for supervisor.pdf

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2. PREFACE

This Manual is intended primarily for the use of

governnent officers

engageb

_{in ah;'supervisi*n of}

_aIKR

Road

Contracts.

one

_{of the probrens}

_confronting

_anyone

_{draftlng such}

a

Manual ls thg very

_{the dtfficulty}

r*ide range

_{of lontract valuee}

_anrir

of

makiig -tt"-- procedures

_and

reconmendations

_appLicabre

_{to both large}

_and

_{emall site}

organieations

rn order to

make

the Manuar

as

conpl.ete

_as

possibre

_the

sorution generalry adopted ie tL cater for

rargen

proJects.

_As

_{a result,}

_some

_{of the procedures}

fon

example

_those

_{dealing with the interaiiion of}

numerous

indlvidrfal staff .in i

comprehensive

_elte

_{organi.satfon}

may

be inappropriate to ctnt,racts

_which

_engage

onry

one

or

two

techniclans

_on

_site.

_rn

_{such casea}

_staff

_nust

use their

judgement

_ae

_{to applt""uifltv.}

Irowever,

ef

f

ective

supervislon ie

_an

_essentlaJ.

requlrenent for

every

_{proJect regiroress of indivlduat}

contract s|ze

and even

_{oi the sfrafiegi, the}

_englneer

officers

who

_{carrv resporisinlitiv-;;;;}

_{en'ure that}

_the

lgportant duties-

ar*-

p."rormedl ir- -p"rticular

_those

which

_{_carry}

_the

_"mandaiory,,

_{t"g-in--thI Manual.}

_(see

rndex

_{for listlng}

_under

_"nandat5rv

""g"rrements..l,

Although the

Manuar.

hag been

_{prepared for}

_governnent

officers,

_nost

_{of the proceduree are}

_equally

appropriate to contracts supervieed by

consurtancy

organiaatlons. rn order to

achieve

_{a uniiorm-ippr"r"t,}

consurtants' staff should

compty

-*iir,

_the

_Manual

wherever poasibre.

_However,

_{they should note that}

special

supprementary

_{regulatiois -ippry to their}

conduct of matters lucn as variatlong.

f

inancla.l

authority,

t'ime

_{extension, conpretion ino craime, etc.}

Governnent

_{instructions.}

_circularsr

_{r€gulations}

_and

standing ordere, are

updated

from

_{itme to tlne}

and

officers refe*ing to

airy

euch

_{pubr.iciiionJ q"o["a in}

the

Manual-

_should

_ensure

_{that ;h;t--i.r.}

_the

_r,atesr

vergion.

Arahan Teknik (

_"laran

_{) are refe*ed}

_{to ln}

_the

ManuaL

_{sfmply as}

_{Arahan Teknik}

3.

4.

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COIISTRUCTION

SUPERVISION

HATSUAIJ FOR

COXTRICT

ROAI)SONTg

cot{TExT8

CHAPTER ONE CHAPTER TI{O CITAPTER TIIREE CHAPTER FOUR CHAPTER

FIVE

CHAPTER

gIX

CIIAPTBR SFUEN CHAPTER EIGTIT CHAPTBR NTNE CHAPTER TEN CHAPTER EIJEVEN CHAPTER TTIEIJVB GENERAIJ APPROACH

STAFFING

ARRANGETIIEilTS T,EGAIJITIES

INCBPTION

PROCEDURE

INSPECTION,

TEFTIITTG

AND

APPROVAIJ

INSTRUCTIONS

MBASUREUENT

AND FTNA$CIAIJ

CONTROIJ

PROGhESS

REPORTg

DRAWTilGS

UTIITfTIE8

e

TRTFFIC

COIIPIJETION PROCEDURE

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Page 1

Construction Supervision Manual For Contract Roadworks

Cawangan Jalan, Ibu Pejabat JKR, K.L

1.01 The conceptual and design stages of road projects involve professionals from a variety of disciplines - economists, sociologists, planners, engineers and surveyors, as well as financial and legal experts. When the projects enter their con-struction phases and if implementation is effect-ed under contract, responsibility for their admin-istration and control passes very largely into the hands of site supervision teams. The prime func-tion of such teams, of course, is to ensure that the technical requirements of the projects are met, and since the teams essentially comprise engi-neers and technicians it is natural that these aspects should be paramount in the minds of their staff.

1.02 However, there is more to the supervision of road contracts than engineering alone. To varying degrees, staff additionally have to fill the role of quantity surveyor, lawyer, production planner, progress chaser and public relations officer. In a sense they are proxies for all the people previously involved in the preparation of the scheme who have now relinquished their responsibilities and authority to the engineers and technicians appointed to see the project through its implemention phase to completion. The contractor is usually preoccupied with his own problems of the day to day management of construction operations and with the profit motive. Accordingly, he is unlikely to be con-cerned with many of the interests that the gov-ernment has in the project.

1.03 For all these reasons it is important that site supervision staff and in particular those indi-viduals appointed to Resident Engineer posi-tions, see themselves in a total management role rather than solely responsible for engineering matters. They alone, are both suitably placed and appropriately authorised to exert any real direct influence on the contractor's performance. Only they are close enough to the project to watch and safeguard the various interests of government during construction.

1.04 Numerous and diverse as these manage-ment responsibilities are, the most important aspects can be categorised under four main headings.

1. Construction - ensuring that the works are constructed in compliance with the designers intent indicated in the

Drawings and Specification and in accor dance with sound engineering practice. 2. Finance - ensuring that measurement

and payment processes result in correct pay ments to the contractor in accordance with the terms of the contract and also that the government's budgetary requirements are met.

3. Progress - ensuring that construction is completed within the stipulated contract period or within the very minimum extra time that may be necessary to deal with absolutely unavoidable delays.

