Quality Management System Procedure Manual for Himachal Pradesh Public Works Department (HPPWD) 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 Procedure No.: QMS/PM/SP/Table of Contents Controlled Document Issue 01, Rev 00 Page No. : SP/i Quality Management System Procedure Manual for Himachal Pradesh Public Works Department (HPPWD) 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 Procedure No.: QMS/PM/SP/Table of Contents Controlled Document Issue 01, Rev 00 Page No. : SP/ii Quality Management System Procedure Manual for Himachal Pradesh Public Works Department (HPPWD) 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/Table of Contents Controlled Document Issue 01, Rev 00 Page No. : SP/iii Quality Management System Procedure Manual for Himachal Pradesh Public Works Department (HPPWD) 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 Masterlist 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 Documents prepared within organization such as QM, PM, WI, Formats, etc. Operation manual of equipments Concerned SE EE/ HDM/ AE As and when required Suppliers ISO 9001 and other standards Construction regulatory requirements BIS, IRC, MOSRTH Regulatory bodies Whenever new equipment is procured For every updating Whenever new Requirements of ISO 9001 HPPWD processes Operating and maintenance Instructions Instruction manual Current status Websites Applicable details - Procedure No.: QMS/PM/SP-01/Control of Documents Controlled Document Ref. Doc / Formats Page No. : SP/1-1 Issue 01, Rev 00 Quality Management System Procedure Manual for Himachal Pradesh Public Works Department (HPPWD) Description Request for change in document 1.6. Sl. No. 1. (a). Source Planning Concerned Circle / Division regulations come into force As and when required Review Criteria Ref. Doc / Formats Details of change Request for change in document QMS/F 01 Process Activity Responsibility Creation of Document Identifying the need of a new document and discuss the requirements to be included in the document-procedure Forms / Registers / Lists. 2. (a). Prepare Draft Document 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. 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. (b). Review the change proposal with the concerned activity and ensure that proposed changes do not affect the effectiveness of the Quality System. (c). Prepare the new document by incorporating the changes from originating Circle / Division after approval, by ensuring the issue number, month, date of issue. (d). Approve the revised document and return to DMR (Circle / Division) Any staff Member from H.O/ Circle/ Division/ Sub division DMRs Master-list of documents QMS/L 01 Originating H.O/ Circle / Division Request for change in document QMS/F 01 MR Concerned MR / DMR MR Procedure No.: QMS/PM/SP-01/Control of Documents Controlled Document Ref. Doc / Formats Page No. : SP/1-2 Issue 01, Rev 00 Quality Management System Procedure Manual for Himachal Pradesh Public Works Department (HPPWD) Sl. No. (e). Activity Responsibility Receive the approved document and issue 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. (a). 6. (a). (b). (c). Approval Once all comments have been adequately resolved and incorporated, final approval is given by the Secretary/MD. Issue Control Enter the details of document number, issue number, date of issue. Ensure that each page of the document is duly stamped ‘CONTROLLED’ in green (if uncontrolled in black). Issue the document to the concerned H.O Circle / Division along with control sheet. DMR MR MR MR Receive the document from MR and Concerned DMR return the old issue along with acknowledgement slip to MR for archives. (e). Enter the details in the list of ISO9001 Concerned DMR Documents and file control sheet separately. Receive the old issue along with MR ‘Acknowledgement and Removal confirmation’. Procedure No.: QMS/PM/SP-01/Control of Documents Controlled Document Control sheet with Acknowledgement and Removal advice slipQMS/F 02 MR/DMR (d). (f). Ref. Doc / Formats Page No. : SP/1-3 Control sheet with Acknowledgement and Removal advice slip QMS/F 02 Control sheet with Acknowledgement and Removal advice slip QMS/F 02 Control sheet with Acknowledgement and Removal advice slip QMS/F 02 Issue 01, Rev 00 Quality Management System Procedure Manual for Himachal Pradesh Public Works Department (HPPWD) Sl. No. (g). Activity Responsibility Retain a copy of the old issue as a reference copy in archives after stamping as ‘OBSOLETE’ and destroy all other obsolete copies. (h). Enter the details in the master list of documents in the Register (Maintaining the master list in the PC is advisable). 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 MR/DMR Master list of documents QMS/L 01 MR Procedure No.: QMS/PM/SP-01/Control of Documents Controlled Document Ref. Doc / Formats Page No. : SP/1-4 Issue 01, Rev 00 Quality Management System Procedure Manual for Himachal Pradesh Public Works Department (HPPWD) Sl. No. (b). (c). Activity Responsibility 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. 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. 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. Ref. Doc / Formats MR 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 Controlled copies of Concerned documents including DMR/MR revision and updated documents of external origin Master Register Concerned MR Control sheet Concerned MR 1.8. Action Ref. Doc / Formats As and when Master-list of prepared or Documents received QMS/L 01 Control sheet with Acknowledgement and Removal advice slip QMS/F 02 Master-list of While establishing Documents the system QMS/L 01 For every new / Control sheet with amended Acknowledgement document and Removal advice slip Process Monitoring and Measurement Review Parameters Acceptance Responsibility Criteria Complete details and At the appropriate All MRs Authorization and locations of the Procedure No.: QMS/PM/SP-01/Control of Documents Controlled Document Page No. : SP/1-5 Checks/Act Whenever issued Issue 01, Rev 00 Quality Management System Procedure Manual for Himachal Pradesh Public Works Department (HPPWD) Review Parameters Acceptance Criteria document, signatures Green Color issue Controlled stamp Checks/Act MR/ DMRs Whenever issued / during Audit No obsolete MR/ DMRs document at work place Stamped ‘Obsolete’ on the cover in red As per identified MR needs Obsolete documents Amendment of document 1.9. Responsibility Quarterly / during internal audits As and when required 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). Procedure No.: QMS/PM/SP-01/Control of Documents Controlled Document Page No. : SP/1-6 Issue 01, Rev 00 Quality Management System Procedure Manual for Himachal Pradesh Public Works Department (HPPWD) Annexure 1.1 : Document Numbering System Level I II Document Document Number Quality System Manual Procedure Manual/ System Procedures Procedure Manual/ Quality Procedures QMS/QM XX QMS/PM/SP XX QMS/PM/QP XX Work Instructions/ Test Plans / Checklists QMS/WI/BC OR BGC OR RC XX BCM OR BGCM OR RCM III TP/CL XX as applicable Measuring Equipment identification QC/ INT XX Forms QMS /F XX IV Registers QMS /R XX 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 Procedure No.: QMS/PM/SP-01/Control of Documents Controlled Document Page No. : SP/1-7 Issue 01, Rev 00 Quality Management System Procedure Manual for Himachal Pradesh Public Works Department (HPPWD) Annexure 1.2 : Request for Change in Document QMS/F 01 Following changes are requested in the Document Title and No: ____________________ Page No: _________________ Page and Para No Para No: ____________________ Reason for Change Proposed by : Designation : Division/Division/Circle : Signature and Date : Changes Management Representative MR Change No: Rev/Date Procedure No.: QMS/PM/SP-01/Control of Documents Controlled Document Page No. : SP/1-8 Issue 01, Rev 00 Quality Management System Procedure Manual for Himachal Pradesh Public Works Department (HPPWD) 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 : Rev. No : from : REF: REMOVAL OF PAGE REF: DOC.NO : Controlled Copy No: Sign. Of Department Head Procedure No.: QMS/PM/SP-01/Control of Documents Controlled Document Page No. : SP/1-9 Issue 01, Rev 00 Quality Management System Procedure Manual for Himachal Pradesh Public Works Department (HPPWD) Annexure 1.4 : Master-list of Documents QMS/L 01 Document No. Document Title Revision No. Revision Date Approved By No. of Copies Issue No. Summary of Change H.O/ Circle / Division Procedure No.: QMS/PM/SP-01/Control of Documents Controlled Document Issue 01, Rev 00 Page No. : SP/1-10 Quality Management System Procedure Manual for Himachal Pradesh Public Works Department (HPPWD) 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.). 2. IRC codes. Special publications. 3. Guidelines, recommendations for roads. 4. Manuals for machinery and testing equipment from OE suppliers. 5. Other departments’ drawings, specifications, approvals. BIS, New Delhi Indian Roads Congress, New Delhi Ministry of Shipping ,Road Transport and Highways (MOSRTH) Suppliers of equipment World Bank, Haryana/ Punjab Public Works Department etc. Procedure No.: QMS/PM/SP-01/Control of Documents Controlled Document Page No. : SP/1-11 Issue 01, Rev 00 Quality Management System Procedure Manual for Himachal Pradesh Public Works Department (HPPWD) Annexure 1.6 : Flowchart for document preparation and administration Concerned MR/ DMR Prepare Draft Document Whenever need is identified Review Draft Creation of Document Or Document changes Final Document - Signature of MR - Issued to the controlled copy holders Approved? Concerned MR/ DMR Marked as 'DRAFT' - Coordinate for Review - Comments consolidated and Incorporated Issue control and Management Procedure No.: QMS/PM/SP-01/Control of Documents Controlled Document Page No. : SP/1-12 Issue 01, Rev 00 Quality Management System Procedure Manual for Himachal Pradesh Public Works Department (HPPWD) 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 Various records 2.6. Sl. No. 1. 2. 3. Source QMS documentation Planning As per requirement of procedure Review Criteria Relevance Identification Process Activity Responsibility 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). 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. Decide the retention period of individual records and maintain a record matrix The retention period may be decided based on the following : SE / EE SE / EE Procedure No.: QMS/PM/SP-02/Control of Records Controlled Document Ref. Doc / Formats Record matrix QMS/F 03 Issue 01, Rev 00 Page No. : SP/2-1 Quality Management System Procedure Manual for Himachal Pradesh Public Works Department (HPPWD) Sl. No. 4. 5. 6. 7. 8. 9. 10. Activity • Departmental requirement. • Legal requirement. • Customer’s requirement. Maintain active files for each record giving title and form number on the file. 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. 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. If decided to retain further, shift records to “archives” (Record room). 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. If decided to dispose of, the method of disposal, whether by shredding, burning, wedding out, etc., shall be documented in the procedure. 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, Responsibility Ref. Doc / Formats SE / EE - SE / EE - SE / EE SE / EE SE / EE Procedure No.: QMS/PM/SP-02/Control of Records Controlled Document Issue 01, Rev 00 Page No. : SP/2-2 Quality Management System Procedure Manual for Himachal Pradesh Public Works Department (HPPWD) Sl. No. Activity Responsibility Ref. Doc / Formats 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. 2.7. Output Description Record matrix 2.8. SE / EE To All Circles and Divisions Check/Act Ref. Doc/ Formats Initiation of QMS and as and Record matrix when new Procedures/ Work QMS/F 03 Instructions are prepared Process Monitoring and Measurements Review Parameters Acceptance Criteria Responsibility Checks/ Act Maintenance of Records Available Legible Proper storage Identifiable Retrievable As per departmental needs EE/Supdt./AO Whenever required Internal auditor During Internal Audits MR/ DMR’S After Internal audits NCs related to QMS records 2.9. Ref. Doc / Formats Audit summary reportTypical record 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). Procedure No.: QMS/PM/SP-02/Control of Records Controlled Document Issue 01, Rev 00 Page No. : SP/2-3 Quality Management System Procedure Manual for Himachal Pradesh Public Works Department (HPPWD) Annexure 2.1 : Flowchart for Record Control Create Record when required By QMS Concerned DMR Maintain record till the retention period Review for disposition Concerned MR No Approved? Yes 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. Disposal by approved method Procedure No.: QMS/PM/SP-02/Control of Records Controlled Document Issue 01, Rev 00 Page No. : SP/2-4 Quality Management System Procedure Manual for Himachal Pradesh Public Works Department (HPPWD) Annexure 2.2 : Record Matrix QMS/F 03 Sr. No. Record Title Record No. Location Retention Frequency of Period (Years) Review Signature - Incharge [Reference shall also be made to the Manual of Forms and Formats] Procedure No.: QMS/PM/SP-02/Control of Records Controlled Document Issue 01, Rev 00 Page No. : SP/2-5 Quality Management System Procedure Manual for Himachal Pradesh Public Works Department (HPPWD) 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. Procedure No.: QMS/PM/SP-02/Control of Records Controlled Document Issue 01, Rev 00 Page No. : SP/2-6 Quality Management System Procedure Manual for Himachal Pradesh Public Works Department (HPPWD) 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. 2. 3. 4. 5. 6. 7. 8. 9. Records connected with expenditure, which is within the statute of limitation (or within the period of limitation fixed by law). Records connected with extinguish on project schemes or works not completed, although beyond the period of limitation. Records of experiments and observations. 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. Orders and sanctions of a permanent character until revised. Cash book, stock registers including those of furniture etc. and Treasury Remittance Books. 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. Accounts records should be destroyed only obtaining concurrence of the Accountant General. 