supervision manual

8/12/2019 Supervision Manual

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REPBULIC OF KENYA

November, 2012

JAPAN INTERNATIONAL COOPERATION AGENCY

MINISTRY OF ROADS

in association with

Strengthening of Capacity on Road Maintenance Management through Contracting

Supervision and Contract Evaluation

Manual for Road Works


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SupervisionandContractEvaluationManualforRoadWorks

1

FOREWORD(One page for foreword)


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Table of Contents

Abbreviations and Acronyms

1. Introduction

1.1 Supervision and contract evaluation system 5

1.2 Application of the Manual 6

2. Supervision 8

2.1 Supervisors 8

2.2 Supervision stages 8

2.3 Works execution programme 10

2.3.1 Purpose 10

2.3.2 Contents 11

2.3.3 Authorization procedures 14

2.4 Supervision Check List 14

2.4.1 Purpose 14

2.4.2 List Composition 14

2.4.3 Procedures 18

2.5 Check Points 20

3. Contract Evaluation 52

3.1 Application 52

3.1.1 Purpose 52

3.1.2 Evaluators 52

3.1.3 Evaluation timing 53

3.2 Evaluation procedures 54

3.3.1 Overall procedures 54

3.3.2 Grading 573.3 Evaluation items 59

3.4 Evaluation by Resident Engineer 60

3.4.1 Evaluation items 60

3.4.2 Grading criteria 60

3.4.3 Grading sheet 61

3.5 Evaluation by Engineers Representative 63



3.5.3 Bonus/Penalty 67



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3.6 Evaluation by Quality Assurance Office / Inspection and Acceptance committee 70




3.7 Weighting 79

3.7.1 Concept of weighting 79

3.7.2 Weight application for scoring 79

3.7.4 Inter-item weight 79

3.7.5 Weight by evaluator 80

3.7.6 Weight change 80

3.8 Contract evaluation scoring 80

3.8.1 Contract Evaluation Tally Sheet 80

3.8.2 Notification of Scores 83

3.8.3 Score database 83

Appendix 86

A. Incorporating in Tender and Contract Document for Application of the Manual 87

B. Work execution programme template 88

C. Daily report sample 102

D. Monthly Progress Report templates 103

(Supervision check list) 112

E. Report for Substantial Completion Meeting 121

F. Contract evaluation tally sheet 122

F.1 Contract Evaluation Grading Sheet for Resident Engineer 123

F.2 Contract Evaluation Grading Sheet for the Engineer's Representative 122

F.3 Contract Evaluation Grading Sheet for QAO/IAC 124

F.4 Contract Evaluation Tally Sheet (Large scale work) 127

F.5 Contract Evaluation Tally Sheet (Small scale work) 128

F.6 Contract Evaluation Tally Sheet (Labour-based work) 129G. Notification of scoring of contract evaluation 130

H. Taking Over Certificate 133

I. Database Format 134

I.1 Contract Evaluation Database Format in Authority 134

I.2 Integrated Contract Evaluation Database Format 135


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Abbreviations and Acronyms

ARWP Annual Road Works Programme

CETS Contract Evaluation Tally Sheet

ER Engineers Representative

FIDIC Federation Internationale des Ingenieurs-Conseils

IAC Inspection and Acceptance Committee

JICA Japan International Cooperation Agency

KeNHA Kenya National Highways Authority

KeRRA Kenya Rural Roads Authority

KNBS Kenya National Bureau of Statistics

KRB Kenya Roads Board

KURA Kenya Urban Roads Authority

KWS Kenya Wildlife Service

M&T Material and Testing Department, Ministry of Roads

MOR Ministry of Roads

MOTC Ministry of Transport and Communication

PPOA Public Procurement Oversight AuthorityRE Resident Engineer

RMM Road Maintenance Manual, May 2010

RMMS Road Maintenance Management System

SCL Supervision Check List

SSRBC Standard Specification for Road and Bridge Construction, 1986

QAO Quality Assurance Office

WEP Works Execution Programme


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1. Introduction1.1 Supervision and contract evaluation system(1) General concept of supervision and contract evaluation system

The concept of supervision and contract evaluation system is to streamline the cyclic

management process as shown in Fig.1.1 for contracted road works. Through continuous exercise

of this cycle, the system will help Road Authorities supervise and manage road works effectively

and also give Contractors incentive to improve their performance.

This can be achieved by providing transparent and objective check and record methods. The

methods cover the key performance and technical requirements for road works and matters such

as safety, environmental and social impacts of the work execution. The latter are becoming more

significant in Kenya and needs careful mitigation actions to avoid any negative consequences

that may arise.

Fig.1.1 General Concept of Supervision and Contract Evaluation System

(2) Operational ProcedureOperational procedure is shown in Fig.1.2.

1) At launching stage, the Contractor submits Works Execution Programme (WEP) that is a

basis for the management of works.2) During execution stage, Supervision Check List (SCL) is used by the Authority. SCL which is

unified format records the degree of compliance and achievement against performance targets.

The results recorded on SCL are used as a basis for contract evaluation.

3) At conclusion stage, contract evaluation is conducted using an objective method to assess the

overall performance and finished works. The result of evaluation is graded and then converted

to scores. The score is notified so that the Contractor can review their performance.

4) Since the scores are generated in a fair and transparent manner, they can be used as data for

relative comparison between contracts. All the scores derived from contract evaluation arestored in a database.

Check

Pointsand

EvaluationItems

ManagementStages

Equipments

Staff

Quality/Quantity

Scheduling

SafetyEnvironmental/Social

Issues

Tendering Supervision

Database

CheckList

ContractEvaluation

Tendering


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5) In subsequent procurements, the database may be referred to by the relevant Authorities,

procurement entities, or any other interested party. A companys scores in the past would be

taken into account in prequalification and tender evaluation.

Fig.1.2 Operational Flow of Supervision and Contract Evaluation System

1.2 Application of the Manual(1) Application

This Manual which is administrated by the Ministry of Roads shall be applied to all road

works contracted by Roads Authorities in the Republic of KENYA. Target groups of the manual

are officers in the regional office and headquarters of the Authority who are in charge of the

management of contracted road works. The manual shall be applied to road maintenance,

construction, improvement, and rehabilitation of works.

(2) Relationship with other relevant documentsThis manual shall be used in conjunction with other relevant documents as listed below:

1) Statutory Regulations

Public Procurement and Disposal Act2005

Public Procurement and Disposal Regulations 2006

2) Contract documents

(Guide to the use of FIDIC, Conditions of Contract for works of Civil Engineering

Construction, fourth edition, Federation international des ingenieurs-conseils, 1987)

3) Manuals

Standard Specification for Road and Bridge Construction, 1986 (SSRBC)

Road Maintenance Manual, May 2010 (RMM)

Contract Management ManualPlanning Manual for Preparation of the Annual Road Works Programme (ARWP) by

Road Agencies, Kenya Roads Board, February 2010

Authority

Contractor

Work

WorksExecution

Programme

Submission

Procure

ment

Launching

Stage ExecutionStage Conclusion

Stage

Next

Procure

ment

Finished

Product

ScoreScore

SupervisionCheckList ContractEvaluation

Grading/Scoring

EvaluationCheck & Record

Check & Record


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Road Design Manual, MoTC

Road Safety Audit, 2009

(4) DocumentationThe following documents are prepared and exchanged between the contractor and the

Authority during the contract period. These documents are all proof material to conduct

supervision and contract evaluation procedures. Fig. 1.3 illustrates the usage of the documents in

the process. The templates of these documents are shown in Appendix B-H.

1) Works Execution Programme (WEP)

2) Site diary (daily report)

3) Monthly progress reports

4) Substantial Completion Certificate (Taking-over Certificate)

5) Notification of Scoring of Contract Evaluation

At supervision stage, the actual work proceedings are compared to the planned one written in

WEP. The comparison is recorded on the site diary confirming whether the works are in

accordance with WEP. The contents in site diary are used to mark and update SCL. That

information on SCL becomes a basis of grading and scoring in contract evaluation. Scores of

contract evaluation are reported to the contractor by the official notification letter and input and

stored in database through RMMS.

