TABLE OF CONTENTS Title Page No. Chapters - Himachaladmis.hp.nic.in/himachal/hpridc/L-2_Quality...

Quality Management System Procedure Manual for

Himachal Pradesh Public Works Department (HPPWD)

Procedure No.: QMS/PM/SP/Table of Contents Issue 01, Rev 00

Controlled Document Page No. : SP/i

TABLE OF CONTENTS Title Page No. Chapters 1. CONTROL OF DOCUMENTS ......................................................................................1-1

1.1. Purpose .............................................................................................................1-1 1.2. Scope ................................................................................................................1-1 1.3. References ........................................................................................................1-1 1.4. Responsibility ....................................................................................................1-1 1.5. Inputs.................................................................................................................1-1 1.6. Process .............................................................................................................1-2 1.7. Outputs ..............................................................................................................1-5 1.8. Process Monitoring and Measurement.............................................................1-5 1.9. Effectiveness.....................................................................................................1-6 1.10. Annexure ...........................................................................................................1-6

2. CONTROL OF RECORDS............................................................................................2-1 2.1. Purpose .............................................................................................................2-1 2.2. Scope ................................................................................................................2-1 2.3. References ........................................................................................................2-1 2.4. Responsibility ....................................................................................................2-1 2.5. Input...................................................................................................................2-1 2.6. Process .............................................................................................................2-1 2.7. Output................................................................................................................2-3 2.8. Process Monitoring and Measurements ...........................................................2-3 2.9. Effectiveness.....................................................................................................2-3 2.10. Annexure ...........................................................................................................2-3

3. INTERNAL AUDIT .........................................................................................................3-1 3.1. Purpose .............................................................................................................3-1 3.2. Scope ................................................................................................................3-1 3.3. References ........................................................................................................3-1 3.4. Responsibility ....................................................................................................3-1 3.5. Inputs.................................................................................................................3-2 3.6. Process .............................................................................................................3-2 3.7. Outputs ..............................................................................................................3-3 3.8. Process Monitoring and Measurement.............................................................3-4 3.9. Effectiveness.....................................................................................................3-4 3.10. Annexures .........................................................................................................3-4

4. CONTROL OF NON-CONFORMING PRODUCTS/PROCESS...................................4-1 4.1. Purpose .............................................................................................................4-1 4.2. Scope ................................................................................................................4-1 4.3. References ........................................................................................................4-1 4.4. Responsibilities .................................................................................................4-1 4.5. Abbreviations and Definitions ...........................................................................4-1 4.6. Input...................................................................................................................4-1 4.7. Process for identifying Non Conforming Products ...........................................4-2 4.8. Effectiveness.....................................................................................................4-5 4.9. Annexure ...........................................................................................................4-5

5. CORRECTIVE ACTION ................................................................................................5-1 5.1. Purpose .............................................................................................................5-1




Controlled Document Page No. : SP/ii

5.2. Scope ................................................................................................................5-1 5.3. References ........................................................................................................5-1 5.4. Responsibilities .................................................................................................5-1 5.5. Inputs.................................................................................................................5-1 5.6. Process .............................................................................................................5-2 5.7. Output................................................................................................................5-3 5.8. Process Monitoring and Measurement.............................................................5-3 5.9. Effectiveness.....................................................................................................5-3

6. PREVENTIVE ACTION .................................................................................................6-1 6.1. Purpose .............................................................................................................6-1 6.2. Scope ................................................................................................................6-1 6.3. References ........................................................................................................6-1 6.4. Responsibilities .................................................................................................6-1 6.5. Inputs.................................................................................................................6-1 6.6. Process .............................................................................................................6-2 6.7. Outputs ..............................................................................................................6-2 6.8. Process Monitoring and Measurements ...........................................................6-3 6.9. Effectiveness.....................................................................................................6-3

7. MANAGEMENT REVIEW .............................................................................................7-1 7.1. Purpose .............................................................................................................7-1 7.2. Scope ................................................................................................................7-1 7.3. References ........................................................................................................7-1 7.4. Responsibility ....................................................................................................7-1 7.5. Inputs.................................................................................................................7-1 7.6. Process .............................................................................................................7-2 7.7. Outputs ..............................................................................................................7-3 7.8. Process Monitoring and Measurements ...........................................................7-3 7.9. Effectiveness.....................................................................................................7-3

8. HUMAN RESOURCES DEVELOPMENT.....................................................................8-1 8.1. Purpose .............................................................................................................8-1 8.2. Scope ................................................................................................................8-1 8.3. Reference..........................................................................................................8-1 8.4. Process Inputs ..................................................................................................8-1 8.5. Description ........................................................................................................8-1 8.6. Outputs ..............................................................................................................8-5 8.7. Process Monitoring and Measurements ...........................................................8-5 8.8. Records .............................................................................................................8-5

9. COMMUNICATION .......................................................................................................9-1 9.1. Purpose .............................................................................................................9-1 9.2. Scope ................................................................................................................9-1 9.3. References ........................................................................................................9-1 9.4. Responsibility ....................................................................................................9-1 9.5. Inputs.................................................................................................................9-1 9.6. Process .............................................................................................................9-2 9.7. Outputs ..............................................................................................................9-5 9.8. Process Monitoring and Measurements ...........................................................9-6 9.9. Effectiveness.....................................................................................................9-6 9.10. Annexures .........................................................................................................9-6

Annexures




Controlled Document Page No. : SP/iii

Annexure 1.1 : Document Numbering System .................................................................1-7 Annexure 1.2 : Request for Change in Document ............................................................1-8 Annexure 1.3 : Control Sheet ............................................................................................1-9 Annexure 1.4 : Master-list of Documents........................................................................1-10 Annexure 1.5 : List of Documents of External Origin......................................................1-11 Annexure 1.6 : Flowchart for document preparation and administration........................1-12 Annexure 2.1 : Flowchart for Record Control ...................................................................2-4 Annexure 2.2 : Record Matrix............................................................................................2-5 Annexure 2.3 : Audit Summary Report (Typical Record) .................................................2-6 Annexure 2.4 : Permanent Records Identification ............................................................2-7 QMS/ F 04..........................................................................................................................3-5 Annexure 3.1 Internal Audit Plan/ Calendar for HPRIDC/ HPPWD .................................3-5 QMS/ F 05..........................................................................................................................3-6 Annexure 3.2 Typical Internal Audit Schedule..................................................................3-6 QMS/ F 06..........................................................................................................................3-7 Annexure 3.3 Non-Conformity Report...............................................................................3-7 Annexure 3.4 : Internal Audit Findings..............................................................................3-8 Annexure 3.5 : Audit Summary Report .............................................................................3-9 Annexure 3.6 : Audit Process Flowchart.........................................................................3-10 Annexure 4.1 : Control of Non-Conforming Product.........................................................4-6 Annexure 8.1 : Record of Competency Requirement.......................................................8-7 Annexure 8.2 : Typical Training Calendar.........................................................................8-8 Annexure 8.3 : Employee Training Record.......................................................................8-9 Annexure 8.4 : Training Course Evaluation Form...........................................................8-10 Annexure 9.1 : Communication Matrix in HPPWD ..........................................................9-7



Procedure No.: QMS/PM/SP-01/Control of Documents Issue 01, Rev 00

Controlled Document Page No. : SP/1-1

1. CONTROL OF DOCUMENTS 1.1. Purpose

To ensure that QMS in the organization is effectively implemented, it is essential to control generation and issue of documents, data, forms and registers. This is achieved by ensuring the correct issues of documents and data available at the place of work. For effective control, it is necessary to identify the approving and issuing authority.

1.2. Scope

This procedure applies to all controlled documents and data related to the requirements of the QMS and shall be observed by every staff member involved in planning, construction and maintenance activities of HPPWD.

1.3. References

Quality Manual, Procedures Manual, Level III and IV documents, Documents of external origin (ISs, IRC codes, MOSRTH publications)

1.4. Responsibility

• HDM/AE – Creation of documents. • EE / SE – Review of documents. • MR and DMR - To issue the approved documents and maintain the Master-

list of documents, coordinate the issuing of the document after allocation of number and ensure final release of all Quality Management documentation (Quality Manual, Procedure Manual, Construction Management Manual, Forms and Formats).

• MR shall ensure distribution and maintenance of QMS documentation as well documents of external origin after approval.

• Secretary/MD - Approval of documents. • QM, PM, WI - Quality Manual, Procedure Manual, Work Instructions.

1.5. Inputs

Description Source Planning Review Criteria Ref. Doc / Formats

Documents prepared within organization such as QM, PM, WI, Formats, etc.

Concerned SE EE/ HDM/ AE

As and when required

Requirements of ISO 9001 HPPWD processes

Operation manual of equipments

Suppliers Whenever new equipment is procured

Operating and maintenance Instructions

Instruction manual

ISO 9001 and other standards

BIS, IRC, MOSRTH

For every updating

Current status Websites

Construction regulatory requirements

Regulatory bodies

Whenever new

Applicable details

-





Description Source Planning Review Criteria Ref. Doc / Formats

regulations come into force

Request for change in document

Concerned Circle / Division


Details of change

Request for change in document QMS/F 01

1.6. Process

Sl. No.

Activity Responsibility Ref. Doc / Formats

1. Creation of Document (a). Identifying the need of a new document

and discuss the requirements to be included in the document-procedure - Forms / Registers / Lists.

Any staff Member from H.O/ Circle/ Division/ Sub -division

2. Prepare Draft Document (a). All QMS documents shall be identified

by title and number; page numbering, issue date, revision number and date of issue; shall display the name and signature blocks for the approving and issuing authority. Documents shall be issued as per the controlled distribution list, which shall identify the document’s latest revision date. Where possible, documents may be written in the form of flowcharts, block diagrams etc.

DMRs Master-list of documents QMS/L 01

3. Document changes (a). If changes are required in any

document submit the proposal to MR along with ‘Request for change in document’ format available.

Originating H.O/ Circle / Division

Request for change in document QMS/F 01

(b). Review the change proposal with the concerned activity and ensure that proposed changes do not affect the effectiveness of the Quality System.

MR

(c). Prepare the new document by incorporating the changes from originating Circle / Division after approval, by ensuring the issue number, month, date of issue.

Concerned MR / DMR

(d). Approve the revised document and return to DMR (Circle / Division)

MR





Sl. No.


(e). Receive the approved document and issue

DMR

4. Review Draft (a). When a new or revised document has

been prepared, the proposed document shall be discussed with relevant personnel for review and comment. Any controlled document being revised and circulated for comments shall be clearly be identified as “DRAFT”. The new / revised procedure shall incorporate reference to the amendment issued.

5. Approval (a). Once all comments have been

adequately resolved and incorporated, final approval is given by the Secretary/MD.

MR

6. Issue Control (a). Enter the details of document number,

issue number, date of issue. MR Control sheet with

Acknowledgement and Removal advice slip- QMS/F 02

(b). Ensure that each page of the document is duly stamped ‘CONTROLLED’ in green (if uncontrolled in black).

MR/DMR

(c). Issue the document to the concerned H.O Circle / Division along with control sheet.

MR Control sheet with Acknowledgement and Removal advice slip QMS/F 02

(d). Receive the document from MR and return the old issue along with acknowledgement slip to MR for archives.

Concerned DMR Control sheet with Acknowledgement and Removal advice slip QMS/F 02

(e). Enter the details in the list of ISO9001 Documents and file control sheet separately.

Concerned DMR

(f). Receive the old issue along with ‘Acknowledgement and Removal confirmation’.

MR Control sheet with Acknowledgement and Removal advice slip QMS/F 02





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(g). Retain a copy of the old issue as a reference copy in archives after stamping as ‘OBSOLETE’ and destroy all other obsolete copies.

MR

(h). Enter the details in the master list of documents in the Register (Maintaining the master list in the PC is advisable).

MR/DMR Master list of documents QMS/L 01

7. Procedure Components (a). All procedures shall carry the same

basic components, which shall be: PURPOSE – to define the intent of the

procedure and its objectives. SCOPE - to define the applicability of

the document within the QMS. REFERENCES - to identify any other

documents, which are related to the task, described within the procedure, or which contain technical information relevant to the activity described and to which the reference has been made (such as IS, IRC,MOSRTH, Departmental Codes etc.).

RESPONSIBILITIES - to identify the key responsibilities, which are required to be fulfilled for the procedure to be implemented effectively.

ABBREVIATIONS AND DEFINITIONS - words that are unique to the procedure or process and other definitions specific to the procedure.

INPUT - Identifies all inputs for the process, resources and review criteria. and reference documents.

PROCESS - describes the activities involved in the fulfillment of the procedure. Identifies who does what, when and where as related to the activity being carried out.

OUTPUT - to describe through the records, created by the use of the procedure and any responsibilities for their identification and maintenance. Where applicable the effectiveness of the process shall also be detailed.

PROCESS MONITORING AND MEASUREMENT – details about

MR





Sl. No.


review parameters or controlling points of the procedure, its acceptance criteria.

EFFECTIVENESS OF THE PROCEDURE- details the output of the processes for continual improvement

ANNEXURES - to identify relevant attachments as applicable to the procedure eg. Flowcharts, forms.

(b). In the event of any additional details are required to supplement the procedure, these details may be incorporated as “annexure” to the procedure eg. Sampling schemes.

MR

(c). In case of standards / specifications / Drawings from outside sources maintain a “List of Documents of External origin” identifying the controls and status by suitable markings and distribution lists.

MR List of documents of External Origin QMS/L 02

Note: In absence of MR, DMR will perform MR’s Responsibility

1.7. Outputs

Description To Action Ref. Doc / Formats Controlled copies of documents including revision and updated documents of external origin

Concerned DMR/MR

As and when prepared or received

Master-list of Documents QMS/L 01 Control sheet with Acknowledgement and Removal advice slip QMS/F 02

Master Register

Concerned MR While establishing the system

Master-list of Documents QMS/L 01

Control sheet Concerned MR For every new / amended document

Control sheet with Acknowledgement and Removal advice slip

1.8. Process Monitoring and Measurement

Review Parameters Acceptance Criteria

Responsibility Checks/Act

Complete details and Authorization and

At the appropriate locations of the

All MRs Whenever issued






Responsibility Checks/Act

issue document, signatures

Controlled stamp Green Color MR/ DMRs Whenever issued / during Audit

Obsolete documents No obsolete document at work place Stamped ‘Obsolete’ on the cover in red

MR/ DMRs Quarterly / during internal audits

Amendment of document

As per identified needs

MR As and when required

1.9. Effectiveness

The documented procedure:

• Improves documentation system. • Provides clearer approach to the QMS needs. • Removes ambiguity in interpretation. • Guides control and issue by the relevant authorities. • Assists the certifying agencies while auditing.

1.10. Annexure

• Document Numbering System (Annexure 1.1). • Request for change in Document QMS/F 01 (Annexure 1.2). • Control sheet with Acknowledgement and Removal advice slip

QMS/F 02 (Annexure 1.3). • Master-list Documents QMS -L-01 (Annexure 1.4). • List of documents of external origin QMS -L-02 (Annexure 1.5 • Flowchart for document preparation and administration (Annexure 1.6).





Annexure 1.1 : Document Numbering System

Level Document Document Number

I Quality System Manual QMS/QM XX Procedure Manual/ System Procedures QMS/PM/SP XX

II Procedure Manual/ Quality Procedures QMS/PM/QP XX

Work Instructions/ Test Plans / Checklists QMS/WI/BC OR BGC OR RC XX

BCM OR BGCM OR RCM TP/CL XX

as applicable

III

Measuring Equipment identification QC/ INT XX Forms QMS /F XX Registers QMS /R XX IV Lists QMS /L XX

Records QMS/ Rc XX Legend: HPPWD Himachal Pradesh Public Works Department.

QMS Quality management System QM Quality Manual PM Procedure Manual CL Checklist TP Test Plans WI Work Instructions QC/INT Quality Control/ Instrument L List XX Any digit from 00 to 99 to indicate the serial number

1. HPRIDC

Project Implementation Unit (H.O) CMU, Shimla CMU, UNA CMU, Hamirpur Finance Wing

2. National Highways

Circle Office including Head Office Solan Division Rampur DIvision





Annexure 1.2 : Request for Change in Document QMS/F 01

Following changes are requested in the Document Title and No: ____________________

Page No: _________________ Para No: ____________________

Page and Para No Reason for Change Changes

Proposed by :

Designation :

Division/Division/Circle :

Signature and Date :

Management Representative MR

Change No: Rev/Date





Annexure 1.3 : Control Sheet (With Acknowledgement and Removal Advice Slip)

QMS/F 02

CONTROL SHEET

To

#REF!

TITLE :

DOC.NO : Rev No : Dated :

Summary of change

Management Representative ---------------------------------------------------------------------------------------------------------------------

Acknowledgement and Removal Slip To Management Representative

REF : ACK OF /

TITLE :

DOC.NO : Rev. No : Dated :

REF: REMOVAL OF PAGE

REF:

DOC.NO : Rev. No : from :

Controlled Copy No: Sign. Of Department Head





Annexure 1.4 : Master-list of Documents

QMS/L 01

No. of Copies

Issue No. Summary of Change Document No.

Document Title

Revision No.

Revision Date

Approved By

H.O/ Circle / Division





Annexure 1.5 : List of Documents of External Origin

QMS/ L 02

1. National Building Code 2005 Indian Standards, Special Publications for Buildings, construction management related Activities (hardware and software’s etc.).

BIS, New Delhi

2. IRC codes. Special publications. Indian Roads Congress, New Delhi

3. Guidelines, recommendations for roads.

Ministry of Shipping ,Road Transport and Highways (MOSRTH)

4. Manuals for machinery and testing equipment from OE suppliers.

Suppliers of equipment

5. Other departments’ drawings, specifications, approvals.

World Bank, Haryana/ Punjab Public Works Department etc.





Annexure 1.6 : Flowchart for document preparation and administration

Creation of Document Or

Document changes

Prepare Draft Document

Review Draft

Approved?

Issue control and Management

Concerned MR/ DMR Whenever need is

identified

Concerned MR/ DMR

Marked as 'DRAFT' - Coordinate for Review - Comments consolidated and Incorporated

Final Document - Signature of MR - Issued to the controlled copy holders



Procedure No.: QMS/PM/SP-02/Control of Records Issue 01, Rev 00


2. CONTROL OF RECORDS 2.1. Purpose

To establish a system for control and maintenance of Quality Management System related records.

2.2. Scope

All quality records identified for QMS of HPPWD.

2.3. References

Department Code, Accounts Code (NH), operational manual and World Bank guidelines

2.4. Responsibility

All Circle and Division Heads are responsible for preparing record matrix and maintaining records in their individual offices.

2.5. Input

Process Inputs Source Planning Review Criteria Various records QMS documentation As per requirement

of procedure Relevance Identification

2.6. Process

Sl. No.


1. Identify the information/data to be maintained by the department (Circle / Division) and collect the same. Note: Records can be in any media (soft or hard copies).

SE / EE

2. Maintenance of sub-files for papers which can suitably be dealt with separately from the main file is normally followed - Matters not immediately connected with the construction of the works, which may arise during construction, should be dealt with in the sub-files (which should be closed when the related issues with which they deal are disposed of). Subsequent transactions with regard to the work, which may arise after the main file is closed, should be dealt within separate files.

3. Decide the retention period of individual records and maintain a record matrix The retention period may be decided based on the following :

SE / EE

Record matrix QMS/F 03





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• Departmental requirement. • Legal requirement. • Customer’s requirement.

4. Maintain active files for each record giving title and form number on the file.

SE / EE -

5. In February each year, the record keeper should segregate all the files, registers, statements and accounts etc., which are marked for destruction in that year and should prepare a list of them and submit it to the head of the office. Upon approval, the record keeper should destroy the files, registers, statements, accounts etc. and certify on the list and store for reference.

6. On completion of retention period, review individual records and decide about disposition or to retain for further period.

The Competent Authority should approve the destruction of records in their offices and those of their subordinates as may be considered obsolete and useless, after the expiry period of preservation. While ordering the destruction of such records great care should be exercised to ensure that such records are obsolete and not needed for further usage. A list of such records pertaining to the accounts of the department should be forwarded to the audit officer for his remarks, before their destruction is ordered.

SE / EE -

7. If decided to retain further, shift records to “archives” (Record room).

SE / EE

8. Records which are to be retained permanently will be stamped “PERMANENT’; Records which are to be ‘disposed of’ after the retention period will be stamped “Dispose of in 20………….” the year in which they are to be disposed of. The year will be according to its main subject and as per requirements. The manner of disposal will also have to be specified.

9. If decided to dispose of, the method of disposal, whether by shredding, burning, wedding out, etc., shall be documented in the procedure.

SE / EE

10. Records (files, register, log books etc.) should be arranged in the record room as follows: Files and sub files bearing the same file number will be arranged together; those that are to be retained being first and then in chronological order of year of destruction. The registers, statements,

SE / EE





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accounts etc., should be kept separately in the record room and disposed of as and when due for disposal.

Ensure the records are legible and are not damaged or lost.

11. Ensure that records are kept at their designated location, as per record matrix, for easy access/ retrievability. The safety of the records from rodents, termite etc shall be ensured.

SE / EE

2.7. Output

Description To Check/Act Ref. Doc/ FormatsRecord matrix

All Circles and Divisions

Initiation of QMS and as and when new Procedures/ Work Instructions are prepared

Record matrix QMS/F 03

2.8. Process Monitoring and Measurements

Review Parameters

Acceptance Criteria

Responsibility Checks/ Act

Ref. Doc / Formats

Maintenance of Records

Available Legible Proper storage Identifiable Retrievable

EE/Supdt./AO Whenever required Internal auditor

During Internal Audits

NCs related to QMS records

As per departmental needs

MR/ DMR’S After Internal audits

Audit summary report- Typical record

2.9. Effectiveness

The control of record has to be effective and efficient in a QMS since the records are the basic documents of high importance in the hierarchy of documentation needs of the system. The implementation of the procedure provides for assured references whenever needed, easy retrieval, proper storage and user friendly documentation management.

