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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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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
3.5.1 Evaluation items 63
3.5.2 Grading criteria 63
3.5.3 Bonus/Penalty 67
3.5.4 Grading sheet 68
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3.6 Evaluation by Quality Assurance Office / Inspection and Acceptance committee 70
3.6.1 Evaluation items 70
3.6.2 Grading criteria 70
3.6.3 Grading sheet 75
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
Spreading Compaction
Mobilization
Survey Plant Office
Earthwork
Excavation
Backfill
Earthwork
Removal of existing road
ReplacementSelected fill
Base course
Spreading Compaction
Base Concrete
Precast
Installation
Earthwork
Spreading Compaction
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.
Check timing and frequencyMonthly during execution of works.
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.
Check timing and frequencyMonthly during execution of works.
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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Table 2.5.3.3Item 3 Contractors in-house staff
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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Table 2.5.3.4Item 3 Contractors in-house staff
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.
Check timing and frequencyMonthly during execution of works.
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.
Check timing and frequencyMonthly during execution of works
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.
Check timing and frequencyMonthly during execution of works
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).
Check timing and frequencyMonthly during execution of works
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.
Check timing and frequencyMonthly during execution of works
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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Table 2.5.6.2Item 6 Quality and quantity management
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.
Check timing and frequencyMonthly during execution of works
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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Table 2.5.6.3Item 6 Quality and quantity management
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.
Check timing and frequencyMonthly during execution of works
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.
Check timing and frequencyMonthly during execution of works
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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Table 2.5.7.2Item 7 Work scheduling
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.
Check timing and frequencyMonthly during execution of works
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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Table 2.5.7.3Item 7 Work scheduling
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.
Check timing and frequencyMonthly during execution of works
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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Table 2.5.7.4Item 7 Work scheduling
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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Table 2.5.8.2Item 8 Work safety management
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
Check timing and frequencyMonthly during execution of works
ReferenceSSRBC Section 1-117 Health, Safety and Accidents
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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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Table 2.5.8.3Item 8 Work safety management
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.
Check timing and frequencyMonthly during execution of works
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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Table 2.5.8.4Item 8 Work safety management
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
ReferenceSSRBC Section 1-117 Health, Safety and Accidents
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.
Check timing and frequencyMonthly during execution of works
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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Table 2.5.9.2Item 9 Environmental and social management
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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Table 2.5.9.4Item 9 Environmental and social management
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
evaluationitemsspecified
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.
Rateofcompliancewith
requirementsin3.6.2is
goodfortheevaluation
itemsin3.6.1.
Rateofcompliancewith
requirem
entsin3.6.2is
fairfortheevaluation
itemsin
3.6.1.
Rateofcompliancewith
requirementsin3.6.2is
poorfortheevaluation
itemsin3.6.1.
Rateofcompliancewith
requirementsin3.6.2is
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?
Excellentperformanceis
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
Excellentperformanceis
presentedforthe
evaluationitemsspecified
in 3.4.1.
Examples ofexcellent
performanceareindecated
in Table2.5.1.1 2.5.9.4
Theworkexecutedis
satisfactory,butno
excellentpeformanceis
presentedforthe
evaluationitemsspecified
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?
Excellentperformanceis
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