Supervision Manual

REPBULIC OF KENYA
MINISTRY OF ROADS
Supervision and Contract Evaluation Manual for Road Works
November, 2012
in association with
JAPAN INTERNATIONAL COOPERATION AGENCY
Strengthening of Capacity on Road Maintenance Management through Contracting
SupervisionandContractEvaluationManualforRoadWorks
FOREWORD
(One page for foreword)
Table of Contents
Abbreviations and Acronyms
1. Introduction 1.1 Supervision and contract evaluation system 1.2 Application of the Manual 2. Supervision 2.1 Supervisors 2.2 Supervision stages 2.3 Works execution programme 2.3.1 Purpose 2.3.2 Contents 2.3.3 Authorization procedures 2.4 Supervision Check List 2.4.1 Purpose 2.4.2 List Composition 2.4.3 Procedures 2.5 Check Points 3. Contract Evaluation 3.1 Application 3.1.1 Purpose 3.1.2 Evaluators 3.1.3 Evaluation timing 3.2 Evaluation procedures 3.3.1 Overall procedures 3.3.2 Grading 3.3 Evaluation items 3.4 Evaluation by Resident Engineer 3.4.1 Evaluation items 3.4.2 Grading criteria 3.4.3 Grading sheet 3.5 Evaluation by Engineers Representative 3.5.1 Evaluation items 3.5.2 Grading criteria 3.5.3 Bonus/Penalty 3.5.4 Grading sheet 5 6 8 8 8 10 10 11 14 14 14 14 18 20 52 52 52 52 53 54 54 57 59 60 60 60 61 63 63 63 67 68
3.6 Evaluation by Quality Assurance Office / Inspection and Acceptance committee 3.6.1 Evaluation items 3.6.2 Grading criteria 3.6.3 Grading sheet 3.7 Weighting 3.7.1 Concept of weighting 3.7.2 Weight application for scoring 3.7.4 Inter-item weight 3.7.5 Weight by evaluator 3.7.6 Weight change 3.8 Contract evaluation scoring 3.8.1 Contract Evaluation Tally Sheet 3.8.2 Notification of Scores 3.8.3 Score database Appendix A. Incorporating in Tender and Contract Document for Application of the Manual B. Work execution programme template C. Daily report sample D. Monthly Progress Report templates (Supervision check list) E. Report for Substantial Completion Meeting F. Contract evaluation tally sheet F.1 Contract Evaluation Grading Sheet for Resident Engineer F.2 Contract Evaluation Grading Sheet for the Engineer's Representative F.3 Contract Evaluation Grading Sheet for QAO/IAC F.4 Contract Evaluation Tally Sheet (Large scale work) F.5 Contract Evaluation Tally Sheet (Small scale work) F.6 Contract Evaluation Tally Sheet (Labour-based work) G. Notification of scoring of contract evaluation H. Taking Over Certificate I. Database Format I.1 Contract Evaluation Database Format in Authority I.2 Integrated Contract Evaluation Database Format
70 70 70 75 79 79 79 79 80 80 80 80 83 83 86 87 88 102 103 112 121 122 123 122 124 127 128 129 130 133 134 134 135
Abbreviations and Acronyms ARWP CETS ER FIDIC IAC JICA KeNHA KeRRA KNBS KRB KURA KWS M&T MOR MOTC PPOA RE RMM RMMS SCL SSRBC QAO WEP Annual Road Works Programme Contract Evaluation Tally Sheet Engineers Representative Federation Internationale des Ingenieurs-Conseils Inspection and Acceptance Committee Japan International Cooperation Agency Kenya National Highways Authority Kenya Rural Roads Authority Kenya National Bureau of Statistics Kenya Roads Board Kenya Urban Roads Authority Kenya Wildlife Service Material and Testing Department, Ministry of Roads Ministry of Roads Ministry of Transport and Communication Public Procurement Oversight Authority Resident Engineer Road Maintenance Manual, May 2010 Road Maintenance Management System Supervision Check List Standard Specification for Road and Bridge Construction, 1986 Quality Assurance Office Works Execution Programme
1. Introduction 1.1 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.
Database ManagementStages
Tendering Tendering
Supervision
CheckPointsand EvaluationItems
Equipments Staff
Contract Evaluation
Quality/Quantity Scheduling CheckList Safety

Environmental/Social Issues
Fig.1.1 General Concept of Supervision and Contract Evaluation System
(2) Operational Procedure Operational 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 are stored in a database.
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.
Procure ment
Launching Stage
ExecutionStage
Conclusion Stage
Next Procure ment
Authority
SupervisionCheckList
Score
Check & Record
Contract Evaluation Grading/Scoring
Score
Work
Submission
Check & Record
Finished Product
Evaluation
WorksExecutionProgramme
Contractor
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 documents This 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 Manual Planning Manual for Preparation of the Annual Road Works Programme (ARWP) by Road Agencies, Kenya Roads Board, February 2010
Road Design Manual, MoTC Road Safety Audit, 2009 (4) Documentation The 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.
Comparison Work Appraisal Works Execution Programme
Compliance with Corrective Order
Site Diary (Daily Report)
Monthly Progress Reports (SCL)
Substantial Completion Certificate
Contract Evaluation
Notification of Scoring
RMMS
Taking Over Certificate
Score Database
Fig.1.3 Documents used in the Process
2. Supervision 2.1 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 Engineer Based 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 Representative The 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 Office Targeting 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 Committee Inspection 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 stages Figure 2.1 summarizes the process of supervision. (1) Order to Commence The Engineer issues an order to commence (2) Submission of Works Execution Programme i. Contractor shall submit the WEP by the time that was specified in the contract documents (see Chapter 2.3) ii. Submission of performance guarantee shall be within the period stated in the Appendix to contract for the date from the award of the Authority (the same applied to performance guarantee guarantees where applicable).
Order to Commence
Submission of WEP
Approval Yes Commencement of Works
No
Daily Inspection
Issuance of Corrective Order No Monthly Inspection / SCL
Yes
Monthly Progress Meeting
Compliance with WEP Yes Substantial Completion Meeting
Resolution by Regular meeting No Management Meeting
Yes
No
Compliance with WEP and Specifications
Yes Contract Evaluation
Fig 2.1 Supervision process
(3) Commencement of Work / Site possession Contractor 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 order Corrective 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.
(6) Monthly Inspection Resident 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 meeting Management 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 Programme 2.3.1 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 as planned. The Authority should carefully examine the contents of WEP and confirm the adequacy of WEP through comparisons with standard/special specifications and relevant documents before approval. 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 Contents The 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

Scale of Works Item Large Scale Work (Class A D) Small Scale Work (Class E and under) Labour-based Work
(1) (2) (3) (4) (5) (6) (7) (8) (9) (10) (11)
General information Work execution schedule Method Statement Personnel management plan (Inhouse and subcontractor staff) Equipment management plan Mobilization management plan Safety management plan Environmental management plan Quality control plan Quantity control plan Photograph plan and social
:For small scale and labour based works, the Engineer shall instruct the items to be submitted by Contractor
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(1) General information 1) 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 schedule 1) 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 statement Work 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 plan 1) 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 plan Contractor 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 plan Compliance 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 plan When 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 plan Material and structural test methods, test laboratory, test frequency, standard values The relevant clause on quality in SSRBC should also be incorporated. (10) Photograph plan The 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 Considerations 2.3) Road Maintenance Manual, pp.10-1 to 10-2 Chapter 10, REPORTING OF EXECUTION PLAN 2.4) 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) Approval The 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) Revision When 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 a written 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, pp1.1 2.6) Clause7.3, FIDIC1987
2.4 Supervision Check List 2.4.1 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 Composition The followings are components of SCL. Its format is shown in Appendix D.5.2. Table 2.2 is an example. (1) Check point Points 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.
14
(2) Checking The 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) Remarks Remarks 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.
15
Table-2.2(a) Supervision Check List
Supervision Check List (1/2)

Date
The Engineer's Representative (Project Engineer) 21 May 12 AAAABBBB
Name
Signature
Project Title:
RepairandResealingofNGRoad(C##)
@@@@@Construction Co.Ltd.
Resident Engineer 17 May 12 CCCCDDDD
Contractor:
AAAA BBBB CCCC DDDD
1. This check list is for Resident Engineer to check contractor's work execution process. 2. Fill in date of checking as (day/month), mark as indicated in Filling Example, and state remarks. 3. Put this check list in the Monthly Progress Report.
before
During execution
after
17May
Remarks
Reason for unsatisfactory performance (Site diary No.) Corrective order by authority (Date) Excellent point to be specified Contractor could not submit WEP before the commencement date (Corrective Order 16/10/2011) WEP was submitted on 01/11/2011 and approved on 04/11/2011.
Item
04Oct 08Nov 08Dec 25Jan 08Mar 12Apr
Check Point
/ / /
Date Date Date Date Date Date Date Date Date Date
Execution system in general

1-1
Works Execution Programme (including its revised version if any) is submitted before the date specified in contract document
1-2

Works Execution Programme properly reflects the given specifications and site conditions
Modification is needed for WEP because of flood in February (Site Diary 16/02/2012) The Contractor could not modify it by 08 March. Modified WEP was approved on 05/04/2012. The Contractor started making the second stock yard which is not planned in WEP (Corrective Order 18/02/2012) Asphalt Cutters were not mobilised in Site (Corrective Order on 02/12/2012). Enough numbers of Asphalt cutters are not mobilised in Site (C.O. on 18/01/2012). Contractor's broke down backhoe is left out of Site without repairing (Corrective Order on 12/03/2012).
1-3

Execution procedures are in accordance with Works Execution Programme
Equipment holding

2-1
All equipment used are properly mobilized in accordance with Works Execution Programme
2-2

All equipment used is well maintained during the execution of works
16

Contractor's inhouse staff
3-1
Qualified technical staff of contractor are properly assigned as specified in Works Execution Programme
The Site Agent quitted the job on 16/04 and Successor has not been assigned yet (Corrective Order 10/05/2012).
3-2
Contractor's in-house key staff understand work process and schedule properly
3-3
Contractor's in-house staff give technical guidance and direction to workers and operators properly and timely
The Contractor have a short meeting between in-house staffs and workers/operators in every morning so that they can share the day's programme (Site Diary 01/11/2011, Confirmed 17/05/2012).
3-4
Communications with authority in writing is properly and timely
Personnel employment
4-1
Workers and operators are deployed in accordance with Works Execution Programme
4-2
Wage payment is properly made on time
Wage payment for the subcontractor had been stopped since February. Workers made demonstration in front of the Regional Office (Site Diary 06/04/2012, Corrective Order on 16/03, 14/04, 13/05/2012) The Contractor started making the second stock yard which is not planned in WEP (Corrective Order 18/02/2012)
Site base facilities
5-1
Office and stockyard are prepared in accordance with Works Execution Programme
Borrow pits have not been reinstated (Corrective Order on 10/05/2012).
5-2
Site is well maintained during the work execution and cleared on completion
5-3
Material stored on site is properly managed during the work execution
Stock yard has not been made while material is brought to Site (Corrective Order on 01/11/2011).
Quality and quantity management
6-1
Material testing, structural examination, and measurements are properly and routinely conducted based on specifications and Works Execution Programme
Filling Example : Check point is satisfactory
Check point is unsatisfactory
N/A Not applicable
Table-2.2(b) Supervision Check List

Signature
Project Title:
RepairandResealingofNGRoad(C##)
@@@@@ConstructionCo.Ltd.
Resident Engineer
Contractor:
The Engineer's Representative (Project Engineer)
AAAA BBBB CCCC DDDD
before
During execution
after
17May
Remarks
Reason for unsatisfactory performance (Site diary No.) Corrective order by authority (Date) Excellent point to be specified
Item
04Oct 08Nov 08Dec 25Jan 08Mar 12Apr
Check Point / / /
6 Quality and quantity management

6-2
Results of material testing, structural examination and measurements are within the specifications.
6-3
Results of material testing, structural examination, and measurements are properly compiled as reports for confirmation

7 Work scheduling
7-1
Understanding of critical path and its reflection on scheduling are proper
The Contractor divided the site into five segments. Works in each segment are conducted in optimised order by sophisticated method (Site Diary on 25/01, 04/04/2012).
7-2

Actual proceedings are periodically compared to the planned schedule described in Works Execution Programme

Changes on site terrain caused by Flood in March brought delays on the work scheduling (Site Diary ).
7-3
Changes caused by site conditions are properly handled to keep Works on schedule
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N/A N/A
7-4
All works are completed within the contract term or within the extended term as allowed
8 Work safety management
8-1
No accident occurs to workers, operators, or third-parties.
8-2
Safety of workers and operators is considered
8-3
Accident prevention efforts for third-parties are proper
Safety Gears are not supplied to the workers/operators (Corrective Order on 30/10/2011). Enough numbers of safety gears are not yet supplied (C.O. on 28/11/2011) The Contractor erects signs and barricade which caution people on the work areas in order to avoid accidents.
The Contractor's purchase for safety devices is not made properly (Site diary 01/11/2012. Corrective Order 16/12/2011)
8-4
Traffic and site safety devices are properly installed and managed
8-5
Temporary facilities (e.g. scaffolding) are constantly checked
N/A during November and December because there is no temporary facilities until structural works start in January 2012 Backfilling has not been done for a pit hole that currently appear like a pond. It is a potential risk for the community to draw and mosquito bites (Corrective order 28/04/2012) Bituminous waste was left on road side for a month (Corrective Order 22/11/2012)
9 Environmental and social management
9-1
Environmental and social mitigation efforts (e.g. against noise, vibration, emission, and dust ) are conducted
9-2
Waste material from site is properly disposed
9-3
Damage to existing roads, works and services is avoided or are repaired when it occurs
Damage on pavement vicinity of the stock yard shall be repaired (Corrective Order 22/01/2012). Dump Track hauling gravel was overloaded and ticketed on weighbridge (Site Diary 02/02, 04/05/2012)
9-4
Transportation by vehicles is properly done with no overloading, and neither material falling, leakage, nor spillage.
N/A Not applicable
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) Recording RE 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.
before
During execution
Date
after
Remarks
The Some equipments were not mobilised in site (21/08, Rep#122) Written Corrective Order was issued (18/09, Rep#150)
Date Date Date Date Date Date Date Date Date Date 18/06/ 25/07 28/08 25/09 24/10 26/11 21/12 25/01 25/02 14/03
ShadingforRemarks
TickMarkforOK
RemarkswithdateandRef.No.
Fig. 2.2 Checks and remarks on Supervision Check List
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(a) Check before Execution
NewWorksheet Worksheetof PreviousCheck
(b) 1st Check during Execution
LatestRemarkscanbeadded
(c) 2nd Check during Execution
Allcheckresults areshown
OldRemarksarekept
(d) Check after Execution Fig. 2.3 Check Recording Process on Spread Sheet
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(3) Corrective Order If 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 as shown 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 points In the following pages, the check points in the Supervision Check List (SCL) are explained in tables. The tables include the following contents. (1) Description It defines what performance is required by the check point. (2) Check Timing and frequency It specifies the timing and frequency of checking and recording on the SCL (3) Reference It 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 Examples 1) The cases of giving corrective order It shows examples of unsatisfactory situation on each check point whereby a 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 Check Point 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 that examines adequacy of WEP. Check timing and frequency Before commencement of the work. Only when the WEP needs to be revised, this check point shall be examined again during execution period.
1 1-1
Execution system in general Works Execution Programme (including its revised version if any) is submitted before the date specified in contract document
Reference Clause14.1 in FIDIC1987 SSRBC Section1-106 Submissions to the engineer Section 1-108 Method of construction Case examples (The 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 Check Point 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. Site conditions are land terrain, climate, transportation, land use, and so on. Check timing and frequency Before 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. Reference SSRBC Section1-105 Order of Work Case examples (The 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.
1 1-2
Execution system in general Works Execution Programme properly reflects the given specifications and site conditions
Fig.2.5 Appropriate work program considering specification and site condition
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Table 2.5.1.3 Item Check Point 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 be captured in Item 7 Work Scheduling. In the case that a different execution procedure needs to be adopted because of changes of specifications and/or site conditions, the WEP shall also be revised. Check timing and frequency Monthly during execution of works.
1 1-3
Execution system in general Execution procedures are in accordance with Works Execution Programme
Reference SSRBC Section1-104 Programme Case 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.
Mobilization Survey Plant Office
Drainage Works
EarthworkPavement
Box culvert
Earthwork Excavation Foundation

