Roles & Responsibilities of Independent Engineer.pptx

Role of RE

1. Presented by: M Kishore Kumar, Aarvee Associates, Hyderabad Roles & Responsibilities of Independent Engineer Venue: Indian Academy of Highway Engineers, New Delhi

2. About Aarvee A Consultancy Organization that works in various sectors of civil engineering including Highways, Railways, Irrigation, Environment, Water and Sanitation, Urban Planning, Smart Cities, Ports, Power, GIS etc., in planning, design and project management. Works in Africa in various countries viz., Tanzania (4 Highway), Zambia (1 Highway), Uganda (2 Highways, 3 Irrigation), Ethiopia ( 2 Highway Projects), Kenya (1 Highway, 1 Railway), Rwanda (1 Transaction Advisor), Mozambique (1 Highway), Djibouti (1 Highway), Gabon (SEZ) etc. has a branch office in Tanzania. Has a company in Australia 18/01/19 2

3. BOT Projects - Role of IE Payment of IE 50 by Aty:50 by Cre 18/01/19 3 .. is to administer the Contract between the Authority and the Concessionaire …. .. within the boundaries of the Consultancy Agreement EPC Contractor

4. Performance Criteria Adhere to the provisions of the Consultancy Agreement Notify the Authority and the Concessionaire about the non-adherence to the provisions of the Concession Agreement Adhere to the timelines given in the Concession Agreement Note : Failure to adhere to any of the above, constitutes nonperformance of the IE 18/01/19 4

5. Period of Services 18/01/19 5

6. Primary Objectives 18/01/19 6

7. Global Responsibilities No Task DP CP OP 1 Design Review Yes 2 Inspection & Monitoring of Construction Yes 3 Testing upon completion Yes 4 Monitoring of O&M Yes 5 Evaluation of Costs (Change of scope) Yes 6 Evaluation of Time (Extension of Time) yes 7 Divestment Yes 8 Dispute Resolution Yes Yes 18/01/19 7

8. Detailed Tasks Development Period Design Review Review of Studies and Investigations carried out by the Concessionaire Topographic Surveys Geotechnical Studies Hydrological Studies Traffic Studies Borrow Areas and Quarries Review of Designs Geometric Designs Pavement designs (Flexible & Rigid) Structural designs RE Wall Designs and Miscellaneous 18/01/19 8

9. Detailed Tasks Development Period (contd.) Design Review Review of Drawings Highways – Plan & Profiles Structures – Bridges, Flyovers, Underpasses, ROBs, Culverts etc. Miscellaneous - Highways & Structures Safety Report Review of Construction Methodology Review of QA Procedures Review of Construction programme Review of of Contracts – EPC, O&M etc. 18/01/19 9

10. Detailed Tasks Development Period (contd.) Review of Setting out Review of Schedules Adequacy of Documents Scope Review of Work Front Review of Hindrances Review of Clearances Review of Establishment of Laboratories Calibration of Plant & Equipment Adequacy of Capacities, as per Agreement 18/01/19 10

11. Detailed Tasks Development Period (contd.) Check Insurances Comprehensive All Risk Policy (CAR) Third Party Liability General Insurance Workmen’s Compensation Check Permits Quarrying - Blasting Establishing Plants - Pollution Control Hot Mix Plant Wet Mix Plant Batching Plant Crushers Tree Cutting Permission 18/01/19 11

12. Detailed Tasks Construction Period Quality Monitoring Daily inspections Attending to RFIs (Request for Inspection) Issuing Site Instructions Issuing NCRs, if required Procedural Issues Repeated Mistakes Defects in Irreversible Works like concrete, asphalt works etc. 10% testing Monthly inspections Defects and deficiencies Issue Monthly Inspection Reports 18/01/19 12

13. Detailed Tasks Construction Period (contd.) Quality Framework Quality Assurance – Concessionaire Quality Control – EPC Contractor Quality Monitoring / Review – IE Progress Monitoring Monitor Milestones Recommend for Levy of damages Issue Notices for slow progress Cause revision of Construction programme Recommend Extension of Time for completion Issue Monthly Progress Reports (MPR) 18/01/19 13

