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GUIDELINES FOR THE PREPARATION AND SUBMISSION OF WORK SCHEDULE FOR CONSTRUCTION PROJECT Mohamad Ibrahim Mohamad1, Rosli Mohamad Zin2 and Donald Chan Bing Tee3 Faculty of Civil Engineering, Universiti Teknologi Malaysia, 81310 UTM Skudai, Malaysia 1 drm21@yahoo.com, 2roslizin@utm.my, 3dchanbt@yahoo.com ABSTRACT: The lack of standardised guidelines for the preparation and submission of work schedule has contributed to several problems in construction project especially the extra efforts that have to be put in before parties involved in the project accept the work plan. This paper explores the current practice in project scheduling in the Malaysian construction industry and proposes guidelines that will alleviate the current problems in project scheduling. The methodology adopted was through interviews and questionnaire survey. The findings of the survey form a basis for the formulation of the guidelines. It consists of four main aspects of project scheduling which are process of acceptance of work schedule, responsibilities of the contracting parties, application of work schedule, and implications of work schedule. With the establishment of these guidelines a standardised approach for the preparation and submission of work schedule can be achieved thus will be able to minimise some of the problems that are currently hinder the full application of project scheduling in various construction projects. The proposed guidelines will pave the way for the inclusion of work schedule as part of the contract document. Keywords: Work Schedule, Guideline, Contract 1. INTRODUCTION Effective use of project scheduling can ensure the smooth running of construction project. The main scheduling techniques, which are used widely especially in big and medium size projects are the Bar Chart and Network techniques that incorporate the use of computer software such as Microsoft Project and Primavera Project Planner. The requirement for the preparation and submission of work schedule varies between contracts. The conditions of contract under the Public Work Department 203 Forms (JKR, 1988) do not specifically states the requirement for preparation and submission of work schedule. However several clauses in other standard forms address this subject (Sundra Rajoo, 2000; Harban Singh, 2004). These clauses are Sub-clause 3.4 to 3.6: PAM’98 Forms (with and without quantity), Clause 5: CIDB Form, and Clause 7: IEM Condition of contract for Mechanical and Electrical contract works. In general there are no detail guidelines that can be used for the purpose of preparing and submitting the work schedule. However the clauses stated above provide some general information on this matter. For example under Clause 5.1(a): CIDB Form (CIDB, 2000), it is stated that: The contractor shall no later than Date of Commencement submit for the approval of the Superintending officer a work programme related to the Time for Completion, clearly identifying the sequence, logic and critical path in which he proposes to carry out the works, including the various work activities and milestones to be achieved… Likewise, under Clause 7.1: IEM.ME 1/94 Form (IEM, 1994), it is stated that: The contractor shall submit to the engineer for his approval the Programme which include the sequence and timing in which the contractor proposes to carry out the works (including the design, manufacture, delivery to site, erection, testing and commissioning, The times when submission and approval of the contractor’s drawing are required, and the times by which the contractor requires the employer: 1. to furnish any drawings or information 2. to provide access to site 3. to have completed any necessary civil engineering or building work, to be provided by the employer 4. to have obtained any way leaves, consents and approvals necessary for the construction of the works Based on these clauses it can be said any work schedule submitted by the contractor should contain the main activities, sequence of activities, timing of activities, critical activities and critical path, and important milestones (Harban Singh, 2004). Since there are no clear guidelines for the application of project scheduling in project management the current practice is entirely depending on the experience of the project manager. This has resulted in a lot of time wasting effort before parties involved in the project accept any work schedule. As such it is necessary that scheduling guidelines be introduced in the local construction industry. This study has been carried out with the objective to formulate guidelines for the preparation and submission of work schedule that can be used by participants of the construction industry. 2. METHODOLOGY The study was carried out in two main stages. The initial stage involved interviews to experienced individuals that have sound knowledge in planning. The next stage involved questionnaire survey to active players in the construction -1- industry. The respondents were selected randomly that represent the clients, consultants, contractors, subcontractors and academicians who have at least several years of experience in the construction industry. 