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-02/Control of Documents Controlled Document Page No. : SP/2-7 Issue 01, Rev 00 Quality Management System Procedure Manual for Himachal Pradesh Public Works Department (HPPWD) 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 NonConformance 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. Procedure No.: QMS/PM/SP-03/Internal Audit Controlled Document Issue 01, Rev 00 Page No. : SP/3-1 Quality Management System Procedure Manual for Himachal Pradesh Public Works Department (HPPWD) 3.5. Inputs Process Inputs Previous External findings Source IA / Auditors audit List of trained auditors Audit checklist Planning Review Criteria After completion NCs raised of IA/ External by the audit auditors MR Audit schedule Auditors For audit execution For audit execution Procedures and MR other relevant documents namely Quality Policy and Objectives, etc. Trained and independent Scope of Audit Scope of Audit 3.6. Process Sl. No. Activity 1. Audit Preparation MR/ DMR 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. The Internal Audit at the H.O/ Secretariat MR/ DMR 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. Maintain a list of trained auditors. MR Select audit team from list of auditors. MR Send copy of the audit schedule to the MR/ DMR concerned departments and Auditors. Contact Auditee for finalizing schedule. Nominated auditors Collect relevant documents as per scope of Nominated audit, including previous audit report from auditors MR, review the same and prepare checklist. 2. 3. 4. 5. 6. 7. Responsibility Ref. Doc/ Formats Non Conformance Report Audit summary report QMS/F 05,06 List --- Ref. Doc/ Formats Audit calendar QMS - F 04 - Audit schedule Audit Execution 8. Inform the Auditee about audit methodology Nominated Procedure No.: QMS/PM/SP-03/Internal Audit Controlled Document Issue 01, Rev 00 Page No. : SP/3-2 Quality Management System Procedure Manual for Himachal Pradesh Public Works Department (HPPWD) Sl. No. 9. 10. 11. 12. 13. 14. 15. 16. 17. 3.7. Activity Responsibility and initiate audit as per checklist. Verify conformance to documented procedures and effectiveness of the previous CA, PA from the earlier audits. In case of NC, prepare NC Report. The Corrective Action agreed to and expected date of closing of NC. Prepare audit summary report. Discuss the audit findings with MR/ DMR. auditors Nominated auditors Ref. Doc/ Formats NC report QMS/F 05 Nominated auditors MR Nominated auditors Handover audit findings to Auditee for Nominated necessary CA, PA along with copy of NCRs auditors Handover all checklists and audit summary report to MR. Follow up audit to verify CA to ensure DMR closing of NC. Complete the NCR. Review the completed NCR and update the MR audit schedule, if required. NC report QMS/F 05,06 Audit report Audit report Review the audit schedule; in case of slippage, reschedule the audit. 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 schedule QMS / F 04 Audit summary report QMS / F 09 MR/ DMR -NC report -Audit report QMS/F 05,06 NC report QMS/F 05,06 Audit schedule QMS / F 04 NCR QMS / F05, 06 Outputs Description To Audit schedule All concerned departments All concerned departments NCR and audit reports Summary of Audit reports Management Checking/Act Half Yearly After IA After IA Procedure No.: QMS/PM/SP-03/Internal Audit Controlled Document Ref. Doc/ Formats Audit schedule QMS / F 04 NC report Audit report QMS / F 05 QMS / F 06 Audit Report QMS / F 07 Issue 01, Rev 00 Page No. : SP/3-3 Quality Management System Procedure Manual for Himachal Pradesh Public Works Department (HPPWD) 3.8. Process Monitoring and Measurement Review Parameters Acceptance Responsibility Check/ Criteria Act Audit schedule Meeting audit MR Half schedule Yearly CA, PA on NC raised • Action MR Half taken during audits Yearly during agreed time span. Auditor During • Effectiveness of next audit action taken Availability of trained Trained auditors MR Half auditors for every activity yearly No. of audits deviated Objective MR Yearly from plan 3.9. Ref. Doc/ Formats QMS / F 04 QMS / F 05 - 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. 2. 3. 4. 5. 6. Internal Audit plan/calendar QMS / F 04 Internal Audit schedule QMS / F 05 Non-Conformity Report QMS / F 06 Internal Audit Findings QMS / F 07 Audit summary report QMS / F 08 Audit Process flowchart (0) (0) (0) (Annexure 3.4) (Annexure 3.4) (Annexure 3.6) Procedure No.: QMS/PM/SP-03/Internal Audit Controlled Document Issue 01, Rev 00 Page No. : SP/3-4 Quality Management System Procedure Manual for Himachal Pradesh Public Works Department (HPPWD) QMS/ F 04 Annexure 3.1 Internal Audit Plan/ Calendar for HPRIDC/ HPPWD Year:_______ To:_______ Department to be audited Auditee Scope of Audit Audit Criteria Month of Audit Auditors Timings I II Date for submitting report _______________________ MR/ DMR Date: __________________ Procedure No.: QMS/PM/SP-03/Internal Audit Controlled Document Issue 01, Rev 00 Page No. : SP/3-5 Quality Management System Procedure Manual for Himachal Pradesh Public Works Department (HPPWD) QMS/ F 05 Internal Audit No. ISO Clause Annexure 3.2 Typical Internal Audit Schedule For the Month: __________ Date: Details Areas to be audited H.O 4 4.1 4.2 5 5.1 5.2 5.3 5.4 5.5 5.6 6 6.1 6.2 6.3 6.4 7 7.1 7.2 7.3 7.4 7.5 7.6 8 8.1 8.2 8.3 8.4 8.5 Div/ CMU Establishment Accounts Tendering/ Tech Site Quality Management System General Requirements of System Documentation requirements Management Responsibility Management Commitment Customer Focus Quality Policy Planning Responsibility, Authority and Communication Management Review Resource Management Provision of resources Human resources Infrastructure Work Environment Product Realization Planning of product realization Customer Related Processes Design and Development Purchasing Production &Service Provision Control of Monitoring and Measuring devices Measurement, analysis and improvement General Monitoring and Measurement Control of Non-conforming Product Analysis of Data Improvement (C, P actions) Auditors / Auditee’s Sl. No. Auditor’s Name Name, Date, Timing of audit Auditee’s Name Date Circulated to concerned departments and auditors for compliance MR’s signature SE/EE’s signature Procedure No.: QMS/PM/SP-03/Internal Audit Controlled Document Issue 01, Rev 00 Page No. : SP/3-6 Time Quality Management System Procedure Manual for Himachal Pradesh Public Works Department (HPPWD) QMS/ F 06 Annexure 3.3 Non-Conformity Report Audit Number Department / Location Auditor (s) Name: Details and cause of Non-Conformance : Reference document / audit criteria NCR No: Date(s) of Audit ISO 9001Clause No: Auditor(s) Signature(s): Root cause, Correction and Corrective & Preventive Action: Proposed Completion Date: Auditee(s) Signature(s) Verification of Corrective and Preventive Action: comments / evidence) Auditee(s) Signature(s) Date: Yes / No (Mention Auditor(s) Signature(s) NCR Status (Closed / Open) Date: Reviewed By: _______________________ MR/ DMR Date: Procedure No.: QMS/PM/SP-03/Internal Audit Controlled Document Issue 01, Rev 00 Page No. : SP/3-7 Quality Management System Procedure Manual for Himachal Pradesh Public Works Department (HPPWD) Annexure 3.4 : Internal Audit Findings QMS/ F 07 Department: Internal Audit No. Sr. No. Section: Date: ISO Clause No. Details of Observations Categories (MNC/ mnc/ obs) Name and Designation of Auditee Signature Name and Designation of Auditor Signature Legend: MAJOR NON-CONFORMITY, (MNC) MINOR NON-CONFORMITY(mnc), OBSERVATION (O) Procedure No.: QMS/PM/SP-03/Internal Audit Controlled Document Issue 01, Rev 00 Page No. : SP/3-8 Quality Management System Procedure Manual for Himachal Pradesh Public Works Department (HPPWD) Annexure 3.5 : Audit Summary Report QMS/ F 08 Internal Audit No: Department Audited Auditee Area Audited Auditor Date of Audit Nonconformity / 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 Procedure No.: QMS/PM/SP-03/Internal Audit Controlled Document Issue 01, Rev 00 Page No. : SP/3-9 Quality Management System Procedure Manual for Himachal Pradesh Public Works Department (HPPWD) Annexure 3.6 : Audit Process Flowchart Management Sanction Audit plan Audit programme Audit preparation Conduct Audit Initiate corrective action Y NC found? Review corrective action N Record Audit findings Corrective action plan verification Audit Summary Report N Corrective action verified? Audit Process Review Tracking Audit Progress Y Close Audit file Procedure No.: QMS/PM/SP-03/Internal Audit Controlled Document Issue 01, Rev 00 Page No. : SP/3-10 Quality Management System Procedure Manual for Himachal Pradesh Public Works Department (HPPWD) 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 NC product Source Concerned Sub- Planning Whenever there is a Review Criteria Details and identification of Ref. Doc/ Formats Procedure No.: QMS/PM/SP-04/Control of Non-Conforming Products/Process Controlled Document Page No. : SP/4-1 Issue 01, Rev 00 Quality Management System Procedure Manual for Himachal Pradesh Public Works Department (HPPWD) Process Inputs Specifications, Design and drawings, plans, Reports, surveys Test / Inspection report 4.7. Source division Quality Control Division Quality Lab Planning NC As and when issued or revised Before execution, In-process and Oncompletion Review Criteria NC Current with all amendments Ref. Doc/ Formats Deviation in specified requirements Test report proformae of the QA (CMM for roads, bridges and buildings - 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. Procedure No.: QMS/PM/SP-04/Control of Non-Conforming Products/Process Controlled Document Page No. : SP/4-2 Issue 01, Rev 00 Quality Management System Procedure Manual for Himachal Pradesh Public Works Department (HPPWD) 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 NonConformance. 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 NonConformance 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. Procedure No.: QMS/PM/SP-04/Control of Non-Conforming Products/Process Controlled Document Page No. : SP/4-3 Issue 01, Rev 00 Quality Management System Procedure Manual for Himachal Pradesh Public Works Department (HPPWD) 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 NonConformance. 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 NonConformances. 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. Procedure No.: QMS/PM/SP-04/Control of Non-Conforming Products/Process Controlled Document Page No. : SP/4-4 Issue 01, Rev 00 Quality Management System Procedure Manual for Himachal Pradesh Public Works Department (HPPWD) • Contractor’s performance evaluation. 4.8. Effectiveness • • • • • • • 4.9. 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 NonConformances. Annexure • Control of Non-Conforming Produce Flowchart (Annexure 4.1). Procedure No.: QMS/PM/SP-04/Control of Non-Conforming Products/Process Controlled Document Page No. : SP/4-5 Issue 01, Rev 00 Quality Management System Procedure Manual for Himachal Pradesh Public Works Department (HPPWD) Annexure 4.1 : Control of Non-Conforming Product Product/Service Inspection NC identified? CE, SE, EE, EE (Quality) No NC justifiable? CA not needed, provide feedback Any Impact on product quality ? EE, Quality Concerned QMS problem? EE EE Resolve issue Deliver product Implement CA Contact customer Initiate actions for prevention Inform customer of Problem resolution Procedure No.: QMS/PM/SP-04/Control of Non-Conforming Products/Process Controlled Document Page No. : SP/4-6 Issue 01, Rev 00 Quality Management System Procedure Manual for Himachal Pradesh Public Works Department (HPPWD) 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. 5.4. Responsibilities 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 NonConformance(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 Any Quality Control/Assurance plan Customer complaints Incoming material non-conformity Source Contractor Customer Contractor Review Criteria Specifications Codes, test methods Nature of complaint Contractor, Previous/existing NC, Trend of NC, Effect of NC, Ref. Doc / Formats Contract agreement Customer complaints Inspection report Procedure No.: QMS/PM/SP-05/Corrective Action Controlled Document Issue 01, Rev 00 Page No. : SP/5-1 Quality Management System Procedure Manual for Himachal Pradesh Public Works Department (HPPWD) In process nonconformity 5.6. 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) Process Sl. Description Responsibility Ref.Doc/ No. Formats 1. Corrective Actions 2. Resolve the customer complaint, if any and send EE monthly report to MR/ DMR for reporting in MRM. 3. As and when any NC happens in the processing EE CMMs for activities, take immediate actions as per process roads and work instructions. 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]. Construction site visits - Construction and QA b) staffs shall discuss on developments during construction that result in changes to work-inprogress. 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. Customer feedback - External customer c) 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 constructionproduct 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 Procedure No.: QMS/PM/SP-05/Corrective Action Controlled Document Issue 01, Rev 00 Page No. : SP/5-2 Quality Management System Procedure Manual for Himachal Pradesh Public Works Department (HPPWD) Sl. Description Responsibility Ref.Doc/ No. 