TOOLKIT 2006

INFRASTRUCTURE DELIVERY MANAGEMENT

GUIDELINES

MODULE 4 – PROJECT DELIVERY

Status: Final for Toolkit version 4.0

Developed by the Construction Industry Development Board in cooperation with National

Treasury

Version 4.0
March 2006

Toolkit Delivery Management Guidelines: Module 4: Project Delivery, version 4-0 Page 1
Module 4

Table of Contents

Module 4 ........................................................................................................................ 2

TABLE OF FIGURES ...................................................................................................... 3

Supporting Information, Templates and Examples........................................................ 4

Schedule of Supporting Information.............................................................................. 4

Schedule of Templates .................................................................................................. 5

1 Overview .............................................................................................................. 7
1.1 Purpose of the module .................................................................................. 7
1.2 Infrastructure Delivery management............................................................. 10
1.3 Delivering projects using the Design by Employer contracting method............ 13
1.4 Work Flow for Different Types of Project ........................................................ 1
1.4.1 Project Types ............................................................................................... 1

2 WORKFLOW AS DESCRIBED IN THE DELIVERY MANAGEMENT SYSTEM (DMS)7

3 ALLOCATION OF PROJECT RESPONSIBILITIES ............................................... 19

3.1 Introduction ................................................................................................ 19
3.2 Tasks to be performed ................................................................................ 20
3.3 Resource allocation .................................................................................... 22
3.4 Institutional controls .................................................................................... 23

4 PROJECT INITIATION PHASE ............................................................................ 25

4.1 Description................................................................................................. 25
4.2 Management Processes in the Project Initiation Phase.................................. 25
4.2.1 Overview of Processes ............................................................................... 25

5 PROJECT DESIGN PHASE ................................................................................. 29

5.1 Description................................................................................................. 29
5.2 Management Processes in the Project Design Phase.................................... 29
5.2.1 Overview of activities .................................................................................. 29

6 PROJECT PROCUREMENT PHASE .................................................................... 33

6.1 Management Processes in the Project Procurement Phase ........................... 33
6.1.1 Overview of activities .................................................................................. 33

7 PROJECT CONSTRUCTION PHASE ................................................................... 38

7.1 Management Processes in the Project Construction Phase ........................... 38
7.1.1 Overview of processes................................................................................ 38

8 PROJECT COMMISSIONING PHASE .................................................................. 43

Toolkit Delivery Management Guidelines: Module 4: Project Delivery, version 4-0 Page 2
 8.1 Management Processes in the Project Commissioning Phase ....................... 43
8.1.1 Overview of processes................................................................................ 43

9 PROJECT CLOSING PHASE............................................................................... 45

9.1 Management Processes in the Project Closing Phase ................................... 45
9.1.1 Overview of processes................................................................................ 45

10 PROJECT MANAGEMENT .................................................................................. 47

TABLE OF FIGURES
Figure 1.0: Modular Footprint of Toolkit 9
Figure 1.1: Delivery Management Model 10
Figure 1.2: Project Phase in the Design by Employer contracting method 12
Figure 1.3: Sequencing of Phases in the Construction Management and Design and Build / Develop and
Construct contracting methods 13
Figure 4.1: Summary of Work Flow – Project Delivery – New Build Projects 20
Figure 4.2: Summary of Work Flow – Project Delivery – Refurbishment Projects 21
Figure 4.3: Summary of Work Flow – Project Delivery – Maintenance Projects 22
Figure 4.4: Summary of Work Flow – Project Delivery – Disposal Projects 23

Toolkit Delivery Management Guidelines: Module 4: Project Delivery, version 4-0 Page 3
Supporting Information, Templates and Examples

All the supporting information in the form of Best Practice published by the Construction Industry
Development Board may be downloaded from the CIDB website [Link] (See Construction
Procurement Best Practice Library).

Several of the annexures to these documents contain templates and examples.

Schedule of Supporting Information

Number Name Synopsis/purpose Current

revision

4S01 Sample Generic Scope of Provides the typical services that project 4-0
Work for Professional and construction managers may provide
Services: Project and within the various core processes of the
Construction Management project delivery component of the CIDB
Services delivery management model.

4S02 Sample Generic Scope of Provides the typical services that principal 4-0
Work for Professional agents may provide within the various core
Services: Principal Agent processes of the project delivery
Services component of the CIDB delivery
management model.

4S03 Sample Generic Scope of Provides the typical services that architects 4-0
Work for Professional may provide within the various core
Services: Architectural processes of the project delivery
Services component of the CIDB delivery
management model.

4S04 Sample Generic Scope of Provides the typical services that quantity 4-0
Work for Professional surveyors may provide within the various
Services: Quantity core processes of the project delivery
Surveying Services component of the CIDB delivery
management model.

4S05 Sample Generic Scope of Provides the typical services that engineers 4-0
Work for Professional may provide within the various core
Services: Engineering processes of the project delivery
Services component of the CIDB delivery
management model.

4S06 Progress and Payment This procedure describes the process for 4-0
Procedure making progress and invoice payments on
a project
4S07 Project Quality Control This procedure describes the quality control 4-0
Procedure procedures necessary for the successful
execution of a project.
4S08 Project Controls Procedure This procedure describes the project 4-0
controls necessary for the successful
execution of a project
4S09 Project Close Out This procedure describes the procedures 4-0
Toolkit Delivery Management Guidelines: Module 4: Project Delivery, version 4-0 Page 4
 Procedure required for the successful closeout of a
project
4S10 Insurances and Bonds This procedure sets down the insurances, 4-0
guarantees and bonds typically required to
be provided within a project and the
procedures and management controls
required

Schedule of Templates

Number Name Synopsis/purpose Current

revision
4T01 Project Steering To provide standard terms of reference for 4-0
Committee Mandate a project steering committee within a
community based project where the
community is represented within the
project.
4T02 Project steering Provides a checklist of the necessary 4-0
Committee actions which need to take place for the
empowerment checklist empowerment of the community steering
committee within a community based
project
4T03 Site handover Meeting Provides a generic format to facilitate the 4-0
Minutes and Checklist handing over of a site to a contractor and
the taking of minutes for the site hand
over meeting
4T04 Minutes of site meeting Provides a generic format to facilitate the 4-0
running of site meetings and taking of
minutes.
4T05 Monitoring Participation To facilitate the monitoring of specific 4-0
goals contract participation goals in terms of the
various parts of SANS 1914
4T06 Payment certificate Provides a generic format for the 4-0
certification of claims for payment
4T07 Practical completion Provides the generic formats for the 4-0
certificate issuing of a practical completion certificate
in terms of the NEC, FIDIC, JBCC & GCC
contacts
4T08 Final completion Provides the generic formats for the 4-0
certificate issuing of a final completion certificate in
terms of the NEC, FIDIC, JBCC & GCC
contacts
4T09 Project completion Provides a generic format to facilitate 4-0
report reporting on the completion of a project.
4T10 Site Instruction Pro Provides a generic format to facilitate 4-0
forma issuing of site instructions to the
contractor
4T11 Variation Order Provides a generic format to facilitate 4-0
issuing of variation orders to the
contractor documenting compensation

Toolkit Delivery Management Guidelines: Module 4: Project Delivery, version 4-0 Page 5
 events
4T12 Project Feasibility Provides a guideline and outline for 4-0
Study Guideline project feasibility studies for major
projects
4T13 Site Suitability Outline for a typical site suitability 4-0
Assessment assessment forming part of the project
feasibility assessment
4T14 Contractor Monthly Provides a template for a typical 4-0
Report contractors employment report which
indicates how many people have been
employed, gender make up, amount paid
to community workers
4T15 Project Employment Template for project completion report 4-0
Completion Report which reports employment created within
the project
4T16 Project Execution Plan Provides a checklist for a project 4-0
execution plan i.e. plan of how the project
will be planned, designed and
implemented
4T17 Terms of Reference for Provided typical Terms of Reference for 4.0
Project Management the work to be carried out by the project
manager – see also supporting guidelines
4T18 Document Control Provides a template for the control of 4-0
Sheet documents and management of drawing
revisions issued to the project
4T19 Monthly Cost Report Provides the typical detailed monthly cost 4-0
report which should accompany the
monthly progress report

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1 Overview
1.1 PURPOSE OF THE MODULE
This module provides guidelines to project managers on the work processes required to deliver
infrastructure projects in the public sector.

Public sector infrastructure projects are

Identified in terms of the infrastructure planning processes as described in Module 2

Initiated once incorporated within a programme of delivery as described in Module 3

Infrastructure project delivery from initiation to completion typically comprises the following core phases:

Project conceptual design and initiation – conceptualising the infrastructure to be constructed and
obtaining the mandate to commence with the project

Project detail planning and design – designing the project to sufficient detail in order for the project to
be tendered and constructed

Project procurement – procuring the services of a suitably experienced contractor for the construction
of the infrastructure as depicted in the design and as described in the accompanying project
documentation

Project implementation – construction of the project in accordance with the design and specifications

Project commissioning – handing over of the completed infrastructure to the client and / or parties
responsible for the ongoing operation and maintenance of the constructed facilities

Project completion – attending to defects and closing out of the contract

Project delivery, in the context of engineering and construction works, focuses on the mobilisation,
planning and construction of projects through to final hand over and commissioning.

Contracting Methods

There are a number of contracting methods that can be adopted to deliver engineering and construction
works, the most commonly encountered one being the so-called “design by employer” in which the
contractor undertakes only the construction on the basis of the full designs and specifications issued by
the employer. The employer either carries out the designs “in house” if the employer has the requisite in
house built environment design skills (i.e. architectural, quantity surveying, engineering) or appoints
consultants to carry out these functions on behalf of the employer.

Toolkit Delivery Management Guidelines: Module 4: Project Delivery, version 4-0 Page 7
This module of the Toolkit focuses on the “design by employer” contracting method and provides the
following:

A detailed description of the project delivery component of delivery management

Establishes the tasks associated with the core management processes

Provide guidelines to enable those responsible for such processes to effectively and efficiently engage
in them

The planning and delivery of projects within the public sector occurs within an infrastructure planning and
programme management framework as illustrated below in figure 1-0:

Toolkit Delivery Management Guidelines: Module 4: Project Delivery, version 4-0 Page 8
 Module
Module 1:
Module 1:
1:
Toolkit
Toolkit overview
Toolkit overview
overview

Module
Module 2A:
Module 2A:
2A:
Infrastructure
Infrastructure Planning
Infrastructure Planning
Planning
5 Year
Strategic
Plan

MTEF
Window
Infrastructure Long Asset
Plan Management
Term Plan
Org &
Support Budget
Plan

3 Year MTEF
Infrastructure Budget
Annual
Performance
3 Year MTEF Plan
Org & Support Budget

Module
Module 2B:
Module 2B:
2B:
Service Delivery Agreement Programme
Programme Management
Programme Management by
Management by
by
Infrastructure Programme the
the Client
the Client Department
Client Department
Department
Management Plan
(IPMP)

Infrastructure Programme Module

Module 3:
Module 3:
3:
Implementation Plan(s) Programme
Programme Implementation
Programme Implementation
Implementation
(IPIP)

Module 4:
Project Project Delivery
Execution
Plans (PEPs)

Module
Module 5:
Module 5:
5:
Procurement
Procurement
Procurement

Figure 1.0: Modular Footprint of Toolkit

Toolkit Delivery Management Guidelines: Module 4: Project Delivery, version 4-0 Page 9
1.2 INFRASTRUCTURE DELIVERY MANAGEMENT
Infrastructure delivery management is the process by which departments deliver services to the public. It
comprises a number of core processes as illustrated in Figure 1.1 starting with infrastructure planning in
support of the strategic objectives of the department. Once projects have been identified within the
infrastructure plan (1) they are “clustered” into programmes of similar projects (2) in order to facilitate
efficient, uniform delivery and within the programme the individual projects are then delivered (3) and the
programme then completed (4). Cross cutting the entire delivery process are the supply chain
management functions applicable i.e. demand, acquisition, logistic, disposal and performance
management. The project delivery process also needs to be integrated within the asset management
processes within departments.

Departmental
Mandate and

Management Demand
Policies
Client Department Management

Departmental
1. Infrastructure

Supply Chain Management Functions

Strategic Align
Planning Planning

5.
2. Client
Programme
Programme Procurement
Management

Acquisition Management
Implementing Department

3. Programme
Implementation

4. Project
Delivery

Figure 1.1: Delivery Management Model

The Project Delivery component of the delivery management model can be used to deliver engineering
and construction works i.e. a combination of the provision of services (professional and other), and the
delivery of goods. It is applied to each project that is defined in a programme emerging from the
Infrastructure Programme Implementation Planning component, and establishes the manner in which the
project is to be planned, implemented and completed.

