Items of Project Audit

(For Construction Supervision)

Office to be Audited:
Schedule: June 24, 2014
Process
I. Initiating Processes

Yellow-Line Project Office (J3D078)

Facilitating Process
1. Confirmation on the Consulting Contract

Specific Items to be confirmed

(1) Scope of Services of the consulting contract

(2) Responsibilities and authority of the Consultant

2. Confirmation on the Construction
Contract

(1) Scope of Works of the construction contract

(2) Type of Conditions of Contract for construction works

Respuesta de NKLAC
Revision of the Lnea Amarilla (Yellow Line) Engineering Definitive Studies and Works Execution Supervision. See Works Supervision Contract and Scope Management
Plan (P- 09 F- 04)
Revision and Recommendation of the Definitive Engineering Studies. Supervision of Works, Checking Physical and Economic Progress. See Terms of Reference for Project
Works Supervision item VII
Section 1 : Beltway Lane No. 4, Las Palmeras Road Interchange, and connection infrastructure with the San Juan de Lurigancho district. Section 2 : 9 kilometers from
the new road infrastructure that include a 1.8 km tunnel and 13 viaducts.
The Concession Contract takes into account a BOT (Build, Operate, and Transfer) scheme, in which the Consessionaire is in charge of designing and building the works, as
pointed out in Chapter II 2.3 of the Concession Contract; Concession modality is onerous, item 2.7 of Concession Contract Addendum N 01

(3) Contents of the particular conditions of contract, if any

They correspond to those pointed out in Concession Contract, Chapter VI, Works Execution, and Annexes I, VIII, etc.
3. Confirmation on Requirements Prior to (1) Issue of "Engineers Instruction to Commence the Execution of the Works" in
According to Clause 6.18 in the Concession Contract, once the requirements there are met, works can be started.
writing
Commencement of Works
(2) Holding of Kick-off Meeting and its minutes signed

The Concessionaire subscribed a minutes for the field diary to be opened and works to be started.

(3) Written correspondence for handing over of site, electricity, water, etc. to be
Areas were accepted by sections, in compliance with Annex 2 of Concession Contract Addendum N01
provided by the Employer in accordance with the contract
4. Confirmation on Organization to
Implement of the Project

(1) Organization chart of the overall project

(2) Persons in charge of the Employer, Contractor and Consultant

5. Setting-up, Operation and Organization of (1) Training for PM prior to his/her assignment as PM
the Consultant Project Office
(2) Power of Attorney as the Engineer/PM obtained from the Consultant Head
Office/Head Quarter/JV
(3) Organization chart of the Consultant office
(4) Contract agreement for JV of the Consultants
(5) Contact information of the Consultant office to the Employer and Contractor
(6) Guideline/manual for construction supervision
(7) Establishment of filing system
(8) Formats for inspections, management, control, reports, etc.

(1) Establishment of project implementation system of the Employer

(2) Organization chart of the Employer

7. Confirmation on Organization of the

Contractor of for Construction Execution

(1) Power of Attorney as the Project Manager obtained from the Contractor Head
Office
(2) Establishment of construction execution system of the Contractor

II. Planning Processes

1. Contract Administration

3. Drawings Management

In the Project Act of Incorporation (P-19 F-01) / Project Manager Contract

Chart included and updated in each Monthly Supervision Report
JV between Nippon Keoi and NKLAC
Name: Nelson Ariel Moreno Nio (Supervision Head)
e-mail: nelson.moreno@nklac.com
They appear in the Supervision Process Map, in compliance with the Integrated Management System (M-01 F-01)
It corresponds to the organization of the Integrated Management System's files
Forms used are according to SIG, namely, Design Supervision (P-10) and Construction Supervision (P-11)

Metropolitan Lima Municipality Organization Chart - INVERMET Organization Chart

The Concessionaire submits to the Project Manager through the book opening minutes.
It is established in the Manual and the Quality, Security and Safety, Environment, and Health Plan (CSMS)

(4) Procurement of the Subcontractors in accordance with the contract

Not applicable, this is the Contractor's confidential information, it is focused on output control

(5) Procurement ratio of the Subcontractors in accordance with the contract

Not applicable, this is the Contractor's confidential information, it is focused on output control

(6) Organization chart of the Contractor including his Subcontractors

OAS organizational chart and list of sub- contractors, as of May 2014

(1) Establishment of organization for contract administration

It is included inthe Works Supervisor's Technical Proposal

(2) Appointment of Dispute Board (DB)

GO establishes and appoints staff and resources that are needed to solve the controversy / It is established in the contract for the purposes of solving any controversies
with the client.