Spreading Compaction
Earthwork Filling Cutting
Earthwork
Removal of existing road
Construction of detour
Earthwork
Replacement Selected fill Subbase course Spreading Compaction

Installation of forms & reinforcing
Foundation Leveling concrete
Precast Installation Earthwork Backfill Base Concrete

Spreading / Vibration
Base course Spreading Compaction Binder course

Spreading Compaction
Casting concrete &Curing
Backfill Removal of detour
Surface course Spreading Compaction
SignsMarkingGuard-postStreet Lighting
Fig.2.6 Reflect planed work procedures to actual works
23
Table 2.5.2.1 Item Check Point Description: In the Works Execution Programme, types and numbers of equipment are designated so that the required performance of road works can be achieved by using those equipments. Supervisor shall check whether the contractor mobilises equipments in accordance with the WEP or not in execution stage. Check timing and frequency Monthly during execution of works.
2 2-1
Equipment holding All equipments used are properly mobilized in accordance with Works Execution Programme.
Reference Schedule of supplementary information in tender document (Schedule and measure item of construction and equipment) Case examples (The case of giving corrective order in supervision check) 1. Types and number of equipment on site are not same as designated in WEP (The case of giving grade a in evaluation) 1. The contractor has provided extra equipment which is not specified or whose capacity is more than specified in contract document. And that equipment brought the more efficient execution of the works.
Photo 2.1 Proper mobilization of work equipment on site
24
Table 2.5.2.2 Item Check Point Description: It is preferable that all equipments are always serviceable, but it is unavoidable for equipments to have a problem, therefore it is also important for the contractor to have system to handle the problems of equipment e.g. providing spare equipment and spare parts. Check timing and frequency Monthly during execution of works.
2 2-2
Equipment holding All equipment used is well maintained during the 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
25
Table 2.5.3.1 Item Check Point 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 frequency Monthly during execution of works.
3 3-1
Contractors in-house staff Qualified technical supervisors are properly assigned as specified in Works Execution Programme.
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
26
Table 2.5.3.2 Item Check Point Description: In-house key staffs shall understand work progress in site and its schedule. This is very important to manage the works progress and also to deal with any adverse situation properly. Check timing and frequency Monthly during execution of works
3 3-2
Contractors in-house staff Contractors in-house key staffs understand work progress and schedule properly.
Reference
Case examples (The case of giving corrective order in supervision check) 1. Contractors in-house key staffs do not understand work process and schedule properly. (The case of giving grade a in evaluation) 1. Contractors supervisors understand the nature of the works well so that best practices can be applied to the works in terms of engineering and management. 2. Contractors in-house key staff is able to adapt quickly to unforeseen change in execution of work.
Photo 2.2 Proper understanding of work progress and schedule
27
Table 2.5.3.3 Item Check Point 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 activities are going to be implemented in the site with appropriate technical guidance. It is good to have daily briefing in the morning with workers and operators to inform them of the days activities for this purpose. Check timing and frequency . Monthly during execution of works
3 3-3
Contractors in-house staff Contractors in-house staffs give technical guidance and direction to workers and operators properly and timely.
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
28
Table 2.5.3.4 Item Check Point Description: Communication between the Contractor and Authority shall be adequate so that it facilitates work progress in accordance with Works Execution Programme and adaptation to any changes in site conditions. This check point uses written format as an indicator to judge whether or not communication is adequate because it is always dated and can be used as evidence. Although this 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 frequency Monthly during execution of works Reference
3 3-4
Contractors in-house staff Communications with Authority in writing is proper and timely.
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
29
Table 2.5.4.1 Item Check Point 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 in accordance with WEP. If the contractor employs subcontractors, this check item has to be applied to workers/operators of subcontractors also. Check timing and frequency Monthly during execution of works.
4 4-1
Personnel employment Workers and operators are deployed in accordance with Works Execution Programme.
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
30
Table 2.5.4.2 Item Check Point Description: In order to check the contractors personnel management, wage payments to workers, operators, and subcontractors shall be checked as part of cash flow.
4 4-2
Personnel employment Wage payment is properly made in accordance with Works Execution Programme.
Check timing and frequency Monthly 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
31
Table 2.5.5.1 Item Check Point 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.
5 5-1
Site base facilities Office and stockyard are prepared in accordance with Works Execution Programme.
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
32
Table 2.5.5.2 Item Check Point Description: Any facilities on site shall be maintained properly during the execution. And temporary facilities shall be removed after the completion.
5 5-2
Site base facilities Site is well maintained during the work execution and cleared on completion.
Check timing and frequency Monthly during execution of works and after the execution
Reference
Case examples (The case of giving corrective order in supervision check) 1. Contractor left stones that were used for traffic control. (see Photo) 2. Site base facilities are damaged by lack of maintenance during the work execution. (The case of giving grade a in evaluation) 1. There is neither work related accident nor damage inside and outside the work site because all facilities are kept in good order and well managed.
Photo 2.6 Stones used for traffic control were left after completion of work
33
Table 2.5.5.3 Item Check Point Description: Material stored on site shall be stored according to specified procedure during the execution so that it will neither deteriorate (e.g., corrosion of reinforcing bar) nor cause any safety problems (e.g., collapsing of material piled up).
5 5-3
Site base facilities Material stored on site is properly managed during the work execution
Reference SSRBC 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
34
Table 2.5.6.1 Item Check Point Description: This check point is to confirm that the Contractor conducts quality/quantity management within 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 as qualified by the tests. Check timing and frequency Monthly during execution of works
6 6-1
Quality and quantity management Material testing, structural examination and measurements are properly and routinely conducted based on specifications and Works Execution Programme.
Reference SSRBC 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
35
Table 2.5.6.2 Item Check Point Description: This is to confirm that results of testing, examinations, and measurements are within the specification. SSRBC shall be referred to about tolerances.
6 6-2
Quality and quantity management Results of material testing, structural examination and measurements are within the specifications.
Reference SSRBC 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
36
Table 2.5.6.3 Item Check Point 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 impossible for a supervisor to check all results of test, examination, and measurements, those results shall be compiled so that supervisor can check when required. Check timing and frequency Monthly during execution of works
6 6-3
Quality and quantity management Results of material testing, structural examination and measurements are properly compiled as reports for confirmation.
Reference SSRBC 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
37
Table 2.5.7.1 Item Check Point Description: The contractor shall make work schedule within the time frame in order to complete the works within the contract term. It is important to understand critical paths in the work process and consider it in work schedule. This check point asks both the whole scheduling in Works Execution Programme (WEP) and short term scheduling (e.g., daily/weekly) to be made with understanding the critical path and reflection of it. Check timing and frequency Monthly during execution of works
7 7-1
Work scheduling Understanding of critical path and its reflection on scheduling is proper.
Reference WEP 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
38
Table 2.5.7.2 Item Check Point 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 in determining whether works are within schedule. Preparation of accumulation curve gives indication of progress and expected date of completion. The below figure shows an example of schedule management by bar chart for each work items and accumulation curve for the entire work. Check timing and frequency Monthly during execution of works Reference
7 7-2
Work scheduling Actual proceedings are periodically compared to the planned schedule described in Works Execution Programme.
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
39
Table 2.5.7.3 Item Check Point 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 frequency Monthly during execution of works
7 7-3
Work scheduling Changes caused by site conditions are properly handled to keep the works on schedule.
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.
40
Table 2.5.7.4 Item Check Point 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 checking contractors execution system and process, however this check points requires the result of timely completion because in itself can be a proof of good scheduling. Check timing and frequency When the works are completed
7 7-4
Work scheduling All works are completed within the contract term or within the extended term as allowed.
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.
41
Table 2.5.8.1 Item Check Point Description: It should be noted that most of check points other than this is for checking contractors execution system and process, considering the importance of safety, however, this check points requires the result that no accident occurs to workers, operator, or third-parties. Not only damage on human, but if damage on property might have caused damage on human, such incident shall also be regarded as an accident to be recorded for this check point. Check timing and frequency When the works are completed
8 8-1
Work safety management No accident occurs to workers, operators and third-parties.
Reference
SSRBC 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.
42
Table 2.5.8.2 Item Check Point 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
8 8-2
Work safety management Safety of workers and operators is considered.
Reference SSRBC Section 1-117 Health, Safety and Accidents
43
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. 2. 3. 4. 5. Workers dont wear helmets and reflective vest. Workers dont wear safety belt and use it properly. Scaffolding is not strong enough for loads, equipped well to prevent fall accidents, and firmly supported on the ground. Sign of machinery is not clear to people around the machine for the safety. 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
44
Table 2.5.8.3 Item Check Point Description: The site agent shall take necessary action to prevent any accidents on third party. The supervisor shall check on how the contractor is managing the site, especially at places where third party come closer or even come into.
8 8-3
Work safety management Accident prevention efforts for third-parties are proper.
Reference SSRBC 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
45
Table 2.5.8.4 Item Check Point Description: When works are conducted on or close to the carriageway, adequate measures should be taken to warn and protect road users and workers. Details of safety measures are proposed in Chapter12 of RMM. Check timing and frequency As-needed bases.
8 8-4
Work safety management Traffic and site safety devices are properly installed and managed.
Reference RMM 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.
Photo 2.13 Sign of WORKS AHEAD

Fig. 2.12 Proper traffic control measure for on works on carriageway
46
Table 2.5.8.5
Item
Work safety management
Check Point Description:
8-5
Temporary facilities (e.g. scaffolding) are constantly checked.
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 the ground, and the ground has enough bearing capacity. This check point requires periodic and as-need basis checking of these features of temporary facilities. Check timing and frequency As-needed basis Reference SSRBC Section 1-117 Health, Safety and Accidents SSRBC Section 1-115(k) Construction Generally Case 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
47
Table 2.5.9.1 Item Check Point Description: The contractor shall try to minimise pollutions and affections of those pollution on environment. 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 is predictable, the contractor shall consider water-spraying. Check timing and frequency Monthly during execution of works Reference SSRBC 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.
9 9-1
Environmental and social management Environmental and social mitigation efforts (e.g. against noise, vibration, emission, and dust ) are conducted

Photo 2.15 Temporary pedestrian bridge along work site
48
Table 2.5.9.2 Item Check Point Description: The contractor shall properly dispose any waste that is generated in the site. This is to prevent any environmental problems such as air pollution and water pollution. Also the issue shall be checked whether or not the Contractor is committing illegal dumping.
9 9-2
Environmental and social management Waste material generated from the site is properly disposed
Check timing and frequency As-needed basis
Reference SSRBC Section 1-115 (c) (d) Construction Generally SSRBC 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
49
Table 2.5.9.3 Item Check Point Description: Damages on existing roads, works, and services shall be avoided as long as possible. In case of giving damage, it should be restored as soon as possible.
9 9-3
Environmental and social management Damage to existing roads, works and services are avoided or are repaired
Check timing and frequency As needed basis
Reference SSRBC Section 1-120 Protection of existing works and services Case examples (The case of giving corrective order in supervision check) 1. The existing road, works or services is damaged and not maintained.
(The case of giving grade a in evaluation) 1. The contractor takes measures to prevent damage on existing facilities prior to the commencement of the works, or repairs any damage that may occur.
Photo 2.17 Damages on road surface by drainage works
50
Table 2.5.9.4 Item Check Point 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. Also goods, material and waste material to be dumped out of the site shall be properly loaded and fastened to avoid falling, leakage or spillage during the transportation. Check timing and frequency Monthly during execution of work
9 9-4
Environmental and social management Transportation by vehicles is properly done with no overloading, and neither material falling, leakage, nor spillage.
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
51
3. Contract Evaluation 3.1 Application 3.1.1 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 Evaluators Contract 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 Engineer Assigned 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 evaluator Since 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.
52
Table3.1 Temporary Evaluators Assignment

Evaluators Case Contract is audited by QAO* Contact Sum Resident Engineer QAO/IAC
(The third Evaluator)
The Engineer
Yes
N/A
Resident Engineer Resident Engineer Resident Engineer
Engineers Representative Engineers Representative Resident Engineer
QAO
No
Greater than 500,000.00Ksh Smaller than 500,000.00Ksh
IAC
No
Resident Engineer
*QAO ; Quality Assurance Office, IAC ; Inspection and Acceptance Committee
ContractisauditedbyQAO
YES NO
Contractsumisover 500,000 Ksh

YES NO
QAO evaluates
IACevaluates
ResidentEngineer evaluates
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
53
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 procedures 3.2.1 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.
54
Contractor
WorksExecution Programme
RoadAuthority
1)
Supervision SupervisionCheckList
ResidentEngineer 4)
Grading
Execution System Worksonsite
2) Check
Quality and Quantity
Checkthe Compliance withWEP
Report
Testing&Measurement
3)
Quality/Quantity
Check&Confirm
(Chapter 3.4) Execution System in General Equipment Holding Inhouse Staff Personnel Employment SiteBase Facilities Quality and Quantity Management Work Scheduling Work Safety Management Environmental and Social Management
Contractors self management
QualityAssurance Office / InspectionandAcceptance Committee 7)

Grading
TheEngineer's Representative 6)
Grading
5)
Supervision
(Chapter 3.6) Execution System in General Quality and Quantity management
Contract Evaluation
Evaluator
(Chapter 3.5) Equipment Holiding Inhouse Staff Personnel Employment Work Scheduling Work Safety Management Environmental and Social Management Innovation Effort Compliance with Statutory Requirement
Documentation
8)
ScoringonContractEvaluationTallySheet
Fig 3.2 Organizational Chart for Contract Evaluation
(2) Evaluation Procedure Evaluation 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.
55
Flow Chart
Supervsion
Reference
Grading by Resident Engineer (3.4)
Example : Table 3.5 Grading Sheet for the Resident Engineer
Substantial Completion Meeting
Grading by The Engineer's Representative (3.5)
Example : Table 3.7 Grading Sheet for the Engineers Representative
Grading by Quality Assurance Office / Inspection and Acceptance Committee (3.6)
Example : Table 3.9 (a-c) Grading Sheet for Quality Assurance Office / Inspection and Acceptance Committee
Contract Evaluation Scoring (3.8.1)
Example : Table 3.12 Contract Evaluation Tally Sheet (Signing on Contract Evaluation Tally Sheet and Notification) Template : G. Notification of scoring of contract evaluation
The Engineer's approval
Notification of scores to the Contractor (3.8.2)
14 days Necessity for Score Corrrection?
Yes
No Template : H. Taking Over Certificate Template : I. Database Format
Issue of Taking Over Certificate
Score Database (3.8.3)
Datbase in MoR/KRB
Fig 3.3 Contract Evaluation Procedure
56
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