14. Detailed Tasks Construction Period (contd.) Monitor Safety of Works, Users and Workers Recommend for Suspension of Works Follow procedures to revert the Suspension Orders Suspension of Works in case of serious lapses in Quality of Construction Contract Administration Change of scope Change in Law Force Majeure Claims and Disputes Assist in Arbitration Mediation (Irony) 18/01/19 14

15. Detailed Tasks O&M Period Review Annual Maintenance Programme Review the Maintenance Manual Inspect the Highway on a monthly basis Notify the defects and maintenance requirements Follow the warrants given in schedule for the time period Levy damages in case of default Monitor closure of lanes Affect in reduction of annuity Inspect before divestment / termination 18/01/19 15

16. Responsibilities of IE 18/01/19 16

17. Design Review Design risk is with the Concessionaire 18/01/19 17

18. Review Report Review of documents and ground verification Schedule A – Existing Assets Inventory of Road, Structures and other facilities Confirm or record deviations Schedule B – Upgradation Proposals Typical Cross Sections and the schedule of application Rehabilitation Proposals – widening, overlay, repairs etc. New Proposals – bypasses, underpasses, cross drainage structures Schedule C – Facilities (upgradation or new) Bus bays, Truck Lay byes, Rest areas, Toll plazas, Lighting etc. Schedule D – Specifications and references to Sch. B & C Record deviations, ambiguities and CHANGE OF SCOPE, if any. 18/01/19 18

19. Scope of Design Review 18/01/19 19

20. Challenges in Design review Review of documents and ground verification Time Lines 1 st Review in 15 days (maximum) 2 nd Review in 7 days If delayed, the designs are deemed approved Simultaneous submissions Submission / Clearance as per the construction program IE to review & comment, not to approve Concessionaire is solely responsible for the designs irrespective of the approvals by the IE or Authority IE to declare if the designs are compliant to scope and specifications or otherwise. Concessionaire’s reluctance to adhere to the comments delays the COD 18/01/19 20

21. Quality Assurance QA System, Inspection & Testing 18/01/19 21

22. Quality Assurance Review of Methodology of Execution Overall sequence Individual activities – road, structures and miscellaneous Review of Quality Assurance Plans For individual components of works Type and Frequency of test Performance criteria Acceptance criteria Review of Laboratory set up Review of Calibration of Plant & Equipment 18/01/19 22

23. Construction Supervision Tools for supervision 18/01/19 23

24. Tools for Supervision 18/01/19 24

25. Inspection and Testing Quality Control performed by the Concessionaire Consolidated list of Requests for Inspection (RFIs) IE to select the stretches or components Witnessing a minimum of 10% of the tests IE may choose to witness more, depending on the level of confidence he has on the Concessionaire IE to inspect the site at least once in a month along with yhe representatives of the Concessionaire and the Authority Bring out the defects, deficiencies and lapses observed at site Submit a report within 7 days of the subsequent month on the kind of supervision of performed 18/01/19 25

26. Contract Administration Important Aspects 18/01/19 26

27. Change of Scope (COS) IE to confirm if it is a COS 18/01/19 27 Concessionaire or Authority, anyone can notify C’re to prepare preliminary estimates and seek approval C’re to prepare detailed designs, estimates and seek COS Order

28. Execution of COS works Concessionaire to commence the COS works only after receiving COS Order Seek 20% of COS value as advance Claim interim payments through RA bills IE to Recover the advance in monthly RA bills Pay as per actual quantities Reduce the percentage of – ve COS works in each bill Example: A PUP is replaced by a fly over; a new VUP is added; Concessionaire to extend 80% savings, if the authority reduces any component from scope 18/01/19 28