4. Public Relations - ensuring that co-opera tion is obtained from the various govern ment and private agencies and individuals whose interests and activities affect the proj ect; also that inconvenience and danger to the public are avoided or at least minimised. 1.05 Even quite small road contracts involve a number of individual supervisory staff engaged on inter-related duties. On larger jobs there may be as many as 15 or 20 such staff and the super-visory and administrative processes they engage in can become complex. Because of this and because there is a strong element of technical and financial accountability involved in their work, sound control is essential to ensure that all aspects of management are covered. That cannot be achieved without a systematic approach care-fully regulating, integrating and recording the various site functions and staff activities. Further, site teams operate in locations remote from the central JKR establishment, but that establishment, carrying as it does the ultimate responsibility, needs to be able to monitor and control what is happening on site. It can only do

Chapter One

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so efficiently and effectively if there is a degree of uniformity in procedure from site to site. Similarly, contractors need to know, when they prepare their tenders and. organise their opera-tions, what to expect in the way of Engineer supervision.

There are therefore two cardinal rules for the management of site supervision.

1. Systemise 2. Standardise

1.06 With a standardised system of site con-trol, supervision teams are well equipped to meet their responsibilities but there are two fur-ther principles which must govern their work. Both are closely related. First, all site staff must adopt a critical approach to the contractor's con-structional performance and commercial moti-vation. Second, they must establish and main-tain the initiative in matters which are intended to be under their control.

If it were true that all contractors acted at all times in a completely responsible and ethical way there would be no need for independent supervision. The fact that the supervision team exists at all acknowledges that this ideal situa-tion does not exist and cannot be expected to exist. Pressure of work combined with stringent staffing limitations may tempt the team to abdi-cate their supervision role to the contractor. He, probably better resourced, will usually happily undertake the additional workload because it enables him to work the arrangement to his own advantage at the expense of proper compliance with the contract. Quality control/testing and measurement matters are examples which spring readily to mind in this connection and they are both activities to which supervision staff must devote adequate time and apply strict-ly independent control.

1.07 The objectives, then, of the supervision of road contracts should be to bring the projects to a completion which is satisfactory from all points of view; realising the design intent and providing, within the scheduled time and con-tracted cost, soundly constructed, durable roads, which will continue to give good service into the future without excessive maintenance cost or inconvenience.

1.08 The purpose of this Manual is to assist site supervision staff to achieve these objectives by,

a) demonstrating the powers and resources available to them under the contract, b) defining their duties and responsibilities,

and

c) detailing essential procedures and stan-dard forms, and outlining good supervi sion practice.

Guidance on these points is to be found in the following chapters of this Manual. Much of it deals with what amounts to recommended prac-tice upon which individual officers responsible for particular projects can exercise a certain degree of discretion, depending on localised requirements and conditions. However, a num-ber of mandatory procedures are set down which must be complied with. In these cases the mandatory nature of the provisions is noted in the text. Officers appointed as Engineers to contracts and their Resident Engineers are responsible for ensuring that the mandatory reg-ulations are observed.

1.09 One last point needs to be made in this introductory chapter. Emphasis has been placed on the need for strong control and a crit-ical approach. However, the intention is not to encourage confrontation and contention on site. Supervision staff should not interfere unduly with the contractor's direction of his own opera-tions or act in such a way as to unnecessarily obstruct his progress. Their concern should be the end-products of quality construction, timely completion and correct payment. The contrac-tor's site organisation and the supervision team can form an effective partnership for the success of the project. Helpful co-operation on both sides, combined with firmness from the Engineer's staff, is the desirable mix.

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Cawangan Jalan, Ibu Pejabat JKR, K.L CONTENTS

2.01 "The Engineer" and

Resident Engineer

2.02 Composition of.Site

Teams

2.03 Single-Contract RE's

2.04 Multi-Contract RE's

2.05 Technician Staff

2.06 Job Allocations

2.07 Sectionalisation

---2.01 "The Engineer" and Resident Engineer.

All road contract supervision organisations in the Department are formally headed by a senior officer appointed as "The Engineer" or Superintending Officer (S.O.) under the Contract*. Such officers rarely have a full time on-site presence and much of their responsibili-ty is delegated to subordinates in Resident Engineer** positions supported by staff primari-ly engaged on site duties.

The relationship between "The Engineer" and the site team is dealt with in the discussion of legalities in Chapter 3; this chapter is concerned more specifically with the practicalities of staffing structures established for on-site super-vision.

*Either of these alternative designations may be encountered depending on which Conditions of Contract form is used. In order to avoid constant repetition of the alternatives the term "The Engineer" is generally used throughout this Manual to refer to the person holding the con-tractual appointment - it is to be regarded as synonymous with "superintending Officer" (S.O.) in contracts where that term appears in the definition clauses of the Conditions of Contract. Exceptions to the preference for the term "The Engineer" are cases of exclusive

ref-erence to Form 203A Conditions of Contract clauses.

** Variants will also be found in practice for the designation "Resident Engineer" which is intended here to apply to the officer immedi-ately subordinate in contract terms to the Engineer or S.O. and who carries direct respon-sibility for the site staff organisation. He will normally be the delegated "Engineer's Representative" or S.O's Representative under the Contract. The term "Resident Engineer" ("R.E.") is used throughout this Manual for such officers regardless of their actual titles or designations.