Grade Basic Score a (Very good) 10.0 b (Good) 7.5 c (Fair) 5.0 d (Poor) 2.5 e (Very poor) 0.0
(2) Grading Criteria Determining 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.
57
Table 3.3 Grading Criteria on Contract Evaluation

b Corrective order is made The Contractor complies with the order within the contract period. The Contractor complies The Contractor does not with the order within the comply with it during the contract period. However contract period corrections are poor. c d e Grading Flow Chart
Grade
No corrective order is made
Resident Engineer (RE)
Excellent performance is presented for the evaluation items specified in 3.4.1. Examples of excellent performance are indecated in Table 2.5.1.1 - 2.5.9.4
The work executed is satisfactory, but no excellent peformance is presented for the evaluation items specified in 3.4.1.
Fig.3.3
Grade Effort is made in average sense for the evaluation items specified in 3.5.1.
e Effort is insufficient for the evaluation items specified in 3.5.1. RE evaluates "e"
Grading Flow Chart
Remarkable effort is made for the evaluation items specified in 3.5.1.
58
RE evaluates "b, c, or d", and ER does not find any remarkable efforts by the Contractor b Rate of compliance with requirements in 3.6.2 is good for the evaluation items in 3.6.1. c Rate of compliance with requirements in 3.6.2 is fair for the evaluation items in 3.6.1. d
1. RE evaluates "a"
The Engineer's Representative (ER)
OR 2. RE evaluates "b, c, or d", however, ER finds a remarkable effort by the Contractor
Fig.3.4
Grade
e Rate of compliance with requirements in 3.6.2 is poor for the evaluation items in 3.6.1. Rate of compliance with requirements in 3.6.2 is very poor for the evaluation items in 3.6.1.
Grading Flow Chart
Rate of compliance with requirements in 3.6.2 is Quality Assurance very good for the Office (QAO) evaluation items in 3.6.1. / Inspection and Acceptance Committee (IAC)
Fig.3.5
3.3 Evaluation items There 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 of the 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
*RE Item Description 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 holding All equipments used in the works are mobilised properly and well-maintained **L S Lb L ER S Lb QAO/IAC Note L S Lb
1. Execution System in General
---
---
---
---
---
---
--
--
----
--
-- -- ---
------ ---
---------
---------
--------Grading
3. Contractor's In-house The qualified technical engineers and in-house staffs are staff assigned 4. Personnel employment 5. Site base facilities Reasonable number of skilled workers/operators is properly employed by the contractor Site 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 8. Work safety management 9. Environmental and social management 10.Innovation effort Work has been progressed and completed as planned Necessary measures are taken for safety of workers, operators, and third party. No serious accident occurrs during the contract period. Environmental and social issues caused by the works are minimized and mitigated properly Innovation effort is made by using new materials, new technology, process rationalization, etc.
-----
---
---
---
---
---
---
---
6. Quality and quantity management
--
--
--
--
-----
-----
---
---
---
---
---
---
-----
-----
-----
--
--
-------
-------
----- Bonus --- Penalty
11. Compliance with statutory requirements
*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
59
3.4 Evaluation by Resident Engineer 3.4.1 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 facilities 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. 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.
60
Issuanceofcorrectiveorder
NO YES
Excellentperformanceis presented?
YES NO YES
TheContractorcompliesthe order?
NO
Correctionmadeisfairor good?
YES NO
Fig. 3.3 Grading Flow Chart for Resident Engineer
(2) Grading a When 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 Sheet RE 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.
61
Table 3.5 Grading Sheet for the Resident Engineer (Example)
ContractEvaluationGradingSheetforResidentEngineer
Project Title:
Repair and Resealing of N - G Road (C##)

Signature:
Date: 21/08/2012
Resident Engineer : AAAA BBBB Comment :

Items Descriptions
Scale of Work
AAAA BBBB
*L
Lb
Grade
Note
(Record on Supervision Check List)
Work procedures are in accordance with Works 1. Execution System Execution Programme that properly reflects given in General conditions. 2. Equipment holding 3. Contractor's Inhouse staff 4. Personnel employment 5. Site base facilities 6. Quality and quantity management 7. Work scheduling 8. Work safety management 9. Environmental and social management All equipments used in the works are mobilised properly and well-maintained The qualified technical engineers and in-house staffs are assigned
a b c d e a b c d e a b c d e a b c d e a b c d e a b c d e a b c d e a b c d e a b c d e
Sophisticated work procedure (Check point 7-1) Safety gears were not enough. Contractor did not complied (Check point 8-2) overloading twice
- --
Reasonable number of skilled workers/operators is properly employed by the contractor Site 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. Work has been progressed and completed as planned Necessary measures are taken for safety of workers, operators, and third party. No serious accident occurs during the contract period. Environmental and social issues caused by the works are minimized and mitigated properly
*L;Large Scale Work (Class A - D), S;Small Scale Work(Class E and Under), and Lb;Labour Based Work
Grading Criteria
a
Excellentperformanceis presentedfor the evaluationitems specified in3.4.1. Examples ofexcellent performanceareindecated inTable2.5.1.1 2.5.9.4
d
Correctiveorder is made TheContractor complies withtheorder withinthe contractperiod.However corrections arepoor.
e
TheContractor does not complywithitduringthe contractperiod
Nocorrectiveorder is made Theworkexecutedis TheContractor complies satisfactory,butno withtheorder withinthe excellentpeformanceis contractperiod. presentedfor the evaluationitems specified in3.4.1.
Issuanceofcorrectiveorder
NO YES
YES NO YES
NO
YES NO
62
3.5 Evaluation by the Engineers Representative 3.5.1 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) Grading 2. Equipment holding 3. In-house staff 4. Personnel employment 7. Work scheduling 8. Work safety management 9. Environmental and social management (2) Bonus/Penalty 10. Innovation effort 11. Compliance with statutory requirement (3) Variation of items by scale of the works Set 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 given. Upgrading from c to a cannot be applied for the evaluation in which the RE plays The ERs role. This is the case 3 in Table 3.1 in which the contract is not audited by Quality Assurance Office (QAO) and the contract sum is smaller than 2,000,000Ksh.
63
GradingbyResidentEngineer
b , c , d
Overcomingunforeseen difficultiesorachieving outstandingoutcomes?

YES NO
Fig. 3.4 Grading Flow Chart for The Engineers Representative
(2) Upgrading from c to a Table 3.6 shows case examples for ER to upgrade from c to a when the Contractor presents remarkable effort.
64
Table 3.6 Case examples for upgrading c to a by the Engineers Representative Item* Scale of the Work** L S Lb i) Overcoming unforeseen difficulties - Necessary equipment suddenly becomes unavailable because of the reason which the Contractor is not responsible for, but the contractor completes the works without delay by optimizing combination of alternative equipments. - Necessary equipment is broken down despite the careful maintenance, but the contractor completes the works without delay by immediate arrangements for spare parts. 2. Equipment holding --ii) Achieving outstanding outcomes - There is no delay on the schedule because the contractor has a system to keep their equipments in good condition (e.g., by quick procurements, stocks and fast moving of spare parts, resident mechanics) - Contractors mobilisation of equipments is always optimized in terms of arrangements and scheduling. - Any broken down equipment is repaired immediately. Case Examples of "Remarkable Efforts"
i) Overcoming unforeseen difficulties - Despite a unforeseen situation with lack of in-house engineers, the contractor supplements extra staff. ----ii) Achieving outstanding outcomes - The contractor employs in-house staff with adequate gender mix and the hired in-house staffs achieve more-than-average outcomes.
3. Contractor's In-house staff
i) Overcoming unforeseen difficulties - Despite an unforeseen situation with lack of workers/operators, the contractor hires additional workers with enough skill and experiences. ii) Achieving outstanding outcomes 4. Personnel employment --- - The contractor contributes local economy by hiring local labours - The contractors trains the workers/operators to meet the contract requirements - The contractor proactively takes a leading role in conducting HIV/AIDS awareness to the local publics.
65
i) Overcoming unforeseen difficulties - Despite unpredictable disturbances as shown below, the contractor minimizes the negative influences on the schedule with conformity with the works execution programme. - Challenges on funding (e.g., bankrupt of main bank) - Disruption of key material supply 7. Work scheduling ----- Shortage of local material - Extreme price hike of material - Abnormal weather conditions (e.g., Long rains) - Abrupt changes in the design which the contractor is not responsible for ii) Achieving outstanding outcomes - The contractors continuous schedule management makes possible in-time completion. i) Overcoming unforeseen difficulties - Accidents occur in an unavoidable situation to the contractor, but the contractor takes adequate responses and minimizes safety hazard on site. 8. Work safety management ii) Achieving outstanding outcomes - The contractor executes works under highly difficult situation for the safety and completes with no accident by adopting adequate safety measures. - The contractor continuously conducts safety education during the period and raises safety awareness among workers/operators, subcontractors, and local community. i) Overcoming unforeseen difficulties - Despite unforeseen environmental and social difficulties affecting surrounding communities of the site, the contractors mitigating efforts minimize the deterioration and avoid disputes. ii) Achieving outstanding outcomes 9. Environmental and social management - The contractor completes the works with no claim for environmental issues although the works are executed in the area of high environmental concerns. - The contractor makes adequate efforts for social mitigation so that there is no claim from local communities. - The contractor conducts an extra mitigation as shown below; - The contractor constructs/repairs educational and/or health facilities as Corporal Social Responsibility (CSR). - The contractor provides free seedling to schools for planting during National tree planting days. *See Table3.4 for Descriptions **L; Large Scale Work (Class A - D), S; Small Scale Work (Class D and Under), and Lb; Labour Based Work
66
3.5.3 Bonus/Penalty The following two items are evaluated as bonus or penalty, respectively. For the moment, those score levels are at the discretion of the evaluator. And they are neither subject to inter-items weightings nor evaluator weightings. (1) Innovation Effort The Engineer may add the score if the contractor made a remarkable effort for innovation during executions. The maximum point to be given is 10.0. Followings are examples for giving additional points. Application of more appropriate material, new technology, process rationalisation resulted in shortening of the works schedule, high quality output, reduction of project cost, and reduction of impacts on environment and society. (2) Compliance with statutory regulations The Engineer shall reduce the score if the contractor violates relevant regulations of the Republic of Kenya. The maximum reduction is 10.0. Relevant regulations are; 1. Tax compliance (VAT registration, PIN registration) 1) Income Tax Act Cap.470 (PAYE) 2) Values Added Tax Act Cap.476 3) Stamp Duty Cap. 486 2. Registration of business 1) Companies Act Cap. 486 2) Registration of Business Names Act Cap.499 3. Environmental law 1) Environment Management and Coordination Act No.8 of 1999 2) Environmental Impact Assessment and Audit Regulations - Legal Notice No.l21 of 2003 4. Traffic/Axle load regulations 1) Traffic Act Cap. 403 2) Kenya Roads Act, 2007 5. Labour law 1) Employment Act Cap. 226 2) Regulation of Wages and Conditions of Employment Act Cap. 229 3) Workmen's Compensation Act Cap. 236 (Workman's Compensation) 4) The Labour Relations Act, 2007 5) Industrial Training Act Cap. 237 6. Engineers 1) The Engineers Registration Act, No.43 of 2011 7. Social security 1) National Social Security Fund Act Cap.258 (currently being amended)
67
2) Retirement Benefits Authority Act Cap. 197 3) Pensions Act Cap. 189 8. Hospital insurance fund 1) National Hospital Insurance Fund Act, No. 9 of 1998 9. Local government 1) Local Government Act Cap. 265 to be repealed upon Commencement of the Act in (2) below 2) Urban Areas and Cities Act, 2011 (shall come into operation after the first elections under the constitution of Kenya 2010 10. Water resource management act 1) Water Act.2002 11. Insurance 1) Insurance Act Cap.487 12. Safety 1) Public Health Act Cap.242 2) Occupational Safety and Health Act, No. l5 of2007 3) The Work Injury Benefits Act, No. 13 of 2007 13. Procurement laws 1) Public Procurement and Disposal Act, 2005 2) The Public Procurement and Disposal (Reference and Reservations Regulations. 201 l) 3) The Public Procurement and Disposal Regulations. 2006 4) The Public Procurement and Disposal (Public Private Partnerships) Regulations, 2009 5) The Public Procurement and Disposal (Amendment) Regulations, 2009 14. OTHERS 1) Constitution of Kenya 2010 2) Any other relevant laws that will come into effect after this date. 3.5.4 Grading Sheet ER shall use grading sheet whose template is shown in A.5.2. Table 3.7 is a sample of the grading on the sheet. Since the ER grades based on the results of REs grading, the ER shall get the REs grading sheet.
68
Table 3.7 Grading Sheet for the Engineers Representative (Example)
ContractEvaluationGradingSheetfortheEngineer'sRepresentative
Project Title:
Date: 24/08/2012 Signature: CCCC DDDD
Engineer's Representative : CCCC DDDD Comment :

Scale of Work
RE's Grading
Items
2. Equipment holding 3. Contractor's Inhouse staff 4. Personnel employment 7. Work scheduling 8. Work safety management 9. Environmental and social management 10.Innovation effort
Descriptions *L
All equipments used in the works are mobilised properly and well-maintained The qualified technical engineers and in-house staffs are assigned Reasonable number of skilled workers/operators is properly employed by the contractor Work has been progressed and completed as planned Necessary measures are taken for safety of workers, operators, and third party. No serious accident occurs during the contract period. Environmental and social issues caused by the works are minimized and mitigated properly Innovation effort is made by using new materials, new technology, process rationalization, etc. -
Grade
Note
(Record on Supervision Check List) (Reason to grade "a")
S
- --
Lb
-- --
a a a a a a
b,c,d
e a e a e a e a e a e a
0 - +10
c c c c c c
e e e e e e
Work Procedure optimised
b,c,d
b,c,d
b,c,d
b,c,d
b,c,d
--
--
+5
0 - -10
-5
Overloading twice
Grading Criteria
a
Remarkableeffortis madeforthe evaluationitems specifiedin3.5.1. 1.REevaluates"a" OR 2.REevaluates"b, c,ord",however, ERfindsa remarkableeffort bytheContractor
c
Effortismadein averagesensefor theevaluationitems specifiedin3.5.1.
e
Effortisinsufficient fortheevaluation itemsspecifiedin 3.5.1. REevaluates"e"
REevaluates"b,c, ord",andERdoes notfindany remarkableefforts bytheContractor
b , c , d

