GUIDELINES FOR THE REVIEW OF-3.doc
-
Upload
sunil-bose -
Category
Documents
-
view
226 -
download
0
Transcript of GUIDELINES FOR THE REVIEW OF-3.doc
-
7/26/2019 GUIDELINES FOR THE REVIEW OF-3.doc
1/130
GUIDELINES FOR THE REVIEW OF
NATIONAL HIGHWAYS WORKS
UNDER
NATIONAL HIGHWAY DEVELOPMENT PROGRAMME
BY
NATIONAL HIGHWAYS AUTHORITY OF INDIA
Prepared by
Cenra! R"ad Re#ear$% In#&'e( Ne) De!%&
*
Ind&an A'd& and A$$"'n# Depar+en
1
-
7/26/2019 GUIDELINES FOR THE REVIEW OF-3.doc
2/130
CHAPTER I
,-, Inr"d'$&"n
1.1.1 The Indian Audit and Accounts Department (IAAD) vide letter no. RAP/NHAI/MI!/11"#$/#%%#"%& dated #%.'.%& reuested !entral Road Research Institute Ne* Delhi to providetechnical inputs and vettin+ up o, +uidelines prepared - the Audit Department itsel, torevie* National Hi+h*a or0s carried out - National Hi+h*as Authorit o, India underNational Hi+h*a Development Pro+ramme. The Revie* shall cover the activities o, NHAI*ith re+ard to the implementation o, NHDP. It shall -e -ased on test chec0 o, records o, theNHAI Head ,,ice and selected *or0s -ein+ e2ecuted - PI3s. 4eepin+ in vie* thenum-er o, completed / on+oin+ pro5ects +eo+raphical spread and phsical pro+ress o, the
pro5ects the test chec0 *ould cover all completed *or0s e2ecuted - NHAI on"+oin+contracts *hich have reached '% per cent or more phsical pro+ress includin+ *or0s*here time and cost overruns have alread occurred.
1.1.# In response to the a-ove detailed discussions *ere held -et*een !RRI 6 IndianAudit 6 Accounts Department to understand the scope o, *or0 and to see0 clari,ications onthe +uidelines dra,ted - IAAD ,or the purpose. The +uidelines are -ein+ accordin+lmodi,ied.
1.1.& The ,irst chapter +ives an overvie* o, the present status o, the completed and the on"+oin+ road pro5ects under 7olden 8uadrilateral N 69 Port !onnectivit and others*hich are to -e audited. The second chapter deals *ith the :inancial Position and the
tatus o, NHDP pro5ects. The remainin+ chapters o, the +uidelines deals *ith variousactivities o, a pro5ect ,rom inception to a*ard such as Identi,ication o, Pro5ect :easi-ilittudies election and Appointment o, consultant Parties to !ivil 9n+ineerin+ !ontractsthe Roles and Responsi-ilities o, ;arious Parties in the !ontract Preparation o, !ontractDocument under :IDI! condition o, contract and 9valuation o, Tender !ommencement o,*or0s and !ontract Administration !laims and 9valuation o, claims and Dispute Resolution?$. Ho*ever these 7uidelines should not alone -erelied upon ,or the revie* and e2amination o, !ontract A+reement.
-
7/26/2019 GUIDELINES FOR THE REVIEW OF-3.doc
3/130
CHAPTER II
Na&"na! H&.%)ay# De/e!"p+en Pr"0e$
1-, Na&"na! H&.%)ay# A'%"r&y "2 Ind&a
#.1.1 National Hi+h*as Authorit o, India (NHAI) *hich *as constituted on 1'th@une 1>?>under ection &1 o, the National Hi+h*as Authorit o, India Act 1>?? and *as ,ormalloperationalised in :e-ruar 1>>' as an autonomous -od *ith e2ecutive responsi-ilit ,or
development maintenance and operation o, national hi+h*as and associated ,acilities is*or0in+ under the administrative control o, the Ministr o, Road Transport and Hi+h*as(MRTH) 7overnment o, India (7I).
#.1.# In accordance *ith the NHAI Act 1>?? 7I ,rom time to time has vested in orentrusted to NHAI various national hi+h*as or stretches thereo, ,or the purpose o,development and maintenance. The Authorit is also actin+ as an implementin+ a+enc ,orvarious e2ternall aided pro5ects ,or *hich ,unds are received directl - the 7I underseparate loan a+reements ,rom multilateral a+encies li0e orld
-
7/26/2019 GUIDELINES FOR THE REVIEW OF-3.doc
4/130
#.#.# There are a-out '$ Pro5ect Implementation 3nits (PI3s) headed - Pro5ect Directors(PD) located all over the countr *hich implement the pro5ects a*arded - NHAI headuarters.
#.#.& At the Headuarter there are three main divisions vi Administration :inancial andTechnical. The other associated ,unctional areas areB In,ormation Technolo+ !orridorMana+ement 9nvironment and ocial Development and ;i+ilance.
#.#.= The ,ield ,ormation comprises o, Pro5ect Implementation 3nits and !orridorMana+ement 3nits.
#.#.' The sta,, o, the Authorit is classi,ied into = 7roupsB 7roup A
-
7/26/2019 GUIDELINES FOR THE REVIEW OF-3.doc
5/130
CHAPTER III
FINANCIAL POSITION AND STATUS OF NHDP PRO9ECTS
:-, F&nan$&n. "2 %e pr"0e$6
&.1.1 NHAI has -een receivin+ ,unds ,rom 7I mainl in the ,orm o, E!apitalF and E!apital7rantF out o, the -ud+etar allocation ,or e2ecution o, capital pro5ects. It has -een e2ecutin+various capital pro5ects out o, the ,unds provided - 7I and various e2ternall aidedpro5ects ,unded - multilateral a+encies li0e the
-
7/26/2019 GUIDELINES FOR THE REVIEW OF-3.doc
6/130
4R#- &n $r"re5
C$"$nent
C'"'atie
e*en!it're ' t$
+,#+#-+
D'ring c'rrent
.ear (Ari /--+ t$
0'ne /--+)
C'"'atie
e*en!it're ' t$
0'ne /--+
G1 9688 1368 11056
NS & EW 1553 109 1662
Others 1792 58 1850
Maintenance $2 NH 662 45 707
PIU reeases & Misc#
E*enses
57 191 248
T$ta ,+34/ ,33, ,44/+
:-= Pre#en Sa'# "2 NHDP W"r>#6
&.=.1 G"!den 3'adr&!aera!6 7 ut o, '?=C 0m *or0s in respect o, 1=%? 0m under &=
contracts have -een completed as at the end o, @une #%%&. or0s in respect o, =&'= 0munder >1 contracts are under implementation at a pro5ect cost o, Rs. 1'C?%crore and &contracts coverin+ ?= 0m are et to -e a*arded.78 is scheduled ,or su-stantial completion - #%%=.
&.=.#N"r%7S"'% * Ea#7We# C"rr&d"r#6 7 ut o, the total len+th o, $&%% 0m ''$ 0m(1$ contracts) have -een completed as at the end o, @une #%%& and =#& 0m (#= contracts)are under implementation at an estimated cost o, Rs.1$1' crore. !ontracts in respect o,C#>= 0m are et to -e ,inalied.The corridors are scheduled ,or su-stantial completion - #%%$.
&.=.& The present status o, NHDP *or0s is as ,ollo*s
Pre#en Sa'# "2 NHDP and "%er pr"0e$#6
C$"$nent G1 NS &
EW
P$rt
C$nnectiit.
Others T$ta
Total Length (km) 5846 7300 363 653 14162
Completed (km) 1408 557 56 153 2174
Under Implementaton
(km) 4354(91) 423(24) 113(4) 162(4) 5052(123)
!alan"e #or a$ard (km) 84 6294 194 338 6910
%$arded Co&t ('& n "rore) 15680 1715 491 241 18127
pendt*re d*rng C*rrent+nan"al ,ear ('& n "rore)
1368 109 294 1771
C*m*lat-e a& on 1.07.03
('& n "rore) 11056 1662 2805 15523
:i+ures in -rac0ets sho* the num-er o, contracts
3.5S$"pe "2 A'd&
6
-
7/26/2019 GUIDELINES FOR THE REVIEW OF-3.doc
7/130
&.'.1 The Revie* shall cover the activities o, NHAI *ith re+ard to the implementation o,
NHDP. It shall -e -ased on test chec0 o, records o, the NHAI Head ,,ice and selected
*or0s -ein+ e2ecuted - PI3s. 4eepin+ in vie* the num-er o, completed / on+oin+
pro5ects +eo+raphical spread and phsical pro+ress o, the pro5ects the test chec0 *ould
coverB
!ompleted *or0s e2ecuted - NHAI num-erin+ #1
9leven on"+oin+ contracts *hich have reached '% per cent or more
phsical pro+ress includin+ > *or0s *here time and cost overruns have
alread occurred.
Thus a total o, *or0s shall -e audited.
7
-
7/26/2019 GUIDELINES FOR THE REVIEW OF-3.doc
8/130
CHAPTER IV
P!ann&n. and I+p!e+ena&"n "2 Pr"0e$
=-,- Iden&2&$a&"n "2 Pr"0e$6 The various sta+es in plannin+ and implementation o, apro5ect can -e phased as indicated -elo*.
Development trate+ and ectoral -5ective reuirements 9stimate ,or ,or*ard ,inancial plannin+ Identi,ication o, ,inancial assistance/donor
/ orld
-
7/26/2019 GUIDELINES FOR THE REVIEW OF-3.doc
9/130
:inancial Analsis=.#.&. I, PPR esta-lishes the via-ilit o, the pro5ect and is ,ound to -e in order it *ill -e,ormall accepted. Acceptance o, PPR *ill lie *ith !7M/Mem-er (Technical).
=-: Dea&!ed Pr"0e$ Rep"r 4DPR5
=.&.1The ,ollo*in+ step"*ise procedure *ill -e ,ollo*ed B
(i) Preparation o, Terms o, Re,erence (TR)(ii) election o, a consultant to prepare DPR as per the procedure and criteria
+iven in !hapter C.(iii) Preparation o, 8ualit Assurance Plan as per TR and its approval(iv) Preparation and approval o, Dra,t 9nvironmental Assessment Report and
Reha-ilitation Action Plan (RAP)(v) Preparation and approval o, Dra,t DPR(vi) Preparation and approval o, :inal DPR
=.&.# Durin+ entire period o, services the !onsultant *ill continuousl interact *ith theconcerned o,,icials o, NHAI and provide an clari,ication as re+ards method -ein+ ,ollo*edand carr out an modi,ications as su++ested - NHAI. A prior pro+ramme o, variousactivities *ill -e sent to NHAI and prior intimation +iven re+ardin+ start o, an 0e activitsuch as -orin+ surve etc. A monthl pro+ress report ,or monitorin+ purpose *ill -e sent- the consultant to the desi+nated o,,icer o, NHAI.
=.&.& The detailed Pro5ect Report (DPR) shall -e scrutinied thorou+hl ,or accurac andsoundness - the team leader o, the consultant.
-
7/26/2019 GUIDELINES FOR THE REVIEW OF-3.doc
10/130
should also ,orecast in terms o, time and tra,,ic the deterioration levels atvarious sta+es o, pavement li,e and su++est the reuired maintenance strate+.
(vii) Dra*in+s ,or R
-
7/26/2019 GUIDELINES FOR THE REVIEW OF-3.doc
11/130
separatel alon+ *ith that o, other +eneral materials In relation to the total cost o, the*or0. These percenta+es *ill -e used in the Price Ad5ustment :ormula.