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. Design Review and Checking shall be recorded. f) Drawings 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. Construction QA/QC Inspections - Construction g) 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 Corrective action Database in electronic formats 5.8. Actions As per agreed dates Ref. Doc/ Formats Updated data MIS Process Monitoring and Measurement Review Parameter Timely action Effective CA 5.9. To Respective division/sub-division IT Division and all other Divisions Acceptance Criteria As per committed date No repetition of problem/NC Trend Check/ Act Responsibility On completion of each project Monthly EE/EE DMR(EE) Ref. Doc/ Formats - Effectiveness • • • • The timely CAs prevents recurrence of the problems. It provides timely solutions. Decision making made easier. Prevents ad-hoc decisions. Procedure No.: QMS/PM/SP-05/Corrective Action Controlled Document Issue 01, Rev 00 Page No. : SP/5-3 Quality Management System Procedure Manual for Himachal Pradesh Public Works Department (HPPWD) • Unhindered flow of work. • Potential References. Procedure No.: QMS/PM/SP-05/Corrective Action Controlled Document Issue 01, Rev 00 Page No. : SP/5-4 Quality Management System Procedure Manual for Himachal Pradesh Public Works Department (HPPWD) 6. PREVENTIVE ACTION 6.1. Purpose To establish and control a system for taking actions to prevent occurrence of NonConformance 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) 6.4. Responsibilities 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 Complaint Trends Concerned Division Deviation Trend, Rework, Other process / operational performance trends like: Material Quality, Process Breakdown period, Contractor performance rating Planning Scrutiny of complaints Analysis, SQC Concerned Sub-division Review Criteria Repeatability of similar complaints Mode of disposition Process efficiency Areas for improvement Resources required Quality rating trend contractor wise Procedure No.: QMS/PM/SP-06/Preventive Action Controlled Document Ref.Doc/ Formats SQC chart / Trend analysis -Do-- SQC Bar Chart ( to be developed) Issue 01, Rev 00 Page No. : SP/6-1 Quality Management System Procedure Manual for Himachal Pradesh Public Works Department (HPPWD) 6.6. Process Sl. Activity No. 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. 3. Review and decide preventive action to be taken by respective Division for potential problems, requiring detailed analysis. 4. Carry out root cause analysis to decide of NC products / processes and preventive action to avoid / prevent occurrence of potential problems. 5. Report effectiveness of actions taken in the Quality Circle meeting. 6. Keep records of preventive actions and quarterly Quality Circle Meeting decisions. 6.7. Responsibility Ref.Doc/ Formats - CAG/ Concerned EE - CAG/ Concerned EE - CAG/ Concerned EE - Concerned Division EE CAG/ Concerned EE Outputs Description To Actions Ref.Doc/ Formats Preventive Actions from As per committed Preventive actions on EE similar product / respective Division dates process / activities Meeting records Eliminate causes potential Procedure No.: QMS/PM/SP-06/Preventive Action Controlled Document Issue 01, Rev 00 Page No. : SP/6-2 Quality Management System Procedure Manual for Himachal Pradesh Public Works Department (HPPWD) 6.8. Process Monitoring and Measurements Review Parameter Timely action Acceptance Criteria As per committed date Effective PA No recurrence of problem/NC Trends Inclusion of Occurrences of similar similar type of process/ NC elsewhere product 6.9. Checking and Responsibility Acting On completion EE/EE, CAG of each project Same Month CAG members Ref.Doc/ Formats Minutes MRM of 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-06/Preventive Action Controlled Document Issue 01, Rev 00 Page No. : SP/6-3 Quality Management System Procedure Manual for Himachal Pradesh Public Works Department (HPPWD) 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 Process Inputs Source Planning Status of decisions Minutes of previous meeting For review QMS Audit review Customer feedback MR/ DMR Complaints, Survey Reports, Applications, Media report, Meetings Executive Engineers For review For review Process performance and product Conformity For review Review Criteria Status of effectiveness of decision taken Audit results, Satisfaction level - Level of Performance (Effectiveness and efficiency) Response time, resources provided Procedure No.: QMS/PM/SP-07/Management Review Controlled Document Ref. Doc/ Formats Record of MRM Page No. : SP/7-1 - Issue 01, Rev 00 Quality Management System Procedure Manual for Himachal Pradesh Public Works Department (HPPWD) Process Inputs Source Planning CA, PA and their implementation status Recommendations for improvement Performance of H.O/ Circles and Divisions vis-à-vis Policy and objectives Changes in the QMS Executive Engineers For review MR and DMR For review MR/DMR For review EE/ EE For review 7.6. Sl. No. 1. Review Criteria Effectiveness Ref. Doc/ Formats Feasibility examination Level of achievement - Up-dated QMS documents OMS documents Reports Process Activity 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 Responsibility Ref. Doc/ Formats MR Agenda and previous minutes 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 DMR EE 2. 3. 4. 5. 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. 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 Sending the agenda for the meeting in advance to participants. Organize the MRM and ensure that discussions will take place according to the agenda. Preparation of the minutes of the MRM and circulate to all participants. MR/ DMR - MR/ DMR Agenda MR/ DMR - MR/ DMR Minutes Procedure No.: QMS/PM/SP-07/Management Review Controlled Document Page No. : SP/7-2 Issue 01, Rev 00 Quality Management System Procedure Manual for Himachal Pradesh Public Works Department (HPPWD) Sl. No. 6. 7. 8. 7.7. Activity Responsibility Ref. Doc/ Formats Maintain the records pertaining to MRM, including MR/ DMR the minutes for the period of four years. Arrange for changes in QMS, if required, as per MR/ DMR QMS/F 01 procedure for document control. Forward the action requirements arising out of the MR/ DMR meeting to the concerned personnel. Outputs Description To Actions Recommendations for improvement in product / process / QMS Resources needed for improvements in products, process, QMS Records of MRM Concerned SE/EE Whenever recommended Concerned SE/EE Whenever identified and approved After every review 7.8. Minutes Minutes Process Monitoring and Measurements Review Parameters Acceptance Criteria Concerned SE / EE Monitoring of implementation of decisions of MRM Monitoring coverage of agenda Attendance of members 7.9. All members of MRM Ref. Doc /Formats Minutes Responsibility MR/ DMR Checking Ref. Doc/ Formats Quarterly Minutes All points to be covered MR/ DMR During meeting Minutes Participation of all members MR/ DMR During meeting Minutes 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-07/Management Review Controlled Document Page No. : SP/7-3 Issue 01, Rev 00 Quality Management System Procedure Manual for Himachal Pradesh Public Works Department (HPPWD) 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 Corporate training plan H.O Annual Personnel to be trained Faculty for training Training Cell/ Establishment Dept As and when required 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 8.5. Sl. No. Service book Training plans - Feedbacks Description Activity Responsibility 1. Identification of Training needs a) Identify the required competence (Education, Division Head- Procedure No.: QMS/PM/SP-08/Human Resources Development Controlled Document Page No. : SP/8-1 Ref. Doc/ Formats HR records Issue 01, Rev 00 Quality Management System Procedure Manual for Himachal Pradesh Public Works Department (HPPWD) Sl. No. Activity Responsibility Ref. Doc/ Formats Experience, Skill and Training) for different EE 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 b) Determine the existing competence of field staff through concerned EE. c) Find out gap between required and existing Training Cell/ competence at least once in a year. 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. 2. Identification of training need a) Send the technical / on the job training needs of Concerned EE management and other staff during the intervening period of the year, if any to Training Cell/ Establishment Dept 3. Preparation Calendar and EE / SE Annexure 8.1 Head- Training Cell/ Establishment Dept Technical / On the job updating of Training a) Compile and classify training requirements - Head - Training Cell/ training wise, as applicable: Establishment for Supdt/ Supporting staff Dept for Management staff b) Prepare Training Calendar, keeping in view Head- Training training needs and availability of participants Cell/ Establishment Dept Procedure No.: QMS/PM/SP-08/Human Resources Development Controlled Document Page No. : SP/8-2 Annexure 8.2 Issue 01, Rev 00 Quality Management System Procedure Manual for Himachal Pradesh Public Works Department (HPPWD) Sl. No. Activity Responsibility c) Update training calendar based on training Head- Training completed and rescheduling on quarterly basis Cell/ Establishment Dept 4. Organizing Training a) Identify the External Trainers b) Prepare training schedule in consultation with Head- Training Divisional. Heads Cell/ Establishment Dept c) For group training, inform programme details to Head- Training Divisional heads. Cell/ Establishment Dept d) For the training, prepare a feedback sheet about Head- Training the persons absent for the training, to give Cell/ feedback to the competent authority. Establishment Dept e) Prepare a ‘Training review sheet’ indicating the Training Cell/ status of training – whether it was conducted as Establishment per schedule or not and the reasons for Dept rescheduling, if any. f) Maintain records of training programmes and Training Cell/ update individual training records of the following: Establishment Dept • Supdt / Supporting Staff Ref. Doc/ Formats Head- Training Cell/ Establishment Dept Annexure 8.3 • Management staff 5. Training of new recruits a) For new recruits, prepare training schedule which will include: • Induction training • On Job training b) For newly recruited, prepare on job training Concerned EE schedule. 6. Evaluation of Training imparted Head- Training Cell/ Establishment Dept Concerned Divisional EE Procedure No.: QMS/PM/SP-08/Human Resources Development Controlled Document Page No. : SP/8-3 Issue 01, Rev 00 Quality Management System Procedure Manual for Himachal Pradesh Public Works Department (HPPWD) Sl. No. Activity Responsibility a) Determine effectiveness “Evaluation”. of training for Head- Training Cell/ Establishment Dept b) Based on evaluation decide on ‘Retraining’ and Head- Training other actions as appropriate. Cell/ Establishment Dept 7. Responsibility and Authority a) Define responsibility and authority of personnel Concerned EE managing each function. b) Communicate responsibility and authority to each MR/ DMR function. Procedure No.: QMS/PM/SP-08/Human Resources Development Controlled Document Page No. : SP/8-4 Ref. Doc/ Formats Annexure 8.4 Issue 01, Rev 00 Quality Management System Procedure Manual for Himachal Pradesh Public Works Department (HPPWD) 8.6. Outputs Description To Actions Trained Employees Division/Subdivision As and when training provided Record of trained employees HRD Records Monthly / as and when required-review Attendance and absentee HRD Records record of employees On every training imparted Evaluation of effectiveness of HRD Records training records After each training 8.7. Ref. Doc / Formats HR records Process Monitoring and Measurements 8.7.1. Control Related Review Parameter Competence Gap Analysis Acceptance Criteria Updating of training records 8.7.2. Checking Should be conducted Concerned once in a year Head Once in a year Should be updated within a week of completion of training and evaluation Quarterly Head- Training Cell/ Establishment Dept Ref. Doc / Formats HR record Criteria Related Review Acceptance Criteria Parameter Planned Vs Actual As per Dept’s training objective 8.8. Responsibility Responsibility Checking Concerned EE Quarterly Ref. Doc / Formats 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. 2. 3. 4. Record of Competency Requirement (Annexure 8.1). Typical Training Calendar (Annexure 8.2). Employee Training Record (Annexure 8.3). Evaluation of Training – Feedback from trainees (Annexure 8.4). Procedure No.: QMS/PM/SP-08/Human Resources Development Controlled Document Page No. : SP/8-5 Issue 01, Rev 00 Quality Management System Procedure Manual for Himachal Pradesh Public Works Department (HPPWD) 5. 6. 7. 8. 9. 10. 11. 12. Training programme details (in house). Employee training record - Management staff. Induction training schedule. On job training records for newly recruited workers. Training needs of management and other senior staff. Summary of training and details of participants (Annual). List of outside agencies providing training. Training Calendar of outside training institutes and the courses Offered. 8.8.1. Registers 1. 2. 3. Attendance registers of training provided. Register of training given to staff at different levels (in house). Register of training given to staff at different levels (Outside). Procedure No.: QMS/PM/SP-08/Human Resources Development Controlled Document Page No. : SP/8-6 Issue 01, Rev 00 Quality Management System Procedure Manual for Himachal Pradesh Public Works Department (HPPWD) Annexure 8.1 : Record of Competency Requirement Department / Function: Level Job Deliverables / Responsibility Qualification Competence Requirements Experience Knowledge & Skills Prepared By Approved by Procedure No.: QMS/PM/SP-08/Human Resources Development Controlled Document Issue 01, Rev 00 Page No. : SP/8-7 Quality Management System Procedure Manual for Himachal Pradesh Public Works Department (HPPWD) Annexure 8.2 : Typical Training Calendar Himachal Pradesh Public Works Department TRAINING SCHEDULE Sr.No. TOPIC TRAINER TRAINEE(S) Jan. Feb. Mar. Apr. May June July Year: Aug. Date : Sep. Oct. Nov. Dec. 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) Procedure No.: QMS/PM/SP-08/Human Resources Development Controlled Document Issue 01, Rev 00 Page No. : SP/8-8 Quality Management System Procedure Manual for Himachal Pradesh Public Works Department (HPPWD) Annexure 8.3 : Employee Training Record Himachal Pradesh Public Works Department Employee Name Designation Circle / Division / Sub-Division Training required for up-gradation: Qualification Experience S. No. Training Details Date Organized By Remarks : Effectiveness & further needs Procedure No.: QMS/PM/SP-08/Human Resources Development Controlled Document Page No. : SP/8-9 Sign. Issue 01, Rev 00 Quality Management System Procedure Manual for Himachal Pradesh Public Works Department (HPPWD) 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 1 5 = Excellent 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-08/Human Resources Development Controlled Document Page No. : SP/8-10 Issue 01, Rev 00 Quality Management System Procedure Manual for Himachal Pradesh Public Works Department (HPPWD) 9. COMMUNICATION 9.1. Purpose To establish appropriate communication channels for communication takes place regarding effectiveness of the QMS. 9.2. ensuring that 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 Quality policy Source Planning Review Criteria Concerned MR As and when required Accomplishment status Quality objectives Concerned function Head Accomplishment status - Benchmarks, if any Top Management Accomplishment status - ISO 9001 requirements List of documents of external origin World Bank requirements Standard bodies IRC,MOSRTH, operational manual Whenever new objectives is established Whenever new benchmark is established All upgradations Current status of implementation List of documents of external origin QMS/ L 01 Employee surveys Employee records On objective Employee accomplishment Involvement in the achievement of objectives Procedure No.: QMS/PM/SP-09/Communication Controlled Document Ref. Doc/ Formats - - Issue 01, Rev 00 Page No. : SP/9-1 Quality Management System Procedure Manual for Himachal Pradesh Public Works Department (HPPWD) 9.6. Process Sl. Activity No. Management’s communication 1. (a). Quality policy. (b). Quality objectives. (c). Benchmarks, targets. 