s Authorised Persons. - ECM 4.2.5 Role and Responsibilities of the Principal’s Authorised Person (c) Approval of Principal’s Authorised Persons - Appendix 4.2A-Principal’s Authorised Person/RTA Representative Nomination Form. - ECM 4.2.5 Role and Responsibilities of the Principal’s Authorised Person (d) Authority and Responsibility under the Contract (point 1) - The Principal’s Authorised Person acts as agent of the Principal with all powers and functions of the Principal excepting those contained in the following clauses (a) clause 8-Assignment (b) clause 57-Principal’s suspension (c) clause 58-Contractor’s suspension (d) clause 77-Termination for Contractor’s Default or Insolvency (e) clause 78-Termination for Principal’s convenience. - Note: Austroads refers to the dual role of the superintendent. RTA contracts have a Principal’s Authorised Person, they do not have a superintendent.

6.1.3 The Contract Administrator’s Representative RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.2.6 Authorised Delegate. - ECM 4.2.6 Authorised Delegate (point 1) - This is provided for by clause 2 of GC21 and clause 32 of Specification G2. - ECM 4.2.6 Authorised Delegate (point 7) - The Authorised Delegate should be located on the Site, separate but near the Contractor’s office, to facilitate communications and for availability and relationship management.

6.1.4 The Contract Administrator’s Representative’s Representative RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.2.7 Authorised Delegate’s Representatives. - ECM 4.2.7 Authorised Delegate’s Representatives (point 1) - Clause 32 of Specification G2 allows the Authorised Delegate to appoint one or more persons to exercise particular powers and functions vested in the Authorised Delegate.

6.1.5 Relationships in a Contract RTA Project Managers are to refer to the following references for enhanced



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practice and complementary material : - ECM 4.2.2 Principal-Contractor Relationship. - GC21 (General Conditions of Contract) is based on the principle of cooperative contracting.

6.1.6 Partnering and Cooperative Contracting - RTA uses cooperative contracting. GC21 is based on the principles of cooperative contracting. RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.2.5 Role and Responsibilities of the Principal’s Authorised Person (d) Authority and Responsibility under the Contract (point 2) - co-operative contracting.

6.2 Planning for Contract Administration RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - RTA Project Pack Procedures : ILC-MI-TP0-102 Project management plan, ILC-MI-TP0-102-G01 Guidelines for the project management plan.

6.2.1 Quality Plan for Contract Administration RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - The RTA uses the project management plan from Project Pack for the management of major contracts. - RTA Project Pack Procedures : ILC-MI-TP0-102 Project management plan, ILC-MI-TP0-102-G01 Guidelines for the project management plan.

6.2.2 Performance Reporting RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.8.10 Contractor Performance Reporting. - ECM 4.8.10 Contractor Performance Reporting (a) General (point 1) - Performance reporting is a key element of the NSW Government’s policy to use its coordinated purchasing power to induce industry reform through continuous improvement. The RTA complies with this policy. - ECM 4.8.10 Contractor Performance Reporting (a) General (point 4). - ECM 4.8.10 Contractor Performance Reporting (b) Procedure (point 2). - ECM 4.8.10 Contractor Performance Reporting (c) Reporting (point 1) - Contractor Performance Reports must be completed electronically on RTA Form 517 (Contractor Performance Report) in the RTA’s Contract database CM21. - ECM 4.3.3 Control of Correspondence (d) Performance Monitoring and Evaluation.

6.3 Preconstruction Activities



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RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.7 Preconstruction Activities. - ECM 4.7.1- A checklist of preconstruction activities following the order of clauses in GC21 is presented in Appendix 4.7-A.

6.3.1 Delegations RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.7.2 Authorised Persons-Delegations. - ECM 4.7.2 Authorised Persons-Delegations (2) Authorised Delegate (second point) - The procedure for delegating authority in major RTA Engineering Contracts is contained in Appendix 4.7-B and Attachment #1 provides the typical letter advising the Contractor of the appointment of the Authorised Delegate.