The specific project delivery mechanism that is selected depends to a large extent on the department’s
capacity and will to take on the responsibility for different core processes, or even tasks within each

Toolkit Delivery Management Guidelines: Module 4: Project Delivery, version 4-0 Page 10
process. There are several industry accepted delivery mechanisms that are available to departments to
choose from, depending on the nature of the project, the resources available within the department, and
the allocation of risks that the department is willing to accept.

Engineering and construction works, irrespective of the project delivery option that is selected, require that
the projects be managed within the following framework describing the phases to be undertaken:

Phase 1: Initiation

Phase 2: Design

Phase 3: Procurement of Contractor by open bidding process

Phase 4: Construct and complete the works

Phase 5: Commissioning and Handover of works

Phase 6: Closing of the Project

Most infrastructure delivery projects will go through the phases as described in the framework above. This
project delivery framework may be deviated from if, for example, the works are constructed by a
departmental team and the bidding process is not required.

Each phase as described above can be seen as a “sub-project” with it’s own unique goal, usually
described in terms of a deliverable (preferably template based) to be approved by an appropriate
approval authority. These approvals are commonly known as “Milestones” to be achieved or “Gates” to be
opened, which then “permits” the Project Manager to proceed with the next phase of the project. Project
phases are therefore strictly sequential and may only be implemented concurrently if permission is
obtained for “fast tracking” the project, i.e. starting the next phase before completion of a previous phase.

The work to be done in each phase of the project is summarised in terms of Management Processes or
Work Packages (see PMI Body of Knowledge) to be completed in that particular phase of the project. A
detailed description of the work to be done to complete each Management Process or Work Package is
given in the form of tasks to be performed. Project Management Best Practice requires that responsibility
(“obligation to do”) be assigned to a specific member of the project team for performing each listed task
(i.e. in adherence to the project management principle of “single point of responsibility”).

There are normally linkages between these tasks and they can be performed sequentially or concurrently,
depending on the availability of project human resources

The contracting method selected for a particular project determines the degree of “customisation” or
adjustment required to the management framework as described above.

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The principal contracting methods are:

Design by Employer: the contractor undertakes only construction on the basis of full designs issued
by the employer

Design and Build: the contractor undertakes most of the design and all construction in accordance
with the employer’s brief and his detailed tender submission, usually for a lump sum price

Construction Management: similar to a management contract, the main difference being that the
trade contracts are between the employer and the various trade contractors

Develop and Construct: similar to design and build, except that the employer issues a concept
design on which tenders are based

Management Contract: a management contractor is appointed to engage and manage a number of

trade contractors to carry out construction on the basis of designs issued by the employer, as and
when they are completed. The trade contracts are between the management contractor and the
various trade contractors

The phases within the “Design by Employer” contracting method are set down in Figure 1.2 below.

Project approved LEGEND

P1 P1: Initiation Phase
P2
P2: Design Phase
P3 Construction started P3: Procurement Phase
Construction P4: Construction Phase
completed P5: Commissioning/Handover Phase
P6
P4 P6: Completion Phase
P5

Figure 1.2: Project Phase in the Design by Employer contracting method

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Alternative Contracting Methods

For comparison the sequencing of project phases in the other typical contracting methods are set down
below in Figure 1.3.

Project approved MANAGEMENT

LEGEND
Construction started CONTRACTOR/
CONSTRUCTION P1: Initiation Phase
P1
MANAGEMENT P2: Design Phase
P2 P3: Procurement Phase
Construction P4: Construction Phase
P3
completed P6 P5: Commissioning/Handover Phase
P4
P6: Completion Phase
P5

Project approved DESIGN AND BUILD / LEGEND

DEVELOP AND CONSTRUCT P1: Initiation Phase
P1 Construction started P2: Design Phase
P2
P3: Procurement Phase
P3 Construction P4: Construction Phase
completed P6 P5: Commissioning/Handover Phase
P4
P6: Completion Phase
P5

Figure 1.3: Sequencing of Phases in the Construction Management and Design and Build / Develop and Construct contracting
methods

Another important strategy which may be considered is a Public Private Partnership which comprises a
commercial transaction between a department and a private party in terms of which:

The private party either performs an departmental function on behalf of the department for a specified
or indefinite period; or acquires the use of state property for its own commercial purposes for a
specified or indefinite period

The private party receives a benefit for performing the function or by utilising state property, either by
way of:

Compensation from a revenue fund

Charges or fees collected by the private party from users or customers of a service provided to
them

A combination of such compensation and such charges or fees

1.3 DELIVERING PROJECTS USING THE DESIGN BY EMPLOYER CONTRACTING

METHOD
Figures 1.2 and 1.3 above show that there are six core phases in delivering projects, irrespective of the
chosen contracting method. Each of these phases contains management processes (also called Work

Toolkit Delivery Management Guidelines: Module 4: Project Delivery, version 4-0 Page 13
Packages) that must be performed to ensure successful project delivery. The order, the nature of and the
responsibility for these processes, depends on the contracting method chosen for the project.

Table 1.1 outlines the phases and management processes (or Work Packages) associated with the
delivery of projects using the “Design by Employer” contracting method and the linkages to procurement
(See Module 5). Table 1.2 indicates the critical outcomes or deliverables associated with each of the
management processes and the milestones attained at the completion of a process or phase.

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Table 1.1:Work Breakdown Structure for the delivery of projects using the “Design by Employer” contracting method showing the
Project Milestones, the Critical Outcomes and the related procurement activities associated with the completion of each
Phase/Management Process
Project Management Task Milestone Critical Outcomes Related Procurement
Phases Processes (Management Control Points) Activities
(See Module 5)
Phase1: Establish project Develop project scope (See template Approved project scope, Activity 1: Establish what
Authorisation to incur costs and
Project scope 4T16 for a typical project execution Project Execution Plan is to be procured
pursue selected procurement
Initiation plan) and procurement
method
method
Obtain approval of project scope
Confirm Project Undertake a project feasibility study – (Procure Professional
Feasibility for major project feasibility studies see Services as necessary)
template 4T12
Obtain approval of project feasibility
report
Decide on Develop procurement method – see Activity 2: Decide on
procurement Module 5 procurement methods
methods
Obtain approval of the procurement
methods that are to be adopted.
Phase 2: Design works Initiate design process (Procure Professional
Project Design Procure and brief project Services as necessary) –
professionals see generic terms of
reference for professionals
Confirm project scope
Refined project scope in 4S01 to 4S05
Obtain approval of revised project Assurance that project is within
scope agreed parameters
Establish liaison structures with
affected communities and controlling
authorities
Develop work plan for the design of the
project

Toolkit Delivery Management Guidelines: Module 4: Project Delivery, version 4-0 Page 15
Project Management Task Milestone Critical Outcomes Related Procurement
Phases Processes (Management Control Points) Activities
(See Module 5)
Develop conceptual design Approved conceptual
design (Procure Professional
Develop conceptual design
Services as necessary)
Prepare conceptual design report
Obtain approval for conceptual design
Finalise and document design Confirmation that project is within Approved detailed
Undertake detailed design and agreed parameters design and associated
documentation procurement
documentation
Prepare design report
Obtain approval of detailed designs
Phase 3: Establish what Prepare broad scope of work for Obtain permission to start with the
Procurement is to be procurement; procurement process
procured Estimate financial value of proposed
procurement
Decide on Establish applicable preferential Obtain approval for procurement
procurement procurement policy; methods that are to be adopted
strategies Establish contract and pricing method;
Establish targeting method;
Establish procurement procedure
Solicit tender Prepare procurement documents – Obtain approval for procurement Activity 3: Solicit tender
offers see Module 5; documents; offers,
Invite contractors to submit tender Confirm that budgets are in place;
offers or expressions of interest;
Hold site inspection
Receive tender offers or expressions of
interest;
Evaluate expressions of interests;
Confirm shortlist
Prepare evaluation report on short-
listing process;
Invite tender offers from shortlist.

Toolkit Delivery Management Guidelines: Module 4: Project Delivery, version 4-0 Page 16
Project Management Task Milestone Critical Outcomes Related Procurement
Phases Processes (Management Control Points) Activities
(See Module 5)
Evaluate tender Open and record tender offers Activity 4: Evaluate tender
offers received; offers
Determine whether or not tenders
offers are complete;
Determine whether or not tender offers
are responsive;
Evaluate tender offers;
Perform a risk analysis;
Prepare a tender evaluation report.
Confirm recommendation
contained in the tender evaluation
report.
Award contract Notify successful tenderer and Activity 5: Award contract
unsuccessful tenderers of outcome;
Compile contract document; Formally accept tender offer
Capture contract award data
Administer Administer contract in accordance with
contracts and the terms and provisions of the
confirm contract;
compliance with Ensure compliance with requirements
requirements Capture contract completion /
termination data
Phase 4: Undertake Appoint a contractor Identified party to perform the Signed engineering and
Implementation renovation / contract construction works
construction / contract

Toolkit Delivery Management Guidelines: Module 4: Project Delivery, version 4-0 Page 17
Project Management Task Milestone Critical Outcomes Related Procurement
Phases Processes (Management Control Points) Activities
(See Module 5)
maintenance / Perform and complete the works Works completed to the stage Works in accordance Activity 6: Administer
refurbishment/ where they can be occupied or with the contract contract and confirm
demolition commissioned. compliance with
requirements

(Procure Professional
Services as necessary)

Commission works Works which are completed Works that are capable
Phase 5:
Rectify identified defects without any reservations of being operated and
Commission /
are free of identified
Hand over Handover project to end user
defects
Phase 6: Complete contract Final costs relating to the All contractual
Project procurement are known obligations have been
Completion fulfilled
Archive Archive documentation Permanent record of works Archived documentation
documentation
Compile Compile completion report Known project outcomes Completed project
completion completion report.
report
Manage Defects Compile list of Defects; Completion Report issued Defects made good
Liability Period Ensure defects made good by the Completion report
contractor; issued
Inspect defects on completion;
Retention released
Compile Completion report;
Issue certificate for payment of
retention monies

Toolkit Delivery Management Guidelines: Module 4: Project Delivery, version 4-0 Page 18
Procurement activities relating to professional services may be required at different stages throughout the
project delivery process. Departments will need to evaluate the activities that need to be performed and
evaluate the best means of executing that task, taking into account the in-house resources that are
available. Should the decision be taken that the in-house resources are unable to execute that task; the
procurement processes detailed in Module 5 should be initiated.

1.4 WORK FLOW FOR DIFFERENT TYPES OF PROJECT

There are slightly different work processes applicable to the type of project being implemented.

1.4.1 PROJECT TYPES

Within public sector projects there are different types of infrastructure projects. In this regard distinction is
made within this document between the following project types as the work process varies slightly
between these types of project:

A - New Build projects;

B - Refurbishment projects;

C - Maintenance projects; and

D - Disposal projects – usually involving demolition

Obviously some complex projects could involve a combination of these project types and the work process
will then need to be modified as appropriate to provide effective project delivery for such
combined/composite projects.

Figures 4.1, 4.2, 4.3 & 4.4 over page provide the summary of the work flow applicable to the above project
types respectively.