Fig.1.3 Documents used in the Process

Work Appraisal

Site Diary(Daily Report)

Monthly Progress Reports (SCL)

Contract Evaluation

RMMS

Score Database

Works ExecutionProgramme

Comparison

Compliancewith CorrectiveOrder

Notification of Scoring

Substantial Completion Certificate

Taking Over Certificate


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2. Supervision2.1 Supervisors

Supervision is conducted by the following engineers in charge. The degree of checking

frequency and its focus points vary by supervisor.

(1) The Resident EngineerBased on daily involvement of work management, Resident Engineer in the Regional Office

checks the contractors execution of the works by using Supervision Check List (SCL). Resident

Engineer issues a corrective order when the work execution is not in accordance with the

requirements specified in the Specifications and SCL.

(2) The Engineer and Engineers RepresentativeThe Engineer usually appoints the Engineers Representative (ER) from a department of the

Authoritys headquarters. The ER checks the proceedings of work execution through the reports

from the Resident Engineer, occasional site visits, and progress meetings.

(3) Quality Assurance OfficeTargeting the selected number of contract, Quality Assurance Office (QAO) conducts a

technical auditing based on evidences provided in documents. If necessary, QAO shall conduct

site inspections in order to confirm their credibility.

(4) Inspection Acceptance CommitteeInspection and Acceptance Committee (IAC) checks the work performances at the completion

stage to determine the validity of handover of finished product to the Authority. IAC organizes

the substantial completion meeting at site and carries out visual work checks. IAC is required to

supervise works with independent points of view.

2.2 Supervision stagesFigure 2.1 summarizes the process of supervision.

(1) Order to CommenceThe Engineer issues an order to commence

(2) Submission of Works Execution Programmei.Contractor shall submit the WEP by the time that was specified in the contract documents (seeChapter 2.3)

ii. Submission of performance guarantee shall be within the period stated in the Appendix tocontract for the date from the award of the Authority (the same applied to performance

guarantee guarantees where applicable).


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Fig 2.1 Supervision process

(3) Commencement of Work / Site possessionContractor ensures that commencement date is not later than the period stated in the

Appendix to the Contract.(4) Daily Inspection

Resident Engineer on a daily basis updates Site diary report to record the work progress. Site

dairy is to be the core source of updating the SCL.

(5) Issuance of corrective orderCorrective order is issued when an activity is not done in accordance with requirements given

in the Specifications and SCL. Whenever a corrective order is issued, summary of the order is

remarked on SCL.

Commencement of Works

Daily Inspection

Monthly Inspection / SCL

Monthly Progress Meeting

Yes

No

Contract Evaluation

Order to Commence

Submission of WEP

Approval

Issuance ofCorrective Order

Yes

No

Compliance withWEP

NoYes

Substantial Completion Meeting

Compliance with WEPand Specifications

No

Yes

Resolution byRegular meeting

Management Meeting

Yes


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(6) Monthly InspectionResident Engineer and contractor carry out monthly inspection in order to determine the overall

monthly progress and update SCL based on the cumulative daily inspection reports. This is the

basis of monthly progress reports discussed and confirmed in the monthly progress meeting.

(7) Monthly progress meeting(Site meeting)Progress meeting is held on a monthly basis with the attendance of representatives from the

Authority and contractor to confirm the work progress and discuss any challenging issues arising

during the execution.

The meeting checks the degree of compliance with contents in WEP. The meeting also checks

quality and quantity of the works and payment.

(8) Management meetingManagement meetings are called when there are issues that cannot be resolved in the regular

site meetings. It also provides a forum for amicable settlement of disputes between the Authority

and contractor.

(Reference)

2.1) Clause 14.1, FIDIC Conditions of Contract for Works of Civil Engineering Construction,

Forth Edition, 1987 (FIDIC)

2.3 Works Execution Programme2.3.1 Purpose

Works Execution Programme (WEP) is a document in which the contractor describes his plan

of conducting works assigned in the contract. With the preparation of WEP, contractor declares

how the works are implemented within the contract period. Therefore WEP needs to cover all

required information for proper execution and completion of the work.

When WEP is submitted and approved by the Authority, it becomes the official document and

the benchmark of supervision with which the Authority checks whether works are proceeding asplanned.

The Authority should carefully examine the contents of WEP and confirm the adequacy of

WEP through comparisons with standard/special specifications andrelevant documents beforeapproval. Likewise contractor should prepare WEP carefully with no unclear, false or flawed

description or it is disapproved and incompliance is pointed out during the execution.

Note that WEP as referred to in this document is different from the programme of works

described in FIDIC and SSRBC. Therefore it can be said that the programme of works forms part

of WEP.


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Submission of the programmes required in Special specification by referring to Clause14.1 in

FIDIC1987;

The Contractor shall, within the time stated in Part II of these Conditions after the date of the

Letter of Acceptance, submit to the Engineer for his consent a programme, in such form and

detail as the Engineer shall reasonably prescribe, for the execution of the Works. The Contractor

shall, whenever required by the Engineer, also provide in writing for his information a general

description of the arrangements and methods which the Contractor proposes to adopt for the

execution of the Works.

Also in the section 104, SSRBC specifies;

In accordance with Clause14 of the Conditions of Contract Parts I and II, the Contractor

shall submit a fully detailed and time related programme showing the order of procedure and

method in which he proposes to carry out the Works.

2.3.2 ContentsThe contents to be included in WEP are shown in Table 2.1. A sample format of WEP is shown

in Appendix A.1. The definition for the Scale of Works in the table is as follows:

Large scale work: a project by class A, B, C and D company

Small scale work: a project by class E and under company

Labour-based work: a project under the Roads 2000 scheme

Table 2.1 Contents of Works Execution Programme

Item

Scale of Works

Large Scale Work(Class A D)

Small Scale Work(Class E and under)

Labour-based Work

(1) General information

(2) Work execution schedule

(3) Method Statement

(4)Personnel management plan (In-house and subcontractor staff)

(5) Equipment management plan

(6) Mobilization management plan

(7) Safety management plan

(8)Environmental and socialmanagement plan

(9) Quality control plan

(10) Quantity control plan

(11) Photograph plan :For small scale and labour based works, the Engineer shall instruct the items to be submitted by Contractor


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(1) General information1) Project Description

Project Objectives

A brief description of the project which includes location, nature and extent of works

Contract Data

Project title, Contract number, Financier, Employer,

Employers representative, Implementing agency, Engineer, Engineers representative,

Regional office, Contractors information (address, phone/fax, site agent name),

Date of tender, Date of award, Contract sum, Revised contract sum,

Date of agreement signed, Date of order to commence, Period of commencement,

Commencement date, Original contract period, Original date of completion,

Revised completion date, Revised contract period, Defects liability period,

Date of submission of works execution programme

2) Location map

Map includes the route of the road with emphasizing portion of the works

Location of Contractors site base shall be indicated in the map.

(2) Work execution schedule1) Programme of works

2) Planned cash flow and intermediate payment

It is desirable that work execution schedule includes time frame of each activity such as in bar

chart format.

(3) Method statementWork procedures, order and methods are summarized in WEP.

(4) Personnel management plan (in-house and sub-contractor staff)Deployment plan and schedule of key personnel together with their qualification, and

experience statements are shown in WEP. The information in this part includes; name, address,

ID, phone number, assigned work types

Subcontractors information and wage payment plan are also included if necessary.

(5) Equipment management plan1) List of the equipments

Name, type, manufacturer, usage, number, schedule,

2) Maintenance and repair plan

Contractor shall prepare the maintenance and repair plan for all the equipments.


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(6) Mobilization management planContractor provides mobilization plans for material supply, site office, temporary road plan,

labour and equipment deployment, water supply and electricity and backup including

installation and supply contract.

(7) Safety management planCompliance with safety rules and regulation, traffic control and detour plans, emergency

contact list

For quick actions during emergency, emergency contact list should be in WEP and shared with

staff in the Authority.