(4) Procedure for claims in accordance with the contract

Procedure is described in the Works Supervision Contract's Clause Seventeen, and considers direct dealing to be a procedure
(1) Establishment of organization for communications & documents management
Communications procedure is established, in compliance with the Communications Management Plan
Written
approval
procedure
of
documents
and
drawings
to
be
submitted
to
the
(2)
Procedure for approval is carried out in compliance with the process map (M-01 F-01)
Engineer by the Contractor

(2) Establishment of Design Review System

(3) Issue schedule of Construction Drawings to be issued by the Engineer

1 Proceso Inicial\Cap VI Contrato de Concesin Lnea Amarilla.pdf

1 Proceso Inicial\anexos del contrato I Y VIII.pdf

1 Proceso Inicial\clausula 6.18.pdf

1 Proceso Inicial\003-2012.pdf

1 Proceso Inicial\Apertura Cuaderno de Obra.pdf

1 Proceso Inicial\anexo V.pdf

1 Proceso Inicial\Diploma especialista en gerencia de proyectos.pdf

1 Proceso Inicial\P 19 F 01 Acta de Constitucin del Proyecto.pdf
1 Proceso Inicial\Organigrama NKLAC mayo 2014.xlsx
1 Proceso Inicial\P 19 F 02 Cronograma de Recursos Humanos.pdf

Information Management System is carried out based on the Integrated Management System Manual (M-01)

1 Proceso Inicial\M 01 F 01 Mapa de procesos de Supervisin.pdf

1 Proceso Inicial\Plantilla SIG.jpg
1 Proceso Inicial\P-10 F-02 InformedeRevisiondelDiseo.docx

1 Proceso Inicial\P-11 F-02 InformedeConformidad-NoConformidad.docx

1 Proceso Inicial\CARTA FIANZA DE ADELANTO 0011-0708-9800038894-56 _

2011.pdf

1 Proceso Inicial\APERTURA CTA CTA BCO NACION.pdf

1 Proceso Inicial\Organigrama MML.pdf

1 Proceso Inicial\Apertura Cuaderno de Obra.pdf
1 Proceso Inicial\Manual de CSMS.pdf

1 Proceso Inicial\Organigrama OAS - Mayo.pdf

1 Proceso Inicial\Organigrama del PROYECTO.jpg

2 Proceso Planeamiento\Poliza de accidentes personales 2013 2014.pdf

2 Proceso Planeamiento\Trato directo.pdf
2 Proceso Planeamiento\Plan de Gestin de Comunicaciones.xlsx
2 Proceso Planeamiento\M 01 F 01 Mapa de procesos de Supervisin.pdf
2 Proceso Planeamiento\M-01 ManualdelSIG-v8.0.pdf
2 Proceso Planeamiento\M 01 F 01 Mapa de procesos de Supervisin.pdf

Design Revision Procedure is carried out based on the process map (M-01 F-01)

2 Proceso Planeamiento\M 01 F 01 Mapa de procesos de Supervisin.pdf

The Works Supervisor does not prepare any drawings. He revises the EDI, based on their delivery schedule by CO.

2 Proceso Planeamiento\CRT-N200-2013-LA 20.08.13.pdf

2 Proceso Planeamiento\CRT-N200-2013-LA 20.08.13.pdf

(5) Establishment of management system for drawings (Contract Drawings,

According to the Integrated Management System, Technical is established, for the purposes of including drawings or any other information for each specialist.
2 Proceso Planeamiento\P-01 Control de documentos y registros del SIG.pdf
Construction Drawings, Working Drawings, Shop Drawings, etc.)
(6) Preparer of as-built drawings (Contractor or Consultant?)
According to the Supervision Contract, the Works Supervisor is in charge of revising and submitting the As - Built drawings that were prepared by the Concessionaire ToR
2 Proceso Planeamiento\informe final TDR.pdf
VI.3.2
(7) Flow chart indicating approval procedure of drawings
As pointed out in the Process Map
2 Proceso Planeamiento\M 01 F 01 Mapa de procesos de Supervisin.pdf
(1) Establishment of organization and process for quality management

Quality Management is carried out pursuing the Process Map M-01 F-01

(2) Use of the guideline/manual for construction supervision

SIG is applied

(3) Ownership of laboratory (Contractor or Consultant or others?)

