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School or Community Funded Capital or Asset Related Works Policy

School or Community Funded Capital or Asset Related Works in schools encourages schools and their communities to fund the provision of school facilities thereby enhancing the standard of facilities provided in schools for use by the wider community.

1. Objectives – Policy Statement 1.1. Facilitate schools achieving facilities compliant or exceeding the Education

Facilities Standards and Guidelines.

1.2. Promote goodwill, independence and a sense of ownership in school communities.

2. Audience and Applicability 2.1. This Policy applies to the school or community funding of facilities in all NSW

Government Schools

2.2. This Policy relates to the school or community funding of facilities that comply or exceed the Education Facilities Standards and Guidelines

3. Context 3.1. New schools are built to the latest facility standards and guidelines. These

standards and guidelines have changed over time and many older schools do not have all the facilities or the size of facilities provided in new schools.

3.2. This policy enables schools to achieve facilities that meet or exceed the Education Facilities Standards and Guidelines.

3.3. Where the funded work exceeds the Education Facilities Standards and Guidelines the school will be responsible for all maintenance, cleaning and utility costs associated with the work.

4. Responsibilities and Delegations 4.1. Executive Directors of Public Schools NSW

4.1.1. The Executive Directors are responsible for endorsing the initiation of work.

4.2. Directors of Public School NSW 4.2.1. The Directors are responsible for endorsing the initiation of work prior to

the Executive Director of Public Schools NSW endorsing.

4.3. School Principals

4.3.1. School Principals are responsible for liaising with their Asset Services Officer to work together to prepare the capital & asset related work application form.

4.4. Local Asset Management Units 4.4.1. Asset Management Units are responsible for liaising with School

Principals and working together to prepare the capital & asset related work application form.

4.4.2. The Directors of the Asset Management Units are responsible for approving any school or community funded capital or asset related work application forms within their delegation and endorsement for applications over their delegation.

4.4.3. Asset Management Units are responsible for providing project and procurement management for all school or community funded work. In some circumstances the Directors of the Asset Management Units may approve the School Principal to undertake the Project Management and Procurement of the work dependent upon the risk and complexity of the work.

5. Monitoring, Evaluation and Reporting 5.1. Asset Management Directorate will monitor the implementation and

management of this policy.

6. Contact 6.1. Policy issues relating to the School or Community Funding of Capital or Asset

Related Work Policy should be directed to the Group Director, Asset Management Operations on (02) 9561 1184. Operational and implementation issues should be directed to the local Director Asset Management Unit on 132 779.

Document History and Details

Approval Date

Approving Officer

A/Secretary Implementation Date

Web Publication Date

Superseded Documents

This policy replaces the Interim Policy for School Funded Works in Schools Policy dated 14 November 2014. It is the responsibility of the user to verify that this is the current and complete version of this document, located at:

Implementation Documents

Asset Management Directorate

Operations

School or Community Funded Capital or Asset Related Works

Procedures

AMD-PROCEDURE 1.0

About this procedure

Procedure Number: AMD-DOC1.0 Title: School or Community Funded Capital or Asset Related Works Author: Asset Management Directorate - Operations

Issue Date Revision Description 1 March 2016 1st Edition 1 June 2016 1st Edition with inclusions from consultation process 2 October 2016 1st Edition with inclusions from feedback

Purpose

School or Community funding of capital or asset related work encourages schools and their communities to fund the provision of school facilities thereby enhancing the standard of facilities provided in schools for use by the wider community.

Scope

This procedure outlines the requirements when a school or community wishes to fully fund capital or asset related works within a school that is compliant or exceeds the Education Facilities Standards and Guidelines.

Overview

New schools are built to the latest Educational Facility Standards and Guidelines (EFSG). These standards have changed over time and many older schools do not have all the facilities or the size of facilities provided in new schools.

The “School or Community Funded Capital and Asset Related Works policy” and this procedure enables schools to achieve facilities that meet or exceed the Education Facilities Standards and Guidelines where they can provide the funds.

