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PUBLIC WORKS DEPARTMENT Government of Uttar Pradesh, India

UTTAR PRADESH STATE ROADS PROJECT Under IBRD Loan No. 4684-IN

Technical Assistance for Implementation of Institutional Reforms in the Road Sector of Uttar Pradesh

SUGGESTION ON IMPLEMENTING (IN CONJUNCTION WITH NEW TRAINING / HRD CELL) ON-GOING PWD

WIDE PROJECT QUALITY MANAGEMENT TRAINING (FINAL)

Report No. 30

January 2008

LEA International Ltd., Canada in joint venture with

LEA Associates South Asia Pvt. Ltd., India in association with

Ministry of Transportation of Ontario, Canada

Technical Assistance for Implementation of Institutional Reforms in Road Sector of Uttar Pradesh Report No. 30

January 2008 i

TABLE OF CONTENTS 1. BACKGROUND............................................................................................................................... 1

2. MANDATE OF PWD WITH RESPECT TO QUALITY MANAGEMENT ......................................... 2

3. PRESENT PRACTICES AND PROCESSES.................................................................................. 3 3.1 UTTAR PRADESH ROAD DEVELOPMENT POLICY 1998............................................... 3 3.2 ADOPTION OF ISO 9000 ................................................................................................... 3 3.3 CURRENT STATE OF PRACTICE IN PWD INCLUDING TESTING FACILITIES............. 3 3.4 DESIGN, STANDARDS AND QUALITY ASSURANCE ..................................................... 4 3.5 QUALITY AUDIT................................................................................................................. 6

4. SUGGESTED FRAMEWORK OF QUALITY MANAGEMENT IN PWD......................................... 9 4.1 SCOPE OF QUALITY MANAGEMENT IN PWD ................................................................ 9 4.2 ESTABLISHMENT OF DEDICATED QUALITY MANAGEMENT UNIT AT HQ AND ITS

FUNCTIONS ....................................................................................................................... 9 4.2.1. Proposed Equipment for Laboratories ................................................................. 10

5. PAST TRAINING EFFORTS ON QUALITY MANAGEMENT....................................................... 11 5.1 TRAINING COURSES ORGANISED IN UP: ‘IN HOUSE’................................................ 11

5.1.1. Uttar Pradesh Academy of Administration and Management (UPAAM), Aliganj, UP ........................................................................................................... 11

5.1.2. Research Institute and Quality Promotion Organisation, UP PWD ..................... 12 5.2 OUTSOURCED TRAINING PROGRAMMES................................................................... 13

6. TRAINING NEED ON QUALITY MANAGEMENT ........................................................................ 15 6.1 TRAINING NEEDS ASSESSMENT (TNA) SURVEY ....................................................... 15

6.1.1. Findings of TNA ................................................................................................... 16 6.2 QUALITY MANAGEMENT SKILLS REQUIRED .............................................................. 17

6.2.1. Training Requirements for Specialist Quality Management Personnel ............... 17 6.2.2. Training Requirements for Implementation of ISO 9000 (Category I) ................. 20 6.2.3. Training Requirements for Implementing Engineers (Category II) ...................... 22 6.2.4. Training Requirements for Technical Personnel of Zonal and District Laboratories

(Category III) ........................................................................................................ 23 6.3 TOPICS TO BE COVERED IN QUALITY MANAGEMENT.............................................. 23

7. TRAINING PLAN FOR QUALITY MANAGEMENT AND ITS IMPLEMENTATION..................... 25 7.1 LEVELS OF COMPETENCY REQUIRED FOR VARIOUS DESIGNATIONS.................. 25 7.2 LEVELS OF TRAINING NEEDED TO BRIDGE THE COMPETENCY GAPS ................. 26 7.3 BROAD CONTENTS OF TRAINING ................................................................................ 27 7.4 TRAINING PROVIDERS................................................................................................... 29 7.5 CUSTOMISED TRAINING PROGRAMMES FOR UP PWD ............................................ 30 7.6 PRIORTISATION OF TRAINING...................................................................................... 31


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7.7 SUGGESTED TRAINING PLAN AND IMPLEMENTATION STRATEGY ........................ 31 7.7.1. Training Plan for Category I Personnel................................................................ 32 7.7.2. Implementation Strategy for training of Category I Personnel............................. 32 7.7.3. Training Plan for Category II Personnel............................................................... 33 7.7.4. Implementation Strategy for Training of Category II Personnel Through In-House

Training ................................................................................................................ 33 7.7.5. Training Plan for Category III Personnel (Technicians / Testing Personnel)....... 33 7.7.6. Implementation Strategy for Training of Category III Personnel.......................... 34

8. PRESENTATION TO PROJECT STEERING COMMITTEE......................................................... 35

LIST OF TABLES Table 1: Training Programme for PWD Officers for the Year 2002-2003................................................... 12 Table 2: Details of Training Programmes Organised by NITHE During 2003 ............................................ 14 Table 3: Proficiency Level by Designation in Area of Quality Management ............................................... 16 Table 4: Expected Level of Competencies of Officers by Rank and Module.............................................. 26 Table 5: Training Needs by Module and Level Based on the Existing Levels of Competency Derived from

the TNA ........................................................................................................................................ 27 Table 6: Areas of Training, Broad Contents / Course Headings................................................................. 27 Table 7: Training Providers Within Uttar Pradesh ...................................................................................... 29 Table 8: Training Providers Outside Uttar Pradesh but Within India .......................................................... 30 Table 9: Specialist QM Course for (Category I) .......................................................................................... 32 Table 10: Suggested Annual Training Plan for Next 3 Years ..................................................................... 33

ANNEXURES Annexure A: Course Curriculum of PWD Annexure B: Competency Levels of officers (TNA Findings) Annexure C: Training Calendar of NITHE 2007-2008

Glossary

ADB Asian Development Bank NICMAR National Institute of Construction Management and Research

ADT Average Daily Traffic ODR Other District Road

AE Assistant Engineer PCC Project Coordinating Consultant

ACR Annual Confidential Report PCI Pavement Condition Index

CBR California Bearing Ratio PMS Pavement Management System

CC Cement Concrete PMGSY Pradhan Mantri Gram Sadak Yojana

CE Chief Engineer PWD Public Works Department

CEO Chief Executive Officer QA Quality Assurance

CRRI Central Road Research Institute QC Quality Control

CSR Civil Service Reforms QM Quality Management

DBC Dense Bitumen Concrete R&BD Roads and Buildings Department

EE Executive Engineer RMMS Road Maintenance Management System

E-in-C Engineer in Chief SDBC Semi Dense Bitumen Carpet

ESCI Engineering Staff College of India SE Superintending Engineer

GO Government Order SH State Highway

GOI Government of India SRF State Road Fund

GoUP Government of Uttar Pradesh SRP-II State Road Project-II

HDM Highway Design Model TA Technical Assistance

HGV Heavy Goods Vehicle TCE Tata Consulting Engineers

HO Head Office ToR Terms of Reference

HQ Head Quarter TNA Training Needs Assessment

HR Human Resource TQM Total Quality Management

HRD Human Resource Development UP Uttar Pradesh

IBRD International Bank for Reconstruction and Development UPSRP Uttar Pradesh State Road Project

IDS Institutional Development Strategy UPSHA Uttar Pradesh State Highway Authority

IDSP Institutional Development And Strengthening Plan UNDP United Nations Development Programme

IRC Indian Road Congress VOC Vehicle Operating Cost

IT Information Technology VR Village Roads

ISAP Institutional Strengthening Action Plan WB World Bank

ISO International Organisation for Standardisation WBM Water Bound Macadam

JE Junior Engineer

MDR Major District Roads

MLA Member of Legislative Assembly

MIS Management Information System

MOST Ministry of Surface Transport

MoSRTH Ministry of Shipping, Road Transport & Highways

MoRTH Ministry of Road Transport and Highways

MSS Mixed Seal Surface

NABARD National Bank of Agricultural and Rural Development

NITHE National Institute for Training of Highway Engineers

NH National Highway

NHAI National Highways Authority of India


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1. BACKGROUND

The TCE Consulting Engineers, carried out a Policy Support and Institutional Development study in 2000-2002. During their review it was found that ‘quality of works’ was relegated to the bottom of the priority, mainly because of the emphasis on timely completion of projects and also due to lack of transparency in the monitoring system. Furthermore, ‘inadequate supervision to oblige contractors to produce adequate quality work resulted in poor quality work.’

This prompted the TCE consulting Engineers to recommend that:

“The Quality cell in the Department should independently test/audit the quality of Works during construction “and that

“Construction process to be strengthened by introducing new technologies, systematic construction supervision and independent quality audits and controls.”

The Government of Uttar Pradesh endorsed the above recommendation, and included in the present contract with the TA Consultants for Institutional Development and Strengthening Plan (IDSP) as a part of item 4B of Annex II, the following:

1. Establish quality management framework and dedicated HQ unit and resources.

2. Implement (in conjunction with new training / HRD Cell) ongoing PWD project quality management training

The first item above has been dealt with in Report No 19, submitted in November 2006 with item [2] being addressed in Report No. 4 which was also submitted in November 2006.