Concessionaire has hired a duly credited laboratory

(4) Initial calibration for measuring and test equipment

5. Progress Management

(2)
(3)
(4)
6. Construction Cost Management

Carried out in compliance with the Inspection, Measurement, and Testing Equipment Control Program - Annex 07 - Concessionaire CSMS Plan
It is made up of the Project Head, the Design and Construction Supervisor, the Specialists, the supplementary staff, the supporting staff, the technical and administrative
staff.
Documents (Detailed Program, Method Statement, etc.) to be submitted by the It corresponds to the PEO and CAV Revision and Approval stages in the Works, as approved by INVERMET, through letter N 506-2013-INVERMET GSC dated
Contractor
07.25.2013
Mobilization plan of major construction equipment in accordance with the
Mobilization and demobilization of construction equipment is foreseen, in accordance with PEO, and are adjusted based onthe actual release dates of areas.
contract
Information system about work conditions and progress for analyzing the causes on Checking is carried out based on the information, as submitted by the field engineers in the daily report and determining such check is carried out based on the
delayed progress
comparative analysis between the scheduled and actual progress.
Establishment of organization and process for construction cost management
Organization is made up of the Supervision Head, the Design Supervisor, the List of Quantities, Budget, and Detailed Design Study Specialist, and it is formulated through
P-10 F-01 where cost of works is approved.
Construction cost management in accordance with the contract (measurement It is foreseen to be carried out through the progress sheet and the estimation of the investment amount for the period of time, and its evaluation based on the gained
and evaluation, variation and adjustment, contracted price and payment, etc.)
value technique.
Formats and timing for payments in accordance with the contract
Project is a self - funded APP, no payments are authorized

(1) Establishment of organization and process for progress management

(1)
(2)
(3)

(4) Learning of software for cost management

S10 Program is used for costs, and MS Project is used for deadline controls.
(5) Measures to change of construction cost due to variations, claims and price
They will be negotiated through the conditions established in Concession Contract Clauses 6.49 to 6.60 and Geological Risk and Inference Clauses
adjustment in accordance with the contract
(6) Measures to additional costs in accordance with the contract
Their negotiation is foreseen, in accordance to the stipulations in the Concession Contract

1 Proceso Inicial\Plan de CSMS.pdf

1 Proceso Inicial\Organigrama VPR - Mayo.pdf

Digital drawing management is established in SIG.

(4) Submission schedule of drawings (Shop drawings, erection drawings, concrete

placing drawings, form work drawings, or other detailed working drawings, etc.) to be CO submits EDI or IE schedule proposal for the Consultant to revise it and the Concessionaire to approve it.
submitted by the Contractor for approval by the Consultant

4. Quality Management

1 Proceso Inicial\contratos gregory sprier.pdf

INVERMET Administrative Systems and Processes, the entity's link

Organization Chart of the Lnea Amarilla (Yellow Line) - Rmac Park Way Contractor

(1) Establishment of organization and process for drawings management

1 Proceso Inicial\Cap II Contrato de Concesin Lnea Amarilla.pdf

1 Proceso Inicial\N 005-2010-SUP Contrato de Supervision de Obra.pdf

(3) Organization chart of the Contractor office

(4) Establishment of systematical filling system for records on construction

1 Proceso Inicial\Anexo 2_Contrato de Concesin + Adenda 1.pdf

People in charge on behalf of:

Client
: Mr. Guillermo Gonzales Criollo (Eng.)
Concessionaire : Mr. Andr Giavina Bianchi (Eng.)
Consultant
: Ms. Mara Alejandra Tello Gonzles (Eng.)

(3) Approval of insurance (Contractors all risk insurance, third party insurance, etc.) INVERMET is directly involved in the approval procedure for the Contractor's insurance, by means of internal processes that are not shared with the Supervisor /
stipulated in the contract
Insurance policies purchased for staff in payrolls of the Consortium, NK, NKLAC, and NK lessors, include SCTR HEALTH and PENSIONS, in addition to the PERSONAL
ACCIDENT insurances
2. Communications & Documents
Management

1 Proceso Inicial\xxcrespoensabilidades del consultor segun tdr..pdf

1 Proceso Inicial\Organigrama del PROYECTO.jpg

The Project Manager's rsum includes training prior to the appointment to the position.

Referencia

1 Proceso Inicial\P 19 F 04 Plan de Gestin del Alcance.pdf

It is included in the Works Supervisor's Technical Proposal

(9) Opening procedure of the Consultant office (office registration, tax registration,
In compliance with the Integrated Management System, opening procedures are filed in File 500 Finances that is exclusively handled by the Project Administrator
bank account, LC (Letter of Credit), etc.)
6. Confirmation on Organization of the
Employer for Project Implementation

Referencia

2 Proceso Planeamiento\M 01 F 01 Mapa de procesos de Supervisin.pdf

2 Proceso Planeamiento\Plan de CSMS.pdf
2 Proceso Planeamiento\Programa de Control de Equipos.pdf
2 Proceso Planeamiento\organigrama nippon.pdf
2 Proceso Planeamiento\PEO y aprobacion PEO.pdf
2 Proceso Planeamiento\PEO y aprobacion PEO.pdf
2 Proceso Planeamiento\Reporte diario.pdf
2 Proceso Planeamiento\P-10 F-01 Informe de Revision de diseo.pdf
2 Proceso Planeamiento\valor ganado.pdf
2 Proceso Planeamiento\INDICE CONCESIONARIO..pdf
2 Proceso Planeamiento\presupuesto s10.pdf
2 Proceso Planeamiento\Contrato de Concesion - adicionales.pdf
2 Proceso Planeamiento\Contrato de Concesion - adicionales.pdf