YES NO
69
3.6 Evaluation by Quality Assurance Office / Inspection and Acceptance committee 3.6.1 Evaluation items As the independent evaluator, QAO/IAC deals with the two key items which indicate the contractors capacity to deliver; 1. Execution system in general Overall system of execution is confirmed to be proper during audit or at substantial completion meeting 6. Quality and quantity management Measured parameters are within the specified allowable ranges with proper workmanship 3.6.2 Grading criteria Based on temporary assignment of independent evaluator (see 3.1.3(4)), grading entity is designated as shown in Fig. 3.5. Grading by QAO shall be based on their own investigation and on written documents about overall system of execution and measured parameters of quality and quantity management. Grading by IAC shall be based on the results of Substantial Completion Meeting. In case Resident Engineer evaluates, grading is based on the check list and his/her knowledge of works.
Evaluatordetermined inTable 3.1andFig.3.1
QAOevaluates
IACevaluates
1. Execution system in General
6. Quality and Quantity Management
1. Execution system in General 6. Quality and Quantity Management
GradingbasedonRateof compliancewith requirementsinTable3.9 (b)
Gradingbasedonscoringsfor thefollowings QuantityManagement QualityManagement Workmanship inTable3.9(c)
Supervision Check list
a, b, c, d, e
a, b, c, d, e
a, b, c, d, e
Fig. 3.5 Grading Flow Chart for Third Evaluator
70
(1) Grading criteria for Execution system in General Table3.6 shows an example of grading for Execution system in General. The blank format is in Appendix A5.4. If the Contractor does not comply with the corrective order issued on status of the system, grade e is given. If the correction is poor, grade d is given. In other cases, Grading a to c is determined according to the number of checks in the sub-table.
(2) Grading criteria for Quality and Quantity Management The level of quality and quantity achievements is judged by the following sub-items. They can be evaluated by QAO/IAC only with written reports and visual inspection of finished works. i) Quantity measurements ii) Quality measurements iii) Workmanship As shown in Table3.6, points are given for each sub-item according to the degree of satisfaction with fixed benchmarks. The criteria of point rating are shown in Table 3.7. The points are summed up and the total point determines the grade. Weight allotment for each sub-item is 3.0, 3.0, and 4.0 respectively.. i) Quantity measurements Sub-grades a to e are determined whether or not the all necessary size and volume measurements are conducted and recorded as specified, and all measured figures are within specified allowable range. And the corrective actions of failed results if any are also checked. ii) Quality measurements Sub-grades a to e are determined whether or not the all necessary material testing and structural checking are conducted and recorded as specified, and all measured figures are within specified allowable range. And the corrective actions of failed results if any are also checked. iii) Workmanship Sub-grades a to e are determined by the number of satisfactory visual check points specified in Table 3.9(c). Table 3.8 below shows sample pictures for the check points
71
Table 3.8(a) Sample pictures for check points Good appearance of finished work
Check Points 1.Good exterior appearance Photographs Note Exterior dimensions are confirmed to be satisfactory
(Satisfactory) 2. Good spacing alignment and Good alignment is confirmed from the straightness of the drainage line.
(Satisfactory) 3. Good overall alignment surface Surface alignment is plain without distortion.
(Satisfactory) 4. Good finishing top and edge Top and edge are finished with good workmanship
(Satisfactory) 5. Good alignment adjacent structures to The wing wall of culvert is half buried in the slope.
(Unsatisfactory)
72
6. Good overall cleanliness
Removed asphalt is left on roadside.
(Unsatisfactory) 7. Good surface touch Wing and wall of culvert have rough surface because parting agent mould. was not applied to
(Unsatisfactory)
Table 3.8(b) Sample pictures for check points No major flaws or deterioration
Check Points 8. No irregular shape of earth works Photographs Note Sharp bends (curves ) in ditch alignment
(Unsatisfactory) 9. No visible cracks Concrete crack has developed. It may affect safety and durability of the structure.
(Unsatisfactory)
73
10. No water leakage
Lack of drainage system
11. No excessive water pool (puddle) on the surface
Drainage system does not work on the viaduct.
(Unsatisfactory) 12. No spot of bitumen and/or mortar on other structures Many bitumen/mortar spots on other structures causes not only aesthetic problem but also indicates that the works are roughly conducted
(Unsatisfactory) 13. No visible flaws and rusts on the surface White lane mark deteriorated just after the completion
(Unsatisfactory)
74
Table 3.8(c) Sample pictures for check points Fitness for purpose
Check Points Photographs Note Clogged drainage
14. Good functionality of structure for its purpose
(Unsatisfactory)
15.
Good
visibility
of
Road
signs
should
be
road furniture from road users
installed properly so that they are visible to all road users
(Satisfactory)
16. No obstacles for road users left
Waste of materials used in the work and equipments are to be removed after the completion.
(Unsatisfactory)
75
3.6.3 Grading sheet Table 3.9 shall be used when QAO/IAC conducts evaluation.
Table 3.9(a) Grading Sheet for Quality Assurance Office / Inspection and Acceptance Committee (Example)
ContractEvaluationGradingSheetforQAO/IAC(1/3)
Project Title:
Date: 04/09/2012 Signature: EEEE FFFF
Quality Assurance Office/Inspection and Acceptance EEEE FFFF Committee Chair: (Name) Comment :
Scale of Work
Items
Descriptions *L S Lb
Grade
Note
1. Execution System Overall execution system is confirmed to be proper in General during audit or at Substantial completion meeting
a b c d e
Measured parameters are within the specified allowable ranges with proper workmanship
a b c d e
Grading Criteria
a
Rateof compliance withrequirementsin 3.6.2isverygood fortheevaluation itemsin3.6.1.
b
Rateof compliance withrequirementsin 3.6.2isgoodforthe evaluationitemsin 3.6.1.
c
Rateof compliance withrequirementsin 3.6.2isfairforthe evaluationitemsin 3.6.1.
d
Rateof compliance withrequirementsin 3.6.2ispoorforthe evaluationitemsin 3.6.1.
e
Rateof compliance withrequirementsin 3.6.2isverypoor fortheevaluation itemsin3.6.1.
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Table 3.9(b) Grading Sheet for Quality Assurance Office / Inspection and Acceptance Committee (Example)
Item Descriptions 1. Execution System Overall execution system is confirmed to be proper during audit or Substantial completion meeting b Grade c d
Check ( ) Points to be checked
Satisfactory Unsatisfactory N/A
1 Work execution programme is submitted before commencement Work execution programme properly reflects the given specifications and site conditions Execution procedures are conducted in accordance with Works Execution Programme Proper handling of changes of site conditions (e.g. work environment, climate, geological conditions)
5 Proper management of material stocks through inventory Proper allotment of workers, operators and qualified technical supervisors Proper preparation and organization of reporting documents in accordance with Works Execution Programme Notice of operation to engineer is properly conducted before carrying out.
9 All equipment used are properly mobilized
10 Proper recycling efforts of by-products from site Proper in-house quality assurance system and its documentation procedures Others;(Specify)
11
12
No complaints from road users and surrounding communities
Percentage
-- = 6 = 0 = / (12-) *100% = 6 / (12 - 0) x 100 = 50.0 %

Total Number = 60.0 - 40.1% = 40.0 - 20.1% = 20.0 - 0%
= 100 - 80.1%
= 80.0 - 60.1%
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Table 3.9(c) Grading Sheet for Quality Assurance Office / Inspection and Acceptance Committee (Example)
Item Description 6. Quality and quantity management Measured parameters are within the specified allowable ranges with proper workmanship
All necessary scale measurements are conducted and recorded as specified, and all measured parameters are within the specified allowable range 3.0 All necessary quality measurements are conducted and recorded as specified, and all measured figures are within the specified allowable range 3.0 Although some of the necessary scale measurements were not conducted as specified, the contractor complied with a corrective order Nevertheless a corrective order was issued, the Contractor did not comply with it.
Quantity Measurements
1.5 Although some of the necessary quality measurements were not conducted as specified, the Contractor complied with a corrective order
0.0 Nevertheless a corrective order were issued, the Contractor did not comply with it.
Quality Measurements
1.5
0.0
Check ( ) Sub-sub item a) Good appearance of finished work

1 2 3 4 5 6 7
Check Point
Satisfactory Good exterior appearance Good alignment and spacing Good overall surface alignment Good top and edge finishing Good shaping for connection to adjacent structures Good overall cleaning Good surface touch No irregular shape of earth works No visible cracks
Unsatisfactory
N/A

Total Number
Workmanship
b) No major flaws or deterioration
8 9
10 No water leakage 11 No excessive water pool (puddle) on the surface 12 No spot of bitumen/mortar on other structure 13 No visible flaws and rusts on the surface
c) Fitness for purpose
14 Good functionality of structure for its purpose 15 Good visibility of road furniture from road users 16 No obstacles for road users left
= 8
---
=2
Percentage = / (16 - ) * 100% = 8 / (16 - 2) x 100% = 57.1% = 100 - 80.1% Z 4.0
= 80.0 - 60.1% 3.0
= 60.0% - 40.1% 2.0
= 40.0 - 20.1% 1.0
= 20.0 - 0.0% 0.0
Total Point : X + Y + Z = Ranges Grade 10.00 - 7.51 a 7.50 - 5.01 b
1.5 + 3.0 + 2.0 = 6.5 5.00 - 2.51 c 2.50 - 0.01 d 0.0 e
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3.7 Weighting 3.7.1 Concept of weighting In order to reflect relative differences of importance between evaluation items and of degree evaluators responsibility, relative weights are used on tallying of scores.
3.7.2 Weight application for scoring Net score for an item by an evaluator score is calculated as the following equation;
p = w 1 x w2 x p 0
Where,
p : net score, w1 : inter-item weight, w2 : weight by evaluator p0 : basic scores defined in Table3.2
3.7.3 Inter-item weight Set of inter-item weight is provided by scale of contract. Table 3.10 shows the weighting set for the contract of large scale works (for Class D and above company), the contract of small scale works (for Class E and under company), and labour based work contract. Table 3.10 Weights by Item and Evaluator
Resident Engineer
The Engineer's representative
Quality Assurance Office / Inspection and Acceptance Committee

Small scale work (Class E and under) Labour-based work Large scale work (Class A - D)
Small scale work (Class E and under)
Small scale work (Class E and under)
Labour-based work
Scale of Works
Item
1. Execution System in General 2. Equipment holding 3. Contractor's in-house staff
1.2 1.4 1.4 1.0 1.0 1.0 1.0 1.0 1.0
1.0 1.4 1.2 1.4 1.0 1.0 1.0 1.0 1.0 10.0 0.5
1.2 3.0 1.8 2.2 3.0 3.0 4.0 3.0
Labour-based work
Large scale work (Class A - D)
Large scale work (Class A - D)
4.0
4.0
4.0
W1 : Inter-Item Weight
4. Personnel employment 5. Site base facilities 6. Quality and quantity management 7. Work scheduling 8. Work safety management 9. Environmental and social management Total
1.2 1.2 1.2 1.2 10.0 2.0 1.0 1.0 10.0 2.0 2.0 10.0 0.3 3.0 3.0 10.0
6.0
6.0
6.0
10.0
10.0
10.0 0.2
10.0
W2 : Weight by Evaluator
79
3.7.4 Weight by evaluator Weights for Resident Engineer, The Engineer and QAO/IAC are 0.5, 0.3, and 0.2 respectively. They are reflecting the relative importance of regional office which can objectively evaluate the contractors performance with the most frequent observation of work performance and site conditions.
3.7.5 Weight change Weights specified in this section are not subject to change for the validity of unified scoring scheme. However, when the clear changes of social, economic, environment, technological requirements are observed, weight setting can be updated with unanimous agreement among relevant organizations.
3.8 Contract evaluation scoring 3.8.1 Contract Evaluation Tally Sheet Based on the results on three grading sheets (Table 3.5, 3.7, and 3.9), scores are automatically given for each item by each evaluator. Contract Evaluation Tally Sheet (CETS) is the unified template to calculate the total score from these scores. Fig 3.6 shows part of the CETS. An evaluator fills the blank by choosing a Net Score which corresponds to the grading for the item and the evaluator. There are three formats of CETS for large scale work, small scale work, and labour based work. Table 3.12 shows CETS for large scale works. They also include basic contract information and fixed weights by contract size. After the calculation of total score, CETS shall be signed by The Engineer. Table 3.11 is a rough standard of contracts performance judging from the total score.
Table 3.11 Rough Standard of Total Score Assessment

Total Score Range 76 and above 66-75 56 65 55 and below Contracts Performance Good Satisfactory Fair Poor
80
Res i dentEngi neer (na me)

weightby evaluator w2 Inter item weightsw1 a 10.0 b 7.5
Grading
c 5.0 d 2.5 e 0.0
Ba s i cScores p0
I t it
NetScore p=w1 xw2 xp0

6.00 4.50 3.00 3.00 1.50 0.00
cuti on Progra mme rduri ng a udi tora t
1.2
0.5
ScoreFilling
Fig 3.6 Score Filling on Contract Evaluation Tally Sheet
81
Table 3.12 Contract Evaluation Tally Sheet (Example, Large Scale Work)
ContractEvaluationScoreTallySheet(LargescaleworkbyClassA,B,C,andDcompanies)
RepairandResealingof NGRoad(C##)
DateofCommencement CompletionDate CompanyClass DateofSubstantial CompletionMeeting ScoringDate ResidentEngineer AAAABBBB CCCCDDDD
Ba s i c Scores p0
a 10.0 5.0 0.0 10.0 c e a b 7.5 Inter item weightsw1 weightby evaluator w2 d 2.5 0.0 e c 5.0
ProjectTitle
22OCT2011 08AUG2012 21AUG2012 24AUG2012

QualityAssuranceOffice/ InspectionandAcceptanceCommittee EEEEFFFF
Ba s i cScores p0
d 2.5 e 0.0
ContractNumber A
KeNHA/RD/M/###/2011
Contractor
@@@@@ConstructionCo.Ltd. Ksh11,233,109.00
TheEngineer's Representative
ContractSum
Items
Ba s i cScores p0
a 10.0 7.5 5.0 Inter item weightsw1 weightby evaluator w2 b c Inter item weightsw1 weightby evaluator w2
Descriptions
Net Scores byItem
NetScore p = w1xw2xp0
6.00 3.00 4.50 3.00 1.50 0.00
Net Score p =w1 x w2xp0
NetScore p =w1x w2xp0
Workprocedures areinaccordancewithWorks ExecutionProgrammethat properlyreflects givenconditions.