However, before turning to the details of the on-site organisation, the matter of its departmental links should be mentioned. To a major extent these operate between the Resident Engineer and the officer occupying the position of the Engineer, but the RE may, in addition, have responsibilities for reporting and other aspects of his job towards other senior officers in District or State JKR establishments, or in the JKR Headquarters in Kuala Lumpur; in particular the Coordinator for the project. As a general rule this Manual uses the terms " JKR regional office or JKR HQ" for such cases. It is a matter for each individual RE, in consultation with his immedi-ate superior, to establish which office or officers he should deal with in connection with any par-ticular subject where this terminology is used. 2.02 Composition of Site Teams

The make-up of the team depends very much on the magnitude of the contract. On contracts of larger value there is usually some scope for a degree of specialisation on the part of most members of the team. Figures 2A and 2B show examples of staffing set-ups that might apply to contracts in the $15 - 20 million range and over. Assistant R.E. duties are sectionalised and there are separate professional positions covering test-ing and Q.S. activities. A draftsman and a secre-tary/typist may also be provided.

Chapter Two

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Smaller contracts have inadequate staffing lev-els to permit such specialisation, so that Resident Engineers themselves, possibly aided by one assistant engineer or technical assistant, undertake all duties, except most works inspec-tion and field and laboratory testing work. The minimum staffing requirement for contracts up to a value of $5 million may be regarded as a Resident Engineer with either one or two techni-cians. In any event a technician capable of car-rying out the essential site testing must be pro-vided. For contracts in the range $5 - 15 million additional assistant engineer and technician positions should be provided.

2.03 Single-Contract R.E.'s

The preferred arrangement regardless of size is to have a separate R.E. organisation for each individual contract with a staff fully and unique-ly engaged on the supervision of that contract. The base should be an office established for the purpose either on site or close to it. In remote areas, living accommodation may be provided in site compounds under the contract.

Where this is not the case, staff should find housing as close as possible to the site office or nearest appropriate part of the project site. 2.04 Multi - Contract RE's.

The ideal of self-contained site organisations cannot always be achieved, particularly where contracts are of low value and considerations of staffing economy and availability rule. In such cases, Resident Engineers are often appointed with responsibility for several JKR contracts (not necessarily all roadworks). They have their base in the regional offices of their superior offi-cers - usually State Directors JKR, or District Engineers JKR - and travel out regularly to their various contracts. It is very important that Resident Engineers who operate in this way should regard themselves essentially as site peo-ple and consciously maximise the time spent in on-site administration and the inspection of work in progress. As a general rule, gaps between visits to any individual contract in their care should not exceed two or three working days. Furthermore, all subordinate staff, both engineers and technicians, must be site based

and find housing as close as possible to the proj-ect

2.05 Technician Staff.

Technician staff allocated to site inspection duties should, in particular, have a full time site presence. If necessary, they must be prepared to work in excess of normal hours if the contractor is so permitted to operate, either during week days or at week ends. In such cases Resident Engineers should specifically instruct and autho-rise their staff's overtime and arrange for addi-tional remuneration or "time off in lieu" in accordance with central or regional JKR regula-tions. They should record the overtime hours involved and ensure that the arrangement is not abused by staff simply sitting on site watching operations which could equally well be checked out later during normal working hours.

In organisations run by Resident Engineers from regional offices, site inspectors and other subor-dinate staff should not be required to travel to these offices for early morning job briefings or day to day duty allocations. The RE's should attend to such instructions during their regular and frequent visits to site and give such discre-tion to their staff as is necessary for distributing the workload during intervening periods. 2.06 Job Allocations.

Whatever organisational arrangement is adopted for any particular contract, staffing constraints are likely to exist and effective supervision can only result if staff are carefully allocated to the various duties and deployed efficiently. The detailed arrangement will, of course, depend to a large extent on the size of job and staffing estab-lishment, the constructional content and the competence and experience of the individuals involved.

The allocation of staff to the various duties will normally fall upon the Resident Engineer and before undertaking this task he should determine what activities individuals are best suited to. Having decided upon staff/duty allocations, it is important for the R.E. to ensure that individuals are clear as to what their specific responsibilities are. The best way to do this is to set down in the form of brief Duty Lists the functions each

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vidual will perform. In order to assist Resident Engineers in the preparation of such instructions a schedule of activities which need to be coverd-ed by one Duty List or another is given in Table 2/1. Where staff carry responsibility for work items delegated to subordinates, details of the delegated duties should be included in the supe-rior's list so that, for example, an Assistant RE's Duty List will show what Inspectors he is responsible for and the duties they in turn under-take.

In allocating duties to staff, Resident Engineers should bear in mind the limitations of contractu-al authorisation or delegation. Whilst it may be quite acceptable for junior staff to prepare instructions, orders and drawings and draft cor-respondence to the contractor, all of these may prove ineffectual unless authenticated by the sig-nature of an officer who has been formally authorised or delegated to act in this way (see Chapter 3.06 - 3.07).

Table 2/1 - Duty Check-list Site Inspection : a) Earthworks b) Drainage c) Major Structures d) Minor Structures e) Culvert

f) Pavement Courses, Kerbing g) Road Furniture, etc

Chainage limits, (or section areas) if appropriate Approvals :

Receiving Contractor's request for approval Checks by:

a) Technical Inspection b) Survey

c) Dimension d) Testing

Assess results of checks; Sign and issue approval or rejection chits.

Testing :

Decide on day to day test programme and allo-cate testing staff to duties.

Decide auxiliary test programme. Record results.

Undertake any statistical analysis. Check provision of listed equipment.

Care, maintenance, replacement of equipment. Instruction :

Prepare, issue and/or sign each of following: Duplicate Book Memos

Site Instruction Forms APP's

Certificates of Variation

and related sketches/drawings. Circulate to Draftsman, Q.S.

Measurement :

Site measure for prescribed items.

Measure from drawings for prescribed items Receive Site Instructions & APP's

and action for measure.

Keep measurement/payment records. Prepare interim certificates.