This document focus on New Build projects, however, the principles described in this module may be
applied to all these project types, although the work processes for each project type will vary to some
degree as outlined in figures 4.1 to 4.4 which follow:

Toolkit Delivery Management Guidelines: Module 4: Project Delivery, version 4-0 Page 1
Work Flow Schedules for New Build, Rehabilitation, Maintenance & Disposal Projects

Activity 3.5 New-build

4.A.1 Project 4.A.1.1 Procure Professional

Initiation (including Services (as appropriate) Projects

Feasibility)
4.A.1.2 Review, understand and
accept the Project Scope,
4A
Budget and Pre-
Pre- conditions

4.A.1.3 Undertake detailed Note 1: New-build comprises all new work

including upgr adi ng work that i s required to
Feasibility Study for the Project create a new asset, or improve or increase the
capacity of an existing infrastructure asset.
Note 2: The proj ect commences with the
issue of a pr oj ect initiati on fi le to the project
manager who has been designated
4.A.1.4 Approve Project for responsibili ty for the project. The file contai ns
implementation the project purpose, outline scope, budget,
principle milestones and pre-conditions rel ated
to implementati on – such as BEE, labour
intensive construction, socio-economic
development obj ectives and PPP procurement
or otherwise.
4.A.1.5 Register the Project with
Note 3: This process is generi c for all
the Asset Owner and CIDB methods of procurement – including employer
desi gn, desi gn and build and PPP
procurement.
Note 4: The feasi bility study will be
4.A.2 Project 4.A.2.1 Procure Design Team undertaken in sufficient detail to enable the
project scope, budget, schedule, viability and
(and Construction Team as
Design appropriate)
sustainability to be agreed.
The feasibility study will address al l activiti es
that will enable the project to be implemented
and transferred to the procuri ng Department –
including the procurement strategy, site
procurement and avail ability, and the like.
4.A.2.2 Project Design

4.A.2.3 Approve / Agree the

Design

Activity 3.6
4.A.6.1 Monitoring and progress

4.A.6.2 Contract Administration

4.A.6.3 Project Control (quality,

reporting during all stages of

performance, cost and time)

4.A.3 Project 4.A.3.1 Procure Construction

Construction Services (as appropriate)

4.A.3.2 Register Project Award

with the Asset Owner and CIDB
delivery

4.A.3.3 Project Construction

Activities

4.A.4 Project 4.A.4.1 Project Commissioning

Activities
Commissioning

4.A.4.2 Project Construction

Completion Approval

4.A.4.3 Project
Operationalisation and Hand- Activity 3.7
over

4.A.4.4 Register Practical

Completion with the Asset
Owner and CIDB

4.A.5 Project 4.A.5.1 Project Defects Liability

Defects period

Liability
4.A.5.2 Project Defects Liability
Period Completion Approval

4.A.5.3 Register Project

Contract Completion with the
Asset Owner and CIDB

Figure 4.1 Summary of Work Flow – Project Delivery – New Build Projects

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Toolkit Delivery Management Guidelines: Module 4: Project Delivery, version 4-0 Page 3
 Activity 3.5 Rehabilitation

4.B.1 Project
4.B.1.1 Procure Professional
Initiation (including Services (as appropriate) Projects

Feasibility)
4.B.1.2 Review, understand and
accept the Project Scope,
4B
Budget and Pre-
Pre- conditions

4.B.1.3 Undertake detailed Note 1: Rehabi litation comprises all work of a

major nature required periodical ly to refurbi sh,
Feasibility Study for the Project refresh or revitalise the i nfrastructure, to bri ng
it back to its original condition – typically every
after every five years. It does not include
upgradi ng work that is required to improve the
infrastructure asset, or increase its capacity
beyond that for which it was origi nal ly
4.B.1.4 Approve Project for intended. Such work would be incl uded i n the
implementation New-bui ld category.
Note 2: The project commences with the
issue of a project initiation file to the project
manager who has been desi gnated
responsi bility for the project. The fil e contains
4.B.1.5 Register the Project with the pr oj ect purpose, outline scope, budget,
pri nciple mil estones and pre-condi tions related
the Asset Owner and CIDB to implementation – such as BEE, labour
intensive construction, socio-economic
development objectives and PPP procurement
or otherwise.

4.B.2 Project 4.B.2.1 Procure Design Team Note 3: Thi s process is generic for al l
methods of procur ement – incl uding employer
(and Construction Team as design, design and buil d and PPP
Design appropriate) procurement.
Note 4: The feasibility study will be
under taken in sufficient detail to enable the
proj ect scope, budget, schedule, viability and
sustainabili ty to be agreed.
4.B.2.2 Project Design
The feasibility study wi ll address all activities
that wi ll enabl e the pr oj ect to be implemented
and tr ansferred to the procuring Department –
including the procurement str ategy, site
procurement and availabili ty, and the li ke.
4.B.2.3 Approve / Agree the Note 5: Detailed consideration must be given
Design to processes of handover fr om ongoing

Activity 3.6
operations, de-commissioning to enable the
4.B.6.1 Monitoring and progress

4.B.6.2 Contract Administration

4.B.6.3 Project Control (quality,

works to be executed, and subsequent re-
commissioni ng – with the mi nimum of
reporting during all stages of

performance, cost and time) disrupti on to the ongoing operations.

4.B.3 Project 4.B.3.1 Procure Construction
Construction Services (as appropriate)

4.B.3.2 Register Project Award

with the Asset Owner and CIDB
delivery

4.B.3.3 Project Construction

Activities

4.B.4 Project 4.B.4.1 Project Commissioning

Activities
Commissioning

4.B.4.2 Project Construction

Completion Approval

4.B.4.3 Project
Operationalisation and Hand
Hand-- Activity 3.7
over

4.B.4.4 Register Practical

Completion with the Asset
Owner and CIDB

4.B.5 Project 4.B.5.1 Project Defects Liability

Defects period

Liability
4.B.5.2 Project Defects Liability
Period Completion Approval

4.B.5.3 Register Project

Contract Completion with the
Asset Owner and CIDB

Figure 4.2 Summary of Work Flow – Project Delivery – Refurbishment Projects

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 Activity 3.5 Maintenance

4.C.1 Maintenance
4.C.1.1 Procure Professional
Project Initiation Services (as appropriate) Projects

(including
Maintenance
Study)
4.C.1.2 Review, understand and
accept the Maintenance Scope,
4C
Budget and Pre
Pre--conditions

4.C.1.3 Undertake detailed Note 1: Maintenance cover s all the ongoing

Maintenance Study for the and routine activiti es necessar y to keep the
infrastructure in the condition necessary for it
Project to perform its intended function. Maintenance
wi ll i nclude routine repair and those activities
necessary to ensure that all health and safety
obligations are maintained, and supplier
war ranty obligati ons are maintained.
4.C.1.4 Approve Maintenance Specifications for routine maintenance will
Project for implementation generall y be included with as-built
documentation i ssued on completion of the
original construction of the infrastructure.
Major rehabi litation and re-vitalisation of the
infrastructure will generall y be excl uded from
4.C.1.5 Register the maintenance works – such works wi ll be
Maintenance Project with the executed as specifical ly identified
Asset Owner and CIDB rehabili tation projects.
Note 2: Maintenance is managed as a
project. Withi n this project environment,
contracts will be awarded for various
4.C.2 Design 4.C.2.1 Procure Design Team maintenance activities. (All maintenance
activities coul d be grouped within a single
(and Maintenance TTeam
eam as maintenance contract.)
Maintenance appropriate)
Conti nuity of maintenance activiti es must be
Specifications ensured. Maintenance contr acts wil l typically
be of a fixed duration. On completi on of a

Activity 3.6
maintenance contract, a foll ow-on contract –
4.C.5.1 Monitoring and progress

4.C.5.2 Contract Administration

4.C.5.3 Project Control (quality,

4.C.2.2 Compile Maintenance appropriately procured – must be in place to
ensure that ongoi ng maintenance of the
reporting during all stages of

performance, cost and time)

Specifications infrastructure is achieved.
Note 3: The maintenance pr oj ect commences
wi th the issue of a project i nitiation file to the
project manager who has been designated
responsibi lity for the project. The fil e contai ns
4.C.2.3 Approve / Agree the project purpose, outline scope of
Maintenance Specifications maintenance services required, budget,
principle milestones and pre-conditions related
to implementation – such as BEE, labour
intensive construction and socio-economic
development objectives.
delivery

4.C.3 Maintenance 4.C.3.1 Procure Maintenance Note 4: This process is generic for al l
methods of procurement of maintenance
Services (as appropriate) services.
Note 5: The maintenance study – equivalent
to the feasibility study of a new-bui ld project –
wi ll be undertaken in sufficient detail to enable
4.C.3.2 Register Project Award the maintenance scope, budget, schedule,
viability and sustainabili ty to be agreed.
with the Asset Owner and CIDB
The maintenance study will address all
activities that will enable the maintenance to
be carried out – incl uding site access, non-
disrupti on to the ongoing use of the
infrastructure, and the like.
4.C.3.3 Maintenance Activities

4.C.3.4 Annual review of

Maintenance Performance

4.C.4.1 Hand
Hand--over of
4.C.4 Maintenance Maintenance Duties to new Activity 3.7
Contract Close-out contractor (as appropriate)

4.C.4.2 Maintenance Contract

Completion Approval

4.C.4.3 Register Completion

with the Asset Owner and CIDB

Figure 4.3 Summary of Work Flow – Project Delivery – Maintenance Projects

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 Activity 3.5 Disposal

4.D.1 Disposal
4.D.1.1 Procure Professional
Project Initiation Services (as appropriate) Projects

(including
Feasibility) 4.D.1.2 Review, understand and
accept the Project Scope,
4D
Budget and Pre
Pre--conditions

4.D.1.3 Undertake detailed Note 1: Disposal will occur when an

Feasibility Study for the infrastructure asset is no longer required by
the by the Department for its operations.
Disposal Project Disposal will be identified and approved in the
MTEF budgeting process.
Note 2: The project commences with the
issue of a project i nitiation file to the project
4.D.1.4 Approve the Disposal manager who has been desi gnated
Project for implementation responsibi lity for the disposal project. The file
contains the project purpose, outline scope,
budget, principle milestones and pr e-
conditi ons related to disposal – such as BEE
and socio-economi c devel opment obj ectives.

Activity 3.6
4.D.4.1 Monitoring and progress

4.D.4.2 Contract Administration

4.D.4.3 Project Control (quality,

4.D.1.5 Register the Project with Note 3: This process is generic for al l
methods of disposal. The obj ective of the

reporting during all stages of

performance, cost and time)

the Asset Owner disposal process is to transfer all obligations
of the Department to another enti ty – incl uding
any costs related to rental, utility services,
rates and taxes.

4.D.2 Design 4.D.2.1 Procure Disposal Team

Note 4: The disposal feasibility study will be
undertaken in sufficient detail to enable the
Disposal Process (as appropriate) disposal scope, budget, schedule, viability and
sustainability to be agreed. The options for
disposal – whi ch will be appraised within the
feasibil ity study – will i nclude transfer of the
asset to another government department at

delivery
4.D.2.2 Design Disposal national provincial or local level.
Process, Specifications and
Conditions

4.D.2.3 Approve Disposal

Process, Specifications and
Conditions

4.D.3 Execute 4.D.3.1 Execute Disposal

including transfer of asset
Disposal ownership and liabilities

4.D.3.2 Confirm Disposal with

Asset Owner

4.D.3.3 Ensure that ongoing

service contracts and Activity 3.7
obligations are terminated

Figure 4.4 Summary of Work Flow – Project Delivery – Disposal Projects

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2 WORKFLOW AS DESCRIBED IN THE DELIVERY MANAGEMENT
SYSTEM (DMS)
Table 2.1 sets out and describes the processes and tasks associated with the Project Initiation phase.

Table 2.1: Activities within the Project Initiation process

Activity Activity & Steps Description

No
4.1 Project Initiation The project is initiated by the assignment/procurement of
professional services to define the project scope and
confirm feasibility of the project.
4.A.1.1 Procure Professional Services Professional services are assigned to departmental
as appropriate officials or procured from the private sector (e.g. project
manager, architect, quantity surveyor, engineer etc.) –
see supporting guidelines 4S01 to 05 for typical scopes
of work
4.A.1.2 Review, understand Project Project Scope to be formulated in terms of the approval
Scope, Budget and Pre- given including: project budget and timeframe, conditions
conditions of approval, type and extent of project, performance
specifications, design and contracting arrangements,
scope of professional services and
4.A.1.3 Undertake detailed Feasibility A detailed feasibility assessment is carried out in order to
Study for the project and confirm the need, assess the technical feasibility and
confirm project scope confirm the project scope in terms of content, time and
budget – see templates 4T12 & 13
4.A.1.4 Formulate Project Execution On the basis of the detailed feasibility assessment a
Plan Project Execution Plan is formulated in the format
prescribed for the project within the programme plan.
4.A.1.5 Approve Project for Project Scope reviewed and approved for
implementation implementation by the relevant authority provided that
the scope complies with the project scope guidelines set
for the programme and is within the approved budget
4.A.1.6 Register proposed project with The proposed project is registered with the CIDB and 1st
CIDB stage of project information is captured into the CIDB
Register of Projects

Table 2.2 sets out and describes the activities and sub-activities associated with the Project Design
Process.

