Roles & Responsibilities of IE in BOT & HAM Projects

ROLES & RESPONSIBILITIES OF
INDEPENDENT ENGINEER
IN BOT & HAM PROJECTS
Gorige Vijay Kumar,
Manager, Aarvee Associates
ROLES & RESPONSIBILITIES OF IE
Types of Types of Consultancy
Major Difference in Consultancy Services
Projects Services
BOT
10% supervision & testing (minimum)
• Grant
Independent Engineer Review of drawings
• Annuity Services cost borne by both Authority & Concessionaire
• Premium
Review of drawings
EPC Authority’s Engineer Certifying payments
Services cost borne by only Authority
Review of drawings
HAM Independent Engineer Certifying payments
Services cost borne by both Authority & Concessionaire
100% supervision & testing
Issuing GFC drawing
Item rate Construction Supervision Certifying payments
Services cost borne by only Authority
Brief of BOT & HAM Projects
Operation &
Development Construction
Maintenance
Period Period
Period
Commences from signing of Fixed duration Fixed duration

Agreement Commences from Appointed Commences from
Date completion of construction

Development Period:
Satisfy Conditions Precedent, maintain the Project Highway, procure Applicable Permits & Insurances, Setting
out, establishment of lab, P&E, etc., record work-front availability in the form of Memorandum, submit
detailed investigation reports, detailed designs & drawings, construction methodologies, Quality Assurance
Plan, Construction Time Schedule, etc.,
Construction Period:
Submit detailed investigation reports, detailed designs & drawings, construction methodologies, execute the
works, carryout test on works as per required frequency, satisfy quality, maintenance & safety requirement
during construction, follow Project Completion Schedule & carryout Tests on completion.

Operation & Maintenance Period:
Ensure safe & uninterrupted use of Project Highway, undertake Routine, Periodic & Preventive Maintenance
and collect User Fee (in case of BOT).
Independent Engineer Services:

Duration:
3 months in Development Period + 30 months in Construction period + 3 months in O&M Period
Notice to
LOA Submission of PBG Commence Services
Commence Services
Mobilize Personnel, establish Hand over documents &

Provide Services as per TOR
office & logistics close Services
Organization Chart
Project Head
Asst. Project Head/
Senior Contract
Project Coordinator
Specialist
Team Leader
Senior Bridge
Support Staff
Design Engineer
Senior Highway Resident Engineer
Design Engineer
Senior Pavement
Senior Bridge Senior Material Senior Quantity
Specialist
Engineer Engineer Surveyor
Safety Expert
Electrical Expert
Asst. Bridge Survey Asst. Highway Asst. Material Quantity
Engineer Engineer Engineer Engineer Surveyor
Toll Expert
Horticultural
Expert
Detailed Tasks
 Development Period:
 Review of Contract Documents
 Review of Quality Assurance Plan
 Review of Construction Methodologies
 Review of Lab equipment, Plant & Machinery, etc.,
 Review of Investigation reports and Designs & Drawings
 Review of Construction Time Schedule
 Review all pre-construction requirements
Detailed Tasks
 Construction Period:
 Review of Investigation reports and Designs & Drawings
 Monitoring of Progress
 Monitoring Quality of Works
 Monitoring Maintenance & Safety in Construction Period
 Carryout Monthly Inspection and submission of Report
 Contract Administration - Physical Progress (HAM), Project Milestones, Milestone Payments(HAM),
COS, EOT, etc.,
 Review of Periodic Financial documents
 Testing upon Completion and issue of Provisional / Completion Certificate
 Dispute Resolution
Detailed Tasks
 Operation & Maintenance Period:
 Monitoring of Maintenance & Safety in O&M Period
 Recommend Annuity payments / O&M Payments
Design Review
 Studies and Investigations
 Topographic Surveys
 Geotechnical Studies
 Hydrological Studies
 Traffic Studies
 Borrow Areas and Quarries
 Review of Designs
 Geometric Designs
 Pavement designs (Flexible & Rigid)
 Structural designs
 RE Wall Designs and Miscellaneous
Design Review
 Responsibility of Concessionaire to investigate & design
 Submission consistent with Project Completion Schedule
 IE to review & provide comments w.r.t compliance to Scope and Specifications of Concession Agreement
 Review within 15 days of initial submission and 7 days in case of revised submissions
 Even after review by IE, Concessionaire is solely responsible
 If delayed – Deemed consent – Non performance of IE - Provided submission is consistent with
Construction Programme
Construction Time Schedule