6.3.2 Execution of the Contract RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.7.3 Execution of the Contract. - ECM 4.7.3 Execution of the Contract (point 1) - While a Letter of Award is used to form the Contract, the RTA will also request the Contractor to execute two copies of the Deed of Contract Agreement.

6.3.3 Documents to be supplied by the Principal and the Contract Administrator RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.7.4 Principal’s Documents.

6.3.4 Security RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.7.11 Security-Undertakings.

6.3.5 Insurance RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.7.10 Insurance. - ECM 4.7.10 Insurance (point 1) - General - Clause 29.1 (GC21) covers the Contractors liability and requirement to indemnify the Principal. - ECM 4.7.10 Insurance (2) Principal Arranged Insurance (PAI). - ECM 4.7.10 Insurance (3) Contractor Arranged Insurance.

6.3.6 Possession of Site



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RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.7.12 Possession of Site.

6.3.7 Documents to be supplied by the Contractor RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.7.16 Contractor’s Documents (clause 43). - ECM 4.8.1 Contract Program. - ECM 4.8.2 Management Plans.

6.3.8 Partnering or Start-up Workshop - Note that the RTA does not use partnering. GC21 is based on the principle of cooperative contracting. RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.7.9 Start-up Workshop.

6.3.9 Pre-Construction Meeting RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.7.17 Preconstruction Meeting. - ECM 4.7.17 Preconstruction Meeting (point 4) - Suggested topics for consideration are listed in Appendix 4.7 C.

6.4 Commencement of Work RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.5 Quality Management. - ECM 4.8 Construction.

6.4.1 Contractor’s Quality Plan RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.5.4 Assessment of the Contractor’s Quality Plan. - ECM 4.5.4 Assessment of the Contractor’s Quality Plan (point 2).

6.4.2 Construction Program RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.8.1 Contract Program. - ECM 4.11.9 Delay and the Contract Program.



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6.4.3 Working Hours RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.8.7 Working days and hours of work.

6.4.4 Sub-contracting RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.8.8 Subcontracting.

6.5 Contract Communications RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.3 Contract Communications. - RTA Project Pack Procedures : ILC-MI-TP0-104 Filing and correspondence for projects and contracts, ILC-MI-TP0-104-G01 Guidelines for filing and correspondence for projects and contracts, ILC-MI-TP0-106 Updating the CM21 system, ILC-MI-TP0-106-G01 Guidelines for updating the CM21 system.

6.5.1 Format and style of Correspondence RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.3.2 Format and Style of Correspondence. - RTA Project Pack Procedures : ILC-MI-TP0-104 Filing and correspondence for projects and contracts, ILC-MI-TP0-104-G01 Guidelines for filing and correspondence for projects and contracts, ILC-MI-TP0-104-F02 Template for outwards contract correspondence register, ILC-MI-TP3-306-F14 Hold Point (HP) notification/release form.

6.5.2 Control of Correspondence RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.3.3 Control of Correspondence. - RTA Project Pack Procedures : ILC-MI-TP0-104 Filing and correspondence for projects and contracts, ILC-MI-TP0-104-G01 Guidelines for filing and correspondence for projects and contracts, ILC-MI-TP0-104-F01 Template for inwards contract correspondence register, ILC-MI-TP0-104-F02 Template for outwards contract correspondence register, ILC-MI-TP0-106 Updating the CM21 system, ILC-MI-TP0-106-G01 Guidelines for updating the CM21 system, ILC-MI-TP3-307-F08 Photograph register, ILC-MI-TP3-307-F09 Video register, ILC-MI-TP3-306-F09 Hold/witness points register, ILC-MI-TP3-306-F12 Variation order register, ILC-MI-TP3-307-F10 Site surveillance record register.