Table 2.2: Principle activities & related actions pertaining to the Project Design process
Activity No Activity & Steps Description

4.A.2.2.1 Confirmation of Project Scope Project Team (PT) to review the Project Scope
and confirm any proposed amendments to the
Project Scope
4.A.[Link] Review of project scope PT to review the Project Scope in terms of the
budget & timetable set for the project and
confirm any proposed amendments to the

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Activity No Activity & Steps Description

Project Scope

4.A.[Link] Level 3 Approval of Revised Project If the Project Scope is amended as a result of
Scope the inputs from the PT then the Project Scope
is to be amended and the revised Project
Scope to be approved by the relevant authority
prior to proceeding with planning
4.A.2.2.2 Establishment of Project Steering Project Steering Committees are to be
Committee (as appropriate) established for all community projects in order
that the local community can provide input
within the planning and implementation phases
– see templates 4T01 & 02
4.A.[Link] Formulation of Project Steering Terms of Reference for the Project Steering
Committee Mandate Committee are to be formulated if not
adequately specified within either the
Programme Business Plan or the Project
Scope
4.A.[Link] Approval of Projects Steering PSC TOR to be approved by the relevant
Committee Mandate authority
4.A.[Link] Project Steering Committee Composition of the PSC determined in terms of
constituted the TOR. PSC established from the relevant
stakeholders
4.A.[Link] PSC capacitation PSC capacitated to ensure that all members
understand their role and responsibility in
terms of the PSC TOR
4.A.[Link] Confirmation of PSC establishment PSC establishment confirmed and Project
Tracking Schedule updated with the status of
the PSC establishment
4.A.2.2.3 Project Design Workplan Work plan for the design phase to be prepared
(including major activities, costs per deliverable
and timetable) and approved
4.A.[Link] Preparation of Workplan for the The PT is to prepare a work plan of the design
design phase phase including what will be done by whom,
when, milestones to be achieved and payment
against the milestones
4.A.[Link] Level 3 Approval of Design Design Work plan to be reviewed and
Workplan approved by the relevant authority
4.A.2.2.4 Preliminary Planning & Design Project concepts are confirmed by preliminary
planning & design
4.A.[Link] Preparation of preliminary planning PT to carry out preliminary planning and
reports and designs design in terms of the Work plan
4.A.[Link] Review an approval by Project Project Steering Committee is to review and
Steering Committee approve the preliminary planning
reports/designs prior to approval by the client
4.A.[Link] Level 3 Approval of preliminary Prior to proceeding to detailed design the
planning reports and designs preliminary design is to be approved by the
client.

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Activity No Activity & Steps Description

4.A.[Link] Project scope, budget and timeframe On the basis of the preliminary design the
confirmed / updated project scope/budget and timeframe is
confirmed and/or amended on the Project
Tracking Schedule
4.A.2.2.5 Detailed Design Detailed project design and specification
which is approved by the client and the
relevant authorities
4.A.[Link] Preparation of detailed designs PT to carry out detailed design in terms of the
Workplan and approved planning/design
reports from the preliminary phase and to
produce detailed planning reports required as
well as the detailed designs, specifications and
tender documentation (as appropriate)
4.A.2.3.1 Review an approval by Project Project Steering Committees is to review and
Steering Committee approve the detailed designs prior to approval
by the client
4.A.2.3.2 Level 3 Review and approval of Prior to proceeding to tender the detailed
detailed planning reports, designs, design (including specifications and tender
specifications and tender documents documentation) is to be approved by the client.
4.A.2.3.3 Level 2 Review and approval of Prior to proceeding to tender documentation
detailed planning reports and the detailed design is to be approved by the
designs by the relevant authorities relevant authorities
4.A.2.3.4 Project scope, budget and timeframe On the basis of the detailed design the project
confirmed / updated scope/budget and timeframe is confirmed
and/or amended on the Project Tracking
Schedule

The project construction activities within the Design by Employer process include procurement of the
services of a contractor to build the project and the actual implementation of the construction work by the
contractor. Table 2.3 below sets down and describes the principal activities within the construction
process.

Table 2.3: Main Activities and related actions pertaining to the Project Construction
process
Activity No Activity & Steps Description
4.A.3.1 Procure Construction Services In the case of "design by employer" procedure, the
(as appropriate) services of a Contractor are procured utilising the
departments’ procurement procedures – see Module
5.
4.A.3.2 Register Project Contract Register the project contract award information with
Award with CIDB the CIDB Register of Projects
4.A.3.3 Project Construction Activities The contractor commences construction and carries
out all the construction activities
4.A.3.3.1 Site Establishment Establishment of the contractor on site, including the
contractor’s site office and yard and essential
services.

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Activity No Activity & Steps Description
4.A.3.3.2 Contractor's Work Programme Contractor to formulate proposed programme of
works and obtain approval from the Clients
Representative
4.A.[Link] Contractor prepares work Contractor prepares work programme and submits it
programme to the Clients Representative
4.A.[Link] Level 4 Approval of Contractors Clients representative reviews contractors work
Work programme programme and approves it. Programme referred
back if not suitable
4.A.3.3.3 Community Employment As appropriate, selection and employment of
community labour in terms of the community
resource plan. Meeting between the contractor and
Project Steering Committee to formulate a
recruitment plan in terms of the community
resourcing plan. Contractor inter
4.A.3.3.4 Construction Activities The contractor carries out all of the required
construction activities including materials
management, labour employment, appointment of
sub-contractors, internal quality control, safety
management, financial control etc. as required to
construct the pro

The activities for Project Commissioning are set down below in Table 2.4.

Table 2.4: Activities and sub-activities pertaining to the Project Commission

Activity No Activity & Steps Description
4.A.4.1 Project Commissioning Activities Project commissioning activities planned including
production of O & M guidelines, their approval and
training of the personnel who will be responsible for
the ongoing O & M
4.A.4.1.1 Operation & Maintenance The O & M guidelines and manuals are prepared,
Guidelines approved and the O & M staff capacitated.
4.A.[Link] O & M Guidelines prepared The O & M guidelines and manuals are prepared
which tell the O & M staff what O & M is required,
particularly for specialist equipment provided (e.g. air
conditioning, lifts, security & safety systems, etc.)
4.A.[Link] Level 3 O & M Guidelines O & M Guidelines are reviewed by the relevant
reviewed and approved authority and are approved
4.A.[Link] O & M organisation capacitated Responsible authority carries out O & M in
and O & M commissioned accordance with the guidelines
4.A.4.1.2 Archive Documentation "As Built As built details showing any amendments from the
Drawings" original designs and operational procedures are
prepared, submitted, approved and filed for future
information
4.A.[Link] As Built Details prepared The as built details are prepared by the relevant
service provider/contractor and are submitted to the
client and the relevant authorities
4.A.[Link] Level 2 As Built Details reviewed If necessary, the as built details are reviewed by the
and approved relevant authorities and are approved

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Activity No Activity & Steps Description
4.A.[Link] As Built Details lodged The Approved As Built details are lodged with the
Client and the relevant authorities
4.A.4.1.3 Project Completion Report The project is closed off with the issue of a
completion report in the prescribed format
documenting the project details – see templates
4T09 and 4T15
4.A.[Link] Project Completion Report The project completion report is prepared in the
compiled prescribed format documenting the project details
4.A.[Link] Level 3 Approval of Project The project completion report is reviewed and
Completion Report approved culminating in the final sign off of the
project and final payment to the project manager
4.A.4.2 Project Construction Completion The certificate of practical completion is issued by
Approval the Client's Representative to the contractor once
the Client's representative has accepted the works
as complete except for defects still to be attended to
during the defects liability period. – see template
4T07
4.A.4.2.1 Project Practical Completion The Clients Representative or relevant service
Report prepared provider/contractor prepares the completion report
and submits it to the Client
4.A.4.2.2 Project Tracking Schedule The Project Tracking Schedule is updated with the
updated final project data
4.A.4.2.3 Level 3 Approval of Project The Client reviews and approves the Project
Practical Completion Report Completion Report
4.A.4.3 Project Operationalisation and The project is officially handed over to the client and
Hand-over commissioned
4.A.4.4 Register Project Practical The Clients Representative registers practical
Completion with CIDB completion of the project and the completed project's
data on the CIDB Register of Projects

Table 2.5 sets out and describes the activities associated with the Project Completion process.

Table 2.5: Activities, related actions pertaining to the Project Completion process
Activity No Activity & Steps Description

4.A.[Link] Project Completion Report The project completion report is prepared in the
compiled prescribed format documenting the project details –
see template 4T08
4.A.[Link] Level 3 Approval of Project The project completion report is reviewed and
Completion Report approved culminating in the final sign off of the
project and final payment of the project manager
4.A.4.2 Project Construction Completion The certificate of practical completion is issued by
Approval the Client's Representative to the contractor once
the Client's representative has accepted the works
as complete except for defects still to be attended
to during the defects liability period.
4.A.4.2.1 Project Practical Completion The Clients Representative or relevant service
Report prepared provider/contractor prepares the completion report
and submits it to the Client

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Activity No Activity & Steps Description

4.A.4.2.2 Project Tracking Schedule The Project Tracking Schedule is updated with the
updated final project data
4.A.4.2.3 Level 3 Approval of Project The Client reviews and approves the Project
Practical Completion Report Completion Report
4.A.4.3 Project Operationalisation and The project is officially handed over to the client
Hand-over and commissioned
4.A.4.4 Register Project Practical The Clients Representative registers practical
Completion with CIDB completion of the project and the completed
project's data on the CIDB Register of Projects

The main activities within the defects liability period are set down in Table 2.6 below.

Table 2.6: Activities and sub-activities pertaining to the Project Defects Liability
Activity Activity & Steps Description
No

4.A.5.1 Project Defects Liability Period Once the practical completion certificate has been
issued, the defects liability period commences (usually
3 months for building projects and 12 months for civils
projects). Defects during this period are to be made
good by the contractor
4.A.5.1.1 Pre- Retention Release Prior to the end of the Defects Liability Period, the
Inspection Client's Representative inspects the project and
prepares a defects list itemising all items requiring
making good by the contractor
4.A.5.1.2 Make good defects The Contractor carries out the work required to make
good the defects listed in the Defects List.

4.A.5.1.3 Post Defects Work Inspection After the contractor has completed the work to make
good the defects as per the Defects List, the Client's
Representative inspects the works to ensure that the
defects have been made good in terms of the contract.
Outstanding items are referred back to the contractor

4.A.5.1.4 Project Maintenance Sign off Once the Client's Representative is satisfied that the
defects have been made good in terms of the Defects
List, the defects liability period is signed off as
complete and that the contractor has fulfilled all the
contractual obligations with respect to defects in terms
of the contract and that retention moneys should now
be paid by the Client to the contractor.
4.A.5.1.5 Level 4 Approval of Retention The Client's Representative certifies that retention
Release moneys may now be released and paid to the
contractor once the defects on the Defects List have
been made good.
4.A.5.2 Level 3 Project Defects Liability On receipt of the defects liability completion and
Period Completion Approval request for release of retention the Client reviews and
approves the completion of the defects liability period
and the retention claim and authorises payment of

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Activity Activity & Steps Description
No

retention.

4.A.5.3 Register Project Contract The project manager submits the project completion
completion with CIDB report in the prescribed format to the CIDB reporting
the final completion of the works contract and
including the complete project data

The Monitoring and Progress Reporting activity involves consistent reporting in the prescribed format
throughout the work processes from project initiation, though design, construction and commissioning to
completion at the end of the defects liability processes. The key activities are set down in Table 2.7 below.

Table 2.7: Monitoring & Progress Reporting Processes

Activity No Activity & Steps Description
4.A.6.1.1 Design Phase Progress Reports Progress during the design phase to be reported
and monitored for compliance and in order to
review progress and identify any blockages for
actioning. Payment linked to adequate progress
and reporting
4.A.[Link] Monthly Design Progress Reports Monthly progress reports produced against
prepared predefined milestones
4.A.[Link] Level 4 Design Progress Reports Monthly progress reports reviewed against
reviewed & approved predefined milestones and performance
assessed linked to processing of payment claims
4.A.6.1.2 Construction Progress & Contractor prepares monthly progress and
Employment Reports employment reports and submits these to the
Clients Representative – see template 4T14
4.A.[Link] Contractor's monthly report prepared Contractor prepares a monthly progress &
employment report in the prescribed format in
terms of the Contract and submits the report to
the Client's representative for acceptance
together with the monthly payment claim
4.A.[Link] Level 4 Approval of Contractors The Client's Representative reviews the
Reports Contractor's progress and employment reports
and accepts these or refers them back for further
detail
4.A.6.1.3 Review and monitoring compliance reviews the progress report and monitors
compliance with respect to scope, time and
budget
4.A.6.1.4 Corrective action Corrective action is implemented in terms of
blockages/problems highlighted in the progress
reports
4.A.6.1.5 Confirmation of corrective action Progress is tracked in order to ensure that
corrective action is adequately completed

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Activity No Activity & Steps Description
4.A.6.1.6 Project Manager's Progress Progress to be reported and monitored for
Reporting during Design and compliance and in order to review progress and
Construction Phases identify any blockages for actioning. Payment
linked to adequate progress and reporting – see
template 3T04 in Module 3 & 4T19
4.A.6.1.7 Project progress report prepared Progress to be reported and monitored for
compliance and in order to review progress and
identify any blockages for actioning. Payment
linked to adequate progress and reporting
4.A.6.1.8 Level 3 Project Progress Report Implementing Agent reviews the project progress
reviewed & Approved and employment reports and accepts these or
refers them back for further detail

The contract administration functions which need to be performed by the project manager include
ensuring that all the contract obligations have been fulfilled at the start of the project, formal hand over of
the site to the contractor, monthly meeting coordination and payment certification, issuing site instructions
and managing scope changes and variation orders/compensation events, administering the final accounts.