Definitions

Capital or Asset Related Work Any work undertaken on school site that is not a good or service

School or Community Funded Funds being made available through P&C, School or any community or local government group, including community grants

EFSG Educational Facilities Standards and Guidelines Footprint Existing building and structures on the school site Single Licenced Trade One trade only – ie painter, carpet layer, concreter, no sub-

contractors School Principal Manager of the School Site Principal of the Contract The Principal of the Contract refers to the party to the

contract that engages the other part (the Contractor) to perform work

Principal Contractor As defined under WHS Regulation 2011(s293) as: A person conducting a business or undertaking that commissions building and construction work. If a Principal Contractor is not engaged then the Department assumes the role under the WHS Act 2011.

DoE Department of Education ASO Asset Services Officer AMU Asset Management Unit AMD Asset Management Directorate GDO Group Director, Operations

Roles and Responsibilities

School Principal 1. Responsible for contacting the AMU through their Asset Services Officer (ASO) and completing the application form in conjunction with the AMU

2. Responsible for completing the approval to project manage if appropriate

3. Responsible for completing and obtaining signatures on the briefing for the Executive Director, Public Schools if footprint will be increased

4. Responsible for signing off on the project brief and where over $30,000 incl. GST the project plan supplied by the AMU

5. Responsible for forwarding the funds to the AMU when requested

6. Required to be part of the Project Reference Group for the project

Director, Public Schools NSW Responsible for endorsing project as reflected in flow chart

Executive Director, Public Schools NSW

Responsible for endorsing project as reflected in flow chart

ASO - AMU 1. Assists the School Principal is completing the application form

2. Provides the budget estimate for the School Principal to complete the application form

3. Prepares the MCW Project Brief & Budget Estimate and obtains signatures of approved project

4. Requests the funds from the school & arranges for them to be banked in DoE Trust Account.

5. Places nomination on PMM 6. Arranges either internal AMU or external Project

Manager to manage and deliver project AMU Director 1. Approves the completed application form up to

their financial delegation 2. Considers and where appropriate approves the

school’s application to project manage

School Principal identifies capital or asset related work and contacts local AMU

School Principal & AMU complete AMD-DOC1.3

Are Funds available?

End of process

AMU Director signs application form

School Principal reviews AMD-DOC1.3

NO

YES

YES

AMU tomanage project?

End of process

School Principal seeks approval from AMU to manage project. Complete

AMD-DOC1.4

AMU approvesSchool Principal tomanage project?

School Principal commences project work as per the minor

capital works procedures using the Checklist Provided

Project assessed by AMU at completion

NO

School Principal completes AMD-DOC1.5

YES

YES

NO

School Principal sends endorsed AMD-DOC1.5 and signed AMD-

DOC1.3 to AMU

Related Documents

AMD–DOC1.0DOC16/32178 (Draft Process) School Funded Capital or

Asset Related Works

AMD-DOC1.1Approval to Initiate and Financial Delegation for School

Funded Capital or Asset Related Works

AMD-DOC1.3Capital & Asset Related Work Application Form

AMD-DOC1.4Approval for School Principal to Project Manage School

Funded Capital or Asset Related Works

AMD-DOC1.5Briefing - Endorsement to initiate a School Funded Capital

or Asset Related Works

Minor Capital Works (MCW) Procedures

YES

YES

NO

AMD-DOC1.5 endorsed by

Executive Director Public Schools

AMD-DOC1.5 endorsed by

Director PublicSchools

End of process

End of process

NO

AMU commences project work as per the minor capital works procedures using the Checklist

Provided

End of process

NO

Procedure – Process Steps

• The School Principal identifies that the school wishes to undertake capital or asset related works to be funded in total by the school.

• The School Principal contacts their Asset Services Officer (ASO) through their Asset Management Unit (AMU).

• If the AMU agrees that the work is appropriate to be undertaken the School Principal completes the AMD-DOC1.3 Capital or Asset Related Works Application Form with the assistance of the ASO. The AMU may need to consult with the DoE Planners for comment depending on the type of work.