=-? E
-
7/26/2019 GUIDELINES FOR THE REVIEW OF-3.doc
12/130
Actual cost o, supervision (limited to C) or0 contin+encies (limited to &) A+enc char+es (1)
=-- Appraa!( L"an Ne."&a&"n# and Appr"/a!6 The various sta+es ma -e as ,ollo*s
Appraisal
!arried out - a donor on/ Technical cost estimates and en+ineerin+/ Institutional/ 9conomic/ :inancial
Goan Ne+otiations
!arried out -et*een
-
7/26/2019 GUIDELINES FOR THE REVIEW OF-3.doc
13/130
Par&e# " C&/&! En.&neer&n. C"nra$ and App"&n+en "2 C"n#'!an
'.1 In order to accomplish the various tas0s as listed a-ove the contracts are si+ned-et*een the !lient 6 the !onsultant and the !lient 6 the !ontractor. The !lient the!onsultant and the !ontractor has to pla various roles under the +iven contract and each
part has certain o-li+ation and duties *hich has -een ver clearl indicted in the various!lause o, :IDI! conditions o, contract. In the conventional strai+ht,or*ard civil en+ineerin+pro5ect there are usual three or+aniations involved.
The 9mploer (also 0no*n as !lient or *ner) *ho is the part interested in havin+ the pro5ect e2ecuted.
The !onsultin+ 9n+ineer *ho has -een responsi-le ,or preparin+ all the plans in accordance *ith the 9mploerFs *ishes
The !ontractor *ho is responsi-le ,or constructin+ the pro5ect inaccordance *ith the 9mploerFs *ishes.
'.# Thus the S'per/&"n C"nra$ in this arran+ement e2ists -et*een E+p!"yer *C"n#'!anand Construction Contract-et*een Employer & Contractor. Note that thereis no contract -et*een the contractor and the consultant. The parties to a civil en+ineerin+contract are sho*n in ,i+ure 1.
?-: App"&n+en "2 C"n#'!an
'.&.1 In order to prepare and implement the pro5ects and do ,or*ard plannin+ NHAI needshi+h"ualit services o, consultants to -lend econom *ith e,,icienc. The consultancservices in connection *ith *or0s *hich the NHAI shall -e most o,ten see0in+ include B
:easi-ilit tudies Pro5ect preparation includin+ speci,ications and
-
7/26/2019 GUIDELINES FOR THE REVIEW OF-3.doc
14/130
?-= Pr"$ed're "2 App"&n+en6
14
-
7/26/2019 GUIDELINES FOR THE REVIEW OF-3.doc
15/130
'.=.1 In order to appoint the consultant ,or a particular 5o-/assi+nment the !onsultantsTerms o, Re,erence (TR) are prepared - the !lient ,or a*ard o, consultanc pro5ect. TheTR is ver important document and its ualit and clarit o,ten imparts heavil on themana+ement e2ecution and overall outcome o, the pro5ect. The main sta+es in theselection process are as sho*n in ,i+ure # -elo*.
:i+ #B Main ta+es In election o, !onsultant
'.=.# The consultanc proposal ,or a particular 5o- is normall su-mitted in t*o parts.
&- Te$%n&$a! Pr"p"#a!6 In the Technical Proposal the ,ollo*in+ aspects aree2amined.
-
7/26/2019 GUIDELINES FOR THE REVIEW OF-3.doc
16/130
?-? Pr"$'re+en "2 C"n#'!an#6
'.'.1 The procurement o, consultant is mostl throu+hJ
8ualit and cost -ased selection
8ualit -ased selection
ometimes there could -e a sin+le source selection
?- Sep# &n 3'a!&y and C"# Ba#ed Se!e$&"n "2 C"n#'!an#
'.C.1 The ,ollo*in+ steps are +enerall ,ollo*ed ,or the selection o, consultant.
Preparation o, Terms o, Re,erence (TR)
Preparation o, hort Gist
pen Advertisement on and o, entire pre"uali,ication document
Gon+ Gist ,romB Gendin+ A+encies and Availa-le *ith NHAI
Issue o, Getter o, Invitation TR and Dra,t A+reement
Receipt o, Technical Proposal (TP) and :inancial Proposal (:P)
9valuation - !ommittee o, TP
penin+ o, :P o, !onsultants *ho uali, in TP in the presence o,
Representatives o, !onsultants
Mar0s o-tained in TP are in,ormed prior to openin+ o, :P
!om-ined 9valuation o, TP and :P
Ne+otiations on technical issues *ith hi+hest ran0ed consultant
teps in ualit -ased selectionB adopted - AD< and @
-
7/26/2019 GUIDELINES FOR THE REVIEW OF-3.doc
17/130
'.$.1 Proo, !onsultants are not a separate entit unli0e the ones descri-ed a-ove. The
ma -e individuals or consultin+ ,irms *ho are hired ,or chec0in+ desi+ns o, comple2 or
important structures or chec0in+ the sa,et o, a structure in distress or e2aminin+ desi+ns
,or their restoration. The ,ee is decided on case"to"case -asis. In case the proo, consultant
holds a di,,erent assessment he should not 5ust +ive his comments -ut should -e reuired
to interact *ith the desi+ner *ho had prepared the proposal in the ,irst instance.
Proo, consultants *ill -e ,inall responsi-le ,or the accurac o, analsis and desi+n e2cept
initial data irrespective o, the ,act *hether the same has -een e2amined and approved -
the 9mploer or not.
?- 3'a!&y A'd& C"n#'!an#
'.?.1 8ualit auditors *ill -e third part auditors. The *ill carr out the *or0 o, preparation
o, chec0lists and documentation to veri, the implementation o, 8ualit Assurance Plan
e2tent and e,,icac o, control e2ercised - contractors and consultants at site compliance
*ith provisions o, the contract critical analsis o, test results and their trend de,iciencies
o-served and improvements su++ested comments on ualit inde2 compliance *ith
previous remar0s/ o-servations.
'.?.# 8ualit auditors should not -e entrusted *ith an other consultanc o, desi+n or
supervision - NHAI. election ma -e made ,rom a list prepared - a hi+h level
committee *hich ma comprise Mem-er NHAI D7 (RD) and some eminent e2perts o,
0no*n pro,essional competence and inte+rit.
?-; C"nra$'a! and Pr"2e##&"na! Pr"/&"n#
'.>.1 Price Ad5ustment
'.>.1.1Ad5ustment o, the remuneration ,or ,orei+n and/or local in,lation *ill -e done as per
price ad5ustment provision included in the contract i, its duration is e2pected to e2ceed 1?
months. In e2ceptional cases contracts o, shorter duration ma include a provision ,or
price ad5ustment *hen local or ,orei+n in,lation is e2pected to -e hi+h and unpredicta-le.
'.>.# Pament Provisions B
'.>.#.1 Pament provisions includin+ amounts to -e paid schedule o, paments andpament procedures currencies o, pament shall -e a+reed upon durin+ ne+otiations.
17
-
7/26/2019 GUIDELINES FOR THE REVIEW OF-3.doc
18/130
Paments ma -e made at re+ular intervals (as under time -ased contracts) or ,or a+reed
outputs (as under lump sum contracts).
'.>.#.# Interest -earin+ Advance (at rates speci,ied in the contract) up to 1% o, the
contract amount ma -e paid *hich *ill -e -ac0ed - -an0 +uarantee. The advance *ill -e
set o,, in eual monthl installments a+ainst paments and ,ull recovered - the time the
cumulative char+es o, ervices have reached ?%.
'.>.#.& The consultant ma -e reuired to su-mit an accepta-le -an0 +uarantee in an
amount upto #.' o, the accepted consultanc cost to*ards Per,ormance ecurit *hich
shall -e valid ,or the duration o, services plus three months (or such period as ma -e
speci,ied).
?-, C"n2!&$ "2 Inere#
'.1%.1 The consultant shall not receive an remuneration in connection *ith the
assi+nment e2cept as provided in the contract. The consultant and its a,,iliates shall not
en+a+e directl or indirectl in activities that con,lict *ith the interest o, the NHAI under the
contract and shall -e e2cluded ,rom do*nstream suppl o, +oods or construction o, *or0s
or purchase o, an asset or provision o, an other service related to the assi+nment other
than a continuation o, the EervicesF under the on+oin+ contract not connected *ith the 5o-
concerned.
?-,, Pr"2e##&"na! L&ab&!&y "2 C"n#'!an
'.11.1 The consultant *ill -e e2pected to carr out the assi+nment *ith the dili+ence and in
accordance *ith prevailin+ standards o, the pro,ession. He *ill al*as act in respect o,
an matter relatin+ to the !ontract or the ervices as ,aith,ul adviser to the 9mploer and
*ill at all times support and sa,e+uard the 9mploerFs le+itimate interests in an dealin+s
*ith the su-contractors or third parties.'.11.# He shall -e responsi-le ,or accurac o, data (*hether collected directl - him or
procured ,rom other a+encies/ authorities) the desi+ns dra*in+s estimates and all other
details prepared - him as part o, the ervices. He shall indemni, the NHAI a+ainst an
ne+li+ence de,icienc in ervices or inaccurac./ de,icienc in the *or0 that mi+ht sur,ace
durin+ implementation o, the pro5ect. The consultant *ill also -e responsi-le ,or correctin+
at his o*n cost the dra*in+s includin+ an re"surve /investi+ation and correctin+ laout i,
reuired.
'.11.& The consultant shall provide to the NHAI a Pro,essional Gia-ilit Insurance (PGI) ,or aperiod o, ten (1%) ears or as per applica-le la* *hichever is hi+her a,ter completion o,
18
-
7/26/2019 GUIDELINES FOR THE REVIEW OF-3.doc
19/130
ervices. The lia-ilit to the
-
7/26/2019 GUIDELINES FOR THE REVIEW OF-3.doc
20/130
?-,= E
-
7/26/2019 GUIDELINES FOR THE REVIEW OF-3.doc
21/130
discussion/ revie* - the 9mploer and compliance thereo, and (e) results o,
ualit audit o, the 5o- - the ualit auditors.
" Disincentives. A part o, ,ee (up to 1%) should -e deducted ,or B (a) ma5or
accidents on the 5o-J (-) lac0 o, control on time and cost over run -eond 1%
(c) undue dela in dra*in+s decisions leadin+ to contractual claimsJ (d)
chan+es in personnel more than #%J (e) unsatis,actor ualit inde2 o, *or0
and (,) serious remar0s in the report o, ualit auditors. A committee should at
the time o, ,inal pament 5ud+e the e2act amount o, disincentive -ased on
suita-le norms
?-, Per2"r+an$e Appraa! Rep"r 4PAR5-
'.1?.1 At the end o, ever !onstruction upervision 5o- Per,ormance Appraisal Report o,the consultant *ill -e *ritten - PD revie*ed - !7M and countersi+ned - Mem-erNHAI. It *ill include pro,essional conduct ne+li+ence sa,et record ualit inde2documentation inte+rit time and cost overruns delas in this and decisions co"ordinationand relationship assessment ,rom ualit audit report an innovation or moderntechniues adopted etc. The report *ill -e attached to the consultantFs dossier.
21
-
7/26/2019 GUIDELINES FOR THE REVIEW OF-3.doc
22/130
CHAPTER VI
RESPONSIBILITIES( POWERS AND DUTIES OF THE PARTIES TO THE
CONSTRUCTION CONTRACT( FIDIC IV
In order to revie* the NHDP *or0s it is essential that the role responsi-ilities and duties in
terms o, :IDI! conditions o, contract -e clearl understood.