29. Time for Completion Project milestones Appointed Date Commencement Date Scheduled Completion Date Complete 100% works within 930 days from the Appointed Date Punch List allowed Sometimes 75% completion is also allowed for issuing the Certificate Milestones (requirements vary) 20% progress in 240 days from the Appointed Date Commence construction 35% progress in 430 days from the Appointed Date Commence structures 75% progress in 730 days from the Appointed Date Commence Facilities 18/01/19 29

30. Extension of Time When do we extend the Completion Date If the Concessionaire can not complete the Project within the SPCD for reasons attributable to him, IE will determine the eligible extension of time. Delay in giving vacant access and Right of Way or work front Force Majeure Suspension of Works Delay in procuring clearances Environmental Clearance Coastal Regulatory Zone Tree Cutting permission Utility clearances – water, electrical, gas, telephone etc. 18/01/19 30

31. Extension of Time When do we extend the Completion Date Delay in procuring clearances Issuing General Arrangement Drawings (GADs) for ROBs) Forest Clearance Wild Life Clearance 18/01/19 31

32. Extension of Time by objective evaluation Break the Project into as many small segments as required, that would reflect the hindrances – Hindrance Register Land Acquisition Removal of structures Removal of Utilities Felling of Trees Public Resistance Public Representation for new structures Dates of clearance Scheduled Actual Critical date of clearance 18/01/19 32

33. Extension of Time continued… Evaluation of Extension of Time Critical date of clearance Time required for completion of the activity Anticipated Date of Completion Actual Date of Completion Delay on account of Concessionaire Actual date of completion - Anticipated date of completion Delay on account of Authority Actual date of handing over - Scheduled date of handing over Weighted delay Length wise proportionate delay Aggregate delay – concurrent delay 18/01/19 33

34. Force Majeure continuously for 24 hours, >7 days in a year 18/01/19 34 Change in law , unlawful acquisition of assets, hold clearances Act of war, industry wide strikes Act of God, floods, earthquakes, local strikes (not the contractor)

35. Construction Programme A tool for analyzing claims 18/01/19 35

36. Construction Programme A tool for analyzing claims Qualities of a good construction programme Micro-level Separate Program for road portion of 1 to 2 km for culverts in each section for each structure, bridge etc. for each toll plaza for the hindered works Responsive All activities are properly linked so that effect of delay in any activity can be reflected in the date of completion Resource based – with actual no. of plants and equipment Can be tracked and kept live, by updating with % progress Linked to BOQs, Raw Materials, Plant & Equipment and cash flow 18/01/19 36

37. Completion Certificate Commercial Operation Date (COD) 18/01/19 37

38. Issue of Provisional Certificate 18/01/19 38 D B C A List of balance works to be completed in 90 days To be completed after clearing the hindrance To be completed before issuing the Certificate List of works not being put in commercial operations List

39. Punch List Items Concessionaire to complete All the works from shoulder to shoulder including Median Plantation High Embankment Portions Sign Boards, Pavement Marking, HTMS and safety appurtenances. Toll Plaza, Equipment related to tolling and Incident Management Punch List can include Turfing , pitching, drains, junctions etc. at identified locations only Rest areas, truck lay byes etc. with the approval of the Authority Concessionaire should be able to complete them in 90 days No Punch List for the works under List D. 18/01/19 39

40. Non-completion of Works damages and termination List A must be completed in 90 days, else the Concessionaire is liable to pay damages Time to complete the PL works can be extended by another 120 days subject to payment of damages Non-completion within 210 days may lead to termination of the Concession If the whole of the works do not get completed within 270 days of the scheduled or extended period of Contract, the Contract may be terminated 18/01/19 40

41. Financial Aspects All funds to be routed through an Escrow Account Escrow Account to have suitable sub-accounts to track various payments EPC Payments Taxes Revenues Concessionaire to submit Balance Sheets Profit & Loss Account Statements Cash Flow Statements Statutory Auditor’s Certificates for expenditure IE to watch the advances, investments and diversion of funds, if any 18/01/19 41

42. Focus on one’s job 18/01/19 42 To give work front To finish the works in the available front by the scheduled date To see that Authority and the Concessionaire do their job

43. Thank You For your Attention 18/01/19 43