• If agreed then the AMU Director will sign the application form

• The School Principal will be responsible for obtaining endorsement from the Director, Public Schools NSW and the Executive Director, Public Schools NSW using the AMD-DOC1.5 Briefing Endorsement to Initiate School or Community Funded Capital or Asset Related Work and attach the AMD-DOC1.3 Capital or Asset Related Work Application Form.

• Where the work will increase the gross floor area which is over the entitlement of the EFSG, the school will confirm by signing the application form that the school will be responsible for all maintenance, cleaning and utility costs.

• The School Principal confirms funds are available.

• If the proposed estimate is less than $30,000 inclusive of GST and the School Principal wishes to be considered to Project Manage the work the AMD-DOC1.4 Approval for School Principal to Project Manage School or Community Funded Capital or Asset Related Works and the completed AMD-DOC1.5 Briefing Endorsement to Initiate School or Community Funded Capital or Asset Related Work is forwarded to the AMU.

• Where the School Principal is approved to manage the project the procedures set out in the Delivery of Minor Capital Works – Under $30,000 incl. GST are to be followed. The Small Works Agreement is to be used for projects that the School Principal is approved to manage.

• Where the AMU is managing the project the School Principal is required to forward to the AMU Director the signed AMD-DOC1.5 Briefing Endorsement to Initiate School or Community Funded Capital or Asset Related Work.

• Where the AMU is managing the project or engaging an external project management the procedures set out in the corresponding Delivery of Minor Capital Works procedures according to the value of the project.

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References

Document Reference No Title

AMD-DOC1.0 School or Community Funded Capital or Asset Related Work Policy DOC16/32178

AMD-DOC1.1 Briefing – Approval to Initiate & Financial Delegation for School or Community Funded Capital or Asset Related Work

AMD-DOC1.2 School or Community Funded Capital or Asset Related Works Flowchart with Process Steps

AMD-DOC1.3 Capital & Asset Related Works Application Form

AMD-DOC1.4 Approval for School Principal to Project Manage School Funded Capital or Asset Related Work

AMD-DOC1.5 Briefing-Endorsement to Initiate a School or Community Capital or Asset Related Work Project

AMD-DOC1.6 Small Works Agreement

Appendices

Document Reference No Title

AMD-DOC1.3 Capital & Asset Related Works Application Form

AMD-DOC1.4 Approval for School Principal to Project Manage School Funded Capital or Asset Related Work

AMD-DOC1.5 Briefing-Endorsement to Initiate a School or Community Capital or Asset Related Work Project

AMD-DOC1.6 Small Works Agreement

Capital or Asset Related Work Application Form

AMU LOCATION:

SCHOOL:

SCHOOL PRINCIPAL :

Funding Source: ☐ Joint Funding (school confirms funds are available)

☐ School or Community Funded

For Joint Funding Application: The proposed work meets the school’s entitlement under EFSG. (If proposed work exceeds school’s entitlement under EFSG Joint Funding is not available)

Yes No

☐ ☐

For School or Community Funded Application: The proposed work will increase the gross floor area, which the school is not entitled to under EFSG, the School Principal confirms that the school will be responsible for all cleaning, maintenance and utility costs associated with this work.

Yes No

☐ ☐

DESCRIPTION OF WORK: (Include dimensions, surface or cladding finishes, guttering, downpipes, concrete slabs, paths, inclusions/exclusions. Attach any other relevant documents)

BUDGET ESTIMATE The budget estimate as approved/ verified by the Local AMU Representative

$

The following costs have been included in the Budget Estimate: External Project Manager Fees ☐ Statutory Fees (DA) ☐ Design Fees ☐ Insurance (PAI) ☐ Engineering Fees ☐ Contract Administration ☐ Quantity Surveyor Fees ☐ Safety, Quality, Environment

Management ☐

Geotech ☐ Defects Management ☐ Preliminaries: Temporary Site Fencing, Portable Toilet, Site Building

☐ Contingency 10% ☐

If the project estimate is less than $30,000 inclusive of GST and the School Principal wishes to be considered to Project Manage please tick the box and complete AMD-DOC1.4 – Approval for School Principal to Project Manage School or Community Funded Project form