2.10. Annexure

• Flowchart for Record Control (Annexure 2.1). • Record Matrix QMS F-03 (Annexure 2.2). • Audit Summary Report QMS F-08 (Annexure 2.3). • Permanent Records Identification (Annexure 2.4).





Annexure 2.1 : Flowchart for Record Control

Create Record when required

By QMS

Maintain record till the retention period

Review for disposition

Approved?

Disposal by approved method

Concerned DMR

Concerned MR

Record keeper

The CA should approve the destruction of records in their offices and those of their subordinates as may be considered obsolete and useless, after the expiry of period of preservation. While ordering the destruction of such records, adequate care should be exercised. Yes

No





Annexure 2.2 : Record Matrix

QMS/F 03

Sr. No. Record Title Record No. Location Retention Period (Years)

Frequency of Review

Signature - Incharge

[Reference shall also be made to the Manual of Forms and Formats]





Annexure 2.3 : Audit Summary Report (Typical Record)

QMS/ F 08 Internal Audit No:

Department Audited

Auditee Area Audited

Auditor Date of Audit

Non-Conformity / Observations

Remarks:

No. of Audits planned: No. of Audits carried out: No. of Audits not carried out

Reason for not conducting audit

Proposed Audit Date

Authorized Signatory

Name Designation Signature

Note: Clause 8.2.2 Internal Audit Record shall be maintained.





Annexure 2.4 : Permanent Records Identification [Reference shall be made to the Manual of Forms and Formats for various records in usage].

Following Records shall on no account be destroyed but permanently retained at the circle / division:

1. Records connected with expenditure, which is within the statute of limitation (or within the period of limitation fixed by law).

2. Records connected with extinguish on project schemes or works not completed, although beyond the period of limitation.

3. Records of experiments and observations. 4. Records connected with claims to service and personal matters connected to

persons in the service. Counterfoil of cheques issued may be destroyed, after six completed account years. Measurement books must be carefully preserved fifteen years after the date of completion of work, the measurements of any part of which are recorded therein.

5. Orders and sanctions of a permanent character until revised. 6. Cash book, stock registers including those of furniture etc. and Treasury

Remittance Books. 7. For retention of any records after expiry of their period of preservation on account

of unexpected reasons, sanction of Competent Authority (Chief Engineer) is essential.

8. Accounts records should be destroyed only obtaining concurrence of the Accountant General.

9. The forms and formats followed by the accounts and administration shall be as per the Accounts Code/ operational manual, wherever applicable.



Procedure No.: QMS/PM/SP-03/Internal Audit Issue 01, Rev 00


3. INTERNAL AUDIT 3.1. Purpose

To establish and maintain a system of internal audits to determine the effectiveness of the established Quality Management System (QMS)

3.2. Scope

This procedure applies to the documented QMS for processes and products.

3.3. References

ISO 9000:2005 QMS - Fundamentals and Vocabulary ISO 9001QMS - Requirements ISO 19011:2002 - Guidelines for auditing of environment and Quality Management Systems.

3.4. Responsibility

• SE/ EE/ HDM for overall audit planning and execution at the respective levels. • Provide all resources necessary for auditors to conduct an efficient and

effective audit. • Responsible for assuring prompt responses from all staff members to any Non-

Conformance identified during audits, initiate corrective, preventive actions without undue delay and to ensure conformance to established quality procedures and processes.

• Inform employees about the scope and objectives of the audit; schedule in advance, review audit summary reports at regular intervals; respond promptly to audit findings; and take steps to resolve any Non-Conformances reported in an effective manner.

• Management Representative (MR) shall ensure ensures that all internal Auditors appointed to conduct audits are independent of the activities being audited; are properly trained in accordance with the requirements of this procedure and that no other potential conflicts of interest exist.

• MR is responsible for ensuring that this procedure is followed by all internal Auditors promptly reporting audit findings to the In-charge of the area audited; and ensuring that any corrective actions are pursued and closed as quickly as possible.

• He prepares audit summary report for the Management Review meeting at appropriate intervals.

• Initiates preventive action for potential Non-Conformance (NC). • All staff and personnel are required to participate fully in the Internal Audit

process to check conformance to QMS requirements established by HPPWD and to enable continual improvement of the management system.

• The Audit Team Members are responsible for accomplishing audits in accordance with the schedules, coordinating Audit findings with MR and the Auditee and prepare the audit summary report.

• Perform follow up audits for verifying corrective actions taken and reporting verification results.





3.5. Inputs

Process Inputs Source Planning Review Criteria

Ref. Doc/ Formats

Previous IA / External audit findings

Auditors After completion of IA/ External audit

NCs raised by the auditors

Non Conformance Report Audit summary report QMS/F 05,06

List of trained auditors

MR Audit schedule Trained and independent

List

Audit checklist Auditors For audit execution

Scope of Audit

--

Procedures and other relevant documents namely Quality Policy and Objectives, etc.

MR For audit execution

Scope of Audit

--

3.6. Process

Sl. No.

Activity Responsibility Ref. Doc/ Formats

1. Audit Preparation Prepare audit plan for the calendar year. While preparing Audit schedule consider the following: • Divisions to be covered. • Size of division and no. of documents to

be covered. • Previous audit reports. • Customer complaints received.

MR/ DMR Audit calendar QMS - F 04

2. The Internal Audit at the H.O/ Secretariat level will be carried out once in a year. The Internal Audit at circle/ division level will be carried out once in a six month.

MR/ DMR -

3. Maintain a list of trained auditors. MR 4. Select audit team from list of auditors. MR - 5. Send copy of the audit schedule to the

concerned departments and Auditors. MR/ DMR Audit schedule

6. Contact Auditee for finalizing schedule. Nominated auditors

7. Collect relevant documents as per scope of audit, including previous audit report from MR, review the same and prepare checklist.

Nominated auditors

Audit Execution

8. Inform the Auditee about audit methodology Nominated -





Sl. No.


and initiate audit as per checklist. auditors 9. Verify conformance to documented

procedures and effectiveness of the previous CA, PA from the earlier audits. In case of NC, prepare NC Report.

Nominated auditors

NC report QMS/F 05

10. The Corrective Action agreed to and expected date of closing of NC.

Nominated auditors

NC report QMS/F 05,06

11. Prepare audit summary report. MR Audit report 12. Discuss the audit findings with MR/ DMR. Nominated

auditors Audit report

13. Handover audit findings to Auditee for necessary CA, PA along with copy of NCRs Handover all checklists and audit summary report to MR.

Nominated auditors

-NC report -Audit report QMS/F 05,06

14. Follow up audit to verify CA to ensure closing of NC. Complete the NCR.

DMR NC report QMS/F 05,06

15. Review the completed NCR and update the audit schedule, if required.

MR Audit schedule QMS / F 04 NCR QMS / F05, 06

16. Review the audit schedule; in case of slippage, reschedule the audit.

MR/ DMR Audit schedule QMS / F 04

17. Once all CAs have been verified and appropriately documented, the MR shall close the current internal audit report with entry into the records file. The MR shall prepare a summary report of current audit cycle findings and submit it in the Management Review meeting.

Audit summary report QMS / F 09

3.7. Outputs

Description To Checking/Act Ref. Doc/ Formats

Audit schedule All concerned departments

Half Yearly Audit schedule QMS / F 04

NCR and audit reports All concerned departments

After IA NC report Audit report QMS / F 05 QMS / F 06

Summary of Audit reports Management After IA Audit Report QMS / F 07







Responsibility Check/ Act

Ref. Doc/ Formats

Audit schedule Meeting audit schedule

MR Half Yearly

QMS / F 04

CA, PA on NC raised during audits

• Action taken during agreed time span.

• Effectiveness of action taken

MR

Auditor

Half Yearly

During

next audit

QMS / F 05 -

Availability of trained auditors

Trained auditors for every activity

MR Half yearly

-

No. of audits deviated from plan

Objective MR Yearly -

3.9. Effectiveness

The internal audits shall be effective and efficient and reviewed in the Management Review meeting to:

• Identify potential areas for improvement. • Identify preventive measures to avoid any Non-Conformances in the process/

product. • Improve auditing process on a continual basis. • Improve the competency of human resources. • Obtain customer satisfaction (internal and external).

3.10. Annexures

Typical proformae is given below:

1. Internal Audit plan/calendar QMS / F 04 (0) 2. Internal Audit schedule QMS / F 05 (0) 3. Non-Conformity Report QMS / F 06 (0) 4. Internal Audit Findings QMS / F 07 (Annexure 3.4) 5. Audit summary report QMS / F 08 (Annexure 3.4) 6. Audit Process flowchart (Annexure 3.6)





QMS/ F 04

Annexure 3.1 Internal Audit Plan/ Calendar for HPRIDC/ HPPWD

Year:_______ To:_______

Auditors Department to be

audited Auditee

Scope of

Audit

Audit Criteria

Month of

Audit Timings I II

Date for submitting

report

_______________________ MR/ DMR

Date: __________________





QMS/ F 05

Annexure 3.2 Typical Internal Audit Schedule For the Month: __________

ISO Clause

Details Areas to be audited

H.O Div/ CMU Establishment Accounts Tendering/ Tech Site 4 Quality Management System 4.1 General Requirements of System 4.2 Documentation requirements 5 Management Responsibility 5.1 Management Commitment 5.2 Customer Focus 5.3 Quality Policy 5.4 Planning 5.5 Responsibility, Authority and

Communication

5.6 Management Review 6 Resource Management 6.1 Provision of resources 6.2 Human resources 6.3 Infrastructure 6.4 Work Environment 7 Product Realization 7.1 Planning of product realization 7.2 Customer Related Processes 7.3 Design and Development 7.4 Purchasing 7.5 Production &Service Provision 7.6 Control of Monitoring and

Measuring devices

8 Measurement, analysis and improvement

8.1 General 8.2 Monitoring and Measurement 8.3 Control of Non-conforming

Product

8.4 Analysis of Data 8.5 Improvement (C, P actions)

Auditors / Auditee’s Name, Date, Timing of audit Sl. No. Auditor’s Name Auditee’s Name Date Time

Circulated to concerned departments and auditors for compliance

MR’s signature SE/EE’s signature

Internal Audit No. Date:





QMS/ F 06

Annexure 3.3 Non-Conformity Report

Audit Number NCR No: Department / Location Date(s) of Audit Auditor (s) Name: Details and cause of Non-Conformance : Reference document / audit criteria ISO 9001Clause No: Auditor(s) Auditee(s) Signature(s): Signature(s) Root cause, Correction and Corrective & Preventive Action: Proposed Completion Date: Auditee(s) Signature(s) Date: Verification of Corrective and Preventive Action: Yes / No (Mention comments / evidence) Auditor(s) Signature(s) Date: NCR Status (Closed / Open) Reviewed By: _______________________ MR/ DMR Date:





Annexure 3.4 : Internal Audit Findings

QMS/ F 07

Name and Designation of Auditee Signature Name and Designation of Auditor Signature Legend: MAJOR NON-CONFORMITY, (MNC) MINOR NON-CONFORMITY(mnc), OBSERVATION (O)

Department: Section: Internal Audit No. Date:

Sr. No.

ISO Clause No. Details of Observations Categories (MNC/ mnc/ obs)





Annexure 3.5 : Audit Summary Report

QMS/ F 08 Internal Audit No:

Department Audited

Auditee Area Audited

Auditor Date of Audit

Non-conformity /

Observations

Remarks: No. of Audits planned: No. of Audits carried out: No. of Audits not carried out

Reason for not conducting audit

Proposed Audit Date

Authorized Signatory

Name Designation Signature





Annexure 3.6 : Audit Process Flowchart

Audit programme

Conduct Audit

NC found?

Audit Process Review

Audit Summary Report

Close Audit file

Record Audit findings

Initiate corrective action

Review corrective action

Corrective action plan verification

Corrective action

verified?

N

Y

Y

N

Audit plan

Audit preparation

Tracking Audit Progress

Management Sanction



Procedure No.: QMS/PM/SP-04/Control of Non-Conforming Products/Process Issue 01, Rev 00


4. CONTROL OF NON-CONFORMING PRODUCTS/PROCESS

4.1. Purpose

To establish and control a system to identify and prevent Non-Conforming process / unintended use or delivery of any Non-Conforming product(s) from a process

4.2. Scope

This procedure applies to all aspects of product(s) and services provided by HPPWD. It is applicable to all stages of construction product development, at all working levels.

4.3. References

World Bank guidelines, operational manual, IS Specifications, IRC, ISO 9001 MOSRTH guidelines. Construction Management Manuals (CMM) for roads and bridges, NC register, NC report. Measurement Books Work Order book etc.

4.4. Responsibilities

The SE, EE, EE respectively from H.O, Circle, Division and Sub-division are responsible for assuring and enforcing the provisions of this procedure.

Approval authority for release of construction product(s) to the customer ultimately lies with the CE, EE, Quality Division and EE of the concerned Division, where the product(s) was/ were developed.

4.5. Abbreviations and Definitions

4.5.1. Abbreviations

CA - Corrective Action

NC - Non-Conformance

PA - Preventive action

NCP –Non-Conforming product

QA – Quality Assurance

QC – Quality Control

4.5.2. Definition

Non-conforming (NC) product - Any product that does not meet (conform to) the specified requirements.

4.6. Input

Process Inputs Source Planning Review Criteria Ref. Doc/ FormatsNC product

Concerned Sub-

Whenever there is a

Details and identification of





Process Inputs Source Planning Review Criteria Ref. Doc/ Formats division NC NC Specifications, Design and drawings, plans, Reports, surveys

Quality Control Division

As and when issued or revised

Current with all amendments

-

Test / Inspection report

Quality Lab

Before execution, In-process and On-completion

Deviation in specified requirements

Test report proformae of the QA (CMM for roads, bridges and buildings

4.7. Process for identifying Non Conforming Products

4.7.1. Identification

Within HPPWD, non-conforming products are generally limited to elements of the design and construction management processes. These can occur as design errors, incorrect data collection, erroneous assumptions, use of inappropriate criteria, or incorrect scope. HPPWD procedures provide means to identify, document, evaluate and control such occurrences to ensure that faulty designs and/or products never reach the customer. Documentation in the form of comments highlighting non-conformities shall be provided to all relevant staff. Any employee can identify a problem or receive a customer complaint.

Typical Non-Conformances are • Raw materials – Non-Conformance to specifications. • Designs – Wrong designs arising out of incorrect assumptions, incorrect data

analysis. • Budget Estimation - Wrong calculations of project completion time, Over runs,

incorrect manpower sourcing. • Execution- Wrong Contractor for the work allotted, incorrect interpretations,

inability to read drawings and calculations. • Processes- Incorrect processing such as only one coat of painting against

specified, water proofing not being done as per specifications, Wrong measurements, material used not of specified quality etc.

4.7.2. Reviews and Disposition of Non-Conforming Products

In compliance with project requirements and in line with HPPWD policy for continual improvement all HPPWD products and services shall be periodically reviewed to ensure that such products are identified and corrected before being allowed to proceed any further. If a decision is made to accept a non-conforming product, the decision shall be reported for customer’s consideration and a description of the non-conformity and acceptance shall be recorded.





Non-conformities may also be identified through:

• Customer complaints (internal and external). • QA/QC activities. • Internal or Surveillance Audits. • Designs reviews. • Process control activities. • Various surveys conducted to monitor and measure users’ satisfaction.

Immediate resolution of the problem shall be taken up by competent authority. If the authorized engineer(s) cannot resolve the problem, it shall be referred to the QC division for review. In the case of customer complaints, they shall be resolved immediately through appropriate means, after detailed investigation jointly by QC and the concerned Division/Sub-division. Such complaints shall be recorded in the Register of Complaints.

4.7.3. Determination of Non-Conformance

Concurrently, involved employee(s), with other appropriate personnel, (preferably through a Quality Circle) shall determine if the problem or complaint is a Non-Conformance.

If the alleged problem is determined to be a Non-Conformance the JE shall discuss the issue(s) with the EE. The EE shall determine, if the root cause of the Non-Conformance is related to design error or a quality procedural problem. If the Non-Conformance is a design error, or, associated with the construction process all appropriate measures shall be taken by EE in consultation with EE of concerned Division and EE (Quality Division) respectively. The NC and CA shall be documented.

If the alleged problem is determined to be a deficiency caused by any aspect of the quality management system, then a Non-Conformance shall be documented as part of a corrective action assigned by the Management Representative to the appropriate element.

4.7.4. Correction & Corrective Action

In accordance with Procedure for CA, the concerned Auditee, assigned to complete the corrective action, shall document the intended actions and submit the corrective action plan to the Management Representative for review and acceptance. The action plan will include a description of how the Non-Conformance will be ultimately addressed.

Disposition of the Non-Conformance is determined from one or more of the following:

• Take immediate action to determine the root cause and eliminate the detected non-conformity.

• Authorizing release or acceptance of non-conforming product or service, under concession by relevant authority and, where applicable, by the customer.

• Taking action to preclude its original intended use or application.





Wherever practical, non-conforming products shall be segregated immediately at the time of identification until acted upon, to preclude unintended use by authorized personnel.

When a Non-Conformance is detected after delivery to the customer, the MR/DMR in consultation with Competent Authority shall determine the further actions needed to resolve the observed Non Conformance.. A plan for resolution of the Non-Conformance shall be prepared on any individual occurrence, as needed.

When non-conforming product is intended for immediate usage, it is re-verified by the EE (Quality Division) or the EE of the concerned Division to demonstrate the degree of conformity to the requirements.

If design deficiencies, errors and/ or omissions are discovered during the solicitation preparation period, corrections shall be implemented by issuing formal amendments to the solicitation documents. Such deficiencies shall be treated as a Non-Conformance since they were discovered after completion of the QA/ QC processes applicable for the design.

If design deficiencies, errors and/or omissions are discovered during construction, they will be corrected by a contract modification and shall be treated as a Non-Conformance. The EE shall be responsible for initiating a Non-Conformance Report. All deviations shall be resolved as required by the QMS.

4.7.5. Non-Conformance Report Review

The MR/ DMR shall review the Non-Conformance Report for acceptance:

• If acceptable, proceed with further. Actions. • If not acceptable, the Non-Conformance Report is rejected with comments and

returned to the appropriate division for resolution and resubmission.

4.7.6. Non-Conformance Report Acceptance

The MR shall deal with acceptability of the Non-Conformance Report. If Corrective Action as recommended in the Non-Conformance Report is accepted by the division, the action is initiated.

4.7.7. Recurring Non-Conformance

The Management Review Committee shall periodically review all Non-Conformances. If there is a recurring Non-Conformance in identical areas, indicating a systemic problem, the MR will initiate a Preventive Action Request, as defined in procedure for Correction, Corrective and Preventive Action. After the root cause analysis, an amendment shall be issued to the process/ product to prevent occurrence of NC. The preventive action initiated shall be recorded in the register for preventive actions.

Correction, Corrective/ preventive action records recommended for any NC product/process shall typically include:

• Any change in the quality control/assurance plan required as part of contract requirements.

• Evaluation of quality assurance/quality control plans submitted by contractor.





• Contractor’s performance evaluation.

4.8. Effectiveness

• Improved quality of output. • Better process control and product realization. • Continual improvement of products and processes. • Increased customer focus. • Greater customer satisfaction. • Better vendor control by data analysis. • Improved internal audits to identify and prevent corrective and potential Non-

Conformances.

4.9. Annexure

• Control of Non-Conforming Produce Flowchart (Annexure 4.1).





Annexure 4.1 : Control of Non-Conforming Product

Product/Service Inspection

NC identified?

NC justifiable?

Any Impact on product quality ?

Contact customer

QMS problem?

Implement CA Resolve issue

Inform customer of Problem resolution

Deliver product

CA not needed, provide feedback

EE

EE

EE, Quality Concerned

CE, SE, EE, EE (Quality)

No

Initiate actions for prevention



Procedure No.: QMS/PM/SP-05/Corrective Action Issue 01, Rev 00


5. CORRECTIVE ACTION

5.1. Purpose

To establish and maintain a system for taking corrective actions to prevent recurrence of Non-Conformance of products and processes

5.2. Scope

This applies to all non-conformities noted at different stages of construction whether work is performed in-house or outsourced. Non-conformities arising out of customer complaints shall also be under the purview of this procedure.

5.3. References

IRC codes, IS, MOSRTH guidelines, Tender Contract Agreement, World Bank, operational manual requirements, IA reports, MR meeting reviews, User feedbacks, process feedbacks.


Division and Circle Heads are in charge of detailed analysis of Non-Conformance and are responsible for initiating correction, corrective action.

The officer in charge in the work area where the non-conformity is noticed, shall be responsible to ensure that the concerned QC pro-actively comes forward to take up the task of investigating, discussing, reviewing and acting on Non-Conformance(s).

Circle, Division and Sub-division Heads shall ensure that all personnel involved in the development, checking and/or review process for construction products and services adhere to the requirements of this procedure.

MR/ DMR is responsible for overall management of corrective action related to QMS.

5.5. Inputs

Description Source Review Criteria Ref. Doc / Formats Any Quality Control/Assurance plan

Contractor Specifications Codes, test methods

Contract agreement

Customer complaints

Customer Nature of complaint

Customer complaints

Incoming material non-conformity

Contractor Contractor, Previous/existing NC, Trend of NC, Effect of NC,

Inspection report





In process non- conformity

Site Engr./ QC Report

Nature of NC Trend of NC, Place of occurrence

Work order book, Measurement Books, Inspection Notes (Manual of Forms and Formats)

5.6. Process

Sl. No.

Description Responsibility Ref.Doc/ Formats

1. Corrective Actions 2. Resolve the customer complaint, if any and send

monthly report to MR/ DMR for reporting in MRM.

