2.1.DESCRIPTION OF THE ASSIGNMENT
The objective of the technical audit is to provide a factual report including findings, with regard to the technical aspects and the results achieved during the implementation of the projects and to provide to the Contracting Authority, the Supervisor and the European Commission recommendations to remedy errors that could have occurred or which can lead to improvements in implementation and results of the project.
The Auditor will assess whether the implementation of the project is in conformity with the applicable regulations, conditions and specifications in particular with regard to the technical aspects.
The expected result of the technical audit is a factual report with regard to the following technical aspects of the implementation:
- the steady execution of the works carried out under the projects, together with the associated supervision,
- the sound organisation of the works,
- the quality of the works carried out, in conformity with the contract(s) Technical Specifications and in accordance with the best practice in the sector,
- the project expenditures are justified and were foreseen in the project budget,
- the sound management of the project, to ensure that each party duly meets its contractual obligations and to mitigate the risk of claims, litigation and/or disputes.
- the project is implemented within budget allocation and completed within the contractual period of performance,
The auditor shall report any anomaly, error or risk that could affect these objectives and make the appropriate recommendations to prevent or remedy them.
All experts working under the present contract must be independent and free from conflicts of interest in the responsibilities attributed to them.
The technical auditor will examine and assess the following aspects of the implementation:
- The conformity and quality of the contractual documents (works and supervision contracts). Checks shall focus in particular on:
- the consistency of the contractual documents,
- the existence and the compliance with the relevant procedures of contractual documents, such as: Administrative Orders, Addenda, Variation Orders, etc.
- works or services have been executed in accordance with the contractual basis (Administrative Orders, Addenda, Variation Orders, etc…).
- Perform site visits, during which the auditor will in particular examine:
- the resources deployed on site(s) by the contractor(s) and the supervising consultant (human resources, equipments, means of control, etc.). In particular, the auditor will perform sample checks in order to verify that the equipment used by the contractor(s) is adequate and in relation to the approved programme(s) of work,
- the physical progress of the works to be compared with the contractual programme(s) of works, in order to uncover possible delays. In particular, the auditor will pay attention to the daily/weekly/monthly construction progress records in order to identify potential problems resulting in slow progress.
- the reality and the quality of the setting out of works and its/there adherence to the drawings; the consistency between the approved drawings, the works actually carried out and the quantities accounted in the interim payment certificates,
- the quality of the works in conformity with the contract(s) technical specifications,
- the compliance with the contractual requirements as regards implementation of the followings in accordance with the contract(s) requirements: environmental protection plan; safety plan; quality control (including the checking of internal audit plans, where they exist); HIV/AIDS or other awareness campaigns.
- the project(s) management documents such as: work register, including the list of equipments used daily, relevant measurements books, calculation fiches and as-built drawings approved by the supervision team, minutes of site meetings, works planning , the topographical, geotechnical and every other intermediary tasks’ acceptance reports, progress reports of the supervising consultant, any other contractual documents and administrative orders, site correspondence and all correspondences between the contractor(s), the supervising consultant(s) and the administration.
- the site management aspects such as: the quality and efficiency of the topographical and geotechnical teams’ deliveries, the laboratory testing and also the adequacy and availability of equipment, etc, In particular, the auditor should inspect the laboratory equipment for calibration and check test procedures methodology for compliance with the project specifications.
- remaining works to be executed and financial forecast of the project,
- whether there are any pre-dispute situations which are likely to result in a claim from the contractor or a site shutdown (the auditor is not, however, a substitute for the claim experts of the supervising consultant(s)).
The checks and verifications to be performed by the auditor will be carried out using appropriate methods and techniques including but not necessarily limited to: site surveys, measurements, photos and calculations to verify quantities on the basis of statements and documents produced by the contractor(s) and the supervising consultant(s).
The auditor may recommend further in-depth measures if deemed necessary. The auditor shall have free access to the supervising consultant’s laboratory where, upon approval of the Contracting Authority, he may ask the supervising consultant to carry out additional geotechnical tests. The contractor(s) shall be informed and associated to the process.
- The auditor will examine and assess, through appropriate audit methods and techniques, the correctness of the statements, and payment certificates (including requests for advance payments) issued by the works contractor(s), approved by the Supervisor’s Representative(s), the Supervisor and the Contracting Authority. Checks shall focus in particular on:
- the measurements performed in accordance with the works contract(s) Special and General Conditions. In particular the auditor will examine whether the works carried out and all materials used on site are measured jointly by the supervising consultant(s) and the contractor(s) using mutually agreed methods and frequencies.
- the consistency of the quantities approved by the supervising consultant(s) in the interim payment certificates with the approved drawings and the quantities actually measured on site, with particular attention given to earthworks operations, the thicknesses and surfaces of the different layers of road and to the contractor(s)’ material on site.