Check Daywork Sheets.

Prepare Materials-on-Site Valuation. VOP Valuations.

Make regular Contract Sum predictions Progress :

Check contractor's initial and subsequent pro-grammes.

Check S curve and progress chart. Update progress chart monthly. Organise Monthly Site Meeting. Minutes of Monthly Site Meeting. Organise Progress Photographs. Reports :

Prepare Two Monthly Report. Contribute specified items to T.M.R. Drawings :

Keep original drawings, prints, negatives. Receive Site Instructions, APP's, etc. and amend contract drawings.

Prepare supplementary drawings. Keep drawings register.

Issue revised and supplementary

drawings to appropriate staff & contractor. Services :

Liaise with Service Authorities.

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Page 6

Cawangan Jalan, Ibu Pejabat JKR, K.L Locate underground services. Land :

Obtain Land Plans. Liaise with land officers. Accommodation Works. Traffic:

Check and approve traffic diversion proposals. Traffic safety - patrol traffic routes, check diver-sion signs, barriers, warnings, etc.

Administration :

Office Accommodation & Equipment.

Despatch, receipt and filing of correspondence. Vehicles - allocation, maintenance, logkeeping. Staff attendance, leave, etc.

2.07 Sectionalisation

If the staffing levels of sub-professional staff permit such division, it is appropriate to earmark a number of technicians almost exclusively to site inspection duties, the remainder being allo-cated to survey, testing and office work such as measurement preparation*, the keeping of records and drawings, etc., and progress/pro-gramming work.

The individual site inspectors are normally made responsible for particular construction operations, for example, earthworks, pavement or structures, although on larger sites they may still work within chainage limits and be respon-sible to a particular Section Engineer. The previ-ous experience and aptitude of staff will usually be a guide as to who does what in the field of site inspection, but Resident Engineers should bear in mind the need to widen the experience of all subordinate staff to cover as much of the super-vision activity spectrum as possible.

Engineer staff may be deployed on the basis of function, e.g. roadworks, structures, testing or Q.S. work, or given overall responsibility for all aspects of supervision for part of the site within certain chainage limits. Only the largest sites will normally have sufficient engineers to permit such sectionalisation, but if it is possible, deci-sions as to which system to adopt will depend upon constructional content and the field of competence and experience of particular

engi-neers.

* Site technicians will usually assist with actual

on-site measurement. Chapter Two

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Cawangan Jalan, Ibu Pejabat JKR, K.L CONTENTS

3.01 Employer-Contractor-Engineer Relationship. 3.02 Constituent Contract

Documents.

3.03 The Importance of the Conditions of Contract. 3.04 Various Conditions of

Contract Forms.

3.05 Detailed Application of the "Conditions".

-3.06 Authorisation of the Engineer and Delegation - Engineer's Representative.

3.07 Letters of Authorisation and Delegation.

3.08 Impartiality of the Engineer. APPENDIX: The Application of the Conditions of Contract to Site Supervision.

---3.01 Employer - Contractor -

Engineer Relationship.

Engineering contracts are Agreements between two parties. On the one side "The Employer" being the organisation or individual commis-sioning the "Works"; on the other "The Contractor" who agrees to execute the "Works" in return for the consideration of the "Contract Sum" payments. The two parties are nominated in the "Conditions of Contract" and in the case of roadworks undertaken for the Department "The Employer" is usually the Government of Malaysia.

Also defined in the Conditions of Contract is the position of "The Engineer". He is not a party to the Contract but acts as an agent appointed by the Employer (together with delegated and sub-ordinate staff) to administer and supervise the Contract. If he is not a government officer, his

appointment is usually the subject of a separate agreement with the Employer. There is no agree-ment between the Contractor and the Engineer and in legal terms the relationship between the two is bound solely by the terms of the works contract.

The contracts under which roadworks are exe-cuted for government provide the Engineer and his delegated staff with wide ranging powers; they also place strong obligations on those same officers.

3.02 Constituent Contract Documents.

The documents which primarily embody the contract and the aspects they cover are:

1. The Drawings .- Detailing the technical requirements.

2. The Specification. - ditto

3. The Bill of Quantities - Dealing with the way in which the works are to be measured for payment and providing estimated quantities and a Contract Sum figure.

4. The Conditions of contract - Providing a legal regulation for the way in which the contract is to be conducted and paid for.

There are other constituents in most contracts such as the Tender, Forms of Agreement, Forms of Guarantee or Bond and various attached schedules but the four sets of documents noted above are those which site staff will most frequently encounter. A comprehensive listing of documents that may be contained in any contract :

LIST OF CONTRACT DOCUMENTS 1. DOCUMENTS FORMING ACTUAL

CONTRACT a. Form of Tender b. Letter of Acceptance c. Articles of Agreement d. Conditions of Contract

e. Special Provisions to Conditions of Contract

Chapter Three

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f. Appendix to Conditions of Contract g. Drawings and Schedule of Drawings h. Specification

j. Bill of Quantities including Preamble k. Dayworks Schedule including Preamble 2. OTHER DOCUMENTS

CONNECTED WITH CONTRACT & OTHER

BOUNDIN-WITH-CONTRACT DOCUMENTS a. Instructions to Tenderers

b. List of proposed construction plant c. Programme submitted with Tender d. Proposed site staff

3. BLANK FORMS USUALLY BOUND-IN-WITH CONTRACT DOCUMENTS a. Bank Guarantee for Perfomance Bond b. Bank Guarantee for Advance

c. Gerenti Perlaksanaan d. Register of Workers 3.03 The Importance of the

Conditions of Contract.