6.6 Records RTA Project Managers are to refer to the following references for enhanced practice and complementary material :



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- ECM 4.4 Records Management. - ECM 4.4.3 Principal’s Authorised Person’s Records - this section outlines records that the Principal’s Authorised Person’s are responsible for keeping. - RTA Project Pack Procedures : ILC-MI-TP0-104 Filing and correspondence for projects and contracts, ILC-MI-TP0-104-G01 Guidelines for filing and correspondence for projects and contracts, ILC-MI-TP0-104-F01 Template for inwards contract correspondence register, ILC-MI-TP0-104-F02 Template for outwards contract correspondence register, ILC-MI-TP0-802 Managing contract issues, extensions of time and variations, ILC-MI-TP0-802-G01 Guidelines for managing contract issues, extensions of time and variations, ILC-MI-TP0-106 Updating the CM21 system, ILC-MI-TP0-106-G01 Guidelines for updating the CM21 system, ILC-MI-TP3-307-F08 Photograph register, ILC-MI-TP3-307-F09 Video register, ILC-MI-TP3-306-F09 Hold/witness points register, ILC-MI-TP3-306-F12 Variation order register, ILC-MI-TP3-307-F10 Site surveillance record register, ILC-MI-TP3-306-F05 Contract program register, ILC-MI-TP3-306 Site induction and visitor register, ILC-MI-TP3-307-F06 Contract construction daily diary.

6.6.1 Registers RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.4.5 Registers. - ECM 4.4.5 Registers (a) General. - ECM 4.4.5 Registers (b) Issues Register. - ECM 4.4.5 Registers (c) Variations Register. - ECM 4.4.5 Registers (d) EOT Register. - RTA Project Pack Procedures : ILC-MI-TP0-802 Managing contract issues, extensions of time and variations, ILC-MI-TP0-802-G01 Guidelines for managing contract issues, extensions of time and variations, ILC-MI-TP0-106 Updating the CM21 system, ILC-MI-TP0-106-G01 Guidelines for updating the CM21 system, ILC-MI-TP3-306-F12 Variation order register.

6.7 Meetings RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.9 Meetings. - RTA Project Management Guide for major road projects (May 2008) : section 4.4.3 Meeting management.

6.7.1 Pre-Construction Meeting RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.7.17 Preconstruction Meeting. - ECM 4.7.17 Preconstruction Meeting (point 4) - Suggested topics for consideration are listed in Appendix 4.7 C.

6.7.2 Partnering Meetings - RTA uses GC21 which is based on the principles of cooperative contracting.



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6.7.3 Site Meetings RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.9.2 Site Meetings. - ECM 4.9.2 Site Meetings (point 4) - The suggested format of the minutes is illustrated in Appendix 4.9-A. - RTA Project Management Guide for major road projects (May 2008) : section 4.4.3 Meeting management.

6.7.4 Progress Review Group (PRG) Meetings RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.9.3 Progress Review Group Meetings. - RTA Project Pack Procedures : ILC-MI-TP2-302 Major projects review committee, ILC-MI-TP2-302-G01 Guidelines for the major projects review committee, ILC-MI-TP2-302-F01 Template for a MPRC presentation document, ILC-MI-TP2-302-F02 Template for MPRC minutes. - RTA Project Management Guide for major road projects (May 2008) : section 4.4.3 Meeting management.

6.7.5 Special Purpose Meetings RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.9.4 Special Purpose Meetings. - RTA Project Management Guide for major road projects (May 2008) : section 4.4.3 Meeting management.

6.7.6 End of Contract Debrief RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.14.8 End of Contract debrief. - ECM 4.14.8 End of Contract debrief (point 1) - In the RTA, it is desirable that the Authorised Delegate conducts the end of Contract debrief. This should be arranged at a convenient time after the Actual Completion Date of the whole of the Works (note that Austroads says the Contract debrief is usually arranged shortly after Practical/Construction Completion of the contract). - RTA Project Pack Procedures : ILC-MI-TP3-310 Completion and finalisation of major construction contracts, ILC-MI-TP3-310-G01 Guidelines for the completion and finalisation of major construction contracts, ILC-MI-TP4-101 Project handover and finalisation, ILC-MI-TP4-101-G01 Guidelines for project handover and finalisation, ILC-MI-TP4-101-C01 Checklist for the handover of project documents, ILC-MI-TP4-101-S02 Sample handover report, ILC-MI-TP4-101-V01 Verification record for project handover and finalisation.