1 Proceso Inicial\Relacin de Subcontratistas.pdf

Process

Facilitating Process
7. Safety Management

Specific Items to be confirmed

Respuesta de NKLAC

(1) Roles of the Consultant on safety management in the consulting services

Works Supervision Contract N 005-2010-SUP that includes the Terms of Reference for the purposes of the Project Supervision mentions, under Item V.6 Environmental
Control, those functions to be performed by the Consultant
(2) Responsibilities of safety management during construction in accordance with the Works Supervision Contract N 005-2010-SUP that includes the Terms of Reference for the purposes of the Project Supervision mentions, under Item V.6 Environmental
contract
Control, those functions to be performed by the Consultant
(3) Establishment of organization and process for safety management
The organizational structure is handled as indicated on the M-01 F-01 Process Map and List Responsibilities SIG. Furthermore the Concessionaire in its Manual of CSMS
numeral 4. Organizational Structure includes a description of responsibilities.

Referencia

Referencia

2 Proceso Planeamiento\TdR Seguridad.pdf

2 Proceso Planeamiento\TdR Seguridad.pdf
2 Proceso Planeamiento\M-01 F-01 Mapa y M-02 F-01
ListadeResponsabilidadesdelSIG.pdf

2 Proceso Planeamiento\Manual de CSMS Estructura Organizacional.pdf

2 Proceso Planeamiento\Safety Control Report (A) - May 2014 LA.doc

2 Proceso Planeamiento\Plan de Gestin CSMS.pdf

2 Proceso Planeamiento\B006-2014ReportarAccidentesIncidentes (2).pdf

2 Proceso Planeamiento\A4 PContingencia PO Accidentes laborales.pdf

2 Proceso Planeamiento\P-03 Investigacion Incidentes Accidentes.pdf

2 Proceso Planeamiento\A4 Formatos Accidentes laborales.pdf

2 Proceso Planeamiento\PLAN ANUAL 2014.pdf

2 Proceso Planeamiento\Reuniones capacitaciones entrenamientos.pdf

3 Proceso Ejecucin\P-10 SupervisindelDiseo-v2.0.pdf

3 Proceso Ejecucin\P-11 SupervisionConstruccinyPuestaenMarchav6.0.pdf

(4) Checklist on security and safety during construction

Consultant manages and reports required in Safety Control Report GIS. The Concessionair in its Plan of CSMS established forms to control security management.
(5) Procedure of accident reports
(6) Establishment of manner for accident records and their maintenance

(7) Planning of periodical safety meetings to be held by personnel concerned

(8) Planning of joint site inspections by the Employer, Consultant and Contractor
III. Executing Processes

1. Communications & Documents

Management

(1) Written instruction and suggestion on correspondence (letters, etc.) and

documents (reports, minutes of meeting, etc.)

The consultant running the provisions of Bulletin 006-2014 for the process of reporting accidents and / or incidents. The Concessionaire has established the procedure in
its Operational Plan Contingency Plan to Industrial Accidents
The consultant SIG applied, has established the P-03 formats for investigation of incidents and accidents, .. Established by the Concessionaire in the Contingency Plan
Operational Procedure (Annex 14) in the event of Industrial Accidents, this document holds provisions for action and response, as well as the forms that are used in the
event of industrial accidents that are relevant.
The consultant in accordance with the provisions of the Annual Meeting Program SIG takes on safety, environment, health and quality. The Concessionaire agreement
established in the Plan of Occupational Safety and Health indicates about planning meetings, trainings and trainings.
We do not have a joint Inspection Planning procedure in place; usually, the Client informs us by mail, a week in advance, about the need for a works inspection
Letters are written and addressed to INVERMET (Client) and the Concessionaire (Contractor), under numbers CRT N ###- year/LA. Documents (reports, minutes, etc. )
are prepared, based on the internal procedures of our Integrated Management System (P-10 and P-11)

(2) Correspondence referring to clauses of the contract

Letters referring to the Contract are revised by the Works Supervisor's legal advisor

CARTA CRT N 014-2014/LA

(3) Actual functionality of the recording system on construction

Construction registers (progress, events or occurrences, adopted solutions) are mentioned by the Contractor in the Works Progress Report and by the Works Supervisor
in the Monthly Supervision Report.