It goes without saying that anyone involved in the supervision of works must be fully conver-sant with the technical provisions of the Drawings, Specification and Bill of Quantities but the importance of the legalities contained in the Conditions of Contract may be less obvious. However, works contracts are legally constitut-ed agreements and those who administer them, particularly the formally appointed Engineers and Engineer's Representatives in Resident Engineer positions must be aware of the way in which the "Conditions" regulate their activities and decisions. That is not to say that there should be an excessive preoccupation with legalities -many contracts run throughout their full term with very little recourse to the "Conditions" on either side. The important thing for supervision staff is to know what legal back-up the various clauses give, should it be needed.

3.04 Various Conditions of Contract Forms.

A complicating factor for staff trying to famil-iarise_ themselves with the legal provisions cov-ering roadworks contracts is that several differ-ent forms are in use. Conditions of Contract

pub-lished by the Federation International des Ingenieurs Conseills (generally known as the "FIDIC Conditions") have gained wide accept-ance in international practice. In Malaysia, JKR Form 203 CEWI and the Conditions of Contract for International Competitive Bidding (I.C.B.) derive largely from the FIDIC "Conditions" although there are some important detailed dif-ferences. Form 203A, also employed by the Department for a substantial number of road-works contracts, is rather less comprehensive and differs widely in content and form from the FIDIC Conditions. In the local forms (and par-ticularly in 203A) some provisions which appear in FIDIC have been extracted and appear instead in the General Section of the Specification which should therefore be read carefully in conjunction with the "Conditions". In the case of FIDIC "Conditions" the Department currently uses the Third Edition. A Fourth Edition has been published by FIDIC but has not been adopted by the Department and FIDIC references in the main text of this Manual are therefore to the Third Edition unless other-wise stated.

3.05 Detailed Application of the "Conditions".

In order to encourage familarity and to give a guide as to where to look for the contractual background to any particular problem, the Appendix to be found at the end of this chapter is provided. It shows, by clause reference and notes, the application of Forms 203A, 203 CEWI, the I.C.B. "Conditions" and the Third and Fourth Editions of the FIDIC "Conditions" to practical supervision duties under the five fol-lowing headings.

A. Authorisation and Delegation. B. General and Procedural Matters. C. Ensuring Acceptable Standards of Work. D. Measurement, Variation and Payment. E. Third Party Issues.

This list and the Appendix by no means deal comprehensively with all legal provisions con-tained in the "Conditions" but many of the issues not covered (for example some aspects of insur-ance, subletting, forfeiture, termination, arbitra-tion, etc.) require a high level of legal expertise

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and staff should remember that they can and should, in such cases, turn to the Department's Legal Advisors for assistance.

3.06 Authorisation of the Engineer and Delegation - Engineer's Representative.

Two. of the most essential legalities with which supervision staff are concerned are the matters of general authorisation and delegation of pow-ers.

It has been previously noted that the appoint-ment of the Engineer to the Contract is for-malised in the Conditions of Contract. He is either personally named or designated by the governmental office he holds or, in the case of supervision by consultants, the firm may be nominated. Most of the powers required for the supervision and administration of the Contract and which are defined in the various clauses of the "Conditions" are ascribed to the Engineer who in the words of Clause 2 of Form 203A "shall be responsible for the overall supervision and direction of the Works" and who is even more simply defined in Form 203 CEWI and the other "Conditions" as "appointed....to act on the Employer's behalf for the purpose of the Contract".

The Conditions of Contract also establish the position of the "Engineer's Representative" or S.O's Representative whose duties are "to watch and supervise the Works and to test and examine any material to be used or workmanship employed in connection with the Works". The Conditions of Contract definitions which have been quoted above cover the supervisory duties in only a very general way but there are of course numerous detailed obligations and relat-ed powers additionally set out in the various clauses of the "Conditions". Many of the claus-es only empower the Engineer* and because of this, and because the Engineer himself is not normally present on site, provision is made for delegation of;"any of the powers and authorities vested in the Engineer". However, the delega-tion is not a blanket one and it is necessary to specifically declare what powers are delegated and inform the Contractor accordingly. Further notes on delegation matters can be found in

Section A3 of Table APP/3 in the Appendix but it is emphasised here that the Resident Engineer or other appropriate officer should ensure that he is properly and formally appointed as the Engineer's Representative, that his delegated powers are clearly defined and that the Contractor is informed of both in writing. It is not usual for the Engineer's Representative to make further delegation and he should not permit subordinate staff to attempt to exercise authority they do not have.** For example, whilst inspectors or junior engineers may identi-fy defective work they should leave the Engineer (or Engineer's Representative if dele-gated) to sign instructions for removal. T h e suspension (even petty suspension) of work is another example which should be left to proper-ly authorised staff.

* There are however a few clauses which do also specifically empower the Engineer's Representative.

** The Fourth Edition of the FIDIC "Conditions", however, contains a clause (2.4 -Appointment of Assistants) which is something of a departure from the previous edition and other "Conditions".

3.07 Letters of Authorisation and Delegation.

The most practical way to arrange detailed dele-gation is by reference to clauses of the "Conditions" citing either those intended to be delegated or exceptions from total delegation. A typical letter of appointment and delegation is given in Figure 3A on pages 3/7 - 10. Site staff will rarely be called upon to draft such letters but if necessary, guidance can be obtained from Circular KPKR 12/87 for Form 203A contracts, with suitable adjustment for clause numbers in the case of other Conditions of Contract. On a point of important detail, it should be noted that under a special Appendix to Form 203A some contract provisions (Clauses 40, 43, 51, 52 and 54), as well as Variation Limits under Treasury Instruction No. 202, may be excluded from the Engineer's powers and assigned to other nominated officers.