(8) Environmental and social management planWhen negative impacts on third parties during the execution are predicted, the management

and mitigation plans should be included in WEP. For example, if earthwork is likely because

dust problem around the working site, the contractor needs to make a plan for water-spraying;

how often and when water is to sprayed, how many water-spraying vehicles are mobilized, and

how many workers are assigned. The following issues are also necessary to be considered in the

plan.

i) Soil erosion on slopes and sedimentation deposition on the drainage works.

ii) Preservation of trees and shrubbery

iii) Entrance and accidental spillage of solid matters, debris, pollutants and waste into water

sources.

iv) Disposal of waste material

(9) Quality control planMaterial and structural test methods, test laboratory, test frequency, standard values

The relevant clause on quality in SSRBC should also be incorporated.

(10) Photograph planThe Contractor shall provide a photograph plan to record the progress and proof of quality

control, measurement and any event that may arise. The type of works, filming item description,

filming frequency and filming location mapping are incorporated in the plan.

(Reference)

2.2) Road Maintenance Manual, pp.11-7 to 11-88 (Table 11.2 to 11.57) Performance and

scheduling Considerations2.3) Road Maintenance Manual, pp.10-1 to 10-2 Chapter 10, REPORTING OF EXECUTION

PLAN2.4) Standard Specification for Road and Bridge Construction, pp.1.14, 130 Progress

Photographs


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2.3.3 Authorization procedures(1) Submission

The Contractor submits to the Authority within the prescribed period after receipt of the order

to commence.

(2) ApprovalThe Authority thoroughly examines the submitted WEP and, if its contents are satisfactory,

gives approval in writing. Works commence after the approval. However, approval by the

Authority shall not relieve the Contractor of any of his responsibilities under the contract.

(3) RevisionWhen WEP needs to be modified during execution due to change(s) in the work circumstance

and staff/equipment mobilization plans, contractor submits the modified WEP and obtains awritten approval by the Authority.

The Authority may require contractor to revise WEP to address the short comings identified in

the submission. The Contractor shall discuss and agree on the required revisions with the

Authority, and then submit the modified WEP for approval.

(Reference)

2.5) 104 Programme, General, Standard Specification for Road and Bridge Construction, pp1.12.6) Clause7.3, FIDIC1987

2.4 Supervision Check List2.4.1 Purpose

Supervision Check List (SCL) is to oversee the progress of work execution by collating the

degree of achievement of various supervisory points. SCL is prepared in a formatted sheet for

easy data input and recording. Resident Engineer uses SCL for his/her periodical supervision

assignments and a part of progress report. The input is based on site diary. After the contract is

completed, SCL becomes a basis of contract evaluation by Resident Engineer.

2.4.2 List CompositionThe followings are components of SCL. Its format is shown in Appendix D.5.2. Table 2.2 is an

example.

(1) Check pointPoints to be checked are prearranged in SCL. They reflect various focal aspects to be overseen

during supervision. They are categorized into nine (9) items. Detailed description of each point

and its check timing and frequency are shown in Section 2.5.


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(2) CheckingThe date of confirmation needs to be recorded first. Then whether the Contractors

performance with each check point is satisfactory or not is recorded in the box. Checking

procedure is written in 2.4.3.

(3) RemarksRemarks shall be recorded as detailed descriptions of checking results, such as reasons of

dissatisfaction, reference number/date of site diary, record of corrective order (are written as

remarks). Positive remarks about outstanding performance and explanation in case of Not

Applicable (N/A) are recommended to be written as a remark.


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2.4.3 Procedures(1) Check Procedure

Except check points that are checked before the commencement or after the completion,

checking using SCL is conducted as below;

1) Resident Engineer (RE) keeps recording on Site Diary through supervision

2) Before a site meeting, RE conducts checking on SCL based on the record on Site Diary.

3) Copy of SCL is inserted into the draft of Progress Report.

4) Check result on SCL is discussed during the site meeting and agreed with the Contractor.

5) If necessary, correction is made on the check result on SCL.

6) The check result is reported from the Engineer to the Employer as a part of progress report.

(2) RecordingRE confirms project name on the SCL and puts date of recording.

If work performance is satisfactory, tick mark is put on the check box ( ). If not, black-out

() mark is put. In this case, remarks with date and reference number in dairy report are

written on remarks column. If the check point is not required in the contract, check box remains

blank or N/A mark is put. Fig. 2.2 shows a recording example of Supervision check list.

In this example, a verbal corrective order based on site diary No.122 was given to the

contractor on 21st August. Since the contractor did not comply with the same check point again

in the following month, a written corrective order based on site diary No.150 was reissued on

18th September. Tick mark in the next month on 24th October indicates that the contractor

complied with the order and satisfied the check point on that month.

Even if an issue has been solved before the day of checking, the problem is recorded on the

check list and comments on this situation are clearly written as remarks.

Fig.2.3 shows how to retain the check results and remarks by creating worksheet in a softcopy

of SCL.

Fig. 2.2 Checks and remarks on Supervision Check List

Date

During executionbefore

DateDate Reason for unsatisfactory performance (Site diary No.)

Corrective order by authority (Date)

Excellent point to be specified28/08 25/09 21/12 14/0325/0224/10

Date

Remarks

The Some equipments were not mobilised in s ite (21/08, Rep#122)

Written Corrective Order was issued (18/09, Rep#150)

after

DateDate

26/1118/06/ 25/07 25/01

Date Date Date DateDate

ShadingforRemarks TickMarkforOK Remarkswithdateand Ref.No.


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(a) Check before Execution

(b) 1stCheck during Execution

(c) 2ndCheck during Execution

(d) Check after Execution

Fig. 2.3 Check Recording Process on Spread Sheet

NewWorksheet

Worksheetof

PreviousCheck

LatestRemarkscanbeadded

OldRemarksarekept

Allcheckresults

areshown


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(3) Corrective OrderIf RE finds an unsatisfactory situation against check points, he/she points out the issue to

contractor. Although corrective order itself can be issued in various forms (e.g. oral, telephone,

text message, facsimile, email and written format), it is required to be recorded on site diary asshown in Appendix A.2 or attached to it as a reference. Every time corrective order is issued, RE

puts the sequence number of daily record on SCL as a remark.

2.5 Check pointsIn the following pages, the check points in the Supervision Check List (SCL) are explained in

tables. The tables include the following contents.

(1) DescriptionIt defines what performance is required by the check point.

(2) Check Timing and frequencyIt specifies the timing and frequency of checking and recording on the SCL

(3) ReferenceIt indicates reference materials which dictate the validity of items to be checked. It basically

comes from existing contractual documents, but also it includes a part of contract documents

which is unique to the maintenance works.

(4) Case Examples1) The cases of giving corrective order

It shows examples of unsatisfactory situation on each check point wherebya corrective order is

subject to be issued as specified in 2.4.3 (3). The RE needs to record that information on Site

Diary (Daily report) and SCL.

2) The cases of giving grade a in evaluation

It shows examples of what can be regarded as an outstanding performance which is subject to

be judged as grade a in contract evaluation by RE. As indicated in Table 3.3 and Fig.3.3, if the

Contractor has not got any corrective order and has been recorded an excellent performance,

grade a shall be given for that particular item. The RE needs to record that information on Site

Diary (Daily report) and SCL.


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Table 2.5.1.1

Item 1 Execution system in generalCheck Point 1-1 Works Execution Programme (including its revised version if any) is

submitted before the date specified in contract document

Description:Works Execution Programme (WEP) shall not only be adequate but also submitted before the

date. This check point requires punctuality exclusively. It is the next check point 1-2 thatexamines adequacy of WEP.

Check timing and frequencyBefore commencement of the work. Only when the WEP needs to be revised, this check point

shall be examined again during execution period.

ReferenceClause14.1 in FIDIC1987

SSRBC Section1-106 Submissions to the engineer

Section 1-108 Method of construction

Case examplesThe case of giving corrective order)

1. WEP was not submitted before the due date.

2. Apparently insufficient WEP is submitted before the due date.

3. Correction and re-submission took time and could not be in time.

The case of giving grade a in evaluation)1. Despite unforeseen circumstances at the time of commencement, WEP was appropriately

changed to conform to the situation, and then promptly submitted to the Engineer.