6.8 Quality System Requirements RTA Project Managers are to refer to the following references for enhanced practice and complementary material :



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- ECM 4.5 Quality Management. - ECM 4.5.1.5 Terminology - RTA uses the term “QMS based Contract”. - Refer to ECM 4.5.1.8 RTA Packs - The RTA uses Project Pack to assist in meeting its management responsibilities and to ensure that the RTA as the Customer gets the products it wants. - RTA Project Pack Procedures : ILC-MI-TP3-306-F03 Audit plan and schedule, ILC-MI-TP3-306-F08 Hold/witness points checklist, ILC-MI-TP3-306-F09 Hold/witness points register, ILC-MI-TP3-306-F10 Non Conformance Product Notification (NCPN) form, ILC-MI-TP3-306-F11Correction Action Request (CAR) form, ILC-MI-TP3-306-F14 Hold Point (HP) notification/release form, ILC-MI-TP3-307 Construction site surveillance management, ILC-MI-TP3-307-G01 Guidelines for construction site surveillance management, ILC-MI-TP3-307-F01 Template for construction site surveillance management plan, ILC-MI-TP3-307-F04 Monthly surveillance plan, ILC-MI-TP3-307-F05 Monthly safe work method statement surveillance plan, ILC-MI-TP3-307-F10 Site surveillance record register, ILC-MI-TP3-307-SC Surveillance checklists.

6.8.1 Agency’s Responsibilities RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.5.3 RTA’s Responsibilities.

6.8.2 Assessment of the Contractor’s Quality Plan RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.5.4 Assessment of the Contractor’s Quality Plan. - ECM 4.5.4 Assessment of the Contractor’s Quality Plan (point 2).

6.8.3 Surveillance RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.5.5 Surveillance. - RTA Project Pack Procedures : ILC-MI-TP3-307 Construction site surveillance management, ILC-MI-TP3-307-G01 Guidelines for construction site surveillance management, ILC-MI-TP3-307-F01 Template for construction site surveillance management plan, ILC-MI-TP3-307-F04 Monthly surveillance plan, ILC-MI-TP3-307-F05 Monthly safe work method statement surveillance plan, ILC-MI-TP3-307-F10 Site surveillance record register, ILC-MI-TP3-307-SC Surveillance checklists.

6.8.4 Audits RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.5.6 Audits. - For the RTA, the procedures for Management System audits and site inspections are presented in ICP-01, Project Pack and the Engineering Contracts Manual. - Project Management Guide for major road projects (May 2008) : section 4.3.1 Audit.



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- RTA Project Pack Procedures : ILC-MI-TP3-306-F03 Audit plan and schedule, ILC-MI-TP3-306-F08 Hold/witness points checklist, ILC-MI-TP3-306-F09 Hold/witness points register, ILC-MI-TP3-306-F10 Non Conformance Product Notification (NCPN) form, ILC-MI-TP3-306-F11Correction Action Request (CAR) form, ILC-MI-TP3-306-F14 Hold Point (HP) notification/release form, ILC-MI-TP3-307 Construction site surveillance management, ILC-MI-TP3-307-G01 Guidelines for construction site surveillance management, ILC-MI-TP3-307-F01 Template for construction site surveillance management plan.