2. 3. 4. Responsibility Top Management Quality policy is communicated and understood through briefing meetings and disseminated by displaying of posters, fliers and through individual cards. Quality objectives are established at relevant functions and levels within the organization and are consistent with the Quality policy. 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. Ref. Doc/ Formats - MR/DMR CE/ SE/ EE Chief Engineer QMS/QM As per Codal needs and Manual of Forms and Formats 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 Procedure No.: QMS/PM/SP-09/Communication Controlled Document Issue 01, Rev 00 Page No. : SP/9-2 Quality Management System Procedure Manual for Himachal Pradesh Public Works Department (HPPWD) Sl. Activity Responsibility 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. Superintending Communication / suitable Orders from 5. Engineer 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 Procedure No.: QMS/PM/SP-09/Communication Controlled Document Ref. Doc/ Formats Issue 01, Rev 00 Page No. : SP/9-3 Quality Management System Procedure Manual for Himachal Pradesh Public Works Department (HPPWD) Sl. Activity Responsibility 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. Executive Communication / suitable Orders from 6. Engineer 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 Procedure No.: QMS/PM/SP-09/Communication Controlled Document Ref. Doc/ Formats World Bank guidelines and as per operational Manual Issue 01, Rev 00 Page No. : SP/9-4 Quality Management System Procedure Manual for Himachal Pradesh Public Works Department (HPPWD) Sl. Activity Responsibility 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 subdivisional officers. MR/ DMR External Communication 7. • 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. 9.7. Ref. Doc/ Formats Outputs Description To Quality policy, objectives, benchmarks. Team briefings and other meetings, such as for recognition of achievement. Notice boards, Inhouse journals/magazines. Top Management/ MR/DMR MR/DMR Function Head Audio-visual and IT Cell electronic media, such as email and website. Employee surveys Circle / Division Suggestion scheme Circle / Division Action Ref.Doc/ Format When established Display of poster, fliers, cards etc. On accomplishment of objectives, Or any other achievement in work areas. When displayed / Notice boards, published In-house journals, magazines On objectives’ accomplishment Any new trend / project/ process/equipment Procedure No.: QMS/PM/SP-09/Communication Controlled Document - Issue 01, Rev 00 Page No. : SP/9-5 Quality Management System Procedure Manual for Himachal Pradesh Public Works Department (HPPWD) 9.8. Process Monitoring and Measurements Review Parameters Acceptance Criteria Adequate and accurate information. Reports, Circulars, Orders, Website, Email or telephonic conversation. 9.9. Responsibility Checks/ Act All MRs/ Whenever DMRs. required. Ref.Doc/ Formats - 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). Procedure No.: QMS/PM/SP-09/Communication Controlled Document Issue 01, Rev 00 Page No. : SP/9-6 Quality Management System Procedure Manual for Himachal Pradesh Public Works Department (HPPWD) Annexure 9.1 : Communication Matrix in HPPWD PUBLIC Proposal Proposal Elected body Electedreps people’s Govt. field Officers Proposal Private Organizations Government Finance Department Budget MD/ Secretary HPPWD/ HPRIDC CE (HPPWD/ HPRIDC) SE. For Admn. Approval EE. AE / JE Technically sanctioned Preparation of Project Tender Designs Execution Investigation Completion of Project Procedure No.: QMS/PM/SP-09/Communication Controlled Document Issue 01, Rev 00 Page No. : SP/9-7 Quality Management System Procedure Manual for Himachal Pradesh public works department 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 Procedure No.: QMS/PM/QP/Table of Contents Controlled Document Issue 01, Rev 00 Page No. : QP/i Quality Management System Procedure Manual for Himachal Pradesh public works department 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 Procedure No.: QMS/PM/QP/Table of Contents Controlled Document Issue 01, Rev 00 Page No. : QP/ii Quality Management System Procedure Manual for Himachal Pradesh public works department 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 Procedure No.: QMS/PM/QP/Table of Contents Controlled Document Issue 01, Rev 00 Page No. : QP/iii Quality Management System Procedure Manual for Himachal Pradesh public works department 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/Table of Contents Controlled Document Issue 01, Rev 00 Page No. : QP/iv Quality Management System Procedure Manual for Himachal Pradesh public works department 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 • • • • • • • • • • 1.4. 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 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 • Survey PWD Engineers User/customer/ Public- elected Representative As and when required • Letters from public or Elected public Representative • Policy decisions • Customer satisfaction survey • Project Completion report Government PWD/External agency Division Annually After completion of work After completion of work Review criteria Assessment of necessity Ref. Doc/ Format Survey reports, Letters, Inspection card, Minimum one satisfaction report. Customer satisfaction survey report Project Completion Report Fulfillment of requirements Procedure No. : QMS/PM/QP-01/Need Identification and Assessment of Project Issue 01, Rev 00 Controlled Document Page No. : QP/1-1 Quality Management System Procedure Manual for Himachal Pradesh public works department 1.6. Sr. No. A. 1. 2. B. 3. 4. 5. 6. C. 7. 8. 9. 10. 11. 12. D. 13. Process Activity Responsibility Ref. Doc/ Format Traffic Census CE instructs EE to conduct annual Traffic SE, EE and Census at fixed points AE EE conducts census survey through AE and EE submits report to SE, CE and also to Govt. Inspection Circle office prepares ‘Condition Survey Plan’ and forwards it to EE for assessing periodic renewal requirements. On the basis of Condition Survey Plan EE prepares ‘Annual Calendar’ for regular survey of each area under jurisdiction. EE forwards a copy of the annual calendar to concerned Sub-divisions. Carrying out routine inspection and submitting it to Division. SE EE Condition Survey Plan Annual Calendar EE - AE Routine Inspection Card (Ref. Manual of Forms and Formats) AE Letter SUPDT. SUPDT. Survey report EE Survey report Survey for the proposed work Based on the customer request, identify the need of the project Collection of requisite data, maps Carrying out preliminary survey and preparing the line estimate for carrying detail investigation of the proposed site Submit the preliminary survey report with line estimate to the Division After scrutiny, the Division submits it to the EE Circle After scrutiny the Circle submits it to TAC/ SE BOD through Head Office Upon receiving the grant for detail investigation EE to Division, EE instructs the Sub-division to carry out further activities - Survey Equipment Maintain a list of equipments in Tools and EE Plant (T&P) register, which are used while T and P Register Procedure No. : QMS/PM/QP-01/Need Identification and Assessment of Project Issue 01, Rev 00 Controlled Document Page No. : QP/1-2 Quality Management System Procedure Manual for Himachal Pradesh public works department Sr. No. 14. 15. 1.7. Activity Responsibility carrying out survey Select the required equipment T and P register Issue of equipment for use from EE Ref. Doc/ Format - EE 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 Survey reports Traffic Census survey Division Annual Condition survey Concerned Division /Sub Division Sub-division Annual Condition survey plan 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 T and P Register Sub-division Annual Preliminary Survey of proposed site Line estimate Register Annual inspection calendar 1.8. Process Monitoring and Measurements Review parameters Survey schedule Availability of survey equipments Availability of field Engineers No. of surveys deviated from the scheduled plan 1.9. Acceptance criteria Meeting survey plan, calendar Working conditions Responsibility Checking Ref.Doc/ Format SE Quarterly EE Before survey T and P Register Trained and competent Engineers Should not be more than 10% EE Yearly Human Resource record EE Yearly Condition survey plan, Annual Calendar Surveys • Condition survey (Visual). Procedure No. : QMS/PM/QP-01/Need Identification and Assessment of Project Issue 01, Rev 00 Controlled Document Page No. : QP/1-3 Quality Management System Procedure Manual for Himachal Pradesh public works department • Condition surveys at fixed frequencies are necessary for determining periodic renewal requirements and long-term maintenance strategy. Sr. No. Type of Construction EE SUPDT. Once a month Once in fifteen days Once a month Once in fifteen days 100%* 100%* 100%* Min 25%* 100%* 100%* Thrice in a Year (Once before and after monsoon and Once at random) Twice in year (before and after monsoon) 1. SH 2. MDR 3. Major Bridges 4. Minor Bridges Culverts AE -- 100%* 100%* 5. * 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. 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. Items AprJun Pot hole filling - WBM. Pot hole filling - BT. Edge correction. Dressing of berms. Jungle Clearance. Re-Fixing road signage boards. Re-painting road signage boards. Pruning road side trees. Removal of encroachments. Removal of unauthorized hoardings. Removing and re-fixing of Hectometer /KM/ / 5 km/Guard stones. JulySep X OctDec JanMar X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X Remarks Procedure No. : QMS/PM/QP-01/Need Identification and Assessment of Project Issue 01, Rev 00 Controlled Document Page No. : QP/1-4 Quality Management System Procedure Manual for Himachal Pradesh public works department Sr. No. 12. Items AprJun JulySep Re-painting of Hectometre /KM/ / 5 KM /Guard stones. X 13. Longitudinal/Catch drains. X X 14. 15. Shoulder drains. Re-painting of Road marking. X X X Note: OctDec JanMar X X X X Remarks X – recommended period for activity B. Bridges : Sl. No. 1. 2. 3. 4. Items JulySep OctDec JanMar. X X X X X X X X Cleaning and repairs of Bridge/CD proper Repair/replacement of bearings and expansion joints. River/drain training and Clearing the vents Repairs to approaches /Embankments 5. Repairs to aprons 6. White washing/ Painting Parapets / Handrails Repair of damaged CDs 7. AprJun X X X X X X X X Remarks X 1.11. Routine Inspection Card (Typical for Road) Inspected by: _________________ SH Name and No: ___ Date: MDR Name and No:__________ Km chainage ______________ Sl. No. 1. 2. 3. 4. Particular action to be taken Chain age 100 KM -101 KM-102 KM -103 KM - 104 Jungle Clearance Side drains Shoulder and Edge • Correct camber • Correct Edges • Pot holes • Erosion cuts • Rain cuts Carriageway • Fill patches • Fill pot holes • Grit for bleeding Procedure No. : QMS/PM/QP-01/Need Identification and Assessment of Project Issue 01, Rev 00 Controlled Document Page No. : QP/1-5 Quality Management System Procedure Manual for Himachal Pradesh public works department 5. 6. 7. 8. • Renewal needed CD Works Encroachment details • Road furniture• Sign boards • Km and Hectometre Stones • Pavement markings • Speed Breaker Building maintenance • Painting, white washing • Leak proofing • Electrification related Accepted by: _________________ Urgent Special attention Routine attention Good Procedure No. : QMS/PM/QP-01/Need Identification and Assessment of Project Issue 01, Rev 00 Controlled Document Page No. : QP/1-6 Quality Management System Procedure Manual for Himachal Pradesh public works department 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 Procedure No. : QMS/PM/QP-01/Need Identification and Assessment of Project Issue 01, Rev 00 Controlled Document Page No. : QP/1-7 Quality Management System Procedure Manual for Himachal Pradesh public works department 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: Area: Date: Kms: 1.16. Checklist for proposal preparation of Road Sl. No. 1. 2. 3. 4. 5. 6. 7. 8. Particulars Project Name of the work: Name of District Name of Taluka Name of constituency Name of proposed Road Category of Road Total length of Road Start chain – end chain Length of the Road proposed for improvements (Start Procedure No. : QMS/PM/QP-01/Need Identification and Assessment of Project Issue 01, Rev 00 Controlled Document Page No. : QP/1-8 Quality Management System Procedure Manual for Himachal Pradesh public works department Sl. No. Particulars Project 9. 10. 11. 12. 13. 14. chain – End chain) Estimated cost for detailed investigation Estimated cost Rs in Lakhs based on CSR Villages benefited Population benefited Traffic intensity / census year Surface condition of existing road 15. 16. 17. 18. 19. Proposed improvements Name of the representative Priority level * Justification Remarks WBM From To BT From To 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. 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16. 