1.2 0.5 4.0 7.00 3.0 9.00 1.75 3.0 0.3 4.50 1.25 0.00 0.00 9.00 4.50 0.00 0.3 5.25 1.4 0.5 3.50 1.0 2.50 5.00 2.50 5.00 1.0 0.5 5.00 7.5 5.0 2.5 0.0 3.75 2.50 1.25 0.00 0.5 5.00 3.75 2.50 7.00 5.25 3.50 5.25 3.50 1.75 0.00 9.00 4.50 0.00 0.2
7.00 8.00 6.00 4.00 4.00 1.4 0.5 14.25 2.00 0.00
1.ExecutionSystemin General
Overall executionsystemis confirmedtobeproper duringauditor at Substantial completionmeeting
2.Equipmentholding
All equipments usedintheworks aremobilisedproperlyandwell maintained
3.Contractor's Inhouse Thequalifiedtechnical engineers andinhousestaffs areassigned staff
8.00
82
1.0 0.5 1.0 5.00 3.75 0.5 5.00 5.00 1.0 5.00 0.5 2.50 0.00 3.75 2.50 1.25 (max50) 28.00 (max30) 0+10 1.25 0.00 1.25 0.00 1.0 0.3 3.00 3.75 2.50 1.25 0.00 2.0 0.3 6.00 1.0 0.5 1.0 0.3 3.00 5 010 5
4.Personnel employment
Reasonablenumber ofskilledworkers/operators is properlyemployedby thecontractor
2.50
5.Sitebasefacilities
Sitefacilities areproperlyprepared,maintainedduringexecution,and clearedoncompletion.
2.50
6.Qualityandquantity management
Material testing,structural examination,andmeasurements areproperly androutinelyconducted.Results arewithinthespecifications and compiledfor checking.
11.00 6.0 3.00 3.00 1.50 0.00 1.50 3.00 19.50 (max20) 10.00 57.50 5.00 0.00 0.00 0.00 0.00 0.2 12.00 9.00 6.00 6.00 8.00 3.00 0.00
Measuredparameters arewithinthespecifiedallowableranges with proper workmanship
7.Workscheduling
Workhas beenprogressedandcompletedas planned
8.Worksafety management
Necessarymeasures aretakenforsafetyofworkers,operators,andthird party.Noserious accidentoccurs duringthecontractperiod.
9.Environmental and social management
Environmental andsocial issues causedbytheworks areminimizedand mitigatedproperly
4.25
NetScoreTotal
10.Innovationeffort
Innovationeffortis madebyusingnewmaterials,newtechnology,process rationalization,etc.
11.Compliancewithstatutoryrequirements
5.00
GrandTotal
57.50
Date
28/08/2012
Sign
(TheEngineer)
GGGG HHHH
3.8.2 Notification of score The authorized total score and its breakdowns are notified to the Contractor as an official letter from the Authority. The format is shown in Appendix G. The contractor can raise questions on the results of scoring within a specific number of days after the issuance. The Authority answers in writing to the Contractor.
3.8.3 Score database Every score along with basic contract information and the type of work conducted are stored in the unified database without delay. The procedure is depicted in Fig 3.7. Input data from each Authority is rearranged to be a list of companies which contains information shown in Table 3.13 so that scores of any company can be easily extracted. Detailed example of database format is shown in Appendix 8.1 and 8.2. Database is accessible to any authority in the next procurement process. It is used as a reference of past experiences of similar type of works in the tender evaluation stage.
Table3.13 Information in Contract Evaluation Score Database

Company Information Total Scores in Contract Evaluation Scores of each contract in recent Five(5) years Numbers of Contracts by Work Types
Class (A - G) Name (in alphabetical order) PIN code
Site clearance and Topsoil Stripping Earth works Excavation and Filing for Structures Ditch and Culvert Cleaning Culvert installation and construction Passage of Traffic Grading and Gravelling Works Paved Roads - Shoulder Maintenance and Repairs Natural Material Base and Subbase Graded Crushed Stone Base and Subbase Cement and Lime Treated Subgrade, Subbase, and Base Bituminous Surface Treatment and Surface Dressing Bituminous Mixes Concrete Works Road Furniture and Maintenance
83
Contract Evaluation Start
Data Aquisition
Evaluation by Resident Engineer
Evaluation by The Engineer's Representative
Garding by Quality Assurance Office / Inspection and Acceptance Committee
Input of Grading
Inputs of Gradings
Score Calculation / Generation of Notification Sheet Notification of Scores to the Contractor See Fig 3.3 for more detail Necessity for Score Corrrection? No Score Database in Authority
Data Processing
Yes
RoadAuthorityA
Data Accumulation and Storage
Data Submission
RoadAuthorityB RoadAuthorityC MoR/KRB
Data Integration
Data Distribution
ID/Password Protected SpaceonWebsite
Data Table in PDF Format
Data Utilisation
AuthorityA
Tender Evaluation
AuthorityB
Tender Evaluation
AuthorityC
Tender Evaluation
Paper-based
RMMS
Soft Copy
Fig.3.7 Flow chart of Database
84
Appendix
85
Table of Contents
Appendix A. Incorporating in Tender and Contract Document for Application of the Manual B. Work execution programme template C. Daily report sample D. Monthly Progress Report templates (Supervision check list) E. Report for Substantial Completion Meeting F. Contract evaluation tally sheet F.1 Contract Evaluation Grading Sheet for Resident Engineer F.2 Contract Evaluation Grading Sheet for the Engineer's Representative F.3 Contract Evaluation Grading Sheet for QAO/IAC F.4 Contract Evaluation Tally Sheet (Large scale work) F.5 Contract Evaluation Tally Sheet (Small scale work) F.6 Contract Evaluation Tally Sheet (Labour-based work) G. Notification of scoring of contract evaluation G.1 Large Scale Work G.2 Small Scale Work G.3 Labour-based Work H. Taking Over Certification I. Database Format I.1 Contract Evaluation Database Format in Authority I.2 Integrated Contract Evaluation Database Format 86 87 88 104 105 114 123 124 124 125 126 129 130 131 132 132 133 134 135 136 136 137
86
A. Incorporating in Tender and Contract Document for Application of the Manual In order to specify the use of Supervision and Contract Evaluation Manual for Road works, the following will be introduced A.1 Bidding Document Section : Introduction to Bidders -Form for acceptance to contract evaluation at the end of Contract as per Supervision and Contract Evaluation Manual for Road works developed by the Ministry of Roads, 2012 A.2 Contract Document CONDITIONS OF CONTRACT PART II (CONDITIONS OF PATICULAR APPLICATION) SUBCLAUSE 2.1 ENGINEERS DUTIES AND AUTHORITY (a) (b) (c) (d) SUPERVISION OF WORKS The Works specified under this Contract shall be executed, supervised and evaluated in accordance with Supervision and Contract Evaluation Manual for Road works developed by the Ministry of Roads, 2012
SUBCLAUSE 5.2 PRIORITY OF CONTRACT DOCUMENTS (1) The Contract Agreement (if completed) (2) The Letter of Agreement; (3) The Tender and Appendix to Tender; (4) The Conditions of Contract Part II; (5) The Conditions of Contract Part I; (6) Special Specifications; (7) The Standard Specification for Road and Bridge Construction, 1986; (8) Supervision and Contract Evaluation Manual for Road works (9) The Drawings (10) The Priced Schedule of Rates
87
B. Work execution programme template
(Project Title)
CONTRACT No.: / /
Works Execution Programme
DD/MM/YYYY
CONTRACTOR Address: P.O.Box #####-#####
GENERAL MANAGER(DEPARTMENT) (AUTHORITY) Address: P.O.Box #####-#####
88
Table of Contents
B.1. General Information B.1.1 Project description B.1.2 Location map B.2 Work execution schedule B.2.1 Programme of works B.2.2 Planned cash flow B.3 Order of procedure and method of works B.4 Personnel management plan (In-house and subcontractor staff) B.5 Equipment management plan B.5.1 List of the Equipments B.5.2 Maintenance and repair plan B.6 Mobilization management plan B.6.1 Site base facilities B.6.2 Material plan B.7 Safety management plan B.7.1 Safety Plan B.7.2 Safety rules and regulations B.7.3 Duties of the Safety OfficerB.8 Environmental and social management plan B.8 Environmental and social management plan B.9 Quality control plan B.10 Quantity control plan B.11 Photograph plan 90 90 91 91 91 91 94 94 95 95 95 98 98 98 99 99 99 99 100 100 100 103
89
B.1 General Information B.1.1 Project Description (1) Project Objectives A brief description of the project which includes location, nature and extent of works (e.g. (i) contribute to improving the general service on the priority road network;(ii) promoting economic recovery; (iii) support the Government in its policy of provision of access to learning institutions (iv) reducing transport cost; (v) improving the living conditions of the neighboring population and their awareness of HIV/AIDS, road safety and environmental protection; and (vi) building the technical and operational capacity of the Authority (ix) job creation etc.) (2) Contract Data Project Title: Contract Number: Financier: Employer: Represented by: Implementing Agency:: Engineer: Engineers Representative: Regional office: Contractor: Address: Phone/Fax: Site Agent: / , , , , , , , , , , , , ,
Date of Tender: Date of Award: Contract Sum: Revised Contract Sum:
, , , ,
Date of Agreement Signed: Date of order to commence: Period of commencement: :
, , ,
90
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: Date of approval of Works Execution Programme:
B.1.2 Location Map
MAP
It shall include the route of the road with emphasizing portion of the works. Location of Contractors site base shall be indicated I the map.
B.2 Work execution schedule B.2.1 Programme of Works (Table I.2.1 in next page for programme of works) B.2.2 Planned Cash flow (Table I.2.2 in two pages later for planned cash flow)
91
Table B.2.1 Programme of Works

Commencement Date : Completion : Year Unit Quantity 10 20 10 20 10 20 10 20 10 20 10 20 10 20 Year Note
Project Title : Contract No. : Contractor :
Work Item
Bill No.
Description
100% 90% 80% 70% 60% 50% 40% 30% 20% 10% 0% % % % % % % % % % % % % % % % % % % % % % % % % % % % %
92
Planned Executed Planned Executed Planned Executed Planned Executed Planned Executed Planned Executed Planned Executed Planned Executed Planned Executed Planned Executed Planned Executed
Planned Finished Work Amount in the Month Executed Planned Finished Work Amount (Accumulated) Executed
Table B.2.2 Planned Cash Flow
93
Sep11 Oct11 Nov11 Dec11 Jan12 Feb12
Sep11 Oct11 Nov11 Dec 11 Jan12 Feb12
0 Mar12 Apr12 May12 Jun12 Jul12
Aug11
Month
Aug11
Mar 12
Apr 12
May12
Jun12
Jul 12
Original CashFlow
kshs
1stRevision
kshs
2ndRevision
kshs
3rdRevision
kshs
MonthlyCertificate
kshs
Actual CertificateCashFlow
kshs
EstimatedMonthlyCertificate
kshs
Table B.4.1 Senior Staff (Project management)

2011 Aug Sep Oct Nov Dec Jan Feb Mar Apr May Jun Jul Note 2012
Title
Name
Mobile Number
E-mail Address
Project Manager
Project Engineer
Assistant Engineer
Project
B.3 Order of procedure and method of works
Materials Engineer
Workshop Manager
B.4 Personnel management plan (In-house and subcontractor staff)
94
Quarry Manager
Chief Surveyor
Earthworks Superintendent 1
Earthworks Superintendent 2
Concrete Works Superintendent
Fuel Manager
Field Mechanic
Table B.4.2 Contractors Labour Returns

Ref Deployment 2011 Aug Sep Oct Nov Dec Jan Feb Mar 2012 Apr May Jun Jul
1 Site Agent 2 Site Engineers 3 Foreman 4 Asphalt Plant Operator 5 Plant Mechanic 6 Mechanic 7 Auto Electrician 8 Electrician 9 Tyreman 10 Boilerman 11 Mason 12 Carpenter 13 Pick-up Driver 14 Tipper Drivers 15 Pulvimixer 16 Excavator Operator 17 Shovel Operator 18 Broom Operator 19 Grader Operator 20 Roller Operator 21 Paver Operator 22 Milling Operator 23 Welders 24 Store Keeper 25 Office Assistant 26 Watchman 27 Causals TOTALS
B.5 Equipment management plan B.5.1 List of the Equipments (Table B.5.1 Equipment List and Schedule)
B.5.2 Maintenance and repair plan
95
Table B.5.1 Equipment List and Schedule

2011 Term-1 May Jul IndicateEquipment mobilisation by bar chart Earthwork, structure Earthwork, structure Earthwork, subgrade, base course Earthwork, subgrade, base course
Earthwork, subgrade, base course, pavement
2012 Term-2 Term-3 Feb Jul Earthwork, structure Mar Apr May Jun Aug Sep Oct Nov Roles and Purpose Sep Oct Nov Dec Jan
Machine Jun Aug
Capacity
Qty.
Unit
Apr
Excavator
0.7m3
No.
Excavator
0.4m3
No.
Excavator
0.25m3
No.
Bulldozer
7t
No.
Motor grader
3.6m
No.
Vibratory Roller
8ton
No.
Wheel Loader
2.9m3
No.
Tire Roller
15ton
No.
96
Macadam Roller
No.
Asphalt Distributer
3t
No.
Pavement Pavement Structure Site Site Structure Site Plant Plant Plant
Asphalt Finisher
6.0m
No.
Rough Terrain Crane
25ton
No.
Dump Truck
10t
10
No.
Dump Truck
4t
No.
Hydraulic breaker
0.7m3
No.
Water truck
8t
No.
Asphalt Mixing Plant
120ton/hr
No.
Concrete Batcher Plant
30ton/hr
No.
Crushing Plant
100ton/hr
No.
B.6 Mobilization management plan B.6.1 Site base facilities
SiteOfficeMap
B.6.2 Material plan (Table B.6.1 Material List and Schedule)
97
Table B.6.1 Material List and Schedule

2011 Term-1 Apr Jul Earthwork, structure Earthwork, structure Earthwork, structure Earthwork, subgrade, base course Earthwork, subgrade, base course
2012 Term-2 Term-3 Feb Jul Mar Apr May Jun Aug Sep Oct Nov Note Sep Oct Nov Dec Jan
Materials May Jun Aug
Specification
Qty.
Unit
Excavator
0.7m3
No.
Excavator
0.4m3
No.
Excavator
0.25m3
No.
Bulldozer
7t
No.
Motor grader
3.6m
No.
Vibratory Roller
8ton
No.
Wheel Loader
2.9m3
No.
Tire Roller
15ton
No.
98
Macadam Roller
No.
Asphalt Distributer
3t
No.
Pavement Pavement Structure Site Site Structure Site Plant Plant Plant
Asphalt Finisher
6.0m
No.
Rough Terrain Crane
25ton
No.
Dump Truck
10t
10
No.
Dump Truck
4t
No.
Hydraulic breaker
0.7m3
No.
Water truck
8t
No.
Asphalt Mixing Plant
120ton/hr
No.
Concrete Batcher Plant
30ton/hr
No.
Crushing Plant
100ton/hr
No.
B.7 Safety management plan B.7.1 Safety Plan
B.7.2 Safety rules and regulations
B.7.3 Duties of the Safety Officer
Table B.7.1 Emergency Contact List

Organization Section/Person HeadQuarter G.M.MTCE Authority ManagerMTCE ProjectEngineer ResidentEngineer HeadOffice Contractor SiteOffice SiteAgent HeadOffice Subcontractor1 SiteAgent Operator HeadOffice Subcontractor2 SiteAgent Operator Hospital Police ForEmergency Ambulance Firebrigade Electricity Name TelephoneNumber (Facsimile) Note (Address,etc) (Emailaddress,etc)
99
B.8 Environmental and social management plan
B.9 Quality control plan (Table B.9.1 Quality Control Plan, Table B.9.2 Inspection and Testing Plan)
B.10 Quantity control plan
100
Table B.9.1 Quality Control Plan

