Irregularities in Engineering Works Sanjay Jain GM Vig DATE

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Irregularities in Engineering Works Sanjay Jain, GM(Vig) DATE: 8 th September’ 2011 Irregularities in Engineering Works Sanjay Jain, GM(Vig) DATE: 8 th September’ 2011

PUBLIC PROCUREMENT. . . The process of Public Procurement can be categorized in three PUBLIC PROCUREMENT. . . The process of Public Procurement can be categorized in three distinct Stagesv Pre-tender Stage (Project formulation, Appointment of Consultants, Preparation of Detailed Project Report/ Detailed Estimate) v Tender Stage (Preparation of tender documents, inviting & opening of tenders, prequalification, tender evaluation & award of work, Integrity Pact) v Execution Stage (Compliance of agreement conditions, making payments, ensuring quality & timely completion) 2

PRE-TENDER STAGE. . . Shortcomings q. Appointment of Consultants: § Consultant be appointed in PRE-TENDER STAGE. . . Shortcomings q. Appointment of Consultants: § Consultant be appointed in a transparent and competitive manner for need based and specialized jobs. § Consultant’s fee be based on some fixed value of the contract. 3

Pre – Tender Stage: Shortcomings o DPR & estimates not prepared based on soil Pre – Tender Stage: Shortcomings o DPR & estimates not prepared based on soil condition and survey at site resulting into large scale deviations. o Tenders invited without acquisition of land, site approvals and statutory clearances from local authorities resulting in delays and disputes.

Pre – Tender Stage: Shortcomings o Consultancy fee given on % basis on packages Pre – Tender Stage: Shortcomings o Consultancy fee given on % basis on packages wherein there is no input required. No ceiling limit stipulated. o Consultant appointed without well defined responsibilities. Payment not linked to the work progress and final completion. o Penal clause for deficiency in services by the consultant not stipulated in the contract agreement.

Pre – Tender Stage: Shortcomings o Tender specifications tailor made to suit particular firm/select Pre – Tender Stage: Shortcomings o Tender specifications tailor made to suit particular firm/select firms inviting allegations of favour and bias from the competing firms. o Restrictive eligibility criteria included in the NIT resulting into inadequate response. o Gross over–provision in capacity of new DG sets procured for power house affecting system efficiency.

Tender Stage: Shortcomings o Firm pre-qualified on the basis of their experience in on-going Tender Stage: Shortcomings o Firm pre-qualified on the basis of their experience in on-going work/work in progress as against the requirement of completed work. o Tender evaluated in deviation to the Ambiguity Clause. o Interest free ‘Mobilization Advance’ stipulated in one of the tenders in violation of CVC guidelines.

Tender Stage: Shortcomings o Two firms who had produced completion certificate for the same Tender Stage: Shortcomings o Two firms who had produced completion certificate for the same work were qualified without verification. o Post bid relaxation of the qualification criteria. (Had the relaxation been included in the NIT more firms would have participated with a competitive response). o Price variation clause – Fixation of star price. Contd…

Tender Stage: Shortcomings…. . o Condition for vetting of structural designs by IIT/ Engineering Tender Stage: Shortcomings…. . o Condition for vetting of structural designs by IIT/ Engineering College. o Design Based tender called for HVAC, PA system without stipulating design experience. o Adequate Safeguard not taken for supply of spares & technological support for the design life of the system. Contd…

Tender Stage: Shortcomings o Repeat order was placed on a firm without ensuring fulfillment Tender Stage: Shortcomings o Repeat order was placed on a firm without ensuring fulfillment of the conditions stipulated in the DOP. o Abnormally long time taken to decide and award the work. (Directions issued by the Chairman for time bound processing i. e. award of contract within 30 - days of opening of tenders vide letter dt. 30. 08. 07). Contd…

Tender Stage: Shortcomings o Time period increased and tender condition(s) changed during negotiations, thereby Tender Stage: Shortcomings o Time period increased and tender condition(s) changed during negotiations, thereby denying level playing field to the other bidders. o Evaluation criteria/exclusion criteria followed to decide L-1 bidder not made part of the tender. o Contract awarded without establishing reasonability of the offer received. Contd…