This Report, therefore, focuses on the implementation of quality management training in conjunction with the new Training / HRD Cell. It is understood that the HRD / Training Cell will be established shortly, and will take into account the recommendations contained in Report No 36, ‘To provide a program for PWD training for skill enhancement based on Training Needs Assessment’, implementation. Report No 36, deals with the training needs requirement and the contents of the subjects required to be dealt with.

This report deals with the plan for the Quality Management training to be organised by the HRD and Training Cell.


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2. MANDATE OF PWD WITH RESPECT TO QUALITY MANAGEMENT

Quality Management includes all activities that managers undertake in the quest to implement the policy on quality. These activities include:

• Quality Planning

• Quality Control

• Quality Assurance

• Quality Audit, and

• Quality Improvement.

In this context, the mandate of PWD with respect to Quality Management, as has been brought out in several studies, policies and present practices, which are mentioned in brief in the following Sections.


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3. PRESENT PRACTICES AND PROCESSES

3.1 UTTAR PRADESH ROAD DEVELOPMENT POLICY 1998

Report No. 19 has identified the present practices and processes followed by PWD with regard to Quality Management. In the Uttar Pradesh Road Development Policy 1998, one of the objectives is “to keep the roads free of potholes and patches all the time by continuously maintaining and repairing them”, and another, “to ensure quality in construction and maintenance of roads.” Furthermore, one of the salient features of the Policy is that, “latest techniques will be used for construction of roads and bridges.” However, an examination of these objectives indicates that these are far from being realised and that in many instances the necessary policy and procedures are lacking. Even where such policy does exist it would appear that implementation is lacking.

3.2 ADOPTION OF ISO 9000

Report No. 19 also emphasised the need to use standards, such as ISO 9000, for effective quality management systems that are dynamic and able to adapt, and/or change, to meet the needs, requirements, and expectations of customers or users. Effective organisations use standards such as ISO 9000 to provide guidance for the establishment of their quality management system’s structure, the maintaining of records and, the use of quality techniques to improve processes and systems.

3.3 CURRENT STATE OF PRACTICE IN PWD INCLUDING TESTING FACILITIES

Report 19 also established that the PWD has not been exposed to the modern concept of a formally organised quality management system that encompasses all activities of the department. The only mention that ‘quality’ finds in the Department’s activities is in connection with construction and maintenance. Detailed specifications of PWD were last revised in 1974, with the Maintenance Manual being prepared in 1984, neither of which appear to be in force or withdrawn.

In the 1980’s, PWD did have an organised quality control and testing programme in place. The Research Institute at Lucknow was equipped to carry out all soils, aggregate, hot mix asphalt and concrete testing. Each zone headquarters also had a testing laboratory, headed by a Research Officer. The zonal laboratory carried out the testing of samples from work being undertaken within the districts in the zone. If the workload warranted, then additional field laboratories were also set up at specific job sites, based on instructions from the Director of Research or the Chief Engineer of the Zone. These were manned by an Assistant Research Officer or a Junior Engineer from Research Institute. The funding for the equipment was provided from the pooled budget or by the Executive Engineer. These zone and field laboratories were equipped to carry out basic soils, aggregate and bituminous material tests. Concrete strength testing was available only at Meerut, Varanasi and Lucknow. Marshall mix design testing of Job Mix Formulae was only undertaken at Lucknow. A one percent cost provision for quality control was made with every construction project in order to defray the costs associated with this activity.


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In 1982, and at the insistence of the Government of India, a Quality Promotion Cell was created within PWD. The Director of Research was entrusted with its responsibility, but, whilst this Cell is still in existence today, its effectiveness is questionable.

The test equipment currently in use at the district, zone and central laboratories is old and outdated. Due to budgetary constraints no new equipment has been purchased for many years. According to the IDS conducted by TCE, the morale of junior staff is low, due to stagnation, which has further resulted in some hostility and indiscipline. The hasty completion of work, dilution of standards due to lack of funds, untrained contractor staff, inadequate facilities, shortage of available funds have all lead to a poor quality of testing and is ultimately reflected in the quality of work.

Out of seventy districts, forty eight are said to have laboratories. The quality of these laboratories is reported to be diverse. One of the better district laboratories visited was equipped to carry out the following tests:

• Sieve analysis (125 mm to 75 micron)

• Liquid limit

• Plastic limit

• Sand replacement density

• Proctor density

• Aggregate impact value

• Bitumen content

The laboratory itself was housed in a small room which was used for the storing of equipment rather than the carrying out the tests. There was no facility to test the bitumen being delivered to site. This testing was done at the Central Laboratory in Lucknow and took at least six week, thus negating the whole purpose of testing.

3.4 DESIGN, STANDARDS AND QUALITY ASSURANCE

Within Report No. 19 it is also mentioned that the concept of quality management encompasses all activities of the department ranging from planning, programming, design and execution to maintenance.


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(a) Design – Current Status of PWD

The process leading to the design of work in PWD involves the following steps:

Preliminary Cost Estimate

Administrative Approval

Expenditure Sanction

Design and Detailed Cost Estimate

Technical Sanction

A formal process detailing the above sequence of steps supposedly exists, although it is often flouted.

There is no pavement rating system in place, nor any criteria which would trigger a project and indicate the appropriate course of action to be undertaken. The last Maintenance Manual was issued in 1984 and is of little relevance today. This is a glaring and serious shortcoming.

Normally, a project is initiated at the divisional level and the executive engineer in charge is responsible for preparing the design and cost estimate. All design work is carried out ‘in house’ at the divisional office. There are no standard drawings, design manuals or guidelines for this. Designs are undertaken in accordance with basic engineering principles with the engineer being free to choose any methodology he wishes. With the division being required to conduct all necessary investigations and surveys using its own internal resources, little or nothing is done. There is no further check or review of the design for its appropriateness or quality. Moreover, even the competence of the designer may be in question, since design requires certain specialised knowledge and without proper training, not everyone is necessarily equipped to undertake such exercise. There is no policy, specialised staff, programme or, oversight system, for design.

Maintenance and rehabilitation design work is carried out in divisional offices. The design of structures of more than 30 metres in length is undertaken by the UP State Bridge Corporation. Design of major works, such as new links and upgrading is generally outsourced to external consultants.

(b) Standards – Current Status of PWD

As noted earlier, there are no standard drawings, design manuals or guidelines in PWD. The detailed specifications of PWD were last revised in 1974. The Schedule of Rates dates back to an even older time, namely, 1969. These documents officially exist and are, therefore, in force, but are, nevertheless, obsolete.

There is clearly a significant lack of standards at every stage, be it planning, programming, design, construction or maintenance.


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(c) Quality Control/Quality Assurance – Current Status of PWD

There is no formal quality control/quality assurance process ‘in place’ for the execution of State contracts. For World Bank aided projects executed by PWD, however, quality control by the contractor and quality assurance by a supervision consultant seems to be the norm. For PMGSY projects, it is understood that contractors do set up laboratories and adhere to the quality control requirements and the conditions stipulated in the contract specifications but this does need to be verified.

In an attempt to increase the quality awareness within PWD, a Quality Promotion Cell was created in 1982. The Cell is apparently still in existence, although its effectiveness remains questionable.

3.5 QUALITY AUDIT

Quality Audit is an integral part of Quality Management System and has undergone tremendous transformation in its scope and implementation. Though it is carried out by an establishment which is independent of and removed from the one responsible for Quality Control / Assurance, an understanding of it will add to the knowledge of Quality Management System.

Audits are required to determine whether any deficiencies exist between actual performance and desired results, and are designed to appraise the activities, practices, records and /or policies of an organisation. They determine whether an organisation has the ability to meet or exceed any standards that have been set.

Quality management and the subject of Report No. 19, relates to all those activities which are desired or put in place with the intention of ensuring the achievement of a level of quality. Quality audit, and the subject of Report No. 33, on the other hand, refers to the procedural controls or systematic examination of a quality system that ensures that the participants follow the required procedures identified. Whilst both quality management and quality audit are related, they are not the same, and should not be confused with each other. As a part of quality management, every organisation should have well-defined and comprehensive procedures by which their product or service can be delivered at the desired level of quality, consistently.

For example, an organisation like PWD which is engaged in the primary business of road construction and maintenance should have documents and procedures detailing pre-engineering activities, such as: survey control stations and setting out points; design approach; applicable codes; special design specifications; methods of analysis; calculations; checking and internal approvals; final drawings; methodology for the execution of work; testing; inspection and certification of materials; test frequency; test methods; test records; assessment and analysis; method statements including acceptance tolerances of workmanship; inspection proforma, etc. In total, the above constitutes the quality system. The quality audit should objectively evaluate the extent of compliance with the quality system and its effectiveness.

The various aspects of a Quality Audit, as applicable to a PWD project are:


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a) Project Planning. This is the initial stage of a project which can have an impact on every stage of the project thereafter, such as overall cost of works, duration etc., and it is, therefore, important that the following steps are documented:

• Collection of data, adequacy and accuracy of data.