EE

3. As and when any NC happens in the processing activities, take immediate actions as per process work instructions.

EE CMMs for roads and bridge

4. Corrective Action Identification: a) For Non-Conformance detected during an

internal audit, consequent corrective action requires a root cause analysis to eliminate the problem. The results are verified by follow-up audit to ensure that corrective action procedure for Internal Audit. [See Internal Audit Procedure].

b) Construction site visits - Construction and QA staffs shall discuss on developments during construction that result in changes to work-in-progress. A construction problem or design error is resolved by re-designing and re-construction after affecting a contractual change order (contract modification). Contractors may also disclose Non-Conformances in design/drawings provided to them. The corrective actions result in a product conforming to planned arrangements meeting user requirements in all respects.

c) Customer feedback - External customer feedback is typically obtained through surveys conducted at the completion of a product and as well throughout product development in conjunction with project execution.

d) Design checks points - Required reviews, as defined by project plan or other guidance, often displays Non-Conformance during construction-product development prior to delivery to the customer. Sources for deficiency are corrected / eliminated to prevent recurrence.

e) Scope and In-process reviews - These reviews are used for products in both the design and construction phases of product development. As Non-Conformances are discovered, immediate





Sl. No.

Description Responsibility Ref.Doc/ Formats

action is taken to find the root cause, eliminate the problem and redirect efforts to product completion. This eliminates providing the customer with a deficient product.

f) Design Review and Checking shall be recorded. The database of reviews and analysis will assist designers in future efforts for similar work by noting how previous Non-Conformance were handled and resolved.

Drawings

g) Construction QA/QC Inspections - Construction and supply contract shall contain provisions for Government inspections and tests for contract work-in-progress.

5. Construction deficiencies are revealed by inspections and tests and corrective action to contractor’s processes and product where called for are immediately applied. Field tests also serve to verify and validate design of structural, electrical and mechanical systems.

6. Analyze the data and interface with relevant depts. For recording the findings.

7. Review, analyze and decide CAs to avoid recurrence in future (potential and trend).

5.7. Output

Description To Actions Ref. Doc/ Formats Corrective action Respective

division/sub-division As per agreed dates

Database in electronic formats

IT Division and all other Divisions

Updated data MIS


Review Parameter

Acceptance Criteria

Check/ Act Responsibility Ref. Doc/ Formats

Timely action

As per committed date

On completion of each project

EE/EE -

Effective CA No repetition of problem/NC Trend

Monthly DMR(EE) -

5.9. Effectiveness

• The timely CAs prevents recurrence of the problems. • It provides timely solutions. • Decision making made easier. • Prevents ad-hoc decisions.





• Unhindered flow of work. • Potential References.



Procedure No.: QMS/PM/SP-06/Preventive Action Issue 01, Rev 00


6. PREVENTIVE ACTION 6.1. Purpose

To establish and control a system for taking actions to prevent occurrence of Non-Conformance of products and processes

6.2. Scope

This procedure applies to all Non-Conformances that may occur at different stages of construction including customer complaints followed up by analysis.

6.3. References

Contract agreement, standards (specifications, methods, operational manual etc)


Executive Engineers are responsible for initiating and monitoring preventive actions in their respective Divisions.

Chief Engineer and Superintending Engineers are in charge of detailed analysis of Non-Conformance and initiating preventive action to the potential problems.

CAG (Corrective Action Group) is responsible for investigating, discussing, reviewing and acting on Non-Conformance(s), existing or potential, that impact on construction-product development and processes as well as the QMS.

Circle, Division and Sub-division Heads assure that all personnel involved in the development, checking and/or reviewing process for construction products and services adhere to the requirements of this procedure.

6.5. Inputs

Description Source Planning Review Criteria

Ref.Doc/ Formats

Complaint Trends Scrutiny of complaints

Repeatability of similar complaints

SQC chart / Trend analysis

Deviation Trend, Rework,

Concerned

Division Analysis,

SQC Mode of disposition

-Do--

Other process / operational performance trends like: Material Quality, Process Breakdown period, Contractor performance rating

Concerned Sub-division

Process efficiency Areas for improvement Resources required Quality rating trend contractor wise

SQC Bar Chart ( to be developed)





6.6. Process

Sl. No.

Activity Responsibility Ref.Doc/ Formats

1. Analyze the data, which require interface with other departments.

-

2. For repeated Non-Conformances and potential problems refer to the quality Circle Meeting held at least once in three months. Following are the inputs for Quality Circle Meeting: • Trends of NCs. • Productivity Trends. • Machinery breakdown. • Repeated user complaints. • Repeated raw material problems.

CAG/ Concerned EE -

3. Review and decide preventive action to be taken by respective Division for potential problems, requiring detailed analysis.

CAG/ Concerned EE -

4. Carry out root cause analysis to decide of NC products / processes and preventive action to avoid / prevent occurrence of potential problems.

CAG/ Concerned EE -

5. Report effectiveness of actions taken in the Quality Circle meeting.

Concerned Division EE

6. Keep records of preventive actions and quarterly Quality Circle Meeting decisions.

CAG/ Concerned EE

6.7. Outputs

Description To Actions Ref.Doc/ Formats

Preventive Actions Preventive actions on similar product / process / activities

Eliminate potential causes

EE from respective Division

As per committed dates

Meeting records






Review Parameter

Acceptance Criteria

Checking and Acting

Responsibility Ref.Doc/ Formats

Timely action

As per committed date

On completion of each project

EE/EE, CAG

Effective PA No recurrence of problem/NC Trends

Inclusion of similar process/ product

Occurrences of similar type of NC elsewhere

Same Month

CAG members

Minutes of MRM

6.9. Effectiveness

The Preventive Action is deemed effective when:

• Potential Non-Conformances are identified. • Trends are studied and actions initiated. • Periodic reviews are carried out of all Corrective Actions taken (which are

taken to prevent recurrence of Non-Conformance) for root cause analysis. • NCs are permanently eliminated after a root cause analysis. • Customer feedback indicates total satisfaction.



Procedure No.: QMS/PM/SP-07/Management Review Issue 01, Rev 00


7. MANAGEMENT REVIEW 7.1. Purpose

To establish and maintain a system of reviewing the QMS at planned intervals for ensuring its suitability, adequacy, effectiveness and seeking opportunities for continual improvement.

7.2. Scope

Applicable to all aspects of Quality Management System of HPPWD

7.3. References

Quality manual, Procedure manual, ISO 9001, Internal audit reports, Management Review Meeting (MRM) agenda and minutes.

7.4. Responsibility

7.4.1. MR

To ensure the conduct of Management Review

7.4.2. DMR

Preparation of agenda for review meeting, organizing, preparation of the minutes and keeping records of the review meetings; follow-up of the corrective actions arising out of the decisions at the meeting and reporting to the MR

7.5. Inputs


Ref. Doc/ Formats

Status of decisions Minutes of previous meeting

For review Status of effectiveness of decision taken

Record of MRM

QMS Audit review MR/ DMR For review Audit results, - Customer feedback Complaints,

Survey Reports, Applications, Media report, Meetings

For review Satisfaction level

-

Process performance and product Conformity

Executive Engineers

For review Level of Performance (Effectiveness and efficiency) Response time, resources provided

-






Ref. Doc/ Formats

CA, PA and their implementation status

Executive Engineers

For review Effectiveness

Recommendations for improvement

MR and DMR For review Feasibility examination

-

Performance of H.O/ Circles and Divisions vis-à-vis Policy and objectives

MR/DMR For review Level of achievement

Reports

Changes in the QMS EE/ EE For review Up-dated QMS documents

OMS documents

7.6. Process

Sl. No.


1. The participants in the MRM at secretariat level/ H.O level will be • Secretary. • Chief Engineers. • Superintending Engineers. • Executive Engineers (if required). Others may be invited, if required The participants in the MRM at Circle level will be • Superintending Engineer (in the chair). • Section In-charge • CHD of Circle • Other may be invited, if required The participants in the MRM at Division/ CMU level will be • EEs of concerned Sub-divisions. • CHD of Division. • Supdt. and Others may be invited, if required.

MR

DMR

EE

Agenda and previous minutes

2. The Management Review at Secretariat/ H.O level will be carried out six monthly. The Management Review at Circle/ Division/ CMU level will be carried out quarterly

MR/ DMR -

3. Sending the agenda for the meeting in advance to participants.

MR/ DMR Agenda

4. Organize the MRM and ensure that discussions will take place according to the agenda.

MR/ DMR -

5. Preparation of the minutes of the MRM and circulate to all participants.

MR/ DMR Minutes





Sl. No.


6. Maintain the records pertaining to MRM, including the minutes for the period of four years.

MR/ DMR -

7. Arrange for changes in QMS, if required, as per procedure for document control.

MR/ DMR QMS/F 01

8. Forward the action requirements arising out of the meeting to the concerned personnel.

MR/ DMR -

7.7. Outputs

Description To Actions Ref. Doc /Formats

Recommendations for improvement in product / process / QMS

Concerned SE/EE Whenever recommended

Minutes

Resources needed for improvements in products, process, QMS

Concerned SE/EE Whenever identified and approved

Minutes

Records of MRM All members of MRM After every review Minutes



Responsibility Checking Ref. Doc/ Formats

Monitoring of implementation of decisions of MRM

Concerned SE / EE MR/ DMR Quarterly Minutes

Monitoring coverage of agenda

All points to be covered

MR/ DMR During meeting

Minutes

Attendance of members

Participation of all members

MR/ DMR During meeting

Minutes

7.9. Effectiveness

The MRMs provide confirmation of top management commitment, timely review of Non-Conformances and actions for correction and prevention, identify potential hazards and trends, continual improvement of product quality and process controls. An effective MRM also motivates greater employee participation.



Procedure No.: QMS/PM/SP-08/Human Resources Development Issue 01, Rev 00


8. HUMAN RESOURCES DEVELOPMENT 8.1. Purpose

To establish a training cell and maintain a system of identifying competence, training needs including refresher courses, training and evaluating its effectiveness for staff of HPPWD/ HPRIDC.

8.2. Scope

Applicable to all the employees performing activities affecting Quality

8.3. Reference

QM, Procedure manuals, World Bank guidelines, operational manual, BIS codes, lSO 10015:1998 for training.

8.4. Process Inputs

Process Inputs Source Planning Review Criteria Ref. Doc / Formats

Competence of Personnel

Divisional Heads As and when required

Gap between required Vs Available

HR record

Job rotation / Transfer Promotion / Induction

Administration

As and when takes place

Training required Service

book

Corporate training plan

H.O Annual Personnel to be trained

Training plans

Faculty for training Training Cell/ Establishment Dept


Suitability -

New or modified equipment / process

Concerned Division Head

As and when introduced

Additional training required -

Effective evaluation of training

Division Head For every training imparted

Any re-training required

Feedbacks

8.5. Description

Sl. No.


1. Identification of Training needs

a) Identify the required competence (Education, Division Head- HR records





Sl. No.


Experience, Skill and Training) for different personnel in the department. Authority to approve ‘required competence‘ is as given below. Supervisory Staff - Respective Heads of Office Clerical Staff - Respective Heads of Office MR / DMR - Top Management Internal auditor - MR

EE

b) Determine the existing competence of field staff through concerned EE. EE / SE Annexure

8.1

c) Find out gap between required and existing competence at least once in a year.

Training Cell/ Establishment Dept

d) Determine training needs based on Identified gap in competence Job rotation / transfer Promotion New / modified equipments/ or process/ Quality Management System. Management directions for improvement. Corporate and In-house training plan. Quality Objectives of the Department. Effectiveness of training conducted through feedback.

Head- Training Cell/ Establishment Dept

2. Identification of Technical / On the job training need

a) Send the technical / on the job training needs of management and other staff during the intervening period of the year, if any to Training Cell/ Establishment Dept

Concerned EE

3. Preparation and updating of Training Calendar

a) Compile and classify training requirements - training wise, as applicable: for Supdt/ Supporting staff for Management staff

Head - Training Cell/ Establishment Dept

b) Prepare Training Calendar, keeping in view training needs and availability of participants


Annexure 8.2





Sl. No.


c) Update training calendar based on training completed and rescheduling on quarterly basis


4. Organizing Training

a) Identify the External Trainers Head- Training Cell/ Establishment Dept

b) Prepare training schedule in consultation with Divisional. Heads


c) For group training, inform programme details to Divisional heads.


d) For the training, prepare a feedback sheet about the persons absent for the training, to give feedback to the competent authority.


e) Prepare a ‘Training review sheet’ indicating the status of training – whether it was conducted as per schedule or not and the reasons for rescheduling, if any.


f) Maintain records of training programmes and update individual training records of the following:• Supdt / Supporting Staff • Management staff


Annexure 8.3

5. Training of new recruits

a) For new recruits, prepare training schedule which will include: • Induction training • On Job training

Head- Training Cell/ Establishment Dept Concerned Divisional EE

b) For newly recruited, prepare on job training schedule.

Concerned EE

6. Evaluation of Training imparted





Sl. No.


a) Determine effectiveness of training for “Evaluation”.


Annexure 8.4

b) Based on evaluation decide on ‘Retraining’ and other actions as appropriate.


7. Responsibility and Authority

a) Define responsibility and authority of personnel managing each function.

Concerned EE

b) Communicate responsibility and authority to each function.

MR/ DMR





8.6. Outputs

Description To Actions Ref. Doc / Formats

Trained Employees Division/Sub-division

As and when training provided

HR records

Record of trained employees HRD Records Monthly / as and when required-review

Attendance and absentee record of employees

HRD Records On every training imparted

Evaluation of effectiveness of training records

HRD Records After each training


8.7.1. Control Related

Review Parameter

Acceptance Criteria Responsibility Checking Ref. Doc / Formats

Competence Gap Analysis

Should be conducted once in a year

Concerned Head

Once in a year

HR record

Updating of training records

Should be updated within a week of completion of training and evaluation


Quarterly

8.7.2. Criteria Related

Review Parameter

Acceptance Criteria Responsibility Checking Ref. Doc / Formats

Planned Vs Actual training

As per Dept’s objective Concerned EE Quarterly

8.8. Records

It is recommended to develop the following list of documents for the purpose of Human resource development, records for which are mandatory. The training shall typically include awareness of ISO 9001 requirements, internal auditing, communication and process related training on tender and contract processing, calibration of measuring and monitoring devices, test equipment etc The training scheme shall cover both technical and non technical staff.

1. Record of Competency Requirement (Annexure 8.1). 2. Typical Training Calendar (Annexure 8.2). 3. Employee Training Record (Annexure 8.3). 4. Evaluation of Training – Feedback from trainees (Annexure 8.4).





5. Training programme details (in house). 6. Employee training record - Management staff. 7. Induction training schedule. 8. On job training records for newly recruited workers. 9. Training needs of management and other senior staff. 10. Summary of training and details of participants (Annual). 11. List of outside agencies providing training. 12. Training Calendar of outside training institutes and the courses

Offered.

8.8.1. Registers

1. Attendance registers of training provided. 2. Register of training given to staff at different levels (in house). 3. Register of training given to staff at different levels (Outside).





Annexure 8.1 : Record of Competency Requirement Department / Function:

Competence Requirements Level Job Deliverables / Responsibility Qualification Experience Knowledge & Skills

Prepared By Approved by





Annexure 8.2 : Typical Training Calendar

TRAINING SCHEDULE Year: Date :

I II III IV I II III IV I II III IV I II III IV I II III IV I II III IV I II III IV I II III IV I II III IV I II III IV I II III IV I II III IV

1

2

3

4

5

6

7

8

9

10

11

12

13

14

15

16

20

SIGN (Training In-charge)

Nov. Dec.TRAINERSr.No. TOPIC Jan. Feb.

Himachal Pradesh Public Works Department

Oct.Mar. Apr.TRAINEE(S) July Aug. Sep.May June





Annexure 8.3 : Employee Training Record

Himachal Pradesh Public Works Department Employee Name Designation

Circle / Division / Sub-Division

Qualification

Experience

Training required for up-gradation:

S. No. Training Details Date

Organized By

Remarks : Effectiveness & further needs Sign.





Annexure 8.4 : Training Course Evaluation Form

Himachal Pradesh Public Works Department Course Date: For : Circle / Division / Sub-Division

Location: Instructor(s): (1) (2)

Course Title

We request you to take a few minutes to complete this questionnaire. The information will assist us plan for future training courses. We are keen for both the strong points as well as areas where you think we can make improvements. All information that you provide will be kept confidential. Please hand over the Evaluation Form at the end of the course.

Please evaluate the following questions by placing a √ in the relevant box using the scale below:

1 = Poor 2 = Below Average 3 = Average 4 = Above Average 5 = Excellent

1 2 3 4 5

Training materials:

Training Facilities and Venue:

How well did this course meet your learning objectives:

Planning / Structuring and organization of the course:

Method of instruction / training:

Instructor’s knowledge and ability (1):

Instructor’s presentation skills (1):

Course exercise & group participation, if any:

Relevant to your operations: Relevant / Not relevant / Somewhat relevant

Please use this section to give your opinions and overall assessment of the course.

(Sign of Participants) (Sign. Of Training In-charge)



Procedure No.: QMS/PM/SP-09/Communication Issue 01, Rev 00


9. COMMUNICATION 9.1. Purpose

To establish appropriate communication channels for ensuring that communication takes place regarding effectiveness of the QMS.

9.2. Scope

This procedure applies for communicating the quality policy, requirements, objectives and accomplishments of the organization to both internal and external customers.

9.3. References

ISO 9001:2000, Quality Manual, Procedure Manuals, Manual of Forms and Formats.

9.4. Responsibility

Top Management, MR, DMR.

9.5. Inputs

Process Inputs

Source Planning Review Criteria Ref. Doc/ Formats

Quality policy Concerned MR


Accomplishment status

-

Quality objectives

Concerned function Head

Whenever new objectives is established


-

Benchmarks, if any

Top Management

Whenever new benchmark is established


-

ISO 9001 requirements List of documents of external origin World Bank requirements

Standard bodies IRC,MOSRTH, operational manual

All up-gradations

Current status of implementation

List of documents of external origin QMS/ L 01

Employee surveys

Employee records

On objective accomplishment

Employee Involvement in the achievement of objectives

-





9.6. Process

Sl. No.


1. Management’s communication (a). Quality policy. (b). Quality objectives. (c). Benchmarks, targets.

Top Management -

2. Quality policy is communicated and understood through briefing meetings and disseminated by displaying of posters, fliers and through individual cards.

MR/DMR

3. Quality objectives are established at relevant functions and levels within the organization and are consistent with the Quality policy.

CE/ SE/ EE QMS/QM

4. Communication / Orders from CE • Chief Engineer is the administrative

Head and is the responsible professional advisor to Government.

• CE recommends to Government on removal, transfer, postings of subordinate officers.

• He is responsible for all important structural designs under execution; he needs to exercise careful control over the work of designing and technical sanction.

According sanction to the revised estimate.

• CE should also submit a detailed report to Govt. in case of damages sustained by the department due to natural calamities.

• Whenever Chief Engineer goes on tour and inspects work, inspection notes shall be invariably issued in writing and communicated to all officers concerned. If necessary chief engineer shall insist on a detailed write up of the works going to be inspected from the divisional officers concerned well in advance.

• Whenever representations / appeals are received from the contractors / suppliers about the action taken or not taken by the subordinate officers under

Chief Engineer As per Codal needs and Manual of Forms and Formats





Sl. No.


his control and it becomes expedient to hold meetings with all concerned, then timely meeting notices shall be arranged to be sent, the issue discussed and proceedings communicated to all concerned within a period of eight days.

• CE shall organize periodic refresher courses for the engineering personnel working under his control, for updating their technical knowledge and to encourage engineers in charge of responsible works involving complicated designs and construction problems, to prepare articles / papers and present them in symposia / technical seminars etc.

• Any funds, which are not likely to be utilized during the financial year; should be surrendered to the Government by the CE, so as to allow the competent authority to appropriate it to other projects.

5. Communication / suitable Orders from SE • The administrative unit of the

department is the circle, in charge of the SE, who reports to the chief engineer for the administration and general professional control of all public works. He is also a direction officer for the divisions under his control.

• He shall freely report to government cases where substandard works are carried out.

• He should inspect Divisional office once a year and send a report thereof to CE.

• The superintending engineer will be responsible for the engineering features of all designs and calculations for the same and the accuracy of the rates in the projects submitted from his office. When submitting any report, designs or estimates to the chief

Superintending Engineer





Sl. No.


engineer, he will invariably state his own recommendations and opinion.

• SE is empowered to transfer and post Junior Engineers, supervisors and other non-gazette subordinates.

6. Communication / suitable Orders from EE • The executive unit of the department is

the division in charge of an Executive Engineer, who is responsible to the Superintending Engineer for the execution and management of all works within his division.

• It is the duty of the executive engineer immediately to report to the chief engineer, through the superintending engineer under intimation to the Deputy Commissioner of the district, any, serious damage to or loss of immovable property caused by any accident or unusual occurrences.

• The Executive Engineer can initiate any proposal for carrying out improvements to an existing structure or to take up new constructions or additions or alterations, if it is in the public interest. In case of buildings belonging to the other departments, he should conduct joint inspection with concerned officer of the other department, identify the repairs, improvement works to be carried out, prepare priority lists and take action to prepare estimates, either for inclusion in the budget or for taking under lump sum grants, if feasible. In case of roads and bridges, he should take action to prepare estimates for repairs, renewals, improvements, or even new alignments, acquisition of buildings for providing the standard sight distance or improving the alignment or formation etc. He should preferably have a shelf of estimates ready, so that they can be recast as per the present schedule of rates and submitted to the concerned

Executive Engineer

World Bank guidelines and as per operational Manual





Sl. No.


authorities. One copy of all such estimates should be available in the office library for ready reference.

• He shall ensure that the surveying and mathematical instruments in his division are properly cared for and will report periodically on their condition to the superintending engineer.

• Executive Engineer should examine at least once a year the books of his subordinates to see that the primary accounts fairly represent the progress of each work and that the accounts are personally attended to by the sub-divisional officers.

7. External Communication • With external bodies like BIS, IRC,

Certification Body, etc for getting updated specifications/ standards, audits, calibration of instruments etc.

• With Customers for getting feedback, complaints redressal, if any.

MR/ DMR

9.7. Outputs

Description To Action Ref.Doc/ Format

Quality policy, objectives, benchmarks.

