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The unsolicited proposal (USP) process proceeds through a series of robust Stage gates as follows:

Stage 0 consists of a face to face meeting in which the proponent has the opportunity to present the proposal and to receive information about the process and receive feedback on whether the proposal would be considered further. Stage 0 allows proponents to test innovative ideas with the NZ Transport Agency before committing further resource to a detailed proposal.

For the avoidance of doubt, all proponent activities are at the proponent’s own discretion, risk and cost. The Transport Agency reserves the right to determine which, if any, stage an unsolicited proposal will progress to.

Key stages in the consideration of unsolicited proposals

Key states in the consideration of unsolicited proposalsView larger image [PDF, 99 KB]

Stage 0: Pre-submission process discussion and initial review

Purpose

Meeting to provide the proponent with early guidance around the USP process including the requirements for uniqueness, and to formally explore the potential of the USP focussing on its unique attributes, and provide an indication of whether it warrants proceeding to a Stage 1 assessment.

Stage 0 is intended to place a low resource burden on both proponent and the Transport Agency. If it is decided to progress beyond Stage 0 then the resource commitment is expected to increase.

Proponent responsibility

  • Attend the Stage 0 meeting prepared to present and discuss the USP in sufficient detail to enable the Transport Agency to assess whether the USP warrants the deeper Stage 1 consideration.

Transport Agency responsibility

  • Assess the proposal against the Stage 0 USP criteria.
  • Provide clear and direct feedback if the uniqueness of the proposal is not demonstrated and/or the proposal does not meet the criteria to proceed to Stage 1.
  • Development of a schedule of requirements for Stage 1, if required.

Expected outcomes

  • Determination of whether the USP is fit to proceed to Stage 1 where significantly greater resource commitment is required to prepare and review.
  • Schedule of requirements for Stage 1 assessment

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Stage 1: Initial submission and strategic assessment against USP assessment criteria

Purpose

To determine whether the unsolicited proposal meets the assessment criteria and warrants proceeding to a Stage 2 detailed proposal.

Proponent responsibility

  • Preparation of an initial submission in accordance with the schedule of requirements issued following Stage 0
  • Formal submission as per submission details outlined in the schedule of requirements in order to:
    • provide a detailed overview of the USP
    • demonstrate the unique attributes of the proposal
    • demonstrate the unique ability to be able to deliver the proposal
    • demonstrate the value for money of the proposal
    • respond to requests for further information.

Transport Agency responsibility

  • Prompt acknowledgement of receipt of submission.
  • Compliance check of submission against schedule of requirements.
  • Establishment of USP assessment panel.
  • Request for further information where required.
  • Undertake strategic assessment evaluating the proposal's ability to satisfy the assessment criteria.
  • Prepare a report for review by the USP review panel.
  • USP review panel approval to progress to Stage 2 if warranted.
  • Prepare a draft agreement for Stage 2 development.
  • Notify proponent of outcome.

Expected outcomes

  • Determination of whether the USP is fit to proceed to Stage 2.
  • Where suitable, issue a Stage 2 agreement.
  • Where not considered suitable, the USP review panel to recommend a course of action, which may include:
    • informing the proponent the submission will not proceed any further
    • referring the proponent to another procurement process
    • referral to the relevant Transport Agency to investigate the opportunity and/or undertake a procurement process.
  • Proponents will be provided with feedback on whether their submission will progress to Stage 2 and next steps.

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Stage 2: Preparation of detailed proposal

Purpose

Development and assessment of a detailed proposal which may include preliminary negotiations

Proponent responsibility

  • Enter into agreement.
  • Attend required meetings to develop the proposal.
  • Prepare and submit a detailed proposal.

Transport Agency responsibility

  • Establish appropriate governance framework.
  • Enter into agreement.
  • Assign appropriate resources.
  • Determine appropriate methods and requirements for ensuring value for money outcomes.
  • Participate in meetings as required to assist in the development of the proposal.
  • Receive and assess the detailed proposal.
  • Prepare report and make a recommendation to the USP review panel.

Expected outcomes

    • Determination of whether the USP is fit to proceed to Stage 3.
    • If appropriate, commercial terms agreed as the basis of a final binding offer.
    • Proponents will be provided with feedback on whether their submission will progress to a final binding offer.

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Stage 3: Negotiation of final binding offer

Purpose

Finalisation of all outstanding issues with a view to entering into a binding agreement

Proponent responsibility

  • Enter into a Stage 3 agreement.
  • Participate in the negotiation process.
  • Submit a binding offer.

Transport Agency responsibility

  • Enter into a Stage 3 agreement.
  • Provide guidance regarding the negotiation process and protocols.
  • Provide a schedule of items for negotiation.
  • Assign appropriate negotiation resources.
  • Undertake an assessment of the final binding offer.
  • Obtain approval to proceed.

Expected outcomes

  • Final binding offer either accepted or rejected.
  • Proponents will be provided with feedback on whether the final binding offer has been accepted.

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