6.8.5 Administration of Hold Points and Non-Conformances RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.5.7 Administration of Hold Points and 4.5.8 Administration of Nonconformities. - RTA Project Pack Procedures : ILC-MI-TP3-306-F08 Hold/witness points checklist, ILC-MI-TP3-306-F09 Hold/witness points register, ILC-MI-TP3-306-F10 Non Conformance Product Notification (NCPN) form, ILC-MI-TP3-306-F11Correction Action Request (CAR) form, ILC-MI-TP3-306-F14 Hold Point (HP) notification/release form, ILC-MI-TP3-307 Construction site surveillance management, ILC-MI-TP3-307-G01 Guidelines for construction site surveillance management.

6.8.6 Quality Records RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.5.9 Quality Records.

6.9 Variations RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.10 Changes to Work-Variations. - RTA Project Pack Procedures : ILC-MI-TP0-802 Managing contract issues, extensions of time and variations, ILC-MI-TP0-802-G01 Guidelines for managing contract issues, extensions of time and variations, ILC-MI-TP3-306-F12 Variation order register.

6.9.1 The Extent of the Variations Power RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.10 Changes to Work - Variations. - RTA Project Pack Procedures : ILC-MI-TP0-802 Managing contract issues, extensions of time and variations, ILC-MI-TP0-802-G01 Guidelines for managing contract issues, extensions of time and variations, ILC-MI-TP3-306-F12 Variation order register.

6.9.2 Ordering Variations RTA Project Managers are to refer to the following references for enhanced practice and complementary material :



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- ECM 4.10 Changes to Work - Variations. - ECM 4.10.10-E Typical Instruction to proceed with a variation that is an issue. - ECM 4.10.10-C Typical letter instructing a variation. - ECM 4.10.10-D Typical Variation Order. - RTA Project Pack Procedures : ILC-MI-TP0-802 Managing contract issues, extensions of time and variations, ILC-MI-TP0-802-G01 Guidelines for managing contract issues, extensions of time and variations, ILC-MI-TP3-306-F12 Variation order register.

6.9.3 Valuation of Variations RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.10 Changes to Work - Variations. - RTA Project Pack Procedures : ILC-MI-TP0-802 Managing contract issues, extensions of time and variations, ILC-MI-TP0-802-G01 Guidelines for managing contract issues, extensions of time and variations, ILC-MI-TP3-306-F12 Variation order register.

6.9.4 Omissions and Deductions RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.10.5 Omissions and Deductions/Reductions. - RTA Project Pack Procedures : ILC-MI-TP0-802 Managing contract issues, extensions of time and variations, ILC-MI-TP0-802-G01 Guidelines for managing contract issues, extensions of time and variations, ILC-MI-TP3-306-F12 Variation order register.

6.9.5 Variations for Contractor’s Convenience RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.10.6 Variations for Contractor’s own convenience. - RTA Project Pack Procedures : ILC-MI-TP0-802 Managing contract issues, extensions of time and variations, ILC-MI-TP0-802-G01 Guidelines for managing contract issues, extensions of time and variations, ILC-MI-TP3-306-F12 Variation order register.

6.9.6 Day-work RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.10.7 Daywork.

6.9.7 Provisional Quantities RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.10.8 Provisional Quantities.



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6.10 Extensions of Time RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.11 Changes to Time. - GC21 (General Conditions of Contract) Clause 54. - RTA Project Pack Procedures : ILC-MI-TP0-802 Managing contract issues, extensions of time and variations, ILC-MI-TP0-802-G01 Guidelines for managing contract issues, extensions of time and variations.

6.10.1 Requirements for Granting an EOT RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.11.2 Requirements of clause 54 for extensions of time. - RTA Project Pack Procedures : ILC-MI-TP0-802 Managing contract issues, extensions of time and variations, ILC-MI-TP0-802-G01 Guidelines for managing contract issues, extensions of time and variations.

6.10.2 Duty of the Contract Administrator RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.11.3 Administration of Extensions of time. - RTA Project Pack Procedures : ILC-MI-TP0-802 Managing contract issues, extensions of time and variations, ILC-MI-TP0-802-G01 Guidelines for managing contract issues, extensions of time and variations.