CARTA DE RECEPCIN IAO

(4) Written correspondence for land acquisition/site handing over

Works Supervisor does not interfere in this activity, as the Grantor and the Concessionaire are in charge of it.
(5) Periodical reporting on work progress, etc. by the Consultant PM to agencies
Monthly Supervision Reports (IMS) are prepared as required by the client, based on letter N 575-2013-INVERMET-GSC dated 08.21.2013.
concerned (JICA, etc.) with permission of the Employer
(3) Submission of documents (Inception Report, Monthly Progress Report, DD Review
Report, etc.) to be submitted to the Head Office/Head Quarter/Branch Office
The Monthly Report & Safety Control Report form is submitted by the end of each month.
2. Drawings Management

(1) Approval procedure of temporary works, construction plan, drawings submitted Depend of the magnitud of temporary works they are reviewed by the specialists.
by the Contractor in accordance with the contract
Approved documents ae stored in the file: 000SIG\Plantilla\700Tecnica\701Inf_Contratista\...
(2) Reflection of the design review results
Reflections are registered in Meeting Minutes F-01 and Design Revision Reports P-10 F-0, and are submitted to the client in the Monthly Supervision Reports, letters, or
Revision Reports.
(3) Issue of Construction Drawings to be issued by the Engineer according to the In the case of the Rmac Park Way, the landmarks for the commencement of works are directly relevant to a possibility to intervene in the land; however, land could not
schedule
be released, and so, geotechnical studies were not completed. Therefore, drawing submitting does not follow a schedule. The Works Supervisor has expressed this
problem to the Client.
(4) Submission of drawings (Shop drawings, erection drawings, concrete placing
drawings, form work drawings, or other detailed working drawings, etc.) to be
submitted by the Contractor for approval by the Consultant according to the The Contractor sent letters attaching the drawings and the design reports (called Definitive Engineering Studies) of "Las Palmeras" and "Modificatorio Seccin 2"
schedule
(5) Approval procedure of the drawings according to the planned flow chart
Process, as established in the Process Map, is followed
(6) Management system for easy reference of drawings (Contract Drawings,
Digitally stored in file: 000SIG\Plantilla\700Tecnica\701Inf_Contratista\...
Construction Drawings, Working Drawings, Shop Drawings, etc.)
Printed information management is carried out in duly labeled store rooms.

3. Quality Management

(1) Periodical calibration for measuring and test equipment

(2) Quality management system (Manner of execution, Samples, Inspection, Testing,
Rejection, etc.) in accordance with the contract
(3) Procedure of tests and inspections (material tests, construction procedure, plant
inspection, measurement, etc.) in accordance with the contract
(4) Recording on tests and inspections
(5) Construction execution according to the planned flow chart of construction
procedure including tests and inspections

3 Proceso Ejecucin\Carta N575 - INVERMET.pdf

3 Proceso Ejecucin\JA10R1006_ Monthly Report_Linea Amarilla_2014
05.pdf

3 Proceso Ejecucin\Safety Control Report (A)&(B) - May 2014 - LA.pdf

CARTA DE APROBACIN VICTOR CANAL DE DESVO

PRODECIMIENTO ALMACENAMIENTO

3 Proceso Ejecucin\F-01 Acta de reunin.pdf

3 Proceso Ejecucin\P-10 F-02 Informe de revisin del diseo.pdf

3 Proceso Ejecucin\CRT-N200-2013-LA 20.08.13.pdf

CARTA LAMSAC-MML N085-2014 08/05/2013

LAMSAC-MML N227-2014 09/06/2014

LAMSAC-MML N226-2014 09/06/2014

3 Proceso Ejecucin\M 01 F 01 Mapa de procesos de Supervisin.pdf

PRODECIMIENTO ALMACENAMIENTO

It is carried out in compliance with the Inspection, Measurement, and Test equipment Control Program - Annex 07 - Concessionaire CSMS Plan

3 Proceso Ejecucin\Registro de Calibracin.pdf

It is carried out in compliance with the Service Execution Procedure (PES) and the Service Check Sheets - Annex 18 of the Concessionaire CSMS Plan

3 Proceso Ejecucin\Lsita de Procedimientos.pdf

It is carried out in compliance with the Service Execution Procedure (PES) and the Service Check Sheets - Annex 18 of the Concessionaire CSMS Plan

3 Proceso Ejecucin\Lsita de Procedimientos.pdf

3 Proceso Ejecucin\FVS - LIBERACIN DE SISTEMA DE
IMPERMEABILIZACIN.pdf
3 Proceso Ejecucin\Plan de CSMS.pdf

It is carried out in compliance with the Service Execution Procedure (PES) and the Service Check Sheets - Annex 18 of the Concessionaire CSMS Plan
It is carried out in compliance with the Concessionaire CSMS Plan and the applicable national and international laws

CARTA DE ENVO IMS

3 Proceso Ejecucin\Encofrad y Desencofrado para Estructuras de

concreto.pdf
3 Proceso Ejecucin\Encofrad y Desencofrado para Estructuras de
concreto.pdf