17. Particulars Project Nomenclature of the Bridge/Cross drain with chainage. Name of District. Name of Tehsil. Name of constituency. Category of Bridge/Cross drain. Estimated cost for detailed investigation. Estimated cost Rs. in Lakhs based on CSR. Villages benefited. Population benefited. Traffic intensity / census year. Surface condition of Bridge. Surface condition of existing approaches. WBM From To BT From To Proposed improvements. Name of the representative. Priority level *. Justification. Remarks. Procedure No. : QMS/PM/QP-01/Need Identification and Assessment of Project Issue 01, Rev 00 Controlled Document Page No. : QP/1-9 Quality Management System Procedure Manual for Himachal Pradesh public works department 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-01/Need Identification and Assessment of Project Issue 01, Rev 00 Controlled Document Page No. : QP/1-10 Quality Management System Procedure Manual for Himachal Pradesh public works department 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 Survey Equipment Routine Inspection Card Competent manpower to carry out survey/ Inspection 2.6. Sl. No. 1. 2. Source Planning Review criteria Ref.Doc/Format SubDivision SubDivision Before investigation As per requirements Survey report SubDivision Sub division Before investigation Before investigation Assessment of need Equipment in good working condition and calibration status All requirements are covered Experience/ Competency record T and P Register Inspection Card HR records Process Activity Responsibility Upon receiving the grant, EE instructs AE to carry out detail investigation 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. . Procedure No. : QMS/PM/QP-02/Detailed Investigation Controlled Document Page No. : QP/2-1 EE Ref.Doc/ Format - EE Issue 01, Rev 00 Quality Management System Procedure Manual for Himachal Pradesh public works department Sl. No. 3. Activity Carry out investigation by covering all the AE and SUPDT. required details. Maintain equipments used while carrying out AE/JE investigation in working condition. Forward investigation details to competent AE authorities. 4. 5. 2.7. Responsibility To Investigation details Proposals are to be prepared by Sub-division Act Project-wise Ref.Doc/ Format Investigation Report Process Monitoring and Measurements Review parameters Investigation details Availability of survey equipments 2.9. T and P Register Investigation Report Outputs Description 2.8. Ref.Doc/ Format - Acceptance criteria Complete scope of the project Working condition Responsibility EE AE/JE Check/ Action Project-wise Before survey Ref.Doc / Formats Investigation Report T and P register 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. Procedure No. : QMS/PM/QP-02/Detailed Investigation Controlled Document Page No. : QP/2-2 Issue 01, Rev 00 Quality Management System Procedure Manual for Himachal Pradesh public works department • 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. Procedure No. : QMS/PM/QP-02/Detailed Investigation Controlled Document Page No. : QP/2-3 Issue 01, Rev 00 Quality Management System Procedure Manual for Himachal Pradesh public works department 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. • • • • • • • • • • • • 2.11.2.4. 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. 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). Procedure No. : QMS/PM/QP-02/Detailed Investigation Controlled Document Page No. : QP/2-4 Issue 01, Rev 00 Quality Management System Procedure Manual for Himachal Pradesh public works department 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 Major Bridge More than 60 m Cross Drainage structure with a linear waterway. 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. Procedure No. : QMS/PM/QP-02/Detailed Investigation Controlled Document Page No. : QP/2-5 Issue 01, Rev 00 Quality Management System Procedure Manual for Himachal Pradesh public works department • 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-02/Detailed Investigation Controlled Document Page No. : QP/2-6 Issue 01, Rev 00 Quality Management System Procedure Manual for Himachal Pradesh public works department 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 Process Inputs Source Planning Detailed Investigation Concerned Sub-division As and when required Requirements from the concerned department (in case of buildings) Concerned Department As and when required. 3.6. Sl. No. 1. Review Criteria Complete in all aspects Purpose of User department Ref.Doc/ Format Detailed Investigation Report (Ref: Manual of Forms and formats) - Process Activity Responsibility 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 Procedure No. : QMS/PM/QP-03/Design and Drawings Controlled Document Page No. : QP/3-1 Ref.Doc / Formats - Issue 01, Rev 00 Quality Management System Procedure Manual for Himachal Pradesh public works department Bridge Road Sl. No. Activity Responsibility 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 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 Ref.Doc / Formats - 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 Designs and drawings 3.8. Checking For every project Ref.Doc/ Format Standard designs Process Monitoring and Measurements Review parameters All requirements are taken into account 3.9. To Preparation of estimate Acceptance criteria Responsibility Relevant Competent standards/specifications Authority Check/Act For every project Ref.Doc/ Format - Effectiveness 3.9.1. The designing process is made effective by • Timely review Procedure No. : QMS/PM/QP-03/Design and Drawings Controlled Document Page No. : QP/3-2 Issue 01, Rev 00 Quality Management System Procedure Manual for Himachal Pradesh public works department • • • • • 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-03/Design and Drawings Controlled Document Page No. : QP/3-3 Issue 01, Rev 00 Quality Management System Procedure Manual for Himachal Pradesh public works department 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 Plans and Designs 4.6. Sr. No. 1. 2. 3. 4. Source Planning Sub-division For every project Review criteria Project requirement Ref.Doc/ Formats - Process Activity Responsibility 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. The designs of very important structures and the schedule of quantities shall be prepared. 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. 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 AE Procedure No. : QMS/PM/QP-04/Estimation Process Controlled Document Page No. : QP/4-1 Ref.Doc/ Formats AE AE CE Approved formats as per the Issue 01, Rev 00 Quality Management System Procedure Manual for Himachal Pradesh public works department Sr. No. Activity Responsibility 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. 4.7. EE Ref.Doc/ Formats Manual of Forms and Formats CE CE 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 Estimate Supplementary Estimate Revised Estimate To AE AE AE Actions As and when required As and when required Ref.Doc/ Formats As per Manual of Forms and Formats As per Manual of Forms and Formats As and when required As per Manual of Forms and Formats Procedure No. : QMS/PM/QP-04/Estimation Process Controlled Document Page No. : QP/4-2 Issue 01, Rev 00 Quality Management System Procedure Manual for Himachal Pradesh public works department 4.9. Process Monitoring and Measurements Review Parameters All the items required for execution are considered Estimation Acceptance Criteria Detailed estimate As per standard norms Responsibility Checks SE, EE and AE Before Admin. Approval AE Before Admin. Approval Ref.Doc/ Formats As per Manual of Forms and Formats As per Manual of Forms and Formats 4.10. Effectiveness • • • • • • • • 4.11 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. 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-04/Estimation Process Controlled Document Page No. : QP/4-3 Issue 01, Rev 00 Quality Management System Procedure Manual for Himachal Pradesh public works department 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 Proposals submitted to TAC/ BOD Head Office When complete in all aspects, to be included in the budget. Proposals complete in all aspects. 5.6. Sr. No. 1. 2. 3. Ref.Doc / Formats Estimate Process Activity Responsibility 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. Shortlist the proposals based on the necessity. TAC/ BOD Ref.Doc/ Format Estimate TAC/ BOD - Scrutinize short listed proposals for complete technical details viz. detailed investigations, actual cost estimation, time duration required TAC/ BOD Procedure No. : QMS/PM/QP-05/Proposal Inclusion in the Budget & Res. Mgmt. Issue 01, Rev 00 Controlled Document Page No. : QP/5-1 Quality Management System Procedure Manual for Himachal Pradesh public works department Sr. No. Activity etc. Prepare list of works to be included in the annual plan, annual budget. Submission of list of works to Government for inclusion in the annual budget. 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’. Proposal included in the shelf of projects, are taken up for inclusion in the Budget, at later date only after modifying the cost estimation. 4. 5. 6. 7. 5.7. Responsibility Ref.Doc/ Format TAC/ BOD TAC/ BOD List of works - TAC/ BOD - TAC/ BOD, concerned Division - Outputs Proposals included in the Budget. Description Estimate 5.8. To Checking Competent Upon scrutinizing all Authority/Government short listed proposals Ref.Doc/ Format List of Works Process Monitoring and Measurements Review parameters Proposals Acceptance criteria Detailed estimate Resources Budget sanctions 5.8.1. Responsibility Actions Concerned Sub-division Before submitting to TAC/ BOD Review in MMR Circle/Divisions Ref.Doc/ Format Estimates MMR agenda and minutes 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: Procedure No. : QMS/PM/QP-05/Proposal Inclusion in the Budget & Res. Mgmt. Issue 01, Rev 00 Controlled Document Page No. : QP/5-2 Quality Management System Procedure Manual for Himachal Pradesh public works department • • • • 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: • • 5.9. State Highway (SH). National Highway Linkages (NHL). 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 Procedure No. : QMS/PM/QP-05/Proposal Inclusion in the Budget & Res. Mgmt. Issue 01, Rev 00 Controlled Document Page No. : QP/5-3 Quality Management System Procedure Manual for Himachal Pradesh public works department 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-05/Proposal Inclusion in the Budget & Res. Mgmt. Issue 01, Rev 00 Controlled Document Page No. : QP/5-4 Quality Management System Procedure Manual for Himachal Pradesh public works department 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 • • • • 6.4. World Bank guidelines and operational manual. Delegation of financial powers- Guidelines and requirements. Budget book of the Government. Manual of Forms and Formats Responsibility As per guidelines of delegation of financial powers for: 6.5. (a). Administrative Approval. (b). Technical Sanction. Inputs Process inputs Source Planning Review criteria Budget Govt. Annually Inclusion in the budget Proposal for External funding agency Funding Agency As and when required Adm. Approval from Funding Agency Ref.Doc/ Format Procedure No. : QMS/PM/QP-06/Administrative Approval and Technical Sanction Issue 01, Rev 00 Controlled Document Page No. : QP/6-1 Quality Management System Procedure Manual for Himachal Pradesh public works department Process inputs Source Planning 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. 2. 3. 4. 5. 6. 6.7. Activity Responsibility Proposals appearing in the budget or TAC/ BOD externally financed will be forwarded to CE. CE will forward it to the Competent CE, CA Authority for Administrative Approval. After administrative approval, returned to Competent Head Office. Authority Proposals will be forwarded to competent Head Office authority for according Technical Sanction. Technical Sanction will be accorded by competent authority and entered into register. After according Technical Sanction, the proposals will be forwarded to concerned Division to carry out further actions. Competent Authority Competent authority Ref. Doc/ Format As per Manual of Forms and Formats (Ref. Manual of Forms and Formats) - Outputs Description Administrative Approval and Technical sanction 6.8. Ref.Doc/ Format Process Sr. No. 1. Review criteria To Checking After according Technical Sanction EE Ref.Doc/ Format Technical Sanction Register Process Monitoring and Measurements Review parameters Proposals Acceptance criteria Detailed estimate Responsibility Check/Act TAC/ BOD/ Before Admin. Ref.Doc/ Format Estimate Procedure No. : QMS/PM/QP-06/Administrative Approval and Technical Sanction Issue 01, Rev 00 Controlled Document Page No. : QP/6-2 Quality Management System Procedure Manual for Himachal Pradesh public works department Review parameters Proposals appearing in the Budget/ Approved by External Funding agency 6.9. Acceptance criteria Inclusion in the Budget / External Funding agency Responsibility Check/Act External Funding agency Competent authority Approval Before Admin. Approval Ref.Doc/ Format - 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-06/Administrative Approval and Technical Sanction Issue 01, Rev 00 Controlled Document Page No. : QP/6-3 Quality Management System Procedure Manual for Himachal Pradesh public works department 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 Technically sanctioned projects Competent authority Entrusting to approved Agency for execution Technical aspect of work 7.6. Ref.Doc/ Formats As per Manual of Forms and Formats Process Sr. Activity Responsibility Ref. Doc/ No. Formats 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 EE and Supdt. As per Tender shall prepare “contract documents” to include. agreement A complete set of drawings along with details of manual 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 Procedure No. : QMS/PM/QP-07/Tender Process Controlled Document Issue 01, Rev 00 Page No. : QP/7-1 Quality Management System Procedure Manual for Himachal Pradesh public works department Sr. No. 2. 3. 4. (a). (b). (c). (d). (e). (f). (g). 5. 6. (a). Activity Responsibility IS 12269. A complete schedule of quantities of the various descriptions of work. A set of “Conditions of Contract”. 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. 