Fig.2.4 Keep the due date


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Table 2.5.1.2

Item 1 Execution system in generalCheck Point 1-2 Works Execution Programme properly reflects the given specifications and site

conditions

Description:In order to achieve the required performances of road works, the Works Execution Programme

(WEP) shall conform to both the standard/special specifications and site conditions. Siteconditions are land terrain, climate, transportation, land use, and so on.

Check timing and frequencyBefore commencement of the work. Only when the WEP has been revised because of changes

of specifications and/or site conditions, this check point shall be examined again during

execution period.ReferenceSSRBC Section1-105 Order of Work

Case examplesThe case of giving corrective order in supervision check)

1. Descriptions of WEP do not reflect specification and site conditions.

The case of giving grade a in evaluation)1. WEP is ingenious to execute works on schedule, efficiently and safely.

2. Despite unforeseen circumstances at the time of commencement, WEP was appropriately

changed to conform to the situation.

Fig.2.5 Appropriate work program considering specification and site condition


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Table 2.5.1.3

Item 1 Execution system in generalCheck Point 1-3 Execution procedures are in accordance with Works Execution

Programme

Description:Works shall always be compared to Works Execution Programme (WEP) by the Contractor.

This check point focuses on execution procedure exclusively, while delay of the works can becaptured in Item 7 Work Scheduling. In the case that a different execution procedure needs tobe adopted because of changes of specifications and/or site conditions, the WEP shall also berevised.

Check timing and frequencyMonthly during execution of works.

ReferenceSSRBC Section1-104 ProgrammeCase examples(The case of giving corrective order supervision check)1. Works executed were not in accordance with WEP.

(The case of giving grade a in evaluation)1. Although a major change of the site condition brought revision of execution procedure on

WEP, works are executed in accordance with revised WEP.

Fig.2.6 Reflect planed work procedures to actual works

Signs Marking Guard-post Street Lighting

Backfill

Removal of detour

Surface course

Spreading Compaction

Binder course


Mobilization

Survey Plant Office

Earthwork

Excavation

Backfill

Earthwork

Removal of existing road

ReplacementSelected fill

Base course


Base Concrete

Precast

Installation

Earthwork


Spreading / Vibration

Earthwork

FillingCutting

Installation offorms & reinforcing

Casting concrete &Curing

Leveling concreteSubbase course

Drainage Works Earthwork Pavement Box culvert

FoundationSpreading Compaction

Construction of detour

Foundation

Earthwork


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Table 2.5.2.2Item 2 Equipment holding

Check Point 2-2 All equipment used is well maintained during the execution of works.Description:

It is preferable that all equipments are always serviceable, but it is unavoidable forequipments to have a problem, therefore it is also important for the contractor to have systemto handle the problems of equipment e.g. providing spare equipment and spare parts.


Reference

Case examples(The case of giving corrective order in supervision check)1. Some equipment is operated without maintenance and repair(The case of giving grade a in evaluation)1. Extra spare parts are available on site for all major key equipment.

2. The contractor has qualified mechanics (at least diploma level) on site.

Fig.2.7 Keep equipment in good condition


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Table 2.5.3.1Item 3 Contractors in-house staff

Check Point 3-1 Qualified technical supervisors are properly assigned as specified inWorks Execution Programme.

Description:The technical supervisor in contractor side shall meet specified qualification and experience

such that he/she has sufficient knowledge and ability for engineering judgement.


Reference

Case examples(The case of giving corrective order in supervision check)1. Assigned technical supervisor is not qualified as specified in WEP

(The case of giving grade a in evaluration)1. The Contractor has provided staff with more relevant experience than specified in the

contract document.

Fig. 2.8 Qualified technical supervisor should be assigned


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Check Point 3-3 Contractors in-house staffs give technical guidance and direction toworkers and operators properly and timely.

Description:In the course of works, many changes in the activities at site are bound to occur. It is the

responsibility of the Contractors in-house staff to tell workers and operators what activitiesare going to be implemented in the site with appropriate technical guidance. It is good to havedaily briefing in the morning with workers and operators to inform them of the days activitiesfor this purpose.

Check timing and frequency. Monthly during execution of works

Reference

Case examples(The case of giving corrective order in supervision check)1. Contractors in-house staff fails to give technical guidance and direction to workers and

operators.

(The case of grading a in evaluation)1. There is a close communication and coordination between teams of workers and operators

on the same site to execute different tasks simultaneously without any conflict.

Photo 2.3 Technical guidance and direction to workers


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Check Point 3-4 Communications with Authority in writing is proper and timely.Description:

Communication between the Contractor and Authority shall be adequate so that it facilitateswork progress in accordance with Works Execution Programme and adaptation to any changesin site conditions. This check point uses written format as an indicator to judge whether or notcommunication is adequate because it is always dated and can be used as evidence. Althoughthis check point uses communication in writing as the indicator, any kinds of communication(e.g., verbal, phone, email, and so on) shall be conducted properly and timely.

Check timing and frequencyMonthly during execution of works

Reference

Case examples(The case of giving corrective order in supervision check)1. The Contractor is giving unnecessary communications in writing.

(The case of giving grade a in evaluation)1. Communication is timely and adequate so that there is no delay in the work.

Fig.2.9 Proper and timely communication with Authority in written format


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Table 2.5.4.1Item 4 Personnel employment

Check Point 4-1 Workers and operators are deployed in accordance with WorksExecution Programme.

Description:The list of workers and operators shall be submitted as part of Works Execution Programme

(WEP). Supervisor shall check whether or not the contractor assigns workers/operators inaccordance with WEP. If the contractor employs subcontractors, this check item has to beapplied to workers/operators of subcontractors also.


Reference

Case examples(The case of giving corrective order in supervision check)1. Workers or operators who are not in the list of Work Execution Programme are assigned.

(The case of giving grade a in evaluation)1. The Contractor engages local sub-contractors for part of the works to develop their capacity

2. The Contractor employs people who reflect the face of Kenyan (from different communities)

3. For unskilled works, the Contractor employs majority of the local community.

4. The Contractor endeavours to have gender balance in employment as per the constitution.

Photo 2.4 Workers to assemble Reinforcing Bars


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Table 2.5.4.2Item 4 Personnel employment

Check Point 4-2 Wage payment is properly made in accordance with Works ExecutionProgramme.

Description:In order to check the contractors personnel management, wage payments to workers,

operators, and subcontractors shall be checked as part of cash flow.


Reference

Case examples(The case of giving corrective order in supervision check)1. Wage payment to workers, operators and subcontractors is as per minimum government

wage scale.

(The case of giving grade a in evaluation)1. There has been no strike or unrest with Contractors employees

2. The Contractor has provided social activities and welfare for his workers.

Fig.2.10 Proper wage payment to workers


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Table 2.5.5.1Item 5 Site base facilities

Check Point 5-1 Office and stockyard are prepared in accordance with Works ExecutionProgramme.

Description:Planning for site base facilities in Works execution programme should be organised to

satisfy the followings; 1) Location, 2) Capacity, 3) Efficiency, 4) Safety, 5) Environment.


Reference

Case examples(The case of giving corrective order in supervision check)1. Office and stockyard are not prepared in accordance with Work Execution Programme.

2. Area of stockyard is insufficient to execute works.

(The case of giving grade a in evaluation)1. Site base facilities are arranged in order to facilitate efficient work execution.

Photo 2.5 Stockyard of Reinforcing Bars


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Table 2.5.5.3Item 5 Site base facilities

Check Point 5-3 Material stored on site is properly managed during the work executionDescription:

Material stored on site shall be stored according to specified procedure during the executionso that it will neither deteriorate (e.g., corrosion of reinforcing bar) nor cause any safetyproblems (e.g., collapsing of material piled up).


ReferenceSSRBC Section 1-128 Storage of materials and manufactured articles

Case examples(The case of giving corrective order in supervision check)1. Materials are scattered around the site and it interferes with the passage of road users (See

photo).