(6) Environmental considerations and actions in accordance with guideline of JICA, and
Supervisor is in charge of checking the compliance with the environmental regulations, as enacted by the Peruvian state.
the government of the client
(7) Mobilization procedure of equipment and materials in accordance with the
It is carried out in compliance with the Materials Handling and Storage Chart - Annex 06 - Concessionaire CSMS Plan
contract
(8) Quality management procedure for concrete (Ready mix/Site mix) (Ref. Technical
It is carried out according to the PES - Service Execution Procedure - Concrete Used in Structural Elements - PES - 115
Specifications)
(9) Quality management procedure for borrow materials for embankment (Ref.
It is carried out according to the PES - Service Execution Procedureo - Earth Movement - Compacted Embankment - PES - 29
Technical Specifications)
4. Progress Management

(1) Progress management following procedures in accordance with the contract

(2) Periodical Progress Meeting and its minutes signed by personnel concerned
(3) Mobilization of major construction equipment in accordance with the contract

5. Construction Cost Management

(4) Occurrence of variations to the works causing much delay

(1) Construction cost management in accordance with the contract (measurement
and evaluation, variation and adjustment, contracted price and payment, etc.)
(2) Payment to the Contractor based on proper measurement in accordance with the
contract
(3) Using software for cost management

Follow -up and control to PEO and CAV approved by contrasting the executed progress against the scheduled progress.
Coordination meetings are held with the Concessionaire, the Works Supervisor, and Invermet staff, for example, Meeting Minutes of 11.05.2013.
The Concessionaire carries out the equipment and machinery transport in compliance with the approved PEO, and this item is included in the PEO, under the item
PreliminaryActivities.
Status of progress, work behind and work ahead of schedule are informed through letters, the Monthly Supervision Report, and the Works Records.
Monthly and comprehensive progress is estimated by means of events; such methodology was approved by INVERMET through letter N 264-2014-INVERMET-GSC of
03.21.2014
The Contract modality does not establish any payments to the Concessionaire, but only recognizing investments; such investments are estimated by the Works
Supervisor, by using a progress estimation method, as approved by INVERMET that is found in the Monthly Supervision Report.

3 Proceso Ejecucin\Tabla de Manejo y Almacenamiento de Materiales.pdf

3 Proceso Ejecucin\Concreto usado en elementos estructurales.pdf
3 Proceso Ejecucin\Movimiento de Tierra - Terrapln compactado.pdf
3 Proceso Ejecucin\PEO y aprobacion PEO.pdf
3 Proceso Ejecucin\Acta de reunin 05 11 13 en INVERMET.pdf
3 Proceso Ejecucin\PEO y aprobacion PEO.pdf
3 Proceso Ejecucin\CRT-N188-2014-LA 18.06.14.pdf
3 Proceso Ejecucin\Estimacion de avances.pdf
3 Proceso Ejecucin\Reconocimiento de Inversines -IMS.pdf

S10 is used for costs and Ms project

(4) Occurrence of variations to the works causing cost overruns

6. Safety Management

(1) Checklist on security and safety during construction

(2) Periodical safety meetings with personnel concerned according to the schedule

No ocurrences so far; the Concession Contract establishes that the design and construction risk is to be taken on by the Concessionaire. The only risks to be taken on by
the Grantor include the geological risk and the interferences that could bring about revising the financial economic balance. In addition, the Contract foresees additional
works, as requested by the Grantor.
The Concessionaire is carrying out the provisions in the CSMS Plan. Forms for the Control of Personal Protection Gear Use, Permits for High Risk Works (Hoisting,
confined space, work at high elevations, work under heat conditions, electric work, excavations), Form for inspections to equipment, machinery, cranes, etc. are
submitted on a monthly basis in theWorks Progress Reports, as prepared by the Concessionaire. In addition, these registers are attached to the Monthly Supervision
Report
The Concessionaire is carrying out the provisions in the CSMS Manual; based on that, registers on meetings referred to the daily talks, the induction Talk Forms, Training
meetings on security and safety, the environment, and health, are written down in the Works Progress Reports, as prepared by the Concessionaire. In addition, these
registers are attached to the Monthly Supervision Report.

(3) Joint site inspections by the Employer, Consultant and Contractor according to the
Joint monthly inspections have been carried out by the Client, the Works Supervision and the Concessionaire. Comments made during the inspections are registered in
schedule
the minutes that have been prepared by the client. Later on, the Concessionaire takes relevant action, the Works Supervisor checks the solution to the comments,and
prepares the Specialist Report, based on SIG's form P-11 F-02
IV. Control Processes

1. Contract Administration

3 Proceso Ejecucin\Contrato de Concesion - adicionales.pdf

3 Proceso Ejecucin\CheckList.pdf

3 Proceso Ejecucin\Reuniones Capacitaciones.pdf

3 Proceso Ejecucin\ACTA SSOMA 2013_12_26DIC13 N16.pdf

3 Proceso Ejecucin\P 11 F 02 InfEsp N001 09.01.14.pdf

4 Proceso Control\adenda N 01 Contrato de Concesion..pdf

4 Proceso Control\Adenda 4 al C.S correcion de % a montos.pdf

(1) Variations to the works in accordance with the contract

(2) Prompt response to claims

Changes to the Scope are established through Addenda signed both on behalf of the Concessionaire and the Works Supervisor