The key contract administration activities are set down in Table 2.8 below.

Table 2.8: Contract Administration Processes

Activity No Activity & Steps Description

4.A.6.2.1 Contract Initiation Requirements Contractor to comply with the requirements of the
contract award e.g. provision of surety, proof of
insurance etc. – see supporting guideline 4S10
4.A.[Link] Request contract initiation Request the information/documentation from the
requirements from the contractor contractor as required to initiate the contract in terms
of the contract specifications e.g. surety, proof of
insurances,
4.A.[Link] Provision of requirements in Contractor to comply with the requirements of the
compliance with the contract contract award e.g. provision of surety, proof of
award insurance etc.
4.A.[Link] Level 4 Confirm compliance with Review information provided by the contractor and
Contract Initiation requirements confirm compliance with contract
4.A.6.2.2 Site Handover to Contractor Official hand over of the site to the contractor. Once
handed over the site then falls legally under the
jurisdiction and responsibility of the contractor - see
template 4T03 and supporting guidelines 4S06 to 09
procedures
4.A.6.2.3 Site Meetings & minutes Formal site meetings held (normally monthly)
throughout the construction period, with adoption of
formal minutes of the meetings – see template 4T04
4.A.6.2.4 Site Instructions All site instructions are to be written in a suitable
format and issued by the Client's Agent and received
by the Contractor – see template 4T10
4.A.[Link] Site Instruction Issued Site instructions from the Client's Representative to
the Contractor are issued, signed by both parties and
copied to both parties

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Activity No Activity & Steps Description

4.A.[Link] Site Instructions carried out The contractor carries out the site instructions issued
by the Client's Representative
4.A.[Link] Level 4 Monitoring Compliance The Client's Representative (and/or subordinates)
with Site Instructions monitors that the Contractor carries out the site
instructions adequately and signs off completion of
site instructions
4.A.6.2.5 Compensation Events / Variation Variations to the contract (I.e. compensation events)
Orders which have a monetary value are to be agreed in
writing prior to undertaking the work – see template
4T11
4.A.[Link] Scope Change identified A requirement for a change in the construction Scope
of Work is identified and initiates a compensation
event
4.A.[Link] Scope Change Instruction issued Client's Representative issues instruction in writing for
scope change to the Contractor requesting a claim of
variation (either for increased and decreased cost
dependant on the scope)
4.A.[Link] Value of Scope Change agreed The contractor responds to the scope change
instruction by determining in consultation with the
Client's representative the value of the compensation
event/variation
4.A.[Link] Level 3 Review and approval of Contractor's variation claim is reviewed by the Client's
Compensation events Representative. If agreed to then the Clients Agent
submits the variation to the Client for formal approval
and an approved variation order is issued, if not
agreed, the claim is referred back to t
4.A.[Link] Implementation of approved The contractor implements the approved variation
variation and makes claim for the variation during the normal
course of claims
4.A.[Link] Level 4 Monitoring Compliance The Client's Representative (and/or subordinates)
with Variation Order monitors that the Contractor carries out the variation
orders adequately and signs off completion of VO's
4.A.6.2.6 Payment Certification Contractor submits payment claims at the agreed
frequency. The payment claims are reviewed and
certified by the Client's Representative and paid by
the Client – see template 4T06 and supporting
guideline 4S06
4.A.[Link] Measurement of work done The Contractor and Client's Representative measure
the work done since the last payment claim (normally
done monthly), including approved compensation
events/variation orders.
4.A.[Link] Contractors Payment Claim The Contractor prepares a payment claim for the
prepared measured work done since the last payment claim
and submits
4.A.[Link] Level 4 Review and Certification of Contractor's payment claim is reviewed by the Client's
Payment Claim Representative for correctness and completeness. If
approved it is certified and issued to the Client for
payment, if not the claim is referred back to the
Contractor for further negotiation

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Activity No Activity & Steps Description

4.A.[Link] Level 3 Payment Authorisation On receipt of the certified payment claim the Client
reviews the claim for correctness and authorises
payment
4.A.[Link] Payment Processing On the basis of the authorised payment claim,
payment to the contractor is processed
4.A.6.2.7 Final Account The final account is determined and agreed and
payment made to the contractor less retention which
is only paid out at the end of the defects liability
period.
4.A.[Link] Final Measurement of work done The Contractor and Client's Representative measure
the final work done since the last payment claim
4.A.[Link] Contractors Final Payment Claim The Contractor prepares the final payment claim for
prepared the total measured work done since the last payment
claim on the basis of the final measurement of the
work done including all "adds and omits" variations
and submits the claim to the Client's Representative
for certification.
4.A.[Link] Level 4 Review and Certification of Contractor's final claim is reviewed by the Client's
Final Account Representative for correctness and completeness. If
approved it is certified and issued to the Client for
payment, if not the claim is referred back to the
Contractor for further negotiation
4.A.[Link] Level 3 Payment Authorisation On receipt of the certified final payment claim the
Client reviews the claim for correctness and
authorises payment

The Project Control activities include controlling the quality, costs and timeframe for the project as a whole
throughout the project from initialisation activities through design, construction, commissioning and defects
liability period. The controlling is done in relation to the project execution plan which outlines the quality
plan, cost control plan and project timetable as well as the communication and risk management aspects.

The key project control activities are set down in Table 2.9 below.

Table 2.9: Project Control Processes

Activity No Activity & Steps Description

4.A.6.3.1 Quality Control Quality control of work carried out in terms of a quality
control plan

4.A.[Link] Prepare Quality Control Plan Client's Representative prepares a quality control plan
which stipulates what quality control checks are to be
carried out by whom, when during the construction
process
4.A.[Link] Level 3 Approval of Quality The QC Plan is approved by the Client
Control Plan
4.A.[Link] Site inspections and Testing in Site inspections and/or tests are carried out in

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Activity No Activity & Steps Description

terms of Quality Control Plan accordance with the quality control plan

4.A.[Link] Monitoring compliance in terms Monitoring is carried out to ensure that the contractor
of the QC plan is complying with the requirements of the quality
control plan
4.A.[Link] Sign off completion in terms of Each functionary responsible for each aspect of the
the QC plan QC plan is to sign off completion of the particular QC
item in accordance with the QC plan
4.A.6.3.2 Cost Control All costs are monitored against the allocated budgets
and cashflows to ensure that the project remains
within budget, including management of the
contingency fund
4.A.[Link] Cost Control model established A cost control model is established in order to track all
cost centres (i.e. cost items) against the budgets and
cashflows.
4.A.[Link] Approval of Cost Control Model The cost items
4.A.[Link] Monthly cost control reporting Monthly reporting of all cost items against budget and
cashflow
4.A.[Link] Monthly monitoring of costs Costs against budget and cashflow are monitored in
order to take corrective action if required.
4.A.[Link] Contingency budget The contingency amounts built into the budget need to
management be managed specifically with appropriate approvals to
expend the contingency
4.A.[Link].1 Confirm the contingency Confirmation is obtained as to how the contingency
procedure and approval policy budget is to be administered and the delegations to
for the project approve the contingency - usually assigned to the
project manager to approve and report on to the
programme manager the use of the contingency.
4.A.[Link].2 Identify contingency cost item Items are identified during the design and construction
phase which will require additional funding from the
contingency budget. These will generally constitute
variations to contracts.
4.A.[Link].3 Approval of Contingency Item The item requiring use of the contingency fund is
approved and the relevant budget assigned to the item
from the contingency normally in the form of a
variation order.
4.A.[Link].4 Updating of contingency The contingency budget is updated to reflect the
budget allocation schedule approved budget allocation to contingency items.
4.A.[Link].5 Monthly reporting on The contingency budget items are incorporated within
Contingency budget the monthly cost control reporting
4.A.[Link] Corrective cost control action Corrective action is taken to ensure that the project
remains within budget
4.A.[Link] Time management The progress of the project is managed against the
timetable set for the project and comprises reporting
progress, monitoring and taking corrective action as
needed.
4.A.[Link].1 Monthly reporting of progress Progress is reported monthly in the specified format
against the project timetable against the base timetable for the project agreed at the

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Activity No Activity & Steps Description

start of the project.

4.A.[Link].2 Monitoring of progress On the basis of the monthly progress reporting, the
progress on the project is monitored in order to identify
problematic activities which are on the critical path and
will result in delays
4.A.[Link].3 Corrective action Corrective action is identified and implemented to
ensure that the project remains on programme

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3 ALLOCATION OF PROJECT RESPONSIBILITIES

3.1 INTRODUCTION
The project delivery component of public sector delivery management requires that a series of
management processes (Work Packages) consisting out of defined tasks be performed. On the other
hand, the regulatory framework for public procurement in South Africa is based on the premise that:

Public Finance Management Act

The head of a department in a national and provincial department or constitutional department (accounting
officer); the board or other governing body, or where there is no board or governing body, the chief
executive officer or any person designated as such in terms of specific legislation, in public entities
(accounting authority); and the chief executive officer, or governing board or body if there is no chief
executive officer, (accounting authority) is responsible for ensuring that the department / trading entity /
constitutional department / public entity has and maintains:

An appropriate procurement and provisioning system which is fair, equitable, transparent, competitive
and cost effective

Effective, efficient and transparent systems of financial and risk management and internal control

A system for properly evaluating all major capital projects prior to a final decision on the project

Local Government: Municipal Finance Management Act

The accounting officer (the municipal manager of the municipality or the chief executive officer of a
municipal entity) is responsible for implementing the supply chain management policy of the municipality
or municipal entity and to take all reasonable steps to ensure that proper mechanisms and separation of
duties in the supply chain management system are in place to minimise the likelihood of fraud, corruption,
favouritism and unfair irregular practices.

The accounting officer is also required to:

Take .all reasonable steps to ensure that a contract or agreement procured through the supply chain
management policy of the municipality or municipal entity is properly enforced

Monitor on a monthly basis the performance of the contractor under the contract or agreement

Establish capacity in the administration of the municipality or municipal entity to assist the accounting
officer in carrying out his duties and to oversee the day-to-day management of the contract or
agreement

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Regularly report to the council of the municipality or the board of director of the entity, as may be
appropriate, on the management of the contract or agreement and the performance of the contractor

No councillor of any municipality may be a member of a municipal bid committee or any other committee
evaluating or approving tenders, quotations, contracts or other bids, nor attend any such meeting as an
observer.

Module 5 (Construction Procurement) of the Toolkit provides comprehensive guidance on the

establishment of a procurement system that is fair, equitable, transparent, competitive and cost effective.
The recommended Milestones incorporated in Table 1.1 serves as management control points to facilitate
compliance with the abovementioned requirements for systems of financial and risk management and
internal controls as well as the requirement for the proper evaluation of major capital works, as indicated in
subsection 3.4 (Institutional Controls).

3.2 TASKS TO BE PERFORMED

In addition to the activities (processes and tasks) listed in Tables 1.1 the following administrative tasks will
have to be attended to as well:

Project administration may entail some or all of the following:

Arranging, attending and keeping minutes of meetings

Preparing contract documents for signing and safekeeping

Establishing whether all insurances, guarantees, etc. have been effected

Arranging for the handing over of the site and pointing out of pegs, beacons and datum levels to
the contractor

Selecting subcontractors in terms of the construction contract

Receiving and attending to notices served in terms of the construction contract

Issuing instructions, payment certificates, financial statements and certificates of completion

prepared by others and notifying those concerned about the status of their involvement

Deciding on any extension of the construction period and penalties

Determining disagreements between the professional team and the contractor

Project management may entail some or all of the following:

Preparing an outline brief

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Identifying the need for professional inputs

Negotiating and agreeing conditions of engagement with professional service providers

Ensuring that statutory consents are obtained

Preparing programmes for all pre-contract and contract activities and monitoring progress and
adjusting the programme as necessary

Establishing types of meetings, attendance, chairpersonship and issuing of agendas and minutes

Arranging lists of tenderers, the tender opening and credit checks, co-ordinating reports on
tenders and making recommendations

Establishing a framework for monitoring progress, maintaining financial management and

regularly reporting

Co-ordinating inspections and handovers, ensuring that commissioning of the building and
services is properly undertaken and obtaining test certificates, as-built drawings, maintenance
manuals and guarantees

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3.3 RESOURCE ALLOCATION
The starting point in the allocation of resources is to identify the responsibilities of the employer and the
contractor. Table 3.1 outlines the responsibilities for the core activities in each of the contracting methods
that are commonly used.

