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South West Rail Link North Strathfield Rail Underpass Alliance Project Alliance Agreement VOLUME 1 of 3 • General Conditions • Schedules (1 to 35) North Strathfield Rail Underpass Alliance Project Alliance Agreement Table of Contents Title Volume Format PAA General conditions (Clauses 1-20) Volume 1 A4 Schedules (1 to 35) Volume 1 A4 Exhibit A - TSRs Volume 2 A4 Exhibit B – Works Brief (Sections 1 to 5) Volume 2 A4 Appendix 1 - Principal’s Design Volume 2 DVD Appendix 2 – Interface Schedule Volume 2 A4 & DVD Appendix 3 – Signalling Works Brief Volume 2 DVD Appendix 4 – Signalling Documentation Volume 2 DVD Appendix 5 – Not Used Volume 2 N/A Appendix 6 – Services Brief Volume 2 DVD Appendix 7 – Work Breakdown Structure Volume 2 DVD Appendix 8 – Technical Memo “NSRU – HV 11kV Volume 2 DVD Feeder 532 Diversion” Appendix 9 – Technical Memo NSRU -1677-ES-ME- Volume 2 DVD 0001-B – Temporary RailCorp SMOF Route Appendix 10 – NSRU-1677-PW-TP-0001-A Volume 2 DVD Trackform Transitioning on NSRU Exhibit C – Final Project Proposal Volume 3 A4 Exhibit D – TfNSW’s Insurance Policies Volume 3 A4 Exhibit E – Pre-Conditions Surveys Volume 3 A4 Exhibit F – Planning Approval F1 - Conditions of Approval Volume 3 A4 F2 - Review of Environmental Factors Volume 3 CD F3 - Submissions Report Volume 3 A4 F4 - Determination Report Volume 3 A4 Exhibit G – Value for Money Statement Volume 3 A4 Exhibit H – Project Site Drawings Volume 3 A3 Exhibit I – Third Party Agreements Volume 3 A4 Exhibit J – Interface Agreement Volume 3 A4 Exhibit K – Form of partnership Agreement Volume 3 A4 2183349_1.DOC Project Alliance Agreement North Strathfield Rail Underpass Alliance Transport for NSW ABN 18 804 239 602 ("TfNSW") Bouygues Travaux Publics ABN 89 072 509 243 ("NOP1") Macmahon Contractors Pty Ltd ABN 37 007 611 485 ("NOP2") Legal\308804184.1 & 1981403_14.DOC Contents 1. Behavioural commitments..........................................................................................7 1.1 Alliance Objectives and Alliance Principles...................................................7 1.2 Co-operation and innovation..........................................................................8 1.3 Commitment to act in good faith....................................................................8 1.4 Promote interests of the Project....................................................................8 1.5 Sharing of information....................................................................................8 1.6 Avoid disputation...........................................................................................9 1.7 Conflicts of interest........................................................................................9 1.8 Collective sharing of risk and opportunities...................................................9 1.9 Future addition of Participants.......................................................................9 2. Primary performance obligations..............................................................................9 2.1 Primary performance obligations of Participants...........................................9 2.2 Primary performance obligations of TfNSW ................................................10 2.3 Parent Company Guarantee........................................................................10 2.4 NOP Arrangements.....................................................................................10 2.5 Foreign Legal Opinions................................................................................10 3. Governance and management.................................................................................11 3.1 Alliance Leadership Team...........................................................................11 3.2 Alliance Management Team........................................................................11 3.3 Alliance Manager.........................................................................................11 3.4 Senior Executive Review Group..................................................................11 3.5 Principal's Representative...........................................................................11 3.6 NSFC Project Control Group.......................................................................11 4. SERG..........................................................................................................................12 4.1 Establishment and Functions.......................................................................12 4.2 SERG Members...........................................................................................12 4.3 SERG Chairperson......................................................................................12 4.4 Meetings of the SERG.................................................................................12 4.5 Minutes of SERG meetings.........................................................................13 5. Alliance Leadership Team........................................................................................13 5.1 Establishment and functions of ALT............................................................13 5.2 ALT Members..............................................................................................13 5.3 ALT Chairperson..........................................................................................14 5.4 Meetings of the ALT.....................................................................................14 5.5 Decisions of ALT..........................................................................................14 5.6 Minutes of ALT meetings.............................................................................15 5.7 Reports to the SERG...................................................................................15 6. Alliance Management Team and Alliance Manager...............................................16 6.1 Establishment, structure and functions of AMT...........................................16 6.2 Appointment of Alliance Manager................................................................16 6.3 Functions of the Alliance Manager..............................................................16 6.4 Interface between Alliance Manager and ALT.............................................17 6.5 Approaches to Employees...........................................................................17 7. Environmental Management.....................................................................................17 7.1 Environment Protection Licence..................................................................17 7.2 Environmental Representative.....................................................................19 8. Commencement and access and care of the Site..................................................20 8.1 Commencement..........................................................................................20 Legal\308804184.1 & 