• Data interpretation; solutions based on codes and practices, taking into account relevant local and past experience. .

• The alternatives being considered.

• Review prior to finalisation.

b) Designs, Estimations and Drawings

Project design can have a great impact on both the economy and the safety of a project, therefore, necessitates that the utmost care be taken in its execution of such. The auditing of designs and drawings should be done thoroughly and with care. The following are the various aspects that design comprises;

Designs

• Basic detailed design report.

• Detailed designs, documentation and crosschecking of work.

• Reviews of the availability of required construction expertise.

• Internal review of the documents prior to finalisation and/or proof checking.

Estimation of Quantities, Cost and Duration:

The methods followed in estimating quantities need to ensure that no violations take place and there is adherence to the standard schedule of rates.

Drawings

• Drawings of the project should be consistent with the designs.

c) Procurement of Works

Preparation of Contract Documents:

• Standardised general conditions of contract, including enforceable defect liability clauses, procedures for decision-making and in-built mechanisms for the settlement of disputes, appropriate financial conditions and reasonable payment schedules.

• Standardised and detailed technical specifications.

• Stipulation of the type and capacity of essential equipment to be used.

• Provision and availability of required facilities at site.

• Stipulations with regard to project organisation by the contractor as well as the organisation of the management of the project ‘owner’.

• Stipulations for the preparation of a Quality Control Plan.

• Stipulations for the submission of completion reports, with all supporting documents and ‘as built’ drawings.


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d) Organisation and Management of Contractors

• Managements Quality Policy.

• Identification of a qualified and experienced technical work force with a deployment schedule of both trained supervisors and work force in the required ‘strength’.

• Preparation of a Quality Assurance manual including the provision for a quality audit.

• Mobilisation of adequate resources including suitable plant and equipment.

• Continuous planning, review and corrective action procedures.

• Adequate financial input, including cash flow and fund management.

• Prequalification of sub-contractors/suppliers.

e) Material Procurement

• Material specifications including the stipulation of quality control tests and acceptance/rejection criteria.

• Quality Assurance plan defining the documentation with especial emphasis on traceability.

f) Construction Materials

• Adequate stipulations with regard to workmanship.

• Drawings and other documents which provide the intent of the design.

• The ensuring of adequate supervision and quality assurance.

• Inspection and quality surveillance.

• Deployment of proper and adequate plant and equipment.

g) Management and Organization

• The Quality Policy of Management.

• Project specific Quality Assurance plan.

• Project organisation, including deployment of competent personnel.

• The ensuring of adequate supervision and quality surveillance.

• Provision for a quality audit.

There are explicit and detailed guidelines available for the undertaking of a Quality Audit. ISO 19011:2002 standard is one such document and is considered as representative of international standards.


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4. SUGGESTED FRAMEWORK OF QUALITY MANAGEMENT IN PWD

4.1 SCOPE OF QUALITY MANAGEMENT IN PWD

The TA has introduced the concept of quality management in the work of PWD with an outline of what would be required for its implementation. The following aspects are related to Quality Management and the establishment of a dedicated Unit which have been presented in other reports, but are included here as necessary background information.

The establishment of a Quality Management framework and a dedicated Unit with resources should address the following:

• Review the existing organisation with respect to Quality Management

• Review the existing standards, processes and procedures in place at HQ, zone and district offices as they relate to design, standards and quality assurance.

• Review actual ‘in practice’ compliance with the relevant standards and processes

• Identify deficiencies in the existing system, and the reason for such

• Review the Quality Management system of 1 or 2 other states

• Generate possible solutions to eliminate the deficiencies and to improve the quality of project delivery

• Select the best and most effective solution and discuss with PWD Engineers and the World Bank, and present it to the PSC,

• Evolve a comprehensive Quality Management System taking into account the following key issues and problems.

4.2 ESTABLISHMENT OF DEDICATED QUALITY MANAGEMENT UNIT AT HQ AND ITS FUNCTIONS

The prime responsibility and function of the Quality Management Unit at HQ will be the quality assurance of construction undertaken by PWD. However, the quality of a road can be affected by a number of activities which begin at the stage of project preparation and continue through to preparation of design, drawings and contract documents; organisation and management of suppliers/contractors; procurement of materials and services and, production of items of construction. The Quality Management Unit should, therefore, ensure that:

(i) during the project preparation stage the data collection (including soil and material investigations) is adequate and accurate and that it is properly documented and reviewed before finalisation.

(ii) detailed design and drawings are based on appropriate engineering reports and are documented; all alternatives are considered and evaluated and the chosen alternative can be constructed and that it has been proof checked.

(iii) the standardised general conditions of contract and the detailed technical specifications are current and applicable to the contract. Updating of the specifications and test procedures and criteria, should be undertaken whenever this is required.


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(iv) there is a Management Policy on quality

(v) there is a Quality Assurance Manual; if it doesn’t exist one should be prepared

(vi) there is both provision for and availability of the required facilities and equipment for quality assurance both on and off site

(vii) there is a qualified and experienced technical work force with trained supervisors,

(viii) there is a training programme for the personnel engaged in quality management

(ix) there is a quality assurance plan defining the documentation and document flow for the projects under construction

(x) the quality policy of the Department is adhered to and the stipulated testing is carried out and is properly documented, including the actions taken

(xi) there is provision for a quality audit

The responsibilities of the Quality Management Unit personnel have been detailed in Report No. 19 and are also mentioned in Section 6.2.1, and forms the becomes the basis for the training requirements for the officers assigned to this area.

4.2.1. Proposed Equipment for Laboratories

It is proposed to have well-equipped laboratories at all zonal and district headquarters.

The zonal laboratories are to be equipped to carry out more sophisticated testing in comparison to the district laboratories, which generally conduct routine testing. Two lists of required equipment and layouts have, therefore, been prepared, one for each type of the laboratory. These lists are given in Report No. 19.

All zonal laboratories will be new, except for the one at Meerut, and in the districts, there will be twenty two new laboratories. Wherever there is a zonal laboratory at a zone head quarters, it will function as both the zonal and district laboratory. There will be twelve (12) zonal laboratories and fifty eight (58) district laboratories throughout the State. The existing forty eight district laboratories will need to be upgraded in order to bring these up to the stipulated standards. The estimated cost of individual equipment was also included in Report No. 19. Some of these costs were obtained from a supplier whilst others have been estimated. These costs should only be treated as a guide.

It is imperative that adequate transportation be made available to the staff to enable them to inspect works, take samples and carry out tests in the field. It is therefore recommended that two Jeep type vehicles should be kept exclusively for the Quality Management personnel at each laboratory.


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5. PAST TRAINING EFFORTS ON QUALITY MANAGEMENT

The PWD officers have been undergoing training programmes conducted by the State Engineers’ Academy, Kalagarh (now in Uttranchal); The UP Academy of Administration and Management (UPAAM), Aliganj, and, the Training Division, State Planning Institute, Lucknow, as well as at the other training institutes outside Uttar Pradesh. Whilst discussing the current status with the finance officer of UP Academy of Administration and Management, it was advised that earlier all Government officials were sent for training at UP Academy of Administration, Nainital. Following the creation of Uttaranchal as a separate state, in 2001, the UP Academy of Administration, Nainital, was transferred to Uttaranchal. A new training academy of Administration and Management was subsequently established in Aliganj which became operational in 2002.

5.1 TRAINING COURSES ORGANISED IN UP: ‘IN HOUSE’

5.1.1. Uttar Pradesh Academy of Administration and Management (UPAAM), Aliganj, UP

This is a Government training centre established to provide training for all UP Government officials.

During discussions with the finance officer, and the officer-in-charge of computer training of UPAAM it was further noted that training in the fundamentals of computers, DOS and Windows operating system, MS office (including MS Access), Internet, Networking concepts and Autocad could also be provided by UPAAM. However, due to the absence of ‘in house’ facilities and computer training related infrastructure at UPPAM, Aptech, a computer institute, has been providing the training (lectures and hands on training) in Autocad. For training in GIS and Remote Sensing, trainees are sent to Remote Sensing Application Centre in Vikasnagar, Lucknow.

The following two UPAAM training programmes for UP PWD officers commenced in October 2003.

a. A 90-day Foundation Course for newly appointed Assistant Engineers. Each batch has 40 participants.

b. ‘In service’ training programmes for Superintending/Executive/Assistant Engineers for two days/three days/five days respectively. Each batch is stated to have 25 nominees. The training calendar for these programmes is provided in Annexure A.

According to the Director of Research:

• Since 2003 and up to November 2006, some 140 Assistant Engineers have participated in the Foundation Training course.

• Since 2003 and up to November 2006 a further 142 officers have also participated in a refresher training course.

It should be noted that it was not possible to verify these figures.


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The total strength of Assistant Engineers, as at December 2006 was 971, thus to date only 15% have received training, which is very low. Ideally, all Assistant Engineers should have received ‘in service’ training. Therefore, the policy objective of the Road Development Plan of 1998 has obviously not been achieved.