2. Materials are left out in the open and deteriorated (e.g. corrosion of reinforcement, decaying

of backfilling materials)

(The case of giving grade a in evaluation)1. Management of material storage is excellent (e.g. protection and sign for materials on site,

consideration of proper timing to bring materials on site).

Photo 2.7 Materials are scattered around the site interfering the passage


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Table 2.5.6.1Item 6 Quality and quantity management

Check Point 6-1 Material testing, structural examination and measurements areproperly and routinely conducted based on specifications and WorksExecution Programme.Description:

This check point is to confirm that the Contractor conducts quality/quantity managementwithin the interval specified in Works Execution Programme (WEP).

It is also important to check whether or not the same material is really used for the works asqualified by the tests.


ReferenceSSRBC Section 2 Materials and testing of materials

Case examples(The case of giving corrective order in supervision check)1. Material testing, structural examination and measurements are not conducted based on

specifications and WEP.

2. Same materials qualified by the test are not used in the site.

(The case of giving grade a in evaluation)1. The Contractor has a quality and quantity management system.

2. The Contractor maintains its own laboratory for material testing.

Photo 2.8 Proper material testing and structural measurement


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Check Point 6-2 Results of material testing, structural examination and measurementsare within the specifications.

Description:This is to confirm that results of testing, examinations, and measurements are within the

specification. SSRBC shall be referred to about tolerances.


ReferenceSSRBC Section 2 Materials and testing of materials

SSRBC Section 3-302 Tolerances

Case examples(The case of giving corrective order in supervision check)1. Measurement results of quality and quantity are not within the tolerances.

(The case of giving grade a in evaluation)1. Not only that the results are within the specified values, but the contractor has a

management system in which statistical data of the result gives feedback to rationalise

management for quality and quantity control.

2. The Contractor is ISO certified.

Photo 2.9 Good measurement result of quality and quantity


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Check Point 6-3 Results of material testing, structural examination and measurementsare properly compiled as reports for confirmation.

Description:It is to check whether the results are compiled for recheck. Supervisor checks whether or not

the test results in documents or any record are available to be referred to. Since it is impossiblefor a supervisor to check all results of test, examination, and measurements, those results shallbe compiled so that supervisor can check when required.


ReferenceSSRBC Section 1-126 Materials and manufactured articles, 1-127 Information from

exploratory boring and test pits , 1-128 Materials and testing of materials , 1-129 Test

certificates

Case examples(The case of giving corrective order in supervision)1. Each report is not organized and compiled for confirmation.

2. The necessary reports are not available.

(The case of giving grade a in evaluation)1. Results are organised as statistical data in conjunction with target values and limitation

values in the reports.

2. The Contractor has a database of all test results for reference purpose.

3. The Contractor properly compiles photograph records for quality and quantity management

Photo 2.10 Photograph Record with White Board


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Table 2.5.7.1Item 7 Work scheduling

Check Point 7-1 Understanding of critical path and its reflection on scheduling is proper.Description:

The contractor shall make work schedule within the time frame in order to complete theworks within the contract term. It is important to understand critical paths in the work processand consider it in work schedule.

This check point asks both the whole scheduling in Works Execution Programme (WEP) andshort term scheduling (e.g., daily/weekly) to be made with understanding the critical path andreflection of it.


ReferenceWEP

Case examples(The case of giving corrective order in supervision check)1. Contractor doesnt understand critical path of the work schedule.

(The case of giving grade a in evaluation)1. Contractor predicts delays due to adverse conditions of weather, environment, material

procurement and put in place contingency plan.

Fig.2.11 Comprehension of critical path


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Check Point 7-2 Actual proceedings are periodically compared to the planned scheduledescribed in Works Execution Programme.

Description:It is very important for the contractor to compare the actual work progress with work

schedule by recording the work accomplished. This helps in progress management and indetermining whether works are within schedule. Preparation of accumulation curve givesindication of progress and expected date of completion. The below figure shows an example ofschedule management by bar chart for each work items and accumulation curve for the entirework.


Reference

Case examples(The case of giving corrective order in supervision check)1. Contractor does not compare planned schedule and actual proceedings.

(The case of giving grade a in evaluation)1. Contractor organizes the schedule and executes it for the early completion of the entire

project through predictions of each work through comparison between actual and planned work

progress.

Fig.2.12 Bar chart and accumulation curve for schedule management


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Check Point 7-3 Changes caused by site conditions are properly handled to keep theworks on schedule.

Description:Changes shall be handled properly so that impact on the schedule is minimized. Even the site

condition is considered in the drafting of Works Execution Programme (WEP), occasionally an

adverse event occurs. Such adverse events shall be adequately dealt with through consultation

with the Authority, and also reflected in WEP.


Reference

Case examples(The case of giving corrective order in supervision check)1.Contractor does not try to compensate delay of schedule caused by foreseen change of site

condition (e.g. climate, environment, and procurement of materials).(The case of giving grade a in evaluation)1. Regardless of unforeseen site conditions, contractor catches up the monthly target.


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Check Point 7-4 All works are completed within the contract term or within theextended term as allowed.

Description:This check point requires that all works are completed within the contract term or within the

extended time. It should be noted that most of check points other than this is for checkingcontractors execution system and process, however this check points requires the result oftimely completion because in itself can be a proof of good scheduling.

Check timing and frequencyWhen the works are completed

Reference

Case examples(The case of giving corrective order in supervision check)1. Contractor couldnt complete works within the due date without any reasonable cause.

(The case of giving grade a in evaluation)1. Regardless of unforeseen site conditions, contractor completes the work within the due date.


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Table 2.5.8.1Item 8 Work safety management

Check Point 8-1 No accident occurs to workers, operators and third-parties.Description:

It should be noted that most of check points other than this is for checking contractorsexecution system and process, considering the importance of safety, however, this check pointsrequires the result that no accident occurs to workers, operator, or third-parties. Not onlydamage on human, but if damage on property might have caused damage on human, suchincident shall also be regarded as an accident to be recorded for this check point.

Check timing and frequencyWhen the works are completed

ReferenceSSRBC Section 1-117 Health, Safety and Accidents

Case examples(The case of giving corrective order in supervision check)Types of accident to be recorded on the list are as follows;1) Injury of in-house staff, worker, operator, and those of subcontractor.2) Injury of third-party.3) Traffic accident of work related vehicle(s) and equipment(s).

(The case of giving grade a in evaluation)In addition to no accident on site workers, operators, and third-parties;

1. Contractors continuous awareness effort for accident prevention throughout execution

period brings safety consciousness to workers, operators, and even to residents surrounding

area.

2. The Contractor performs safety drills on the site periodically

3. The Contractor has a trained safety personnel attached to the site.


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Check Point 8-2 Safety of workers and operators is considered.Description:Supervisor shall check if the contractor takes necessary actions to prevent an accident. If there

is a cliff or a hole that people may fall down, barricade shall be set up, or at least indicated by

rope or tape. It is also important to prevent things from falling down onto people and/or

properties. A net shall be set to prevent such fallings.

1) Safety Gears

The workers and operators shall be well equipped for the safety. Wear helmets at least.

Wearing reflective vest is necessary when the work is done on the road.

2) Prevention of Fall Accidents

Fall accident is major in the civil works; the supervisor shall check how the workers are doing

their jobs if the works includes one in higher place. The worker shall wear safety belt and use

it properly. Scaffolding shall be strong enough for loads, equipped well to prevent fall accidents,

and firmly supported on the ground.

3) Safety of machinery in site

Operators of machinery shall make a clear sign to people around the machine for the safety.

When a crane is used, outrigger should be stretched fully to avoid overturn.

4) Safety instruction for less experience workers

It is also important for the site agent to instruct safety skills to workers with less experience.

Supervisor shall check if the contractor is conducting necessary safety education to its workers.

5) Preparedness against accidents and natural disasters




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Table 2.5.8.2 (Contd)

Check Point 8-2 Safety of workers and operators is considered.

Case examples(The case of giving corrective order in supervision check)1. Workers dont wear helmets and reflective vest.