 Concessionaire to prepare and submit prior to A.D / immediately after A.D
 IE to review and ensure the programme

 Covers the total Scope
 Adheres to Project Completion Schedule
 Correct sequence and reasonability of activity duration
 Consideration of known work-front constraints atleast up to the due date of full handing over of Site
Construction Time Schedule

 IE to seek the Programme is
 Micro level
 Responsive
 Separate programme for major structures
 Made using networking softwares
Monitoring of Progress
 IE to monitor
 Concessionaire’s adherence to Project Completion Schedule (Milestones)
 Adherence to the reviewed Construction Programme and planned rate of progress
 To notify Concessionaire in case of delay that may affect Project Completion Schedule and obtain revised
Programme
 To notify in advance, obtain details and certify the achievement of Project Milestones
 Recommend Damages in case of non-achievement of Milestone within 90 days
Monitoring Quality of Works

 Concessionaire to submit consolidated list of Requests for Inspection (RFIs) a day before the execution
 IE to inspect and witness at least 10% of tests on works executed
 If the tests are successful then approve the RFI or disapprove with specific comments
 Concessionaire to rectify and resubmit the RFI and the process repeats
 In case Concessionaire does not rectify, then issue Site Instructions / letter detailing the non-compliance
and remedial measures
 In case Concessionaire proceeds with further work without rectification, then issue NCR
 IE to jointly inspect the site at least once in a month and bring out the defects, deficiencies and lapses
observed at site. Submit a report within 7 days of the subsequent month on the kind of supervision of
performed
Contract Administration
 Review & certify achievement of Project Milestones
 Review and recommend Weightages of Works for determining Physical Progress (HAM)
 Review achievement of Payment Milestones, determine adjusted value of due Payments (HAM)
 Change of Scope
 Requirement
 Eligibility
 Evaluation of Costs
 Recording of Works
 Recommendation of IPC
 Extension of Time (EOT)

 If Concessionaire is unable to complete Project within the Scheduled time due to reasons not attributable to him
 Analyze the Reasons / Delay Events, effect on works and determine eligible EOT
 Common Reasons: Non-availability of clear work-front for construction, Additional Works, Delay in procuring
clearances & Force Majeure
 Review of Financial Documents

 Escrow Agreement
 Escrow statements
 Sources of Funds & application of Funds
 Balance Sheets, P&L statement, etc.,
 Issue of Provisional / Completion Certificate

 Verify completion of all Works, in all respects
 Punch List – Minor outstanding works not affecting Safety & Reliability
 Carryout Tests on completion
 Submit a comprehensive report on Completion to Authority
 Issue of Certificate
 Monitor completion of Punch List works
 Recommend Damages upon non-completion of Punch List
 Monitoring of Maintenance & Safety in O&M Period

 Inspect the Project Highway at-least once in a month and identify defects & deficiencies and notify to Concessionaire
 Monitor & review Concessionaire’s rectification of defects
 Monitor Concessionaire’s compliance to Maintenance Requirements (Schedule-K) & Maintenance Manual
 Recommend Damages in case of non-compliance
Thank you

Roles & Responsibilities of IE in BOT & HAM Projects

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Roles & Responsibilities of IE in BOT & HAM Projects

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ROLES & RESPONSIBILITIES OF

Brief of BOT & HAM Projects

Commences from signing of Fixed duration Fixed duration

Brief of BOT & HAM Projects

Brief of BOT & HAM Projects

Independent Engineer Services:

Mobilize Personnel, establish Hand over documents &

Construction Time Schedule

 IE to review and ensure the programme

Construction Time Schedule

Monitoring Quality of Works

 Review & certify achievement of Project Milestones

 Extension of Time (EOT)

 Review of Financial Documents

 Issue of Provisional / Completion Certificate

 Monitoring of Maintenance & Safety in O&M Period

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