-, T%e R"!e and Re#p"n#&b&!&&e# "2 E+p!"yer
C.1.1 The emploer has o-li+ations under -oth the applica-le Ga* o, the !ontract and
under the !onditions o, !ontract. The -asic responsi-ilities under the conditions o, contract
are +iven in !lause 1.1 111>#%#1 to #' #$ &% =# '> C% and C#. These coverB
Prior to the su-mission o, tenders provide to tenderers details o, the site
investi+ations and relevant hdrolo+ical data.
Determine the !ontract and dra* up the !ontract A+reement
Assi+n the !ontract
A+ree *ith the contractor the +eneral terms o, the third part insurance polic.
Appointment o, the 9n+ineer
Due consultation *ith the 9n+ineer
9mploer can limit the 9n+ineerFs po*er and can also dismiss the 9n+ineer
Provide possession o, site to ena-le the !ontractor to commence and
proceed *ith the or0s.
Permit the contractor to carr out the *hole o, the *or0s.
To provide instructions as and *hen the are reuired.
To nominate specialist su-"contractors and suppliers as and *hen the are
reuired.
Not to impede or inter,ere *ith the *or0s.
22
-
7/26/2019 GUIDELINES FOR THE REVIEW OF-3.doc
23/130
To ta0e responsi-ilities o, the *or0s ,rom the date o, issue o, the certi,icate o,
su-stantial completion.
Pa *ithin the speci,ied time the amount certi,ied - the 9n+ineer a,ter the
deduction o, an previous paments on accounts.
Attempt to resolve disputes throu+h amica-le settlement under the provisions
o, su- clause C$.# -e,ore proceedin+ to ar-itration.
Remain lia-le ,or an un,ul,illed o-li+ation a,ter the issue o, the De,ects
Gia-ilit !erti,icate.
7o to ar-itration or !ourt
C.# I+p!e+ena&"n( S'per/&"n and E/a!'a&"n by E+p!"yer
C.#.1 The e2ecution o, the pro5ect *ill -e done throu+h a contractor *ho is competent,inanciall sound and o,,erin+ to do the *or0 at reasona-le price. To achieve this thecontractors should -e pre"uali,ied (or post"uali,ied) on the -asis o, detailed criteriatailored to suit the needs o, the pro5ect.
C.#.# :or supervisin+ the *or0 NHAI *ill +enerall emplo a competent constructionsupervision consultant. His appointment *ill -e routed throu+h a *ell"de,ined process o,selection -ased on com-ined evaluation o, technical and ,inancial proposals.
C.#.& PI3 (headed - the Pro5ect Director) *ill oversee the pro5ect on -ehal, o, NHAI. Tas0sand responsi-ilities o, PD are +iven in Para C.#.=. Principal role o, PI3 *ill -e to ensure thatthe pro5ect is e,,ectivel developed and implemented. PI3 ma -e headed - a 7M/D7M*ho *ill -e assisted - one or t*o en+ineers o, the level o, D7M/Mana+er *ho *ill -eposted at separate locations -roadl con,ormin+ to *or0 reuirement. PD *ill -e assisted- Accounts ,,icer and supportin+ sta,, ,or accounts and secretarial assistance.
C.& D'&e# "2 Pr"0e$ D&re$"r
C.&.1 Pro5ect Director *ill -e overall inchar+e o, the pro5ect *ithin his 5urisdiction. He *illensure timel acuisition o, land shi,tin+ o, utilities and removal o, o-structions. He *ill
provide liaison *ith other a+encies and +roups to ensure that all the local issues aresatis,actoril dealt *ith.
C.&.# He *ill supervise and monitor the per,ormance o, the construction supervisionconsultant and throu+h him o, the contractor. He *ill administer the po*ers vested *ithhim under the contract includin+ ma0in+ o, paments. He *ill oversee the la-orator andcarr out random chec0s o, *or0 as re+ards their uantit and ualit.
C.&.& He *ill superintendent that the ori+inal pre"uali,ied contractor is actuall *or0in+ andthat there is no un"o,,icial su-"lettin+ or -ac0"to"-ac0 arran+ement - the contractor toper,orm the contract or an part thereo, on his o*n -ehal,. I, the contract provides ,or a@oint ;enture or a su-"contractor PD should independentl *atch that the per,orm *ithinaccepted conditions and ,rame*or0 o, the contract. He *ill also chec0 up that the
23
-
7/26/2019 GUIDELINES FOR THE REVIEW OF-3.doc
24/130
machiner and euipment as ori+inall promised are actuall *or0in+ on the pro5ect site. I,he should send his ,indin+ to the !7M ,or appropriate action.
C.&.= PD *ill report to the Headuarters criticalities in the implementation o, the pro5ect.He *ill provide the necessar inputs to the Headuarters as and *hen reuired. He *ill+ive his comments on variations time e2tension disputes and claims and present the case-e,ore DR9/DR< ad ar-itral tri-unal. He *ill ensure proper maintenance o, all relevantrecord that ma -e needed at an time in the ,uture to de,end cases -e,ore the ar-itratorsor in the courts. n trans,er di,,erences disputes claims and other matters to ena-le thesuccessor e,,ectivel *atch the interest o, NHAI.
C.&.' n completion o, the pro5ect he *ill *rite con,idential per,ormance appraisal report o,the supervision consultant and su-mit to the !7M. He *ill also receive the per,ormanceappraisal report o, the contractor put up to him - the supervision consultant and ,or*ard itto the !7M a,ter counter"si+nature/ his remar0s.
C.&.C n completion o, the De,ect Gia-ilit Period PD *ill carr out hal,"earl per,ormance
evaluation o, the pro5ect durin+ the li,e ccle o, the pro5ect.
-=O/era!! A##e##+en "2 Pr"0e$6
C.=.1 n completion o, pro5ect an assessment should -e prepared. This *ill inter aliaaddress pro-lems in respect o, cost overruns delaed completion ne* policies andprocedures adoptedJ mista0es madeJ issues o, dispute resolution and lessons ,or the,uture. upervision consultant *here considered appropriate ma -e as0ed to +ive a -rie,presentation.
C.=.# Durin+ the ccle o, the pro5ect si2"monthl appraisal o, the per,ormance o, the *or0sa+ainst their e2pected -ehaviour should -e made - the Pro5ect Director/ Re+ional ,,icer
and reasons ,or premature deterioration or ,all in servicea-ilit levels should -e e2plored.
-? Re/ed E#&+ae
C.'.1 As soon as an e2cess over ,inancial approval/ commitment -eond the permissi-le
limit is ,oreseen a revised estimate shall -e prepared sho*in+ the e2cess or savin+ over
each item or su-head and +ivin+ reasons there,ore. A revised estimate *ill not -e reuired
i, the increase in cost e2cludin+ that attri-uta-le to (i) price escalation (ii) increase in
statutor levels (iii) variations in e2chan+e rate is not more than the permissi-le limit.
Revised estimate *ill -e sanctioned - the authorit component to do so.
- T%e R"!e and Re#p"n#&b&!&y "2 %e En.&neer
C.C.1 It is onl ,rom an e2amination o, the *hole o, the conditions o, contract it is possi-le
to determine the role o, the 9n+ineer. The 9n+ineer is intended to act -oth as a+ent ,or the
9mploer in the process o, o-tainin+ ,or the emploer the pro5ect reuired and as an
independent person ,or the administration o, the contract and ,or the settlement o, disputes.
In :IDI! I; !lause #(C) the 9n+ineer is reuired to act impartiall *hen actin+ in the
24
-
7/26/2019 GUIDELINES FOR THE REVIEW OF-3.doc
25/130
independent role. here he has to consult or see0 approval ,rom the emploer -e,ore
ma0in+ a decision then these have to -e stated in the !ondition o, Particular Application.
--,-, Ob!&.a&"n# "2 %e En.&neer6
The 9n+ineer is reuired toB"
"-serve the *or0s and test all materials
" Issue dra*in+s and instructions timeousl
" Record all ,acts and circumstances o, adverse conditions
"Approve the pro+ramme o, *or0s
" Monitor rate o, pro+ress
" !erti, completion o, *or0s
" rder variations in *ritin+
" ;alue variations and ,i2 ne* rates
" ;alue claims ,rom contractor
" Measures the uantities o, *or0 done
" Assure paments to su-contractor
" !erti, monthl certi,icates
" 9nsure all maintenance *or0s are done
" ;alue the *or0s at determination o, contract
" Resolve disputes in ,irst instance (9n+ineerFs decision)
--,-1 P")er# "2 En.&neer#
" Issue instructions and dra*in+s re+ardin+ the *or0
" 92plain am-i+uities in the document
" Approve or re5ect the part o, *or0s
25
-
7/26/2019 GUIDELINES FOR THE REVIEW OF-3.doc
26/130
" rder additional or varied *or0s
" uspend the *or0
" 7rant e2tension o, time
" !erti, paments to the contractor
" Decide disputes in ,irst instance
" Issue certi,icate o, completion
C.C.# The !onsultant has a num-er o, di,,erent roles *hich can -e e2amined as ,ollo*s
under various !lauses o, :IDI! I; B
Desi+ner !lauses C$'1
8ualit controller Administration and Mana+er (upervisor)
!lauses #'1=1$1>#%&1&&&' to =% ==
=C=>'%'1'='C'$'?'> and C'.
;alue and !erti,ier !lauses =? => '# '& '> C% C# C& C> and $%
Ad5udicator !lause C$
(not 8uasi" ar-itrator)
Po*ers and Duties o, the 9n+ineers
C.C.#.1 The Po*ers and duties o, the 9n+ineer *hich can -e active reactive and passive
are de,ined - the speci,ic *ordin+ used in the various clauses B
Accept 1#.# &$.&
Ad5ust '.#
A+ree ==.# '#.1 '#.# '#.= '&.& 'C.1 C%.C.
Appear 1=.#
Appoint #.=
26
-
7/26/2019 GUIDELINES FOR THE REVIEW OF-3.doc
27/130
Approve $.# ?.# 1'.1 &?.1 '#.= 'C.1 '$.# '>.1 C%.1 C%.' C%.C
Ascertain 'C.1 C&.&
Assess '&.=
Authorit C.# '?.#
!erti, =>.1 '&.' '>.' C%.# C%.& C%.' C&.1 C&.# C&.&
!hec0 1$.1
!on,irm 'C.1
!onsent =.1 C.1 1=.1 1=.= ='.1 =C.1 '=.1K
!onsidered 1'.1 '#.= '&.= '&.' C=.1
!onsult #$.1 &%.& &C.'&$.= &?.# &>.# =%.# =#.# ==.1 ==.& =C.1 =>.=
'%.1 '#.1 '#.# '#.= '&.' C=.1 C'.' C'.? C>.= $%.#
!op 1$.1 #$.1 &%.& &%.& &1.# &C.' &$.= &?.# &>.# =%.# =#.# ==.1 ==.#
==.& =C.1 =>.& =>.= '%.1 '#.1 '#.# '#.= '&.' 'C.1 '?.1 '?.# '>.&
'>.= C%.& C&.# C=.1 C'.& C'.' C'.? C>.= $%.#.
!orrect C%.=
Decision C$.1
Dele+ate #.&
Demand '>.'
Determine 1$.1 #$.1 &%.& &%.& &1.# &C.' &$.= &?.# &>.# =%.# =#.# ==.1 ==.#
==.& =C.1 =>.& =>.= '%.1 '#.1 '#.# '#.= '&.' 'C.1 '?.1 '?.# '>.&
'>.= C%.& C&.# C=.1 C'.& C'.' C'.? C>.= $%#
Direct '%.1
Disa+ree '#.1 '#.# C%.C
Disapprove #.& &$.'