5.1.2. Research Institute and Quality Promotion Organisation, UP PWD

In addition to quality promotion activities, the Director of Research is also responsible for research activities in PWD. Discussions were held with the Director to gain insight into prevailing practices with respect to Training and Training courses in PWD. There is a curriculum of foundation courses for new entrants in the engineering service of PWD, which is for all Assistant Engineers and is a 90-day course. The course has been bifurcated into technical and non-technical (administrative) sections. The non-technical or administrative course was introduced from 2003, whereby new entrants were given training on taxation rules, budgets, government service conduct and rules, classification control and appeal (CCA), disciplinary actions, etc. Some other training related efforts by the Research Institute are:

• Selected civil works for the training of Junior Engineers (Mechanical) (by Research Institute)

• Fortnightly technical meetings (by Research Institute)

A past calendar of training programmes proposed by this organisation is given below.

Table 1: Training Programme for PWD Officers for the Year 2002-2003

Sl. No. Name of Training Programme Level Period Duration Course Coordinator

1 Strategies for Rural Road Network SE 2 16.10.2002 7.10.2002 EE (F)

2 Modern Road Surveying Techniques and Ribbon Development EE 3 22.10.2002 4.10.2002 EE (F)

3 Modern Road Surveying Techniques and Ribbon Development AE 5 28.10.2002 2.11.2002 EE (F)

4 Update of Earthwork Technology SE 2 11.11.2002 2.11.2002 Sh. Vinod Chandra, DD 5 Earthwork Methodology EE 3 14.11.2002 6.11.2002 Sh. Vinod Chandra, DD

6 Earthwork for Road Construction and approaches of Bridges AE 5 25.11.2002 9.11.2002 Sh. Vinod Chandra, DD

7 Pavement Composition and Design Analysis SE 2 02.12.2002 3.12.2002 EE (F)

8 Pavement Design Systems EE 3 09.12.2002 2.12.2002 EE (F) 9 Flexible Pavement Design AE 5 16.12.2002 1.12.2002 EE (F) 10 Evaluation of Bituminous Construction SE 2 27.12.2002 8.12.2002 Dr. Piyush Dwivedi, DD

11 Bituminous Materials and new Construction Techniques EE 3 02.01.2003 4.01.2003 Dr. Piyush Dwivedi, DD

12 Bituminous Construction AE 5 06.01.2003 0.01.2003 Dr. Piyush Dwivedi, DD

13 Pavement Evaluation Tools and Modern Maintenance Technology SE 2 14.01.2003 5.01.2003 Sh. Vinod Chandra, DD

14 Pavement Evaluation and Preventive Maintenance EE 3 20.01.2003 2.01.2003 Sh. Vinod Chandra, DD

15 Maintenance Management and Pavement Rehabilitation AE 5 27.01.2003 1.01.2003 Sh. Vinod Chandra, DD


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Sl. No. Name of Training Programme Level Period Duration Course Coordinator

16 Total Quality Management Concepts SE 2 03.02.2003 4.02.2003 Dr. Piyush Dwivedi, DD 17 Quality Management of Roads EE 3 06.02.2003 8.02.2003 Dr. Piyush Dwivedi, DD 18 Integrated Quality Management of Roads AE 5 17.02.2003 1.02.2003 Dr. Piyush Dwivedi, DD 25 Significant Aspects of Road Planning SE 2 21.04.2003 2.04.2003 Sh. Vinod Chandra, DD 26 Return Based Road Planning EE 3 24.04.2003 6.04.2003 Sh. Vinod Chandra, DD 27 Evaluation of Cost Benefit Ratio AE 5 29.04.2003 3.05.2003 Sh. Vinod Chandra, DD

28 Innovative Technology of Building Construction and Rehabilitation SE 2 06.05.2003 7.05.2003 EE (F)

29 Updated Building Construction Techniques EE 3 10.05.2003 4.05.2003 EE (F) 30 Building Construction AE 5 16.05.2003 1.05.2003 EE (F) 31 Preventive Maintenance of Bridges SE 2 23.05.2003 4.05.2003 Dr. Piyush Dwivedi, DD 32 Bridge Related Support Systems EE 3 26.05.2003 8.05.2003 Dr. Piyush Dwivedi, DD 33 Bridge Construction AE 5 30.05.2003 4.06.2003 Dr. Piyush Dwivedi, DD 34 Pre-requisites for construction in Hill Areas SE 2 06.06.2003 7.06.2003 Sh. Vinod Chandra, DD

35 Special Features for Construction in Hill Areas EE 3 09.06.2003 1.06.2003 Sh. Vinod Chandra, DD

36 Hill Roads Construction AE 5 16.06.2003 0.06.2003 Sh. Vinod Chandra, DD

40 Foundation Course New AEs 68 07.07.2003 2.09.2003 Sh. Vinod Chandra, DD

It is not known as to how many, if any, engineers have been sent for training as a part of the above programme.

5.2 OUTSOURCED TRAINING PROGRAMMES

Under UPSRP, some PWD officers were nominated to attend training programmes organised by NITHE and CRRI. A few officers were also sent for overseas for training organised through NITHE, under the World Bank assisted National Highway (NH) and State Roads Programme (SRP) in 1993.


January 2008 14

The courses typical of the programme as mentioned above and organised at Lucknow, by NITHE, are given below:

Table 2: Details of Training Programmes Organised by NITHE During 2003

Sl. No. Particulars of Program Dates No. of

Participants Level of Participants

1.

Training Program on Preparation of Claim Disbursement Process, Accounting & Auditing for the Officers of the World Bank Funded U.P. State Road Project at NITHE Campus, NOIDA.

10 - 12 July 02 23

Sub-divisional Account Officers, Senior Assistants, Senior Clerks & J.E.’s

2. Training Program for Engineers of U.P. Rural Engineering Services (RES) at NITHE Campus, NOIDA.

24 Feb-1 Mar 03 20 S.E.’s, E.E.’s & A.E.’s

3. Training Program on Implementation of RAP & EMP for World Bank Funded UPSRP II at NITHE Campus, NOIDA.

21- 24 Mar 03 22 S.E.’s, E.E.’s, A.E.’s & J.E.’s

4. Training Program on Rural Roads for Engineers of UP RES at NITHE Campus, NOIDA. 21- 26 April 03 20 S.E.’s, E.E.’s & A.E.’s

5.

Training Program on Contract Management (NCB/ ICB) and Quality Control on World Bank Projects for the Engineers of UP PWD working on World Bank Funded UPSRP at Lucknow

3- 6 May 03 49 C.E.’s, S.E.’s, E.E.’s & A.E.’s

6. Training Program on Construction of Rural Roads for the World Bank Financed DASP/ SODIC Projects for Engineers of UP PWD at NITHE Campus, NOIDA.

4- 9 Aug 03 26 S.E.’s, E.E.’s & A.E.’s

7. Training Program on Rural Roads for Engineers from UP RES at NITHE Campus, NOIDA. 24 - 29 Nov 03 19 S.E.’s, E.E.’s & A.E.’s

8. Training Program on Rural Roads for Engineers from UP RES at NITHE Campus, NOIDA. 27 Jan-1 Feb 04 16 E.E.’s & A.E.’s

World Bank Funded UP State Roads Project Training Programme to the Engineers of Uttar Pradesh PWD on Contract Management / Administration of Contracts (NCB & ICB) and Quality Control for World Bank Projects (03.05.2003 to 06.05.2003 at Lucknow, UP


January 2008 15

6. TRAINING NEED ON QUALITY MANAGEMENT

6.1 TRAINING NEEDS ASSESSMENT (TNA) SURVEY

A Training Needs Assessment (TNA) Survey was carried by the TA as stipulated below in the Contract:

“Conducting an early Training Needs Assessment (TNA) and following PWD responses to the TNA results and relevant organisational factors, initiate training plans and activities progressively for PWD personnel, particularly on priority areas under the Core Skills Development Programme”

The survey was aimed at identifying the gaps in both skill and knowledge base of PWD engineers in comparison with the requirements of ‘Core Skills’ necessary to meet the challenges of both the present and the future. The objective of the TNA was to suggest training programmes to bridge the gaps through a ‘Core Skills Development Programme’.

The present and future job demands of PWD officers were analysed in terms of the works to be undertaken by them; the technological developments and the changing role of PWD as a manager of public services. Based on the analysis, 11 core skills required by PWD officers were included in the TNA questionnaire.

Quality Management was identified as one amongst the 11 core skill areas, with 5 sub-skill areas. The five sub-skill areas were:

• Quality Policy and Systems,

• Auditing,

• Material Testing,

• Specification,

• Construction Procedure and Methodology

The TNA questionnaire required officers to assess themselves on their competency levels in various elements of Quality Management as shown below:

Level of competence in these elements

Elements of Quality Management Awareness

Exposure

Basic Knowledge

Ability To work

Quality policy and Systems Auditing Material Testing Specification Construction Procedure and Methodology


January 2008 16

One of the accepted forms of assessment of the level of competency, of an individual, is self-assessment, given that an individual generally knows where their strengths and weaknesses lie, although, this is not expected to be without bias. Thus, over the course of the assessment of training needs, the level of competence in some of the key areas has been self-assessed by the officers of PWD. The levels of competency, as given in the self-assessment form, were redefined as follows, in order to provide for a better understanding of competency:

• Ability to work – To be able to work in a specified area with satisfactory results

• Basic knowledge – The knowledge on the subject has been acquired through education and training, but has not been put to practical use

• Exposure – To have an exposure to the subject to the extent of a broad understanding of the principles

• Awareness – Have generally heard about the subject

6.1.1. Findings of TNA

Quality Management should be understood at all levels and should also be an area in which middle to lower level staff of PWD are competent and fully aware, given that it is these officers who will be on site during construction, will supervise day to day activities and, will also carry out design and quality check of the work. The self assessed proficiency levels of officers in different areas of Quality Management are given in Table 1 below. The detailed competency analysis for different levels of officers is given in Annexure B.