6.10.3 Construction Program RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.11.9 Delay and the Contract Program. - RTA Project Pack Procedures : ILC-MI-TP0-802 Managing contract issues, extensions of time and variations, ILC-MI-TP0-802-G01 Guidelines for managing contract issues, extensions of time and variations.

6.10.4 Types of Delays RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.11.4 Contractor caused delays. - ECM 4.11.5 Neutral delays. - ECM 4.11.6 Principal caused delays. - ECM 4.11.7 Concurrent delays. - RTA Project Pack Procedures : ILC-MI-TP0-802 Managing contract issues, extensions of time and variations, ILC-MI-TP0-802-G01 Guidelines for managing contract issues, extensions of time and variations.

6.11 Claims and Disputes RTA Project Managers are to refer to the following references for enhanced



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practice and complementary material : - ECM 4.12 Claim and Issue resolution. - RTA Project Pack Procedures : ILC-MI-TP0-802 Managing contract issues, extensions of time and variations, ILC-MI-TP0-802-G01 Guidelines for managing contract issues, extensions of time and variations.

6.11.1 Types of Claims RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.12.2 Types of Claims. - ECM 4.12.2 Types of Claims (1) General (a) - The Contract requires that any Claim not made, assessed and determined under another provision of the Contract must be made, assessed and determined under the provisions of clause 72. - ECM 4.12.2 Types of Claims (2) Claims under another provision of the Contract: a) Claim under clause 41 for materially adverse Site Conditions b) Claim under clause 42 for resolution of Ambiguities c) Claim under clause 44 for adopting Principal’s Documents d) Claim under clause 49 for Testing e) Claim under clause 51 for acceptance with Defects not made good f) Claim under clause 53 for changes in Statutory Requirements g) Claim under clause 52 for Variations h) Claim under clause 54 for extensions of time i) Claim under clause 55 for delay costs j) Claim under clause 61 for Prepayment k) Payment claims under clause 62 l) Claim under clause 64 for the Completion Amount m) Claim under clause 65 for Final Payment n) Any other Claim under clause 65 not previously brought - RTA Project Pack Procedures : ILC-MI-TP0-802 Managing contract issues, extensions of time and variations, ILC-MI-TP0-802-G01 Guidelines for managing contract issues, extensions of time and variations.

6.11.2 Processing Claims RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.12.3 Processing Claims. - RTA Project Pack Procedures : ILC-MI-TP0-802 Managing contract issues, extensions of time and variations, ILC-MI-TP0-802-G01 Guidelines for managing contract issues, extensions of time and variations.

6.11.3 Assessing Claims RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.12.6 Assessing Claims. - RTA Project Pack Procedures : ILC-MI-TP0-802 Managing contract issues, extensions of time and variations, ILC-MI-TP0-802-G01 Guidelines for managing contract issues, extensions of time and variations.



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6.11.4 Disputes RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.12.16 Notification of Issue (clause 73). - ECM 4.12.16 Notification of Issue (clause 73) (point 3) - Issue resolution procedure-The parties must follow the issue resolution procedure in

clause 73 (Notification of issue), clause 74 (Resolution by senior executives), and clause 75 (Expert determination)

before either commences proceedings or takes similar action. This issue resolution procedure does not prevent a party from seeking an urgent declaration or injunction from a court. - ECM 4.12.17 Resolution by senior executives (clause 74). - ECM 4.12.18 Expert Determination (clause 75).

6.12 Progress Payments RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.13 Payments. - ECM 4.13 Payments, General - for RTA, the administration of contract payments is to be in compliance with the Building and Construction Security of Payment Act 1999. - RTA Project Pack Procedures : ILC-MI-TP3-306-F13 Checklist for the contractor’s progress claim.