☐

SCHOOL PRINCIPAL NAME: SIGNATURE: DATE:

DIRECTOR, ASSET MANAGEMENT UNIT

NAME: SIGNATURE: DATE:

AMD-DOC1.3 –Capital & Asset Related Work Application Form Revised 22 September 2016

Approval for School Principal to Project Manage School Funded Capital or Asset Related Work

School:

Description of Work:

Estimated Value of Work:

There will be circumstances where a school funded project with a value less than $30,000 (inclusive of GST) that meets certain criteria, will be approved by the AMU Director for the School Principal to Project Manage, with the AMU verifying the process.

CRITERIA YES NO

The Estimated Value of the Work is less than $30,000 inclusive of GST. (This has been confirmed by the Local AMU) ☐ ☐

The work will be undertaken by a single licensed trade (Single trade means – all work is undertaken by employees of the Contractor engaged under the Small Works Agreement. If the Contractor has to engage any sub-contractors for any part of the work the Small Works Agreement is not suitable)

☐ ☐

The work will be undertaken at a height less than two (2) metres (if scaffolding or scissor lifts are necessary for any part of the work, tick NO) ☐ ☐

The AMU has confirmed that the work is classed as low risk (in accordance with the definitions under current WHS Legislation) ☐ ☐

The work does not require any Statutory Approvals (an example would be any Local Government approvals – DA, Complying, Exempt) Tick Yes if no Statutory Approvals are required

☐ ☐

The work does not involve the removal or disturbance of any hazard material. (example asbestos) Tick Yes if no hazard materials are involved ☐ ☐

The work is not being undertaken on, in or near any heritage listed buildings or items. Tick Yes if there are no heritage issues ☐ ☐

Where the above criteria has been met the School Principal may be considered for approval to Project Manage by the AMU Director. The School Principal will be responsible for following the Department’s project and contract management requirements including but not limited to the following: • Prepare a Small Works Agreement • Review Contractor Insurances – Must be copies of policy not brokers, must remain

current for length of contract including post completion period o Public Liability (minimum value $20m) o Workers Compensation or Personal Accident Insurance (for single trade no

employees) o Long Service Levy (projects over $25,000 inclusive of GST)

• Review Safety, Quality and Environment Plans, ensure suitability for work being undertaken and meeting current WHS legislation and regulations

The AMU approves the School Principal to Project Manage the above project

I confirm as the School Principal that the project will be managed in accordance with the WHS Act and Regulations 2011 and the NSW and DoE Procurement requirements for Construction work

Name: Name:

Position: Director, AMU Position: School Principal

Signature: Signature:

Date: Date: AMD-DOC1.4 – Approval for School Principal to Project Manage School Funded Project Revised 22 September 2016

Briefing for the Executive Director, Public Schools NSW

AMD-DOC1.5 - Briefing Endorsement to initiate a School or Community Funded Capital or Asset Related Work

TRIM No. Title

Endorsement to initiate a School or Community Funded Capital or Asset Related Work.

Key Information

In accordance with the School or Community Funding of Capital or Asset Related Works Policy DOC16/32178 for Capital Works developed on school sites, endorsement is sought to initiate the following school or community funded capital or asset related work. The local AMU has provided the budget estimate which is attached.

School Description of Work Budget Estimate

☐ The work will be managed by the local Asset Management Unit (AMU).☐ As the project estimate is less than $30,000 incl. GST the School Principal will seek

approval from the AMU to manage the project

Financial Implications

The school has the full amount of the funds to undertake the capital or asset related work.

Recommendations

It is recommended that the Director, Public Schools NSW and the Executive Director, Public Schools NSW endorse the initiation of the school or community funded capital or asset related work listed above.

The signed endorsement it to be forwarded to the AMU.