27
-
7/26/2019 GUIDELINES FOR THE REVIEW OF-3.doc
28/130
9nsure 1.' #.1
92amine &?.1
92plain '.#
:i2 '#.1 '#.# C&.#
Inspect &$.# =>.# '&.#
Instruct '.# 1&.1 #$.1 &C.1 &?.# &>.1 =%.1 =%.& =?.1 =>.# '%.1 '1.1 '1.#
'#.# '#.= '&.# '?.1 '?.# '>.= C&.=
Investi+ate C&.#
Issue C.& $.1 #%.1 =?.1 =?.& =>.& '#.= '>.' C%.1%
Intend '#.#
Measure &?.1 'C.1
Modi, C%.=
Nominate '>.1
Notice =1.1 =C.1 'C.1 C$.1
Noti, 1$.1 #%.& &%.& &1.# &C.' &$.= &?.# &>.# =%.# =#.# ==.1 ==.& =C.1
=?.1 =>.& =>.= '%.1 '#.1 '#.# '#.= '&.' '?.1 C=.1 C'.& C'.' C'.?
C>.= $%.#
-5ect 1C.# &$.=
-tain #.1
mit C%.=
pinion 1C.# &%.& &>.1 =%.1 =C.1 =?.1 =>.& =>.= '1.1 '#.1 '#.# '#.= C%.&
C&1 C=.1
Permission =%.&
Prepare 'C.1
28
-
7/26/2019 GUIDELINES FOR THE REVIEW OF-3.doc
29/130
Prescri-e &'.1 C%.1
Reduce C%.=
Re,er C&.#
Re5ect &$.=
Reuest 1=.# &1.# &$.=
Reuire 1=.1 1=.& 1C.# 1$.1 1?.1 1>.1 #%.& &1.1 &'.1 &C.1 &C.= '&.& 'C.1
C'.&
Revie* ==.& 'C.1
atis, 1&.1 1$.1 #%.# &&.1 &C.= =?.1 =?.# =>.# '#.= '&.' '>.' C#.1
elect &C.1 '>.1
i+n '#.= C#.1
peci, =?.1
Test &$.#
;ar '1.1 'C.1
;eri, '&.= C%.C
arn C&.1
hile C&.1
- T%e En.&neer# Repre#ena&/e
C.$.1 The 9n+ineerFs Representative is responsi-le to the 9n+ineer to *atch and supervise
the construction and completion o, the or0s. He has no authorit to relieve the !ontractor
o, an o, his duties or o-li+ations under the !ontract. He ma not order an *or0 involvin+
dela or e2tra pament - the 9mploer unless this is e2pressl dele+ated to him.
C.$.# The 9n+ineerFs Representative is responsi-le to the 9n+ineer to *atch and supervise
the construction and completion o, the or0s. He has no authorit to relieve the contractor
29
-
7/26/2019 GUIDELINES FOR THE REVIEW OF-3.doc
30/130
o, an o, his duties or o-li+ation under the !ontract. He ma not order an *or0 involvin+
dela or e2tra pament - the 9mploer unless this is e2pressl dele+ated to him.
C.$.& The 9n+ineer ma dele+ate to the 9n+ineerFs Representative or to an other person
responsi-le to the 9n+ineer an o, the duties or authorities vested in the 9n+ineer *ith thee2ception o, !lauses =1 == =? C#m C' C$ and C>. (This is stated in the 7uide to 3se o,
:IDI! !onditions o, !ontract ,or !ivil 9n+ineerin+ !onstruction). An such dele+ation must
-e in *ritin+ and does not come into e,,ect until received - the !ontractor.
- T%e Re#&den En.&neer
C.?.1 There must -e a distinction made -et*een the 9R and R9. The LResident 9n+ineer
is a title -esto*ed on an individual - the ,irm o, consultants *ith the -lessin+ o, the client.
The title has no contractual si+ni,icance. There ma or ma not -e a Resident 9n+ineer on
site *ho ma or ma not -e the 9n+ineerFs Representative.
C.?.# The consultants appointed ,or the supervision o, the *or0s e2ecuted - the civil
contractors are inter alia reuired to dischar+e the ,ollo*in+ duties. It ma -e seen
*hether the duties are -ein+ dischar+ed properl.
The must per,orm the services and carr out their o-li+ations *ith due dili+ence
e,,icienc and econom in accordance *ith +enerall accepted pro,essionaltechniues and practices o-serve sound mana+ement practices and emplo
appropriate advanced technolo+ and sa,e methods.
Durin+ the term o, the contract the should not indul+e in an -usiness or
pro,essional activities *hich *ould con,lict *ith the activities assi+ned to them under
the contractJ or a,ter the termination o, this contract such other activities as ma -e
speci,ied in the pecial !onditions o, the !ontract (!).
The must ta0e out and maintain at their o*n cost -ut on the terms and conditions
approved - the client insurance a+ainst the ris0s and ,or the covera+e as shall -e
speci,ied in the !J
At the clientFs reuest the must provide evidence to the client sho*in+ that such
insurance has -een ta0en out and maintained and that the current premia have
-een paid.
The must +ive notice to the contractor o, an de,ects -e,ore the end o, the de,ectslia-ilit period *hich -e+ins at completion and is de,ined in the contract data.
30
-
7/26/2019 GUIDELINES FOR THE REVIEW OF-3.doc
31/130
The must e2tend the completion date i, a compensation event occurs or a variation
is ordered *hich ma0es it impossi-le ,or completion to -e achieved - the
completion date.
The must chec0 the contractorFs *or0 and noti, the contractor o, an de,ects thatare ,ound.
The must o-tain the clientFs prior approval in *ritin+ -e,ore ta0in+ an o, the
,ollo*in+ actionsB
9nterin+ into a su-contract ,or the per,ormance o, an part o, the services
The must su-mit to the client the reports and documents speci,ied in ! in the
,orm num-ers and *ithin the periods set ,orth therein.
I, the client ,inds that an o, the personnel has committed serious misconduct or has
-een char+ed *ith havin+ committed a criminal action or has reasona-le cause to
-e dissatis,ied *ith the per,ormance o, an o, the personnel then the consultants
must at the clientFs *ritten reuest speci,in+ the +rounds thereo, provide as a
replacement persons *ith uali,ications and e2perience accepta-le to the client.
-; O%er er+# and $"nd&&"n# app!&$ab!e " #'per/&"n $"n#'!an# are a# 2"!!")#6
The must not accept ,or their o*n -ene,it an trade commission discount or
similar pament in connection *ith activities pursuant to the contract under their
supervision or to the services or in the dischar+e o, their o-li+ations under the
contract.
Durin+ the term o, the contract and a,ter its termination the consultants are
disuali,ied ,rom providin+ +oods *or0s or services other those stipulated ,or an
pro5ect resultin+ ,rom or closel related to the services.
All plans dra*in+s speci,ications desi+ns reports and other documents and
so,t*are su-mitted - the consultants in accordance *ith ! shall -ecome and
remain the propert o, the client.
The consultants shall have no claim ,or additional costs arisin+ out o, or incidental to
an removal and/or replacement o, personnel.
31
-
7/26/2019 GUIDELINES FOR THE REVIEW OF-3.doc
32/130
The consultantsF total remuneration shall not e2ceed the contract price and shall -e
a ,i2ed lump sum includin+ all sta,, costs su- consultantsF costs printin+
communications travel accommodation and the li0e and all other costs incurred
- the consultant in carrin+ out the services descri-ed in !.
-, T%e C"nra$"r# Re#p"n#&b&!&&e#6 The !ontractorFs ma5or responsi-ilities are
listed
The !ontractorFs primar o-li+ations are contained in !lauses $. ?. 11 1# 1& 1=
1' 1C 1$ 1> #% #1 ## #& &= &C =1 and =&.
!onstruct and complete the or0s so ,ar as it is phsicall and le+all possi-le
*ithin the time ,or completion as contemplated in the contract.
Provide all la-our and materials !ontractorFs 9uipment Temporar or0s transport
as is speci,ied in or reasona-l to -e in,erred ,rom the !ontract.
To -e responsi-le ,or the desi+n or speci,ication o, the Permanent or0s onl as
ma -e provided in the !ontract in *hich he shall e2ercise all reasona-le s0ill care
and dili+ence.
Ta0e ,ull responsi-ilit ,or the adeuac sta-ilit and sa,et o, all operations andmethods o, construction maintainin+ the ite in an orderl and sa,e state providin+
and maintainin+ the ite in an orderl and sa,e state providin+ and maintainin+ all
li+hts +uards ,encin+ *arnin+ si+ns and *atchin+.
To -e responsi-le ,or the interpretation o, the site investi+ations and hdrolo+ical
data provided - the 9mploer to have inspected and e2amined the site and
satis,ied himsel, o, the correctness and su,,icienc o, the rates and prices to cover
all his o-li+ations under the !ontract.
Provide a pro+ramme sho*in+ the order in *hich he proposes to carr out the
or0s to ensure completion *ithin the speci,ied times and method statements
sho*in+ ho* the or0s *ill -e carried out.
Provide adeuatel uali,ied superintendence ,or the construction and maintenance
o, the or0s.
32
-
7/26/2019 GUIDELINES FOR THE REVIEW OF-3.doc
33/130
To -e responsi-le ,or the true and proper settin+ out o, the or0s and the provision
o, all necessar euipment and la-our.
To ta0e care o, the or0s and the materials plant and euipment ,or incorporation
into the permanent or0s ,rom the !ommencement Due to the date o, issue o, the!erti,icate o, u-stantial !ompletion e2cept ,or outstandin+ *or0s.
Provide securities indemnities and insurances in a ,orm accepta-le to the 9mploer.
All materials and *or0manship to compl *ith the reuirements o, the !ontract.
To commence the or0s as soon as is reasona-l practica-le a,ter the or0s
!ommencement Date ad proceed *ith due e2pedition and *ithout dela.
u-stantiall complete the or0s *ithin the time or times prescri-ed in the !ontract.
A,ter su-stantial completion to complete the *or0s and e2ecute an outstandin+
*or0 and remed de,ects.
Noti, the 9mploer *henever an event occurs *hich is li0el to increase the cost o,
the *or0 or time ,or completion.
-,, T%e C"nra$"r# A.en
C.11.1 !lause 1'(#) reuires the !ontractor to nominate a competent and authoried a+ent
or representative *ho has to -e approved in *ritin+ - the 9n+ineer to -e ,ull time on site
to -e ,ull responsi-le ,or the superintendence and sa,et o, the or0s and to receive
instructions ,rom the 9n+ineer or 9n+ineerFs Representative.
C.11.1 He also has responsi-ilities to the !ontractor to ma0e a pro,ile *hich ma at times
cause a con,lict o, interest *ith re+ard to ualit o, *or0manship and rate o, pro+ress.