Resident Engineers should be prepared to

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prompt the "Engineer" to their contract on mat-ters reserved for action by him. Officers autho-rised as "Engineers" to a contract frequently are responsible for several other contracts and other duties and may not be able to keep fully in touch with their obligations on every job.

3.08 Impartiality of the Engineer. Finally in this chapter, it is necessary to return to the subject of the Employer-Engineer-Contractor relationship as it exists under govern-ment works contracts. In the classic relationship the Engineer has a strongly independent stance, even though he is remunerated by the Employer and the service he provides is usually regulated by a separate agreement for employment or con-sultancy. In many JKR contracts, the Engineer and all the supervisory staff are government offi-cers whose loyalties are naturally towards gov-ernment and the Department. The danger then, is that the principle of strict impartiality on the part of the Engineer and his staff may suffer. It is a danger to be guarded against because, although the Engineer is given wide discre-tionary powers, he may ultimately have to defend the correctness and reasonable nature of his decisions during arbitration or common law proceedings. Although it is perfectly legitimate for government officers appointed to superviso-ry positions to watch the interests of their employer on any number of extra-contractual matters (an approach encouraged in Chapter One), on matters ruled by the contract, the Engineer must act impartially without favouring either of the two parties. His first loyalty must be to the terms of the contract.

APPENDIX TO CHAPTER THREE THE APPLICATION OF THE CONDI-TIONS OF CONTRACT TO SITE SUPERVISION

PREFACE

1. Chapter One of this Manual sets out the four main aims of contract supervision. Whilst the Engineer (or his Representative) may adopt var-ious tactics in order toachieve these ends, in the last resort he has to rely on the powers which the contract gives him and operate within the

con-tractual framework.

2. Technical supervision of the Works is largely a matter of ensuring compliance with Drawings and Specification whilst measurement and pay-ment regimes are prescribed either in the Bill of Quantities or Specification. The organisation required and the day to day activities involved in the technical and financial control of the con-tract are dealt with in the various other chapters of this Manual.

3. These arrangements have evolved largely from the practical requirements of site supervi-sion and the legalities of the contract may rarely need to be invoked but there may well be times when the Engineer (or his Representative) needs to have a clear understanding of what powers he has and their limits. Table 3/APP which appears on the pages following this Preface demon-strates under five sectional headings the contrac-tual back-up that the Engineer has at his dispos-al to enforce compliance with the technicdispos-al and other requirements of his project and ensure proper payment.

4. These powers are largely contained in the Conditions of Contract and the Table provides a precis of various clauses and indicates their application to the Engineer's duties and powers. Not every clause is dealt with because many are concerned with situations with which the site staff will rarely be called upon to deal.

5. In addition to the strict reference to the text of the clauses of the "Conditions" occasional com-ment appears in the Table which is not specifi-cally so referenced. Such comment is contained within square brackets

thus: [ ]

6. In order to accommodate the various versions of the Conditions of Contract which are in use by the Department (see Chapter 3.04) the Table has columns and notes for the following "Conditions"

1. Form 203A 2. Form 203 CEWI 3. FIDIC Third Edition 4. FIDIC Fourth Edition

No separate column is provided for the I.C.B. "Conditions" because this recently introduced version follows the Form 203 CEWI document fairly closely.

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However, there are some differences between the two and this is dealt with by providing an Annex to the Table (on pages APP 3/30-31) which gives details of some of the clauses in the I.C.B. "Conditions" which differ from their 203 CEWI counterparts. The notes in the Annex are correlated with ringed alphabetic references in the 203 CEWI column of the Table. Where no such references occur the notes in the 203 CEWI column can be taken to apply to the I.C.B. "Conditions" without adjustment.

7. Where notes extend across more than one col-umn in the Table, clause references are given in the order that the columns occur from left to right.

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First, there are essential contractual procedures to be followed. Additionally, it is necessary to establish supervision and administrative sys-tems, arrange for accommodation and trans-portation, attend to the planning and detailing of constructional operations jointly with the con-tractor and to assign staff to their long term duties. If these matters are not dealt with before construction starts in earnest, the day to day pressure of work later on may make it impossi-ble to complete the preliminaries in an orderly way, or catch up with all the work involved in them. As a result, the initiative for the control that should be exercised by the supervision team may pass to the contractor and never be recov-ered.

4.02 Staff Deployment.

It often happens that the supervision team is only partially mobilised at the beginning of the con-tract and those individuals that have arrived on site may therefore have to accept that they are pressed into service for jobs they are not intend-ed to undertake in the long team.

The inception period, then, is a period for care-fully marshalling staffing resources and tackling a number of important duties in an energetic, resolute and systematic way. There follows a check list of items to be attended to during the inception period. it is intended primarily for Resident Engineers or other officers directly responsible for on-site organisations.

4.03 Checklist. a) Notice to Proceed b) Right of Way c) Insurances d) Bonds e) Plant Mobilisation f) Plant and Cash Advances g) RE's Office and Equipment

Chapter Four

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Cawangan Jalan, Ibu Pejabat JKR, K.L h) RE's Laboratory and Equipment

i) Approval of Materials, Products and Sources j) Contractor's Programme

k) Progress Charts and 'S' Curve l) Correspondence and filing system;

drawing register

m) Supplies of standard forms, etc. n) Agree site procedures with contractor o) Staff Assignments

p) Contractor's staffing organisation q) Initial survey checks

r) Utilities

s) Public Relations t) Site Safety

u) Assimilate contract documents v) Design checks and redesign

The following sections offer guidance on how to act under each of the individual headings or pro-vide reference to other relevant parts of the Manual.

4.04

a) Notice to Proceed

Most Conditions of Contract* require the Engineer to order the commencement of work in writing. Where there is such a requirement this is an essential contractual preliminary since the whole contract time schedule has its origin on the date of the Notice. The Notice is normally issued by the Engineer or JKR HQ. The RE should check that the Notice has been issued and determine from it the date by which works must start and be completed.