Table 3.1: Responsibilities for the core activities in each of the different contracting
methods
Core Activity Design by Design & Develop & Management
Employer build construct contract/
Construction
management
Project initiation
Initiate design Employer Employer Employer Employer
process
Develop Contractor
Project implementation

conceptual
design
Finalise and Contractor
document
design
Perform and Contractor Management
complete the contractor
works and Trades
Commission Contractors
and hand over
works
Project completion

In the “design by employer” contracting method, the employer is responsible for undertaking all the
activities outlined in Table 1.1, while the contractor is responsible solely for the construction of the works
and the design of the temporary works. In addition, the employer is responsible for project administration
and project management aspects of the project.

The employer will require professional inputs to perform many of the activities. Should in-house resources
not be available, it may be necessary to outsource the work to an agent, either through the transferring of
responsibilities to other departments or the procurement of professional service providers in accordance
with the provisions of Module 5 (Procurement) of the Toolkit. It must be stressed, however, that there must
be in-house capacity to manage these outsourcing arrangements.

The project administration and project management functions can be outsourced using a scope of work
along the lines of that provided in Annexure 4S01.

Capacity constraints can be overcome through the appointment of professional service providers to
provide principal agent services (see Annexure 4S02) or project monitoring services, to coordinate the
design, to supervise construction and to monitor the financial aspects of the project on behalf of the
employer (see Annexure 4S001).

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The Public Finance Management Act requires an accounting officer to settle contractual obligations and
pay all monies owing within the prescribed or agreed period. Accordingly, sufficient resources must be put
in place to timeously verify payment claims and physically make payment.

3.4 INSTITUTIONAL CONTROLS

The accounting officer/authority of the department is ultimately responsible for achieving the project
objectives, through the implementation of the project as set out in subsection 2.1. The accounting
officer/authority must for practical reasons delegate certain responsibilities to officials within the
department.

Table 3.2 lists the control points where approvals are to be obtained in the procurement procedures
established in Module 5 (Construction Procurement) of the Toolkit and in project delivery procedures
established in Table 1.1. Accounting officers must delegate authority to officials to give these approvals.

The control points in the project delivery process which are not linked to procurement control points relate
to the management of the risk of the project continuing outside the agreed parameters for the project
captured in the project scope. This process reduces the risk of cost overruns, fruitless expenditure being
incurred, works being completed which don’t satisfy end user requirements etc. The procedure also allows
value for money to be confirmed at an early stage in the project delivery cycle.

The two parties to the contract are the contractor and the employer. Some forms of contract make
provision for an employer’s representative to perform some of the administrative functions allocated to the
employer. Others allocate most of the employer’s obligations to the employer.

Table 3.2:Summary of the Management control points incorporated in the project delivery
model
Order of Control points in procurement Control points in project delivery
execution

#* Activity # Activity
1 Obtain approval of project scope
2 1.3 Obtain permission to start with the Obtain approval of project feasibility
procurement process report
3 2.5 Obtain approval for the Obtain approval for the procurement
procurement methods that are methods that are adopted
adopted
4 Obtain approval of revised project
scope
5 Obtain approval for conceptual design
6 Obtain approval of detailed designs
and documentation
7 3.2 Obtain approval for procurement
documents (Follows control points for

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 Order of Control points in procurement Control points in project delivery
execution

#* Activity # Activity
8 3.3 Confirm that budgets are in place procurement)

9 3.8 Confirm shortlist

10 4.13 Confirm recommendation in tender
evaluation report.
11 5.3 Formally accept tender offer
12 6.3 Capture contract completion /
termination data

* Numbers assigned in reference tables

Professional service providers can act as the employer’s agent or representative in terms of the contract
with delegated powers. The delegations made to such service providers needs to be carefully considered,
as reversals at a later stage of decisions made by such agents may lead to costs being incurred by the
department in terms of the contract. For this reason, it is important that the extent of the powers of these
agents be comprehensively defined in the scope of work associated with their contracts and, where
relevant in the contract data associated with a particular form of contract.

The level of construction monitoring required needs to be carefully considered. The higher the, level of
construction monitoring provided (see Annexure 4S05), the lower the risk of works being constructed that
do not satisfy requirements or design intent. Conversely, the higher the level of construction monitoring,
the higher the project cost. A balance needs to be struck between the management of risk and the cost to
the project. The level of construction monitoring will depend on the nature of the works and the skills of the
contractor undertaking such work.

Note: The contractor is responsible for completing the works as defined in the contract in accordance
with the plans and specifications. Construction monitoring provides an independent verification, to the
level required by the employer, that the works are being completed in accordance with the requirements of
the contract, that the designs are being correctly interpreted and that appropriate construction techniques
are being utilised. Construction monitoring creates no contractual relationship between the professional
and the contractor.

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4 PROJECT INITIATION PHASE

4.1 DESCRIPTION
The Project Initiation Phase covers the activities pertaining to the initiation of the project through to the
formulation of the project scope, the conducting of feasibility studies, preparation of a project execution
plan and the determination of the most appropriate procurement method. This process culminates in an
approved project scope, confirmation that the project is feasible, approval of the project execution plan
and confirmation of the procurement method that is to be adopted.

4.2 MANAGEMENT PROCESSES IN THE PROJECT INITIATION PHASE

The management processes within the Project Initiation Phase of the project delivery cycle relate to the
work that is performed prior to the conclusion of the contract with the selected contractor, viz:

Process 1.1: Establish project scope

Process 1.2: Confirm project feasibility

Process 1.3 Prepare Project Execution Plan

Process 1.4: Decide on procurement method

4.2.1 OVERVIEW OF PROCESSES

Process 1.1: Establish project scope

The project scope should be developed in terms of the approval given in terms of the programme plan or
budget votes, and should be based on factors such as:

Project budget

Conditions of approval

Type and extent of project

Performance specifications

Contracting methods

Available resources and capacity to manage the engineering and construction works contract

Project outcomes

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The project scope may apply to a single contract or a series of contracts. A broad scope of work, as
apposed to the project scope, should be developed in respect of each engineering and construction
contract that is envisaged. The broad scope of work should include:

A brief description of the objective for the delivered end product or the project

A short description of the works, its purpose etc

A brief outline of the extent of the scope of works

The place where the works are to be provided

The project manager must obtain approval of the project scope before committing resources to conduct
the necessary feasibility studies. In some instances, approval can only be obtained after the feasibility
studies have been completed.

It should be noted that at this point in the process, the project scope is a draft since the inputs from the
professional team, and the feasibility reports that are performed later may refine and consolidate the
project requirements, characteristics and outputs.

Process 1.2: Confirm project feasibility

A feasibility study must be undertaken to confirm the feasibility of satisfying the project scope from a
technical, social and economic perspective. Feasibility studies should demonstrate the technical, social
and economic viability of the proposed project. They should identify the items which can impact negatively
on project cost, time and quality. In some cases, it may be necessary to conduct studies to quantify the
risks associated with the project, e.g. environmental impact, geotechnical conditions, potential land
encumbrances etc, as this may affect the cost and timing for the project, or cause the project not to
proceed. – see template 4T12 and 03

If there are inadequate resources to carry out the feasibility study then external resources need to be
procured to do the feasibility study. Such external professional service providers should be procured in
terms of the provisions of Module 5 of the Toolkit.

When drafted, the project manager should obtain approval of the feasibility study report.

Process 1.3 Prepare Project Execution Plan

The Project Execution Plan (also known as a project business plan or implementation plan or work plan) is
in a similar format to the Infrastructure Programme Implementation Plan and sets down the
comprehensive planning framework for the project including the project scope, targets, budgets,
procurement method, departmental and contracting arrangements, quality management, risk
management, communications, project controls etc. A checklist for contents of the Project Execution Plan
is provided in Module 4 as template 4T16.

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Process 1.4: Develop procurement methods

A procurement method is the contracting, pricing and targeting method and procurement procedure that is
selected for a particular contract.

This module is, however, based on the most frequently used contracting method, namely the “design by
employer” contracting method i.e. a method whereby the contractor undertakes only construction on the
basis of full designs and specifications issued by the employer. This contracting method requires that the
design and specifications be adequately developed before tenders are invited. This option enables the
design to meet the employer’s requirements closely and the contract, when awarded can proceed without
major change, delay or disruption. If, however, the contractor’s works are delayed by default of the
design team, the contractor may claim against the employer for additional costs and/or time to complete
the contract.

This choice of contracting method limits the options for pricing to the following:

Activity schedules whereby the contractor undertakes to break the scope of work down into activities
and price each activity as a lump sum, which is paid on completion of the activity (the total of activities
prices being the lump sum price for the contract work); or

Bill of quantity whereby the contractor is paid an amount for the item of work in the bill which is the
rate for the work multiplied by the quantity completed

Alternate pricing methods such as cost reimbursable or target cost do not lend themselves to this
traditional form of contracting method, since the employer’s requirements are clearly indicated in the
detailed design that is provided to the contractor.

The choice of procurement procedure would typically be confined to the following:

Open procedure whereby tenderers may submit tender offers in response to an advertisement to do
so

Qualified procedure whereby a call for expressions of interest is advertised and thereafter only those
tenderers who have expressed interest, satisfy objective criteria and who are selected to submit
tender offers, are invited to do so

Targeting methods can be varied, depending on the social or economic objectives that a department
wishes to achieve.

The adoption of the “design by employer” contracting method requires that the employer assume
responsibility for the design of the permanent works. The resources necessary to undertake designs
associated with the project scope needs to be carefully considered. Where there are inadequate internal

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resources to perform this work, either in terms of capacity or capabilities, professional services will have to
be procured in terms of Module 5 (Construction Procurement) of the Toolkit. (See sub-section 2.3)

The selected procurement methods should be documented together with a motivation for such a decision.
When drafted, the project manager should obtain approval of the selected procurement methods. The
approved contracting methods should form part of the brief to the professional team. It is important to
identify the applicable preferencing arrangements at this stage as it can have an impact on the design of
the project.

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5 PROJECT DESIGN PHASE

5.1 DESCRIPTION
The Project Design Phase builds upon the outcomes of the Project Initiation process, namely, an
approved project scope, confirmed project feasibility, project execution plan and an approved procurement
method appropriate to the nature of the project. As such, it commences with the outputs of the Project
Initiation process being consolidated into a project briefing which is used to brief the professional team
and serve as a basis for achieving the project’s objectives, and ends when the works are capable of being
operated and are free of identified defects.

In order to progress between the beginning and end point of this process, it is necessary to prepare
conceptual and detailed designs, solicit tender offers, conclude contracts and administer contracts.

5.2 MANAGEMENT PROCESSES IN THE PROJECT DESIGN PHASE

The major activities within the Project Design and Construction process of the project delivery cycle relate
to the work that is performed in preparing the designs for the works and the construction of the designed
works by a contractor, viz:

Process 2.1: Design works (i.e. prepare the employer’s design)

Process 2.2: Undertake renovation / construction /maintenance / refurbishment/ demolition

Process 2.3: Commission / handover works

5.2.1 OVERVIEW OF ACTIVITIES

Annexures 4S03 to 4S05 contains a sample generic scope of works for professional services. This
annexure establishes the typical tasks which professionals are required to undertake during the project
implementation stage where the “design by employer” contracting method is adopted. These annexures
cover the following commonly encountered services:

Architectural services

Quantity surveying services

Engineering services

The architectural, quantity surveying and engineering services are broken down into stages. These stages
typically relate to milestones which are commonly linked to payments for services rendered. Although
these annexures have been drafted to appoint professional service providers (consultants), the activities
contained therein nevertheless have to be performed.

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Progress should be reported on and monitored throughout the Project Implementation process, in order to
review progress and to identify any blockages that might cause a delay in the project timeframes. In this
way, action can be taken to address any problems that may occur as soon as they become apparent.

Where relevant, the project tracking schedule must be updated to reflect the approvals granted during this
stage of the project delivery cycle.