33
-
7/26/2019 GUIDELINES FOR THE REVIEW OF-3.doc
34/130
CHAPTER VII
Prepara&"n "2 C"nra$ D"$'+en# and Tender E/a!'a&"n
$.1 NHAI has entered into various tpes o, contracts ,or e2ecution o, NHDP as +iven -elo*B
:or preparation o, DPR
:or construction o, the hi+h*as (civil contracts)
:or supervision o, the construction (upervision !onsultants)1
:or construction o, hi+h*as under
-
7/26/2019 GUIDELINES FOR THE REVIEW OF-3.doc
35/130
A minimum num-er o, items o, the plant and machiner reuired ,or the pro5ect
are mentioned in -id document
The applicant should +ive an underta0in+ to provide all the plant and machiner
reuired ,or the pro5ect
Personnel !apa-ilities
The applicant to suppl +eneral in,ormation on the mana+ement structure o,
the ,irm and to ma0e provision ,or suita-l uali,ied personnel to ,ill the 0e
positions as reuired durin+ contract implementation
-
7/26/2019 GUIDELINES FOR THE REVIEW OF-3.doc
36/130
o, poor per,ormance such as a-andonin+ the *or0s not properl completin+ the
contract inordinate delas incompletion liti+ation histor or ,inancial ,ailures or
de-arrin+ ,rom NHAI *or0s etc.J
" !onstruction 92perienceB
The applicant should provide evidence o, success,ul completion or su-stantial
completion *ithin the last si2 ears at least one contract pertainin+ to hi+h*as
(road and/or -rid+e *or0s) airport run*a o, sie at least =% o, the value o,
the contract applied ,or.
" @oint ;enturesB
@oint ;enture partners *ould -e limited to three
ne partner to -e nominated as In " char+e durin+ the pre"uali,ication and -iddin+
periods and in the event o, a success,ul -id durin+ contract e2ecution. The In"char+e to -e authoried to incur lia-ilities and all partners o, the @; to -e
lia-le 5ointl and severall
@oint ;enture ummar
Names o, all partners o, a 5oint ventureB"
Ma5or Partner
Partner (
-
7/26/2019 GUIDELINES FOR THE REVIEW OF-3.doc
37/130
;olume I; that contains the Dra*in+s
-= In#r'$&"n# " ender#6
$.=.1 !lear instructions are reuired to ena-le tenderers to complete the documents
correctl and in con,ormit *ith the procedures *hich the 9mploer has to ,ollo* Pu-lic
Authorities have to to ensure impartialit and transparenc in the tender process and
compliance *ith tender instructions is essential.
ithout +oin+ into an detail the list o, items set out -elo* +ives an idea o, all the issues
that need to -e dealt *ith to achieve a success,ul tender outcome.
/ listin+ o, the component documents comprisin+ the tender document.
/ Method o, completion o, the document
/ chedules to -e completed - tenderer
/ In,ormation relatin+ to the site inspection
/ Alterations to documents and conditions applin+ to departures and
modi,ication
/ Remedies applica-le in the cases o, am-i+uities errors or discrepancies
/ tipulations *ith respect to su-mission o, alternative tenders
/ ecurit to -e provided - the success,ul tenderer tender deposit
/ :orm and deliver o, tender/ho* *hen and *here/ ;alidit period
/ Ad5udication
/ Disuali,ication o, tender
/ !onseuences o, *ithdra*al o, tender
/ Acceptance or re5ection - the 9mploer
/ u,,icienc o, tender
/ 9vidence o, e2perience and suita-ilit o, the tenderer period ,or completion
o, the *or0s/ :orei+n e2chan+e ris0s
/ ;alue added ta2
/ tamp duties/ *ho pasQ
/ Gicences and receipts
/ Gimitations on preliminar and +eneral items
-?Genera! Sr'$'re "2 %e D"$'+en
37
-
7/26/2019 GUIDELINES FOR THE REVIEW OF-3.doc
38/130
$.'.1 In most en+ineerin+ contracts the *ritten contract document is normall prepared -the 9mploer or his !onsultin+ 9n+ineer. :i+ure & sho*s the steps involved in thepreparation o, contract a+reement. Pro5ects are o,ten comple2 costl and sometimescontain hi+her than normal levels o, uncertaint. These circumstances reuire thate2tensive documents are provided in order to de,ine the ri+hts duties responsi-ilities ris0sand o-li+ations o, the parties to the contract. The responsi-ilities o, the 9n+ineer *ho is nota part to the contract have also to -e de,ined. The contract documentation there,oreplas a crucial role in the contract and as such it should -e as comprehensive as possi-le.:i+ure = +ives an e2ample sho*in+ the di,,erent documents *hich constitute a !ontractDocument.
38
-
7/26/2019 GUIDELINES FOR THE REVIEW OF-3.doc
39/130
39
-
7/26/2019 GUIDELINES FOR THE REVIEW OF-3.doc
40/130
40
-
7/26/2019 GUIDELINES FOR THE REVIEW OF-3.doc
41/130
-?-1 :orm o, Tender
$.'.#.1 The :orm o, Tender is the *ritten o,,er si+ned - the Tenderer to per,orm thecontract and states the price ,or *hich this *ill -e done. The acceptance - the 9mploero, this o,,er sets up the !ontract -et*een the t*o parties.
-?-: 7eneral !onditions o, !ontract (7!!5
$.'.&.1 The 7!! provide the le+al -asis o, the contract and are applica-le to a multitude o,di,,erent contracts. Normall :IDI! conditions o, contract are ,ollo*ed on most o, theInternational !ontracts.
-?-= pecial conditions o, contract
$.'.=.1 The pecial !onditions o, !ontract adapt or modi, the 7!! to meet the speci,ic
reuirements o, an 9mploer and/or to cater ,or an di,,erent or uniue situation that mi+ht-e applica-le to a particular pro5ect or a particular site. pecial !onditions o, !ontract alsoadd ne* conditions *hich ma -e considered necessar. As ,ar as status is concernedreuirements and provisions o, the pecial !ondition o, !ontract al*as supersede thoseo, the 7eneral !onditions o, !ontract.
-?-? tandardised peci,ication
$.'.'.1 peci,ications deal *ith technical and phsical matters amon+st *hich areB
Properties o, materials to -e used in the *or0s tandards o, *or0manship Descriptions o, ho* *or0 items are to -e measured ,or pament purposes and ho*
the are to -e paid ,or
$.'.'.# The tandard peci,ications are the technical counterpart o, the 7eneral !onditionso, !ontract. The MRTH tandard peci,ication ,or Road and
-
7/26/2019 GUIDELINES FOR THE REVIEW OF-3.doc
42/130
$.'.C.& The -ill o, uantities is normall divided into sections.
The ,irst section *ill normall cover L7eneral Items or LPreliminaries. This *ould coverB
!onventional reuirementsB Per,ormance -onds insurance o, the or0s and third partinsurance.
peci,ied reuirementsB Accommodation services plant temporar *or0s (timed and,i2ed) supervision and la-our
Method Related !har+esB !ontractorFs accommodation services plant
(Timed and :i2ed) temporar *or0s supervision andla-our
Provision umsB or0 not et ,ull de,ined -ut *hich the !ontractor *illpro-a-l -e reuired to carr out.
Da *or0B The Da *or0 chedule *ill comprise either chedules o, Da*or0s (rates and prices) carried out incidental to !ontractor0 issued - the :ederation o, !ivil 9n+ineerin+!ontractors *ith a provision ,or the !ontractors to ma0epercenta+e additions/deductions to the la-our plant materialsand supplementar char+es.
or
A list o, the various classes o, la-our plant and materials ,or *hich Da *or0 rates andprices are to -e inserted - the tenderers to+ether *ith a statement o, the conditions under
*hich the contractor shall -e paid.
Prime !ost ItemsB The estimated price o, *or0 to -e carried out - a ENominatedu-"conductor or supplier. The !ontractor is +iven theopportunit to add a sum to cover Ela-oursF. the provision o,access *or0in+ space the services and +eneral attendancela-our etc and a percenta+e o, the Prime !ost item to coverthe Main !ontractorFs pro,it and overheads.
The remainin+ ections cover the measured or0s *hich *ill -e su-5ect to re"measure.
!ertain Items have the *ordin+ (Provisional 8uantit) included in the Item Description to*arn the !ontractor that the uantities ma var considera-l so that he ma ta0e it intoaccount *hen pricin+.
The su-"total o, each ection is carried ,or*ard to the 7rand ummar. A 7eneral!ontin+enc Allo*ance is normall added to the total o, the Part ummaries. This *ould -ein the ,orm o, a percenta+e o, the total o, the Part ummaries. It is normal practice to allo*tenderers to insert a lump sum addition or deduction as an ad5ustment Item. It should -ede,ined in the Pream-le to the
-
7/26/2019 GUIDELINES FOR THE REVIEW OF-3.doc
43/130
-?- Dra*in+s
$.'.$.1 It is a ver true sain+ that a picture saves a thousand *ords. The -etter the picturethe more *ords are saved. The dra*in+s *hich ,orm part o, the contract documentationshould -e in su,,icient detail to ena-le a contractor to determine as precisel as possi-le*hat is reuired o, him. :rom the detail provided he should -e a-le to ,ormulate hisconstruction plan prepare his pro+ramme and evaluate possi-le alternative solutions i,these are permitted.
$.'.$.# The scale o, the dra*in+s should al*as -e su,,icient to allo* the !ontractor to readthe te2t and the dimensions and an other relevant in,ormation. ne dra*in+ must sho*the localit o, the *or0s to+ether *ith all access details.
$.'.$.& Tender dra*in+s ma or ma not -e construction dra*in+s -ut it must -eremem-ered that an ma5or alteration to a tender dra*in+ is in ,act a variation to thecontract. hile it is desira-le that all desi+ns and plans should -e completed -e,oretenders are called it is not essential. As lon+ as su,,icient details are provided to ena-le
accurate pricin+ and plannin+ additional dra*in+s can sa,el -e issued to the !ontractordurin+ the course o, the contract *ithout pre5udicin+ his pro+ram. This is the norm on ma5orcontracts.
-?- Form o, Tender and Appendi2 to the Tender
$.'.?.1 Appendi2 to the TenderB Throu+hout the 7eneral !onditions o, !ontract re,erenceis made to certain in,ormation that shall -e Eas named in the Tender. These items arethose that *ill var or alter ,rom contract to contract or ,rom emploer to emploer. uchitems include the amount o, the securit duration o, suret time ,or completion amount o,penalt percenta+e retention dispute resolution procedures insurance reuirements.
These items are listed in the Appendi2 to the tender.
$.'.?.# Anne2ure to the TendersB These papers are attachments to the :orm o, Tender andare desi+ned to elicit additional in,ormation ,rom the Tenderers. The in,ormation is reuired(i, there has not -een a process o, pre"uali,ication) to ena-le the 9mploer to assess theTenderersF competence to e2ecute the *or0. Almost the attachments could -e B
/ chedule o, past 92perience
/ chedule o, Ga-our and Plant ,or the pro5ect
/ Provisional Pro+ramme o, or0 ,or the !ontract
/ Anticipated monthl earnin+s/ !erti,icate o, Attendin+ ite Inspection
/ Authorit ,or 9mploer to conduct ,inancial investi+ations
/
-
7/26/2019 GUIDELINES FOR THE REVIEW OF-3.doc
44/130
-?-; Pro",orma
-?-;-, It is customar to include a tpical pro",orma o, the !ontract A+reement the :orm o,
uret Tender
-
7/26/2019 GUIDELINES FOR THE REVIEW OF-3.doc
45/130
responsive (con,ormin+ to tender documents) are evaluated. The non"responsive tendersare re5ected.
$.C.& 9valuation serves to determine *hich is the most advanta+eous tender considerin+price and other relevant ,actors re,erred to in the tender documents.