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. Issue of Notice Inviting Tender (NIT) NIT shall contain following details, The name and address of procuring entity and the designation and address of the Tender Inviting Authority; Name of the scheme, project or programme for which the procurement is to be effected; The date up to which and places from where the tender documents can be obtained; The amount of earnest money deposit payable; The last date and time for receipt of tenders; The date, time and place for opening of tenders received; and Any other information, which the tender inviting authority considers relevant. Receiving applications and fee for tender by the specified class of Contractor. Preparation of blank tender booklet as per requirement. Issue of blank tender booklets in duplicate to the applicants on the specified date. EE, SE Draft Tender Schedule (DTS) Delegation of financial powers as per operational manual EE - Concerned EE/HDM Procedure No. : QMS/PM/QP-07/Tender Process Controlled Document Ref. Doc/ Formats - - - - - - - - - EE - Issue 01, Rev 00 Page No. : QP/7-2 Quality Management System Procedure Manual for Himachal Pradesh public works department Sr. No. (b). (c). (d). 7. (a). 8. (a). (b). (c). (d). (e). 9. 10. (a). (b). (c). (d). 11. (a). Activity Responsibility Clarification of tender documents. Pre-bid discussion with prospective bidders by SE in case of major works. 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. Sealing of tender boxes, duly signed by participants. Collecting tender boxes at Division. The EE is responsible for safe custody of accepted tenders and contract agreements. Detailed record is maintained in the register. EE SE Ref. Doc/ Formats - EE EE/AO - Concerned EE/HDM Register of Agreements Ref. Manual of Forms and Formats Tender opening All tenders received on time shall be opened; The name of the tenderers and the quoted prices shall be read out; A record of the corrections and overwriting noticed at the time of bid opening shall be maintained; Whether EMD has been submitted and other documents required have been produced may be indicated, by examining documents Minutes of the tender opening shall be recorded. The signatures of the tenderers / representative present at the time of opening shall be obtained Tender evaluation to be in accordance with evaluation criteria EE EE - - - EE During initial evaluation the following factors shall be considered: Whether the tenderer meets the eligibility criteria laid down in the tender documents. Whether the relevant documents have been duly signed. Whether the requisite EMD has been furnished. Whether the tender is substantially responsive to the technical specification set out in the bidding documents. Determination of lowest evaluated price The quoted price shall be checked for Procedure No. : QMS/PM/QP-07/Tender Process Controlled Document Issue 01, Rev 00 Page No. : QP/7-3 Quality Management System Procedure Manual for Himachal Pradesh public works department Sr. No. (b). (c). (d). 12. (a). (b). (c). (d). (e). 13. 14. Activity Responsibility arithmetical errors. In case of discrepancy between prices quoted in words and in figures, lower of the two shall be considered. 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. 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. Preparation of evaluation report and award of contract 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. On acceptance of the tender by the competent authority, accepted tender will be forwarded to EE. The EE shall communicate the letter of acceptance to the successful tenderer. 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. 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. A list of tenders accepted by competent authorities should be furnished to the Accountant General. The second cover shall contain the prices quoted by the tenderer. EE EE Competent authority EE Tenderer EE Competent authorities Procedure No. : QMS/PM/QP-07/Tender Process Controlled Document Ref. Doc/ Formats Issue 01, Rev 00 Page No. : QP/7-4 Quality Management System Procedure Manual for Himachal Pradesh public works department Sr. No. (a). (b). (c). (d). (e). (f). 7.7. Activity Responsibility Ref. Doc/ Formats 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. 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. The tender document and accordingly prepare a list of qualified tenderers. 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: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. The tender inviting authority shall follow the procedure outlined in 6.11 and 6.12. Outputs Description NIT Contract documents Evaluation report Contract agreement To Publication Checking Ref.Doc/Formats For procurement of -Services, Equipments, goods, etc. Registered contractors For procurement of / Anyone on remittance Services, Equipments. of the cost of the documents Competent authority After opening the WI 01 and 02 tender and scrutinizing the documents. Qualified Contractors Within stipulated time Procedure No. : QMS/PM/QP-07/Tender Process Controlled Document Issue 01, Rev 00 Page No. : QP/7-5 Quality Management System Procedure Manual for Himachal Pradesh public works department 7.8. Process Monitoring and Measurement Review parameters NIT Acceptance criteria Opening of tenders Presence of tenderers Evaluation 1.strictly according to evaluation criteria indicated in tender documents 2. within validation period Intimation to all those who have purchased the original tender document Modification or amendments to the tender documents Contract agreement 7.9. All details Within stipulated time Responsibility Checking/ Ref. Doc/ Act Formats EE For Registers procurements EE At the time Attendance specified in sheet NIT EE After opening EE As and when required EE Projectwise - Tender forms 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). Procedure No. : QMS/PM/QP-07/Tender Process Controlled Document Issue 01, Rev 00 Page No. : QP/7-6 Quality Management System Procedure Manual for Himachal Pradesh public works department 7.11. Flowchart TENDER PROCESS Draft Tender schedule NI T Issue of Tender documents Pre-bid meeting Receipt of tenders Tender opening N Meeting requirements Rejected Y Tender acceptance Contract agreement and award of work Procedure No. : QMS/PM/QP-07/Tender Process Controlled Document Issue 01, Rev 00 Page No. : QP/7-7 Quality Management System Procedure Manual for Himachal Pradesh public works department 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. Procedure No. : QMS/PM/QP-07/Tender Process Controlled Document Issue 01, Rev 00 Page No. : QP/7-8 Quality Management System Procedure Manual for Himachal Pradesh public works department 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 (Sign. of EE) Prepared by (Sign. of EE/TA/Adm/Estt) Procedure No. : QMS/PM/QP-07/Tender Process Controlled Document Issue 01, Rev 00 Page No. : QP/7-9 Quality Management System Procedure Manual for Himachal Pradesh public works department Annexure 7.2. : Monthly Tender Acceptance Report Procedure No. : QMS/PM/QP-07/Tender Process Controlled Document Date of commencement of work Date of executing the Contract Agreement Date of acceptance of tender Authority by whom the tender was accepted Name of the Contractor Name of work Serial No. Return of tenders accepted by the authorities higher than Divisional Officer for the month of ................ of 200. Issue 01, Rev 00 Page No. : QP/7-10 Quality Management System Procedure Manual for Himachal Pradesh public works department 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 8.3. Abbreviations and Definitions 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 Quality Control- QC Quality Assurance -QA Quality Management System - QMS 8.4. Part of Quality management focused on fulfilling quality requirements. Part of Quality Management focused on providing confidence that quality requirements will be fulfilled. Management system to direct and control an organization with regard to Quality. Process The flow chart below shows the Quality Assurance process applicable for HPPWD. INPUT 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 PROCESS 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 OUTPUT Improvement in product and process quality Timeliness Lesser needs for corrective and preventive actions Better process monitoring methods, Increased customer confidence and satisfaction Procedure No.: QMS/PM/QP-09/Measuring & Monitoring Equipment Management Issue 01, Rev 00 Controlled Document Page No. : QP/8-1 Quality Management System Procedure Manual for Himachal Pradesh public works department 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 Cement (OPC) Cement (PPC) Cement (PSC) Cement (SRPC) Steel reinforcement Aggregates Concrete Bitumen Paints 8.6. Conformance to IS 269, 8812, 12269 1489 455 12330 226, 1786, 2062 2386(pts), 383 456 1873 104 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 Surveying Levels, Staff, Chains Field survey and Plotting Daily Laboratory Balances, Universal Testing Machine (UTM), Test sieves, expansion apparatus, curing tank Thermometers Soil testing- Physical Material analysis UTM - Yearly, Balances- Daily (Zero setting) Curing tank temperature- Daily Thermometers- once a year SBR, CBR UTM- Yearly Earth work Purpose Frequency of calibration Procedure No.: QMS/PM/QP-09/Measuring & Monitoring Equipment Management Issue 01, Rev 00 Controlled Document Page No. : QP/8-2 Quality Management System Procedure Manual for Himachal Pradesh public works department Process Equipment used Chemical Standard volumes Purpose Investigation Measurement Of earth removal Frequency of calibration 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. Procedure No.: QMS/PM/QP-09/Measuring & Monitoring Equipment Management Issue 01, Rev 00 Controlled Document Page No. : QP/8-3 Quality Management System Procedure Manual for Himachal Pradesh public works department 8.8. Road Laying/Bridge Construction(Inter related process) The process plan with inter-related processes is given below: Need Identified Investigation, estimation and admin. approval Soil, terrain List of contractors Tendering Award of Work Survey of site, Location traffic, connectivity Verification of Sanction details QA S A M P L I N G Tech sanction 8.9. Budget allocation Approved Verification of Notice, Evaluation of Contractors Verification of Tender, Terms of contract 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 Procedure No.: QMS/PM/QP-09/Measuring & Monitoring Equipment Management Issue 01, Rev 00 Controlled Document Page No. : QP/8-4 Quality Management System Procedure Manual for Himachal Pradesh public works department 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 subdivision/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. Procedure No.: QMS/PM/QP-09/Measuring & Monitoring Equipment Management Issue 01, Rev 00 Controlled Document Page No. : QP/8-5 Quality Management System Procedure Manual for Himachal Pradesh public works department 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: Tehsil: Nature of highway and No. : 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. Procedure No.: QMS/PM/QP-09/Measuring & Monitoring Equipment Management Issue 01, Rev 00 Controlled Document Page No. : QP/8-6 Quality Management System Procedure Manual for Himachal Pradesh public works department 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. 9.4. Responsibilities • 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 New monitoring and measuring Equipment Manuals Instruments to be calibrated Source Planning Review Criteria Manufacturer As and when purchased Present calibration range and accuracy Supplier While purchasing instruments and gauges Method of setup/calibration. User Division/subdivision/Lab As per schedule Evaluation of capability inhouse/external. Ref.Doc / Formats Manuals For operation and maintenance - Procedure No.: QMS/PM/QP-09/Measuring & Monitoring Equipment Management Issue 01, Rev 00 Controlled Document Page No. : QP/9-1 Quality Management System Procedure Manual for Himachal Pradesh public works department Master Instrument calibration 9.6. Sr. No. Calibrating Agency/Supplier of master gauges As per their calibration status. Traceability, accuracy, calibration status. Calibration Report of the agency Description Activities Responsibility Ref. Doc/ Formats Identify the measuring needs and accuracy AE (QC and work required for instruments, Give a unique code in charge) no to each instrument. Maintenance – In-charge AE (QC and work Maintain master list of all instruments. in charge) Maintenance In-charge Maintain record of each instrument containing AE (QC and work unique identification no, frequency of checks, in charge) range, least count and accuracy required. Maintenance In-charge Establish the source of calibration and record AE (QC and work in Individual instrument record. Also indicate in charge) traceability of calibration (Traceability can be Maintenance - Incharge National, as applicable). Establish the frequency of calibration keeping AE (QC and work in consideration the frequency of use, amount in charge) of wear and tear use, availability of instrument Maintenance - Incharge for calibration. AE (QC and work Prepare the calibration schedule. in charge) Maintenance - Incharge Carry out calibration as per schedule. Follow AE (QC and work the documented work instructions for carrying in charge) out the calibration, if the calibration is carried Maintenance - Incharge out in-house. If the instrument is calibrated externally, AE (QC and work receive the calibration certificate and verify in charge) Maintenance - Inthe calibration results. charge Update individual instrument calibration QC Lab - Inrecord and update calibration status at the charge instrument. Enter the date of calibration in the individual QC Lab - Ininstrument record. Decide the due date for charge calibration based on frequency of calibration and enter it in the individual instrument record. Procedure No.: QMS/PM/QP-09/Measuring & Monitoring Equipment Management Issue 01, Rev 00 Controlled Document Page No. : QP/9-2 Quality Management System Procedure Manual for Himachal Pradesh public works department Sr. No. Activities Responsibility Ref. Doc/ Formats Ensure that the measurement uncertainty of AE (QC and equipment is recorded and is consistent with work in charge) the required measurement capability Maintenance In-charge When instrument is found out of calibration, AE (QC and intimate user department for verifying work in charge) previous record / test observations. Maintenance In-charge If there is a sudden breakdown of the AE (QC and equipment prior to due date of calibration, work in charge) repair it and take the signature of either EE or Maintenance In-charge AE (user department) and keep records. Identify and remove the unsuitable instrument AE (QC and from the point of use. work in charge) Maintenance In-charge If equipment is not calibrated as per plans, Maintenance – prepare ‘Deviation Report’ and send to the In-charge concerned division/sub-division with revised QC lab. schedule of calibration. Review the ‘Deviation Report’ every six months and initiate preventive action to avoid recurrence of repeated causes. Update master-list during first week of AE (QC and January and July every year, with details of work in charge) new instruments procured, instruments Maintenance discarded, under repair etc. In-charge 9.7. Output Description To Calibration of monitoring measuring Equipment and User dept. Monitoring and measuring Equipment QC Lab to be scrapped Updated master-list Update monitoring Equipment records and measuring Action to be taken when monitoring and measuring device is out of calibration. Action Ref. Doc. / Formats As per calibration schedule Whenever break down occurs /repairs As per schedule Regular basis as per schedule. Whenever required Procedure No.: QMS/PM/QP-09/Measuring & Monitoring Equipment Management Issue 01, Rev 00 Controlled Document Page No. : QP/9-3 Quality Management System Procedure Manual for Himachal Pradesh public works department 9.8. 