2.1 Design of questionnaire and analysis of data The final questionnaire was developed after a series of initial interviews and information gathered from literature. Recommendations solicited through these initial queries formed the base for refining the final questionnaire. The questionnaire comprised of five parts; the first part consisted of general question such as the current practice of project scheduling and the common problems that occurs. The second part consisted of questions related to the acceptance of work schedule as a formal contract document. The third part consisted of questions related to responsibilities of the client and contractor once work schedule has been prepared. The fourth part dealt with the level of application of work schedule in project implementation. The last part consisted questions related to the right of each parties involved in the project. A Likert type scale comprised of five points (Strongly Disagree to Strongly Agree) was provided against each question for the respondents to evaluate. The data collected from the questionnaire survey exercise were analysed using the frequency analysis and Relativity Index. The Relativity Index can be calculated by using the following equation: N1(1) + N2(2) + N3(3) + N4(4) + N5(5) ________________________________ N(5) R.I = Where, R.I. N1 N2 N3 N4 N5 N 3. = Relativity Index = Number of respondents choosing 1 (strongly disagree) = Number of respondents choosing 2 (disagree) = Number of respondents choosing 3 (neutral) = Number of respondents choosing 4 (agree) = Number of respondents choosing 5 (strongly agree) = Total number of respondents RESULTS AND DISCUSSION During the initial stage of the study five respondents participated in the interview sessions. Two of the respondents at the time of the interviews were working with the Class A contractor and have more than 20 years of experience. The other three individuals were a lecturer and two senior engineers. The data collected through the structured interviews were examined and tabulated as shown in Table 1. Table 1. Results of Interview with Experienced Project Personnel Interview Questions Responses Do you use work schedule to manage project? At what level project scheduling is being enforced? (in all projects or projects of certain limit) What type of scheduling technique do you use for project scheduling? Is there any guidelines followed? What is the purpose of having work schedule? Who prepare and maintain the work schedule? Is the current practice in project scheduling effective? Do you think that there is need to improve the practice to make it more effective? What are the common problems when using work schedule? Do you think that there should be guidelines on the -2- 100% answered ‘yes’ 80% answered ‘in all projects’ 20% answered ‘in projects more than RM 50000 80% answered ‘Bar Chart and Critical Path Method’ 20% answered ‘Bar Chart Only’ 100% answered ‘none’ 100% answered ‘for project monitoring’ 80% answered ‘for monitoring project cost’ 20% answered ‘for monitoring construction materials’ 20% answered ‘for monitoring sequence of work’ 100% answered ‘contractor’ 20% answered ‘project management consultant’ 80% answered ‘yes’ 20% answered ‘no’ 60% answered ‘no’ 40% answered ‘yes’ ƒ Lack of monitoring of its usage ƒ Do not fully utilise work schedule ƒ Contractor unable to meet the plan ƒ Many personnel do not understand CPM ƒ Clients do not concerned with project scheduling 80% answered ‘yes’ preparation and submission of work schedule? 20% answered ‘no’ In the questionnaire survey exercise, a total of 29 completed questionnaire forms were returned. The breakdowns of the respondents are two from Kuala Lumpur, four from Perak, nine from Sarawak, and fourteen from Johor. The frequency and relativity index analysis have been carried out to each of the questions in the questionnaire form. An example of the analysis is given in Table 2. Table 2. Analysis on General Questions on Project Scheduling Questions The current practice of project scheduling in the construction industry: ƒ Bar Chart/Gantt Chart is the most common ƒ Usage is limited to monitoring of cash flow and work progress ƒ Used only in medium to large scale project ƒ No enforcement on work schedule from authority ƒ Not efficient enough ƒ Has a lot of problems The purpose of having a work schedule in the current industry: ƒ To monitor work progress ƒ To monitor cost ƒ To evaluate progress payment ƒ To control resources The common problems that occur: ƒ Not everyone know and understand the work schedule ƒ Difficult to update (not enough required data) ƒ Has no guideline to follow concerning the preparation ƒ Expensive to prepare The effectiveness of the schedule in the current practice: ƒ Need a lot of improvements ƒ Need a proper guideline to enhance it ƒ Not effective at all The possible benefits that can be gained