2. Workers dont wear safety belt and use it properly.

3. Scaffolding is not strong enough for loads, equipped well to prevent fall accidents, and

firmly supported on the ground.

4. Sign of machinery is not clear to people around the machine for the safety.

5. Outrigger of the crane is not stretched fully to avoid overturn.

(The case of giving grade a in evaluation)1. Effort for keeping site safety is excellent (e.g. conducting toolbox meeting, safety

instruction for workers)

2. Not only the contractor provides workers safety gears but also it gives workers and

operators the instruction to how to use it through continuous safety awareness efforts.

3. The contractor not only makes effort for accident prevention, but also takes measures for

preparedness against accident and natural disaster

4. The contractor manages to minimise damage on the site when a severe natural disaster hit

the area.

Photo 2.11 Example Photo: Application of Do-nou (Sand bag) for safe passage for workers


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Check Point 8-3 Accident prevention efforts for third-parties are proper.Description:

The site agent shall take necessary action to prevent any accidents on third party. Thesupervisor shall check on how the contractor is managing the site, especially at places wherethird party come closer or even come into.


ReferenceSSRBC Section 1-118 Preservation and maintenance of fence and gates

Case examples(The case of giving corrective order in supervision check)1. Designation of work area is not clear so that the third party is able to get in.(The case of giving grade a in evaluation)1. Accident prevention efforts for third-parties are excellent (e.g. setting temporary fence or

barricade to designate the work area, setting ropes around the pit hole )

(a) Fence on the edge of slope (b)Rope around a hole

Photo 2.12 Preventions from Falling


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Check Point 8-4 Traffic and site safety devices are properly installed and managed.Description:

When works are conducted on or close to the carriageway, adequate measures should betaken to warn and protect road users and workers. Details of safety measures are proposed inChapter12 of RMM.

Check timing and frequencyAs-needed bases.

ReferenceRMM Chapter12 Safety methods for execution works

Case examples(The case of giving corrective order in supervision check)1. Installation of traffic and site safety devices is inadequate. (e.g. No traffic restriction, No

taper at approaches to the work area, No traffic controllers, etc)

(The case of giving grade a in evaluation)1. Distinct signs are well arranged and visible so that road users can get an extra cautious.

Fig. 2.12 Proper traffic control

measure for on works on carriageway

Photo 2.13 Sign of WORKS AHEAD


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Table 2.5.8.5

Item 8 Work safety managementCheck Point 8-5 Temporary facilities (e.g. scaffolding) are constantly checked.

Description:Temporary facilities affect safety very much during the execution period. The Contractor

shall check whether or not the facilities themselves are strong, they are fixed firmly on theground, and the ground has enough bearing capacity. This check point requires periodic andas-need basis checking of these features of temporary facilities.

Check timing and frequencyAs-needed basis


SSRBC Section 1-115(k) Construction GenerallyCase examples(The case of giving corrective order in supervision check)1. Contractor doesnt conduct periodical check of temporary facilities.

2. Contractor doesnt conduct checking of temporary facilities after any phenomenon.

Contractor shall conduct checks for temporally facilities constantly.

Photo is an example of form supports on a river. Several supports on the left are scoured and

hanging because of river flow. The area got much rain in the day before. Therefore, check

should be done not only periodically but also after major events such as collision, heavy rain,

and so on,

(The case of giving grade a in evaluation)1. The contractor checks safety of temporary facilities daily based on its own safety code.

Photo 2.14 Unstable scaffolding on a river after the heavy rain


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Table 2.5.9.1Item 9 Environmental and social management

Check Point 9-1 Environmental and social mitigation efforts (e.g. against noise,vibration, emission, and dust ) are conducted

Description:The contractor shall try to minimise pollutions and affections of those pollution onenvironment. If noise and/or vibration would be a problem by the works near residential area,it is preferable to choose low-noise/vibration machines for the work. If damage by dust ispredictable, the contractor shall consider water-spraying.


ReferenceSSRBC Section 1-115 (c) (d) Construction Generally

Case examples(The case of giving corrective order in supervision check)1. No mitigation effort for noise or dust is conducted at residential area.(The case of giving grade a in evaluation)1. The contractor employs eco-friendly machines (e.g. low-noise, low-vibration, low-emission

types) to prevent environmental nuisance.

2. The contractor takes a voluntary measure to mitigate social inconvenience during the work

execution.

Photo 2.15 Temporary pedestrian bridge along work site


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Check Point 9-2 Waste material generated from the site is properly disposedDescription:

The contractor shall properly dispose any waste that is generated in the site. This is toprevent any environmental problems such as air pollution and water pollution. Also the issueshall be checked whether or not the Contractor is committing illegal dumping.

Check timing and frequencyAs-needed basis

ReferenceSSRBC Section 1-115 (c) (d) Construction GenerallySSRBC Section 1-120 Protection of existing works and services

Case examples(The case of giving corrective order in supervision check)1. Waste materials generated from the site (e.g. soil, tree roots) is not disposed and left in the

site.

2. Waste materials are disposed to place which is not designated.

(The case of giving grade a in evaluation)1. The contractor disposes waste material in an eco-friendly manner, or put it into recycle

process.

Photo 2.16 Disposal of the waste


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Check Point 9-4 Transportation by vehicles is properly done with no overloading, andneither material falling, leakage, nor spillage.

Description:Work-related vehicles of the Contractor are required to follow the all relevant regulations to

prevent the overloading that may cause road damage along the transportation route. Alsogoods, material and waste material to be dumped out of the site shall be properly loaded andfastened to avoid falling, leakage or spillage during the transportation.

Check timing and frequencyMonthly during execution of work

Reference

Case examples(The case of giving corrective order in supervision check)1. Claim of overloading of work-related vehicles is reported.

(The case of giving grade a in evaluation)1. Contractor checks the weight of their trucks constantly.

2. The contractor instructs and periodically check transporters to obey the traffic regulations.

Photo 2.18 Check for Overloading on Weighbridge


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3. Contract Evaluation3.1 Application3.1.1 Purpose

The purpose of contract evaluation is to assess contractors performance by fair and

transparent methods after completion of works. The result of evaluation is given in the form of

grade and numerical score that is stored in the database for future reference and use where the

contractor has access to the same. All the contracted road works are subject to evaluation using

the same procedures specified in this chapter. This makes database objective and reliable.

3.1.2 EvaluatorsContract evaluation is basically conducted by three evaluators in order to avoid arbitrary

grading and scoring. As shown in Table 3.1, evaluators are assigned according to the subject of

auditing and contract size. And Fig.3.1 is a flow chart for assignment of the third evaluator.

(1) Resident EngineerAssigned Resident Engineer evaluates work deliveries by close supervision during the contract

period.

(2) The Engineers Representative (ER)It is the original idea that second evaluator's role should be played by the Engineer because

The Engineer is obligated to be the most important person in the supervision who reassesses the

supervision results by Resident Engineer and can evaluate the Contractor's performance with

comprehensive point of view. However, taking into consideration of the large number of road

works, this manual specifies the role can be played by the Engineer's Representative.(3) Quality Assurance Office (QAO) or Inspection and Acceptance Committee (IAC)

QAO/IAC evaluates the works as third evaluator with independent point of view.Composition of members of IAC is regulated in clause No.17 of the public procurement and

disposal regulations 2006. In that case IAC chairperson checks and endorses the evaluation done

by IAC. If the authority does not have Quality assurance office, third party evaluation is

conducted solely by IAC.

(4) Temporary Assignment for the Third evaluatorSince current function of QAO is a technical auditing of selected number of contracts, assigning

the independent evaluators role solely on QAO is difficult. For the moment IAC, which is

organized for every contract at the completion and includes other members rather than Resident

Engineer and The Engineer, plays QAOs role if the contract is not subject to be audited. This is a

temporary measure and when the independent technical inspection office is established in the

Authority, it shall have the whole responsibility for this evaluation.