(3) Filing of documents related to claims

(4) Exclusive filling system for claim administration

Concession Contract Chapter XVIII points out the Procedure for Settlement of Controversies, Clauses 18.4 to 18.14

4 Proceso Control\Solucion de controversias C.C.pdf

Concession Contract Chapter XVIII points out the Procedure for Settlement of Controversies, Clauses 18.4 to 18.14

4 Proceso Control\Solucion de controversias C.C.pdf

No requests for replies made so far

2. Quality Management

(1) Construction execution according to the planned flow chart of construction

It is carried out pursuant the Concessionaire's CSMS Plan and the applicable national and international laws.
procedure in case of failure on the tests and inspections

3. Progress Management

(1) Variations executed with justifiable reasons

Changes to the scope: The Grantor and the Concessionaire agree onthem, and they are made official by means of an Addendum to the Concession Contract. An addendum
to the Works Supervisor Contract is prepared and the Supervisor's Scope is updated through procedure P-09

(2) Approval of the client and concurrence of JICA for variations, if necessary
(3) Updating the construction program in accordance with the contract

Project does not compromise JICA's participation

Minor changes: are dealt with by the Works Supervisor and the Contractor (Concessionaire), as the changes are registered in the Meeting Minutes (SIG's Form F-01) and
approved by the relevant specialist; they are later informed to the Client in the Monthly Supervision Reports and / or through a letter.

(4) Using the latest construction program

Ms Project is used for program control purposes, as established under Concession Contract, Annex VIII
(5) Records in the minutes of progress meetings in case delay of the work progress No meetings are held to evaluate the progress of works; implemented procedure is that the Concessionaire submits his Works Progress Reports that are revised by the
due to delay of handing over construction sites
Works Supervision.
(6) Preparation of the revised construction program taking account of delay of handing
Follow - up to PEO is carried out, and INVERMET is given warnings by means of letters on the status the works in terms of delays.
over construction sites

4 Proceso Control\Trato directo.pdf

4 Proceso Control\Plan de CSMS.pdf

4 Proceso Control\P-09 Elaboracin alcance del proyecto V3.pdf

4 Proceso Control\modificacion del Cronograma.pdf

4 Proceso Control\PEO y aprobacion PEO.pdf

4 Proceso Control\Seguimiento con Ms project.pdf

4 Proceso Control\F-01 Acta de reunin.pdf

Process

Facilitating Process

Specific Items to be confirmed

(7) Measures to improper performance of the Subcontractors

Respuesta de NKLAC

Referencia

Supervision Contract establishes, under Terms of Reference item V.3.26, that the Works Supervisor is authorized to request any sub- contractor or worker to be removed
because of any disabilities or inconveniences that might adversely affect the project's progress.

4 Proceso Control\Terminos de referencia item V.3.26.pdf

(8) Data collection for analyzing the causes of claims and review of construction
Supervision has implemented the preparation of daily report sheets that provide relevant information that can be used when making complaints sto the Concessionaire
program
(9) Written correspondence on delayed work progress
## Issue of "Extension of Time for Completion" in accordance with the contract
4. Construction Cost Management

(1) Variations, claims and price adjustment in accordance with the contract

5. Safety Management

(2) Additional payment in accordance with the contract

(1) Accident reports following the planed procedure
(2) Record keeping of accident reports

V. Closing Processes

1. Closing of the Project

(1) Procedure at the time of completion of the project

4 Proceso Control\adicionales contrato de concesion.pdf

The Concessionaire submits the reports for accidents in the Works Progress Report, as established in the Contingencies Plan; those reports are attached to the Monthly
Supervision Report.

4 Proceso Control\Registro Accidente.pdf

The Concessionaire submits the reports for accidents in the Works Progress Report, as established in the Contingencies Plan; those reports are attached to the Monthly
Supervision Report.

4 Proceso Control\Registro Accidente.pdf

a) Issue of Taking-Over Certificate (with punch list)

The Acceptance committee issues the Acceptance of Works Minutes, once all comments have been solved or when comments do not exceed 0.125 % of the works
estimated investment, under Concession Contract Clause 6.43

5 Proceso Cierre\Recepcion de obras C.C.pdf

b) Issue of Retention Money Payment Certificate

Not applicable

c) Tests and inspection at the time of expiry of Defects Notification Period

Contract foresees that, for the purposes of issuing the Acceptance of Works minutes, the Concessionaire should comply with the approved EDI and the serviceability
indices, as established in Clause 6.46 of the Concession Contract.