Endorsed Endorsed Endorsed

EXECUTIVE DIRECTOR, PUBLIC SCHOOLS NSW

DIRECTOR, PUBLIC SCHOOLS NSW

SCHOOL PRINCIPAL

Item # Description Quantity Unit Rate ($) Total ($)

SMALL WORKS AGREEMENT for School Principals

(for work under $30,000 inclusive of GST)

Agreement Details

Agreement Title:

Agreement Number:

HP Records Manager (TRIM) Document No:

Contact Person:

Parties

Contractor School Principal Full Name:

Full Name:

A.B.N:

A.B.N:

Address:

Address:

Representative: Representative:

Phone: Phone:

Email: Email:

Fees to complete the work in accordance with the attached Scope of Work

Sub-Total (ex GST):

GST: Total (inc GST):

Signed

Signed for the Contractor by: Signed for the Principal by:

Authorised Officer Authorised Officer

Name of Authorised Officer Name of Authorised Officer Date: Date:

Small Works Agreement – Schools Page 1

The Contractor will carry out the works including provide any materials (Works) according to this agreement.

1. Performance The Contractor must perform the Works:

(a) on the dates agreed between the parties (b) to the specifications set out in this agreement (c) in accordance with all applicable laws and regulatory requirements, Australian standards, best

practice guidelines and all licences and consents (d) in a timely and efficient manner using that standard of care, skill and diligence that would be

expected from an experienced provider (e) in accordance with any directions, policies and procedures notified to the Contractor (f) in a way that minimises inconvenience to others; and (g) free from defects, fit for the purpose required by the Principal and using new goods and

materials that are of acceptable quality,. Nothing in this agreement excludes, restricts or modifies any consumer guarantee, right or remedy conferred by Australian Consumer Law.

2. Site and access 2.1. Access to the site and responsibility The Principal will give the Contractor sufficient access to

perform the Works. The Principal is not required to give the Contractor exclusive or uninterrupted access to the site. From when the Contractor is given access to the site until completion of the Works, the Contractor is responsible for the care of the Works and the site. The Contractor is also responsible for any items given to the Contractor.

2.2. Replacement of personnel The Contractor must remove and replace any of its personnel involved in performing the Works as reasonably required by the Principal.

2.3. Responsibility for services and utilities The Contractor is responsible for determining the location and type of all existing services and public utilities, both above and below ground. Where an existing service is damaged by the Contractor for any reason whatsoever, the Contractor is responsible for all costs and any delays for repairing the service (where it is to be continued) or disconnecting it (where it is to be abandoned).

3. Indemnity The Contractor indemnifies the Principal from any and all loss, liability, damages, costs, which the Principal pays, incurs or is liable for in respect of personal injury or death, property damage, harm to the environment or matters within the Contractor’s responsibility, arising out of or in connection with the carrying out the Works.

4. Work Health and Safety 4.1. Comply with WHS law The Contractor must carry out the Works in compliance with the Work Health

and Safety laws and regulations and any of the Principal's Work Health Safety (WHS) policies and directions.

4.2. Work Health and Safety report The Contractor must provide the Principal with a WHS Monthly Report on the 5th business day of each month. The report must: be signed by the Contractor’s representative, detail any implementation and risk management, outline WHS training, include incident management and a Safe Work Method Statements and the following information as evidence supporting the implementation of the Site specific Safety Management Plan during the previous month:

(a) (Agreement details) the name of the agreement, Contractor and Contractor’s representative, the report date and the period covered;

(b) (Implementation of Risk management) a summary of any WHS inspections and reviews carried out to identify risks and hazards and ensure risk management controls are being implemented for:

(i) plant and equipment (ii) incoming products (iii) worksite conditions (iv) adherence to and completeness of Risk Assessments, Safe Work Method

Statements and Site Safety Rules (v) worksite access and exits; and (vi) personal protective equipment.

(c) (Implementation of WHS training) An up to date copy of the Induction Register and details of WHS training carried out.

(d) (Implementation of Incident management) Provide details of:


(i) any WHS incidents or WHS issues, including non-compliance with WHS processes and procedures and any near misses

(ii) implementation of incident management (iii) implementation of corrective action; and (iv) WHS statistics for all the work under the Contract including:

This Month Total Cumulative

Number of Lost Time Injuries Number of Hours Worked

Number of Hours Lost Due to Injury

5. Environment 5.1. Environmental Management The Contractor must carry out the Works with all required

environmental management controls and in accordance with the Principal’s environmental policies and directions.