The typical activities which professionals are required to perform during the “Initiate Design Process”
activity are set out in Table 5.1

Table 5.1: Professional Team Tasks commonly associated with the “Initiate Design
Process” activity

Service Stage (see Actions

Annexures 4S003
to 4S005)
Architectural Stage 1: Appraisal Receive, appraise and report on the Employer’s
and definition of the requirements with particular regard to site information,
project planning and statutory regulations and budget.
Advise the Employer on procedures to meet his
requirements, the need for the appointment of consultants,
methods of contracting and programme for the project
Quantity surveying - -
Engineering Stage 1: Report The preparation and submission of a report embodying
stage preliminary proposals or feasibility studies and estimates of
cost and time, where appropriate, for consideration by the
Employer, including all or any of the following :-
• Consultation with the Employer or his authorised
representative.
• Inspection of the site of the Project.
• Preliminary investigation, route location, planning and
design, where any of these are required for determination
of feasibility by the Employer.
• Consultation with authorities having rights or powers of
sanction.
• Advice to the Employer as to the need for surveys,
analyses, tests and site or other investigations where
such are required for the completion of the report and
arranging for these to be carried out at the Employer's
expense.
• Investigation and collation of available data, drawings and
plans relating to the Project.
• Investigation of financial implications relating to the
proposals or feasibility studies.

In community projects, it is common practice to establish project steering committees so that the local
community can be involved in the project at all times and provide input to the planning and implementation
processes. The project steering committee’s mandate must be developed if these are not adequately
specified within either the programme business plan or the project scope. (See Annexure 4T01) It is

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advisable that the department approve such mandates before they are transmitted to the project steering
committee.

The project steering committee should be capacitated to ensure that all members understand their role
and responsibility in terms of their mandate. (See Annexure 4T02)

The typical activities which professionals are required to perform during the “Develop Conceptual Design”
activity are set out in Table 5.2.

Table 5.2:Professional Team tasks commonly associated with the “Develop Conceptual
Design” activity

Service Stage (see Actions

Annexures 4S003
to 4S005)
Architectural Stage 2: Conceptual Advised by any consultants appointed, prepare a design
design concept in broad outline showing intended space
provisions, planning relationships and materials and
services intended to be used
Advise the Employer on the technical and functional
characteristics of the Project as proposed, the estimated
costs in relation to the budget and the anticipated Project
programme
Quantity surveying Stage 1: Estimating Receiving instruction from the Employer and advising on
and cost advice various courses of action and procedures to suit the
particular requirements of the Project.
Providing financial design criteria advice.
Preparing preliminary estimates of construction cost.
Engineering Stage 2: Preliminary Following the Employer's instructions to proceed, the
design development of preliminary proposals or the basic
planning of the Project, comprising all or any of the
following:
• Submission of a basic planning report if required by the
Employer.
• Establishment of final design criteria.
• Advice to the Employer as to the need for any further
surveys, analyses, tests and site or other investigations
which may be required and arranging for these to be
carried out at the Employer's expense.
• Advice to the Employer, as may be necessary, on the
appointment and delineation of the services of other
professionals and specialist advisors.
• Design of any process or system or refinement of the
preliminary process design, where such process design
is a prerequisite for the design of the Project.
• Preparation of any preliminary plans, drawings and
estimates required for seeking the approval of statutory
authorities.
• Consultation on technical matters with authorities and
interested parties other than those having rights or
powers of sanction and making modifications to the

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Service Stage (see Actions
Annexures 4S003
to 4S005)
preliminary design of the Project arising out of such
consultations.
• Submission of updated and revised estimates of cost,
time and financial implications previously reported on.

The typical activities which professionals are required to perform during the “Develop Design” activity are
set out in Table 5.3.

Table 5.3: Professional Team Tasks commonly associated with the “Finalise and
Document Design” activity

Service Stage (see Actions

Annexure 4S03 to
4S05)
Architectural Stage 3: Design Develop the design concept in sufficient detail to define
development the construction of the building; spatially co-ordinate the
work designed by consultants and specialists and review
the design with the relevant authorities.
Quantity surveying Stage 1: Estimating Preparing comprehensive estimates of construction cost
and cost advice and providing such other cost advice as may be
reasonably required prior to the commencement of Stage
2.
Engineering Stage 3: Design and • Advice to the Employer as to the necessity for further
tender stage surveys, special visits, use of specialist professionals,
setting out or staking out the works, etc,
• Preparation of designs, tender drawings, specifications
and engineering schedules of quantities.
• Provision of information necessary for the design of
other services.
• Submission of updated and revised estimates of cost,
time and financial implications previously reported on.

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6 PROJECT PROCUREMENT PHASE
Once the detail design has been approved, tender documentation needs to be prepared for the soliciting
of tender offers so that a contract can be concluded with a building contractor for the construction of the
required infrastructure.

6.1 MANAGEMENT PROCESSES IN THE PROJECT PROCUREMENT PHASE

Module 5: Construction Procurement provides comprehensive guidance on the procurement of
engineering and construction works. The principal processes associated with procurement are:

Process 1: Establish what is to be procured

Process 2: Decide on procurement methods

Process 3: Solicit tender offers

Process 4: Evaluate tender offers

Process 5: Award contract

Process 6: Administer contract and confirm compliance with requirements

Processes 1 and 2 will have been completed at this point in the project delivery cycle (See Table 1.1).
Activity 6 is expounded upon below.

6.1.1 OVERVIEW OF ACTIVITIES

Table 6.1 describes the activities which are required to appoint a contractor.

Table 6.1: Activities which need to be undertaken to appoint a contractor

Activity Activity Principal actions
no
3 Solicit tender offers Solicit tender offers in terms of a set of procedures.
3.1 Prepare procurement Prepare pre-qualification and / or tender documents,
documents as appropriate, that are compatible with the
approved procurement methods.
3.2 Obtain approval for procurement Nominated official(s) review the procurement
documents document, identify sections, if any, that require
amendments or improvements, and grant the
necessary approval.
3.3 Confirm that budgets are in Nominated official(s) make sure that finance is
place available for the procurement to take place.

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Activity Activity Principal actions
no
3.4 Invite contractors to submit Advertise for tenders / identify contractor(s) that are
tender offers or expressions of to be invited to submit tender offers in accordance
interest with the approved procurement procedure, issue
procurement documents, respond to requests for
clarification, conduct clarification / site meetings,
issue attendees with minutes of such meetings, and
issue addenda, as relevant.
3.5 Receive tender offers or Ensure that arrangements are in place to receive
expressions of interest tender offers / expressions of interest and return
unopened those that are received late, are delivered
not in accordance with instructions given to
tenderers or where only one tender is received and it
is decided to call for fresh tenders.
3.6 Evaluate expressions of Open expressions of interest, record data relating to
interests the submission and evaluate in accordance with
undertakings made to tenderers.
3.7 Prepare evaluation report on Prepare evaluation report and make
short listing process recommendations in respect of actions to be taken,
depending upon the procurement procedure that is
adopted.
3.8 Confirm shortlist Nominated official(s) review evaluation report and
ratify recommendations.
3.9 Invite tender offers from shortlist Invite tender offers from short list, respond to
requests for clarifications by tenderers, conduct
clarification / site meetings, issue all attendees with
the minutes of such meetings, and issue addenda to
amend or amplify the procurement documents, as
relevant.
4 Evaluate tender offers Evaluate tender offers in terms of undertakings and
parameters established in procurement documents.
4.1 Open and record tender offers Open tender offers, either in public or in the
received presence of not less than two officials, and record
pertinent details, authenticate all pages of returnable
documents, and notify interested parties of pertinent
details if requested to do so.
4.2 Determine whether or not Examine tenders and determine whether or not they
tenders offers are complete are complete, request tenderers to complete items
that are required only for tender evaluation purposes
and record what is incomplete in each tender
submission.
4.3 Determine whether or not tender Confirm compliance with all the requirements of the
offers are responsive procurement documents, including eligibility criteria.
If not, declare tender offers non-responsive and
record reasons for declaring a tender to be non-
responsive and disregard such tender offers from
further consideration.

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Activity Activity Principal actions
no
4.4 Evaluate tender submissions Review financial offer and correct discrepancies
between totals and calculations / summations,
identify parameters included in the tender
submission that have a bearing on the financial offer
and reduce all tender offers to a common base.
Judge the reasonableness of financial offers and
reject all tender offers with unrealistic financial offers.
Evaluate tender submissions in accordance with the
tender evaluation method adopted for the
procurement.
4.5 Perform a risk analysis Perform a risk analysis on the tenderer having the
highest ranking / number of points and, if found to be
unsatisfactory, undertake an analysis on the next
highest ranked tenderer and so on until such time as
a tenderer satisfies the risk assessment, and
recommend this tenderer for the award of the
contract.
4.6 Prepare a tender evaluation Prepare a tender evaluation report which as a
report minimum contains the tender evaluation points
awarded to each tenderer, the reasons for
eliminating a tender offer and a recommendation for
the award of the contract.
4.7 Confirm recommendation Nominated official(s) to review report and ratify
contained in the tender recommendations.
evaluation report.
5 Award contract Enter into contract with the successful tenderer.
5.1 Notify successful tenderer and Notify in writing the successful tenderer and
unsuccessful tenderers of unsuccessful tenderers
outcome
5.2 Compile contract document Assemble contract document from the relevant
tender returnables and draft contract issued to
tenderers, capturing all the changes that were
agreed to between the offer and acceptance.
5.3 Formally accept tender offer Confirm that the tenderer has provided a valid,
original tax clearance certificate issued by the South
African Revenue Services, formally accept the
tender offer in writing and issue contractor with a
signed copy of the contract.
5.4 Capture contract award data Capture, in a data base, essential contract data for
record purposes.

The typical activities which professionals are required to perform during the “Develop Tender
Documentation” activity are set out in Table 6.2.

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Table 6.2:Professional Team Tasks commonly associated with the "Appoint Contractor"
activity

Service Stage (see Actions

Annexures 4S03 to
4S05)
Architectural Stage 4: Technical Prepare construction documentation and co-ordinate the
documentation documentation with the work designed by consultants and
specialists.
Obtain approval from the relevant authorities.
Review the estimated cost of the Works in relation to the
budget.
Prepare and compile documents to solicit tender offers for
the execution of the Works.
Quantity surveying Stage 2: Compilation of documentation, and management of the
Documentation and procurement processes, including:
procurement • Preparing documents for procurement of construction
contracts.
• Soliciting tender offers.
• Financially evaluating and reporting on tender offers,
including financial comparisons with budget.
• Examining and verifying priced documents including
preparing same for incorporation into the signed contract.
Engineering Stage 3: Design and Prepare all documents necessary to enable tender offers
tender for the Works to be called for or for the Works to be
otherwise placed by the Employer, including all or any of
the following:
• Drafting or adapting invitations to tender, tender
conditions, forms of tender and conditions of contract and
calling for tender offers when instructed to do so by the
Employer.
• Analyses of tender submissions and drafting of
recommendations on the acceptance of tender offers and,
if necessary, revising the estimates of the cost and the
completion date of the Works.
Stage 5: Place orders for the Works on behalf of the Employer.
Construction stage Advise the Employer as to the preparation of the contract
documents
Advise the Employer on the alternative designs and tender
offers, but excluding detailed inspection, reviewing and
checking of alternative designs and drawings submitted by
any contractor, or potential contractor.

The professional team is responsible for preparing the procurement documentation, which includes:

Working drawings

Technical specifications

Management specifications

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Scope of works

Other documents which relate to the tender process and the formation of a contract.

This documentation should be prepared in accordance with the provisions of Module 5 of the Toolkit.

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7 PROJECT CONSTRUCTION PHASE
Once a contract have been concluded with a building contractor for the construction of the required
infrastructure, the site should be handed over to the contractor to perform the scope of work as described
in the contract

7.1 MANAGEMENT PROCESSES IN THE PROJECT CONSTRUCTION PHASE

The processes associated with the construction phase are:

Process 1: Perform and complete the works

7.1.1 OVERVIEW OF PROCESSES

Perform and complete the works

The steps associated with the activity, “Perform and Complete the Works”, flow out of the contract
between the employer and contactor. There are two component documents within contracts compiled in
accordance with the provision of Module 5 (Construction Procurement) of the Toolkit, viz:

Contract data

Scope of work

These two component documents are defined in SANS 10403 (Formatting and compilation of
procurement documents) as follows:

Contract data: document that states the applicable conditions of contract and associated
contract-specific data that collectively describe the risks, liabilities and obligations of the contracting
parties and the procedures for the administration of the contract

Scope of work: the specification and description of the supplies, services, or engineering and
construction works which are to be provided and any other requirements and constraints relating to
the manner in which the contract work is to be performed

Accordingly, the action associated with this activity is to:

Perform the works in accordance with the requirements of the contract i.e. provide and manage the
works in accordance with stated requirements and act in terms of the agreed administrative
procedures

Bring the works to a state of readiness for occupation of the whole of the works, although some minor
work may be outstanding

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The two parties to the contract are the contractor and the employer. Some forms of contract make
provision for an employer’s representative to perform some of the administrative functions allocated to
the employer. Others allocate most of the employer’s obligations to the employer

Irrespective of the specific details, the contractor is responsible for completing the works as defined in the
contract in accordance with the drawings and specifications. Professionals are usually appointed to act as
the employer’s representative of agent with the defined administrative duties. In addition, professionals
may, as part of the employer’s risk management process, provide an independent verification, to the level
required by the employer, that the works are being completed in accordance with the requirements of the
contract, that the designs are being correctly interpreted and that appropriate construction techniques are
being utilised.