1981403_14.DOC i 8.2 Site access for the Participants...................................................................20 8.3 Alliance to acquire access...........................................................................22 8.4 Site access for TfNSW.................................................................................22 8.5 Access protocols..........................................................................................23 8.6 Care of the Works........................................................................................23 8.7 Reinstatement..............................................................................................23 8.8 Temporary Works........................................................................................23 8.9 Remote Sites and Extra Land......................................................................24 8.10 Property Acquisition.....................................................................................24 8.11 Condition Surveys........................................................................................25 8.12 Third Party Agreements...............................................................................26 8.13 Co-operation with Other Contractors...........................................................27 8.14 Co-operation with Interface Contractors......................................................28 8.15 Interface Disputes........................................................................................30 8.16 Track Possessions and Power Isolations....................................................31 8.17 TfNSW Supplied Items................................................................................32 9. Design, documents and auditing.............................................................................32 9.1 Supply of design and documents by TfNSW...............................................32 9.2 Supply of design and other documents.......................................................32 9.3 Submission for review by Principal's Representative..................................32 9.4 AMP and TSR Implementation....................................................................35 9.5 Exchange of Information Between Government Agencies..........................36 9.6 NOP Performance Reports..........................................................................36 9.7 Alliance Intellectual Property Rights............................................................36 9.8 Background Intellectual Property Rights......................................................37 9.9 Third parties’ Intellectual Property Rights....................................................37 9.10 Moral rights..................................................................................................37 9.11 Claims..........................................................................................................38 9.12 Confidentiality..............................................................................................38 9.13 Public Disclosure.........................................................................................40 9.14 Transparency...............................................................................................40 9.15 Financial Auditor..........................................................................................40 9.16 Audit of Records..........................................................................................41 9.17 Overpayments.............................................................................................41 9.18 Retention of Records...................................................................................41 9.19 Collaborative audit of compliance with AMP................................................41 9.20 Continuing effect..........................................................................................42 9.21 Detailed Designer and Signalling Designer.................................................42 10. Works..........................................................................................................................43 10.1 Subcontracts................................................................................................43 10.2 Key Subcontractors.....................................................................................44 10.3 Nominated Subcontractors..........................................................................44 10.4 Novation of Detailed Designer.....................................................................44 10.5 Deed Poll by NOPs in favour of RailCorp....................................................45 10.6 Related entity transactions..........................................................................45 10.7 Statutory Requirements...............................................................................45 10.8 Subcontractor warranties.............................................................................46 10.9 Work health and safety................................................................................46 10.10 Project Safety Management Plan................................................................47 10.11 Safety Compliance.......................................................................................49 10.12 Rail Safety Accreditation..............................................................................50 10.13 Rail Safety Works........................................................................................51 10.14 Protection of people, the environment and property....................................51 10.15 Industrial relations........................................................................................51 10.16 Protection of cultural heritage and native title rights....................................51 Legal\308804184.1 & 1981403_14.DOC ii 10.17 National Greenhouse and Energy Reporting Act 2007 (Cth).......................52 10.18 Minimise disruption......................................................................................53 10.19 Statutory Functions......................................................................................53 10.20 Commonwealth Funding..............................................................................53 10.21 Options........................................................................................................54 10.22 OHS Accreditation Scheme.........................................................................54 11. Quality........................................................................................................................55 11.1 Quality assurance........................................................................................55 11.2 Certificates...................................................................................................55 11.3 Defects.........................................................................................................56 