Top Management/ MR/DMR

When established Display of poster, fliers, cards etc.

Team briefings and other meetings, such as for recognition of achievement.

MR/DMR On accomplishment of objectives, Or any other achievement in work areas.

-

Notice boards, In-house journals/magazines.

Function Head When displayed / published

Notice boards, In-house journals, magazines -

Audio-visual and electronic media, such as email and website.

IT Cell -

Employee surveys Circle / Division On objectives’ accomplishment

-

Suggestion scheme Circle / Division Any new trend / project/ process/equipment

-







Responsibility Checks/ Act

Ref.Doc/ Formats

Reports, Circulars, Orders, Website, Email or telephonic conversation.

Adequate and accurate information.

All MRs/ DMRs.

Whenever required.

-

9.9. Effectiveness

The process of communication is effective if:

• Authorized. • Easily Understandable. • Clear and unambiguous. • Responsibility well defined. • Documented. • Leads to improvement. • Provide user satisfaction (internal and external). • Approved and Controlled forms and formats as per Level IV document list are

only used

9.10. Annexures

• Communication Matrix in HPPWD flowchart (Annexure 9.1).





Annexure 9.1 : Communication Matrix in HPPWD

PUBLIC

Proposal

Government

Elected Private

Organizations

Proposal

Elected body people’s reps

Govt. field Officers

Budget

Finance Department

MD/ Secretary HPPWD/ HPRIDC

CE (HPPWD/ HPRIDC)

SE. EE. AE / JE

For Admn. Approval

Investigation

Preparation of Project Tender

Technically sanctioned

Execution

Completion of Project

Proposal

Designs


Himachal Pradesh public works department

Procedure No.: QMS/PM/QP/Table of Contents Issue 01, Rev 00

Controlled Document Page No. : QP/i

TABLE OF CONTENTS Title Page No. Chapters 1. NEED IDENTIFICATION AND ASSESSMENT OF PROJECT....................................1-1

1.1. Purpose .............................................................................................................1-1 1.2. Scope ................................................................................................................1-1 1.3. References ........................................................................................................1-1 1.4. Responsibility ....................................................................................................1-1 1.5. Inputs.................................................................................................................1-1 1.6. Process .............................................................................................................1-2 1.7. Outputs ..............................................................................................................1-3 1.8. Process Monitoring and Measurements ...........................................................1-3 1.9. Surveys .............................................................................................................1-3 1.10. Annual Calendar of Maintenance activities ......................................................1-4 1.11. Routine Inspection Card (Typical for Road) .....................................................1-5 1.12. Typical Letter from “Public / Public Representative” ........................................1-7 1.13. Performa for Bridge/Cross Drain ......................................................................1-7 1.14. Performa for Road.............................................................................................1-7 1.15. Typical Covering Letter from Sub-division to Division......................................1-8 1.16. Checklist for proposal preparation of Road .....................................................1-8 1.17. Checklist for proposal preparation of Bridge/Cross drain ................................1-9

2. DETAILED INVESTIGATION........................................................................................2-1 2.1. Purpose .............................................................................................................2-1 2.2. Scope ................................................................................................................2-1 2.3. References ........................................................................................................2-1 2.4. Responsibility ....................................................................................................2-1 2.5. Inputs.................................................................................................................2-1 2.6. Process .............................................................................................................2-1 2.7. Outputs ..............................................................................................................2-2 2.8. Process Monitoring and Measurements ...........................................................2-2 2.9. Effectiveness.....................................................................................................2-2 2.10. Annexures .........................................................................................................2-2 2.11. Investigation Report ..........................................................................................2-2

3. DESIGNS AND DRAWINGS.........................................................................................3-1 3.1. Purpose .............................................................................................................3-1 3.2. Scope ................................................................................................................3-1 3.3. References ........................................................................................................3-1 3.4. Responsibility ....................................................................................................3-1 3.5. Inputs.................................................................................................................3-1 3.6. Process .............................................................................................................3-1 3.6.1 Control of Drawings:.............................................................................................3-2 3.7. Outputs ..............................................................................................................3-2 3.8. Process Monitoring and Measurements ...........................................................3-2 3.9. Effectiveness.....................................................................................................3-2

4. ESTIMATION PROCESS..............................................................................................4-1 4.1. Purpose .............................................................................................................4-1 4.2. Scope ................................................................................................................4-1 4.3. References ........................................................................................................4-1




Controlled Document Page No. : QP/ii

4.4. Responsibility ....................................................................................................4-1 4.5. Inputs.................................................................................................................4-1 4.6. Process .............................................................................................................4-1 4.7. Appendices to Estimate ....................................................................................4-2 4.8. Outputs ..............................................................................................................4-2 4.9. Process Monitoring and Measurements ...........................................................4-3 4.10. Effectiveness.....................................................................................................4-3

5. PROPOSAL INCLUSION IN THE BUDGET AND RESOURCE MANAGEMENT.................................................................................................................5-1

5.1. Purpose .............................................................................................................5-1 5.2. Scope ................................................................................................................5-1 5.3. References ........................................................................................................5-1 5.4. Responsibility ....................................................................................................5-1 5.5. Inputs.................................................................................................................5-1 5.6. Process .............................................................................................................5-1 5.7. Outputs ..............................................................................................................5-2 5.8. Process Monitoring and Measurements ...........................................................5-2 5.9. Budgeting ..........................................................................................................5-3 5.10. Work Environment.............................................................................................5-3 5.11. Monitoring and Measurement of resources......................................................5-3 5.12. Measurement Books (MB) ................................................................................5-3 5.13. Output................................................................................................................5-4 5.14. Effectiveness.....................................................................................................5-4

6. ADMINISTRATIVE APPROVAL AND TECHNICAL SANCTION .................................6-1 6.1. Purpose .............................................................................................................6-1 Administrative Approval.................................................................................................6-1 Technical Sanction ........................................................................................................6-1 6.2. Scope ................................................................................................................6-1 6.3. References ........................................................................................................6-1 6.4. Responsibility ....................................................................................................6-1 6.5. Inputs.................................................................................................................6-1 6.6. Process .............................................................................................................6-2 6.7. Outputs ..............................................................................................................6-2 6.8. Process Monitoring and Measurements ...........................................................6-2 6.9. Effectiveness.....................................................................................................6-3

7. TENDER PROCESS .....................................................................................................7-1 7.1. Purpose .............................................................................................................7-1 7.2. Scope ................................................................................................................7-1 7.3. References ........................................................................................................7-1 7.4. Responsibility ....................................................................................................7-1 7.5. Inputs.................................................................................................................7-1 7.6. Process .............................................................................................................7-1 7.7. Outputs ..............................................................................................................7-5 7.8. Process Monitoring and Measurement.............................................................7-6 7.9. Effectiveness.....................................................................................................7-6 7.10. Annexures .........................................................................................................7-6 7.11. Flowchart...........................................................................................................7-7

8. QUALITY ASSURANCE PROCEDURE .......................................................................8-1 8.1. Purpose .............................................................................................................8-1 8.2. Scope ................................................................................................................8-1




Controlled Document Page No. : QP/iii

8.3. Abbreviations and Definitions ...........................................................................8-1 8.4. Process .............................................................................................................8-1 8.5. Materials............................................................................................................8-2 8.6. Resources .........................................................................................................8-2 8.7. Concreting .........................................................................................................8-3 8.8. Road Laying/Bridge Construction(Inter related process) .................................8-4 8.9. Inspection and Testing......................................................................................8-4 8.10. Identification and Traceability ...........................................................................8-6

9. MEASURING AND MONITORING EQUIPMENT MANAGEMENT .............................9-1 9.1. Purpose .............................................................................................................9-1 9.2. Scope ................................................................................................................9-1 9.3. References ........................................................................................................9-1 9.4. Responsibilities .................................................................................................9-1 9.5. Inputs.................................................................................................................9-1 9.6. Description ........................................................................................................9-2 9.7. Output................................................................................................................9-3 9.8. Process Monitoring and Measurement.............................................................9-4

10. ASSET ACQUISITION AND MANAGEMENT ..........................................................10-1 10.1. Purpose ...........................................................................................................10-1 10.2. Scope ..............................................................................................................10-1 10.3. References ......................................................................................................10-1 10.4. Responsibility ..................................................................................................10-1 10.5. Inputs...............................................................................................................10-1 10.6. Process ...........................................................................................................10-1 10.7. Outputs ............................................................................................................10-4 10.8. Process Monitoring and Measurements .........................................................10-4 10.9. Asset Management Process...........................................................................10-5 10.10. Routine Maintenance (Periodic) for roads......................................................10-5 10.11. Road Cross Section (Typical) .........................................................................10-5 10.12. Typical process for maintenance of roads illustrated below. .........................10-5 10.13. Manpower Resources .....................................................................................10-6 10.14. Measurement and Monitoring .........................................................................10-6

a) Visual: Clear vision of the road should be there..........................................10-6 b) Jungle cutting: Free visibility ........................................................................10-6

c) Checklist for Maintenance of Roads...............................................................10-8 d) Maintenance plan for bridges .........................................................................10-9 e) Typical Quality Control Checks For Road Work Construction .....................10-12

11. CONSTRUCTION SAFETY ......................................................................................11-1 11.1. Purpose ...........................................................................................................11-1 11.2. Scope ..............................................................................................................11-1 11.3. References ......................................................................................................11-1 11.4. Responsibility ..................................................................................................11-1 11.5. Abbreviations and Definitions .........................................................................11-1 11.6. Input.................................................................................................................11-1 11.7. Process ...........................................................................................................11-2 11.8. Process Monitoring and Measurement...........................................................11-2 11.9. Other General Safety Requirements ..............................................................11-3 11.10. Output..............................................................................................................11-3 11.11. Analysis of Data ..............................................................................................11-4 11.12. Effectiveness...................................................................................................11-4




Controlled Document Page No. : QP/iv

12. Financial Management ..............................................................................................12-1 12.1. Purpose ...........................................................................................................12-1 12.2. Scope ..............................................................................................................12-1 12.3. References ......................................................................................................12-1 12.4. Responsibility ..................................................................................................12-1 12.5. Inputs...............................................................................................................12-1 12.6. Process ...........................................................................................................12-1 12.7. Outputs ............................................................................................................12-5 12.8. Process Monitoring and Measurements .........................................................12-5 12.9. Annexure .........................................................................................................12-5

List of Tables Calibration of Measuring and Testing Equipment.............................................................8-2 List of Annexure

Annexure 7.1. : Tender Opening...................................................................................7-8 Annexure 7.1. : Tender Evaluation................................................................................7-9 Annexure 7.2. : Monthly Tender Acceptance Report..................................................7-10 Annexure 7.1. Fund Flow ............................................................................................12-6 Annexure 7.2. Balance Sheet......................................................................................12-7 Annexure 7.3. Income & Expenditure Account as at 31st March...............................12-8 Annexure 7.4. Quarterly Financial Monitoring Report – (Project Activities) ...............12-9 Annexure 7.5. Quarterly Interim Un-audited Financial Report – (Project Activities) 12-10 Annexure 7.6. Quarterly Interim Un-audited Financial Report – (World Bank Funds Requirement) .............................................................................................................12-11 Annexure 7.7. Summary Sheet .................................................................................12-12 Annexure 7.8. Project Cost Monitoring – For Post Review Contracts......................12-13 Annexure 7.9. Book of Accounts...............................................................................12-14

List of Appendixes Appendix 11.1 : Role of Organizations in Safety ............................................................11-5



Procedure No. : QMS/PM/QP-01/Need Identification and Assessment of Project Issue 01, Rev 00

Controlled Document Page No. : QP/1-1

1. NEED IDENTIFICATION AND ASSESSMENT OF PROJECT

1.1. Purpose

To identify the need of Public / User’s requirements for construction, upgrading/ original works / maintenance of bridges, roads and tunnels

1.2. Scope

All original and maintenance works undertaken by HPPWD/ HPRIDC.

1.3. References

• Topographical sheet, • Condition survey plan. • Annual calendar for maintenance activities. • Routine Inspection Card. • Letter from Public or Public Representative • Covering Letter from Sub-division to Division. • Survey of proposed site. • Customer satisfaction survey report. • Traffic Census Report. • T and P Register

1.4. Responsibility

H.O, Circle, Division, Sub-division including field staff, Technical Advisory Committee (TAC)/ BOD(Board Of Director)

1.5. Inputs

Process inputs Source Planning Review criteria

Ref. Doc/ Format

• Survey • Letters

from public or Elected public Representative

• Policy decisions

PWD EngineersUser/customer/ Public- elected Representative Government


Assessment of necessity

Survey reports, Letters, Inspection card,

• Customer satisfaction survey

PWD/External agency

Annually After completion of work

Minimum one satisfaction report.

Customer satisfaction survey report

• Project Completion report

Division After completion of work

Fulfillment of requirements

Project Completion Report





1.6. Process

Sr. No. Activity Responsibility Ref. Doc/

Format

A. Traffic Census

1. CE instructs EE to conduct annual Traffic Census at fixed points

SE, EE and AE

2. EE conducts census survey through AE and submits report to SE, CE and also to Govt.

EE

B. Inspection

3. Circle office prepares ‘Condition Survey Plan’ and forwards it to EE for assessing periodic renewal requirements.

SE Condition Survey Plan

4. On the basis of Condition Survey Plan EE prepares ‘Annual Calendar’ for regular survey of each area under jurisdiction.

EE Annual Calendar

5. EE forwards a copy of the annual calendar to concerned Sub-divisions.

EE -

6. Carrying out routine inspection and submitting it to Division.

AE Routine Inspection Card (Ref. Manual of Forms and Formats)

C. Survey for the proposed work

7. Based on the customer request, identify the need of the project

AE Letter

8. Collection of requisite data, maps SUPDT. - 9. Carrying out preliminary survey and preparing

the line estimate for carrying detail investigation of the proposed site

SUPDT.

Survey report

10. Submit the preliminary survey report with line estimate to the Division

EE Survey report

After scrutiny, the Division submits it to the Circle

EE - 11.

After scrutiny the Circle submits it to TAC/ BOD through Head Office

SE -

12. Upon receiving the grant for detail investigation to Division, EE instructs the Sub-division to carry out further activities

EE -

D. Survey Equipment

13. Maintain a list of equipments in Tools and Plant (T&P) register, which are used while

EE T and P Register






Format carrying out survey

14. Select the required equipment from T and P register

EE -

15. Issue of equipment for use EE

1.7. Outputs

Preliminary Survey Report and the line estimate (approximate) submitted to TAC/ BOD for getting grants sanctioned towards ‘Detailed Investigation’.

Description To Actions Ref.Doc/ Format

Traffic Census survey Division Annual Survey reports

Condition survey Concerned Division /Sub Division

Annual Condition survey plan

Annual inspection calendar

Sub-division Annual Approved Calendar

Routine Inspection Division At specified intervals Routine Inspection card

Survey report

Concerned Circle

Upon receiving request from customer, after carrying out survey

Preliminary Survey of proposed site Line estimate

T and P Register Sub-division Annual Register


Review parameters Acceptance criteria

Responsibility Checking Ref.Doc/ Format

Survey schedule Meeting survey plan, calendar

SE Quarterly

Availability of survey equipments

Working conditions

EE

Before survey

T and P Register

Availability of field Engineers

Trained and competent Engineers

EE Yearly Human Resource record

No. of surveys deviated from the scheduled plan

Should not be more than 10%

EE Yearly Condition survey plan, Annual Calendar

1.9. Surveys

• Condition survey (Visual).





• Condition surveys at fixed frequencies are necessary for determining periodic renewal requirements and long-term maintenance strategy.

Sr. No.

Type of Construction EE AE SUPDT.

1. SH

Thrice in a Year (Once before and

after monsoon and Once at random)

Once a month

Once in fifteen days

2. MDR Twice in year

(before and after monsoon)

Once a month Once in fifteen days

3. Major Bridges 100%*

100%*

100%*

4. Minor Bridges Min 25%*

100%*

100%*

5. Culverts -- 100%*

100%*

* The inspections shall be carried out once before and again after monsoon.

Note: The reports should be submitted in the prescribed formats duly signed by authorized signatories.

1.10. Annual Calendar of Maintenance activities

A. Roads :

Sr. No.

Items Apr- Jun

July- Sep

Oct- Dec

Jan- Mar

Remarks

1. Pot hole filling - WBM. X 2. Pot hole filling - BT. X X X 3. Edge correction. X X X 4. Dressing of berms. X X 5. Jungle Clearance. X X 6. Re-Fixing road signage

boards. X X X X

7. Re-painting road signage boards. X X X

8. Pruning road side trees. X X X X 9. Removal of encroachments. X X X X 10. Removal of unauthorized

hoardings. X X X X

11. Removing and re-fixing of Hectometer /KM/ / 5 km/Guard stones.

X X X X





Sr. No.

Items Apr- Jun

July- Sep

Oct- Dec

Jan- Mar

Remarks

12. Re-painting of Hectometre /KM/ / 5 KM /Guard stones. X X X

13. Longitudinal/Catch drains. X X 14. Shoulder drains. X X 15. Re-painting of Road marking. X X X

Note: X – recommended period for activity

B. Bridges :

Sl. No. Items Apr-

Jun July-Sep

Oct-Dec

Jan-Mar. Remarks

1. Cleaning and repairs of Bridge/CD proper X X X X

2. Repair/replacement of bearings and expansion joints. X X X X

3. River/drain training and Clearing the vents X

X

4. Repairs to approaches /Embankments X X

5. Repairs to aprons X X 6. White washing/ Painting

Parapets / Handrails X X X

7. Repair of damaged CDs

1.11. Routine Inspection Card (Typical for Road)

Inspected by: _________________ SH Name and No: ___

Date: MDR Name and No:__________

Km chainage ______________

Sl. No.

Particular action to be taken

Chain age -100

KM -101 KM-102 KM -103 KM - 104

1. Jungle Clearance 2. Side drains 3. Shoulder and Edge

• Correct camber • Correct Edges • Pot holes • Erosion cuts • Rain cuts

4. Carriageway • Fill patches • Fill pot holes • Grit for bleeding





• Renewal needed 5. CD Works 6. Encroachment details 7. • Road furniture-

• Sign boards • Km and Hectometre -

Stones • Pavement markings • Speed Breaker

8. Building maintenance • Painting, white

washing • Leak proofing • Electrification related

Accepted by: _________________ Urgent Special attention Routine attention Good





1.12. Typical Letter from “Public / Public Representative”

Date: To The Executive Engineer <Tehsil> Sub-division, Pin No.- Sirs,

Sub: Submission of Proposal (strike out non-applicable products)

Ref.:

I am hereby submitting a proposal for construction / Improvement / Maintenance of Bridge/Cross drains / Bridges / Culverts / Pavedip / causeway / others in the prescribed format attached herewith.

It will be seen that the proposal is justified and needed. It may please considered for necessary approval from Government to enable work taken up at the earliest.

Thanking you.

Yours truly,

Enclosure: Applicable Performa for Bridge/Cross drain / Bridge and Road

1.13. Performa for Bridge/Cross Drain

• Name of the Bridge/Cross Drain • Km/landmark for location • Present condition of Bridge/Cross Drain • Improvements required • Justification in case of new bridge

1.14. Performa for Road

• Name of the Road • Total length in Km • Proposed length for improvements • Present condition of Road • Improvements required • Justification





1.15. Typical Covering Letter from Sub-division to Division

Dept. Code/ Case worker/ Subject/ File No / Year / Dispatch No / Dispatch Date Date: To The Executive Engineer <District> Pin. No. – Sir, Sub: Proposal* for Road / Bridge under <Head of account>

Ref.: Public Representation dated -

I am hereby submitting a proposal for construction / Improvement / Maintenance of Roads / Bridges / Culverts / Pave dip / causeway / others in the prescribed format attached herewith.

It will be seen that the proposal is justified and needed. It may please be considered for necessary approval from Government to enable work taken up at the earliest.

* (Tick marked for ready reference).

Thanking you. Yours truly, Assistant Executive Engineer <Sub- Division> Enclosure: Checklist for Road /Bridge District Map Tehsil Map Copy of Representative’s Letter, if any Survey Report Survey conducted by: Date: Area: Kms:

1.16. Checklist for proposal preparation of Road

Sl. No.

Particulars Project

1. Name of the work: 2. Name of District 3. Name of Taluka 4. Name of constituency 5. Name of proposed Road 6. Category of Road 7. Total length of Road

Start chain – end chain

8. Length of the Road proposed for improvements (Start





Sl. No.

Particulars Project

chain – End chain) 9. Estimated cost for detailed investigation 10. Estimated cost Rs in Lakhs based on CSR 11. Villages benefited 12. Population benefited 13. Traffic intensity / census year

WBM From To

BT From To

14. Surface condition of existing road

15. Proposed improvements 16. Name of the representative 17. Priority level * 18. Justification 19. Remarks

Note:* 1, 2 and 3.

* Priority 1 – Roads which are badly damaged and having WBM surface.

* Priority 2 – Roads which are asphalted but badly damaged.

* Priority 3 – Roads which are asphalted but require minimum improvements.

1.17. Checklist for proposal preparation of Bridge/Cross drain

Sl. No.

Particulars Project

1. Nomenclature of the Bridge/Cross drain with chainage.

2. Name of District. 3. Name of Tehsil. 4. Name of constituency. 5. Category of Bridge/Cross drain. 6. Estimated cost for detailed investigation. 7. Estimated cost Rs. in Lakhs based on CSR. 8. Villages benefited. 9. Population benefited. 10. Traffic intensity / census year. 11. Surface condition of Bridge.

WBM BT 12. Surface condition of existing approaches. From To From To

13. Proposed improvements. 14. Name of the representative. 15. Priority level *. 16. Justification. 17. Remarks.





Note: * Level 1,2 and 3

*Priority 1 – Bridge/Cross drains, which are badly damaged and having WBM surface.

*Priority 2 – Bridge/Cross drains, which are asphalted but badly damaged.