The giving of site possession is an important corollary and the R.E. should keep in close touch with the land office and make urgent rep-resentations to it if there appears to be a danger that the possession dates prescribed in the tract may not be met. He should inform the con-tractor in writing of the dates on which individ-ual parcels of land will be available and careful-ly record dates of actual first occupation by the contractor.

* In the case of form 203A contracts a "Date of Possession" on which work is required to start is quoted in the Letter of Acceptance.

b) Right of Way (R.O.W.)

Members of the supervision team may find that the Right-of-Way has been demarcated prior to their engagement for the project. In this case standard pattern concrete markers as indicated in Figure 4A are likely to have been used*. If no boundary markers have already been established the Resident Engineer must obtain the land plans and supply the contractor with the necessary data for setting out the R.O.W. limits. For all projects implemented after the date of this Manual land acquisition plans prepared by the Department will carry co-ordinates for the R.O.W boundary points.Although establishing the R.O.W on the ground (like all setting out activity) is a contractor responsibility it must be carefully checked by the supervision team's sur-veyor (see Chapter 5.04). The important danger to guard against at this stage is that the contrac-tor may clear or carry out earthworks on land outside the highway reserve, resulting in com-pensation claims from the owners. For some projects the R.O.W limits are indicated on the road layout plans. If copies of the land plans are not immediately available, these can provide a useful coarse check (by simple scaling) on areas being cleared.

(See also notes under Site Clearance in Chapter 13, Section A)

* More often, the concrete boundary markers

are not established until the contract works have been completed

c) Insurances

The contractor is required under the Conditions of Contract to provide insurances for the follow-ing:

i) Contractors All Risks (CAR) ii) The Works, if not included in (i) ii)

Public liabilities

iii) Workers Compensation, Socso, etc. No work should be permitted to commence on site until these insurances have been effected. The RE should ensure that the originals of the policies, cover notes and premium receipts are submitted by the contractor to the office which issued the Letter of Acceptance. Work should not be permitted to start until the insurance doc-uments have been vetted in this way.

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Cawangan Jalan, Ibu Pejabat JKR, K.L d) Bonds

The provision of a Performance Bond, Deposit or Banker's Guarantee is also a contractual requirement. The original Bond or Guarantee or the Deposit should be lodged with the State JKR or JKR HQ who will obtain confirmation of the validity of the bonds etc. from the issuing bank or insurance company. The RE should ensure that all these requirements have been met before allowing work to proceed on site.

e) Plant Mobilisation

Most contracts require the contractor to submit a list of plant he proposes to employ on the works and the list (or any subsequent revision required by the Employer) becomes part of the contrac-tor's accepted bid. Under the terms of the con-tract the scheduled plant is vested in the Employer. The RE should ensure that the con-tractor mobilises the plant that has been sched-uled and inspect individual items to ensure that they are in reasonable working condition and

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capable of providing the output required of them throughout the works period. Although a few items such as pavers, etc. may not need to be mobilised immediately most plant involved in roadworks contracts is required at an early stage. In particular, the RE should urge the contractor to make early preparations for the installation of any heavy fixed plant he proposes to use such as crushing/ screening plant, batching and concrete plant and asphalt manufacturing plant. Alternatively, the contractor must arrange for supplies of bought-in products until such time as his own equipment is operational.

If Variation of Price features in the contract, the RE should take note of plant capacities for the V.O.P computations.

f) Plant Advances ; Cash Advances If Plant Advances are provided for under the terms of the contract, further checking in con-nection with the mobilised plant is necessary. The contractor should be required to submit a comprehensive schedule including the follow-ing data on each item of plant against which the Advance is to be made.

i) Plant type, make, model and serial number ii) Date of manufacture

iii) Date of purchase by the contractor iv) Original cost price

v) Purchase price to contractor if not tiv) vi) Claimed current value

The details in the schedule should be carefully checked against the items on site and the plant should be seen to be in good, operable condition. It is then necessary to assess the current value of each item in order to check the contractor's claimed figure. One method is to take the new purchase price quoted by the contractor (and verified with local agents or distributors) and apply accepted annual depreciations. The fol-lowing factors and residual values for different plant categories may be useful in this connec-tion.

Although this method enables a depreciated value to be determined, the over-riding criterion should be the current market value. State JKR Mechanical Engineers and dealers in second hand plant should therefore be consulted and the prices they quote should be weighed against the

calculated values in order to arrive at realistic values in connection with the Advance.

Additionally, the Engineer or Resident Engineer should collect from the contractor the following documents.

1. Original of the plant registration cards where applicable

2. Purchase Receipts

These documents, together with the authenticat-ed schauthenticat-edule of data and a report on the condition of individual items prepared after the inspection on site and the assessed current value are to be forwarded to the State QS or JKR HQ QS, as appropriate. A Bank Guarantee is required for the Advance and the original of the bond must be obtained from the contractor and similarly forwarded before payment of the Advance is certified.

When the Engineer is informed by JKR HQ of the amount of the Advance to be made against the committed plant, he or the RE will prepare an interim certificate solely for the Advance amount, separate from any other works pay-ment. The RE will note the amount for reference in connection with repayments under future interim certificates.

Plant items included in the schedule must be held in the contractor's own unencumbered ownership - items under mortgage or forming the subject of a hire purchase agreement must not be included.

Cash Advances not secured by the plant are also made under some contracts. They usually amount to 15% of the Contract Sum (excluding Provisional Sums etc.)with a limit of $5.(l mil-lion and are made at the start of the contract peri-od. Payment for them should not be certified until the following have been provided by the

contractor:-Contract Insurances (see c above) Performance Bond (see d above) Bank Guarantee for Cash Advance.