$.C.&.1 9valuation Parameters
:inancial
Avera+e annual turnover -id capacit liuid assets
Technical
Personnel r+aniation plant and euipment
92perience in imilar or0s Trac0 Record
atis,actor timel completion 6 liti+ation
$.C.&.# 9valuation o, Tenders
-
7/26/2019 GUIDELINES FOR THE REVIEW OF-3.doc
46/130
- C"nd&&"n# "2 C"nra$6
As per the standard -iddin+ document dul modi,ied as per local conditions
-
7/26/2019 GUIDELINES FOR THE REVIEW OF-3.doc
47/130
c. 9uipment reuirements
d. 92perience reuirements
e. Giti+ation in,ormation
-- A)ard and e
-
7/26/2019 GUIDELINES FOR THE REVIEW OF-3.doc
48/130
The contract shall emplo the 0e personnel named in the chedule o, 4e
Personnel as re,erred to in the !ontract Data to carr out the ,unctions stated in
the schedule or other personnel approved - the 9n+ineer.
The contractor shall provide in the 5oint names o, NHAI and the contractor
insurance cover ,rom the start date to the end o, the de,ects lia-ilit period.
The contractor shall carr out all instructions o, the 9n+ineer pertainin+ to *or0s.
The contractor shall permit NHAI to inspect the contractorFs accounts and
records relatin+ to the per,ormance o, the contractor and have them audited -
auditors appointed - the NHAI i, so reuired - NHAI.
ithin the time stated in the !ontract Data the contractor should su-mit to the
9n+ineer ,or approval a pro+ramme sho*in+ the +eneral methods
arran+ements order and timin+ ,or all the activities in the *or0s alon+ *ithmonthl cash ,lo* ,orecast.
The contractor shall su-mit to the 9n+ineer ,or approval an updated
pro+ramme at intervals no lon+er than the period stated in the !ontract Data.
I, the 9n+ineer instructs the contractor to carr out a test not speci,ied in the
speci,ications to chec0 *hether an *or0 has a de,ect and the test sho*s that it
does the contractor shall pa ,or the test and an samples.
9ver time notice o, a de,ect is +iven the contractor shall correct the noti,ied
de,ect *ithin the len+th o, time speci,ied - the 9n+ineerFs notice.
The contractor shall pa liuidated dama+es to NHAI at the rate stated in the
Data ,or each da that the completion date is later than the completion date (,or
the *hole o, the *or0s or the milestone as stated in the !ontract Data).
I, the contractor achieves completion o, the *hole o, the *or0s prior to the
completion date prescri-ed in contract data NHAI shall pa to the contractor a
sum stated in the !ontract Data as -onus ,or ever completed month *hich shall
elapse -et*een the date o, completion o, all items o, *or0s as stipulated in thecontract includin+ variations ordered - the 9n+ineer and the time prescri-ed.
Per,ormance securit (includin+ additional securit ,or un-alanced -ids) shall -e
provided to NHAI no later than the date speci,ied in the GoA and shall -e issued
in an amount and ,orm and - a -an0 or suret accepta-le to NHAI and
denominated in Indian Rupees. The per,ormance securit shall -e valid until a
date #? das ,rom the date o, e2pir o, de,ects lia-ilit period and the additional
securit ,or un-alanced -ids shall -e valid until a date #? das ,rom the date o,
issue o, the certi,icate o, completion.
48
-
7/26/2019 GUIDELINES FOR THE REVIEW OF-3.doc
49/130
Goss or dama+e to the *or0s or materials to -e incorporated in the *or0s
-et*een the start date and the end o, the de,ects correction periods shall -e
remedied - the contractor at the contractorFs cost i, the loss or dama+e arises
,rom the contractorFs acts or omissions.
The -idder shall ,urnish as part o, his -id a -id securit in the amount as sho*n
in the I:< document ,or this particular *or0.
An -id not accompanied - an accepta-le -id securit shall -e re5ected - the
NHAI as non"responsive.
The -id securit shall -e ,or,eited
" i, the -idder *ithdra*s the -id a,ter -id openin+ durin+ the period o, -id
validit
/ I, the -idder does not accept the correction o, the -id price pursuant to o,thecondition o, contract
49
-
7/26/2019 GUIDELINES FOR THE REVIEW OF-3.doc
50/130
CHAPTER VIII
COMMENCEMENT OF WORKS AND CONTRACT MANAGEMENT
?.1 A,ter si+nin+ the !ontract and issue o, Getter o, Acceptance the ,ollo*in+ steps -ecome
mandatorB
(a) The 9n+ineer instructs the !ontractor to E!ommence the or0sF.
(-) The !ontractor *ithin the stipulated time su-mits to the 9n+ineer ,or his
consentB
(i) Pro+ramme in such ,orm and detail as the 9n+ineer reasona-l prescri-esJ (ii)
methods statement *hich the !ontractor proposes to adopt ,or e2ecution o, the or0sand (iii) 8ualit Assurance Plan onl 7eneral Procedures at this sta+e.
(c) The emploer provides to the !ontractor total or partial possession o, site.
?.# Pr".ra++e and M&!e#"ne#
/ 9n+ineer in consultation *ith contractor schedules the construction activities
as per !lause 1= pro+ramme
/ A+ree dates ,or commencement and possession o, site.
/ Provisional dates ,or provision o, ,urther in,ormation - 9n+ineer li0e
dra*in+s schedule o, various activities related to pro+ramme nominated
su-contractor etc.
/ A+reement *ith 9R/R9 ,or measurement correspondence pro+ress
meetin+s and reports etc
?.& 3'a!&y A##'ran$e
50
-
7/26/2019 GUIDELINES FOR THE REVIEW OF-3.doc
51/130
?.&.1 8ualit Assurance should -e put in place to B (i) +ive con,idence that per,ormance at
all levels and sta+es o, construction is -ein+ mana+ed appropriatel and (ii) provide
documented evidence that all speci,ied reuirements are met. This *ill -e achieved
throu+h a structured arran+ement comprisin+ the ,ollo*in+ elements B
4a5 3'a!&y A##'ran$e Man'a! 43AM5 "2 %e E+p!"yer
8AM or NHAI spells out the ualit polic o, the Authorit the various duties o,
the contractors the reuirements o, ualit assurance as per I">%%% *or0in+
out o, ualit inde2 re,erence to IR! +uidelines use o, standard ,orms ,or
di,,erent o-5ectives etc. This *ill set the minimum -enchmar0.
(-) S'per/&"n Man'a! "2 %e S'per/&"n C"n#'!an
This *ill -e 5o- speci,ic and ela-oration o, 8AM as applica-le to that 5o-. It *ill
em-race the consultantFs arran+ement ,or ualit assurance his internal ualit
audits the various approvals to -e o-tained ,rom time to time ,or di,,erent items
non"con,ormin+ procedures detailed pro",orma ,or documentation etc.
(c) 3'a!&y Mana.e+en P!an 43MP5 "2 %e C"nra$"r
8PM to -e su-mitted - contractor ,or the su-5ect *or0 *ill detail his o*n ualit
control measures and ualit or+aniation -oth on and o,, the site detailed
methodolo+ (to -e +ot approved ,rom the 9n+ineer) ,or di,,erent items
descri-in+ various processes controls euipments to -e used cali-ration site
la-orator non"con,ormin+ procedures handlin+ and stora+e and such other site
reuirements to ensure ualit product.
4d5 3'a!&y A'd&
It *ill -e an independent e2amination to determine *hether ualit activities and
related result compl *ith planned arran+ements and *hether these
arran+ements are implemented e,,ectivel and are suita-le to achieve
o-5ectives.
?.&.# Indian Roads !on+ress has pu-lished t*o +uidelines *hich can -e re,erred to B
(a) IR!B PB '$"#%%% E7uidelines on 8ualit stems ,or RoadF
51
-
7/26/2019 GUIDELINES FOR THE REVIEW OF-3.doc
52/130
(-) IR! BPB=$"1>>? E7uidelines on 8ualit stems ,or Road
-
7/26/2019 GUIDELINES FOR THE REVIEW OF-3.doc
53/130
?.=.C Purchasin+
?.=.C.1 The !ontractor shall esta-lish and maintain documented procedures to ensure that
(i) all purchased products con,orm to speci,ied reuirementsJ (ii) the are handled stored
com-ined *ith other products installed and used in accordance *ith the manu,acturerFs
recommendations and (iii) the materials are compati-le *ith the other products and *or0s.
-=- Pr"d'$ Iden&2&$a&"n and ra$eab&!&y
?.=.$.1 The contractor shall maintain data and documentation that allo* product
identi,ication and tracea-ilit durin+ all sta+es o, production deliver and construction. The
contractor shall identi, all samples and test results *ith the ,ield locations to *hich the
relate. or0 under the !ontract shall -e su-divided into lots or discrete *or0 areas and
controlled in accordance *ith the 9n+ineerFs reuirements.
?.=.? Process !ontrol
?.=.?.1 The contractor shall identi, all ,actors a,,ectin+ the ualit o, the product and plan
the production installation and processes to ensure that these are carried out under
controlled conditions. The !ontractor shall document the decisions on the reuirement and
content o, the Technical Procedures or Process !ontrol Plans.
?.=.> Inspection and Testin+
?.=.>.1 The !ontractor shall esta-lish inspection and test plans ,or all manu,acturin+ and
construction activities in order to veri, that the speci,ied reuirements are met. The
seuence o, all activities identi,ied in the Inspection and Test Plans shall -e concisel
descri-ed in the process control documentation or - a process ,lo* dia+ram.
?.=.>.# The 9n+ineer shall -e +iven access in connection *ith or throu+h the !ontractor to
all la-oratories and other ,acilities used ,or ualit control inspections and tests. The
!ontractor shall esta-lish and maintain a sstem to ensure and demonstrate that all
53
-
7/26/2019 GUIDELINES FOR THE REVIEW OF-3.doc
54/130
products or parts o, products reuirin+ inspection and/ or testin+ are so inspected and /or
tested.
?.=.>.& :reuenc o, testin+ shall -e appropriate to veri, con,ormit and shall not -e less
than stated in the speci,ications. here no minimum ,reuenc o, inspection or testin+ is
stated in the peci,ication the !ontractor shall nominate appropriate ,reuencies in the
Inspection and Test Plan (s) to -e approved - the 9n+ineer.
?.=.1% Inspection and Test tatus
?.=.1%.1 Records shall -e maintained to identi, inspection and test status o, all *or0s
under the !ontract.
?.=.11 !ontrol o, Non"con,ormin+ Product
?.=.11.1 The !ontractor shall esta-lish an appropriate method ,or identi,ication and control
o, all occasions *here the product or service ,ails to pass an inspection or test in
accordance *ith the de,ined acceptance criteria.
?.=.11.# here con,ormit cannot -e achieved either - re*or0in+ or repair the !ontractor
shall noti, the 9n+ineer o, the non"con,ormit and record it in an appropriate re+ister. The
non con,ormance report *ill indicate the proposed disposition calculations o, an
deductions and *hen the disposition is to -e underta0en.
?.=.11.& I, surveillance or an audit - the 9n+ineer indicates a non"con,ormin+ product that
has not -een addressed - the non"con,ormance report - the contractor the 9n+ineer *illissue a non"con,ormin+ product noti,ication.
?.=.11.= A non"con,ormin+ product shall neither -e covered up nor -e ,urther -uilt in unless
a disposition has -een accepted - the 9n+ineer and implemented - the contractor.
?.=.1# Preventive and !orrective Action
?.=.1#.1 The !ontractor shall revie* analse and record the cause o, all detected non"con,ormities and develop corrective action to eliminate the cause o, non"con,ormities. This
54
-
7/26/2019 GUIDELINES FOR THE REVIEW OF-3.doc
55/130
shall include -oth the determination o, immediate action to prevent recurrence as *ell as
lon+"term corrective action.