from the guideline: ƒ Improved and more proper usage of work schedule ƒ More systematic evaluation of work done ƒ Possible source of information to solve dispute ƒ Less delays of project by systematic preparation of work schedule ƒ Having schedule as a legal document that can be used in court cases Agree (%) Neutral (%) Disagree (%) R.I. 82.8 58.6 14.2 27.6 3.4 13.8 0.81 0.70 44.8 48.3 31.1 27.6 24.1 24.1 0.68 0.66 31.0 13.8 24.2 34.5 44.8 51.7 0.57 0.51 89.7 48.3 58.6 41.4 0.0 41.4 17.3 34.5 10.3 10.3 24.1 24.1 0.82 0.70 0.70 0.66 37.9 44.9 17.2 0.65 17.2 17.2 31.1 31.1 51.7 51.7 0.52 0.52 10.3 17.3 72.4 0.43 69.0 51.7 10.3 13.8 34.5 34.5 17.2 13.8 55.2 0.74 0.69 0.46 89.7 10.3 0.0 0.81 75.9 65.5 62.1 13.8 17.3 31.0 10.3 17.2 6.9 0.74 0.72 0.72 41.4 34.5 24.1 0.64 Note: Agree column indicate ‘strongly agree’ + ‘agree’ Disagree column indicate ‘strongly disagree’ + ‘disagree’ Based on the preliminary interviews carried out in the early stage of the study it indicates that scheduling has been an important aspect of project planning. The common scheduling techniques in project planning are the Bar Chart and Critical Path Method. The purpose of having work schedule is for monitoring of work progress, cost, materials and work sequence. It seems that the current practice in project scheduling have been found to be quite effective. Nevertheless there are still weaknesses in term of formal guidelines for the preparation and submission of work schedule. Several problems associated with project scheduling are the inability to fully utilize the schedule, lack of understanding of scheduling techniques, and unable to see the importance of work schedule. The questionnaire survey exercise has resulted in several interesting findings especially in the context of the local construction industry. The analysis on several general issues related to project scheduling indicates that project scheduling is a common feature in construction but its application in planning is quite limited. Most of the time, work schedules are only used for monitoring of project progress. Even though the respondents satisfy with the level of its usage but improvement has to be made on the level of application. -3- Other than general questions on project scheduling, four critical areas were specifically covered in the questionnaire survey for the purpose of formulating procedures to prepare standardised work schedule. The author believed that these four areas should be properly investigated prior to the development of the project scheduling procedures. The critical areas that have been identified are process of acceptance, responsibilities of contracting parties, application of work schedule, and implications of work schedule. 3.1 Process of Acceptance Table 3 shows the response to the question related to preparation of work schedule. It can be seen that majority of respondents agreed work schedule should be prepared and updated continuously before the final schedule is accepted by both the client and contractor. The contractor should take the responsibility to prepare the work schedule while the client will do the checking. Work schedule should also be prepared by someone with vast knowledge and experience in planning and scheduling. This will minimize error during the early stage of the schedule preparation. In term of the legality of work schedule, the result of the survey as shown in Table 4 shows that work schedule should be considered as part of the contract document. The scope of project scheduling should include the asplanned and as-build schedules while network technique should be adopted. It is also agreed that the work schedule should be computer generated (refer to Table 5). The survey also confirmed that Bar Chart should only be limited to representation of main work activities. In response to the question of who should bear the cost of preparing work schedule, it was found that majority of respondents agreed that preparation and maintaining of work schedule should be part of the preliminary items thus the contractor is required to price this item (refer to Table 6). The client on the other hand needs to review the adequacy of the cost of preparing and updating of work schedule. Table 3. Preparation of Work Schedule Question: Work Schedule should be Agree (%) Neutral (%) Disagree (%) Changed and updated until both parties agrees Reviewed by client after preparation The contractor’s responsibility Prepared by someone qualified 91.3 87.0 69.6 65.2 4.4 8.7 26.1 26.1 4.3 4.3 4.3 8.7 Table 4. Agreement on Work Schedule Question: Work Schedule should be Agree (%) Neutral (%) Disagree (%) Part of contract document In a separate agreement 52.2 21.7 26.1 54.6 21.7 21.7 Table 5. Types of Work Schedule Question: Type of work schedule should be Agree (%) Neutral (%) Disagree (%) An as-planned and as-built schedule Networking type of schedule Computer assisted schedule Bar Chart (for showing main activities only) 73.9 69.6 78.3 43.5 26.1 26.1 14.3 21.7 0.0 4.3 17.4 34.8 Agree (%) Neutral (%) Disagree (%) 