Test Method less than 50% AASHTO T99 AASHTO T99 ditto upper 300mm : once per 500m2 backfill : each new material not less than 8% (after a 4-day soak) opening up and each new source of aggregate opening up and each new source of aggregate Standard Value Test Frequency Remark TS-505 TS-505 TS-226( ) TS-226( )
Work
Item
Test Item
Plasticity Index
CBR
material
Maximum Dry Density
Earthwork
Optimum moisture content
: 95% MDD : 100% MDD : 100% MDD *Consultant Approval opening up and each new source of aggregate ditto ditto ditto once per 500m3 once per 500m3 once per 400m2 of each layer ditto once per 200m2 of each layer *Consultant Approval TS-1307 TS-1303(b) TS-1303(b) TS-1303(b) TS-1303(b) TS-226( ) TS-1303(b) TS-226( ) TS-226( ) TS-226( ) TS-1307 upper 300mm : once per 250m2 backfill : twice per 10m3 TS-508
field density test
Site
1)All fill material in embankment (except the 300mm below formation) 2)The 300mm below formation in embankments 3)The 300mm below formation in cuttings under the carriageway and shoulders a loaded scraper or truck with a minimum axle load of 8 tones AASHTO T96 Subbase : Max.50 (ASTM C 131) Base : Max.45 BS 812 AASHTO T104 Subbase : Max.20 (ASTM C 88) Base : Max.12 BS 812 BS 812 BS 812 BS 1377 BS 1377 AASHTO T99 Base : average not less than 98% MDD with no result less than 96% MDD Subbase : average not less than 96% MDD with no result less than 94% MDD Subbase : Max.35 Base : Max.30 Subbase : Base : min. 60 Subbase : Max.35 Base : Max.32
proofrolling
Subbase and Base Course
101
Los Angeles Abrasion Value
Aggregate Crushing Value
Sodium Sulphate Soundness test
crushed stone Crushing Ratio for subbase and base grading
Flankiness Index (FI)
Maximum Dry Density (MDD)
Specific gravity
field density test
Site
proofrolling
Table B.9.2 Inspection and Testing Plan

Work
Cutting
Item
Width
Survey Item
Standard Value
200mm
Survey Basis
40m centers pitch
excavation
depth
-0
40m centers pitch
Embankment
Width
-0, 250mm
40m centers pitch
Embankment
Slopes of cutting and embankment
+0.25
40m centers pitch
Sub grade
Elevation
-50, +0
40m centers pitch
Sub base
Elevation
15mm
40m centers pitch
Base
Elevation
10mm
40m centers pitch
Binder course
Elevation
10mm
40m centers pitch
Surface course
Level
10mm
40m centers pitch
Surface course
surface regularity
6mm 98% t 125% 100% t 120% not less than 1.33 times of the maximum particle size of the coarse aggregate 30mm
straight edge 3m long
Wearing, Binder, Base, Sub base
Thickness
5 points in any length of 100m
Wearing, Binder, Base, Sub base
Average thickness
ditto
Reinforcement
spacing bars
Elevation
1 point /1 location
Thickness
-20mm
1 point /1 location
width (inner size) culvert height Extension L 20m Extension L 20m
-30mm
1 point /1 location
30mm
1 point /1 location
-50
1 point /1 location
-100
1 point /1 location
Elevation Slope length L 3m Slope length L 3m Stone Masonry Thickness Block Thickness Back-filling
50
1 point per work extension 40m
-50
-100
-50
-50
Extension
-200
Elevation
50
thickness Thickness Back-filling
-20
-50
Retaining Wall
width height h 3m height h 3m
-30
-50
-100
length
-200
1 point /1 work section
102
B.11 Photograph plan
Table B.11.1 Photograph Plan

Item Type of Work Filming Item Filming Frequency
General
Construction
Quality Control
Construction Work Progress
Other
103
C. Daily report (Site diary) sample

SITE DIARY DATE:
CONTRACT: SECTION: WEATHER:
a) Temperature (Max /Min): b) Other relevant information (wind /fog etc): a) Labour:
Precipitation:
RESOURCES ON SITE:
b) Plant:
(Working)
Idle(reasons)
c) Materials delivered:
DAILY PROGRESS (including time lost, standing time for labour, plant,type of work completed and location):
SPECIAL EVENTS / OCCURRENCES:
(Including potential disputes)
MEETINGS: INSTRUCTIONS ISSUED (verbal & written):
EMERGENCY WORKS: TESTS CARRIED OUT:
(short summary indicating actual location and source of materials)
VISITORS TO SITE:
(Summary of discussions pertaining works)
REQUESTS BY CONTRACTOR (for information, drawings, etc):
Client's Rep
Sign
Contractor's Rep
Sign
104
D. Monthly Progress Report templates
(Project Title)
CONTRACT No.: / /
MONTHLY PROGRESS REPORT NO
DD/MM/YYYY
GENERAL MANAGER (DEPARTMENT) (AUTHORITY) Address: P.O.Box #####-#####
DIRECTOR GENERAL (AUTHORITY) Address: P.O.Box #####-#####
105
Table of Contents
D.1 EXECUTIVE SUMMARY D.1.1 Project Description D.1.2 Summary of work progress D.1.3 Financial Status D.1.4 Claims D.1.5 Project location map D.2 CONTRACT DETAIL D.2.1 Contract data D.3. PROGRESS OF THE WORKS D.3.1 Summary of physical progress D.3.2 Contractors Plant and Equipment Schedule D.3.3 Contractors Staffing Schedule D.3.4 Materials delivered on site D.3.5 Executed works D.4 FINANCIAL STATUS D.5 SUPERVISION ACTIVITIES D.5.1 General D. 5.2 Supervision check list D. 5.3 Engineers supervision staff D.5.4 Resident Engineers activities during the month D.5.5 Site meetings record of meetings held D.5.6 Visitors to site record of visitors to site. D.6 Quality and quantity control D.6.1 General D.6.2 Laboratory Staff D.6.3 Material Testing D.7 ENVIRONMENTAL MONITORING STATUS D.7.1 General D.7.2 Requirement and present conditions D.7.3 Weather condition summary APPENDICES Appendix D1 Programme of Works Appendix D2 Work progress chart Appendix D3 Cash Flow Appendix D4 Contractors personnel and labour 117 116 115 112 110 112 109 107 106
106
Appendix D5 Materials delivered to site Appendix D6 Records of payment Appendix D7 Resident Engineers staff (organization chart) Appendix D8 Quality Control Tests Appendix D9 Weather Report Appendix D10 Minutes of last site meeting
107
D.1 EXECUTIVE SUMMARY D.1.1 Project Description (Location, nature, extent of works, and project objectives as in A.1 Works Execution Programme) D.1.2 Summary of work progress (Short description in words about financial and physical progress made) D.1.3 Financial Status (Issues of payment certificate and certified amount in comparison with programme) (Detailed financial status table shall be referred to in Chapter 4) Table D.1.1 Summary of Financial Status
Unit Total Amount Certified Programmed Certification (As per (Date) Performance Programmes) Percentage Ksh Ksh % Amount Note
D.1.4 Claims (Summary and list of claims and notices of intention to claim) (brief statement on pending approvals, contractual claims, constraints, any significant occurrences disrupting to the works) D.1.5 Project Location map
MAP
It shall include the route of the road with emphasizing portion of the works. Location of Contractors site base shall be indicated I the map.
108
D.2 CONTRACT DETAIL D.2.1 Contract data Project Title: Contract Number: Financier: Employer: Represented by: Implementing Agency:: Engineer: Engineers Representative: Regional office: Contractor: Address: Phone/Fax: Site Agent: / , , , , , , , , , , , , ,
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: Date of approval of Works Execution Programme: , , ,
, , ,
, ,
, , ,
109
Time elapsed (months, %): % contract period elapsed: Remaining time (months) : % work done: Amount certified to date: % of contract certified to date: Date of this report: , , ,
, , ,
110
D.3. PROGRESS OF THE WORKS D.3.1 Summary of physical progress (overall progress during reporting month vis--vis programme of works Programme of works in Appendix 2). Table D.3.1 Physical Works progress
Physical Work Progress as at ##th ###, 20## Done Bill No. Description Unit Total Previous Months Outstanding Estimated Total % Done
This Month
Total to date
Overall progress Programmed Progress (Clause 14)
km km
D.3.2 Contractors Plant and Equipment Schedule Table D.3.2 Mobilizations of Plant/Equipment
S/No. Type of Plant/ Equipment Quantities (Numbers) Specification Unit Planned number Remarks Mobilized Balance
111
D.3.3 Contractors Staffing Schedule (Contractors labour returns in Appendix B.4) (Statement on number of jobs created & gender issues to be considered) Table D.3.3 Staff Scheduling
Numbers S/No. Personnel Planned number Remarks Mobilized Balance
D.3.4 Materials delivered on site (Summaries of material and fuel deliveries in Appendix B.6.2) D.3.5 Executed works (brief statement on works achieved during the month, works achieved to date, location of the works, any constraints) broken down in major work items: (1) Site Clearance and Topsoil Stripping (2) Earth Works (3) Excavation and Filling for Structure (4) Culverts and Drainage Works (5) Passage of Traffic (6) Grading and Gravelling Works (7) Paved Roads - Shoulder Maintenance and Repairs (8) Natural Material Base and Subbase (9) Graded Crushed Stone Base and Subbase (10) Cement and Lime Treated Subgrade, Subbase and Base (11) Bituminous Surface Treatment & Surface Dressing (12) Bituminous Mixes (13) Concrete Works (14) Road Furniture Repair and Maintenance (Chart showing a comparison of physical progress against programmed progress in Appendix 2 D.4 FINANCIAL STATUS (Value of work certified, repayment of advance, payments to contractor to date and details of any outstanding payments. Record of interim payment certificates in Appendix 5, Outstanding payments as at (reporting date))
112
Table D.4.1
Cert. No. Amount (Kshs) Date Signed by RE Payment expiry date Interest period as at (date) Default commence ment date Remarks
Total Due
Table D.4.2 Summary of Works Paid to Date

Bill No. Description Tender Amount (Kshs) Previous Amount (Kshs) Amount This Period (Kshs) Amount to Date (Kshs) Percentage Certified (%)
A B C D E
Subtotals 1 Contingencies V.O.P Subtotals 2 VAT TOTAL
113
D.5 SUPERVISION ACTIVITIES D.5.1 General (Brief summary of supervision activities) D.5.2 Supervision Check List (Description of check result and the following two pages are check list)
114

Date
The Engineer's Representative (Project Engineer)
Name
Signature
Project Title:
Contractor:
Resident Engineer
before
During execution
after
/ / / / / / / / / Reason for unsatisfactory performance (Site diary No.) Corrective order by authority (Date) Excellent point to be specified
Remarks
Item
/
Check Point
Execution system in general
1-1
Works Execution Programme (including its revised version if any) is submitted before the date specified in contract document
1-2
Works Execution Programme properly reflects the given specifications and site conditions
1-3
Execution procedures are in accordance with Works Execution Programme
Equipment holding
2-1
All equipment used are properly mobilized in accordance with Works Execution Programme
2-2
All equipment used is well maintained during the execution of works
115
Contractor's inhouse staff
3-1
Qualified technical staff of contractor are properly assigned as specified in Works Execution Programme
3-2
Contractor's in-house key staff understand work process and schedule properly
3-3
Contractor's in-house staff give technical guidance and direction to workers and operators properly and timely
3-4
Communications with authority in writing is properly and timely
Personnel employment
4-1
Workers and operators are deployed in accordance with Works Execution Programme
4-2
Wage payment is properly made on time
Site base facilities
5-1
Office and stockyard are prepared in accordance with Works Execution Programme
5-2
Site is well maintained during the work execution and cleared on completion
5-3
Material stored on site is properly managed during the work execution
Quality and quantity management
6-1
Material testing, structural examination, and measurements are properly and routinely conducted based on specifications and Works Execution Programme
N/A Not applicable

Signature The Engineer's Representative (Project Engineer) Resident Engineer
Project Title:
Contractor:
before
During execution
after
Remarks
Item Check Point / / / / / / / / / /
6 Quality and quantity management
6-2
Results of material testing, structural examination and measurements are within the specifications.
6-3
Results of material testing, structural examination, and measurements are properly compiled as reports for confirmation
7 Work scheduling
7-1
Understanding of critical path and its reflection on scheduling are proper
7-2
Actual proceedings are periodically compared to the planned schedule described in Works Execution Programme
7-3
Changes caused by site conditions are properly handled to keep Works on schedule
116
7-4
All works are completed within the contract term or within the extended term as allowed
8 Work safety management
8-1
No accident occurs to workers, operators, or third-parties.
8-2
Safety of workers and operators is considered
8-3
Accident prevention efforts for third-parties are proper
8-4
Traffic and site safety devices are properly installed and managed
8-5
Temporary facilities (e.g. scaffolding) are constantly checked
9 Environmental and social management
9-1
Environmental and social mitigation efforts (e.g. against noise, vibration, emission, and dust ) are conducted
9-2
Waste material from site is properly disposed
9-3
Damage to existing roads, works and services is avoided or are repaired when it occurs
9-4
Transportation by vehicles is properly done with no overloading, and neither material falling, leakage, nor spillage.
N/A Not applicable
D.5.3 Engineers supervision staff (number, organization chart in Appendix 5) D.5.4 Resident Engineers activities during the month (Quality control test in Appendix 6) D.5.5 Site meetings record of meetings held (minutes of last site meeting in Appendix 7) D.5.6 Visitors to site record of visitors to site. D.6 Quality and quantity control D.6.1 General (Brief description of activities on quality and quantity control) D.6.2 Laboratory Staff
D.6.3 Material Testing
Table D.6.1 Summary of Laboratory Tests carried out in (month) (year)