Tender Stage: Shortcomings o Budgetary offers received for procurement of insecticides and weedicide chemicals Tender Stage: Shortcomings o Budgetary offers received for procurement of insecticides and weedicide chemicals were considered as commercial offers leading to procurement at high rates. o Tenders splited so as to bring them within the approval limit of local authorities. o Improper provisioning of store purchases without taking into consideration the available stock, past consumption pattern and shelf life of the item. Contd…

Tender Stage: Shortcomings o Inflated justification statement prepared by including unjustified components and loading Tender Stage: Shortcomings o Inflated justification statement prepared by including unjustified components and loading factors. o Technical evaluation not done objectively on equitable basis. (Without considering the extent of deviations, when the offers suffer from deficiencies, equal opportunity should be given to all). o Splitting of award in a supply contract after techno-commercial evaluation, although multi sourcing not stipulated in NIT

Execution Stage : Shortcomings o BGs accepted with conditional stipulation and not verified from Execution Stage : Shortcomings o BGs accepted with conditional stipulation and not verified from the Issuing Bank. o Use of departmental machinery was allowed to be used in cargo without recovery of charges as per contract provisions. o Payment of substituted item without making financial adjustments

Execution Stage : Shortcomings o Acceptance of tack welding in place specified continuous welding Execution Stage : Shortcomings o Acceptance of tack welding in place specified continuous welding in steel fabrication work. o Filing system adopted in project was not in order. Part files are opened as and when new action are initiated, but subsequently not merged with the main file. No pagination. o Payment of secured advance against certain items without obtaining requisite insurance cover.

Execution Stage : Shortcomings o Non/part implementation of contract clauses related to Insurance policy Execution Stage : Shortcomings o Non/part implementation of contract clauses related to Insurance policy (CAR), Workmen Compensation, ESI, labour licenses. o Defective contract management: Not maintaining mandatory site records/registers. o Large scale sub contracting by the main agency without approvals of the competent authority.

Execution Stage : Shortcomings o Liquidated damages not levied despite time over-run attributed to Execution Stage : Shortcomings o Liquidated damages not levied despite time over-run attributed to the contractor. o Shortfall in mandatory tests on items reflecting slackness in supervision and possibility of acceptance of substandard material/work. o Mobilization advance/secured advance not recovered as per provisions of the contract.

Execution Stage : Shortcomings o Wide cracks, low density values, settlement in portions of Execution Stage : Shortcomings o Wide cracks, low density values, settlement in portions of flexible runway noticed within 3 -months of execution. o Non submission of documents like excise duties pass, custom duty receipts for imported items – Bill cleared. o Order for supply of equipment was placed on FOR destination, locations of consignees changed without freight adjustments. o Exchange of correspondence with the Contract Agency after expiry of time period and without extension of time to keep contract alive.

Execution Stage : Shortcomings o Over payment in running bills and recovery in final Execution Stage : Shortcomings o Over payment in running bills and recovery in final bill. o Interest on over payment not deducted properly. o Over payment on A/c of party payment of extra items / secured advance considering extra material.

FINALLY……. . o. We may have to add one more stage oi. e. COMMISSIONING FINALLY……. . o. We may have to add one more stage oi. e. COMMISSIONING (to put into operation)

General Shortcomings o Not posting summary details of contracts awarded during the month on General Shortcomings o Not posting summary details of contracts awarded during the month on web site. o Tender document not available on web site in down loadable format. o E-payment through ECS or RTGS not fully implemented.

Inference………. o Negligence in project management, contract administration and supervision. o Willful acts of Inference………. o Negligence in project management, contract administration and supervision. o Willful acts of omission and commission with possible malafide o Undue benefit to the contractor o Contractual disputes

Result………. o Additional time and cost rectifications and remedy Maintenance Stage o Audit observation Result………. o Additional time and cost rectifications and remedy Maintenance Stage o Audit observation o CTE paras o Vigilance Cases o Departmental enquiries for at

Actions taken in AAI………. Vigilance Initiatives: o Leveraging Technology (e-payment, e-billing, e-receipt, e-procurement) o Actions taken in AAI………. Vigilance Initiatives: o Leveraging Technology (e-payment, e-billing, e-receipt, e-procurement) o Time bounded processing of procurement / tenders o Introduction of ‘Integrity Pact’ o Project management and clean procurement workshops o Introduction of ‘Integrity Pledge’ in all tenders. o E-tendering o CTE - Type Inspection

Conclusion………. o Excellence is a moving target o Vigilance in project management brings Quality Conclusion………. o Excellence is a moving target o Vigilance in project management brings Quality Assurance and cost savings – deterrent against corrupt and inappropriate practices Need for rejuvenated approached to achieve excellence in project management and implementation……….