78.3 56.5 13.0 26.1 8.7 17.4 Table 6. Cost of Preparation Question: Cost of preparation of work schedule should be Included into tender price Reviewed by the client -4- 3.2 Responsibilities of the Contracting Parties Table 7 shows the opinion of the respondents on the responsibilities of the client for successful implementation of project scheduling. It can be seen that majority of the respondents agreed that the client should keep a copy of an updated schedule and must ensure the contractor update the schedule. The client needs to review and approve changes made to the schedule and monitor its application. When there is request for extension of time, work schedule should be used as main source of information for evaluating the request. The client should also make progress payment based on schedule’s progress. It is also noted the client should provide all necessary information to the contractor for preparation of work schedule. Table 7. The Client’s Responsibilities Question: The client’s responsibilities for successful implementation of project scheduling are: Agree (%) Neutral (%) Disagree (%) Monitor work schedule Review and approve changes made to the work schedule Prepare all information needed for preparation of schedule by contractors Making sure contractors update work schedule Request a copy of the updated work schedule as record Issue progress payment based on schedule’s progress Use work schedule as main reference when dealing with extension of time 96.6 93.1 86.2 13.4 16.9 13.8 0.0 0.0 0.0 86.2 69.0 51.7 65.6 13.8 17.2 38.0 17.2 0.0 13.8 10.3 17.2 On the question related to responsibilities of the contractor the results of the survey is shown in Table 8. A high percentage of the respondents agreed that the contractor should prepare and submit work schedule prior to the start of project, report any changes in work schedule to the client, record and inform all delays to the client, validate the delays with the client, submit updated work schedule with progress report during site meeting, and pass up all updated and finalised as-built schedule to the client. Table 8. The Contractor’s Responsibilities Question: The contractor’s responsibilities for successful implementation of project scheduling are: 3.3 Agree (%) Neutral (%) Disagree (%) Prepare and submit work schedule 96.6 3.4 0.0 Report any changes to the client 96.6 3.4 0.0 Report all delay causes in work schedule 100.0 0.0 0.0 Validate delays with client 100.0 0.0 0.0 Submit updated work schedule with progress report 93.1 3.5 3.4 during site meeting Pass up all updated and finalized as-built schedules to 93.1 3.5 3.4 the client Use work schedule as main reference when dealing 86.2 10.4 3.4 with extension of time Application of Work Schedule The results of the analysis on the application of work schedule are as shown in Table 9 to 12. Table 9 shows the application of work schedule in resource management. A high majority of the respondents agreed that work schedule must be used for resource planning. Slightly above half of respondents were in the view that the contractor must state clearly the resources used while updating of resources must be made with proof of records. For the application of work schedule in progress monitoring the results is shown in Table 10. It can be seen that all monitoring work must be based on no other than the work schedule where baseline schedule should be set as a reference point. The results also show that the contractor should update the work schedule daily and submit to the client on a monthly basis. As for the application of work schedule in progress payment and claims for extension of time the results of the survey are shown in Table 11 and 12. The findings show that work schedule should be used as a reference for progress payment evaluation. Progress payment claim made by the contractor should be based entirely on the work schedule. The work schedule should also be referred to when request for extension of time is made. The result of the study shows that more than 50% of the respondents agreed on this matter. It is also agreed that only as-built schedule based on network technique should be submitted when applying for extension of time. Table 9. Application of Work Schedule in Resource Management Agree Neutral (%) (%) Work schedule must be used in resource planning 82.6 17.4 Questions -5- Disagree (%) 0.0 The contractor must state resources used in the work schedule Updating of work schedule must be made with proof of resource records Resource based schedule should be submitted to the client 56.5 56.5 39.2 34.8 4.3 8.7 43.5 43.5 13.0 Table 10. Application of Work Schedule in Progress Monitoring Agree Neutral (%) (%) Monitoring must be based on project schedule 86.8 13.2 Work schedule must include baseline to show 72.4 27.6 progress Work schedule should be updated by the contractor 62.1 27.6 daily and submitted to the client monthly Questions Disagree (%) 0.0 0.0 10.3 Table 11. Application of Work Schedule in Progress Payment Agree Neutral (%) (%) Work schedule should