No. of Tests
Description
Tests Passed Failed
Retests Passed Failed
Remarks
Objective Road Section (Km #+#### - Km #+####) Test carried out on (______________)
Objective Road Section (Km #+#### - Km #+####) Test carried out on (______________)
117
7. ENVIRONMENTAL MONITORING STATUS Environmental monitoring status report showing the requirement & present condition. 7.1 General
7.2 requirement & present condition
7.3 Weather condition summary (See appendix)
118
Table D.A2.1 Works Progress Chart
APPENDICES
% OF BOQ
% THIS MONTH
ITEM % COMPLETE
11.40 7.23 21.10 23.35 6.39 10.00 17.03 9.62 2.04 1.95 2.48 2.79 8.11 7.30 5.70 1.21 6.14 5.60 10.72 4.34 6.45 0.16 0.89 0.07 0.75 0.48 LEGEND SCHEDULED TOTAL 75.56 95.72 PREV THIS MONTH 4.26 TOTAL 100.00 30 33 7 7 16 7.6 37 40 44 47 51 54 58 64.8 68 100 25 35 44 53 72 81 91 100 23 25 30 36 40.4 15 30 55 100 44 51 79 89 44 46 52 58 58 58 63 10 11 12 14 14 14 18 27 21.2 80 91.2 97 100 62 100 44 50 56 61 61 61 62 73 85 90.1 49 57 64 69 69 69 95.5 80 90 95 100 112.5 40 64 88 94 56.5 29 34 41 50 55 60 71 85 156.5 86 90 96 98 98 98 99 110.7 82 86 92 94 94 94 97 63.3
0.28
100.00
TOTAL % COMPLETE PREVIOUS
11.14
TOTAL % COMPLETE TODATE
SEPT OCT NOV DEC JAN FEB MAR APR MAY JUN JUL AUG SEPT OCT NOV DEC JAN FEB MAR APR MAY JUN JUL AUG SEP OCT NOV DEC JAN FEB MAR APR MAY
11.42
51
53
63
68
73
78
83
88
93
98
100
General
340,369,905.60
0.07
63.33
7.16
21.10
100.00
21.10
4/5
Earthworks
628,923,486.00
0.15
110.69
23.20
6.40
100.00
6.39
Excavation and filling for structures
190,446,440.00
Appendix D2 Work progress chart
Appendix D1 Programme of Works
0.23
156.54
9.77
17.00
100.00
17.03
Culvert and drainage works
507,750,310.00
0.36
56.48
9.26
2.00
100.00
2.04
Passage of traffic
60,897,213.00
0.01
95.55
1.94
(Table AD2.1 Works Progress Chart(sample))
2.50
100.00
2.48
12
Subbase
74,065,700.00
0.07
112.46
2.72
8.10
100.00
8.11
13
Graded crushed stone base
241,747,200.00
(Refer to B.2.1 Programme of Works in Works Execution Programme)
119
COMPLETION (%) ACTUAL PREV 72.88 2.68 THIS MONTH
0.21
90.08
7.09
0.80
14
Subbase
23,083,200.00
5.70
100.00
5.70
15
Bituminous surface treatments and surface dressing
170,071,350.00
0.03
21.17
1.18
6.10
100.00
6.14
16
Bituminous mix base and wearing courses
183,129,760.00
0.06
91.18
5.54
10.70
100.00
10.72
17/19/21 Bridge/Box culverts
319,578,747.00
40.45
4.33
6.40
2.90
100.00
3.55
20
Road furniture
192,235,214.00
0.03
2.46
0.13
0.90
0.08
100.00
0.81
22
Dayworks
26,516,085.00
7.61
0.07
0.70
0.24
100.00
0.51
25
HIV AIDS campaign
22,297,272.00
0.03
64.80
0.46
TOTAL
2,981,111,882.60
100
MT. KENYA REGION RURAL INFRASTURE PROGRAMME (PHASE I)
TIME ELAPSED
MONTHS
%
PROGRAMMED WORK CONTRACTOR'S PERFORMANCE PROGRAMME COMPLETION PERIOD
##### ROADS
33
137.5
ACTUAL WORK DONE REPORTING PERIOD
CONTRACT RD 0529
END 15
BILL No.
DESCRIPTION OF WORKS
BILL TOTAL
TH
MAY
2009 2011 2012
2010
Appendix D3 Cash Flow (Refer to B.2.2 Planned Cash Flow in Works Execution Programme) Appendix D4 Progress Photographs (Km shall be indicated in the captions of photographs) Appendix D5 Contractors personnel and labour (Refer to B.4. Personnel Management Plan in Works Execution Programme)
120
Table DA6.1 Records of Payment
RECORDS OF PAYMENTS TO CONTRACTOR COMMCENCEMENT DATE: COMPLETION:

TOTAL OF ADVANCE-Kshs
Amount of Certificate Work Done Materials on Variation Of Interest on Site Price Late Payment Retention Money Repayment Total Of Advance Certified Payment Including Retention Payment Date
Appendix D6 Records of payment
CONTRACT NAME: CONTRACT NO: CONTRACTOR:
CONTRACT SUM KSH
Certificate IPC No.
Date Of R.Es Approval
Payment Interest Expiry Date Period
121
KSh. KSh. KSh. KSh. KSh.
KSh.
KSh.
Appendix D7 Resident Engineers staff (organization chart)
Appendix D8 Quality Control Tests
Appendix.D9 Weather report Table DA9.1 Weather Record for the Month of (Month), (Year)
Date Rainfall (mm) Site Office (km#+###) Weather Condition Morning Afternoon Rainfall (mm) Site Office (km#+###) Weather Condition Morning Afternoon
Total Monthly Rainfall
Appendix D10 Minutes of last site meeting
122
E. Report for Substantial Completion Meeting Most of the part is identical to the Monthly Progress Report. Therefore, Appendix D can be referred. 1 Executive Summary 1.1 Location of the Project 1.2 Background of the Project 2 Project Descriptions 2.1 Detailed Scope of Works 2.2 Contract Details 2.3 Physical Work Progress Summary 3 Conclusions and Snag List 3.1 Appendix II: Project Location Map 3.2 Appendix III: Project Photographs
123
F Contract evaluation tally sheet F.1 Contract Evaluation Grading Sheet for Resident Engineer
ContractEvaluationGradingSheetforResidentEngineer
Project Title: Resident Engineer : Comment :
Items Descriptions
Scale of Work
Date: Signature:
*L
Lb
Grade
Note
(Record on Supervision Check List)
Work procedures are in accordance with Works 1. Execution System Execution Programme that properly reflects given in General conditions. 2. Equipment holding 3. Contractor's Inhouse staff 4. Personnel employment 5. Site base facilities 6. Quality and quantity management 7. Work scheduling 8. Work safety management 9. Environmental and social management All equipments used in the works are mobilised properly and well-maintained The qualified technical engineers and in-house staffs are assigned Reasonable number of skilled workers/operators is properly employed by the contractor Site 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. Work has been progressed and completed as planned Necessary measures are taken for safety of workers, operators, and third party. No serious accident occurs during the contract period. Environmental and social issues caused by the works are minimized and mitigated properly
a b a b a b a b a b a b a b a b a b
c d c d c d c d c d c d c d c d c d
e e e e e e e e e
- --
Grading Criteria
a
Excellentperformanceis presentedfor the evaluationitems specified in3.4.1. Examples ofexcellent performanceareindecated inTable2.5.1.1 2.5.9.4
d
Correctiveorder is made TheContractor complies withtheorder withinthe contractperiod.However corrections arepoor.
e
TheContractor does not complywithitduringthe contractperiod
Nocorrectiveorder is made Theworkexecutedis TheContractor complies satisfactory,butno withtheorder withinthe excellentpeformanceis contractperiod. presentedfor the evaluationitems specified in3.4.1.
Issuanceof correctiveorder
NO YES
YES NO YES
NO
YES NO
124
F.2 Contract Evaluation Grading Sheet for the Engineer's Representative
ContractEvaluationGradingSheetfortheEngineer'sRepresentative
Project Title: Engineer's Representative : Comment :
Scale of Work
RE's Grading
Date: Signature:
Items
2. Equipment holding 3. Contractor's Inhouse staff 4. Personnel employment 7. Work scheduling 8. Work safety management 9. Environmental and social management 10.Innovation effort
Descriptions *L
All equipments used in the works are mobilised properly and well-maintained The qualified technical engineers and in-house staffs are assigned Reasonable number of skilled workers/operators is properly employed by the contractor Work has been progressed and completed as planned Necessary measures are taken for safety of workers, operators, and third party. No serious accident occurs during the contract period. Environmental and social issues caused by the works are minimized and mitigated properly Innovation effort is made by using new materials, new technology, process rationalization, etc. -
Grade
Note
(Record on Supervision Check List) (Reason to grade "a")
S
- --
Lb
-- --
a a a a a a
b,c,d
e a e a e a e a e a e a
0 - +10 0 - -10
c c c c c c
e e e e e e
b,c,d
b,c,d
b,c,d
b,c,d
b,c,d
--
--
Grading Criteria
a Remarkable effort is made for the evaluation items specified in 3.5.1. 1. RE evaluates "a" OR 2. RE evaluates "b, c, or d", however, ER finds a remarkable effort by the Contractor
c Effort is made in average sense for the evaluation items specified in 3.5.1. RE evaluates "b, c, or d", and ER does not find any remarkable efforts by the Contractor
e Effort is insufficient for the evaluation items specified in 3.5.1. RE evaluates "e"
b , c , d

YES NO
125
F.3 Contract Evaluation Grading Sheet for QAO/IAC (1/3)
Project Title: Quality Assurance Office/Inspection and Acceptance Committee Chair: (Name) Comment :
Scale of Work
Date: Signature:
Items
Descriptions *L S Lb
Grade
Note
1. Execution System Overall execution system is confirmed to be proper in General during audit or at Substantial completion meeting
a b c d e
Measured parameters are within the specified allowable ranges with proper workmanship
a b c d e
Grading Criteria
a
Rateofcompliance withrequirementsin 3.6.2isverygood fortheevaluation itemsin3.6.1.
b
Rateofcompliance withrequirementsin 3.6.2isgoodforthe evaluationitemsin 3.6.1.
c
Rateofcompliance withrequirementsin 3.6.2isfairforthe evaluationitemsin 3.6.1.
d
Rateofcompliance withrequirementsin 3.6.2ispoorforthe evaluationitemsin 3.6.1.
e
Rateofcompliance withrequirementsin 3.6.2isverypoor fortheevaluation itemsin3.6.1.
Evaluatordetermined inTable 3.1andFig.3.1
QAOevaluates
IACevaluates
1. Execution system in General
6. Quality and Quantity Management
1. Execution system in General 6. Quality and Quantity Management
GradingbasedonRateof compliancewith requirementsinTable3.9 (b)
Gradingbasedonscoringsfor thefollowings QuantityManagement QualityManagement Workmanship inTable3.9(c)
Supervision Check list
a, b, c, d, e
a, b, c, d, e
a, b, c, d, e
126
Item Descriptions 1. Execution System Overall execution system is confirmed to be proper during audit or Substantial completion meeting b Grade c d
Check ( ) Points to be checked
Satisfactory Unsatisfactory N/A
1 Work execution programme is submitted before commencement Work execution programme properly reflects the given specifications and site conditions Execution procedures are conducted in accordance with Works Execution Programme Proper handling of changes of site conditions (e.g. work environment, climate, geological conditions)
5 Proper management of material stocks through inventory Proper allotment of workers, operators and qualified technical supervisors Proper preparation and organization of reporting documents in accordance with Works Execution Programme Notice of operation to engineer is properly conducted before carrying out.
9 All equipment used are properly mobilized
10 Proper recycling efforts of by-products from site Proper in-house quality assurance system and its documentation procedures Others;(Specify)
11
12
Percentage = 100 - 80.1%
= = / (12-) *100% =
Total Number = 60.0 - 40.1%
---
= 80.0 - 60.1%
= 40.0 - 20.1%
= 20.0 - 0%
127
Item Description 6. Quality and quantity management Measured parameters are within the specified allowable ranges with proper workmanship
All necessary scale measurements are conducted and recorded as specified, and all measured parameters are within the specified allowable range 3.0 All necessary quality measurements are conducted and recorded as specified, and all measured figures are within the specified allowable range 3.0 Although some of the necessary scale measurements were not conducted as specified, the contractor complied with a corrective order Nevertheless a corrective order was issued, the Contractor did not comply with it.
Quantity Measurements
1.5 Although some of the necessary quality measurements were not conducted as specified, the Contractor complied with a corrective order
0.0 Nevertheless a corrective order were issued, the Contractor did not comply with it.
Quality Measurements
1.5
0.0
Check ( ) Sub-sub item a) Good appearance of finished work

1 2 3 4 5 6 7
Check Point
Satisfactory Good exterior appearance Good alignment and spacing Good overall surface alignment Good top and edge finishing Good shaping for connection to adjacent structures Good overall cleaning Good surface touch No irregular shape of earth works No visible cracks
Unsatisfactory
N/A
Workmanship
b) No major flaws or deterioration
8 9
10 No water leakage 11 No excessive water pool (puddle) on the surface 12 No spot of bitumen/mortar on other structure 13 No visible flaws and rusts on the surface
c) Fitness for purpose
14 Good functionality of structure for its purpose 15 Good visibility of road furniture from road users 16 No obstacles for road users left
Total Number = Percentage = / (16 - ) * 100% = = 100 - 80.1% Z 4.0
---
= 80.0 - 60.1% 3.0
= 60.0% - 40.1% 2.0
= 40.0 - 20.1% 1.0
= 20.0 - 0.0% 0.0
Total Point : X + Y + Z = Ranges Grade 10.00 - 7.51 a 7.50 - 5.01 b 5.00 - 2.51 c 2.50 - 0.01 d 0.0 e
128
ContractEvaluationScoreTallySheet(LargescaleworkbyClassA,B,C,andDcompanies)
DateofCommencement CompletionDate CompanyClass DateofSubstantial CompletionMeeting ScoringDate ResidentEngineer (name) (name)

Ba s icScores p0
a 10.0 5.0 0.0 10.0 7.5 c e a b c 5.0 Inter item weightsw1 weightby evaluator w2 c 5.0 2.5 0.0 d e
ProjectTitle
ContractNumber
Contractor
ContractSum TheEngineer's Representative (name)

Ba s i cScores p0
d 2.5 e 0.0
QualityAssuranceOffice/ InspectionandAcceptanceCommittee
Items
Ba s i cScores p0
a 10.0 7.5 Inter item weightsw1 weightby evaluator w2 b Inter item weightsw1 weightby evaluator w2
Descriptions
Net Scores byItem
Net Score p =w1x w2xp0

6.00 6.0 4.0 7.00 3.0 9.0 1.75 3.0 9.0 1.25 0.00 0.3 0.00 9.00 4.50 0.00 0.3 7.0 5.25 3.50 1.75 0.00 9.00 4.50 0.00 0.2 8.00 4.50 3.00 1.50 0.00
NetScore p =w1xw2 xp0
NetScore p = w1xw2x p0

1.2 0.5
14.0 6.00 4.00 8.0 2.00 0.00

1.4 7.00 7.0 1.0 5.0 5.00 5.0 5.00 1.0 5.0 0.5 7.5 5.0 2.5 0.0 3.75 2.50 1.25 0.00 0.5 5.00 3.75 2.50 5.25 3.50 0.5
2.Equipmentholding
1.4 0.5
16.0
3.Contractor's Inhouse Thequalifiedtechnical engineers andinhousestaffs areassigned staff
16.0
F.4 Contract Evaluation Tally Sheet (Large scale work)

5.0
129
1.0 0.5 1.0 5.0 5.00 3.75 2.50 5.0 5.00 3.75 2.50 5.0 50.00 1.25 0.00 1.25 0.00 0.5 5.00 3.75 2.50 1.25 0.00 2.0 0.3 6.00 3.00 6.0 1.0 0.3 3.00 1.50 3.0 1.0 0.3 (max30) 0+10 3.00 1.50 3.0 30.00 1.0 0.5 1.0 (max50) 0.5 010
5.0
17.0 6.0 0.00 0.2 12.00 9.00 6.00 12.0 11.0 0.00 3.00 0.00
7.Workscheduling
Necessarymeasures aretakenfor safetyofworkers,operators,andthird party.Noserious accidentoccurs duringthecontractperiod.
8.0 0.00
8.0 (max20) 20.00 100.00 0
NetScoreTotal
10.Innovationeffort
GrandTotal
100.00
Date
Signature
(TheEngineer)
ContractEvaluationScoreTallySheet(SmallscaleworkbyClassEandUnderCompanies)
DateofCommencement CompletionDate CompanyClass DateofSubstantial CompletionMeeting ScoringDate ResidentEngineer (name) (name)
Ba s i cScores p0
a 10.0 7.5 b c 5.0 d 2.5 e 0.0 c 5.0 0.0 e
ProjectTitle
ContractNumber
Contractor
ContractSum TheEngineer's Representative (name)