9.8.1. Process Monitoring and Measurement Control Related Acceptance Criteria Communication about Third week of calibrating Equipment the month due for calibration. Review Parameter Updated calibration Record Updated within One Week Updation of master-list Should be updated Status of calibration To be updated monitoring and within One week measuring Equipment of calibration Calibration slippage As per objective from schedule 9.8.2. Monthwise In-charge Quality Lab Two samples / month. Half yearly Monthly - AE Maintenance In-charge Functional Head Engg. Action Once in six months Typical Records 1. INT/F-01 9.8.3. Lists 1. Maintenance In-charge Ref. Doc/ Formats Schedule Intimation Responsibility LAB/L-01 Individual instrument calibration record. Master-list of Instruments and calibration schedule Procedure No.: QMS/PM/QP-09/Measuring & Monitoring Equipment Management Issue 01, Rev 00 Controlled Document Page No. : QP/9-4 Quality Management System Procedure Manual for Himachal Pradesh public works department 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 Process Inputs Source Contract agreement Concerned Division Construction methodology Concerned Division, Sub-division Programme of Agency works (CPM, PERT charts) QMS Concerned requirements Division Planning Review Criteria After awarding Specified contract conditions Ref. Doc/ Formats Tender agreement forms On handing Schedule, over site equipment, Man-power Before starting Contract the work condition Tender agreement forms As and when Procedure required requirements Concerned records as per Manual of Forms and Formats 10.6. Process Sl. No. 1. Activity Handing over of site to Contractor. Responsibility Ref. Doc/ Formats AE Tender agreement Procedure No.: QMS/PM/QP-10/Asset Acquisition and Management Controlled Document Page No. : QP/10-1 Issue 01, Rev 00 Quality Management System Procedure Manual for Himachal Pradesh public works department Sl. No. 2. 7. Responsibility Ref. Doc/ Formats Contractor 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. To inform Quality Assurance Division for Contractor testing of incoming material, in-process material, finished product. SUPDT. / QA staff collects samples for AE – QA testing. On conformity certifies for and SUPDT.. carrying out the work. Daily supervision to ensure Contractor Section Officer follows conditions specified in tender and AE documents. Routine inspection. EE, SE Inspection NotesRef. Manual of Forms and Formats Adherence to schedule. AE, EE - 8. Measurements. SUPDT. 9. The SUPDT. records the measurements of work done in MB and prepares bill. Submits it to AE for check-measure. SUPDT. 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% 12. Upon completion of work, SUPDT. submits as-built-drawings, Final bill to AE SUPDT. 13. AE inspects work, certifies records 3. 4. 5. 6. Activity MBAs per Manual of Forms and Formats MB, As-builtdrawings AE Procedure No.: QMS/PM/QP-10/Asset Acquisition and Management Controlled Document Measurement Books (MB) As per Manual of Forms and Formats MB As per Manual of Forms and Formats - Page No. : QP/10-2 Issue 01, Rev 00 Quality Management System Procedure Manual for Himachal Pradesh public works department Sl. No. 14. Activity Responsibility Ref. Doc/ Formats EE 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. 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 10.6.1. Sl. No. As per Manual of Forms and Formats Extra Item / Excess Quantity Activity Responsibility 1. In cases of probability of excess over estimated cost of work, the work slip needs to be submitted to the competent authority. EE 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. 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. The Contractor should sign this extra item rate list in token of his acceptance of the rates. EE 3. 4. 10.6.2. Sl. No. 1. EE Ref.Doc/ Formats As per Manual of Forms and Formats As per Manual of Forms and Formats - Contractor Steps to be followed in case of any deviations Activity Responsibility The execution of extra item in any emergent cases should be reported to the SE, for Procedure No.: QMS/PM/QP-10/Asset Acquisition and Management Controlled Document Page No. : QP/10-3 Ref. Doc/ Formats EE Issue 01, Rev 00 Quality Management System Procedure Manual for Himachal Pradesh public works department 2. 3. 4. 5. 6. 7. approval from competent authorities. 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. For any deviation, prior approval is to be taken before execution of work. 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. If the Contractor fails to carry out the work on time, the contract will be rescinded, at his risk and cost. The remaining work will be carried out by following re-tendering and other subsequent procedures, as explained before. 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 AE EE EE EE AE 10.7. Outputs Description To Actions MB EE According to programme of Work Completion report Competent Authority All Records EE Project completion Upon completion of work Ref. Doc/ Formats ------As per Manual of Forms and Formats As per Manual of Forms and Formats 10.8. Process Monitoring and Measurements Review Parameters MB, Inspection notes, Acceptance Criteria Tender conditions Responsibility Checks/ Act QA Lab. report Specifications, Concerned EE In process, on Const. Design and and EE-QA completion Mgmt. Drawings Manuals SUPDT., EE, SE AE, In process, on completion Procedure No.: QMS/PM/QP-10/Asset Acquisition and Management Controlled Document Ref. Doc/ Formats Page No. : QP/10-4 Issue 01, Rev 00 Quality Management System Procedure Manual for Himachal Pradesh public works department 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) COATING SHOULDER SHOULDER BASE SUB-BASE SUB-GRADE EMBANKMENT ///////// ///////// 10.12. Typical process for maintenance of roads illustrated below. EXAMN MATERIALS IDENTIFICATION OF DEFECTS MANPOWER INSPECTION AND APPROVAL TOOLS AND EQUIPMENT Procedure No.: QMS/PM/QP-10/Asset Acquisition and Management Controlled Document Page No. : QP/10-5 BUDGET RESOURCE PROVISION EXECUTION Issue 01, Rev 00 Quality Management System Procedure Manual for Himachal Pradesh public works department 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 Procedure No.: QMS/PM/QP-10/Asset Acquisition and Management Controlled Document Page No. : QP/10-6 Issue 01, Rev 00 Quality Management System Procedure Manual for Himachal Pradesh public works department c) Measurement of : side drains, shoulder At one metre below formation level depth and cross at 200m intervals. drains and turnouts (d) Corrugations : (e)Gradient (longitudinal) : (f) Camber and Cross fall : (g) Pot holes : (h) Rutting : (i) Loss of materials : (j) Cracking : Mean of 200m interval reading. If by visual checking the corrugations are more, the assessment shall be at 50m intervals. As per IRC Measured with a camber template on both sides of centre of road. Numbers in 200m of the road; percentage area are also calculated. Mean value of wheel tracks, measured by graduated measuring wedge and straight edge. Thickness of macadam layer checked at 15m intervals at three random points of road. 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……………………….. Procedure No.: QMS/PM/QP-10/Asset Acquisition and Management Controlled Document Page No. : QP/10-7 Issue 01, Rev 00 Quality Management System Procedure Manual for Himachal Pradesh public works department 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……………………….. Procedure No.: QMS/PM/QP-10/Asset Acquisition and Management Controlled Document Page No. : QP/10-8 Issue 01, Rev 00 Quality Management System Procedure Manual for Himachal Pradesh public works department (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 Procedure No.: QMS/PM/QP-10/Asset Acquisition and Management Controlled Document Page No. : QP/10-9 Issue 01, Rev 00 Quality Management System Procedure Manual for Himachal Pradesh public works department 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. Sl. No. 1. 2. 3. Roads : Items Pot hole filling WBM. Pot hole filling BT. Edge correction. AprJun JulySep X OctDec X X X X 4. Dressing of berms. X X 5. 6. 7. 8. Jungle Clearance. Re-Fixing road signage boards. Re-painting road signage boards. Pruning road side trees. X X X X X X X X X X Procedure No.: QMS/PM/QP-10/Asset Acquisition and Management Controlled Document Page No. : QP/10-10 Jan- Remarks Mar X X X X X Issue 01, Rev 00 Quality Management System Procedure Manual for Himachal Pradesh public works department Sl. No. 9. 10. 11. 12. Items Removal of encroachments. Removal of unauthorized hoardings. Removing and re-fixing of Hectometer /KM/ / 5 km/Guard stones Re-painting of Hectometer /KM/ / 5 km/Guard stones AprJun X X JulySep X X OctDec X X X X X X X X X X X 13. Longitudinal/Catch drains X X 14. 15. Shoulder drains Re-painting of Road marking X X X Jan- Remarks Mar X X Note: X –Recommended period for activity B. Sl. No. 1. 2. 3. 4. 5. 6. 7. Bridges : Items Cleaning and repairs of Bridge/ CD proper. Repair/replacement of bearings and expansion joints. River/Drain training and Clearing the vents. Repairs to approaches / Embankments. Repairs to aprons. White washing/Painting Parapets /Handrails. Repair of damaged CDs. Electrical repairs. vi. AprJun JulySep OctDec JanMar. X X X X X X X X X X X X X X X X X X X X X Remarks Typical Routine Inspection Card Inspected by: _________________ SH Name and No: ___ Date: MDR Name and No:__________ Km chainage ______________ Sl. No. 1. 2. 3. Particular action to be taken Jungle Clearance Side drains Shoulder and Edge - Correct camber - Correct Edges Chainage - KM 101 100 KM102 Procedure No.: QMS/PM/QP-10/Asset Acquisition and Management Controlled Document Page No. : QP/10-11 KM 103 KM 104 Issue 01, Rev 00 Quality Management System Procedure Manual for Himachal Pradesh public works department Sl. No. 4. 5. 6. 7. Particular action to be taken - Pot holes - Erosion cuts - Rain cuts Carriageway- Fill patches - Fill pot holes - Grit for bleeding - Renewal needed CD Works Encroachment details Road furniture- Sign boards - Km and Hectometer Stones - Pavement markings - Speed Breaker Chainage - KM 101 100 KM102 KM 103 KM 104 Accepted by: _________________ Urgent e) Special attention Routine attention Good 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 Sand content Plasticity Density Deleterious content Moisture content CBR test INDIAN STANDARDS (IS) IS 2720 (Pt 4) IS 2720 (Pt 5) IS 2720 (Pt 8) IS 2720 (Pt 27) IS 2720 ( Pt 2) IS 2720 (Pt 16) Procedure No.: QMS/PM/QP-10/Asset Acquisition and Management Controlled Document Page No. : QP/10-12 Issue 01, Rev 00 Quality Management System Procedure Manual for Himachal Pradesh public works department 3. Compact control (one sample / 1000 sqm of compacted area) Gradations Moisture content Density of Layer (Granular) CBR AIV, FIV i. 1/200 cu metre 1/200 sq metre 1/500 sq metre 1/200 cu metre For Bituminous works Sl. No. 1. Material Requirements Type of surface Samples Quality of binder surface coating dressing Prime/TAC/ BODk/Seal Coatings and Surface dressing All types, except WBM WBM DBM/SDBC Two/lot 2. Application temperature 3. Aggregates 4. 5. Aggregates Mix stability 6. Temperature Control of binder and BM/SDBC/BC aggregates for mixing Binder control and Mix gradation DBM/SDBC/BC Compact density DBM/SDBC/BC 7. 8. (a). Fine aggregate (sand) Tests and Requirements [1S 383] Regular intervals One test/25 CM Two tests/day One/100 cumetre Three samples / 400 tonnes Periodic Two tests/day, Min One/250 sqm area Samples IS 2386(Pt I to VIII) 100% Fineness module Not less than 2.0 - Not greater than 3.5 Procedure No.: QMS/PM/QP-10/Asset Acquisition and Management Controlled Document Page No. : QP/10-13 Issue 01, Rev 00 Quality Management System Procedure Manual for Himachal Pradesh public works department (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 iii. 2% Max. 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) max 15 cm -- 50 – 140m, 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-10/Asset Acquisition and Management Controlled Document Page No. : QP/10-14 Issue 01, Rev 00 Quality Management System Procedure Manual for Himachal Pradesh public works department 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. 11.4. Responsibility SE, EE and all field staff 11.5. Abbreviations and Definitions 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 Construction materials Best construction practices Source Local market, approved suppliers 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 Sub Division/Division /Circle, and adjoining land use conditions and population Procedure No.: QMS/PM/QP-11/Construction Safety Controlled Document Issue 01, Rev 00 Page No. : QP//11-1 Quality Management System Procedure Manual for Himachal Pradesh public works department Process Inputs Source Equipment and processes to be employed during construction Manufacturers’ User manuals and Sub Division /Division/Circle guidelines for use of equipment and machinery Completion report Safety Norms, Technical journals, Codes of Practices (ISS), MOSRTH guidelines 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.). 