- the works carried out under “day work” checked by the supervising team(s) in daily record.
- the quality of the works in the various supervision’s reports and the actual situation on site complies with the contract technical specifications,
- the application of the price revision formula in accordance with the contract Special Conditions,
- the built-up of the new unit prices approved during implementation of the works, on the basis of a detailed price breakdown.
- the application of financial penalties in accordance with the contract special and General Conditions.
- The auditor will examine and assess, through appropriate audit methods and techniques, whether works supervision is carried out in accordance with the terms of reference of the supervision contract(s) and following standard works supervision procedures. Checks shall focus in particular on:
- the consultant(s)’s Management Information System put in place provides an appropriate basis to inform all parties concerned in a transparent and concise way about the progress of works, the financial situation of the project and about possible difficulties encountered.
- any defects to the works are properly documented by the consultant (site record, administrative order, etc…) and appropriate measures are taken in order to remedy them,
- the contractual delays (to reply to the contractor’s queries or asses a claim, to perform joint measurement upon the contractor’s request, to issue the interim payment certificates, etc…) are respected,
- the claims submitted by the contractor(s) during the course of the works are evaluated by the supervising consultant(s) in a timely manner and appropriate advice is given to the Supervisor on their validity
- The auditor will examine and asses, through appropriate audit methods and techniques, the correctness of the invoices (including the requests for advance payments) issued by the consultant(s) responsible for supervision of the works by virtue of its/there own contract and approved by the Supervisor and the Contracting Authority. Checks shall focus in particular on:
- verifying that the supervising consultant(s)’ services are/were actually performed,
- the quantities claimed within the supervising consultant(s)’s invoice are consistent with the quantities actually deployed on site(s), in particular with respect to the number of man-hours or man-month worked and the number of monthly fixed-price services (vehicles, office equipment, etc.),
- the actual situation on site(s) (consultant’s organisation, offices, laboratory, etc..) is compliant with the contract requirements and the consultant’s tender offer,
- the application of the price revision formula, if applicable, is in accordance with the contract Special Conditions,
- the application of financial penalties, if applicable, is in accordance with the contract(s)’ Special and General Conditions.
- The auditor is expected to propose, at all stages of his assignment, corrective measures that could affect positively the quality of the works and to inform as soon as possible the Contracting Authority and/or the European Commission of any anomalies detected.
The Masiaka–Bo Highway
The technical audit will be carried out in a single mission during the maintenance/defect liability period when works have been completed. The recommendations of the audit report issued from this mission will be made in view of the preparation of the final acceptance certificate and final accounts, and to ensure the EU Delegation and the NAO that the quantities and qualities actually provided are consistent with those contractually due and provisionally paid for.
The Freetown–Conakry Highway: Phase II
This project is currently within the second half of the period of performance and will entail two technical audit missions:
- A first mid-term mission to check the technical and contractual quality of the works under way and to propose measures to improve them with a view to avoid delays and to reduce the risk of disputes.
- A second and final mission, towards the end of the project but before its provisional acceptance, to ensure the European Union Delegation and the NAO that the quantities and qualities actually provided are consistent with those contractually due and provisionally paid for.
- Number of requested experts per category and number of man-days per expert
For the completion of the services requested the mission will be composed of one (1) senior expert, the team leader, who will provide in all 55 working days and one (1) junior expert who will provide in all 45 working days.
In addition, there will be senior experts who will provide in all 45 working days.
Key expert 1 (senior expert): The team leader shall be a qualified senior Road Engineer with at least a four-year post-secondary qualification and general experience of at least ten (10) years. Specific experience of at least five (5) years is required in the management or supervision of similar works projects, including at least two (2) years in developing countries.
A very good knowledge of written and spoken English is necessary. He/she must have an excellent knowledge of technical audit methods enabling him/her to work in the field of road technology as well as of construction, geo-technology, topography and the site laboratory.
Key expert 2 (junior expert): A junior Road Engineer with at least a four-year post-secondary qualification and with proven expertise and experience in the supervision of road projects preferably with working experience in developing countries. A very good knowledge of written and spoken English is necessary.
The Contractor shall also provide details of the additional senior experts who will fulfil one or more of the following functions:
- Geotechnical engineering
- Materials engineering
- Quantity surveying
The composition of the team of experts should be balanced to allow for complete coverage of the different aspects of the technical audit as set out in these terms of reference, including cross-cutting issues (environmental sustainability, gender equity, good governance and HIV-AIDS).
This task also includes documents which, at the time of the audit, have been issued by the contractor and are in the process of being approved/endorsed.
This task also includes documents which, at the time of the audit, have been issued by the office responsible for control of the works and are in the process of being approved/ endorsed.