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Table3.1 Temporary Evaluators Assignment

CaseContract isaudited by

QAO*Contact Sum

Evaluators

ResidentEngineer

The Engineer QAO/IAC(The third Evaluator)

1 Yes N/AResidentEngineer

EngineersRepresentative

QAO

2 NoGreater than

500,000.00KshResidentEngineer

EngineersRepresentative

IAC

3 No Smaller than500,000.00Ksh

ResidentEngineer

ResidentEngineer

ResidentEngineer

*QAO ; Quality Assurance Office, IAC ; Inspection and Acceptance Committee

Fig. 3.1 Flowchart for Assignment of the Third Evaluator

3.1.3 Evaluation timing(1) Resident Engineer

RE evaluates right after the completion of the works.

(2) The Engineers Representative (ER)ER evaluates after the evaluation by RE.

(3) Quality Assurance Office (QAO)In the case that QAO evaluates, the office conducts evaluation right after the completion of the

works.

(4) Inspection and Acceptance Committee (IAC)For IAC, Substantial Completion Meeting is the most appropriate timing for evaluation. At the

meeting all necessary information and documents for evaluation are available and the evaluators

ContractisauditedbyQAO

YES NO

Contractsumisover 500,000 Ksh

QAO evaluates ResidentEngineer

evaluatesIACevaluates

NOYES


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can observe the site for close checks. However, IAC shall ask the Contractor to get out of the

meeting venue during the evaluation in order to avoid the influence by the Contractor.

3.2 Evaluation procedures3.2.1 Overall procedures(1) Organisational Scheme

Organisational scheme of evaluation is shown in Fig.3.2.

1) The contractor submits Works execution programme (WEP) before the commencement of the

work.

2) Resident Engineer (RE) checks the contractors execution system using Supervision Check List

(SCL) in terms of compliance with WEP.

3) RE checks quality and finished works dimension based on reports from the Contractor.

4) RE evaluates nine items and puts the results on Grading Sheet for the Resident Engineer

whose example is shown in Table 3.7.

5) The Grading Sheet is shown to The Engineers Representative (ER)

6) ER evaluates five items and two items for bonus and penalty. ER puts the results on Grading

Sheet for the Engineers Representative whose example is shown in Table 3.7.

7) Quality Assurance Office (QAO) or Inspection and Acceptance Committee (IAC) evaluates two

items in CETS. Evaluations are done using Grading Sheet for Quality Assurance Office / Inspection

and Acceptance Committee whose example is shown in Table 3.9(a) (c).

8) Grading results by three evaluators are input on Contract Evaluation Tally Sheet so that the score is

calculated.


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Fig 3.2 Organizational Chart for Contract Evaluation

(2) Evaluation ProcedureEvaluation procedure is shown in Fig 3.3 for each process after the end of execution period.

These processes shall be conducted according to the flaw chart.

RoadAuthority

ResidentEngineerContractor

Supervision

ReportTesting&Measurement

QualityandQuantityCheckthe

Compliance

withWEP

Quality/QuantityCheck&Confirm

SupervisionCheckList

Contractors selfmanagement

Supervision

Contract Evaluation

Documentation

WorksExecutionProgramme

Grading

(Chapter3.4)

ExecutionSystem in

General

EquipmentHolding

InhouseStaff

PersonnelEmployment

SiteBaseFacilities

QualityandQuantity

Management

WorkScheduling

WorkSafetyManagement

Environmental andSocial

Management

CheckExecutionSystem

Worksonsite

1)

2)

3)

4)

ScoringonContractEvaluationTallySheet

QualityAssuranceOffice/InspectionandAcceptanceCommittee

Grading

(Chapter3.6)

ExecutionSysteminGeneral

QualityandQuantity

management

TheEngineer'sRepresentative

Grading

(Chapter3.5)

EquipmentHoliding

InhouseStaff

PersonnelEmployment

WorkScheduling

WorkSafetyManagement

Environmental andSocial

Management

InnovationEffort

CompliancewithStatutory

Requirement

5)

6)

7)

8)

Evaluator


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Fig 3.3 Contract Evaluation Procedure

Necessity for ScoreCorrrection?

Grading by The Engineer'sRepresentative (3.5)

Contract Evaluation Scoring (3.8.1)

Yes

No

Gradingby Quality Assurance Office /Inspection and Acceptance Committee

(3.6)

Grading by Resident Engineer (3.4)

Supervsion

The Engineer's approval

Notificationof scores to the Contractor(3.8.2)

Issue of Taking Over Certificate

Score Database (3.8.3)

14 days

ReferenceFlow Chart

Example : Table 3.5Grading Sheet for theResident Engineer

Example : Table 3.7Grading Sheet for theEngineers Representative

Example : Table 3.9 (a-c)Grading Sheet for Quality

Assurance Office / Inspectionand Acceptance Committee

Example : Table 3.12 ContractEvaluation Tally Sheet

(Signing on ContractEvaluation Tally Sheet andNotification)

Template : G. Notification ofscoring of contract evaluation

Datbase in MoR/KRB

Template : H. Taking OverCertificate

Template : I. DatabaseFormat

Substantial CompletionMeeting


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3.2.2 Grading(1) Definition of grade and basic score

Evaluation results are expressed in five grades as shown in Table 3.2. Basic score is given for

each grade; the scores cannot be intermediate values between basic scores. Hereafter in this

manual, the word grade is used for determination of grades a, b, c, d, or e in a part of

evaluation process.

It should be noted that grading is to be conducted strictly in accordance with Table 3.3 and

Section 3.4 to 3.6. This means that grading shall be done by neither intuition by the words like

Very good, Good, or Very poor nor any percentages implied from Basic Scores of 10.0, 7.5,

5.0, 2.5, or 0.0.

Table 3.2 Grade and Basic Score

Gradea

(Very good)

b

(Good)

c

(Fair)

d

(Poor)

e

(Very poor)

Basic Score 10.0 7.5 5.0 2.5 0.0

(2) Grading CriteriaDetermining grade which corresponds to the level of contractors performance is the core part

of the evaluation process. Table 3.3 summarizes the grading criteria. Detailed procedures are

described in Chapter 3.4 to 3.6 by type of evaluator.


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Table3.3Gradin

gCriteriaonContractEvaluation

Grade

a

b

c

d

e

GradingFlowChart

Excellentperformanceis

presentedforthe

evaluationitemsspecified

in3.4.1.

Examplesofexcellent

performanceareindecated

inTable2.5.1.1-2.5.9.4

Theworkexecutedis

satisfactory,butno

excellentpeformanceis

presentedforthe


in3.4.1.

TheCon

tractorcomplies

withthe

orderwithinthe

contract

period.

TheContractorcom

plies

withtheorderwithin

the

contractperiod.How

ever

correctionsarepoor.

TheContractordoesnot

complywithitduringthe

contractperiod

Grade

a

-

c

-

e

GradingFlowChart

Remarkableeffortismade

fortheevaluationitems

specifiedin3.5.1.

Effortis

madeinaverage

sensefortheevaluation

itemsspecifiedin3.5.1.

Effortisinsufficientfor

theevaluationitems

specifiedin3.5.1.

1.REevaluates"a"

OR

2.REevaluates"b,c,or

d",however,ERfindsa

remarkableeffortbythe

Contractor

Grade

a

b

c

d

e

GradingFlowChart

Rateofcompliancewith

requirementsin3.6.2is

verygoodforthe

evaluationitemsin3.6.1.



goodfortheevaluation

itemsin3.6.1.


requirem

entsin3.6.2is

fairfortheevaluation

itemsin

3.6.1.



poorfortheevaluation

itemsin3.6.1.



verypoorforthe

evaluationitemsin3.6.1.

Fig.3.5

-

REevaluates"b,c,ord",

andERdoesnotfindany

remarkableeffortsbythe

Contractor

REevaluates"e"

Residen

tEngineer

(

RE)

TheE

ngineer's

Repre

sentative

(

ER)

Quality

Assurance

Offic

e(QAO)

/

Inspectionand

AcceptanceCommittee

(IAC)

Fig.3.3

Fig.3.4

Nocorrectiveorderismade

Correctiveorderis

made

-


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3.3 Evaluation itemsThere are 11 items for evaluation. Note that evaluation items 1 to 9 are identical to the items

in Supervision Check List (SCL). Each evaluation item contains one or two sub-items. Not all

sub-items are to be evaluated by each evaluator; sub-items to be evaluated are varied by scales ofthe works as shown in Table 3.4.