Table 3: Proficiency Level by Designation in Area of Quality Management

(% of Total)

CE SE EE AE JE

Elements

Bas

ic

Know

ledg

e

Abi

lity

to

Wor

k

Bas

ic

Know

ledg

e

Abi

lity

to

Wor

k

Bas

ic

Know

ledg

e

Abi

lity

to

Wor

k

Bas

ic

Know

ledg

e

Abi

lity

to

Wor

k

Bas

ic

Know

ledg

e

Abi

lity

to

Wor

k Quality Policy and Systems 70% 50% 63% 37% 63% 39% 50% 27% 18% 3%

Auditing 50% 30% 53% 16% 47% 29% 43% 23% 10% 3%

Material Testing 80% 80% 89% 42% 68% 47% 64% 42% 20% 7%

Specifications 80% 80% 79% 53% 75% 49% 67% 42% 25% 7%

Construction Procedure and Methodology 80% 80% 74% 42% 75% 54% 63% 42% 25% 7%

Percent of Officers Worked in Quality Management

Worked in the Past 50% 42% 25% 31% 18%

Working Presently 70% 21% 20% 23% 13%

Likely to Work in Next Five Years 50% 26% 34% 34% 22%


January 2008 17

From the above Table it is inferred, that by and large, the senior level officers possess the requisite level of knowledge and skills in Quality Management. However, the officers at the lower levels (AEs and JEs) need more attention and training in Quality aspects. These officers are directly responsible for the quality of works at site. Any error, due to an officer’s incompetence may have serious implications.

6.2 QUALITY MANAGEMENT SKILLS REQUIRED

The Quality Management skills required to be instilled amongst PWD officers need to cater for different needs. Hence the training requirement has been reviewed at different levels for the following categories of officers.

Categories Officers Training Inputs

• Category I :

Officers working on specialist Quality functions i.e., officers in Quality Management (QM) Unit and Quality Management in charges in zones, circles and divisions (CE and SE)

Advanced level training

• Category II : All PWD officers who are required to take care of the Quality requirements in their work (EE and AE)

User level training, hands-on experience in sampling, testing and interpretation of test data

• Category III : Technical person in Laboratories (JE and Lab. Technician)

Training in testing, equipment and testing procedures

6.2.1. Training Requirements for Specialist Quality Management Personnel

a) Functions / Responsibilities - Chief Engineer (Quality):

• Direction, administration and management of the Quality Unit in the PWD

• Ensure that adequate resources are available at HQ and field offices

• Framing of the quality policy & quality system, including criteria, procedures and documentation,

• Monitoring implementation of the quality policy and system,

• Constant review of the quality assurance and quality control criteria,

• Appraisal of the quality of works executed

• Quality surveillance of designs and construction and Technical Audit of works,

• Maintenance of QA/QC training of PWD staff,

• Advise the Government and staff on all technical matters relating to quality in construction and design of works in PWD,

• Carry out the instructions/directions of Government and its policy regarding quality matters, quality assurance, works audit,

• Investigate the issues referred to in respect of quality of works,

• In order to perform the responsibilities stated above the CE (Quality) will:


January 2008 18

• Keep in touch with the latest developments on use of the latest quality assurance tools, new materials, quality control methods and R&D activities in the State and elsewhere.

• The CE (Quality) shall ensure that periodic independent quality audit is conducted of the work executed by the contractor.

• The CE (Quality) will advise on issues pertaining to development of QC/QA specifications for all items/activities involved in road construction with emphasis on quality control/quality assurance.

• Develop QC, QA and TA training programmes; arrange seminars, quality control workshops, training programmes and assist in the nomination of PWD staff for training in India and aboard. Frame and organise the training programmes for new entrants and staff of PWD.

• Regularly coordinate and interact with the Chief Engineers of other Wings of PWD with an objective to ensure high quality in works executed through PWD and to identify the ‘grey’ areas where improvement is necessary.

• Keep in close touch with PWD Research Institute to keep abreast with research activities in the state regarding construction materials and QC testing.

• Verify the implementation and maintenance of PWD’s quality policy and detailed quality procedures.

• Review all quality activities and provide assistance to CE (Execution/Construction) in the development of quality plans of major projects of PWD.

• Initiate suitable measures for prevention and resolution of problems related to quality.

• Prepare new manuals or update the old ones for quality assurance, quality system, maintenance, construction practices etc

• Prepares new specifications or update the old ones wherever required

• For the discharging of the above responsibilities the CE (Quality) shall be assisted by the SE in the zonal offices.

b) Functions / Responsibilities - Superintending Engineer (Quality):

• Provide direction, administration management and technical guidance to the Quality Unit in the zone

• Ensure that adequate human, material and transportation facilities are made available at the zone and district level Quality Units. Ensure that the quality policy of the PWD is adhered to in the zone

• Take corrective action in case of non-compliance of policy

• Conduct quality assurance review of designs for works in the zone

• Review quality plans of major projects in the zone

• Provide expert advice to the Zone Chief Engineer and other staff in all matters relating to quality in design and construction in order to maintain high standards

• Investigate any referred quality related issues in order to furnish a definite resolution, including any rectification or action required


January 2008 19

• Monitor quality assurance activities in the zone to ensure that it complies with all norms including frequency of testing and documentation

• Suggest improvements to quality assurance procedures to make it more streamlined and effective

• Ensure that the staff in the Quality Unit is properly trained and arrange for such training

• Ensure that periodic independent audit of works is carried out

• Prepare periodic review reports for the HQ documenting the compliance with the policies, procedures and criteria.

c) Functions / Responsibilities - Executive Engineer (Quality):

• Ensure that the PWD policy on quality is followed in the district

• Review contractors quality plans for works/projects in the district; approve/reject or suggest changes to the contractor and inform the SE

• Review and assess the adequacy and suitability of a contractor’s construction equipment

• Review the suitability of contractor’s key personnel related to the construction and quality control

• Review the adequacy of a contractors laboratory facilities and personnel

• Review the a contractors construction methodology supervise and organise sampling and testing for quality assurance and acceptance

• Review the results and make decisions regarding acceptance/non-acceptance and any follow up action required. The Executive Engineer shall be the final authority for interpretation of test results

• Verify that the follow up action is carried out in the field

• Carry out random inspections for sampling and testing

• Ensure that the zone and district laboratories are adequately supplied and manned

• Ensure that the calibration of equipment is carried out as per norms

• Ensure that working conditions for the subordinate staff are safe and they have appropriate safety equipment

• Ensure that there is an emergency medical kit available in all laboratories

d) Functions / Responsibilities - Assistant Engineer (Quality):

• Organise sampling and testing of works under his jurisdiction

• Ensure that sampling conforms to norms

• Ensure that testing is carried out as per the procedures contained in the Laboratory Manual

• Ensure that sampling and testing is carried out in a timely manner with no delay. This is particularly important in the case of testing of bitumen supplied.


January 2008 20

• Review and interpret the test results; make recommendations of findings and forward to the Executive Engineer (Quality)

• Carry out regular inspections for sampling and testing

e) Functions / Responsibilities - Junior Engineer (Quality) and Laboratory Technician:

• Carry out sampling as directed or as required

• Carry out laboratory tests in accordance with procedures in the Laboratory Manual

• Complete laboratory reports including calculations and plots wherever required and submit to the Assistant Engineer

• Ensure that all laboratory and field equipment is in working order; report any problems to the Assistant Engineer

• Ensure that the laboratory is clear of obstructions and clutter

6.2.2. Training Requirements for Implementation of ISO 9000 (Category I)

This training will be required when the PWD attempts to obtain an ISO Certification. The training in ISO systems and procedures will need to be arranged by selected ISO Consultants who may be assigned to guide PWD in the ISO implementation.

Training on elements of ISO 9000 / 9001 will be essentially confined to category I officers.