?.=.1& !ontrol o, 8ualit Record-
?.=.1&.1 The !ontractor shall esta-lish and maintain documented procedures ,or
identi,ication collection inde2in+ accessin+ ,ilin+ stora+e maintenance and disposition o,
ualit records. 8ualit records shall -e maintained to demonstrate con,ormance to the
reuired ualit and the e,,ective operation o, the ualit sstem. In case o, non"
con,ormities records o, repair recti,ication retestin+ inspection and acceptance shall -e
0ept.
?.=.1&.# The records shall -e so stored and maintained that the are easil retrieva-le and
are in appropriate ,acilities/ environment to minimie deterioration or dama+e and to
prevent loss.
?.=.1&.& The !ontractor shall ma0e the ualit records availa-le to the 9n+ineer at all
reasona-le times and *here reuested - the latter permit him to ma0e copies.
?.' W"r> Pr".ra++e
?.'.1 The !ontractor *ill *ithin the speci,ied period prepare construction pro+ramme ,or
su-mission to and approval o, the 9n+ineer. The pro+ramme should sho* the proposed
order o, *or0 and dates ,or commencement and completion o, various sta+es. The
pro+ramme should include B
(a)
-
7/26/2019 GUIDELINES FOR THE REVIEW OF-3.doc
56/130
(v) a-le to sho* realistic reductions o, output o, relevant activites durin+ the
monsoon periodJ
(vi) not structured in a manner as to e2ploit an pendin+ action on the part o,
the 9mploer ad
(vii) desi+ned to provide ,or periodic updatin+.
?.C Re/ed Pr".ra++e
?.C.1 I, the pro+ress o, *or0 is ,allin+ si+ni,icantl -ehind schedule or the !ontractor is not
,ollo*in+ the pro+ramme the !ontractor shall produce at the reuest o, the 9n+ineer a
revised pro+ramme sho*in+ modi,ications to ensure completion o, the or0s *ithin the
Time ,or !ompletion. Impliedl the revised pro+ramme *ill contain all the supportin+
details o, revised resources. I, the !ontractor ,ails to do so the 9n+ineer ma *ithhold the
amount stated in the !ontract Data ,or such de,ault ,rom the ne2t interim pament
certi,icate and continue to *ithhold the pament until the ne2t pament a,ter the date on
*hich the overdue pro+ramme has -een su-mitted.
?.$ Me%"d Sae+en
?.$.1 The !ontractor shall provide a +eneral description o, the arran+ements and methods
he proposes to adopt ,or the e2ecution o, the *or0s ,or approval o, 9n+ineer -e,ore hand.
These *ould include environment mana+ement plan durin+ construction sta+e and tra,,ic
diversion/ openin+ o, roads as temporar measures.
?.$.# These methods statement shall -e *ritten in the ,orm o, various steps in the reuired
seuence supplemented - s0etches *here necessar and shall -e sel, e2planator. No
chan+e shall -e made - the !ontractor ,rom the approved procedures *ithout ,irst
o-tainin+ the approval o, the 9n+ineer to the proposed chan+es. Gist o, principal activities
and their e2pected ,orm o, detailin+ are +iven at Anne2ure H.
?.$.& The consent o, the 9n+ineer to the Pro+ramme and Methods tatement does not
relieve the !ontractor o, his contractual responsi-ilities.
56
-
7/26/2019 GUIDELINES FOR THE REVIEW OF-3.doc
57/130
?.? 3'arr&e# and B"rr") Area#
?.?.1 The !ontractor *ill o-tain approval o, the 9n+ineer ,or each uarr and -orro* area
to -e used in the Pro5ect prior to commencement o, uarrin+ and /or -orro* area
e2cavation activities. The 9n+ineer should consider inter alia the ,ollo*in+ aspects -e,ore
+rantin+ approval.
The contractor has le+al approval - the o*ner to e2cavate/ remove materials ,rom
the proposed uarr/-orro* areaJ
An statutor permission reuired ,rom the 7overnment has -een o-tained.
The proposed materials meet speci,ication reuirementsJ
The !ontractor su-mits an accepta-le E9nvironment Mana+ement PlanF ,or
development use and closin+ do*n o, the proposed uarr/-orro* area to+ether*ith an other approvals or documents that ma -e reuired ,rom the ministr o,
9nvironment and :orests or other concerned authorities and
The !ontractor +ives an underta0in+ that he *ill pa all roalt and other levies /
dues.
Maer&a!#
?.>.1 All materials (*hether natural processed manu,actured or desi+ned) proposed -
the !ontractor to -e used on the or0s shall -e ,irst +ot approved ,rom the 9n+ineer to
compl *ith the reuirements o, peci,ications. The speci,ications o, the materials to -e
used in di,,erent laers o, road pavement standard test procedures ,reuenc o, tests etc
are +iven at Append&< I-
?.>.# Approval o, natural materials *ill -e done ,irst - approvin+ the uarr or -orro* area
and then on the -asis o, test results meetin+ the speci,ications and trial results.
?.>.& Approval o, processed materials *ill -e done a,ter the meet the test results and
have evidence o, satis,actor production and stora+e conditions.
57
-
7/26/2019 GUIDELINES FOR THE REVIEW OF-3.doc
58/130
?.>.= Approval o, manu,actured materials *ill -e -ased on su-mission o, appropriate test
results - the manu,acturers and then on positive results -ein+ o-tained ,or acceptance.
?.>.' Approval o, the desi+ned materials (li0e concrete mi2 -ituminous mi2) *ill -e done
sta+e"*ise involvin+ approval o, the source o, uarriesJ the individual processed materialJ
la-orator"-ased mi2 desi+nJ plant mi2 desi+nJ trial section and ,inall success,ul lain+ in
accordance *ith the approved methodolo+ con,ormance to ualit control reuirements
and tests as per provisions o, the peci,ications.
?.>.C :ollo*in+ initial approval the uarries -orro* areas and materials shall -e
continuous monitored - the 9n+ineer to ensure continued adherence *ith he desi+n
speci,ications. I, and *hen the materials ,all outside the acceptance criteria the situation
ma call ,or B (i) chan+es in the uarries./ -orro* areasJ (ii) modi,ications o, the process and
/or desi+n in the case o, processed or desi+ned materials and (iii) chan+e o, source o,
procurement in the case o, manu,actured materials.
?.1% C"+p!&an$e )&% La)#
?.1%.1 In carrin+ out the !ontract the 9mploer and the !ontractor in their respective
areas o, per,ormance shall compl *ith the provisions o, all statutes re+ulations and
-la*s o, the 3nion 7overnment the tate 7overnment. Gocal
-
7/26/2019 GUIDELINES FOR THE REVIEW OF-3.doc
59/130
prime contractor. u-contractin+ *ill +enerall -e ,or the specialied items o, *or0 such as
rein,orced earth retainin+ *alls pre"stressin+ *or0s etc. Procurement o, material hire o,
euipment or en+a+ement o, la-our *ill not su-contractin+. The total value o,
su-contractin+ *or0 *ill not e2ceed #' o, the !ontract Price.
?.11.# u-contractin+ - the !ontractor *ithout the approval o, the 9mploer shall -e a
-reach o, !ontract. The ,ollo*in+ procedure shall -e ,ollo*ed in +ivin+ approval o,
su-contractors B
" u-contractor Assessment Procedures and 7uidelines B
i) u-contractor has +ot to -e approved -e,ore -ein+ allo*ed to come to
the site.
ii) The !ontractor should promptl intimate to the 9n+ineer a-out the
su-contractor movin+ to the site. The 9n+ineer shall provide to the
9mploer an assessment o, the su-contractin+ proposal nothin+ o,
location tpes and value (and percenta+e) o, the *or0s the li0el
mo-iliation period reuired to accomplish these *or0s and a revie* o,
the su-contractorFs uali,ication *ith re+ard to his proposed *or0s. In
essence the assessment *ould -e similar to that conducted ,or the
!ontractor durin+ pre"uali,ication e2cept that onl the uali,ications
relevant to the desi+nated *or0s to -e su-contracted are to -e
considered.
iii) In case the 9n+ineer discovers an unapproved su-contractor *or0in+ at
the site he shall noti, the !ontractor in *ritin+ o, the -rea0 o, !ontract.
A cop ,o this correspondence shall -e ,or*arded to the 9mploer.
iv) 3pon receipt o, this notice ,rom the 9n+ineer the !ontractor is to
immediatel ta0e steps to remove the su-contractor ,rom the site.
:ailure - the !ontractor to do so *ill constitute -reach o, !ontract onhis part.
-,1 Re#p"n#&b&!&&e#
?.1#.1 I, a !ontractor persists *ith the en+a+ement o, a non"approved su-contractor
despite a notice ,rom the 9n+ineer ,or the removal then the *or0 done - such a
su-contractor shall not uali, ,or pament -esides its constitutin+ as mentioned
a-ove a -reach o, !ontract and non"compliance o, directions on the part o, the !ontractorentailin+ action as provided in the !ontract.
59
-
7/26/2019 GUIDELINES FOR THE REVIEW OF-3.doc
60/130
-,:- De!ay# and E
-
7/26/2019 GUIDELINES FOR THE REVIEW OF-3.doc
61/130
a*arded. hile +rantin+ 92tension o, Time the cost o, prolon+ation should -e dul
considered -esides e2amination o, the ,ollo*in+B
Is there a dela to a particular *or0 ,ront/ activitQ
hat/ *ho caused the delaQ Is it eli+i-le ,or consideration o, e2tension o, timeQ
Does the cause reasona-l 5usti, an e2tension o, timeQ To uali, ,or an e2tension
o, time the dela must a,,ect an operation critical to the !ontractorFs completion
time.
?.1=.# Decision should -e ta0en as the *or0 pro+resses dependin+ on developin+ events
and circumstances *ithout *aitin+ ,or su-stantial completion. I, the events are such as
,airl entitle the !ontractor to an e2tension o, time ,or completion o, or0s or an ection
or part thereo, the 9n+ineer shall a,ter due consultation *ith the 9mploer and the!ontractor determine the amount o, such e2tension and noti, the !ontractor accordin+l
*ith a cop to the 9mploer.
-,? E
-
7/26/2019 GUIDELINES FOR THE REVIEW OF-3.doc
62/130
dela. 9mploer should see that the concurrent delas do not result in unnecessar e2tra
e2tension o, time.
-, L&'&daed Da+a.e# 4LD5
?.1?.1 The rate o, Giuidated Dama+es is stipulated in the !ontract ,or each da o, dela
caused *ith a ma2imum amount not e2ceedin+ 1%. The 9mploer ma *ithout pre5udice
to an other method o, recover deduct the amount o, such dama+es ,rom an mone due
or to -ecome due to the contractor. The pament or deductions shall not release the
!ontractor ,rom his o-li+ation to complete the *or0 or an other o, his o-li+ations and
lia-ilities under the !ontract.
?.1?.# There ma -e situations *here completion is not achieved *ithin the stipulated time
-ecause o, delas attri-uta-le to the 9mploer. These ma -e denial o, access to the
*hole or part o, the siteJ ,ailure to provide desi+n and dra*in+s at the sta+e *hen these
*ere reuired - the contractor dela in +ivin+ timel instructionsJ re,usal or denial to pa
due and le+itimate pamentsJ holdin+ up amounts on account o, non"sanctionin+ o, rates o,
e2tra/ varied itemsJ ,ailure to a-ide - the contractual duties etc. In such situations the
9mploer stands to lose the ri+ht to recover an amount - *a o, liuidated dama+es.
-,; T&+e a Lar.e
?.1>.1 Time -ecomes at lar+e *hen the o-li+ation to complete *ithin the speci,ied time ,or
completion o, a contract is lost.