The contractor is typically responsible for activities such as:

Provide construction camps, offices, storage facilities and workshops facilities for the due and proper
fulfilment of the contract and those facilities for use by the employer and his agents

Provide temporary and permanent works

Provide plant, equipment, labour and materials

Protection of existing services

Testing and correction of defects

Quality control

Implement quality assurance programmes

Prepare interim progress reports and payment claims

Employ, where applicable, community labour in terms of the community resource plan approved by
the project steering committee

Maintain daily records

Health and safety measures

Professionals acting for the employer are typically responsible for activities such as:

Hand over site to the contractor (See Annexure 4T03)

Approve contractor's work programme, procedures and methods

Oversee liaison with controlling authorities

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Evaluate variations to the contract

Issue written instructions to change the scope of the contract

Obtain approval for changes in time and cost

Administer interim payment claims, including the certification thereof (see Annexure 4T06)

Implement controls to confirm compliance with requirements

Monitor progress through site meetings (see Annexure 4T04), site visits and interim reports and
payment claims prepared by contractor (See Annexure 4T06)

Ensure that design intent is achieved during construction

Monitoring that specific goals relating to preferences are monitored (are Annexure 4T05) or
requirements in poverty relief programmes for the employment of labour

Undertake completion inspection

Issue certificate of practical completion and final completion (See Annexures 4T07 and 4T08)

Variations to the contract which can impact on time for completion and the final cost of the contract
include:

Changing requirements by the employer

Design changes made by the professional team

Unforeseen events that impact on the project

Unforeseen conditions that affect the works or the method of executing the works

Weather

Table4.7: Professional Team Tasks commonly associated with the “Perform and
Complete the Works” activities
Service Stage (see Actions
Annexure 4S03 and
4S05)
Architectural Stage 5: Contract Obtain tender offers for the execution of the Works and
Administration and advise the Employer regarding the award of the building
Inspection contract.
Prepare contract documentation and arrange for the
signing thereof.
Administer and perform the duties assigned to the

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Service Stage (see Actions
Annexure 4S03 and
4S05)
architect in the building contract.
Quantity surveying Stage 3: Contract Administration of the contracts on behalf of the Employer,
administration including:
• Preparing the procurement documentation for
subcontracts where such procurement documentation
has not been dealt with in Stage 2.
• Examining and reporting on tender offers for
subcontracts, including financial comparisons with
budget.
• Preparing schedules of predicted cash flows.
• Attending progress meetings on site at reasonable
intervals to suit the nature and size of the Project in
order to ensure acquaintance with contractual matters
and matters affecting costs.
• Attending other meetings at reasonable intervals to suit
the nature and size of the Project including presenting
financial management reports apprising the Employer of
the financial implications of the Project.
• Preparing valuations for the issue of payment
certificates including calculating, evaluating or verifying
fluctuations in cost applicable to the contract.
• Preparing cost estimates for proposed variations for
Employer decision-making.
• Maintaining a running financial management statement
and monitoring against the financial budget.
• Proceeding with preparing the final account.
• Adjudicating and resolving the financial and contractual
aspects of claims between the Employer and the
contractor, excluding services related to mediation,
arbitration and litigation.
Engineering Stage 4: Working Prepare of any further plans, designs and drawings,
drawings excluding shop details, which may be necessary for the
execution of the Works, including bending schedules in
the case of reinforced concrete work.
Stage 5:Construction Undertake general administration and co-ordination of the
Stage execution of the Works in accordance with the contract,
including all or any of the following:
• Checking contractor's drawings of structures, plant,
equipment and systems for the Works for conformity
with design requirements, but excluding detailed
checking of manufacture and installation details for
erection or installation fit.
• Issuing instructions to contractors on behalf of the
Employer.
• Generally monitoring the execution of the Works for
compliance with the contract and attending site
meetings on a combined average frequency of half a
day every two weeks or at such other intervals as the
professional may deem necessary.
• Directing monitoring operations

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Service Stage (see Actions
Annexure 4S03 and
4S05)
• Issuing certificates for payment of contractors and
submitting regular reports regarding project finances
and expected completion date(s).
• Deciding on disputes or differences that may arise
between the Employer and Contractor, excepting
mediation, arbitration and litigation.
• Issuing Variation Orders on behalf of the Employer.
• Advice to the Employer regarding the inspection and
testing of such materials and plant as are usually
inspected and tested and arranging for such inspection
and testing to be carried out on behalf of and at the
Employer's expense.
• Making arrangements on behalf of the Employer for the
provision and reproduction of such drawings and
documents as may be required by the contractors and
site staff for the execution of the Works.
• Checking contractors' commissioning procedures and
witnessing performance or acceptance tests on site but
excluding day-to-day routine tests.

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8 PROJECT COMMISSIONING PHASE
The Project Commissioning phase is an essential and yet very often neglected part of the project lifespan.
Project Commissioning includes the preparation of the Operation and Maintenance guidelines and
capacitating of the department responsible for the ongoing O & M in the guidelines, preparation and
archiving of as built design drawings and reports. These are essential activities and their worth only
becomes apparent in the future, if the project is modified, at which time the benefits of having proper as
built details and design reports will be realised.

8.1 MANAGEMENT PROCESSES IN THE PROJECT COMMISSIONING PHASE

The processes associated with the commissioning phase are:

Process 1: Commissioning

8.1.1 OVERVIEW OF PROCESSES

Commissioning

Commissioning is only relevant on projects where the works entail mechanical, electrical or processes to
be a part of the final built asset. (Examples of where commissioning will form part of the construction and
handover programme are pipelines, reservoirs, process plants, assembly lines, etc) On completion of a
section of the works, the contractor often prepares for the immediate occupation and use by the employer.
This will entail the completion of the works to a state that will allow the employer to make use of a part or
all of the works.

Where the Employer will not gain advantage from the use of the works until all is complete, the contractor
may commission the works in parts, or wait for the entire project to be completed before starting the
commissioning process.

Commissioning entails the testing of the works under the normal (and sometimes above normal) working
load that it will have to deal with under normal operations. The commissioning process ensures that there
are no problems with the functioning of the works under normal or above normal loads.

Commissioning is frequently the only aspect of a project which does not receive the degree of attention
commensurate with its importance. Commissioning is a site administration function, which if neglected or
overlooked can result in major delays to the completion of projects. The establishment of a commissioning
procedure is not complicated. A systematic approach is, however, fundamental to successful
commissioning.

The commissioning of boiler plants is regulated by statutory requirements. The quality of workmanship can
be controlled relatively easily whilst the unit is being manufactured in a factory. However, when the unit
arrives on site, the maintenance of high standards becomes more difficult and can only be ensured by
strict adherence to properly planned procedures. In view of the exhaustive and time consuming

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procedures required before certificates of acceptance can be issued, it is in the employer’s interest to
retain skilled operatives to ensure that installation is properly carried out.

Sophisticated electronic systems are often the cause of delayed commissioning. Because their testing
requires all other systems to be either fully functional or simulated, they are invariably the last item to be
completed, tested and commissioned. In order to minimise the risk of the overall commissioning being
delayed by the commissioning of an electronic control system, the contractor and the employer should
ensure that testing of electronic installations is commenced as soon as is feasible, even if much of this
work is carried out off-site.

Off-site testing of software is often frequently undertaken using manually operated simulators. This
enables the supplier of the software to test the system in a controlled dust-free environment. The control
system is then installed on site towards the end of the commissioning process, when the installation of all
other items has been fully tested and should merely require interfacing with the computers to complete the
process.

Integrated commissioning along the following lines is recommended:

Pre-commissioning checklist

Identify all commissionable systems

Establish the commissioning hierarchy, i.e. the priorities and the inter-relationships between systems

Compile commissioning documentation, making reference to statutory requirements where applicable

Plan the commissioning and ensure adequate time allocation

Commissioning checklist

Ensure that construction is complete and that snag lists have been dealt with

Ensure that all commissionable systems are operational, e.g., that pipelines have been cleaned and
infrastructure services connected

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9 PROJECT CLOSING PHASE
Project Completion process refers to the work that is done to finalise the project after the hand over of the
contract to the end user. This is an extremely important process of the project delivery cycle, since all
record information is finalised, collated and carefully archived for future reference. From the contractor’s
perspective, the finalisation and agreement of the final accounts is crucial to bringing about closure on the
contract.

Very often these Project Completion activities are performed simultaneously, as they can be performed
independently. In addition, the responsibilities are split between the employer, the employer’s
representative and the contractor, so resources are available to finalise these issues.

9.1 MANAGEMENT PROCESSES IN THE PROJECT CLOSING PHASE

The processes associated with the closing phase are:

Process 1: Complete contract

Process 2: Archive documentation

Process 3: Compile completion report

9.1.1 OVERVIEW OF PROCESSES

The typical activities which professionals are required to perform during the Project Completion process
are set out in Table 9.1.

Once the completion (practical) certificate has been issued, the defects liability period commences. It is
customary in most contracts, upon issue of the completion certificate, to release the performance bonds
(i.e. a bond guaranteeing completion of the contract) and in some to reduce the amount of the retention
monies (monies intended to cover the cost of making good defects in construction). Defects during this
period must be made good by the contractor and provided there is compliance, the retention money is
released and paid to the contractor at the end of the defects liability period. Prior to the end of the defects
liability period, the project should be inspected by the employer or his representative who prepares a
defects list itemising all items requiring rectification by the contractor. Once the contractor has rectified the
defects that are listed, a final inspection should be conducted to confirm that all items have been
satisfactorily attended to.

Templates 4T07 and 4T08 contain templates for defects liability completion and handover certificates.

The completion report (see template 4T09) is most often the only record of the events (both positive and
negative) that occurred during the project. This document provides essential information to the employer
when evaluating new projects and identifying the most appropriate methods to follow. It should as a
minimum:

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Contain details of the final accounts and how they relate to the budget

Outline any disputes that are unresolved

Outline all events of significance during the project

Indicate project and contract goals that were achieved goals

Contain suggestions for improvements to projects of a similar nature

Table 9.1:Professional Team Tasks commonly associated with the Project Completion
process

Service Stage (see Actions

Annexure 4S01)
Architectural Stage 5: Contract Provide the Employer with as-built drawings, certificates,
Administration and relevant technical data and guarantees from suppliers on
Inspection completion of the Works.
Quantity surveying Stage 4: Final Determining and agreeing all variations and adjustments for
account incorporation into the final account.
Agreeing and finalising all subcontracts and adjusting
against provisional sums.
Concluding the final account, including fluctuations in costs
(if applicable).
Preparing and presenting the final account to the Employer,
including any necessary reconciliations and explanations
against the financial budget.
Engineering Stage 5:Construction Agreeing final quantities with contractors.
Stage Making arrangements to provide the Employer, on
completion of the Works, with such record drawings and
manuals as may be required for the operation and
maintenance of the Works and preparing such documents
as may be necessary to co-ordinate the drawings and
manuals provided.

The defects liability period commences once the practical completion certificate has been issued and the
project has been handed over by the contractor to the client for use. Within the defects liability period the
contractor is responsible for making good any defects which arise. A problem which often arises during
the defects liability period is what constitutes a defect which the contractor is responsible for and what is a
maintenance issue which is not the contractor’s responsibility. For example a contractor would be
responsible for repairing a leaking tap but not a window broken during usage by the client. Generally the
defects liability period is 3 months for normal building contracts and 12 months for civils contracts.
However, certain contracts may specify longer defects liability periods for certain items e.g. a specialised
roofing system which the contractor may be required to e responsible for an entire rainy season to ensure
that there are no leaks which would only become apparent after a 3 month period.

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10 PROJECT MANAGEMENT
The management of the project revolves around implementing the project execution plan and the main
activities which cross cut all the processes include:

1. Monitoring & Progress Reporting during all stages of delivery;

2. Contract Administration; and

3. Project Control

These activities are described in section 2 within Tables 2.7 to 2.9 and are not repeated here. See alos
supporting guidelines 4S01 and 4S06 to 10.

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