ISO 9001:2000 consists of four main sections:

1. Management Responsibility • Management commitment • Customer/user focus • Quality policy • Planning • Responsibility, authority and communication • Management review

2. Resource Management • Provision of resources • Human resources • Infrastructure • Work environment

3. Product and/or Service Realisation • Planning of product realisation • Customer/user related processes • Design and development • Purchasing • Product and service provision • Control of monitoring or measuring devices


January 2008 21

4. Measurement, Analysis and Improvement • General • Monitoring and measurement • Control of non-conforming products • Analysis of data • Improvement

ISO 9001 focuses on 20 key requirements: To illustrate the scope of the requirements, the first one, Management Responsibility is considered here. To meet this standard an organisation must

• establish, document, and publicise its policy, objectives, and commitment to quality;

• designate a representative with authority and responsibility for implementing and maintaining the requirements of the standard;

• provide adequate resources for managing, performing work, and verifying activities including internal quality audits;

• conduct ‘in house’ verification and review of the quality system. These reviews should consider the results of internal quality audits, management effectiveness, defects and irregularities, solutions to quality problems, implementation of past salutations, handling of nonconforming product, results of statistical score-keeping tools, and the impact of quality methods on actual results.

A brief summary of the basic requirements for the remaining 19 elements of ISO 9001 are summarised below:

• Quality system: The organisation must write and maintain a quality manual that meets the criteria of the applicable standard and defines conformance to requirements. The company must effectively implement the quality system and its documented procedures and prepare quality plants for determining how requirements will be met.

• Contract review: The organisation must review contracts to assess whether requirements are adequately defined and whether the capability exists to meet requirements.

• Design control: The organisation must verify product design to ensure that requirements are being met and that procedures are in place for design planning and design changes. This includes documenting plans for each design and development activity, defining organisational and technical interfaces, validating outputs against design input requirements, and describing design verification and validation procedures.

• Document and data control: The organisation must establish and maintain procedures for controlling documentation and data through approval, distribution, change, and modification.

• Purchasing: The organisation must have procedures to ensure that purchased products conform to requirements. This includes evaluating subcontractors preparing clearly written purchasing documents, and verifying purchased products.

• Control of customer-supplied products: Procedures to verify, store, and maintain items supplied by customers must be established.


January 2008 22

• Product identification and traceability: The organisation must identify and trace products during all stages of production, delivery, and installation.

• Process control: The organisation must carry out production processes under controlled conditions. The processes must be documented and monitored, and workers must use approved equipment and have specified criteria for workmanship.

• Inspection and testing: The organisation must maintain records of inspection and testing at all stages to verify that requirements are met. This includes receiving, in-process, and final inspection and testing.

• Control of inspection, measuring, and testing equipment: The organisation must establish procedures to control, calibrate, and maintain equipment used to demonstrate conformance to requirements.

• Control of non-conforming product: Procedures should ensure that the company avoids inadvertent use of non-conforming product. This includes how non-conforming product is reviewed and how repaired or reworked product is re-inspected.

• Corrective and preventing action: The organisation should investigate cause of non-conformance and take action both to correct the problems and to prevent them in the future. Corrective action includes handling customer complaints, investigating causes of non-conformities, and applying appropriate controls. Preventive action includes detecting, analyzing, and eliminating potential causes of non-conformities and initiating preventive actions.

• Handling, storage, packaging, preservation, and delivery: The organisation should develop procedures for properly handling, storing, packaging, preserving, and delivering products.

• Control of quality records: The organisation should identify, collect, index, file, and store all records relating to the quality system.

• Quality audits: The organisation must establish a system of audits to verify whether its activities comply with requirements and to evaluate the effectiveness of the quality system.

• Training: The organisation must establish procedures for identifying training needs and provide for training of all employees who perform activities that affect quality.

• Servicing: The organisation must develop procedures to ensure that service is performed as required by its contracts with customers.

• Statistical techniques: Procedures should identify statistical techniques used to control processes, products and services and how they are implemented.

6.2.3. Training Requirements for Implementing Engineers (Category II)

This training will be at a user level, where the officers responsible for planning, design, execution and supervision of works will be able to take care of the Quality requirements as per the specified standards and procedures.


January 2008 23

6.2.4. Training Requirements for Technical Personnel of Zonal and District Laboratories (Category III)

It is of the utmost importance that the staff responsible for testing should be fully familiar with testing and reporting procedures. Therefore, the TA has compiled a comprehensive Test Procedures Manual, which contains the details of all the tests that may be carried out. Though the preparation of the Manual was not included in the Terms of Reference, it was strongly felt by the Consultants that there is a need for such a Manual and therefore, one has been prepared. The Test Procedures Manual will be supplied to PWD ready for use. Each test describes the scope, apparatus and material required, preparation of specimens, procedures for testing, calculations, reporting, and a precision statement and also the forms for recording data and reporting the results of the tests.

6.3 TOPICS TO BE COVERED IN QUALITY MANAGEMENT

The broad topics that will be covered in the Quality Management training are given below. The same are also included in Report No. 36 on the PWD Training Plan.

• Quality Policy and Systems

o Quality management concepts o Quality planning o Quality control o Quality assurance o Quality audit and quality improvement


o Quality control operations o Quality control in concreting o Quality control in earthworks o Quality control in rigid pavements o Quality control in flexible pavements o Quality control in structures o Quality control in other constructions and services o ISO 9000 and total quality management.


January 2008 24

• Material Testing o Material Specifications of MoSR&T/ UP PWD o Frequency of tests o Documentation of test results o Sampling procedures o Demonstration of tests on soils o Demonstration of tests on aggregates o Demonstration of tests on cement and bitumen o Field visit: hot mix plant, weigh batching plant o Field laboratory and calibration of testing equipment

• Specification

o Specifications of MoSR&T/ UP PWD o Use and application of specifications o Method related specifications o Bill of quantities o Schedule of rates o Item rates and rate analysis o Price adjustment o Escalation

• Quality Auditing

o Quality audit, quality assessment, conformity assessment o Determining whether quality activities and results comply with planned arrangements o Suitability of arrangements, in place, to achieve quality objectives o Role and responsibility of the agency and the staff performing quality audit o Process and procedures to be followed in quality audit o Methodology to report the status and findings from the inspections by the Quality Audit

Unit o ISO 19011: 2002 Implementation


January 2008 25

7. TRAINING PLAN FOR QUALITY MANAGEMENT AND ITS IMPLEMENTATION

7.1 LEVELS OF COMPETENCY REQUIRED FOR VARIOUS DESIGNATIONS

An attempt was also made in the TNA, to map the expected levels of proficiency of PWD officers in the 11 core skills areas (which included Quality Management) based on their responsibilities and duties as defined in the PWD Manual, Volume I. This was followed by a review of the existing knowledge and skill base in the 11 core skill areas and used to identify any gaps and deficiencies.

An analysis of the TNA responses of PWD officers regarding the levels of proficiency expected of them in the different core skill areas, in association with their job descriptions, provided the means to define the competency requirements of the officers. The empirical data concerning the job profiles of the 11 core skills areas was also analysed in order to map the expected levels of competency of the different designations of engineers in each of the core skills areas. The expected levels of competency for each of the core areas and each category of officer, have been based on:

(a) the individual identification of competency level needs given in the TNA and,

(b) TNA’s that have been undertaken in the past for organisations with similar functions as the UP PWD, such as Gujarat R&BD, NHAI and MoRTH

The competencies were been defined at three levels as explained below, with the level of training required to develop the competency to that level:

Level I: Generally aware of the topic and can appreciate its functioning and interrelationship with overall PWD working, but unable to work alone on the topic. The training module at this level should include the basic concepts and principles of each of the components.

Level II: Has knowledge but only limited ability to work in the area of concern. The training module at this level would be required to deal with each of the components in detail, in order to provide a detailed insight into the component in question.

Level III: Has the ability to work independently. The training inputs for this level should cover detailed knowledge at the ground level as well as ‘hands on’ work experience on the subject, in order to provide the knowledge necessary for the individual to be able to perform day to day tasks independently.

In Table 4 the expected level of competencies of officers by rank and module for the Quality Management module is presented.


January 2008 26

Table 4: Expected Level of Competencies of Officers by Rank and Module

Level of Training Module

CE SE EE AE JE

Quality Management I I, II I, II, III I, II, III I, II, III

The levels of competency, and by inference the level of training required by an officer in a specific core skill area will be different for each individual rank of officer as shown in the above table. The training modules for each area will need to be developed at three levels with increasing levels of coverage and depth as identified below:

Level I: Basic concepts

Level II: Level I + dealing with each of the components in detail, so as to provide a detailed insight to the subject

Level III: Levels I + Level II + advanced level, covering ‘hands on’ work experience on the subject, to the extent the individual is able to perform the tasks independently.

7.2 LEVELS OF TRAINING NEEDED TO BRIDGE THE COMPETENCY GAPS

Competency Gaps / Training Needs

Comparison of the current levels of competency, obtained from the TNA, with the expected levels of competency within each of the subject areas, indicates the “competency gap”. These gaps require to be bridged through both training and other HRD interventions. Nevertheless, a new set of training needs may still arise when an officer is promoted to a higher level or selected for a different assignment. Essentially, the training efforts will address the need of raising the level of competency of officers to the desired level which may well be, by necessity, higher than that which currently exists.

An officer’s knowledge, therefore, needs to be raised to the desired level of expertise commensurate with both his position and assignment. For example, Junior Engineers need to be proficient at Level III in Quality Management. If a JE is barely at awareness level (Level I), he would be required to undertake the three levels of training i.e. Level I, II and III in order to achieve the desired level of expertise, whereas another JE who is already at Level II of competency would only require to undertake Level III training.