12. Time, progress and Completion...............................................................................57 12.1 Progress and Date for Completion ..............................................................57 12.2 Suspension of Alliance Activities.................................................................57 12.3 Certificate of Completion.............................................................................58 12.4 Certificate of Final Completion.....................................................................59 12.5 Portions........................................................................................................59 13. Directions by TfNSW and Target Adjustment Events............................................59 13.1 TfNSW Reserved Powers............................................................................59 13.2 Impact Request............................................................................................63 13.3 Target Adjustment Events...........................................................................63 13.4 Adjustments to Commercial Framework......................................................64 13.5 ALT may recommend a change to the Works..............................................64 13.6 Adjusting the Commercial Framework.........................................................65 13.7 Target Adjustment Guidelines.....................................................................65 14. Payments....................................................................................................................66 14.1 Compensation for Works.............................................................................66 14.2 Invoices and payments................................................................................66 14.3 Payment for materials at Site but not incorporated......................................69 14.4 Payment for materials not at Site.................................................................69 14.5 Participants to lodge statutory declarations.................................................69 14.6 TfNSW may make direct payments on request...........................................69 14.7 TfNSW may pay on court order...................................................................70 14.8 Set-off..........................................................................................................70 14.9 GST.............................................................................................................70 14.10 Long Service Levy.......................................................................................72 15. Remedies and liabilities............................................................................................72 16. Insurances and indemnities.....................................................................................73 16.1 Insurance for the Works...............................................................................73 16.2 Liability Insurance........................................................................................73 16.3 Alliance professional indemnity insurance...................................................73 16.4 Insurance of employees...............................................................................73 16.5 Subcontractors’ insurance...........................................................................74 16.6 Designers' Insurance...................................................................................74 16.7 Notices of potential claims...........................................................................75 16.8 Accounting for insurance proceeds.............................................................75 16.9 Other insurances by NOPs..........................................................................76 16.10 Cross liability................................................................................................77 16.11 Settlement of claims....................................................................................78 16.12 Indemnities..................................................................................................78 16.13 Accounting for third party payments and recoveries....................................79 17. Termination................................................................................................................80 Legal\308804184.1 & 1981403_14.DOC iii 17.1 Notice of termination....................................................................................80 17.2 Effect of termination.....................................................................................80 17.3 Actions following termination.......................................................................80 17.4 Termination payments.................................................................................81 17.5 Wilful Default................................................................................................81 17.6 Exclusion from further participation.............................................................82 18. Resolution of Disagreements...................................................................................82 18.1 Handling Disagreements.............................................................................82 18.2 Deadlock resolution procedure....................................................................83 19. Value for Money.........................................................................................................84 19.1 Value for money...........................................................................................84 19.2 Benchmarking of Alliance performance.......................................................84 20. Miscellaneous Provisions.........................................................................................85 20.1 Service of notices........................................................................................85 20.2 Right to assign or subcontract.....................................................................85 20.3 Governing law..............................................................................................86 20.4 Status of Agreement....................................................................................86 20.5 Tariff concessions........................................................................................86 20.6 Australian currency......................................................................................86 20.7 Relationship of the Participants...................................................................86 20.8 Entire agreement.........................................................................................86 20.9 Non-waiver...................................................................................................86 20.10 Corporate power and