*Priority 3 – Bridge/Cross drains, which are asphalted but requires minimum improvements.



Procedure No. : QMS/PM/QP-02/Detailed Investigation Issue 01, Rev 00


2. DETAILED INVESTIGATION

2.1. Purpose

To study all relevant details of the project identified for execution.

2.2. Scope

All projects executed by HPPWD.

2.3. References

IRC, MOSRTH, Survey Reports, Plans, Standard design data

2.4. Responsibility

AE, field staff of the concerned Sub-division and TAC/ BOD

2.5. Inputs

Process inputs

Source Planning Review criteria Ref.Doc/Format

Survey

Sub-Division

Before investigation

Assessment of need

Survey report

Equipment Sub-Division

As per requirements

Equipment in good working condition and calibration status

T and P Register

Routine Inspection Card

Sub-Division


All requirements are covered

Inspection Card

Competent manpower to carry out survey/ Inspection

Sub division


Experience/ Competency record

HR records

2.6. Process

Sl. No.

Activity Responsibility Ref.Doc/ Format

1. Upon receiving the grant, EE instructs AE to carry out detail investigation

EE -

2. While carrying out investigation following points are taken into consideration: 1. Users’ stated requirements. 2. Perceived requirements. 3. Population benefited. 4. Techno-economic viability. 5. Statutory and Regulatory requirements. .

EE





Sl. No.


3. Carry out investigation by covering all the required details.

AE and SUPDT. -

4. Maintain equipments used while carrying out investigation in working condition.

AE/JE T and P Register

5. Forward investigation details to competent authorities.

AE Investigation Report

2.7. Outputs

Description To Act Ref.Doc/ Format

Investigation details Proposals are to be prepared by Sub-division

Project-wise

Investigation Report


Review parameters

Acceptance criteria

Responsibility Check/ Action

Ref.Doc / Formats

Investigation details

Complete scope of the project

EE Project-wise Investigation Report

Availability of survey equipments

Working condition

AE/JE Before survey

T and P register

2.9. Effectiveness

• Saving in time for decision making by CA. • Reduction in response time. • Increased User satisfaction. • Removal of ambiguities. • Greater motivation to staff.

2.10. Annexures

• Investigation Report. • T and P Register.

2.11. Investigation Report

2.11.1. Steps involved in detailed investigation – ROAD

• Detailed Topographical Survey • Final alignment of Road. • Visibility / sight distance in horizontal and vertical profile. • Carriage-way shoulder width and formation width. • Cross Drainage structures. • Drainage system.





• Land Acquisition • Safety features.

A. Traffic Surveys and Analysis

• Classified traffic volume survey. • Origin - destination studies. • Speed and delay studies. • Survey for design of road junctions, road over/under bridges, etc. • Axle load studies. • Accident records. • Traffic projection.

B. Geographical Survey

• Study of maps and survey sheets.

C. Soil Survey

• Soil investigation for low embankments. • Special investigation for high embankments. • Soil investigation for cut sections. • Special investigation for landslide-prone area. • Special investigation for low CBR value. • Detailed investigation for flexible and rigid pavement design.

D. Road Construction Materials Survey

• Aggregates. • Water for construction. • Asphalt / Cement / Steel. • Earth. • Murrum /Gravel.

E. Road Inventory and Condition Survey

• Riding quality / Roughness Index. • Widths of pavement, shoulders, formation and at curves. • Road geometry.

2.11.2. Steps Involved in Detailed Investigation for BRIDGE

2.11.2.1. Planning and Investigation

A. Planning

• The need for the structure and its location. • The traffic that will pass over the structure after its completion and in- future (in

respect of the volume of traffic as well as the axle/wheel load) for 30 years. • Characteristics of the river / stream / canal. • Alternative sites either by longitudinal shifts of the proposed structure or by

lateral shift of the alignment itself. • Land Acquisition • Subsoil condition / Trial Bore details. • Construction problems that may arise.





B. Investigation

• Techno feasibility study. • Techno economic study. • Detailed survey.

2.11.2.2. Techno feasibility study

A. Selection of site

• Entire reach of the river within the area to be interconnected are studied to find out sites which satisfy various conditions for location of a bridge.

• For construction of new bridge or to change the alignment of roads in sharp curve (to improve the geometry of the road, if necessary) a number of sites are listed along with field details; among these, the one which satisfy the most is selected for construction.

• Maps are studied to choose sites that appear suitable for locating the bridge. The choice of site is narrowed down to three to for alternative sites. It also includes gathering information on behaviour of river at sites by studying available reports and local enquiry.

• Competent authority to inspect the site and finalize the alignment. • Final selection after assessment of construction problems that will affect its

feasibility, cost and duration of construction.

2.11.2.3. Techno Economic Study • Linear waterway. • Length of approaches. • Volume of traffic anticipated. • Distance from important city / town. • Duration of construction. • Nature of flow at site. • Nature of soil at site. • Construction problems, if any. • Seismic survey. • No of villages benefited. • Population benefited. • Cost Benefit ratio Analysis.

2.11.2.4. Detailed Surveys for Culverts / Minor Bridges

A. Traffic Surveys and Analysis

• Classified traffic volume survey. • Origin-destination studies. • Speed and delay studies. • Survey for design of Bridge/Cross drain junctions, Bridge/Cross drain

over/under bridges, etc. • Axle load studies. • Accident records. • Land Acquisition • Traffic projection (approx. 30 years).





B. Geographical Survey: Catchments Area

• Study of maps and survey sheets / topography sheets. • Detailed ground survey. • Hydrological data collection and survey.

C. Soil Surveys

• Soil investigation for low embankments. • Special investigation for high embankments. • Soil investigation for cut sections. • Special investigation for land-slide-prone area. • Soil exploration for determining nature of foundation.

D. Drainage Studies

• Objectives. • High flood level, Low water level. • Special investigation for cut-sections. • Surface run-off (calculation and design discharge as per IRC Guidelines).

E. Availability of Construction Resources

• Labour. • Material. • Habitation and accommodation. • Water and power. • Existing transport and communication infrastructure.

2.11.2.5. Classification of Bridges

Type of Cross Drainage structure Length Details

Culverts Up to 6m Cross Drainage structure with a linear waterway.

Minor Bridge 6 m- 60 m Cross Drainage structure with a linear waterway.

Major Bridge More than 60 m On stable rivers and canals (excluding causeways).

A. Investigation for Major bridge with waterway of >or = 60 m

• Topographical details. • Catchment area and its characteristics. • Hydrological survey. • Geo-tech. Details. • Seismology of the area. • Navigational requirements. • Important details of nearest bridge across the same river or stream and its

history. • Traffic – Present and future trends. • Alternative routes and modes available.





• Statutory and regulatory requirements.

B. Availability of Construction Resources

• Land • Labour. • Material. • Habitation and accommodation. • Water and power. • Existing transport and communication infrastructure.



Procedure No. : QMS/PM/QP-03/Design and Drawings Issue 01, Rev 00


3. DESIGNS AND DRAWINGS

3.1. Purpose

To design and prepare drawings with complete details of construction

3.2. Scope

Up-grading/ Original Works

3.3. References

MOSRTH, IRC, IS, ASTM, ASHTO, BS etc.

3.4. Responsibility

The responsibility for all important structural designs under execution rests on the competent authorities, who should exercise careful control over the work of the designing and technical sanctions.

In case of Roads and Bridges Division/ Sub-division prepares designs for obtaining approval from Competent Authority.

3.5. Inputs


Ref.Doc/ Format

Detailed Investigation

Concerned Sub-division


Complete in all aspects

Detailed Investigation Report (Ref: Manual of Forms and formats)

Requirements from the concerned department (in case of buildings)

Concerned Department

As and when required.

Purpose of User department

-

3.6. Process

Sl. No.

Activity Responsibility Ref.Doc / Formats

1. After all the required site details and statistics are collected, the preparation of design and drawings shall be carried out in Sub-division as per standard design practices for Roads and bridge.

Sub-division

-





Sl. No.

Activity Responsibility Ref.Doc / Formats

R

oad

By analyzing road condition and traffic density, Sub- division prepares a Standard Design and Drawing with the following: Geometry Pavement Cross-Drains Longitudinal Drains

Designed by AE and approved by competent authority

Brid

ge

By analyzing bearing strength and project requirements, the Sub-division prepares designs and drawings, which will be evaluated and approved by competent authority Standard Design and Drawing: A plan of the proposed structure is drawn to 1:100 scale and a Cross-section and Longitudinal section (half bottom and half top) of Bridge/CD/HP components; also showing the ground profile, HFL and LWL to the same scale (General arrangement of Drawings from MOSRTH)

Structural designs and drawings by Sub-division

-

3.6.1 Control of Drawings:

3.6.1.1. Each drawing is identified by a unique number and there should be a provision for revision and shall be controlled by the competent authority. Whenever there is a revision or amendment the drawing will indicate the change, the revision number, the date of issue and attestation by the competent authority.

3.7. Outputs

Description To Checking Ref.Doc/ Format Designs and drawings Preparation of

estimate For every project

Standard designs


Review parameters

Acceptance criteria Responsibility Check/Act Ref.Doc/ Format

All requirements are taken into account

Relevant standards/specifications

Competent Authority

For every project

-

3.9. Effectiveness

3.9.1. The designing process is made effective by

• Timely review





• Saving in time for execution • Accuracy of construction and better process control • Effective material management • Development of standard designs, Codes of Practices • Time and cost effective by using Computer Aided Designs.



Procedure No. : QMS/PM/QP-04/Estimation Process Issue 01, Rev 00


4. ESTIMATION PROCESS

4.1. Purpose

To detail the expenditure by proper and accurate estimation and obtain grant approval of works

4.2. Scope

This procedure shall be applicable to following categories:

• Up-grading/ Original works • Maintenance

4.3. References

CSR

4.4. Responsibility

AE, EE, SE, CE, TAC/ BOD

4.5. Inputs

Process inputs Source Planning Review criteria

Ref.Doc/ Formats

Plans and Designs

Sub-division For every project Project requirement

-

4.6. Process

Sr. No.


1. In preparing estimates, only the current rates for the items of works as per the schedule of rates (or approved data rates) applicable to the area in which the work falls shall be adopted.

AE

2. The designs of very important structures and the schedule of quantities shall be prepared.

AE

3. Supplementary Estimate: Estimates shall be prepared by completely covering all the details such that it may not be necessary to prepare any supplementary estimates. In cases where the User Department requests for additional works, not suggested earlier, supplementary estimates can be prepared, got countersigned and administratively approved.

AE

4. Revised Estimate: It is necessary when the total expenditure from any cause is likely to exceed by more than 15% or limits prescribed of the total of the original estimate including the provision for

CE

Approved formats as per the





Sr. No.


contingency. • EE shall monitor the progress of work and

expenditure incurred under each sub-head. He should see that a revised estimate is prepared, when necessary and submitted to the sanctioning authority.

• The responsibility for investigating excesses over the Sub-heads with a view to decide whether or not a revised estimate will be required for that work vests with CE, when a work-slip is submitted to him by EE with an explanation as will enable him to pass suitable orders on the case.

• CE accords the sanction for the revised estimate if the excess amount is up to 15% over the sanctioned amount, beyond this limit it is referred to Government.

EE

CE

CE

Manual of Forms and Formats

4.7. Appendices to Estimate

The estimates for each work to be framed shall comprise of the following parts:

(a). A face sheet (showing the fund head, name of work and estimated cost).

(b). Abstract sheet (showing the quantities, rates and amount of items in the estimate).

(c). Measurement sheets (showing the details of each item of the estimate).

(d). Quantities and cost of labour.

(e). On every estimate submitted to CE or SE or EE for sanction under the respective financial powers delegated, a certificate in the following format should be recorded by EE.

Name of Work: ________________________________________________

“Certified that, I …………………………….. , have personally visited the spot of the above work and prepared the estimate using the sanctioned Schedule of Rates and providing for the most economical and safe way of executing the work”.

(Signature and Seal of the concerned officer)

4.8. Outputs

Description To Actions Ref.Doc/ Formats Estimate AE As and when required As per Manual of Forms and FormatsSupplementary Estimate AE As and when required As per Manual of Forms and Formats

Revised Estimate AE As and when required As per Manual of Forms and Formats






Review Parameters

Acceptance Criteria

Responsibility Checks Ref.Doc/ Formats

All the items required for execution are considered

Detailed estimate SE, EE and AE Before Admin. Approval

As per Manual of Forms and Formats

Estimation As per standard norms

AE Before Admin. Approval


4.10. Effectiveness

• Improved accuracy. • Conservation of materials. • Improved process controls. • Increase in User confidence. • Lesser Non conformances in detailing of construction. • Improved vendor control in outsourced activities. • Standardization of designs. • Saving in response time.

4.11 The following details should be furnished with the reports accompanying the estimates:-

• History – A brief review of the circumstances leading to undertaking the work. • Scope – The extent of work involved. • Specifications, Designs and Drawings • Cost of work, allocation of charges under budget or other head of account.

(Whether there is a budget provision for the expenditure.) • Data sheet in respect of rates provided for items of work not contemplated in

the sanctioned schedule of rate, data sheets as to how each rate is arrived at, should be furnished.

• Expected revenue in respect of revenue yielding works. • Countersignature – Whether the estimates have countersigned by competent

authorities as required. • Method of Execution - by Department or other agencies with or without

tenders. • Establishment – whether the regular staff will do for the work or any extra

establishment is required. • Work establishment – If any temporary work establishment is required, details

should be furnished in the estimate. • Time – Estimated duration from start of work to completion.



Procedure No. : QMS/PM/QP-05/Proposal Inclusion in the Budget & Res. Mgmt. Issue 01, Rev 00


5. PROPOSAL INCLUSION IN THE BUDGET AND RESOURCE MANAGEMENT

5.1. Purpose

To prioritize proposals on the basis of necessity for inclusion in the annual plan or of the external funding agency, to make provision of funds in the annual budget and manage the resources.

5.2. Scope

Up-gradation/ Original Works and major Maintenance Works

5.3. References

MOSRTH, IRC, IS, Code, Govt. guidelines and requirements.

5.4. Responsibility

At the proposal stage, the Technical Advisory Committee (TAC)/ BOD (Board of Directors) shall scrutinize and approve the proposal for inclusion in the budget. At site, JE/AE shall maintain all records (MB, test results etc.) and forward the same to Sub-division/Division. AE checks all measurements (100% basis). A sampling verification (of not less than 25%) of submitted measurements and billing is done by EE before approval and passing the bill. The accounts department in the division shall maintain the register of works and update the data regularly.

5.5. Inputs

Process inputs Source Planning Review criteria Ref.Doc / Formats

Proposals submitted to TAC/ BOD

Head Office When complete in all aspects, to be included in the budget.

Proposals complete in all aspects.

Estimate

5.6. Process

Sr. No.


1. After the receipt of proposals from Head Office (Sub-division to Division to Circle to Head Office), TAC/ BOD scrutinizes documents, prioritize on the basis of importance of works.

TAC/ BOD Estimate

2. Shortlist the proposals based on the necessity. TAC/ BOD - 3. Scrutinize short listed proposals for complete

technical details viz. detailed investigations, actual cost estimation, time duration required

TAC/ BOD





Sr. No.


etc. 4. Prepare list of works to be included in the

annual plan, annual budget. TAC/ BOD List of

works 5. Submission of list of works to Government for

inclusion in the annual budget. TAC/ BOD -

6. Due to financial constraints, if a few of the proposals are not included in the Budget, such proposals will be referred back to TAC/ BOD to be stored in the ‘shelf of projects’.

TAC/ BOD -

7. Proposal included in the shelf of projects, are taken up for inclusion in the Budget, at later date only after modifying the cost estimation.

TAC/ BOD, concerned

Division

-

5.7. Outputs

Proposals included in the Budget.

Description To Checking Ref.Doc/ Format

Estimate Competent Authority/Government

Upon scrutinizing all short listed proposals

List of Works


Review parameters

Acceptance criteria

Responsibility Actions Ref.Doc/ Format

Proposals Resources

Detailed estimate Budget sanctions

Concerned Sub-division Circle/Divisions

Before submitting to TAC/ BOD Review in MMR

Estimates MMR agenda and minutes

5.8.1. Resource Management

The resources are Human, Financial, Equipment and Materials.

5.8.1.1. Human Resource

The personnel are recruited through competitive examinations and interviews. Their earlier experiences, if any, are given weightage before assigning similar nature of work. In addition, training is provided on a continual basis for improving their competence.

5.8.1.2. Financial Resource

The projects of PWD are undertaken through various funding of resources. The budget provision by the government is the principal financial resource. However, projects are carried out under the following schemes:





• World Bank. • Central Reserve Fund (CRF). • National Board for Agricultural Rural Development (NABARD). • Elected Representatives grant for development.

The loans, grants and aid are accounted for new and maintenance under various Head of Expenditure

The roads are classified as:

• State Highway (SH). • National Highway Linkages (NHL).

5.9. Budgeting

Details of budget allocations will be available at the H.O circle office.

5.9.1. Schedule of Rates (SR)

The Schedule of Rates is prepared every year and published for easy availability to contractors to prepare their Bill of Quantity (BOQ). In the preparation of SR, the following are considered:

(a). Specifications of materials.

(b). Labour rates (obtained from labour department).

(c). Prevailing cost of materials.

The rate analysis is done, considering the nature of work, number of mandays, number of labour required, material requirement etc. A rate per cubic metre of work can be worked out to enable proper estimates by the contractors while submitting tender rates.

For material costing, PWD invites quotations from material suppliers (Cement, Steel, aggregates, admixtures etc) both locally and from authorized agencies. This ensures the latest price availability of materials before tendering of the project. However, while tendering, escalation costs are duly considered to prevent any loss to the department and the suppliers/contractors.

5.10. Work Environment

Site Offices are provided for proper communication, transportation and storage of equipment and materials. The environment shall ensure provision of safe and hazard free working for improved quality output from staff and labour.

5.11. Monitoring and Measurement of resources

Periodic monitoring of works is carried out by JE/AE/AE at site. The measurement books are maintained by the Engineers, which will provide complete history of the project’ progress

5.12. Measurement Books (MB)

These are printed on indent request from a division and the number is dependent on the projects on hand. The books are serially numbered and issued to enable





easy identification and traceability. The retention period is generally permanent after the asset is ‘’ taken over’’ by PWD.

The payment of bills is ensured by the accounts/administration of the division only after calculation verifications from the measurement books.

5.13. Output

The system of utilization of all resources ensures:

• Transparency in transactions. • Safety of construction. • Better relationship between department and contractors. • Better utilization of all resources.

5.14. Effectiveness

The system is efficient, effective, time tested and amenable for modernization.



Procedure No. : QMS/PM/QP-06/Administrative Approval and Technical Sanction Issue 01, Rev 00


6. ADMINISTRATIVE APPROVAL AND TECHNICAL SANCTION

6.1. Purpose

Administrative Approval

It is the formal acceptance by the department concerned. Such approvals shall be accorded (in consultation with Finance Department, whenever necessary) only after the relevant authorities have intimated that the proposal is sound, the estimate is sufficiently correct for the purpose and that there is reasonable prospect of the funds being provided for the work in the same or succeeding year.

Technical Sanction

For every work proposed to be carried out, a properly detailed estimate shall be prepared for the sanction of competent authority. This sanction is known as the ‘Technical sanction to the estimate.’

6.2. Scope

Up-grading, Original and Maintenance Works.

6.3. References

• World Bank guidelines and operational manual. • Delegation of financial powers- Guidelines and requirements. • Budget book of the Government. • Manual of Forms and Formats

6.4. Responsibility

As per guidelines of delegation of financial powers for:

(a). Administrative Approval.

(b). Technical Sanction.

6.5. Inputs

Process inputs Source Planning Review criteria Ref.Doc/ Format

Budget Govt. Annually Inclusion in the budget

Proposal for External funding agency

Funding Agency


Adm. Approval from Funding Agency





Process inputs Source Planning Review criteria Ref.Doc/ Format

Demand from User department

User dept. As and when required

Adm. Approval from User Dept.

Detailed plans and estimates

Sub-division Collection of data during detailed investigation and analysis

Requirements of the proposed work

6.6. Process

Sr. No. Activity Responsibility Ref. Doc/ Format

1. Proposals appearing in the budget or externally financed will be forwarded to CE.

TAC/ BOD

2. CE will forward it to the Competent Authority for Administrative Approval.

CE, CA As per Manual of Forms and Formats

3. After administrative approval, returned to Head Office.

Competent Authority

-

4. Proposals will be forwarded to competent authority for according Technical Sanction.

Head Office -

5. Technical Sanction will be accorded by competent authority and entered into register.

Competent Authority

(Ref. Manual of Forms and Formats)

6. After according Technical Sanction, the proposals will be forwarded to concerned Division to carry out further actions.

Competent authority

-

6.7. Outputs

Description To Checking Ref.Doc/ Format Administrative Approval and Technical sanction

EE After according Technical Sanction

Technical Sanction Register


Review parameters

Acceptance criteria

Responsibility Check/Act Ref.Doc/ Format

Proposals Detailed estimate TAC/ BOD/ Before Admin. Estimate





Review parameters

Acceptance criteria

Responsibility Check/Act Ref.Doc/ Format

External Funding agency

Approval

Proposals appearing in the Budget/ Approved by External Funding agency

Inclusion in the Budget / External Funding agency

Competent authority

Before Admin. Approval

-

6.9. Effectiveness

• Proposal approvals streamlined. • Unambiguous approach to sanction. • Conservation of efforts due to TAC/ BOD. • System based approval system by competent authority. • Satisfaction to external agency. • Employee morale booster.

.



Procedure No. : QMS/PM/QP-07/Tender Process Issue 01, Rev 00


7. TENDER PROCESS

7.1. Purpose

To ensure that transparent and efficient methods of procurement are practiced.

7.2. Scope

This procedure shall be applicable to following categories of procurement, namely

(a). Construction.

(b). Supply of goods and services.