-
7/26/2019 GUIDELINES FOR THE REVIEW OF-3.doc
63/130
?.#1.1 As a prearran+ed date each month the !ontractor *ill su-mit a statement in such
,orm as the 9n+ineer ,rom time to time prescri-e sho*in+ the amounts to *hich the
!ontractor considers himsel, entitled up to the end o, the month.
?.#1.# The 9n+ineerFs tas0s in chec0in+ the pro+ress pament su-mission *ill include the
,ollo*in+B
8uantit o, *or0 actuall completed as o, a+reed Ecut"o,,F date
:ield measurements o, uantities o, *or0 completed or claimed
Inventor o, euipment and materials delivered to site -ut not et used in the *or0
(materials on site)
Revie* o, claim ,or e2tra *or0.
!hec0 o, retention amount and other recoveries
Revie* o, variations *hether these have -een approved - 9mploer. I, not
Provisional rates to -e used until ,inal valuation sanctioned - 9mploer.
Price Ad5ustments
?.#1.& The 9n+ineer *ill not -e -ound to certi, an pament i, the net amount thereo, a,ter
all retentions and deductions is less than the minimum amount o, interim pament
certi,icate i, an speci,ied in the !ontract Data.
?.#1.= Interim monthl paments *ill -e -ased on Interim Pament !erti,icate processed -
the 9n+ineerin+ ,ollo*in+ -ills ,iled - the contractor. Resident 9n+ineer (or Assistant
Research 9n+ineer i, one has -een appointed) *ill chec0 1%% measurements. henever
R9 chec0 measures he shall in,orm the !ontractor and the PD in advance. The Pro5ect
Director shall himsel, random chec0 independentl at least # o, the measurements.
?.#1.= The 9n+ineer *ill send the Interim Pament !erti,icate to the Pro5ect Director ,or
approval and su-seuent pament. Paments *ill -e act o, (i) retentions and recover o,
advances at the rates prescri-ed in the !ontract (ioi) statutor deduction (*or0s ta2 income
ta2 others).
-11 F&na! Pay+en Cer&2&$ae
?.##.1 The :inal Pament !erti,icate shall -e issued as reuired under the !onditions o,
!ontract. This shall -e done *hen on completion o, the De,ects Gia-ilit Period the
!ontractor has su-mitted the ,ollo*in+ J
i) ,inal statement o, the value o, *or0 done - him and an ,urther sumsdue to him and
63
-
7/26/2019 GUIDELINES FOR THE REVIEW OF-3.doc
64/130
ii) ritten Dischar+e con,ormin+ that the total o, the :inal tatement
represents ,ull and ,inal settlement o, all mones due to him.
-1: Var&a&"n#6
?.#&.1 ;ariation means B (a) increase or decrease in the uantit o, an *or0 included in the
!ontract (-) omission o, an such *or0 -ut not i, the omitted *or0 is to -e carried out -
the emploer - another contractor B (c) chan+e in the character or ualit or 0ind o, an
such *or0 J (d) chan+e in the levels lines position and dimensions o, an part o, the or0s
(e) additional *or0 o, an 0ind necessar ,or the completion o, the or0s and (,) chan+e o,
the speci,ied seuence or timin+ o, construction o, an part o, the or0s.
?.#&.# The variation ma result in additional or reduced paments to the !ontractor or there
ma -e no price chan+e at all.
" It is important to have a *ritten procedure ,or the issuin+ o, a variation
instruction. nce it is decided that a variation is reuired the instruction should -e
issued promptl to minimie an adverse e,,ect on the overall *or0s.
"
-
7/26/2019 GUIDELINES FOR THE REVIEW OF-3.doc
65/130
(ii) 9n+ineerFs instruction to the !ontractor (this letter creates the variation).
Particular details o, a variation are not entered into the ;ariations Re+ister until the
da the instruction is issued. Prior to that it is onl a Eproposed variationF and is
trac0ed/ administered in a separate re+ister.
(iii) The variation instruction letter must -e +iven a uniue variation
num-er and details entered into the variation re+ister.
(iv) The re+ister is updated at the end o, each month and
summaried on one sheet E;ariation tatusF so that the three
involved a+encies are a*are as to *hat *or0 needin+ action is
held up *ith each o, them.
(v) The ,inancial implications are 0ept up"to"date.
-1? Va!'a&"n "2 Var&a&"n#
?.#'.1 ;ariation instructions ,or modi,ied ne* or additional *or0 involvin+ e2tra cost shall
-e valued as per the procedure set out in the relevant !lause o, the !ontract. The ,ollo*in+
are the steps to -e ta0en - the 9n+ineer.
(i) to ,orm an opinion as to applica-ilit o, the rates in
-
7/26/2019 GUIDELINES FOR THE REVIEW OF-3.doc
66/130
?.#'.= here it is reasona-le to value at the (#
?.#'.'.1 The 9n+ineer has the option o, orderin+ an variation o, minor nature to -e paid ,or
at Da *or0 rates. hen the *or0 is e2ecuted at Da *or0 rates the 9n+ineer is e,,ectivel
hirin+ the !ontractorFs plant la-our and material. The cost o, an ine,,icienc *asted time
or lac0 o, ,ull e,,ort is no* -orne - he en+ineer. The 9n+ineer should ta0e a close interest
in the operational control o, all Da *or0 activities to avoid uneconomic *or0in+ or
ine,,icient use o, resources.
-1 S'b#an&a! C"+p!e&"n
?.#C.1 It means that sta+e in the e2ecution o, the *or0 under the contract *hen the
!ontract or0s are complete e2cept ,or minor outstandin+ items and minor de,ectsB (a)
*hich in the opinion o, the 9n+ineer the !ontractor has reasona-le +rounds ,or not
promptl correctin+J (-) *hich do not prevent the !ontract or0s -ein+ used ,or their
intended purpose and (c) recti,ication o, *hich *ill not pre5udice the convenient use o, the
!ontract or0sF
?.#C.# Fu-stantial !ompletionF is +enerall ta0en to re,er to a su,,icient de+ree o,
completion to ena-le the 9mploer to ta0e -ene,icial use o, the *or0s concerned. It must
-e 0ept distinct ,rom completion o, Ethe or0sF or o, Ethe !ontractF
?.#C.& The phrase Esu-stantiall completeF needs to -e interpreted 5udiciousl. Minor
outstandin+ items sur,ace ,inishes ,or instance or the removal o, certain tpes o,temporar *or0s ma not +enerall prevent the issue o, ta0in+ ver certi,icates nor should
small de,ects ,or the contract covers their completion or correction. The material
consideration is *hether or not the incomplete *or0 impairs the sa,e and e,,ective use o,
the or0s includin+ the conseuences to the 9mploer and perhaps the pu-lic i, the are
to have access o, acceptin+ the *or0s in that state.
?.#C.= 9n+ineerFs decision in the matter o, decidin+ su-stantial completion shall -e ,inal.
?.#$ Ta>&n.7O/er Cer&2&$ae 4TOC5
66
-
7/26/2019 GUIDELINES FOR THE REVIEW OF-3.doc
67/130
?.#$.1 The 9n+ineer is empo*ered to issue a ETa0in+"ver !erti,icateF. The !ontractor
shall noti, the 9n+ineer *hen he -elieves the *or0 to -e complete and the 9n+ineer *hen
he -elieves the *or0 to -e complete and the 9n+ineer *ill either a+ree and so certi, or
speci, the *or0s necessar to -e completed -e,ore su-stantial completion. In the latter
case the !ontractor receives his certi,icate *ithin the speci,ied period o, completin+ the
listed *or0.
?.#$.# Ta0in+"ver !erti,icates ma -e issued in respect o, speci,ied sections or apart o,
the or0s *hich are either complete or are incomplete -ut have -een ta0en over - the
9mploer.
-1 Hand "/er " E+p!"yer
?.#?.1 n issue o, the Ta0in+"ver !erti,icate the 9mploer is responsi-le ,or the road
section and ,or maintainin+ it unless it is the !ontractorFs responsi-ilit to maintain it.
-1; O'#and&n. W"r>
?.#>.1 n issue o, Ta0in+"ver !erti,icate the 9n+ineer *ill send a complete and accurate
list o, an outstandin+ *or0. The Pro5ect Director should also satis, himsel, in this re+ard.
-: De2e$# L&ab&!&y
?.&%.1 This period is named in the !ontract. It starts ,rom the date o, su-stantial
completion stated in the T!. I, there are more than one T! then there are di,,erent
De,ects Gia-ilit Periods ,or the di,,erent sections/ parts ta0en over.
?.&%.# The !ontract is not to -e treated complete until a De,ects Gia-ilit !erti,icate has
-een issued. There *ill -e onl one De,ects Gia-ilit !erti,icate (,or the !ontract or aspeci,ic section de,ined in the !ontract) It *ill -e issued *hen the !ontractor has
completed all his o-li+ation under the !ontract vi.
!ompletion o, all the phsical *or0s a-solutel do*n to the last minor item
includin+ site clearanceJ
Remedin+ o, all the de,ects ,or *hich the !ontractor is responsi-le and
:ul,illment o, all other o-li+ations such as su-mission o, approved Eas"-uiltF
dra*in+s manuals *arranties etc. as ma have -een speci,ied
67
-
7/26/2019 GUIDELINES FOR THE REVIEW OF-3.doc
68/130
-:, C!a&+#6 The claims could -e due to ,ollo*in+J
(a) construction dra*in+s ma include more or less details or perhaps increased or
decreased uantities o, *or0 than could -e anticipated ,rom the tender
dra*in+s or ma cause a di,,erent construction method to -e usedJ
(-) am-i+uities or discrepancies in the contract documents *hich cannot -e
mutuall a+reed - re,errin+ to conditions o, contract EPriorit o, !ontract
DocumentsF.
(c) Di,,erences over the valuation o, variationsJ
(d) 3n,oreseen conditions such as adverse phsical o-structions or une2pected
conditions encountered durin+ construction *hich could not have -een
reasona-l ,oreseen - an e2perienced contractor *hen tenderin+J
(e) 9,,ects o, *ar re-ellion actions o, third parties and the e,,ects o, *eatherJ
(,) Delas in +ivin+ possession o, site issuin+ approved ,or constructionF dra*in+s
and 9mploer supplied materials or servicesJ
(+) 3n*arranted *or0 re5ection necessitatin+ removal and re"e2ecutionJ
(h) Acceleration claims *hen events *ould have ,airl entitled a !ontractor to an
e2tension o, time -ut no e2tension has -een +ranted the !ontractor ma claim
e2tra costs -ecause eh has to accelerate to meet the ori+inal contract time
reuirementsJ
(i) Disruption claims *hen the contractor *ould alle+e that -ecause o, the
com-ination o, numerous variations and directions +eneral disruption has ta0en
place *hich in e,,ect ma0es the tendered
-
7/26/2019 GUIDELINES FOR THE REVIEW OF-3.doc
69/130
reuirement. The event havin+ ta0en place the !ontractor is reuired to maintain
contemporar records. At this sta+e the !ontractor can call upon the 9n+ineer to inspect
such records and state i, he (the 9n+ineer) reuires other records to -e 0ept. In this
manner the !ontractor can satis, himsel, that the records he is 0eepin+ *ill -e suita-le ,or
the 9n+ineer to evaluate the claim in due course.
?..& I, the circumstances +ivin+ rise to the claim are not continuin+ the !ontractor has
the o-li+ation and also the -ene,it o, su-mittin+ his claim to the 9n+ineer ,or a+reement or
discussion *hile the event is still su,,icie