In Table 5, the module and level of the training needs of officers based, on existing competency levels and what is required to perform tasks effectively, is identified.


January 2008 27

Table 5: Training Needs by Module and Level Based on the Existing Levels of Competency Derived from the TNA

Level of Training required Module

Existing Level of Competence of an Officer CE SE EE AE JE

Ability to Work - - III III III

Basic Knowledge - II II, III II, III II, III

Exposure I I, II I, II, III I, II, III I, II, III Quality Management

Awareness I I, II I, II, III I, II, III I, II, III

7.3 BROAD CONTENTS OF TRAINING

The courses given in Table 6 and targets the selected officers of Specialist Units / Cells, such as the Quality Management Unit, with training being in both greater depth and duration. The training providers for these courses could be either specialist consulting firms assisting the PWD to establishing and operate the Unit/Cell, or premier training institutions. Ideally a combination of a consulting organisation and an academic partner would be the preferable choice.

Table 6: Areas of Training, Broad Contents / Course Headings

QUALITY MANAGEMENT LEVELS DESIGNATION

• Quality Policy and Systems o Quality management concepts o Quality planning o Quality control o Quality assurance o Quality audit and quality improvement

III

II

I

CE, SE,

QM Unit Staff

EE

AE, JE

● Construction Procedure and Methodology o Quality control operations

o Quality control in concreting

o Quality control in earthworks

o Quality control in rigid pavements

o Quality control in flexible pavements

o Quality control in structures

o Quality control in other constructions and services

o ISO 9000 and total quality management

II

III

III

EE

AE, JE

QM Unit Staff


January 2008 28

QUALITY MANAGEMENT LEVELS DESIGNATION

• Material Testing o Material specifications of MoSR&T/ UP PWD o Frequency of tests o Documentation of test results o Sampling procedures o Demonstration of tests on soils o Demonstration of tests on aggregates o Demonstration of tests on cement and bitumen o Field visit: hot mix plant, weigh batching plant o Field laboratory and calibration of testing equipment

III

III

AE, JE

QM Unit Staff

• Specifications o Specifications of MoSR&T/ UP PWD o Use and application of specification o Method related specifications o Bill of quantities o Schedule of rates o Item rates and rate analysis o Price adjustment o Escalation

III II I

EE

AE

JE

• Quality Auditing o Quality audit, quality assessment, conformity assessment o Determining whether quality activities and results comply

with planned arrangements o Suitability of arrangements, in place, to achieve quality

objectives o Role and responsibility of the agency and the staff

performing quality audit o Process and procedures to be followed in quality audit o Methodology to report the status and findings from the

inspections by the Quality Audit Unit

II

III

SE

EE

o ISO 19011:2002 Implementation (Detailed course structure is already provided in Section 6.2.2.) III

QM Unit Staff and other Quality Specialists


January 2008 29

7.4 TRAINING PROVIDERS

Standard training courses should be conducted by identified training providers, relevant to the training needs of UP PWD, as identified below. The institutions mentioned operate standardised programmes and take nominations from various Government and private sector agencies as per the training calendar. In addition to the scheduled courses, the institutes also organise special programmes and seminars which are generally announced by way of newsletters or through the media. The HRD / Training Cell will need to obtain these training calendars of the institutes and remain in constant communication with them in order that they receive notification about various other courses and seminars that may be organised from time to time. The Training Cell should identify participants for the relevant courses as early as possible. The numbers of participants that can be nominated to a course will, however, be governed by demand and availability.

Training Providers Name of Training Programmes Quality Control in Road & Bridge Projects Construction Supervision of Road & Bridge Projects 1. NITHE, NOIDA* Quality Assurance Systems and TQM for Highway Projects

2. NICMAR Delhi / Pune / Mumbai Construction Quality Management

3. CRRI, New Delhi Rigid and Composite Pavements: Design, Construction & Quality Control Aspects

4. CPWD Training Institute, Ghaziabad Design, Construction and Quality Control of Bituminous Pavements

Note: * the training calendar for the year 2007-2008 is given in Annexure C.

In addition to the above training providers, the training programmes that have been identified also require to be reviewed in respect to other training providers or training institutes. Other training providers identified within Uttar Pradesh as well as elsewhere in India are shown in Table 7 and 8 respectively.

Table 7: Training Providers Within Uttar Pradesh

Sl. No. Training Providers Name of Training Providers

UP Academy of Administration and Management, Aliganj, Lucknow

Training Division, State Planning Institute, Kalakankar Bhawan, Lucknow

National Institute for Training of Highway Engineers (NITHE), NOIDA

IIT, Kanpur

IIT, Roorkee

1. Administrative / Technical

Benaras Hindu University (BHU), Varanasi

Indian Institute of Management (IIM), Lucknow 2. Management

UP Academy of Administration and Management, Aliganj, Lucknow


January 2008 30

Table 8: Training Providers Outside Uttar Pradesh but Within India

Sl. No.

Training Providers Name of Training Providers

National Institute of Financial Management (NIFM), Faridabad, Haryana

Indian Institutes of Technology (IITs)

National Institutes of Technology (NITs)

National Institute of Construction Management and Research (NICMAR), Pune

National Institute of Information Technology (NIIT)

Central Institute of Road Transport (CIRT), Pune

1. General Training

Central Road Research Institute (CRRI), New Delhi

Indian Institute of Management (IIM), Ahmedabad

Indian Institute of Management (IIM), Mumbai

Indian Institute of Management (IIM), Kolkata

Indian Institute of Management (IIM), Bangalore

Indian Institute of Public Administration (IIPA), New Delhi

Management Development Institute (MDI), Gurgaon, Haryana

2. Management Development Programmes

Administrative Staff College of India (ASCI), Hyderabad

7.5 CUSTOMISED TRAINING PROGRAMMES FOR UP PWD

The relevance of the standard courses that are offered by the various training institutions, in terms of UP PWD needs vary. While maximum use of these courses should be made to enhance the knowledge base of officers and expose them to the latest advances in the field, whilst facilitating interactions with other professionals from other States and organisations, it is self evident that no standard course can exactly meet the discrete training needs of UP PWD officers, because such courses are generally designed for a broad audience. Hence, there may well be gaps in coverage. In order that the training needs of PWD engineers are addressed overall, and no knowledge gaps are left unanswered, tailor-made courses specifically addressing PWD will need to be developed. The number of engineers involved in quality management in UPPWD is substantial enough to justify such courses.

The institutes in question can also design and organise specific ‘in house’ courses for clients encompassing the specific training needs and requirements. PWD might well select the most appropriate institute for a particular course and try to forge a long-term partnership with the institute for the development and delivery of courses in such an area.


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7.6 PRIORTISATION OF TRAINING

The training of engineers of higher rank should have a high priority as this could well have a larger impact on the PWD performance. CEs / SEs and EEs should have priority for training within the overall plan. Furthermore, the concepts of ‘Quality Management’ and ‘Quality Audit’ have undergone tremendous change since ‘Quality Control’ and ‘Technical Audit’ was instituted in UPPWD in late 50s.

An officer should attain priority for a training programme on the module(s) which have immediate applicability to their work. For example, officers who are selected as the incumbents of a specialised cell and are required to assist in its establishment and functioning within PWD i.e., Quality Management Unit, should receive training first.

Training is a high investment activity and must be organised in a manner that provides the most benefit to the individual and the highest ROI to the organisation. For each officer, the knowledge & skill sets can be classified as

i. Must know ; without which the person would not be able to perform their job effectively

ii. Should know ; it is better if the person does know and,

iii. Could know ; Both ii) and iii) have some benefit for overall officer development and will lead to overall enhancement of PWD.

So far as training of engineers at a junior level is concerned, PWD should focus training efforts on the ‘Must know’ component first i.e. Level III Training Needs. Those officers who require training up to Level II should then be covered, and Level I thereafter.

7.7 SUGGESTED TRAINING PLAN AND IMPLEMENTATION STRATEGY

In this Section, the numbers of courses that need to be organised in a year are estimated. It can be seen that in many areas training may well extend beyond the 3 year time horizon in order to cover the first round of training for all officers. It is not possible to include all officers in the first one, two or even three years, therefore, the selection of participants will need to be prioritised carefully to based on individual training as well as organisational needs. This will represent a challenge the Training Cell who will need to adopt a very systematic methodology for nominating participants to a particular training course in order that the training efforts are optimised and the results are maximised

It is planned, that the individual training needs will be captured through the ‘Annual Performance Management exercise (present ACR system) which is proposed, to be revised as per the details in the Civil Service Reforms (CSR) Report No. 37 on the subject.


January 2008 32

As the annual training ‘load’ will be very large, it will be necessary to run multiple training programmes concurrently throughout the year and the PWD will need to adopt a ‘multi-pronged’ approach for implementing the training mandate. The training programmes will require a distinct strategy for implementation. For each training plan a proposed implementation strategy has, therefore, been identified.