be used as reference for 62.1 24.9 progress payment evaluation Claims should be based on resource and progress 58.6 20.7 schedules Questions Disagree (%) 13.0 20.7 Table 12. Application of Work Schedule in Claims for Extension of Time Agree Neutral (%) (%) Work schedule should be included in request for 75.0 14.7 extension of time Claims for extension of time should only be based on 62.1 24.1 network type of schedule Questions 3.4 Disagree (%) 10.3 13.8 Implications of Work Schedule Tables 13 to 15 highlight the results of the survey on the right of the client, consultant and contractor respectively. The respondents were in the opinion that the client should have the right to access all information in the work schedule, give consent for any changes to the schedule and use the work schedule for other purposes but with prior notice to the other parties in the project. The consultant on the other hand should have the right to request for changes to the schedule when there is need to do so and be given full authority over the schedule when needed. Similarly the respondents also agreed that the contractor should have the right to request for changes to be made to the work schedule and be given full authority over the schedule subject to approval of the client. Questions Table 13. Client’s Rights Agree (%) The client is the prominent owner of project schedule The client has the right to access all information Any changes to the work schedule must get the consent of the client The client has the right to use the work schedule for other purposes The client needs to inform other parties when work schedule is used for other purposes Neutral (%) 82.8 75.9 72.4 17.2 17.2 20.3 Disagree (%) 0.0 6.9 6.9 44.8 44.9 10.3 34.5 39.7 27.6 Table 14. Consultant’s Rights Questions Agree (%) Neutral (%) The consultant only use work schedule for monitoring and evaluation The consultant has full authority of work schedule with consent of the client The consultant has to request for changes to the work schedule The consultant has right to use the work schedule for other purposes with consent of the client 65.5 27.6 Disagree (%) 6.9 48.3 48.3 3.4 65.5 24.2 10.3 27.6 37.9 34.5 -6- Table 15. Contractor’s Rights Agree (%) Questions The contractor has full authority to use schedule for project purposes The contractor has right to use the work schedule for other purposes with consent of the client 3.5 4. Neutral (%) 76.0 20.6 Disagree (%) 3.4 31.0 44.9 24.1 Guidelines for the Preparation and Submission of Work Schedule In general the survey exercise has revealed that currently in the local construction industry there is no standard guidelines that can be followed for the preparation and submission of work schedule. The relevant clauses in the standard forms of contract such as PAM 98 Form, CIDB Form Edition 2000, and IEM forms basically give some general rules related to the preparation and submission of work schedule. Thus in this study a standardised guidelines is proposed. The results obtained from the questionnaire survey form the basis for the formulation of the guidelines (refer to appendix). It consists of four main aspects of project scheduling, which are process of acceptance of work schedule, responsibilities of the contracting parties, application of work schedule, and legal implication of work schedule. With the establishment of this guideline a standardised approach for the preparation of work schedule can be made thus will be able to minimize some of the problems that are currently hinders the full application of project scheduling in various construction projects. Furthermore the proposed guidelines will enable the inclusion of work schedule as part of the contract document. CONCLUSION The study described in this paper focus on the development of guidelines that can be used for the preparation and submission of work schedule. The guidelines consist of four main aspects of project scheduling. It is expected that the proposed guidelines will pave the way for the inclusion of work schedule as part of the contract document. REFERENCES Construction Industry Development Board Malaysia (CIDB) (2000). CIDB Standard Form of Contract for Building Work. 2000 Edition. Harban Singh, K.S. (2004). Work Programme - A Contractual Perspective. Buletin Ingenieur. Volume 21. Institution of Engineers Malaysia (IEM) (1994). IEM.ME 1/94: IEM Conditions of Contract for Mechanical and Electrical Works. Jabatan Kerja Raya (JKR) Malaysia (1988). A Guide on the Administration of Public Works Contracts. Sundra Rajoo (2000), The Malaysian Standard Form of Building Contract. 