Details of the required Guarantee for either type of Advance are usually set out in the Conditions of Contract together with arrangements for repayment of the Advance from monies due to the contractor under interim payment certifica-tion.

g) R.E.'s Office and Equipment

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If the-supervision team is to establish firm con-trol from the outset it needs to have its office and equipment provided at an early stage.

Almost invariably, the office is provided under the terms of the contract and the contractor should be urged and prodded to act quickly. In particular, telephone connection (or shortwave radio if it is to be provided), electrical supply, water and sanitation should be pressed for. As a government officer the RE may be able to give the contractor some assistance that he needs in these connections and in obtaining local govern-ment planning consents, etc.

Detailed requirements for the site office are nor-mally given in the General Section of the Specification and shown on the Drawings. The RE should ensure that the specifications are met and that construction is sound enough to ensure that the offices are secure against weather and unauthorised intrusion and will remain so throughout the contract period.

h) R.E.'s Laboratory and Equipment Again, provision of these facilities is usually a contractor responsibility, and is a matter of urgency because no work can be permitted to start on site until testing facilities are available. In the event of delay it may be possible for the

RE to arrange for assistance with preliminary testing from JKR regional or other local JKR laboratories. Alternatively arrangements can be made with commercial laboratories for tests to

be carried out at the contractor's expense. As equipment for the laboratory is received from the contractor it should be checked against the Specification schedule to ensure that it complies with the requirements and is in suitable. working order. It should be carefully inventoried, quoting make, model and serial number and the data should be passed to the contractor for verifica-tion and confirmaverifica-tion.

i) Approval of Materials, Products and Sources

The contractor will require approval for materi-als and manufactured products which he propos-es to use in the early stagpropos-es. Sub-base, crushed stone for road base and concrete drainage pipes are examples. He will probably also ask for gen-eral approval of the sources from which items come, that is, the quarries, factories and yards, etc. On receiving the requests the RE should arrange as follows.

1. Receipt of samples. A member of the supervision team should be present at the selection in order to ensure that the material submitted is representative of the nominated

Chapter Four

PLANT TYPE ANNUAL

DEPRECIATION % RESIDUAL % Bulldozers 25 15 Tracktor Shovels 25 15 Wheeled Loaders 25 15 Graders 20 15 Hydraulic Excavators 25 15 Mechanical Excavator 25 15 Rollers 15 20 Pavers 15 15 Compressors 15 20 Pumps 15 20 Concrete Mixers 15 20 Trucks 25 15 Mobile Cranes 25 20

Static Plant - Crushers, Concrete and

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source and that material is available in suf ficient quantities from it. Quarries should be inspected to ensure that material can be, and is being, recovered without contamination from overburden or other unsuitable materi-al and that equipment and methods will result in the supply of consistent and accept able material.

2. Visit factories and yards from which manu-factured products are to be supplied to check that production and quality control methods will result in consistent and acceptable supplies.

3. Undertake such tests* as are specified and necessary for acceptance. If site testing facilities are not available at this stage the alternative arrangements noted in (h) may be adopted.

When the RE has satisfied himself on all these points he should confirm the results of tests to the contractor and issue written approval of the material and source subject to subsequent regu-lar site testing and the continuance of satisfacto-ry conditions at the particular quarsatisfacto-ry or factosatisfacto-ry, etc. It should be noted that there is no contractu-al obligation on the contractor to have sources approved, or for the Engineer to give approval, but the arrangement is a sensible and practical one which can be the subject of mutual agree-ment.

With regard to products manufactured off - site the Department gives general certified approval to some factories for periods of 2 -3 years at a time, subject to spot checks by the Central Laboratory. In such cases it is, of course, unnec-essary for the RE to arrange for his own inde-pendent testing.

The Resident Engineer may also be asked to arrange at an early stage for approval of trial mixes for cement concrete and job mix formulae for asphaltic mixes.

* See "Guidelines for-Inspection and Testing of Roadworks" and the relevant sections of the standard Specification for Road Works.

j) Contractor's Programme

The contractor is obliged under all Conditions of Contract forms except 203A to submit a works

programme within a specified period of the Notice to Proceed. The programme should be appraised for approval as soon as possible so that the contractor can proceed with his planning and allow for any amendments that may be required by the Engineer.

See Chapter 8.06 for notes on programme appraisal, etc

k) Progress Chart and 'S' Curve The progress chart and 'S' curve are required to be prepared by the contractor but they must be carefully checked by the RE or his staff. See Chapter 8.07 for further notes.

l) Correspondence and Filing System; Drawing Register

As soon as any proposed secretarial or other staff assigned to these duties are available and appropriate office furniture is provided, the fil-ing system for correspondence and records should be established.

Arrangements for receiving and despatching correspondence between the RE's and contrac-tor's offices should be agreed. The system adopt-ed for dealing with correspondence will depend very much on the size of the project but should provide suitable filing and, if necessary, distribu-tion and circuladistribu-tion arrangements.

The most important point is to ensure that corre-spondence from the contractor is dealt with promptly. If it is not it may result in delay to his site operations and to claims for extra cost. The Drawing Register should also be prepared to record drawings made, issued and received. Copies of'contract drawing prints in suitable numbers should be obtained for site and office use. See Chapter Ten for further details.

m) Supplies of Standard Forms, etc A number of standard forms are identified in this Manual. Copies of those required for the partic-ular contract should be obtained at the outset from the State JKR office or JKR HQ in suitable number.

A list of standard forms likely to be required is as

follows:-i)Duplicate Memo Book} ii) Site Instruction Form