5.2. Reporting The Contractor must report all environmental incidents, including near misses and visits by environmental regulators immediately to the Principal.

6. Insurances The Contractor must have the following insurances:

(a) workers compensation insurance as required by law (b) product and public liability insurance providing cover of at least $20 million for any one

occurrence; and (c) if the Works involves advice, a professional indemnity insurance policy,

The Contractor must provide certificates of currency before starting the Works.

7. Invoicing and payment The Contractor will invoice the Principal for the Fees at the completion of the Works in accordance with this agreement. The Principal will pay each correctly issued invoice within 30 days of receiving it. The Fees include all costs and expenses and effort required for the Contractor to perform the Works.

8. Pre-works personnel clearances The Contractor must ensure that any personnel undertaking the Works satisfactorily complete the following clearances:

(a) Working With Children Check in accordance with the Principal’s policies, and the Child Protection (Working with Children) Act 2012; and

(b) a National Police Check to confirm no previous convictions. The Contractor must provide evidence of these clearances for the personnel before starting the Works. These clearances must be obtained at the Contractor’s cost and in sufficient time for the Contractor to start the Works in accordance with this agreement.

9. Ending 9.1. Contractor Performance Template The Contractor Performance Evaluation must be completed by

the Contractor (see attached the Contractor Performance Evaluation – Sample Template) after completion of the Works.

9.2. Ending for default The Principal may end this agreement by notice to the Contractor if the Contractor breaches any obligations under this agreement. This includes in circumstances where the Works are not started as agreed

9.3. Ending for any reason The Principal may end this agreement by notice to the Contractor at any time for any reason. The Principal will pay for any costs incurred up by the Contractor until the date of ending. This amount must not be more than the Fees. The Contractor is not entitled to any additional payment or compensation for such ending.

10. General 10.1. Subcontracting and assignment The Contractor must not subcontract all or any part of the Works.

The Contractor must not assign any of its rights or obligations. 10.2. Confidentiality The Contractor must keep confidential any non-public information of the Principal or

its personnel or students that it receives or creates in performance of the Works. 10.3. Variations The Contractor must not change the specifications for the Works without written

agreement of the Principal. Any change to this Agreement is only effective if agreed in writing between the parties.

10.4. Governing Law The law of NSW governs this agreement. The parties submit to the exclusive jurisdiction of its courts.


Rating System

P3 Excellent (Reasons and examples, must include the innovation resulting in this ranking)

P2 Above Expectation (Reasons and examples)

P1 Meet Expectations (There can be no items or elements that do not meet the minimum requirements)

P0 Unsatisfactory (If there are any elements that do not meet the minimum performance requirements.)

Contractor Performance Evaluation

Contract Title

Contractors Name

Contract Number

Department Contract Manager

Period of Assessment

Topic Objective (Examples, These can be amended to suit the individual engagement, if required)

Rating (this period/completion

Comments and justification Contractors Response and Comments

Communication and Time Management Meeting milestones, resourcing, planning, reporting etc.

Management and Suitability of Project Personnel Sub consultants and other suppliers

Skills, experience, sufficient numbers etc.

Claims Progress Claims and Variations

Standard of Service including costs/pricing

Meeting brief, budgets, value for money, no rework, level of supervision, coordination & cooperation

Quality Outcomes Quality Management, audit results, non- conformances, design meetings

WHS Outcomes WHS Management, audit results, accidents, injuries, issues, lost time

Environmental Outcomes Environmental management, audit results, Non Conformance Reports, discharge, contamination, waste management

Cooperation Cooperative approach, commitment, issue resolution, disputes

Note: The participants should decide on an action plan during the meeting, after discussing project and contract objectives, comments, observations and suggestions for improvement. If the Contractor did not participate in the assessment, a copy must be provided for their records.

Contractors Signature Date

A copy of the signed completed Contractor Performance Evaluation is to be forwarded to the AMU