d) Issue of Performance Certificate

Not applicable

g) Preparation of Project Completion Report

h) Preparation of As-built Drawings

2. Cost Management

4 Proceso Control\CRT-N150-2014-LA 06.05.14.pdf

4 Proceso Control\Carta N077-2014-INVERMET-GSC 22 04 14.pdf

5 Proceso Cierre\Recepcion de obras C.C.pdf

f) Issue of Final Payment Certificate

Finance/Profit Management 1. Project Budget

4 Proceso Control\Reporte diario.pdf

4 Proceso Control\CRT-N188-2014-LA 18.06.14.pdf

Based on the PEO, the CONCESSIONAIRE requests a partial or total acceptance of Works; within the next 5 days after the Acceptance of Works Minutes has been
requested, the GRANTOR appoints an Acceptance Committee, made up of at least a Supervisor's representative. The Acceptance of Works Committee has a deadline of 30
days to accept or reject the works; it is understood that the acceptance of works means that the works starting has been authorized. The Acceptance Committee will
accept the works with comments, if these represent no more than 0.125 % of the estimated investment in works. In the event the committee makes any comments, the
CONCESSIONAIRE will have 30 calendar days to solve those comments; this deadline may be extended to a maximum of 90 days, under Concession Contract Clauses 6.43
to 6.48.

e) Response to the Statement at Completion

2. Closing of Consulting Services

Works Supervisor reports to client on executed and scheduled progress, on a monthly basis. In addition, Works Supervisor informs in writing to the client with regard to
Extension to deadline, as requested by the Concessionaire, has been revised, under the scope of the Concession Contract and the approved PEO, and the relevant
comments have been made in letter CRT N 150-2014/LA.
Concessionaire has requested an extension to the deadline and the Works Supervisor has requested further information before he makes any statements under the
Concession Contract
This situation has not emerged, but it is foreseen in Concession Contract Clauses 6.49 to 6.59.

Within the next 5 days after the acceptance of works has been requested by the Concessionaire, the Grantor appoints an acceptance committee that is made up of of at
least one Supervisor's representative; the committee has a maximum deadline of 30 days to accept or reject the works; it is understood that the acceptance of works
means that the works starting has been authorized. In the event the committee makes any comments, the CONCESSIONAIRE will have 30 calendar days to solve those
comments; this deadline may be extended to a maximum of 90 days, under Concession Contract Clause 6.44

5 Proceso Cierre\Recepcion de obras C.C.pdf

5 Proceso Cierre\Recepcion de obras C.C.pdf

The Works Supervisor is not required to issue this type of document.

Works Supervision contract foresees submitting a Final Report after the completion and acceptance of works
According to item VI.3.2 of the Works Supervisor's ToR, the Concessionaire will prepare the as -built drawings to be submitted to the Works Supervisor, who will in turn
submit them in the Final Report.

5 Proceso Cierre\informe final TDR.pdf

5 Proceso Cierre\informe final TDR.pdf

i) Preparation of O&M Manuals

To be carried out by the Concessionaire, and to be approved by the Grantor, as detailed under Concession Contract Clause 7.6
(1) Preparation for Completion Report on consulting services
Once service is completed, it shall proceed in compliance with the Terms of Reference, as detailed under item VI.3.
(2) Internal acceptance for final products
It shall proceed in compliance with the Works Supervisor Contract's Clause Fifteen.
(3) Closing procedure of the Consultant office (Cancelation of office registration, tax
To be carried out based on the tenancy agreement of the project offices, as pointed out in its Clause 7
registration, etc.)

5 Proceso Cierre\Pag. 52 del Contrato de Concesin.pdf

5 Proceso Cierre\informe final TDR.pdf
5 Proceso Cierre\LIQUIDACION DEL CONTRATO - CLAUSULA DECIMA QUINTA.pdf

(4) Procedure for completion of consulting services in accordance with the consulting
It shall proceed according to the Works Supervisor Contract's clause Fifteen.
contract

5 Proceso Cierre\LIQUIDACION DEL CONTRATO - CLAUSULA DECIMA QUINTA.pdf

(1) Preparation of project budgeting

It is prepared based on the PE and PT budget

(2) Approval of project budgeting by Head Office/Head Quarter/JV

Risk Management System is submitted to the NKLAC President, for evaluation and approval purposes.

(1) Monthly monitoring on cost and budget

It is carried out by means of Sales Recognition; this sheet includes the project expenses and expense projections.

(2) Measures for reducing cost

(3) Dissemination of measures for reducing cost to the engineers and staff

Referencia

Cost controls are carried out based on the budget alloted to the JV; the use of HM/ HD is optimized, and competitive salaries from the labor market are obtained.
Supported Monthly Programming / Scheduling requirement for use of resources

5 Proceso Cierre\Contrato de arrendamiento - Link Tower 2013.pdf

PE Linea Amarilla.
3D078 Risk Assessment Sheet
J3D078 Sales Recognition

5 Proceso Cierre\f-2135.pdf

Propuesta Economica