Conditions of Roads Pre-qualification Register

This page outlines the terms and conditions of pre-qualification. Companies seeking pre-qualification (Applicants) are required to comply with the terms and conditions and associated procedures described on this page.

1. General

  1. The department maintains a register of pre-qualified companies that have demonstrated they possess the necessary expertise, personnel, resources, management systems, insurances and financial capacity to undertake categories of works and services as outlined in the eligibility criteria.
  2. This document outlines the terms and conditions of pre-qualification. Companies seeking pre-qualification (Applicants) are required to comply with the terms and conditions and associated procedures described in this document.
  3. Pre-qualification is not to be construed as a guarantee of work. Pre-qualification only determines a company’s eligibility to tender for work, subject to meeting any expression of interest or tender requirements.
  4. The department applies government procurement principles, including value-for-money, in the assessment and selection of tenders. The department may select prequalified tenderers from the register or may choose to advertise for tenders or seek expressions of interest in particular projects.
  5. In applying for a new, upgrade and or renewal, the Applicant is deemed to have accepted the terms and conditions of pre-qualification, which the Applicant acknowledges and accepts.

2. Company Structures

  1. Companies applying for pre-qualification must be incorporated.
  2. Pre-qualification of a principal company does not extend to related or subsidiary companies owned or controlled by the principal prequalified company. Any such company should apply to register for pre-qualification in its own right.
  3. Where two or more related companies apply for pre-qualification, resources and project experience are deemed to be allocated to a single company and cannot be considered in the assessment for the other related company.
  4. The following are ineligible for pre-qualification under Roads Pre-qualification Register:
    • project management companies (i.e. the company has no internal construction resources and outsources all of the site work);
    • trusts and trustees;
    • natural persons; and
    • partnerships between natural persons.

3. Applications

  1. Applications for pre-qualification or upgrading of existing pre-qualification can be submitted at any time on the prescribed application forms available at DTP Roads Pre-qualification Register website and submitted in accordance with the instructions and requirements on the forms.
  2. Applications for renewal must be submitted (8) eight weeks prior to the expiration date as prescribed in the pre-qualification level notification / outcome letter.
  3. Applicants may select one or more pre-qualification level that it believes to be commensurate with its capabilities and apply with the relevant supporting information and documentation that addresses all specified criteria.
  4. Applications for upgrading of pre-qualification will be considered where the applicant has demonstrated a consistent high level of performance/technical competence and is able to demonstrate the required organisational capacity and management systems required for the higher level of pre-qualification.
  5. The department may at its discretion request the company to submit a full or a partial renewal application.
  6. Consideration will only be given to applications that have provided the relevant supporting information and documentation and satisfies the eligibility criteria.

4. Application Requirements

  1. Applications must provide relevant supporting documentation to demonstrate compliance with the specified eligibility criteria for the level of pre-qualification sought, as outlined in the application.
  2. An application for new, upgrading or the renewal of pre-qualification will only be considered upon receipt of all the information required by the department for the assessment.
  3. The department at its discretion, may consider assessments of works or services undertaken in part or as a whole by other companies as supporting evidence.
  4. By applying for pre-qualification, companies are deemed to authorise the department seek verification of the information supplied.
  5. In undertaking its assessment, the department may consider other information in its possession, or information provided by other government agencies.
  6. The department will assess applications for pre-qualification to determine the Applicant’s capability to undertake contracts / projects in the nominated level and may include a financial assessment.
  7. In considering applications from subsidiary companies the department reserves the right to examine the resources of the parent company or entity, or other related entities, if considered warranted.

5. Conditional Pre-qualification

  1. The department may grant ‘Conditional’ pre-qualification on level. These conditions may relate to the nature or scale of work to which the pre-qualification level applies.
  2. The granting of Conditional Pre-qualification is at the absolute discretion of the department.
    Example of Conditional Pre-qualification:
    • Where the Applicant does not meet the financial criteria, but the department is satisfied that financial stability can be ensured through the provision of a Deed of Guarantee from a parent company and / or an additional unconditional undertaking from an approved financial institution.

6. Notifications

  1. Applicants will be notified in writing of the outcome of their pre-qualification application. Notifications will include, where warranted, any specific limitations or conditions applicable to the allocated pre-qualification level. The department will provide brief detail in the case of non- approval of a level(s).
  2. Applicants that are not satisfied with the outcome of the assessment may lodge a request for a review or appeal, as detailed in Section 12.
  3. Unless circumstances warrant an earlier review, a company’s pre-qualification status will remain valid for the period prescribed in the outcome letter from the date of approval or the date of any review that confirms the pre-qualification status.

7. Updating of Register Details

  1. Prequalified contractors have an obligation to advise the department of any change in circumstances that may be material to their pre-qualification status including, corporate structure changes and contact details.

8. Performance Assessment

  1. Prequalified companies will be required to participate in regular reviews to assess performance against the eligibility criteria for pre-qualification level(s) held. Such reviews will focus on outcomes and process and will be structured to remove comments about individuals or personalities. The information obtained may be used as a basis for reviewing pre-qualification status.