7.3. References

• HPPP Act, 1999&Rules 2000. • Standard Request for proposals and Contract Formats for hiring of

Consultancy Services. • Standard tender documents for procurement of Goods and Equipment. • Standard tender documents for procurement of Works.

7.4. Responsibility

• EE, AE.

7.5. Inputs

Process Inputs Source Planning Review Criteria Ref.Doc/Formats

Technically sanctioned projects

Competent authority

Entrusting to approved Agency for execution

Technical aspect of work


7.6. Process

Sr. No.


After receiving Technical Sanction to the estimate, the work shall be carried out by calling for tenders. 1. Before a work is given out on contract, the EE

shall prepare “contract documents” to include. A complete set of drawings along with details of the various constituents. A complete specification of the work to be done and of the materials to be used, unless reference can be made to standard specifications. For example, cement as per

EE and Supdt. As per Tender agreement manual





Sr. No.


IS 12269. A complete schedule of quantities of the various descriptions of work. A set of “Conditions of Contract”.

2. If the amount of the tender is likely to be beyond the EE’s power of acceptance, EE should, before publicly inviting tenders, submit the contract documents to the SE for his approval and / or remarks, together with the proposed advertisement for tenders and the form in which tenders are to be submitted. If the amount of tender is likely to exceed the SE’s powers of acceptance, or to be of very important nature, SE should in like manner, submit the contract documents to the CE for approval.

EE, SE Draft Tender Schedule (DTS) Delegation of financial powers as per operational manual

3. In case of works except those of greater magnitude, contract deeds should invariably be drawn up in such forms as have been approved by Government. In respect of works of great magnitude, they should be prepared in consultation with the legal department and after government approval is accorded to them.

EE

-

4. Issue of Notice Inviting Tender (NIT) NIT shall contain following details,

Concerned EE/HDM

-

(a). The name and address of procuring entity and the designation and address of the Tender Inviting Authority;

-

(b). Name of the scheme, project or programme for which the procurement is to be effected;

- -

(c). The date up to which and places from where the tender documents can be obtained;

- -

(d). The amount of earnest money deposit payable; (e). The last date and time for receipt of tenders; (f). The date, time and place for opening of tenders

received; and - -

(g). Any other information, which the tender inviting authority considers relevant.

- -

5. Receiving applications and fee for tender by the specified class of Contractor.

-

6. Preparation of blank tender booklet as per requirement.

EE -

(a). Issue of blank tender booklets in duplicate to the applicants on the specified date.





Sr. No.


(b). Clarification of tender documents. EE - (c). Pre-bid discussion with prospective bidders by

SE in case of major works. SE -

(d). Receiving sealed tender booklets in the tender boxes placed at specified places and on specified date and timing. Keeping the record of no. of participants.

EE

7. Sealing of tender boxes, duly signed by participants. Collecting tender boxes at Division.

EE/AO -

(a). The EE is responsible for safe custody of accepted tenders and contract agreements. Detailed record is maintained in the register.

Concerned EE/HDM

Register of Agreements Ref. Manual of Forms and Formats

8. Tender opening (a). All tenders received on time shall be opened; EE (b). The name of the tenderers and the quoted

prices shall be read out;

(c). A record of the corrections and overwriting noticed at the time of bid opening shall be maintained;

EE

(d). Whether EMD has been submitted and other documents required have been produced may be indicated, by examining documents

- -

(e). Minutes of the tender opening shall be recorded. The signatures of the tenderers / representative present at the time of opening shall be obtained

-

9. Tender evaluation to be in accordance with evaluation criteria

EE

10. During initial evaluation the following factors shall be considered: (a). Whether the tenderer meets the eligibility

criteria laid down in the tender documents.

(b). Whether the relevant documents have been duly signed.

(c). Whether the requisite EMD has been furnished. (d). Whether the tender is substantially responsive

to the technical specification set out in the bidding documents.

11. Determination of lowest evaluated price (a). The quoted price shall be checked for





Sr. No.


arithmetical errors. (b). In case of discrepancy between prices quoted

in words and in figures, lower of the two shall be considered.

(c). The evaluation shall include all duties such as customer duty and central excise duty inclusive of local levies and sale taxes as a part of the price.

(d). In case of purchase of equipment, the operation and maintenance and spare parts’ costs for appropriate periods as may be specified in bid documents may be quantified, where practicable and considered.

12. Preparation of evaluation report and award of contract

EE

(a). Division Office inviting tender shall prepare detailed evaluation report, which shall be considered by tender accepting authority before taking a final decision on tender. In cases when amount exceeds his power, a statement of the evaluation of tenders with a comparative statement of tenders received and decision thereon shall be submitted to competent authority before taking the final decision on the tender.

EE

(b). On acceptance of the tender by the competent authority, accepted tender will be forwarded to EE.

Competent authority

(c). The EE shall communicate the letter of acceptance to the successful tenderer.

EE

(d). Within stipulated time as may be indicated in tender documents, the successful tenderer will be required to execute the contract agreement in the specified format. And submit - Construction methodology. - Program of works CPM, PERT Chart.

Tenderer

(e). In case the successful tenderer fails to execute necessary agreement, within the stipulated period, the EMD shall be forfeited and action to be taken as per tender clause.

EE

13. A list of tenders accepted by competent authorities should be furnished to the Accountant General.

Competent authorities

14. The second cover shall contain the prices quoted by the tenderer.





Sr. No.


(a). In the case of construction or supply and installation of equipment, tenders exceeding Rs.50 lakhs in value where the pre-qualification procedure or Turnkey Tender System are not being followed the tender inviting authority shall follow the two cover tender system.

(b). The first cover shall contain the following information about the tenderer namely: Experience and past performance in execution of similar contracts. Capabilities with respect to personnel, equipment and construction or manufacturing facilities. Financial status and capacity. Any other information considered relevant.

(c). The tender document and accordingly prepare a list of qualified tenderers.

(d). The tender inviting authority shall cause the first cover to be opened first and evaluate the tenderer`s eligibility on the basis of criteria specified in Two Cover Tender:-

(e). Thereafter, the Second cover containing the price quotations of only those tenderers found qualifying under sub-rule shall be opened by the tender inviting authority.

(f). The tender inviting authority shall follow the procedure outlined in 6.11 and 6.12.

7.7. Outputs

Description To Checking Ref.Doc/FormatsNIT Publication For procurement of

Services, Equipments, goods, etc.

--

Contract documents

Registered contractors / Anyone on remittance of the cost of the documents

For procurement of Services, Equipments.

Evaluation report

Competent authority After opening the tender and scrutinizing the documents.

WI 01 and 02

Contract agreement

Qualified Contractors Within stipulated time






Review parameters

Acceptance criteria Responsibility Checking/ Act

Ref. Doc/ Formats

NIT All details EE For procurements

Registers

Opening of tenders

Presence of tenderers EE At the time specified in NIT

Attendance sheet

Evaluation 1.strictly according to evaluation criteria indicated in tender documents 2. within validation period

EE After opening

-

Modification or amendments to the tender documents

Intimation to all those who have purchased the original tender document

EE As and when required

-

Contract agreement

Within stipulated time EE Projectwise Tender forms

7.9. Effectiveness

Tendering is an elaborate process subject to scrutiny and approval under various statutory acts and regulations. The process is made effective by proper implementation and greater transparency. The process can be effective if implemented in totality by all competent authorities with designated delegation of powers.

7.10. Annexures

• Tender opening and evaluation QMS/WI (Annexure 7.1) and (Annexure 7.1) • Report of Monthly Tender Acceptance (Annexure 7.2).





7.11. Flowchart

TENDER PROCESS

Issue of Tender documents

Tender opening

Tender acceptance

Receipt of tenders

Meeting requirements

Y

NI T

Rejected

N

Contract agreement and award of work

Pre-bid meeting

Draft Tender schedule





Annexure 7.1. : Tender Opening

WORK INSTRUCTION

TENDER OPENING ( Commercial Bids) QMS WI- 01

1. Opening of tenders should be only at the time specified in the tender notice and or

orally conveyed to the bidders. 2. Ensure the presence of bidders or their representative at the time of opening. 3. Obtain the name and signature of the bidder/representatives present at the

opening in the attendance register. 4. Ensure presence of tender opening committee members

(EE/AE/HDM/Supdt./Adm/Estt ) staff of the division. 5. Verify that the seal and signatures of the bidders are on the envelope and the

correctness of the tender details. 6. Announce the tender no. and other details, names of the bidders as compiled

from the envelopes. 7. Check for two envelopes (where applicable) as per instructions of the tender

notice/instructions in the tender document, sealing and identification. 8. Open the envelopes ensuring no damages to the contents. If need the envelopes

may be got signed again in the presence of the committee. 9. Obtain the signatures of the committee members on the envelopes, bid papers

and covering letter. 10. Announce the quoted total cost as per the tender document preferably in

alphabetical order of the names of the bidder. 11. If break up costs are required as per tender document, read out the quotations

received from the bidder. 12. The lowest and highest quotations received can be tabulated and announced by

the committee. 13. No revision/ discussions/negotiations should be permitted after opening of the

tender. 14. Inform the bidder/representative that the successful bidder would be notified

within seven days after rate comparison with standard rates, time for completion etc.

15. The records shall be kept in safe custody, identified for easy retrieval and processing. They shall be retained till the work order is completed and asset added in the register for management by HPPWD.

Signature MR Signature (AE)/Adm./Estt.





Annexure 7.1. : Tender Evaluation

WORK INSTRUCTION TENDER

EVALUATION ( Commercial Bids)

QMS WI- 02

1. The administration and Establishment staff (Adm./Estt.) shall examine and ensure

that the bids have been filled up completely and without need for any queries. Incomplete bids shall be summarily rejected.

2. Check for all Qualification Information of the bidder, namely, name and address registration, legal status, value of works executed, any other tenders under execution etc., as demanded by the tender under reference.

3. Check the certificates issued by Chartered Accountant, Income tax, sales tax or any other statutory body, Engineer In-charge of work in progress under any other tender, etc.

4. Check for Earnest Money deposit (EMD) details, offer of validity of rates and BOQ.

5. Prepare a comparative chart containing all the details of quotes in line with tender guidelines. The chart shall also contain break up costs, if so required, by the tender.

6. The members of the tender opening committee should sign the comparative statement as proof of their agreement and proceed to shortlist the bidders as per terms and conditions of the tender.

7. The office shall be advised to issue the letter to proceed with work to the successful bidder. The letter shall indicate the security deposit amount, time for completion of work and other conditions.

Approved and Issued by Prepared by (Sign. of EE) (Sign. of EE/TA/Adm/Estt)





Annexure 7.2. : Monthly Tender Acceptance Report Return of tenders accepted by the authorities higher than Divisional Officer for the month of ................ of 200.

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Procedure No.: QMS/PM/QP-09/Measuring & Monitoring Equipment Management Issue 01, Rev 00


8. QUALITY ASSURANCE PROCEDURE 8.1. Purpose

To examine the QA activities of HPPWD and establish procedures to suit the installed QMS

8.2. Scope

All activities of planning, construction, maintenance of infrastructure facilities involved by HPPWD


IS- Indian Standards, IRC- Indian Roads Congress -Departmental Code AE- Assistant Engineer EE- Executive Engineer JE – Junior Engineer SH- State Highway, NH- National highway, MDR-Major District Road PC- Pre stressed Concrete; SD- Surface Dressing; MSS- Mixed Seal Surfacing. SDBC- Semi Dense Bituminous Concrete; BC- Bituminous Concrete

8.4. Process

The flow chart below shows the Quality Assurance process applicable for HPPWD.

INPUT PROCESS OUTPUT

Quality Control- QC

Part of Quality management focused on fulfilling quality requirements.

Quality Assurance -QA Part of Quality Management focused on providing confidence that quality requirements will be fulfilled.

Quality Management System - QMS

Management system to direct and control an organization with regard to Quality.

Proposals, Approvals, Estimations, Design, Technical sanction, Tendering, Vendor evaluation, Tender submission, BOQ, Work in progress, Customer surveys, maintenance data, audit results Materials, Purchase Storage and Delivery

QC sampling, testing, inspection, calibration, Identification of Non Conformances(NCs) , Corrective Actions, Preventive Actions, root cause analysis, Process and Product monitoring, Vendor analysis, customer feedbacks, Continual improvement

Improvement in product and process quality Timeliness Lesser needs for corrective and preventive actions Better process monitoring methods, Increased customer confidence and satisfaction





8.5. Materials

The materials used in construction of roads shall to conform to Indian Standards/specifications of Indian Roads congress. For some special tests, testing as per procedure laid down by American Society of Testing Materials (ASTM) or any other recognized standard mutually acceptable between supplier and PWD may be followed.

The sampling plan of PWD as per MOSRTH and IRC guidelines shall be followed. The testing on receipt shall be carried out in any independent laboratory. The supplier shall ensure conformance to the specification prior to supplies.

The QA plans for the following are given below:

Material Conformance to IS Cement (OPC) 269, 8812, 12269 Cement (PPC) 1489 Cement (PSC) 455 Cement (SRPC) 12330 Steel reinforcement 226, 1786, 2062 Aggregates 2386(pts), 383 Concrete 456 Bitumen 1873 Paints 104

8.6. Resources

Competent personnel shall be deployed for inspection and testing. An independent laboratory with facilities for testing bearing strength of soils, raw materials and concrete cubes, reinforcement steel shall be available for QA testing and inspection. The laboratory test equipment shall be periodically calibrated as per stipulated frequency. All other measuring Equipment shall also be calibrated prior to use.

Table below gives the calibration needs of measuring Equipment and testing equipment.

Calibration of Measuring and Testing Equipment Process

Equipment used

Purpose

Frequency of calibration

Surveying

Levels, Staff, Chains

Field survey and Plotting

Daily

Laboratory

Balances, Universal Testing Machine (UTM), Test sieves, expansion apparatus, curing tank Thermometers

Material analysis

UTM - Yearly, Balances- Daily (Zero setting) Curing tank temperature- Daily Thermometers- once a year

Earth work Soil testing- Physical SBR, CBR UTM- Yearly





Process

Equipment used

Purpose

Frequency of calibration

Chemical Standard volumes

Investigation Measurement Of earth removal

Chemical balances - Daily Before commencement of tests

A procedure for Inspection and Testing is outlined in 8.9 and sub-paras. A detailed procedure on calibration of measuring Equipment is given in 9. The method for identification and traceability is given in para 11.

8.6.1. Sequence of Processes for Monitoring and Measurement

8.6.2. Surveys

The survey of site shall be carried out with only calibrated measuring instruments. The status of calibration shall be indicted by coloured stickers. Records shall be maintained in approved formats.

Survey measurements shall be checked once a month by EE/SE of the division/circle for validating the results observed by the staff.

Records shall be maintained in the division/sub- division.

8.6.3. Soil Investigation

The soil investigation shall comprise of Safe bearing capacity (SBC) and chemical analysis. California Bearing Ratio (CBR) is followed in some cases.

The tests carried out by the sub-division/division may also be verified in an independent laboratory by the QC circle in any other laboratory for checking repeatability and reproducibility of results.

8.6.4. Earth Work

Measurements are carried out as per IS. Relevant records shall be maintained.

QA shall carry out sample verification of measurements on a weekly basis. Records of measurement and site instruction register shall be strictly controlled and duly signed by authorized personnel.

8.6.5. Masonry

Measurements shall be carried out as per IS 1200 and its parts.

QA shall sample the work carried out daily, on a random sampling basis at site. The measurement book shall also be verified for effective monitoring of work progress.

8.7. Concreting

Measurements of concrete work shall be done as per IS 1200(Pt 4). Sample concrete cubes shall be tested as per IS 456.





8.8. Road Laying/Bridge Construction(Inter related process)

The process plan with inter-related processes is given below:

8.9. Inspection and Testing

8.9.1. Responsibility and Authority: EE/AE/ AE/JE

8.9.2. Inputs

All relevant specifications, codes of practices, of Indian Standards, IRC, MOSRTH, operational manual, Drawing plans, testing equipment, tools and gauges, instrument records, calibrated Equipment and their status and trained manpower.

8.9.3. Process

The Inspection and Testing Process is applicable in the following areas:

• Incoming stores • In process • Finished products

Need Identified

Approved

Survey of site, Location traffic, connectivity

Budget allocation

Investigation, estimation and admin. approval

Tech sanction

Tendering

Award of Work

Soil, terrain

List of contractors

Verification of Sanction details

Verification of Notice, Evaluation of Contractors

Verification of Tender, Terms of contract

QA

S A M

P L I N

G





8.9.4. Material receiving Inspection

All materials that have to be stored and issued are inspected before acceptance as per sampling plan.

Responsibility for carrying out tests is with the contractors before supply. However, as per quality plan, the samples drawn by JE/AE of the sub-division/division are also tested in the laboratory near the site. The concerned officers also ensure their presence during the inspection process.

8.9.5. In Process

In process inspection and testing is carried out at site during construction. The samples are periodically taken and tested in the nearest available laboratory (as for example, Engineering college).

The following stages of inspections are carried out before commencement and during process of the work at site.

(a). Scrutiny of site maps.

(b). Scrutiny of survey reports.

(c). Plans.

(d). Drawings.

(e). Materials in use.

(f). Workmanship and finish.

Records of inspection shall be maintained in measurement books, inspection notes and records as per code (Ref. Manual of Forms and Formats).

8.9.6. Finished products

Final inspection before issue of completion certificate shall meet all tender conditions. Submission of”as built drawings” be ensured.

8.9.7. References

• Measurement books. • Record of test results (Ref. Manual for Forms and Formats and Level III

documents for Construction Management). • Site inspection register.

8.9.8. Output

Effective supervision through inspection and testing and standardized sampling scheme ensures.

• Timely completion. • Lesser number of Non conformances. • Adhering to approved plans. • Lesser number of corrective actions. • Good workmanship. • Satisfactory performance of contractors.





8.10. Identification and Traceability

8.10.1. Purpose

To establish a procedure for identification of products (roads, buildings, bridges, culverts etc)

8.10.2. Scope

To cover all products of HPPWD

8.10.3. Inputs

Site maps, Drawings, plans, survey reports, estimates, reports of elected representatives, media reports, traffic census, connectivity reports.

8.10.4. Process

The products are identified by:

(a). Location.

(b). Name of Project.

(c). Design/drawing Numbers.

(d). SH/ NH for roads.

(e). Number of SH/NH.

(f). Chainage.

(g). Name of the building.

The location details shall also cover the jurisdiction of the division/circle of PWD.

A typical example for identification of a new roadwork construction or maintenance is as follows:

Location: Nature of highway and No. :

Tehsil: District:

Chainage :

8.10.5. For bridges

In addition to other location details pier number, direction (East/ West/North/South), name of river (if over a river), Design / Drawing number, plan number etc. are noted for easy identification and reference.





9. MEASURING AND MONITORING EQUIPMENT MANAGEMENT

9.1. Purpose

To ensure that all monitoring and measuring Equipment are adequately controlled, checked and calibrated so that products and processes conform to the specified requirements.

9.2. Scope

All monitoring and measuring Equipment under calibration control in the HPPWD.

9.3. References

Certificate from Manufacturer in case of new Monitoring and Measurement Equipment Certificate from Agency in case of Master Instrument calibration Instruction Manuals from suppliers, IS wherever available.


• EE-QC is the process owner for monitoring and measuring Equipment related to construction activities and indicators /controllers used in the laboratories.

• AE (QC and work in charge) has the responsibility for calibration of all monitoring and measuring Equipment under calibration control in the respective sub-division.

• AE (QC and work in charge) Maintenance In charge has the responsibility for calibration of all monitoring and measuring Equipment under calibration control.

• In charge - Quality Lab has the responsibility for maintenance of calibration records of instruments under calibration control in the laboratories of quality control.

9.5. Inputs

Process Inputs Source Planning Review Criteria Ref.Doc /

Formats New monitoring and measuring Equipment

Manufacturer As and when purchased

Present calibration range and accuracy

Manuals

Manuals Supplier While purchasing instruments and gauges

Method of setup/calibration. For operation and

maintenance

Instruments to be calibrated

User Division/sub-division/Lab

As per schedule

Evaluation of capability in-house/external.

-





Master Instrument calibration

Calibrating Agency/Supplier of master gauges

As per their calibration status.

Traceability, accuracy, calibration status.

Calibration Report of the agency

9.6. Description

Sr. No. Activities Responsibility Ref. Doc/

Formats Identify the measuring needs and accuracy

required for instruments, Give a unique code no to each instrument.

AE (QC and work in charge) Maintenance – In-charge

Maintain master list of all instruments. AE (QC and work in charge) Maintenance - In-charge

Maintain record of each instrument containing unique identification no, frequency of checks, range, least count and accuracy required.

AE (QC and work in charge) Maintenance - In-charge

Establish the source of calibration and record in Individual instrument record. Also indicate traceability of calibration (Traceability can be National, as applicable).


Establish the frequency of calibration keeping in consideration the frequency of use, amount of wear and tear use, availability of instrument for calibration.


Prepare the calibration schedule. AE (QC and work in charge) Maintenance - In-charge

Carry out calibration as per schedule. Follow the documented work instructions for carrying out the calibration, if the calibration is carried out in-house.


If the instrument is calibrated externally, receive the calibration certificate and verify the calibration results.


Update individual instrument calibration record and update calibration status at the instrument.

QC Lab - In-charge

Enter the date of calibration in the individual instrument record. Decide the due date for calibration based on frequency of calibration and enter it in the individual instrument record.

QC Lab - In-charge





Sr. No. Activities Responsibility Ref. Doc/

Formats Ensure that the measurement uncertainty of

equipment is recorded and is consistent with the required measurement capability


When instrument is found out of calibration, intimate user department for verifying previous record / test observations.


If there is a sudden breakdown of the equipment prior to due date of calibration, repair it and take the signature of either EE or AE (user department) and keep records.


Identify and remove the unsuitable instrument from the point of use.


If equipment is not calibrated as per plans, prepare ‘Deviation Report’ and send to the concerned division/sub-division with revised schedule of calibration.

Maintenance – In-charge QC lab.