Ba s i cScores p0
a 10.0 Inter item weightsw1 weightby evaluator w2 c 5.0 2.5 0.0 d e
QualityAssuranceOffice/ InspectionandAcceptanceCommittee
Items
Ba s i cScores p0
a 10.0 7.5 Inter item weightsw1 weightby evaluator w2 b Inter item weightsw1 weightby evaluator w2
Descriptions
Net Scores byItem
NetScore p =w1xw2xp0
5.00 5.0 4.0 7.00 3.0 0.3 9.0 1.50 0.00 7.0 5.25 3.50 1.75 0.00 9.00 4.50 0.00 0.2 8.00 3.75 2.50 1.25 0.00

1.0 0.5
13.0 6.00 4.00 8.0 16.0 2.00 0.00
Overall executionsystemis confirmedtobeproper duringauditorat Substantial completionmeeting

1.4 0.5 6.00 6.0 7.00 7.0 5.00 5.0 5.00 1.0 5.0 0.5 3.75 2.50 1.25 0.00 3.75 2.50 1.25 0.00 3.0 0.3 5.25 3.50 1.75 0.00 9.00 4.50 9.0 0.00 4.50 3.00
2.Equipmentholding
1.2 0.5
3.Inhousestaff
1.4 0.5
Thequalifiedtechnical engineers andinhousestaffs areassigned
6.0
F.5 Contract Evaluation Tally Sheet (Small scale work)
130
1.0 0.5 1.0 5.0 5.00 3.75 2.50 5.0 5.00 3.75 2.50 5.0 (max50) 50.00 (max30) 1.25 0.00 1.25 0.00 2.0 0.3 6.00 3.00 6.0 2.0 0.3 6.00 3.00 6.0 30.00 0.5 5.00 3.75 2.50 1.25 0.00 1.0 0.5 1.0 0.5 010 0
16.0
5.0
17.0 6.0 0.2 12.00 9.00 6.00 12.0 5.0 0.00 3.00 0.00
7.Workscheduling
Necessarymeasures aretakenforsafetyofworkers,operators,andthird party.Noserious accidentoccurs duringthecontractperiod.
11.0 0.00
11.0 (max20) 20.00 100.00
NetScoreTotal
10.Innovationeffort

0
GrandTotal
100.00
Date
Signature
(TheEngineer)
ContractEvaluationScoreTallySheet(Labourbased)
DateofCommencement CompletionDate CompanyClass ScoringDate ResidentEngineer
(na me) Bas i cScores p0
a 10.0 7.5 5.0 2.5 0.0 10.0 5.0 0.0 10.0 7.5 b c d e a c e a b c 5.0 Inter item weightsw1 weightby evaluator w2 Inter item weightsw1 weightby evaluator w2
ProjectTitle
ContractNumber DateofSubstantial CompletionMeeting
Contractor
ContractSum TheEngineer's Representative

(na me) Bas i cScores p0 (na me) Bas i cScores p0
d 2.5 e 0.0
QualityAssuranceOffice/ InspectionandAcceptanceCommittee Net Scores byItem
Items
Inter item weightsw1 weightby evaluator w2
Descriptions
6.00 6.0 4.0 0.2 8.00 4.50 3.00 1.50 0.00

1.2 0.5
14.0 6.00 4.00 8.0 2.00 0.00
2.Equipmentholding
1.8 9.0 2.2 11.0 0.5 4.0 11.00 0.3 8.25 5.50 2.75 0.00 12.00 6.00 12.0 0.00 0.5 9.00 6.75 4.50 2.25 0.00

9.0
3.Inhousestaff
Thequalifiedtechnical engineers andinhousestaffs areassigned
F.6 Contract Evaluation Tally Sheet (Labour-based work)

23.0
131
6.00 1.2 6.0 0.5 4.50 3.00 1.50 0.00 1.2 6.0 1.2 6.00 4.50 0.5 6.00 4.50 3.00 6.0 1.2 (max50) 0.5 3.00 6.0 50.00 (max30) 1.50 0.00 3.0 0.3 9.00 1.50 0.00 3.0 0.3 9.00 4.50 9.0 4.50 9.0 30.00 0.5 6.00 4.50 3.00 1.50 0.00 010 0
18.0 6.0 0.2 12.00 9.00 6.00 12.0 6.0 0.00 3.00 0.00
7.Workscheduling
Necessarymeasures aretakenfor safetyofworkers,operators,andthird party.Noserious accidentoccurs duringthecontractperiod.
15.0 0.00
15.0 (max20) 20.00 100.00
NetScoreTotal
10.Innovationeffort

0
GrandTotal
100.00
Date
Signature
(TheEngineer)
G. Notification of scoring of contract evaluation G.1 Large Scale Work
OfficialLetterHead
REF: DATE: To:
NOTIFICATION OF SCORING OF CONTRACT EVALUATION
CONTRACT NAME:..
Works Completed Contract Sum Contract No Contract Period Commencement Date Completion Date Contract Evaluation Date Score
Item ExecutionSysteminGeneral Equipmentholding Inhousestaff Personnelemployment Sitebasefacilities Qualityandquantitymanagement Workscheduling Worksafetymanagement
: : : : : : :
Scores
Allocation 14.0 16.0 16.0 5.0 5.0 17.0 11.0 8.0 8.0 100.0 0+10 100 110.0
Environmentalandsocialmanagement Subtotal Innovationeffort Compliancewithstatutoryrequirements GrandTotal
Queries to be addressed within fourteen (14) days to(AuthorityAddress)
132
G. Notification of scoring of contract evaluation G.2 Small Scale Work
OfficialLetterHead
REF: DATE: To:
CONTRACT NAME:..
Item ExecutionSysteminGeneral Equipmentholding Inhousestaff Personnelemployment Sitebasefacilities Qualityandquantitymanagement Workscheduling Worksafetymanagement
: : : : : : :
Scores
Allocation 13.0 16.0 6.0 16.0 5.0 17.0 5.0 11.0 11.0 100.0 100 100.0
Environmentalandsocialmanagement Subtotal Compliancewithstatutoryrequirements GrandTotal
133
G. Notification of scoring of contract evaluation G.3 Labour-based Work
OfficialLetterHead
REF: DATE: To:
CONTRACT NAME:..
Item ExecutionSysteminGeneral Inhousestaff Personnelemployment Qualityandquantitymanagement Workscheduling Worksafetymanagement Subtotal GrandTotal
: : : : : : :
Scores
Allocation 14.0 9.0 23.0 18.0 6.0 15.0 15.0 100.0 100 100.0
Environmentalandsocialmanagement Compliancewithstatutoryrequirements
134
H. Taking Over Certificate OfficialLetterHead
TAKING OVER CERTIFICATE

CONTRACT NAME:..
EMPLOYER (Authority Name) Thro General Manager (Dept. Name) (Authority P.O. Box) NAIROBI. ENGINEER General Manager (Dept. Name) (Authority Name) (AuthorityP.O. Box) NAIROBI. CONTRACTOR (Contractor) (Company Name) (Company P.O.Box) (Name of Town)
Works Completed Contract Sum Contract No Contract Period Defects Liability Period Commencement Date Completion Date Total Score of Contract Evaluation
: : : : : : : :
Pursuant to Clause 48 of the Conditions of Contract, it is hereby certified that the Contractor has finally completed the works detailed above to the satisfaction of the Engineer. Inspection of these works was carried out on by representatives of the Employer, the Engineers Representative, and the Contractor. CONTRACTOR Signed: Date: Name: RESIDENT ENGINEER .. . GENERAL MANAGER (M) . ..
135
I Database Format I.1 Contract Evaluation Database Format in Authority

No. Authority Region 1 KeNHA Central
NameoftheContract Contract Information ContractNumber DateofCommencement CompletionDate DateofSibstantial CompletionMeeting
RoutineMaintenanceof AAABBB(C##)Road
RD### 2010/09/23 2011/10/26 2011/12/01 Ksh181,268,560 ABCCompany C ####### 10.50 9.75 9.75 3.75 3.75 14.50 9.75 5.25 4.00 4.00 0.00 69.75

WorkType Score
ContractSum Contractor's Name Company Class Information PINCode 1.ExecutionSysteminGeneral 2.Equipmentholding 3.Inhousestaff 4.Personnel employment 5.Sitebasefacilities 6.Qualityandquantitymanagement 7.Workscheduling 8.Worksafetymanagement 9.Environmental andsocial management 10.Innovationeffort 11.Compliancewithstatutoryrequirement Total 4.SiteclearanceandTopsoil Stripping 5.Earthworks 7.ExcavationandFilingfor Structures 8 1.DitchandCulvertCleaning 8 2.Culvertinstallationandconstruction 9.PassageofTraffic 10.GradingandGravellingWorks 11.PavedRoads Shoulder MaintenanceandRepairs 12.Natural Material BaseandSubbase 13.GradedCrushedStoneBaseandSubbase 14.CementandLimeTreatedSubgrade,Subbase,andBase 15.Bituminous SurfaceTreatmentandSurfaceDressing 16.Bituminous Mixes 17.ConcreteWorks 20.RoadFurnitures andMaintenance
136
CLASS
Alphabet
81. DitchandCulvertCleaning
82. Culvertinstallationandconstruction
9. PassageofTraffic
16. BituminousMixes
12. NaturalMaterialBaseandSubbase
7. ExcavationandFiling for Structures
5. Earthworks
11. PavedRoadsShoulder MaintenanceandRepairs
4. SiteclearanceandTopsoilStripping
10. Grading andGravelling Works
A 68 68 65 73 69 75 75 71 68 70 1
AA1 CompanyLtd.
15274
65
65
68
68
64
64
58
65
62
69
69
2 1
5 6
6 4
5 1
13. GradedCrushedStoneBaseandSubbase
5 3
14. CementandLimeTreatedSubgrade, Subbase, andBase
2 3
15. BituminousSurfaceTreatmentandSurfaceDressing
5 6
5 6
AB1 CompanyLtd.
31489
71
74
73
17. ConcreteWorks
3 2 3 1 5 6 3 5 7 5 11 2 5 4 7 10 7 10 5 5 14 4 2 1 1 1 1 1 1 2 1 4 3 4 4 3 2 3 2 8 4
A 66 69 58 58 76 64 72 70 72 69 75 72 66 65 64 65 65 67 66 68 72 69 69 69 71 74 73 71 72 72 1 3
3 5 1 5 5 1 4 3
ZZ1 CompanyLtd.
56304
76
64
71
70
I.2 Integrated Contract Evaluation Database Format
137
58 73 70 70 68 68 65 71 69 71 65 68 67 70 61 55 58 57 59 58 54 54 70 65 1 1 66 75 67 68 68 69 67 70 70 68 75 72 74 72 67 66 74 72 66 75 71 68 71 70 67 69 64 66 74 68 63 67 72 65 71 66 5 3 57 58 65 65 53 56 68 65 58 61 63 56 63 57 57 67 71 65 57 65 63 53 64 67 59 54 67 53 61 67 2 4 66 57 54 62 60 58 71 64 68 72 69 69 68 69 65 54 71 73 56 74 62 65 59 73 65 56 71 64 58 72 58 73 69 72 66 58 4 66 68 72 69 69 69 71 74 73 71 72 72
AA2 CompanyLtd.
73190
73
67
75
72
AB2 CopanyLtd.
67845
65
65
4 1 1 2 2 2 2 2 1 6 4 4 4 2 2 3 3 1 3 2 8 4 1 4 1
ZZ2 CompanyLtd.
34582
54
58
56
AA3 CompanyLtd.
75618
78
72
75
AB3 CompanyLtd.
52356
72
72
7 17 12 4 5 10 4 3 20 3 10 15 3 3 6 3 4 3 1 4 5 4 7 7 5 10 8 3 2 2
ZZ3 CompanyLtd.
32659
67
78
63
69
AA4 CompanyLtd.
72190
71
68
72
74
71
AB4 CompanyLtd.
43275
65
65
4 17 5 1 1 5 2 11 4 2 2 1 5
ZZ4 CompanyLtd.
36486
54
54
AA5 CompanyLtd.
63891
56
62
63
60
AB5 CompanyLtd.
47819
68
68
11 17 3 2 1 3 1 12 4 1 3 3
ZZ5 CompanyLtd.
74278
75
64
71
70
AA5 Company
83591
56
63
68
62
AB5 Company
24057
55
55
11 3 7
ZZ5 Company
58903
64
58
70
64
20. RoadFurnituresandMaintenance
1
Total Scores inContractEvaluation Numbers ofContracts byWorkTypes 2012 2016 2013/2014 2014/2015 2015/2016 2016/2017
Scores
AVE. AVE. AVE. AVE.
CompanyInformation
Scores Scores Scores
Contractor's Name
PIN Code
2012/2013
Scores
AVE.

Supervision Manual

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Supervision Manual

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REPBULIC OF KENYA

Supervision and Contract Evaluation Manual for Road Works

JAPAN INTERNATIONAL COOPERATION AGENCY

Strengthening of Capacity on Road Maintenance Management through Contracting

Quality/Quantity Scheduling CheckList Safety

Fig.1.1 General Concept of Supervision and Contract Evaluation System

Next Procure ment

Check & Record

Contract Evaluation Grading/Scoring

Comparison Work Appraisal Works Execution Programme

Compliance with Corrective Order

Site Diary (Daily Report)

Monthly Progress Reports (SCL)

Substantial Completion Certificate

Taking Over Certificate

Fig.1.3 Documents used in the Process

Approval Yes Commencement of Works

Issuance of Corrective Order No Monthly Inspection / SCL

Monthly Progress Meeting

Compliance with WEP Yes Substantial Completion Meeting

Resolution by Regular meeting No Management Meeting

Compliance with WEP and Specifications

Yes Contract Evaluation

Fig 2.1 Supervision process

Submission of the programmes required in Special specification by referring to Clause14.1 in FIDIC1987;

Table 2.1 Contents of Works Execution Programme

Table-2.2(a) Supervision Check List

Supervision Check List (1/2)

AAAA BBBB CCCC DDDD

Execution system in general

Execution procedures are in accordance with Works Execution Programme

All equipment used is well maintained during the execution of works

Contractor's inhouse staff

Communications with authority in writing is properly and timely

Wage payment is properly made on time

Site base facilities

Borrow pits have not been reinstated (Corrective Order on 10/05/2012).

Material stored on site is properly managed during the work execution

Quality and quantity management

Filling Example : Check point is satisfactory

Check point is unsatisfactory

N/A Not applicable

Table-2.2(b) Supervision Check List

Supervision Check List (2/2)

The Engineer's Representative (Project Engineer)

AAAA BBBB CCCC DDDD

6 Quality and quantity management

Understanding of critical path and its reflection on scheduling are proper

8 Work safety management

No accident occurs to workers, operators, or third-parties.

Safety of workers and operators is considered

Accident prevention efforts for third-parties are proper

Temporary facilities (e.g. scaffolding) are constantly checked

9 Environmental and social management

Waste material from site is properly disposed

Filling Example : Check point is satisfactory

Check point is unsatisfactory

N/A Not applicable

Fig. 2.2 Checks and remarks on Supervision Check List

(a) Check before Execution

NewWorksheet Worksheetof PreviousCheck

(b) 1st Check during Execution

(c) 2nd Check during Execution

Fig.2.5 Appropriate work program considering specification and site condition