6.12.1 Security of Payment Act RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.13 Payments, Security of Payment Act - Because the Act is a Statutory Requirement, the RTA must comply. - ECM 4.13 Payments, Security of Payment Act - In order to be best prepared to defend Payment Schedules, guidance is provided in Appendix 4.13-C to improve compliance with the Act and promote a better understanding of the Act. - ECM 4.13 Payments, Security of Payment Act-Compliance must be confirmed via the Payment Schedule Checklist in Appendix 4.13-D. - RTA Project Pack Procedures : ILC-MI-TP3-306-F13 Checklist for the contractor’s progress claim.

6.12.2 Procedure RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.13.1 Process for Progress Payments. - ECM 4.13.2 Payment Claims. - RTA Project Pack Procedures : ILC-MI-TP3-306-F13 Checklist for the contractor’s progress claim.

6.12.3 Quantity Agreement



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RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.13.6 Quantity Agreement. - RTA Project Pack Procedures : ILC-MI-TP3-306-F13 Checklist for the contractor’s progress claim.

6.12.4 Materials Not Incorporated in the Works RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.13.3 Materials not yet incorporated. - RTA Project Pack Procedures : ILC-MI-TP3-306-F13 Checklist for the contractor’s progress claim.

6.12.5 Preparation of Progress Payment Schedule RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.13.2 Payment Claims, ECM 4.13.4 Payment Schedule and ECM 4.13.7 Preparation of Payment Schedule. - RTA Project Pack Procedures : ILC-MI-TP3-306-F13 Checklist for the contractor’s progress claim.

6.12.6 Statutory Declaration RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.13.4 Payment Schedule (1) General - The Manager Contracts Administration in ICB must be informed of irregularities with the statutory declaration, in case there could be deeper problems with the Contractor that might warrant further investigation. - ECM 4.15.1 Complaints concerning payment of employees and Subcontractors (point 2). - RTA Project Pack Procedures : ILC-MI-TP3-306-F13 Checklist for the contractor’s progress claim.

6.12.7 Preparation of the Payment Voucher/Progress Certificate RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.13.4 Payment Schedule and ECM 4.13.7 Preparation of Payment Schedule. - RTA Project Pack Procedures : ILC-MI-TP3-306-F13 Checklist for the contractor’s progress claim.

6.13 Completing the Contract RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.14 Completing the Contract. - ECM 4.14 Completing the Contract - The Contract requires defect-free



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Completion. There is no concept “practical completion” (as referred to in Austroads) applying to the RTA Contract. Completion applies to any Milestones as well as to the whole of the Works. - RTA Project Pack Procedures : ILC-MI-TP3-310 Completion and finalisation of major construction contracts, ILC-MI-TP3-310-G01 Guidelines for the completion and finalisation of major construction contracts, ILC-MI-TP4-101 Project handover and finalisation, ILC-MI-TP4-101-G01 Guidelines for project handover and finalisation, ILC-MI-TP4-101-C01 Checklist for handover of project documents, ILC-MI-TP4-101-F01 Template for a project data sheet, ILC-MI-TP4-101-S02 Sample handover report, ILC-MI-TP4-101-V01 Verification record for project handover and finalisation.

6.13.1 Certificate of Practical/Construction Completion RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.14 Completing the Contract - for the RTA there is no concept “practical completion” applying to the Contract. (Note: Austroads refers to practical completion). - ECM 4.14.1 Early use before Completion (clause 68) and ECM 4.14.2 Completion (clause 69). - RTA Project Pack Procedures : ILC-MI-TP3-310 Completion and finalisation of major construction contracts, ILC-MI-TP3-310-G01 Guidelines for the completion and finalisation of major construction contracts, ILC-MI-TP4-101 Project handover and finalisation, ILC-MI-TP4-101-G01 Guidelines for project handover and finalisation, ILC-MI-TP4-101-C01 Checklist for handover of project documents, ILC-MI-TP4-101-F01 Template for a project data sheet, ILC-MI-TP4-101-S02 Sample handover report, ILC-MI-TP4-101-V01 Verification record for project handover and finalisation.