Review the ‘Deviation Report’ every six months and initiate preventive action to avoid recurrence of repeated causes.

Update master-list during first week of January and July every year, with details of new instruments procured, instruments discarded, under repair etc.


9.7. Output

Description To Action Ref. Doc. / Formats

Calibration of monitoring and measuring Equipment

User dept. As per calibration schedule

Monitoring and measuring Equipment to be scrapped

Whenever break down occurs /repairs

Updated master-list As per schedule Update monitoring and measuring Equipment records

Regular basis as per schedule.

Action to be taken when monitoring and measuring device is out of calibration.

QC Lab

Whenever required






9.8.1. Control Related

Review Parameter Acceptance Criteria Responsibility Action Ref. Doc/

Formats Communication about calibrating Equipment due for calibration.

Third week of the month

Maintenance In-charge

Month-wise

Schedule Intimation

Updated calibration Record

Updated within One Week

In-charge - Quality Lab

Two samples / month.

Updation of master-list Should be updated

AE Half yearly

Status of calibration monitoring and measuring Equipment

To be updated within One week of calibration

Maintenance - In-charge

Monthly -

Calibration slippage from schedule

As per objective Functional Head Engg.

Once in six months

9.8.2. Typical Records

1. INT/F-01 Individual instrument calibration record.

9.8.3. Lists

1. LAB/L-01 Master-list of Instruments and calibration schedule



Procedure No.: QMS/PM/QP-10/Asset Acquisition and Management Issue 01, Rev 00


10. ASSET ACQUISITION AND MANAGEMENT

10.1. Purpose

To establish appropriate methodology to ensure control on outsourced activity of construction and ensuring conformity to requirements.

10.2. Scope

This procedure is applicable to all construction and maintenance activities.

10.3. References

MOSRTH, IS Construction Management Manuals for roads and bridges.

• IRC SP 57 Guidelines on Quality Systems. • IRC 82 Code of Practice for maintenance of bituminous surface of highways. • IRC 32. • Special Publications (SP) of IRC. • Drawings and designs.

10.4. Responsibility

SE, EE, AE

10.5. Inputs


Ref. Doc/ Formats

Contract agreement

Concerned Division

After awarding contract

Specified conditions

Tender agreement forms

Construction methodology

Concerned Division, Sub-division

On handing over site

Schedule, equipment, Man-power

Tender agreement forms

Programme of works (CPM, PERT charts)

Agency Before starting the work

Contract condition

QMS requirements

Concerned Division


Procedure requirements

Concerned records as per Manual of Forms and Formats

10.6. Process

Sl. No.


1. Handing over of site to Contractor. AE Tender agreement





Sl. No.


2. Setup material testing facilities at site for field tests (for works costing above Rs. 50 Lakhs) and for other tests in QC laboratory. Frequency of testing to be followed as per MOSRTH and IS specifications.

Contractor

3. To inform Quality Assurance Division for testing of incoming material, in-process material, finished product.

Contractor

4. SUPDT. / QA staff collects samples for testing. On conformity certifies for carrying out the work.

AE – QA and SUPDT..

5. Daily supervision to ensure Contractor follows conditions specified in tender documents.

Section Officer and AE

-

6. Routine inspection. EE, SE Inspection Notes- Ref. Manual of Forms and Formats

7. Adherence to schedule. AE, EE -

8. Measurements. SUPDT. Measurement Books (MB) As per Manual of Forms and Formats

9. The SUPDT. records the measurements of work done in MB and prepares bill. Submits it to AE for check-measure.

SUPDT. MB As per Manual of Forms and Formats

10. AE check-measures the work and upon satisfactory completion of work by contractor, forwards bills to EE.

AE-100%

-

11. After receipt of bill from AE, the EE check-measures 25% of the work and passes the bill.

EE –25% MB- As per Manual of Forms and Formats

12. Upon completion of work, SUPDT. submits as-built-drawings, Final bill to AE

SUPDT. MB, As-built-drawings

13. AE inspects work, certifies records AE





Sl. No.


14. When AE is satisfied that all items sanctioned in the estimate and / or other necessary contingent items required for the work are completed by the Contractor and after clearance of the site, a report shall be submitted to EE. EE shall inspect the work and certify.

EE -

15. After completing the work in all respect, the EE or AE takes over the work from the Contractor. The Contractor’s final Bill is settled and the accounts of work closed by submitting project completion report.

EE

16. The Contractor is responsible for the maintenance of the work during ‘defect liability period ‘.

Contractor

17. Project Completion report: When the construction is completed, a completion report of the project shall be submitted through the CE to Government within twelve months.

Division As per Manual of Forms and Formats

10.6.1. Extra Item / Excess Quantity

Sl. No.


1. In cases of probability of excess over estimated cost of work, the work slip needs to be submitted to the competent authority.

EE As per Manual of Forms and Formats

2. No extra item should be ordered by the EE without obtaining approval from the competent authority, to the extra item rate list and the Contractor’s consent.

EE As per Manual of Forms and Formats

3. In case of emergency or urgency, the EE may order the Contractor to take up the extra work by entering the order under his signature in the work order book.

EE -

4. The Contractor should sign this extra item rate list in token of his acceptance of the rates.

Contractor

10.6.2. Steps to be followed in case of any deviations

Sl. No.


1. The execution of extra item in any emergent cases should be reported to the SE, for

EE





approval from competent authorities. 2. During execution in case of any deviation in

design or specifications, increase in quantity; specific proposal with inspection note from competent authority to be obtained and proposal submitted for approval.

AE

3. For any deviation, prior approval is to be taken before execution of work.

AE

4. In case of extension of time by the Contractor for delay from his side, he is penalized. Extension of time is approved by competent authority depending upon the delay either by contractor or from Department’s side.

EE

5. If the Contractor fails to carry out the work on time, the contract will be rescinded, at his risk and cost.

EE

6. The remaining work will be carried out by following re-tendering and other subsequent procedures, as explained before.

EE

7. If final expenditure exceeds the administratively approved estimated cost by more than 15%, a revised estimate is prepared and submitted by AE to competent authorities for approval.

AE

10.7. Outputs

Description To Actions Ref. Doc/ Formats

MB EE According to programme of Work -------

Completion report

Competent Authority

Project completion As per Manual of Forms and Formats

All Records EE Upon completion of work As per Manual of Forms and Formats


Review Parameters

Acceptance Criteria

Responsibility Checks/ Act Ref. Doc/ Formats

MB, Inspection notes,

Tender conditions

SUPDT., AE, EE, SE

In process, on completion

QA Lab. report Specifications, Design and Drawings

Concerned EE and EE-QA

In process, on completion

Const. Mgmt. Manuals





10.9. Asset Management Process

The roads and bridges after issue of ‘completion certificate’ are maintained by the Contractor as per tender agreement. The assets are to be managed by proper maintenance for any repairs or damages shall be attended by him during the “defect liability period”.

Road maintenance includes re-surfacing of road pavement as the surface is rendered uneven, development of potholes, minor cracks, rutting or any other defects etc.

10.10. Routine Maintenance (Periodic) for roads

The periodic maintenance includes the following:

(a). Drainage system.

(b). Rebuilding eroded shoulders.

(c). Filling up of potholes.

(d). Sealing of cracks.

10.11. Road Cross Section (Typical)

10.12. Typical process for maintenance of roads illustrated below.

INSPECTION ANDAPPROVAL RESOURCE

PROVISION

TOOLS AND EQUIPMENT

EXECUTION MATERIALS MANPOWER

BUDGET EXAMN IDENTIFICATION OF DEFECTS

SHOULDER SHOULDER COATING

BASE

SUB-BASE

SUB-GRADE

EMBANKMENT //////////////////





10.13. Manpower Resources

Recommended task norms for typical road repair are:

TASK NORMS Patches by:

Surface painting 0.2 Cubic metre /person /day

Premix covering 0.75 cubic metre/person/day

WBM patches 0.30 Cubic metre/person/day

Edge covering 60 metres /person/day

10.14. Measurement and Monitoring

A road of 5 km subdivided into a kilometer stretch, further divided into 200m each, is inspected. The severity of repair is identified and suitably colour coded.

All measuring instruments, from tape, spirit levels to Dumpy levels etc. are identified and readied for measurement.

10.14.1. Monitoring of road

(a). Visual.

(b). Jungle cutting

(c). Measurement of sidedrains, shoulder drains and turnouts.

(d). Corrugations.

(e). Gradient (longitudinal)

(f). Camber and Cross fall (Super elevation).

(g). Potholes.

(h). Rutting.

(i). Loss of materials.

(j). Cracking.

10.14.2. Recommended Assessment

a) Visual: Clear vision of the road should be there.

b) Jungle cutting: Free visibility





c) Measurement of

side drains, shoulder

drains and turnouts

: At one metre below formation level depth and cross at 200m intervals.

(d) Corrugations : Mean of 200m interval reading. If by visual checking the corrugations are more, the assessment shall be at 50m intervals.

(e)Gradient (longitudinal)

: As per IRC

(f) Camber and Cross fall : Measured with a camber template on both sides of centre of road.

(g) Pot holes : Numbers in 200m of the road; percentage area are also calculated.

(h) Rutting : Mean value of wheel tracks, measured by graduated measuring wedge and straight edge.

(i) Loss of materials : Thickness of macadam layer checked at 15m intervals at three random points of road.

(j) Cracking : 1mx1m Light weight frame placed and visually checked at 200 metres interval or at defective portion of the road

Observations are recorded in the work sheet register containing:

• Work section………………. • Period………………………. • Nature of work…………. • Materials used and quantity (Bitumen, aggregates) • Completed on………………………..





i. Maintenance Plan

An annual calendar may be drawn for preventive maintenance with following details:

Name of road :

Type of maintenance : Routine/Special Repair / Reconditioning

Estimates : Materials, Labour, other costs …… Rs.

Budget Provision : Rs.

Progress achieved : km

Expenditure :

Savings/excess :

Remarks :

ii. The Process Effectiveness

(a). Customer satisfaction.

(b). Less fatality per no. of vehicles.

(c). Safer roads.

(d). Continual improvement.

c) Checklist for Maintenance of Roads

(a). Road conditions (Crust and carriage area)……………………………..

(b). Pot holes - Location, size, edges………………………………

(c). Corrugations - Location and magnitude………………………..





(d). Crust failure causes…………………………………………………..

i. Category of defects (Severity)

ii. Shoulders

Width size, Slide slopes, cross slope (Percentage not to exceed 5% Dressing, Turf preparation.

iii. Drainage

CS Area, adequacy, Design for disposal, visual check for blocks / Damage.

iv. Accessories

Signs and Markings, km stones, (200m, 1 km, 5 km etc) culverts (No. and other markings) Direction and location boards on Roadsides

v. Road Geometry

Horizontal and vertical curves extra width curves (as per IRC 38). Sight distances, camber, ruling gradient

vi. Road Safety

• Breaches/blockades/cuts/ damages (culverts, bridges). • Carriageway Berm (shall not be less than 25 mm). • Vertical clearance of power transmission lines. • Horizontal clearance for electric/communications poles.

d) Maintenance plan for bridges

Bridge management system covers the state of serviceability, designed load carrying capacity, functional safety for users and those in the surrounding areas.

Bridge maintenance includes:

(a). Preservation

(b). Repairs (Preventive and routine)

(c). Accident related rectification

i. Inspection of Bridges

The purpose is:

(a). To provide assurance

(b). To identify potential and actual problem areas

(c). To record periodically the state of the structure

(d). To analyze and act for better designs





ii. Categorization

Bridges are categorized as ‘Major’ and ‘Minor’ depending on their linear water way between abutment faces 60m or more constitute a ‘major’ bridge. They may further be classified according to the environment they are exposed, such as hot, cold, humid and hot, hilly areas etc.

iii. Routine Maintenance

The routine maintenance includes:

• Cleaning (Manual or mechanical), removal of vegetation, if any. • Replacement of damaged crash barriers. • Replacement of damaged bearings/ handrails /guard stones/Electrical poles. • Localized repairs- Water proofing with bituminous materials, expansion joints

filling. • Anti-corrosion, protective coating and painting the superstructure.

iv. Specialized Maintenance

This type of maintenance calls for replacement of masonry, concrete work arising out of degradation due to abuse, misuse, environmental damages.

Some of the techniques used for maintenance are:

• Restructure brick or stone masonry. • Impregnation (special cement mortar). • Welding/ riveting on metal structure, greasing. • Cement grouting or thermosetting resin in cracks of masonry or Pre stressed

concrete/Reinforced concrete structure. • Dismantling, repairing and restoring the damaged part (applicable for

superstructure). • Repainting and graphiting of bearings.

An annual plan may be drawn up for routine and preventive maintenance of bridges.

v. Annual Calendar of Maintenance Activities

A. Roads :

Sl. No.

Items Apr- Jun

July- Sep

Oct- Dec

Jan- Mar

Remarks

1. Pot hole filling WBM. X 2. Pot hole filling BT. X X X 3. Edge correction. X X X

4. Dressing of berms. X X 5. Jungle Clearance. X X 6. Re-Fixing road signage boards. X X X X 7. Re-painting road signage boards. X X X 8. Pruning road side trees. X X X X





Sl. No.

Items Apr- Jun

July- Sep

Oct- Dec

Jan- Mar

Remarks

9. Removal of encroachments. X X X X 10. Removal of unauthorized hoardings. X X X X 11. Removing and re-fixing of

Hectometer /KM/ / 5 km/Guard stones

X X X X

12. Re-painting of Hectometer /KM/ / 5 km/Guard stones X X X

13. Longitudinal/Catch drains X X 14. Shoulder drains X X 15. Re-painting of Road marking X X X

Note: X –Recommended period for activity

B. Bridges :

Sl. No. Items Apr-

Jun July-Sep

Oct-Dec

Jan-Mar. Remarks

1. Cleaning and repairs of Bridge/ CD proper. X X X X

2. Repair/replacement of bearings and expansion joints. X X X X

3. River/Drain training and Clearing the vents. X

X

4. Repairs to approaches / Embankments. X X

5. Repairs to aprons. X X

6. White washing/Painting Parapets /Handrails. X X X

7. Repair of damaged CDs. Electrical repairs. X X X X

vi. Typical Routine Inspection Card

Inspected by: _________________ SH Name and No: ___

Date: MDR Name and No:__________

Km chainage ______________

Sl. No.


Chainage -100

KM -101

KM-102

KM -103

KM 104

1. Jungle Clearance 2. Side drains 3. Shoulder and Edge

- Correct camber - Correct Edges





Sl. No.


Chainage -100

KM -101

KM-102

KM -103

KM 104

- Pot holes - Erosion cuts - Rain cuts

4. Carriageway- - Fill patches - Fill pot holes - Grit for bleeding - Renewal needed

5. CD Works 6. Encroachment details 7. Road furniture-

- Sign boards - Km and Hectometer - Stones

- Pavement markings - Speed Breaker

Accepted by: _________________

Urgent Special attention Routine attention Good

e) Typical Quality Control Checks For Road Work Construction

1. Longitudinal tolerances • For bitumen base………………………… 6mm • For granular sub base…………………….. 6mm • For sub base under cement pavements……6mm • Measurement is carried out with a 3m straight edge, placed parallel with or at

right angles to the centre line of road - (Allowable max gap between road surface and under-ride).

2. Test on earth work INDIAN STANDARDS (IS)

Sand content IS 2720 (Pt 4) Plasticity IS 2720 (Pt 5) Density IS 2720 (Pt 8) Deleterious content IS 2720 (Pt 27) Moisture content IS 2720 ( Pt 2) CBR test IS 2720 (Pt 16)





3. Compact control (one sample / 1000 sqm of compacted area)

Gradations - 1/200 cu metre Moisture content - 1/200 sq metre Density of Layer (Granular) 1/500 sq metre CBR AIV, FIV 1/200 cu metre

i. For Bituminous works

Sl. No.

Material Requirements Type of surface Samples

1. Quality of binder surface coating dressing

Two/lot

2. Application temperature Prime/TAC/ BODk/Seal Coatings and Surface dressing

Regular intervals

3. Aggregates All types, except WBM

One test/25 CM Two tests/day

4. Aggregates WBM One/100 cumetre 5. Mix stability DBM/SDBC Three samples /

400 tonnes 6. Temperature Control of binder and

aggregates for mixing BM/SDBC/BC Periodic

7. Binder control and Mix gradation DBM/SDBC/BC Two tests/day, Min 8. Compact density DBM/SDBC/BC One/250 sqm area

(a). Fine aggregate (sand) Tests and Requirements Samples

[1S 383] IS 2386(Pt I to VIII) 100% Fineness module Not less than 2.0 - Not greater than 3.5





(b). Coarse aggregate (For cement concrete, pre-stressed and reinforced concrete)

Clean,

Crushed stones, gravel or a natural gravel combination

Conformance to IS 383 and IS 2386 (Pt 1 to VIII)

Flakiness index Not greater than 35%

Grading As per Tab 2 of IS 383

Nominal size for PCC and RCC 1700

ii. Pavements (Cement concrete)

Fine Aggregate Tab 4 of IS 383 Lot wise

Coarse aggregate Tab 2 of IS 383 Lot wise

Los Angles Abrasion Value <35%

Water absorption 2% Max.

iii. Concrete

Flex strength maximum 45 Kg/cm2

Compressive strength, Min. 320-365 kg/cm2

Cement/water 0.50 max

Cement Concrete 350-425Kg/cum

iv. Joints in cement concrete roads

Width 20-25 mm

Construction joint spacing 4.5m

Longitudinal joint (width > 4.5m) 33% of slab thickness plus/minus 10mm

Tie bars painted for 75 mm on both sides

Expansion joint spacing, for slab thickness

(Based on roughness of foundation) 15 cm -- 50 – 140m, max

20 cm – 50 – 140m, max

25 cm 60 – 140m, max

Tie bars for control of longitudinal joints for Slab thickness Dia of bars

Highway, rigid pavements (IRC 15)

Diameter in mm, 15-30 cm 8-10-12-14-16

Spacing, cm, max 15cm- 38-60cm

20cm- 45-65

.

.



Procedure No.: QMS/PM/QP-11/Construction Safety Issue 01, Rev 00

Controlled Document Page No. : QP//11-1

11. CONSTRUCTION SAFETY

11.1. Purpose

To specify the safety requirements and to identify potential safety issues that are likely to be associated with a proposed building, road or bridge construction project and ensure that measures to eliminate or minimise safety problems for workers as well general public are fully considered, designed and implemented in the construction processes followed by HPPWD.

11.2. Scope

All activities of construction and maintenance works of HPPWD

11.3. References

• Ministry of Road Transport and Highways Govt. of India. • Ross Silcock, Transport Research laboratory,UK • Manual for Safety in Road Design - A Guide for Highway Engineers.

(Central Road Research Institute, (1998) • IRC:SP: 55-2001 Guidelines for Safety in Construction Zones(Indian Roads

Congress). • Appendix 11.1 – Role of organizations in safety.


SE, EE and all field staff


SE- Superintending Engineer HDM – Head Design Manager

EE- Executive Engineer AE- Asst. Executive Engineer

JE- Junior Engineer Drg- Drawings

IRC- Indian Roads Congress

MOSRTH- Ministry of Shipping Road Transport and Highways

11.6. Input

Process Inputs Source Construction materials Local market, approved suppliers Best construction practices As per IRC,MOSRTH guidelines, IS List of approved contractors Response, experience of contractors Schedule of Rates, Project plans, technical drawings and construction schedule, site information, topographical and adjoining land use conditions and population

Sub Division/Division /Circle,





Process Inputs Source Equipment and processes to be employed during construction Manufacturers’ User manuals and guidelines for use of equipment and machinery Completion report

Sub Division /Division/Circle

Safety Norms, Technical journals, guidelines Codes of Practices (ISS), MOSRTH

Customer satisfaction survey report PWD Head Office.

11.7. Process

Safety in construction is of paramount importance since it is governed by several acts and rules of the government. Best construction practices ensure total compliance to all rules, regulations including concern for using the right quality materials, quantity, process controls including inspection and testing, safety of workers, handling, storage, removal of non conforming processes and products from the site etc.

Construction process involves earthwork, type of foundation dependent on soil investigation reports, designing the type of structure suitable for the soil, roofing, flooring, finishing that includes plumbing, sanitary works, doors and windows, glazing etc. The safety of persons involved in all the above stages is also to be considered in the over all operations of construction.

11.7.1. Safety Requirements- Personnel and Risk

Risk to Construction Workers: Worldwide, construction workers are three times more likely to be killed and twice as likely to be injured as workers in other occupations. The costs of these accidents are immense to the individual, to the employer and to society.

Personal Protective Equipment (PPE) - Specialized clothing or equipment worn by employees for protection against health and safety hazards. Personal protective equipment is designed to protect many parts of the body, i.e., eyes, head, face, hands, feet and ears. PPE includes:

• Safety helmets - if there is a risk of being struck by falling objects or a person might hit their head.

• Suitable footwear – with toe and sole protection and anti-slip. • Protective clothing - for example, against bad weather or with high visibility such

that workers can be seen easily, as for eg. For vehicle operators to see workers from a distance (Fluorescent orange/ yellow helmets etc.).


Process Review Parameters Acceptance Criteria- Compliance to IS

Handling and storage Code of practice for all building materials

7969:1975

Stacking of materials Stacking, storage at site 4082: 1977





Process Review Parameters Acceptance Criteria- Compliance to IS

Excavation Safety practices- Trenches, side wall protection

3764:1966

Foundations Code for pile and deep foundation for high rise buildings

5121:1969 2911(Pt 1/Sec 1-4), 2911(Pts II,III IV)

Form work Code for Scaffolding, 3696(Pt 1):1966 Code for ladders

Steel scaffoldings 3696(Pt 2):1966 2750:1974

Masonry Brick work 2212:1962 Concrete Plain and reinforced

concrete 456:1978

Structures Concrete framed structures

8989:1978

Wall and floor construction

Openings, toe boards, railings

4912:1978

Steel work Erection practices Bending and fixing of bars

800:1984,806:1968 7205:1974 2502:1963

Demolition Code of safety 4130:1976 Hot Bitumen usage Code for handling and

storage 5916:1970

11.9. Other General Safety Requirements

11.9.1. Material Handling

Incoming materials have to be properly identified and segregated. Materials like cement have to be kept in dry, moisture free atmosphere. Steel reinforcement have to be kept in covered shed to avoid corrosion. Sanitary and plumbing fittings have to be stored to prevent accidental damages. Glasses have to be vertically stacked with gunny bags at the bottom to prevent slippage and causing injuries. All workers shall wear gloves for handling glass, hot bitumen and other injury causing materials. It is mandatory to wear helmets at work site of high rise buildings and safety boots for handling cement and concrete.