2nd. Edition. Malayan Law Journal/Butterworth. Appendix GUIDELINES FOR THE PREPARATION AND SUBMISSION OF WORK SCHEDULE Introduction The following guidelines highlight the steps for preparation and submission of work schedule. Part 1 Part 2 Part 3 Part 4 Process of Acceptance of Work Schedule Responsibilities of Contracting Parties Application of Work Schedule Implications of Work Schedule PART 1 Process of Acceptance of Work Schedule Preparation of Work Schedule • The main Contractor shall bear the responsibilities of preparing the work schedule. • The work schedule must be prepared by Contractor personnel that have undergone proper training from a recognised institution. • Upon completion of the work schedule preparation, it must be reviewed and approved by the Client or his representatives. Agreement • An agreement must be signed by both the Client and the Contractor when project scheduling is completed and work awarded to the contractor • Work Schedule must be considered as part of the contract document. -7- Types of Schedule • At least 2 types of schedule should be prepared for a project, the as-planned as well as as-built schedules. • Detailed work schedule should be prepared using the Network Modeling techniques i.e. Critical Path Method (CPM) and Program Evaluation Review Technique (PERT). • All schedules must be computer generated. The uses of scheduling software like Primavera Project Planner and Microsoft Project should be given priority. Cost of Preparation • All costs of preparation should be included in the tender price and to be reviewed by the Client. PART 2 Responsibilities of Contracting Parties Responsibilities of Client • The Client must monitor the use of work schedule by the Contractor • All major changes to the work schedule should be reviewed and approved by the Client before it is implemented. • The Client must ensure that all necessary information needed by the Contractor is provided for. • The Client must at all times make sure that the work schedules are updated by the Contractor by requesting a copy of the work schedule. • The Client should make the progress payment based upon the schedule’s progress and approved by the Quantity Surveyor • Whenever there is dispute in request for extension of time, the Client should make the work schedule as the primary source of information. Responsibilities of Contractor • The Contractor must prepare and submit the work schedule prior to the start of the project. • The Contractor is responsible to report any changes in the schedule to the Client or his representatives. • All causes of delays or changes to the schedule must be recorded properly by the Contractor and validated by the Client or his representatives. • Updating of the work schedule should be done by the Contractor or his representative on a weekly basis. • The Contractor must submit a copy of the updated work schedule to the Client and the Consultant along with the progress reports during site meeting. • At the completion of the project, the Contractor must submit the finalised as-built detailed work schedule to the Client. PART 3 Application of Work Schedule Planning of Project Resources • The work schedule shall be utilised as a tool to plan the resources to be used in the project. • Work schedule must include resource usage such as manpower, machineries, and materials. • Updating of the resources is a must and must be accompanied by proof of records such as invoice, labour records and etc. • Once the project is completed, the resource-based work schedule should be submitted to the Client. Monitoring of Project Progress • All monitoring work shall be based on the work schedule. • Work schedule should have baseline schedule to clearly show the planned and actual work done. • Work schedule should be updated daily by the Contractor and submitted every month to the Client together with other reports. Evaluation of Progress Payment • Evaluation of progress payment by the Quantity Surveyor should be done by referring to the work schedule. • Progress claims must be submitted based on the work schedule. • Contractor’s claims should be validated by the Quantity Surveyor prior to being approved by the Client. Evaluation of Claims for Extension of Time • In the case of project delay, the request for extension of time must be accompanied with the work schedule. • The reasons of delays must be indicated clearly in the work schedule. • The schedule used to support request for extension of time must be as-built schedule, created through the network modeling. PART 4 -8- Implications of Work Schedule Client’s Rights • The prominent owner of the work schedule is the Client. • The Client reserves the right to access all the information in the work schedule. • No changes shall be made without the approval of the Contractor and the Client. • The Client reserves the right to use the work schedule for other purposes after informing the contactor about the use of the work schedule. Consultant’s Rights • The Consultant has the right to the work schedule for monitoring and evaluation purposes only. • Full access to the project shall be granted when authorised by the Client. • The Consultant can request for changes to the work schedule either from the Client or Contractor. Contractor’s Rights • The Contractor reserves the right to fully use and update the work schedule for the purpose of the project alone. • Any other uses of the work schedule should be done after seeking the approval of the Client. -9-