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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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).
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Procedure Manual for
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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
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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]
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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.
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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.
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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.
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Quality Management System
Procedure Manual for
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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
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Sl.
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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
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Quality Management System
Procedure Manual for
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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)
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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: __________________
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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
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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:
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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)
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Procedure Manual for
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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
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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
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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
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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.
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Procedure Manual for
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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.
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Procedure Manual for
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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.
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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).
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Procedure Manual for
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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
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Procedure Manual for
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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
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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
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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.
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• Unhindered flow of work.
• Potential References.
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Quality Management System
Procedure Manual for
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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)
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Procedure Manual for
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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
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Procedure Manual for
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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.
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Procedure Manual for
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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
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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
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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
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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
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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
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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
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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
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Ref. Doc/
Formats
Annexure
8.4
Issue 01, Rev 00
Quality Management System
Procedure Manual for
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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).
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Procedure Manual for
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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
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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
-
-
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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
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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
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Formats
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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
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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
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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
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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
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Quality Management System
Procedure Manual for
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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
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Procedure Manual for
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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
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Quality Management System
Procedure Manual for
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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
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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
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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
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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.
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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
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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:
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Procedure Manual for
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•
•
•
•
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
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Quality Management System
Procedure Manual for
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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.
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Quality Management System
Procedure Manual for
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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
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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.
.
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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
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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
-
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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
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(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
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Formats
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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
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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).
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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
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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
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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.
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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
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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.
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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.
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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
-
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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.
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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
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Procedure Manual for
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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
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Procedure Manual for
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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
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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
-
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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
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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
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Ref.
Doc/
Formats
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Procedure Manual for
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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
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RESOURCE
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Procedure Manual for
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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
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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………………………..
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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………………………..
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(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
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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
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Jan- Remarks
Mar
X
X
X
X
X
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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
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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)
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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
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(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
.
.
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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
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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
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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.
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• 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.
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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.
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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