11.9.2. Equipment Handling

The operators of cranes, excavators, dumpers, compressors etc., shall be trained and competent persons. It shall be ensured that no accidents due to negligence occur while handling heavy-duty machines and equipment. Where required training shall be given in all aspects including first aid operations.

11.10. Output

• Following safety codes ensures lesser accidents. • For the QMS operations, lesser non conformances and therefore lesser corrective

and preventive actions.





• Greater user satisfaction. • Better ability to meet social obligation.

11.11. Analysis of Data

Data on number of accidents, investigation reports etc. would help in initiating corrective, preventive actions. In addition, potential non-conformances can be identified and prompt preventive measures can be taken.

11.12. Effectiveness

The reduction in the number of incidents due to negligence of safety measures ensures continual improvement of the process and product. The effectiveness can be measured by the adherence by the process controllers of all the specified safety norms.

The effectiveness is dependent on the duties and responsibilities as indicated below.

• SE shall ensure that the right culture for good safety practices during construction develops within his circle and will develop a series of multi-level training programmes for staff under his jurisdiction.

• EE is the process owner for all construction activities for his Division and will undertake the supervision of the safety measures of all construction sites, construction workers and the general public and road users.

• AE and all the field staff of the concerned sub-division have the responsibility for making available the necessary information and documents that may be required for safety at construction sites and reviews of construction projects under their jurisdiction. AE is further responsible for preparation and implementation of construction site safety development programme on the basis of project plans, construction methodologies and frequent reviews through site visits.





Appendix 11.1 : Role of Organizations in Safety Sl. No.

Safety Requirement

Responsibility

1. Role of Contractors and Sub-Contractors for Safety

at Construction Sites. • The contract should require the contractor to

perform all work with due regard to the safety and health of the workers and of the public. If any work is done by subcontractors, the contractor must ensure that the subcontract work as well as the contractor's own work is performed in accordance with all national, State and local laws, rules and regulations regarding the safety and protection of the work force.

• Compliance with safety standards is a

contractual as well as statutory obligation of both principal and subcontractors being a part of the contract specifications. The contractor assumes responsibility for complying, whether or not any part of the work is subcontracted and must advise all subcontractors of the safety requirements to which they are also subject.

• To the extent that a subcontractor agrees to

perform any part of the contract, the subcontractor also assumes responsibility for complying with the applicable safety standards with respect to such work. Thus, the prime contractor assumes the entire responsibility under the contract and the subcontractor assumes the responsibility in regard to that subcontractor's portion of the work. With respect to subcontracted work, the prime contractor and any subcontractor(s) are deemed to have joint responsibility.

• The Engineer-In-Charge at site is responsible for

ensuring compliance with safety and health requirements particularly for supervising the contract traffic control plan and ensuring that all contract requirements relating to maintenance and protection of traffic are fulfilled.

EE / AE / JE/ Site Engineer In-charge





Sl. No.

Safety Requirement

Responsibility

2. To fulfill the construction scope for quality, in time

and under safe conditions within a reasonable cost, project should be planned for managing construction. Agencies managing the supervision and/or construction are desired to plan and document a management system with clear cut responsibilities for managing various parameters like scope, time, quality, health, safety and environment and cost for implementation, monitoring and controls for their effectiveness. Risk assessments of construction sites should be included in the planning/design stage and should incorporate realistic and proper accident investigation procedures. Depending on the size and complexity of construction project, a safety committee shall be constituted to efficiently manage all safety related affairs. The site in-charge or his nominee of a senior rank shall head the committee and a safety officer shall act as its member-secretary. The safety committee shall hold its meetings regularly say monthly or fortnightly depending on the nature of the project. However, emergency meetings shall be held as and when required. The safety committee shall review all the safety measures undertaken and implemented at site.


3. Raising of Safety Awareness and Developing Correct Attitudes towards Safety at Construction Sites. Safety is based on knowledge, skill and an attitude of care and concern. Supervisors should instruct each worker about the correct and proper procedures for performing each task and familiarize the worker with the potential hazards of doing the tasks and how such hazards can be minimized or eliminated.


4. Training of Workers






Sl. No.

Safety Requirement

Responsibility

• All workers need to understand how to work

safely. Therefore training should cover: what the risks are; the protective measures to follow; and, emergency procedures. Training should be relevant and understandable, including for workers who speak a different language. Training should be provided for new workers and for existing workers when work practices or work equipment change, with change of job, or when new technology is introduced. Training requirements may vary according to worker ability. Particular care should be taken when training workers with disabilities.

• The contractor must make every effort to promote safety consciousness among employees and to provide training, safety equipment and supervision to ensure a safe work environment. The contractor must document that adequate policies are in place, planning has been conducted to identify and address safety and health concerns and that training will be provided. Safety must not be sacrificed for productivity.

5. Provide Proper and Correct Personal Protective Equipment (PPE) to Construction Workers on Consistent Basis • Personal Protective Equipment (PPE) is

designed to provide additional worker protection despite efforts to eliminate the hazard through engineering controls. Personal protective equipment can only protect a worker from hazards if the equipment is worn consistently and properly.

• Any employee working in an area where there is potential danger of head injury must wear a protective hard hat. Potential dangers include injury from impact, falling objects, flying objects, or electrical shocks or burns. Hard hats are always required on multi-trade jobsites due to the risk of injury from other trade operations. A safety vest may also be required if a worker is exposed or potentially exposed to vehicular traffic. The safety vest should be reflective and brightly coloured so as to alert traffic to the position of the worker during both day and evening operations. Hand and foot protection






Sl. No.

Safety Requirement

Responsibility

should be made available to workers in the form of gloves and safety boots or shoes where such hazards are expected to exist.

6. Typical Checklist For Management to prevent accidents at Construction Sites : • Have clear procedures and responsibilities for

health and safety been set and does everyone know their own and others’ responsibilities?

• Do you know what you have to do to comply with health and safety legislation? If not, have you appointed a competent person who can provide advice?

• Have you identified the main risks to health and safety and taken action to eliminate or reduce them?

• Are your arrangements for the maintenance of work equipment adequate?

• Have you provided your workers with any necessary personal protective equipment for risks that cannot be avoided by other means? Have you trained them in its use?

• Have you provided information to the workers on the risks and trained them in safe working and emergency procedures?

• Do you consult your workers about health and safety issues, including changes to policy, work procedures, equipment?

• Do workers know how to report unsafe conditions and accidents?

• Do you take prompt action to investigate accidents, near misses and reported problems?

• Do you regularly inspect the workplace and check that workers are following safe working procedures?


7. Storage, Stacking and Handling Practices • The efficient handling and storing of materials is

vital to construction industry. These operations provide a continuous flow of raw materials, parts and assemblies through the workplace and ensure that materials are available when needed. Yet, the improper handling and storing of materials can cause costly injuries.

• Since numerous injuries can result from improperly handling and storing materials, it is important to be aware of accidents that may occur from unsafe or improperly handled






Sl. No.

Safety Requirement

Responsibility

equipment and improper work practices and to recognize the methods for eliminating, or at least minimizing, the occurrence of those accidents. Consequently, employers and employees can and should examine their workplaces to detect any unsafe or unhealthy conditions, practices, or equipment and take the necessary steps to correct them.

Many accidents in construction zones take place due to increased strain on the driver. The guiding principles for safety in road construction zones are to: • Warn the road user clearly and sufficiently far in

advance, • Provide safe and clearly marked lanes for

guiding road users, • Provide safe and clearly marked buffer and work

zones and • Provide suitable measures that control driver

behaviour through construction zones. The Traffic Control Zone can be divided into:

• Advance Warning Zone • Approach Transition Zone • Working Zone and • Terminal Transition Zone The lengths of Advance Warning Zone (AWZ) and Approach Transition Zone (ATZ) are dependent on the average approach speed towards work zones. For example, whereas for an approach speed of 50 km/h IRC recommends an AWZ of 100m only, for a speed of 100 km/h or more an AWZ of one km is recommended. Similarly for the two sets of above speeds, the corresponding lengths for ATZ suggested are 50m and 200-300m respectively. Traffic control is an important work zone safety component. Vehicle drivers need clear notice of approaching roadwork that provides adequate time to slow down and follow lane changes. Judicious use of road signs, traffic cones, drums, barricades, metal rod with reflectors and flagmen be used as traffic control Equipment traffic control Equipment .





Sl. No.

Safety Requirement

Responsibility

8. Checklist for Road Safety of Road Work Zone

• Adequacy of advance warning signs and speed limits.

• The appropriateness of the selected ‘standard’ layout

• Conflicts between permanent and temporary features.

• Likelihood of mud or dust obscuring Equipment. • The appropriateness of traffic barriers and the

correct installation. • Adequate provision for pedestrians. • Conflicts points between works traffic and the

general public.

9. Typical Checklist for Safety Audit of Road Construction Zone • Planning: Has the risk assessment process

been undertaken? Is there a traffic management plan?

• Advance Warning: Is there sufficient warning for motorists approaching the worksite that people are working on or near the road and the road conditions may have changed?

• Signage: That the signs are displayed at the correct time. That the signs are in good condition and have appropriate retro-reflectivity.

• Proper PPE: That PPE like safety helmet, suitable footwear, protective clothing etc. have been provided to each and every worker on the site including all managerial and supervisory staff and workmen on site have been trained on their proper use and maintenance.

• Worker Protection from Traffic: That the buffer zone between workers and traffic is sufficient or other controls such as a speed reduction or safety barriers are in place.

• Safety of Vulnerable Road Users: Has the construction site management plan considered and provided for safety of road users such as pedestrians and cyclists? Have appropriate controls been put in place to allow their safe passage through or around the site.

EE / AE / JE/ Site In- Charge



Procedure No.: QMS/PM/QP-12/Financial Management Issue 01, Rev 00


12. Financial Management

12.1. Purpose

To design and implement a system for maintaining a smooth flow of funds throughout the process of fund allocation and subsequent expenditure (cradle to grave approach

12.2. Scope

All the funds allocated and required for original as well as maintenance works undertaken by HPRIDC.

12.3. References

• Operational manual of HPRIDC • Company Act, 1956


CMU’s/ Division/ Sub-division including their Finance department, Finance wing

12.5. Inputs

Process inputs Source Planning Review criteria Ref. Doc/ Format

• Expenditure Details CMU Quarterly reporting

Financial monitoring Reports

• Funds in form of grants

World Bank Quarterly FMR

• Micro Plan to RRO NGO As required Verification by RRO

• Periodic running bills

Contractor Periodic Measurement books, contract agreement, quality reports

12.6. Process


Format

E. Estimation

16. A capital and revenue budget is prepared by the HPRIDC based upon the works to be executed during the financial year in consultation with the engineering wing as per the prescribed Format (EMSM/ F01)






Format 17. Two types of budgets are being prepared:

Capital Budget: Prepared for any new work being planned to be executed during the year and includes head wise expenditure to be incurred during the year with complete details of the funds required. Revenue Budget: Prepared for works like renovation of roads as well as administrative expenditure at the CMU level.

PD

18. Detailed budgets are being prepared by the concerned CMU’s for the works to be executed and the same is forwarded to the Project Director for its verification and compilation.

EE

19. Necessary budgetary provisions are also made for the compensation required for land acquisition and subsequent resettlement and rehabilitation and provisions are kept for those who may not be present at the time of enumeration.

PD

20. The consolidated budget is then forwarded to the State Government for making necessary provisions in the State budget.

PD

21. The State Government makes the necessary provisions and releases the funds physically to HPRIDC in a separate bank account

22. The Government of Himachal Pradesh follows a back to back arrangement and makes the fund available to HPRIDC.

F. Grant of funds

23. Normally, HPRIDC receives the funds from State Government of the following nature:

. Expenditure Grants: For maintenance and up-gradation of roads

. Capital Grants: Asset related grants

GM

24. In both the above mentioned cases, grants will be deposited in the designated account with the bank. The accounts are then debited and Unutilized Grants are then credited.

GM

25. On completion of the work, the unutilized grant to that extent is set off while the capital reserve is being credited.

GM -

26. In case of land acquisition the compensation for the land acquired is being paid by the State

GM






Format Government but is routed through HPRIDC after verification to the RRO and entrusts the acquired land to HPPWD along with the existing infrastructure.

G. Maintenance of Funds

27. HPRIDC shall be fully responsible for maintenance of all the necessary project financial information in a computerized accounting software e.g Tally.

GM

28. HPRIDC shall maintain the evaluation of assets being entrusted with it by the HPPWD/ Government of H.P and shall be done as per the direction of the State Government.

GM

29. HPRIDC will be maintaining a balance sheet at the end of the accounting year and an Income and Expenditure Account instead of the Profit and Loss Account as per the guidelines of the section 210 of the Companies Act, 1956.

GM

30. Proper books of accounts are being maintained and a double entry system is followed of book keeping and accrual basis of accounting

GM

31. All the accounts will be maintained on Tally software version 7.2 at H.O only.

GM -

H. Mobilization of funds

32. HPRIDC has identified five type of expenditures during the execution of a particular work namely: Preliminary expenses Preliminary project expenditure Financial expenses Indirect expenditure Other items of expenditure normally

regarded as revenue expenditure

GM

33. HPRIDC follows an internal control mechanism to ensure that the same person will not process/ approve and make payments.

GM

34. The contractor is required to submit the periodical running bills for the work completed to concerned PIU, who in turn will forward he same along with documents like measurement book, contract agreement, quality reports to P.D, who after verification will send the bills to Finance and accounts wing of HPRIDC

GM






Format 35. HPRIDC follows a four level verification before

disbursement of the payment against bills submitted. At micro level Senior Assistant (accounts) is responsible to check the progress of work and forwards the report to the H.O where it is scrutinized by the Assistant Manager (Accounts) at initial level. After his satisfaction it is forwarded to the Deputy Manager (Accounts) who after his review forwards the same to the General Manager for final review.

GM

36. The H.O will then get the expenditure sanctioned from the appropriate authority before releasing the payment.

GM

37. The payment is made directly to the contractor through CBS cheques payable at par at all the branches in India in accordance with the contract conditions.

GM

38. In case of advance has to be paid, the advance applications/ bills shall be approved by the appropriate authority.

GM

39. Reconciliation of advance given to contractors shall be done on monthly basis.

GM

40. Purchase of movable assets such as computers, furniture & vehicles etc are recorded in the fixed asset register with the complete details such as supplier name, date of purchase etc.

GM -

41. In case of R&R settlement after receiving the claims form the Social development officer, HPRIDC transfers the fund to respective CMU for its further disbursement.

GM

42. HPRIDC maintains a separate fixed assets and capital work in progress registers related to roads (Refer Annexure

GM

43. Proper vouchers for all cash receipts, cash payments, Bank receipts etc shall be prepared in serial order for accounting transactions.

GM

44. No payment shall be made unless the Quality Control Test Report confirms the work as satisfactory.

GM

45. To make sure that Quality Management System requirements are established, maintained and implemented throughout financial management of project in financial wing of HPRIDC.

AMR





12.7. Outputs

Balance Sheet, Income expenditure account, compilation of liabilities and book of accounts

Description To Actions Ref.Doc/ Format

Balance Sheet GOHP Annual Audit Balance Sheets

Income & Expenditure account

Concerned CMU/ Division /Sub Division

Annual

Detailing and consolidation of the liabilities for the year

GOHP Quarterly

Book of Accounts Division At specified intervals Routine Inspection card


Review parameters

Acceptance criteria Responsibility Checking Ref.Doc/ Format

Internal audit Reports

Audited Financial statements uploaded on websites

GM Half yearly

Financial monitoring Reports

Dy Mgr

Quarterly

Project Financial Statements

Financial statements of all projects

Dy Mgr Yearly

12.9. Annexure

• Fund flow [Annexure 12.1] • Balance Sheet [Annexure 12.2] • Income and Expenditure account [Annexure 12.3] • Quarterly Financial Monitoring Report [Annexure 12.4] • Quarterly Interim Un-audited Financial Report – (Project Activities)

[Annexure 12.5] • Quarterly Interim Un-audited Financial Report – (World Bank Funds Requirement)

[Annexure 12.6] • Summary Sheet [Annexure 12.7] • Project Cost Monitoring – For Post Review Contracts [Annexure 12.8] • Book of Accounts [Annexure 12.9] • Liabilities [Annexure 12.10]





Annexure 7.1. Fund Flow

World Bank

GOHP Share

Govt. of India

Finance Department GOHP

Public Works Department (PWD), GOHP

H P Road and Other Infrastructure Development

Corporation (HPRIDC)

(i) Up-gradation work (ii) Institutional strengthening

(i) Reh/ Strengthening (ii) Periodic Maintenance (iii)Block spot improvement

Payments

CAAA

FMR





Annexure 7.2. Balance Sheet

Liabilities Previous Year Current Year Assets Previous Year Current Year Share Capital Fixed Assets (including

capital work in progress)

Reserves and surplus Investments Grant and Subsidies (Unutilized)

Current Assets, loans and Advances

Secured Loans Misc. Expenditure Unsecured Loans (To the extent not

written off or adjusted)

Current Liabilities & Provisions

Accounting Policies, Contingent liabilities and Notes on account form an integral part of the Balance Sheet

Total Total

General Manager Director Managing Director





Annexure 7.3. Income & Expenditure Account as at 31st March

Particulars Current Year Previous Year Particulars Current Year Previous Year Establishment Expenses Share Capital Interest received on deposits Amenities to staff Security/ Earnest money forfeited C.P.F & allied expenses Depreciation trfd. To capital reserves Administrative Expenses Extra Ordinary Items Telephone Expenses Grant aid received from the Govt T.A to staff Stationary expenses Rent, rate and taxes D. Mat expenses Filling fee Legal & Professional expenses Office maintenance Electricity & water Postage expenses Insurance Expenses Audit Fee Finance Expenses Bank charges Intt. Paid on loans Intt. Paid on bond issues Fixed assets discarded Preliminary Expenses written off Fringe benefit tax Expenditure relating to earlier years

Depreciation Total Total





Annexure 7.4. Quarterly Financial Monitoring Report – (Project Activities)

Particulars For the

Quarter Year till

date Project till

date Forecast for six months

Receipts Govt. of HP funds World Bank funds Other Receipts/ Income Total Receipts (B) Total sources (C=A+B) Expenditures by component Core Network Improvement Road works Utility shifting Land acquisition Resettlement and Rehabilitation Services Afforestation Core Network Maintenance and Management Periodic Maintenance Road works Performance based Maintenance works Blackspot Improvements Services Services and Goods Pre-investment studies Incremental Operating Costs Total Expenditures (D) Advances to suppliers/ others (E) Less: Recovery/ Adjustment of Advances (F) Net Advances (G = E - F) Total Uses (H = D+G) Closing Balance (I = C – H)





Annexure 7.5. Quarterly Interim Un-audited Financial Report – (Project Activities)

Project Expenditure Forecast Particulars Bank Funding

Share % Bank share For 6 months Bank share

Expenditures by components

Periodic Maintenance Road Works

20 %

Land Acquisition/ Other 0 %

Upgrading works, consultancy services, goods, and others

90 %

Total Uses (H = D + G)





Annexure 7.6. Quarterly Interim Un-audited Financial Report – (World Bank Funds Requirement)

Bank Funds received till date I Total Project uses till date II World Bank share of the above III Funds Unutilized (I - III) IV Forecast for Project payment for the 6 months V World Bank share of the above VI Less: Funds Unutilized IV Net Funds required from the Bank (VI – IV) VII Forecast for receipts from GOHP VIII Notes: 1. Total project uses till date ‘II’, will be the same as Total uses ‘H’ as per Project Report

Format I, Column 2. Forecast for payments for the next 6 months ‘V’ will be the same as Total uses ‘H’ as

per project report format1, column 5 3. Information for row III above, will be derived from format 2 using the applicable

percentages for the Bank share of project uses till date 4. Information for row VI above, will be derived from format 2 using the applicable

percentages for the Bank share of project expenditure forecast for the next 6 months Please Note

5. The claim has been filed on cash basis/expenditure already incurred





Annexure 7.7. Summary Sheet

Actual Expenditure Forecast

Category/ Number

For the quarter

Reimbursable %age

Reimbursable Amount

For next two

quarters

Reimbursable %age

Reimbursable Amount

Expenditures by components

Periodic Maintenance Road Works

20 %

Land Acquisition/ Other

0 %

Upgrading works, consultancy services, goods, and others

90 %

Total Uses





Annexure 7.8. Project Cost Monitoring – For Post Review Contracts

Contract Price Cost during this quarter Cumulative Cost Contract

No Contract Description

Supplier/ contractor/ consultant

Contact Award date

Category (Worked/ services/ goods)

Procurement method Million

US$ Million INR

Bank Financing Ratio (%)

Actual Planned Actual as % of planned

To Last quarter

Actual to date Planned to date

Million INR

Million US$

WB share

Million INR

Million US$

Million INR

Million US$

Million INR

Million US$

WB share

Million INR

Million US$

Actual as % of planned



Procedure No.: QMS/QP-11/Construction Safety Issue 01, Rev 00


Annexure 7.9. Book of Accounts The set of books of accounts/ statements maintained by the HPRIDC shall be as follows: Sr. No Title Periodicity for preparation 1 Bank Reconciliation Statement Monthly 2 Fixed Assets Register On each transaction 3 Civil work in progress register On each transaction 4 Chart of Accounts As per the Tally format

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