9. Review of Pre-qualification

  1. The department reserves the right to review any company’s pre-qualification at any time. A review may be initiated by the department or by the prequalified company.
  2. Any of the following may result in a review of a company’s pre-qualification level and or status or notification a ‘show cause’ notice:
    • where the department reasonably considers a company’s performance to be unsatisfactory.
    • where a conditional status regarding financial pre-qualification has been granted subject to the review being carried out on specific financial requirements.
    • following changes to a company’s organisational structure, or technical, financial or management capacity which, in the opinion of the department, may have an adverse effect on the company’s pre-qualification status.
    • failure to comply with the terms and conditions of pre-qualification.
  3. The company must provide any details required for the review upon request. Failure to comply with any request by the department for such information may result in suspension of its pre-qualification level and or status.

10. Pre-qualification Status

  1. The department may at its absolute discretion suspend, reclassify or rescind a company’s pre-qualification level or status.
  2. Before such action is taken, the company will be given an opportunity to show cause why its pre-qualification level and or status should not be suspended or reclassified. The company will be given details of the matters prompting the request to show cause. These matters may include:
    • unsatisfactory performance;
    • perceived changes to financial or technical capacity;
    • breaches of these pre-qualification conditions.
  3. Where pre-qualification level and or status is suspended, the company will be entitled to make application for reinstatement within a nominated period as outlined in the advice.
  4. Such applications will be required to demonstrate that any matters that lead to suspension have been rectified. If pre-qualification is not reinstated within the nominated suspension period, it will be rescinded and removed from the register.
  5. Where a decision is made to downgrade, change the status of the pre-qualification to ‘conditional’ or rescind a company’s pre-qualification, the company may request access to, and an opportunity to respond to material relied on by the department in making its decision.
  6. Companies that have entered into voluntary or involuntary Administration will have their pre-qualification status amended to ‘Conditional’ status and this status noted on the public listing of prequalified companies until the decision is made on the company’s status by its Administrator.
  7. It will be incumbent on the company to seek application for the ‘Conditional’ status to be removed and will be subject to providing the department documentation to support such an application.

11. Show Cause Notice

  1. The department may suspend or downgrade a company’s pre-qualification level and or status at its discretion. If any such action is proposed, the contractor will be issued with a formal “Show Cause” Notice and will be given the opportunity to respond to the issues raised in the notice.
  2. The Show Cause Notice shall:
    • state that it is a notice under the Roads Pre-qualification Register terms and conditions.
    • specify any alleged breach or clarification.
    • require the company to show cause in writing as to why the department should not exercise the right to suspend, downgrade or rescind the company’s pre-qualification status; and
    • specify the time and date by which the contractor must show cause.
  3. The Department may make further enquiries to verify the contractor’s responses.
  4. If by the time specified in a Show Cause Notice the contractor fails to respond or to show reasonable cause why the department should not adjust the pre-qualification status, the department may cancel, suspend or downgrade the pre-qualification status without further notice to the contractor. In exercising its rights under this Section of this document, the department will not act capriciously or act with bias.

12. Right of Review

  1. Companies may seek a review of the departments’ decision to:
    • refuse to accept an application for pre-qualification;
    • accept an application for pre-qualification at a lower level than the level applied for;
    • downgrade the pre-qualification; or
    • rescind the pre-qualification.
  2. A request for review of a decision will only be accepted if it is submitted within 20 business days of the department’s notification of the decision. Requests should be submitted in writing at prequal@transport.vic.gov.au addressed to:

    Director – Procurement Operations
    Department of Transport and Planning
    GPO Box 2392
    MELBOURNE VIC 3000
  3. The department will establish a review panel to consider the company’s request for review.
  4. The review panel’s consideration of the matter will be limited to whether, in making the decision, the department followed the procedures set out in these ‘Conditions of Roads Pre-qualification’; and whether the department gave the company an adequate opportunity to present material in support of its application.
  5. The review panel may recommend either that the departments’ initial decision be confirmed; or that the department reconsider the matter taking into account any further information, circumstances or documents that the panel specifies.
  6. The departments’ decision in response to the review panel’s recommendation will be final and binding on the company.

13. Confidentiality and Publicity

  1. The department will publish the names, addresses and pre-qualification categories of registered companies on the DTP website. No responsibility will be accepted by the department for any consequences arising from the publication of any such information.
  2. Prequalified companies must not advertise, promote or publish their pre-qualification status.
  3. The department 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 consent to the agency to enable the necessary searches and enquiries to be carried out for the assessment.
  4. Information submitted in an application for pre-qualification will be treated as commercial-in confidence and will not be disclosed to any party outside the department and its assessors unless the department is legally required to do so, for the purposes of obtaining legal or financial advice, in relation to appeals regarding pre-qualification decisions, or otherwise where necessary for the assessment of the application.
  5. Companies may designate commercial information as confidential in their applications or in any review. The department will require that individuals dealing with such information enter into confidentiality agreements.
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