11.8. Process Monitoring and Measurement Process Review Parameters Handling and storage Code of practice for all building materials Stacking, storage at site Stacking of materials Acceptance CriteriaCompliance to IS 7969:1975 4082: 1977 Procedure No.: QMS/PM/QP-11/Construction Safety Controlled Document Issue 01, Rev 00 Page No. : QP//11-2 Quality Management System Procedure Manual for Himachal Pradesh public works department Process Review Parameters Excavation Safety practicesTrenches, side wall protection Code for pile and deep foundation for high rise buildings Code for Scaffolding, Code for ladders Steel scaffoldings Brick work Plain and reinforced concrete Concrete framed structures Openings, toe boards, railings Foundations Form work Masonry Concrete Structures Wall and floor construction Steel work Demolition Hot Bitumen usage Erection practices Bending and fixing of bars Code of safety Code for handling and storage Acceptance CriteriaCompliance to IS 3764:1966 5121:1969 2911(Pt 1/Sec 1-4), 2911(Pts II,III IV) 3696(Pt 1):1966 3696(Pt 2):1966 2750:1974 2212:1962 456:1978 8989:1978 4912:1978 800:1984,806:1968 7205:1974 2502:1963 4130:1976 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. Procedure No.: QMS/PM/QP-11/Construction Safety Controlled Document Issue 01, Rev 00 Page No. : QP//11-3 Quality Management System Procedure Manual for Himachal Pradesh public works department • 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. Procedure No.: QMS/PM/QP-11/Construction Safety Controlled Document Issue 01, Rev 00 Page No. : QP//11-4 Quality Management System Procedure Manual for Himachal Pradesh public works department Appendix 11.1 : Role of Organizations in Safety Sl. No. 1. Safety Requirement Responsibility Role of Contractors and Sub-Contractors for Safety EE / AE / JE/ Site Engineer In-charge 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. Procedure No.: QMS/PM/QP-11/Construction Safety Controlled Document Issue 01, Rev 00 Page No. : QP//11-5 Quality Management System Procedure Manual for Himachal Pradesh public works department Sl. No. 2. Safety Requirement Responsibility To fulfill the construction scope for quality, in time EE / AE / JE/ Site Engineer and under safe conditions within a reasonable cost, In-charge 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 EE / AE / JE/ Site Engineer Correct Attitudes towards Safety at Construction In-charge 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 EE / AE / JE/ Site Engineer In-charge Procedure No.: QMS/PM/QP-11/Construction Safety Controlled Document Issue 01, Rev 00 Page No. : QP//11-6 Quality Management System Procedure Manual for Himachal Pradesh public works department Sl. No. 5. 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. Provide Proper and Correct Personal Protective EE / AE / JE/ Site Engineer Equipment (PPE) to Construction Workers on In-charge 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 Procedure No.: QMS/PM/QP-11/Construction Safety Controlled Document Issue 01, Rev 00 Page No. : QP//11-7 Quality Management System Procedure Manual for Himachal Pradesh public works department Sl. No. 6. 7. 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. 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? 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 EE / AE / JE/ Site Engineer In-charge EE / AE / JE/ Site Engineer In-charge Procedure No.: QMS/PM/QP-11/Construction Safety Controlled Document Issue 01, Rev 00 Page No. : QP//11-8 Quality Management System Procedure Manual for Himachal Pradesh public works department 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 . Procedure No.: QMS/PM/QP-11/Construction Safety Controlled Document Issue 01, Rev 00 Page No. : QP//11-9 Quality Management System Procedure Manual for Himachal Pradesh public works department Sl. No. 8. Safety Requirement Responsibility 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 EE / AE / JE/ Site InCharge 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. Procedure No.: QMS/PM/QP-11/Construction Safety Controlled Document Issue 01, Rev 00 Page No. : QP//11-10 Quality Management System Procedure Manual for Himachal Pradesh public works department 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 12.4. Responsibility CMU’s/ Division/ Sub-division including their Finance department, Finance wing 12.5. Inputs Process inputs Source Planning Review criteria • Expenditure Details CMU Quarterly reporting Financial monitoring Reports • Funds in form of grants • Micro Plan to RRO World Bank Quarterly FMR NGO As required Contractor Periodic Verification by RRO Measurement books, contract agreement, quality reports • Periodic bills running Ref. Doc/ Format 12.6. Process Sr. No. E. 16. Activity Responsibility Ref. Doc/ Format Estimation 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) Procedure No.: QMS/PM/QP-12/Financial Management Controlled Document Page No. : QP//12-1 Issue 01, Rev 00 Quality Management System Procedure Manual for Himachal Pradesh public works department Sr. No. 17. Activity Responsibility Two types of budgets are being prepared: PD Ref. Doc/ Format 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. Detailed budgets are being prepared by the EE concerned CMU’s for the works to be executed and the same is forwarded to the Project Director for its verification and compilation. Necessary budgetary provisions are also made PD 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. The consolidated budget is then forwarded to PD the State Government for making necessary provisions in the State budget. The State Government makes the necessary provisions and releases the funds physically to HPRIDC in a separate bank account The Government of Himachal Pradesh follows a back to back arrangement and makes the fund available to HPRIDC. 18. 19. 20. 21. 22. F. Grant of funds 23. Normally, HPRIDC receives the funds from GM State Government of the following nature: . . 24. 25. 26. Expenditure Grants: For maintenance and up-gradation of roads Capital Grants: Asset related grants In both the above mentioned cases, grants will GM be deposited in the designated account with the bank. The accounts are then debited and Unutilized Grants are then credited. On completion of the work, the unutilized grant GM to that extent is set off while the capital reserve is being credited. In case of land acquisition the compensation GM for the land acquired is being paid by the State Procedure No.: QMS/PM/QP-12/Financial Management Controlled Document Page No. : QP//12-2 - Issue 01, Rev 00 Quality Management System Procedure Manual for Himachal Pradesh public works department Sr. No. Activity Responsibility Ref. Doc/ 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. 27. 28. 29. 30. 31. H. 32. Maintenance of Funds HPRIDC shall be fully responsible for maintenance of all the necessary project financial information in a computerized accounting software e.g Tally. 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. 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. Proper books of accounts are being maintained and a double entry system is followed of book keeping and accrual basis of accounting All the accounts will be maintained on Tally software version 7.2 at H.O only. GM GM GM GM GM - Mobilization of funds HPRIDC has identified five type of GM 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 HPRIDC follows an internal control mechanism GM to ensure that the same person will not process/ approve and make payments. The contractor is required to submit the GM 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 ¾ ¾ ¾ ¾ ¾ 33. 34. Procedure No.: QMS/PM/QP-12/Financial Management Controlled Document Page No. : QP//12-3 Issue 01, Rev 00 Quality Management System Procedure Manual for Himachal Pradesh public works department Sr. No. 35. 36. 37. 38. 39. 40. 41. 42. 43. 44. 45. Activity Responsibility 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. The H.O will then get the expenditure sanctioned from the appropriate authority before releasing the payment. 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. In case of advance has to be paid, the advance applications/ bills shall be approved by the appropriate authority. Reconciliation of advance given to contractors shall be done on monthly basis. 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. 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. HPRIDC maintains a separate fixed assets and capital work in progress registers related to roads (Refer Annexure Proper vouchers for all cash receipts, cash payments, Bank receipts etc shall be prepared in serial order for accounting transactions. No payment shall be made unless the Quality Control Test Report confirms the work as satisfactory. To make sure that Quality Management System requirements are established, maintained and implemented throughout financial management of project in financial wing of HPRIDC. GM GM GM GM GM GM - GM GM GM GM AMR Procedure No.: QMS/PM/QP-12/Financial Management Controlled Document Ref. Doc/ Format Page No. : QP//12-4 Issue 01, Rev 00 Quality Management System Procedure Manual for Himachal Pradesh public works department 12.7. Outputs Balance Sheet, Income expenditure account, compilation of liabilities and book of accounts Description To Actions Ref.Doc/ Format Audit Balance Sheets Balance Sheet GOHP Annual Income & Expenditure account Concerned CMU/ Division /Sub Division GOHP Annual Division At specified intervals Detailing and consolidation of the liabilities for the year Book of Accounts Quarterly Routine Inspection card 12.8. Process Monitoring and Measurements Review parameters Internal audit Reports Financial monitoring Reports Project Financial Statements Acceptance criteria Responsibility Checking Audited Financial statements uploaded on websites GM Half yearly Financial statements of all projects Dy Mgr Quarterly Dy Mgr Yearly Ref.Doc/ Format 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] Procedure No.: QMS/PM/QP-12/Financial Management Controlled Document Page No. : QP//12-5 Issue 01, Rev 00 Quality Management System Procedure Manual for Himachal Pradesh public works department Annexure 7.1. Fund Flow World Bank Govt. of India CAAA Finance Department GOHP GOHP Share Public Works Department (PWD), GOHP FMR 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 Procedure No.: QMS/PM/QP-12/Financial Management Controlled Document Page No. : QP//12-6 Issue 01, Rev 00 Quality Management System Procedure Manual for Himachal Pradesh public works department Annexure 7.2. Balance Sheet Liabilities Share Capital Previous Year Current Year Assets Previous Year Fixed Assets (including capital work in progress) Investments Current Assets, loans and Advances Misc. Expenditure (To the extent not written off or adjusted) Reserves and surplus Grant and Subsidies (Unutilized) Secured Loans Unsecured Loans Current Year Current Liabilities & Provisions Accounting Policies, Contingent liabilities and Notes on account form an integral part of the Balance Sheet Total Total General Manager Director Procedure No.: QMS/PM/QP-12/Financial Management Controlled Document Issue 01, Rev 00 Page No. : QP//12-7 Managing Director Quality Management System Procedure Manual for Himachal Pradesh public works department Annexure 7.3. Income & Expenditure Account as at 31st March Particulars Establishment Expenses Share Capital Amenities to staff C.P.F & allied expenses Administrative Expenses Telephone Expenses 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 Current Year Previous Year Particulars Current Year Interest received on deposits Security/ Earnest money forfeited Depreciation trfd. To capital reserves Extra Ordinary Items Grant aid received from the Govt Total Procedure No.: QMS/PM/QP-12/Financial Management Controlled Document Issue 01, Rev 00 Page No. : QP//12-8 Previous Year Quality Management System Procedure Manual for Himachal Pradesh public works department 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) Procedure No.: QMS/PM/QP-12/Financial Management Controlled Document Page No. : QP//12-9 Issue 01, Rev 00 Quality Management System Procedure Manual for Himachal Pradesh public works department Annexure 7.5. Quarterly Interim Un-audited Financial Report – (Project Activities) Project Expenditure Bank Funding Bank share Share % Particulars Forecast 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) Procedure No.: QMS/PM/QP-12/Financial Management Controlled Document Page No. : QP//12-10 Issue 01, Rev 00 Quality Management System Procedure Manual for Himachal Pradesh public works department 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 Procedure No.: QMS/PM/QP-12/Financial Management Controlled Document Page No. : QP//12-11 Issue 01, Rev 00 Quality Management System Procedure Manual for Himachal Pradesh public works department Annexure 7.7. Summary Sheet Category/ Number Actual Expenditure For the Reimbursable Reimbursable quarter %age Amount For next two quarters Forecast Reimbursable Reimbursable %age Amount Expenditures by components Periodic Maintenance Road Works 20 % Land Acquisition/ Other 0% Upgrading works, consultancy services, goods, and others 90 % Total Uses Procedure No.: QMS/PM/QP-12/Financial Management Controlled Document Page No. : QP//12-12 Issue 01, Rev 00 Quality Management System Procedure Manual for Himachal Pradesh public works department Annexure 7.8. Project Cost Monitoring – For Post Review Contracts Contract No Contract Description Supplier/ contractor/ consultant Contact Award date Category (Worked/ services/ goods) Procurement method Contract Price Million Million US$ INR Bank Financing Ratio (%) Cost during this quarter Actual Planned Million INR Procedure No.: QMS/PM/QP-12/Financial Management Controlled Document Million US$ WB share Million INR Million US$ Issue 01, Rev 00 Page No. : QP//12-13 Actual as % of planned Cumulative Cost Actual to date Planned to date To Last quarter Million INR Million US$ Million INR Million US$ WB share Million INR Million US$ Actual as % of planned Quality Management System Procedure Manual for Himachal Pradesh public works department Annexure 7.9. Book of Accounts The set of books of accounts/ statements maintained by the HPRIDC shall be as follows: Sr. No 1 2 3 4 Title Bank Reconciliation Statement Fixed Assets Register Civil work in progress register Chart of Accounts Periodicity for preparation Monthly On each transaction On each transaction As per the Tally format Procedure No.: QMS/QP-11/Construction Safety Issue 01, Rev 00 Controlled Document Page No. : QP/12-14