The definition of scales of the works is the same as in 2.3.2; Large scale work is a project by

Class A, B, C, and D company, Small scale work is a project by Class E and under company, and

Labour-based work is a project under the Roads 2000 scheme.

Table 3.4 Evaluation Items

**L S Lb L S Lb L S Lb

Work procedues are in accordance with Works

Execution Programme that properly reflects given

conditions.

--- --- --- --- --- ---

Overall execution system is confirmed to be proper

during audit or Substantial completion meeting--- --- --- --- --- ---

2. Equipment holdingAll equipments used in the works are mobilised properly

and well-maintained --- --- --- --- ---

3. Contractor's In-house

staff

The qualified technical engineers and in-house staffs are

assigned --- --- --- --- ---

4. Personnel

employment

Reasonable number of skilled workers/operators is

properly employed by the contractor --- --- --- ---

5. Site base facilitiesSite facilities are properly prepared, maintained during

execution, and cleared on completion. --- --- --- --- --- --- ---

Material testing, structural examination, and

measurements are properly and routinely conducted.

Results are within the specifications and compiled for

checking.

--- --- --- --- --- ---

Measured parametres are within the specification with

proper workmanship--- --- --- --- --- ---

7. Work scheduling Work has been progressed and completed as planned --- --- --- --- ---

8. Work safety

management

Necessary measures are taken for safety of workers,

operators, and third party. No serious accident occurrs

during the contract period.

--- --- ---

9. Environmental and

social management

Environmental and social issues caused by the works

are minimized and mitigated properly --- --- ---

10.Innovation effortInnovation effort is made by using new materials, new

technology, process rationalization, etc.--- --- --- --- --- --- --- --- Bonus

--- --- --- --- --- --- Penalty

*RE;Resident Engineer, ER;Engineer's Represenmtative, QAO;Quality Assurance Office, and IAC;Inspection and Acceptance Committee (IAC)

**L;Large Scale Work (Class A - D), S;Small Scale Work(Class E and Under), and Lb;Labour Based Work

Note

Grading

QAO/IAC

1. Execution System in

General

6. Quality and quantity

management

11. Compliance with statutory requirements

Item Description

*RE ER


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3.4 Evaluation by Resident Engineer3.4.1 Evaluation items

The Resident Engineer (RE) shall evaluate all items that are identical to the items on

Supervision Check List (SCL) since he/she inspects all aspects of work on a daily basis through

site inspectors.

1. Execution System in General

Work procedures are in accordance with Works Execution Programme that properly

reflects given conditions.

2. Equipment holding

3. In-house staff

4. Personnel employment

5. Site base facilities6. Quality and quantity management

Material testing, structural examination, and measurements are properly and

routinely conducted. Results are within the specifications and compiled for checking.

7. Work scheduling

8. Work safety management

9. Environmental and social management

Note that 2. Equipment holding and 5. Site base facilities are not evaluated in the contract

of labour based works (See Table 3.4).

3.4.2 Grading criteria(1) General

Evaluation by RE is based on daily reports (site diary) and SCL and other written records.

With those documents, RE checks the issuance of written corrective order by the Authority and

contractors compliance with the order, and identifies the existence of excellence performances.

Grades are given as shown in Fig3.3 according to those evaluation results by item by item.


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Fig. 3.3 Grading Flow Chart for Resident Engineer

(2) Grading aWhen RE gives grade a, the RE shall specify the reason of excellent performance presented

by the Contractor. Examples of such excellent performances are shown in the Table 2.5.1.1

2.5.9.4 in 2.5..

3.4.3 Evaluation SheetRE shall use grading sheet whose template is shown in A.5.1. Table 3.5 is a sample of the

grading on the sheet. Since the Engineers Representative (ER) grades based on REs grading, RE

shall show the results on Table 3.5 to the ER.

d

e

Issuanceofcorrectiveorder

TheContractorcompliesthe

order?


presented?

Correctionmadeisfairor

good?a b

c

YES

YES

YESYES

NO

NO

NONO


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Table 3.5 Grading Sheet for the Resident Engineer (Example)

Project Title: Date: 21/08/2012

Resident Engineer : AAAA BBBB Signature:

Comment :

*L S Lb

1. Execution System

in General

Work procedures are in accordance with Works

Execution Programme that properly reflects given

conditions.

a b c d e

2. Equipment

holding

All equipments used in the works are mobilised

properly and well-maintained -- a b c d e

3. Contractor's In-

house staff

The qualified techn ical engineers and in-house

staffs are assigned a b c d e4. Personnel

employment

Reasonable number of skilled workers/operators is

properly employed by the cont ractor a b c d e

5. Site base

facilities

Site facilities are properly prepared, maintained

during execution, and cleared on completion. -- a b c d e

6. Quality and

quantity

management

Material testing, structural examination, and

measurements are properly and routinely

conducted . Results are within the specifications

and compiled for checking.

a b c d e

7. Work schedulingWork has been progress ed and completed as

planned a b c d e

Sophisticated work procedure

(Check point 7-1)

8. Work safety

management

Necess ary measures are taken for safety of

workers, operators, and third party. No serious

accident occurs during the contract period.

a b c d eSafety gears were not enough .

Contractor did not complied (Check

point 8-2)

9. Environmental

and social

management

Environmental and social issues caused by the

works are minimized and mitigated properly a b c d e overloading twice

Grading Criteria

AAAA BBBB

Descriptions

*L;Large Scale Work (Class A - D), S;Small Scale Work(Class E and Under), and Lb;Labour Based Work

ContractEvaluationGradingSheetforResidentEngineer

Repair and Resealing of N - G Road (C##)

Scale of WorkGrade Note

(Record on Supervision Check List)Items

a b c d e


presentedforthe


in 3.4.1.

Examples ofexcellent

performanceareindecated

in Table2.5.1.1 2.5.9.4

Theworkexecutedis

satisfactory,butno

excellentpeformanceis

presentedforthe


in 3.4.1.

TheContractorcomplies

withtheorderwithinthe

contractperiod.

TheContractorcomplies

withtheorderwithinthe

contractperiod.However

correctionsarepoor.

TheContractordoes not

complywithitduringthe

contractperiod

Nocorrectiveorderis made Correctiveorderis made

d

e

Issuanceofcorrectiveorder

TheContractorcompliesthe

order?


presented?

Correctionmadeisfairor

good?a b

c

YES

YES

YESYES

NO

NO

NONO


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3.5 Evaluation by the Engineers Representative3.5.1 Evaluation items

The Engineers Representative is responsible for overseeing contracts general performances

from many aspects. The Engineers Representative (ER) evaluates the following common items;

(1) Grading2. Equipment holding

3. In-house staff

4. Personnel employment

7. Work scheduling

8. Work safety management

9. Environmental and social management

(2) Bonus/Penalty10. Innovation effort

11. Compliance with statutory requirement

(3) Variation of items by scale of the worksSet of evaluation items varies by scales of the works as shown in Table-3.4. The definition of

the scale of works is written in 3.3. Grading items 2, 3, 4 and 7 are evaluated or not evaluated

depending on scale of a work. Grading items 8 and 9 are evaluated in either scale of works. Item

10 for bonus is evaluated for large scale works only, while Item11 for penalty are evaluated in

either scale of works.

3.5.2 Grading criteria(1) General

Since the ER does not follow the daily situation of the contract, the evaluation basically relies

on the grading results by Resident Engineer (RE) and his/her comprehensive examination by

using occasional site checks at monthly progress meetings. Especially The ER shall focus on

identifying the unforeseen difficulties during the work execution and outstanding outcomes of

finished works.

As shown in the Fig.3.4, if RE chooses grades a or e, The ER gives the same grade

automatically. Otherwise The ER normally gives grade c. In case The ER identifies that the

Contractor overcomes unforeseen difficulties or makes an outstanding achievement during the

execution or in the finished works, grade a can be gi