authority....................................................................87 20.11 No representation or reliance......................................................................87 20.12 Severability..................................................................................................87 20.13 Indemnities..................................................................................................87 20.14 Limitations and exclusions of rights and liabilities .......................................87 20.15 Survival after termination.............................................................................87 20.16 Prior work.....................................................................................................88 20.17 Australian Government Requirements.........................................................88 20.18 Corrupt Conduct..........................................................................................89 20.19 Management Systems.................................................................................89 20.20 Exclusion of Proportionate Liability..............................................................89 20.21 Body or authority ceases to exist.................................................................89 Schedule 1 – Acronyms, definitions and interpretation........................................................91 Schedule 2 – Agreement Particulars.....................................................................................109 Schedule 3 – Alliance Principles...........................................................................................114 Schedule 4 – Alliance Values.................................................................................................115 Schedule 5 – Alliance Objectives..........................................................................................116 Schedule 6 – Functions of SERG, ALT, AMT and the Alliance Manager............................117 Schedule 7 – Commercial Framework...................................................................................126 Schedule 8 – Alliance Governance........................................................................................229 Schedule 9 – Statutory Declaration.......................................................................................237 Schedule 10 – Actions in complying with Planning Approval and Environment Protection Licence..................................................................................................246 Legal\308804184.1 & 1981403_14.DOC iv Schedule 11 - Action in complying with Third Party Agreements and Interface Agreement................................................................................................................249 Schedule 12 – Parent Company Guarantee..........................................................................254 Schedule 13 - Certificates of Design Compliance................................................................263 Schedule 14 - Certificates of Construction Compliance.....................................................265 Schedule 15 – Certificate of Completion...............................................................................267 Schedule 16 – Certificate of Final Completion.....................................................................269 Schedule 17 – Payment Certificate........................................................................................271 Schedule 18 - Form of Warranty............................................................................................272 Schedule 19 - TfNSW Supplied Items....................................................................................275 Schedule 20 – Target Adjustment Guidelines......................................................................276 Schedule 21 – Property Owner's Certificate........................................................................293 Schedule 22 – Site and Site Requirements...........................................................................294 Schedule 23 - Form of Subcontractor Deed.........................................................................311 Schedule 24 – Warranties required from Subcontractors...................................................315 Schedule 25 – Deed of Novation............................................................................................317 Schedule 26 - Form of Confidentiality Undertaking.............................................................327 Schedule 27 - Serious Incident Protocol...............................................................................329 Schedule 28 - NSRU Insurance Claims Protocol..................................................................335 Schedule 29 - Deadlock Resolution Agreement...................................................................341 Schedule 30 - Consultant Deed of Covenant........................................................................353 Schedule 31 - Track Possessions..........................................................................................357 Schedule 32 - Options.............................................................................................................359 Schedule 33 - Form of Other Contractor Deed Poll.............................................................361 Schedule 34 - Deed Poll - Interface Agreement...................................................................364 Schedule 35 - Form of NOP Deed Poll in favour of RailCorp..............................................366 Exhibit A - TSRs......................................................................................................................368 Exhibit B - Works Brief...........................................................................................................369 Exhibit C - Final Project Proposal..........................................................................................370 Exhibit D - TfNSW's Insurance Policies................................................................................371 Legal\308804184.1 & 1981403_14.DOC v Exhibit E - Pre-Condition Surveys.........................................................................................377 Exhibit F - Planning Approval................................................................................................378 Exhibit G - Value for Money Statement.................................................................................379 Exhibit H - Project Site Drawings...........................................................................................380 Exhibit I - Third Party Agreements........................................................................................381 Exhibit J - Interface Agreement.............................................................................................382 Exhibit K - Form of Partnership Agreement.........................................................................383 Legal\308804184.1 & 1981403_14.DOC vi