6.13.2 Liquidated Damages RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.14.4 Liquidated Damages (clause 55). - ECM 4.14.4 Liquidated Damages (point 3) - Discretion on deduction of liquidated damages is not delegated to the Principal’s Authorised Person. If the Contractor is likely to be late in achieving Completion, the Manager, Contracts Administration in Infrastructure Contracts Branch should be consulted for direction.

6.13.3 Defects Liability RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.14.3 After Completion (clause 71). - ECM 4.14.9 Final Payment (clause 65) (point 5) - Contractor’s liability - The Contractor’s liability under the Contract or otherwise is not affected by the issue of the Final Payment Schedule, and continues until any limitation period under statute expires.

6.13.4 Final “As Built” Construction Program RTA Project Managers are to refer to the following references for enhanced



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practice and complementary material : - ECM 4.14.2 Completion (clause 69) (point 2) - Provision of documents for Completion. - RTA Project Pack Procedures : ILC-MI-TP3-310 Completion and finalisation of major construction contracts, ILC-MI-TP3-310-G01 Guidelines for the completion and finalisation of major construction contracts, ILC-MI-TP4-101 Project handover and finalisation, ILC-MI-TP4-101-G01 Guidelines for project handover and finalisation, ILC-MI-TP4-101-C01 Checklist for handover of project documents, ILC-MI-TP4-101-F01 Template for a project data sheet, ILC-MI-TP4-101-S02 Sample handover report, ILC-MI-TP4-101-V01 Verification record for project handover and finalisation.

6.13.5 Work-as-Executed Drawings or As-Built Drawings RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.14.2 Completion (clause 69) (point 2) - Provision of documents for Completion. - RTA Project Pack Procedures : ILC-MI-TP3-310 Completion and finalisation of major construction contracts, ILC-MI-TP3-310-G01 Guidelines for the completion and finalisation of major construction contracts, ILC-MI-TP4-101 Project handover and finalisation, ILC-MI-TP4-101-G01 Guidelines for project handover and finalisation, ILC-MI-TP4-101-C01 Checklist for handover of project documents, ILC-MI-TP4-101-F01 Template for a project data sheet, ILC-MI-TP4-101-S02 Sample handover report, ILC-MI-TP4-101-V01 Verification record for project handover and finalisation.

6.13.6 Conformance Records RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.14.2 Completion (clause 69) (point 2) - Provision of documents for Completion. - RTA Project Pack Procedures : ILC-MI-TP3-310 Completion and finalisation of major construction contracts, ILC-MI-TP3-310-G01 Guidelines for the completion and finalisation of major construction contracts, ILC-MI-TP4-101 Project handover and finalisation, ILC-MI-TP4-101-G01 Guidelines for project handover and finalisation, ILC-MI-TP4-101-C01 Checklist for handover of project documents, ILC-MI-TP4-101-F01 Template for a project data sheet, ILC-MI-TP4-101-S02 Sample handover report, ILC-MI-TP4-101-V01 Verification record for project handover and finalisation.

6.13.7 Final Statement from the Contractor RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - RTA Project Pack Procedures : ILC-MI-TP3-310 Completion and finalisation of major construction contracts, ILC-MI-TP3-310-G01 Guidelines for the completion and finalisation of major construction contracts.

6.13.8 Final Payment Schedule RTA Project Managers are to refer to the following references for enhanced



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practice and complementary material : - ECM 4.14.9 Final Payment (clause 65). - ECM 4.14.9 Final Payment (clause 65) (3) Final Payment Schedule. - ECM 4.14.9 Final Payment (clause 65) (4) Any other Claim and time bar (clause 65.4).

6.13.9 Final Payment RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.14.9 Final Payment (clause 65).

6.13.10 Return of Security RTA Project Managers are to refer to the following references for enhanced practice and complementary material : - ECM 4.14.6 Return of security (clause 37).