Common Points to be discussed o If application received and tender not issued the Common Points to be discussed o If application received and tender not issued the application fee to be refunded or not. o Similar Experience – Work of DG/HVAC set installation to be accepted for O&M. o In a tender – three makes are given n Agency is free to choose any make. or n First priority on the product mentioned first.

Common Points to be discussed…. o If contractor writes/ specifies one of the approved Common Points to be discussed…. o If contractor writes/ specifies one of the approved makes out of those than is it a conditional tender or not. o If tender is conditional whether EMD to be forfeited or not. o Consideration of experience certificate with levy of Penalty.

EMD…. o In EMD, DD is valid for 90 days and BG is valid EMD…. o In EMD, DD is valid for 90 days and BG is valid for 180 days. If BG is valid for 179 days whether we should accept it as tender is valid only for 90 days. Yes or No - Why? o How to verify the BG for EMD before tender opening.

FINANCE A CHECK MECHANISM o BUILT IN CHECK SYSTEM o INCONSISTENCY IN FINANCIAL SCRUTINY FINANCE A CHECK MECHANISM o BUILT IN CHECK SYSTEM o INCONSISTENCY IN FINANCIAL SCRUTINY o NEED FOR FINANCE MANUAL o DUTIES AND RESPONSIBILITIES

Role of Finance Officer o Financial Concurrence (AA&ES Stage) n Budget Allocation; n Monitoring Role of Finance Officer o Financial Concurrence (AA&ES Stage) n Budget Allocation; n Monitoring of utilized budget to check the balance available; n Assessment of need/ viability of project; n Phasing of proposed expenditure in-line with progress of work.

Role of Finance Officer… o Tender Opening n Check justification of cost available; n Role of Finance Officer… o Tender Opening n Check justification of cost available; n Ensure numbering of tender; n Ensure opening of Cover No. 1 of all firms first; n Checking of EMD(DD/BG); n Ensure CIO properly; n Ensure cellophane tape fixed on all cuttings/ insertion and total amount n Signing of each paper in tender n Check rates quoted in figure/ words n Entry in register

Role of Finance Officer… o Tender Processing n Check comparative statement (Calculate rebate etc. Role of Finance Officer… o Tender Processing n Check comparative statement (Calculate rebate etc. ); n Verification of quoted rates with comparative statement available; n Check A/A & E/S, TS issued by appropriate authority. n Any other requirement

Role of Finance Officer… o WAB/ WAC/ RCAC proposals n WAB note be processed Role of Finance Officer… o WAB/ WAC/ RCAC proposals n WAB note be processed through Finance Directorate; n Finance Officers shall ensure all the parameters of concurrence have been followed; n Any adverse remark/ important issue must be recorded upfront.

Role of Finance Officer… o Billing Check agreement signed or not; Check Measurements; Test Role of Finance Officer… o Billing Check agreement signed or not; Check Measurements; Test Check statement; Completion Certificate; Part rate statement/ Theoretical statement; n Check Stock Entry/ MAS/ Challan etc. ; n Check deduction (Statutory + contract); n Check deviation so that relative position of L 1 does not change. n n n

Role of Finance Officer… o Billing…. . n Monitoring of BG/ DD etc. ; Role of Finance Officer… o Billing…. . n Monitoring of BG/ DD etc. ; n Ensuring timely recovery of various advances (Mobilization/ secured etc. ); n In case of over payment, recovery of interest as applicable; n Check EOT, approval of Competent Authority.

List of Documents required at Various Stages of Contracts o o o o Preliminary List of Documents required at Various Stages of Contracts o o o o Preliminary Estimate; Detailed Estimate; Technical Sanction (TS); Draft NIT (DNIT); Tender Document; Agreement; Bill.

CASE STUDY CASE STUDY

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