7.7.1. Training Plan for Category I Personnel

This category of officers will be responsible for establishing the new Quality Management‘ set up’ within PWD, and will, therefore, need to be trained at an advanced level during the first year. The training plan for the Quality Management Unit is given in Table 9.

Table 9: Specialist QM Course for (Category I)

Training Courses Target Group Total Number

Duration (days)

No. of participants per course

No. of Courses Required

Year 1

Training Days in a Year

Quality Management

Members of the Specialists Cells from CE to AE in HQ and Field Units

40 15 20 2 2 30

Total 30

The selected personnel from this Category should also be ‘trained as trainers’, and be made responsible for the training of PWD engineers in Category III. This is further explained in the Section below.

7.7.2. Implementation Strategy for training of Category I Personnel

A. Nominations to External Training Programmes

The nomination of selected officers to scheduled courses in institutions like; ASCI, NICMAR, CRRI, NITHE, IITs etc. is already ongoing and should be continued, but in a more focussed manner. The training cell should obtain the training calendars of the various institutions and arrange nominations to the maximum number of officers that can be accommodated in any given course. However, it needs to be ensured that the training programme matches individual training needs and that the course content is both relevant and at is the desired level.

The number of officers who can be trained via this route will, nevertheless, be limited. Therefore, whilst nominating officers to attend such courses, potential trainers should also be identified and sent to these programmes. In addition, senior officers for whom ‘in house’ programmes are unlikely to be arranged in immediate future should also be identified to attend.

B. Tailor-Made Training Programmes in Partnership with Reputed Institutions

These courses will be designed to meet the specific requirements of PWD and will, therefore, be most effective. Each course should have around 15-25 participants and should be arranged either at ’own’ location or at an appropriate institute.


January 2008 33

At ‘own’ location: The Institute will send the trainers team for the course but the training venue and facilities will need to be organised.

Institute location: Subject to feasibility, batches of trainees should be sent to the institute. This option is preferable as the institutes generally have their own training and residential facilities which can be used. Institutes also find it easier to incorporate ‘tailor made’ training programmes at their own location and are also able to organise a wider input faculty.

The adoption of a combination of both strategies is recommended as in terms of cost, experience has shown that both options are similar.

7.7.3. Training Plan for Category II Personnel

This category forms the bulk of engineers in PWD and, therefore, the number of officers to be trained in this category is large. These officers need to be trained at all user levels through ‘in-house’ training courses.

Table 10: Suggested Annual Training Plan for Next 3 Years

Target Group

Module CE SE EE AE JE

Total Duration (days)

No. of participant

s per course


Y 1 Y 2 Y 3 Training

Days in a Year

Quality Management 357 1366 4176 5899 10 20-25 295 10 10 10 100

7.7.4. Implementation Strategy for Training of Category II Personnel Through In-House Training

The Quality Management Course is an engineering based course in which PWD is likely to have a sufficient knowledge base, but lacks the latest expertise in the area. Programmes for JE’s & AE’s need to be organised ‘in house’. As the number of trainees is very large (4000+), it would be prudent to organise these at 3 to 4 locations at a regional level. It will be necessary to develop an ‘own’ training facility and faculty from selected SE’s/ EE’s/AE’s (serving and retired), and trained as ‘Trainers’, as well as consultants etc. Standardised training material should be developed in order to ensure standardisation of the courses to be repeated at various locations.

Development of the module and the ‘training of trainers’ could be arranged with the help of NITHE / CRRI / ESCI/ Consultants etc. Selected Quality Management Unit personnel may also be identified as potential trainers for the general training in Quality Management.

7.7.5. Training Plan for Category III Personnel (Technicians / Testing Personnel)

This training will be provided at laboratories at the District and Zone level. The new equipment suppliers will be requested to provide training to the officers along with the installation and calibration phases as a part of On-the-Job Training (OJT). The State Research Centre should also be involved in this process. Some training at an advanced level may be organised at the State Research Centre, Lucknow.


January 2008 34

7.7.6. Implementation Strategy for Training of Category III Personnel

The district and zonal laboratories will also serve as training centres for regional level training and an additional On-the-Job Training (OJT) of technicians / testing engineers as required.


January 2008 35

8. PRESENTATION TO PROJECT STEERING COMMITTEE

UPSRP IDS

PWD Focus Group - E

Sri Afsar Husain Chief Engineer (Complaints)

Sri Sushil Kumar SE, Bulandshahar Circle, Bulandshahar

Sri Jitendra Kumar Srivastava EE, PD, Farukhabad

Sri Arun Kumar Srivastava EE, CD 1, Bahraich

Sri V. K. Rai AE, Planning 1, Lucknow

Sri Salil K. Yadav AE, W.B. Division 1, Lucknow

Sri P. K. Saxena E E

Sri Sandeep Saxena AE, IDS Cell

LEA International Ltd. and LEA Associates South Asia Pvt. Ltd.

Cdr. Narayan Mishra Human Resource Management Specialist

Report No. 30 : Suggestions for implementing (in-conjunction with new training / HRD cell) on-going PWD wide project quality management training

UPSRP IDS

TCE Study (2000 – 2002) recommended :

“Construction process to be strengthened by introducing new technologies, systematic construction supervision and independent quality audits and controls”

Translated into the following action for T. A. input :

“Implement (in conjunction with new Training/HRD Cell) ongoing PWD project quality management training ”

BACKGROUND


UPSRP IDS

BACKGROUND (contd…)


• Training / HRD Cell (Report No. 4) established through a GO.

• Quality Management Cell (Report No. 19) established through GO

• Report No. 36: “To provide program for PWD Training for Skill Enhancement Based on Training Needs Assessment “ submitted. The report lists out the training programmes in all areas including Quality Management.

• Reports No. 19 and 33 on “Establishment of Quality Management Framework” and “Quality Audit” respectively submitted. The reports recommend the QM systems and procedures to be implemented in PWD.

UPSRP IDS

This Report Covers :

• Mandate of PWD with respect to Quality Management

• Present Practices and Processes

• Suggested Framework of Quality Management in PWD

• Past Training Efforts on Quality Management

• Training Needs in areas of Quality Management

• Training Plan for Quality Management and its implementation

(Quality Management Training is a joint responsibility of the QM Cell and the Training/HRD Cell)


UPSRP IDS

Mandate

Quality Management includes each of the following

• Quality Planning

• Quality Control

• Quality Assurance

• Quality Audit and,

• Quality Improvement


UPSRP IDS

Present Practices and Processes

1. Formal, uniform policies and procedures of quality management not followed

2. Laboratories poorly equipped, inadequate

3. Very little testing done, that too haphazardly

4. No training in quality assurance / testing

5. No quality assurance in other areas, e.g. design, standards etc


UPSRP IDS

Suggested Framework of Quality Management in PWD Quality Management Unit at HQ to ensure the following:

• Project Preparation and data collected is adequate and reviewed• Detailed designs and drawings are evaluated and reflect the best option• Contract conditions and specifications are updated and current• Quality Policy established and implemented • Quality Assurance Manual• QA plan and documentation for projects• Adequate facilities and equipment available for Quality Tests• Prescribed testing is carried out• There is a qualified and experienced work force • Training program for Quality Management

Equipments required in Laboratories recommended


UPSRP IDS

Training Need on Quality Management

Training Needs Assessment (TNA) survey carried out

Objective of TNA: “Aims to identify gaps in skill and knowledge base of PWD Engineers so that, training programmes can be aimed at filling those gaps”

The present and future job demands of PWD officers were analysed in terms of the works to be undertaken by them; the technological developments and the changing role of PWD as a manager of public services. Based on the analysis, 11 core skills required by PWD officers were included in the TNA questionnaire

Quality Management included as a core skill area


UPSRP IDS

Training Needs on Quality Management (contd…)

5 sub-skill areas of Quality Management


• Quality Auditing

• Material Testing

• Specifications



UPSRP IDS

Self assessment of competency level

Self Assessment Competency Level

Awareness (A) Have generally heard about the subjectLevel I

Exposure (E) A broad understanding of the principles

Basic Knowledge (K)

The knowledge on the subject has been acquired through education and training, but has not been put to practical use

Level II

Ability to Work (B) To be able to work in a specified area with satisfactory results Level III


UPSRP IDS

TNA Findings


CE SE EE AE JE

Elements

Bas

ic

Kno

wle

dge

Abili

ty to

W

ork

Bas

ic

Kno

wle

dge

Abili

ty to

W

ork

Bas

ic

Kno

wle

dge

Abili

ty to

W

ork

Bas

ic

Kno

wle

dge

Abili

ty to

W

ork

Bas

ic

Kno

wle

dge

Abili

ty to

W

ork

Quality Policy and Systems 70% 50% 63% 37% 63% 39% 50% 27% 18% 3%

Auditing 50% 30% 53% 16% 47% 29% 43% 23% 10% 3%

Material Testing 80% 80% 89% 42% 68% 47% 64% 42% 20% 7%

Specifications 80% 80% 79% 53% 75% 49% 67% 42% 25% 7%

Construction Procedure and Methodology 80% 80% 74% 42% 75% 54% 63% 42% 25% 7%

Percent of Officers Worked in Quality Management

Worked in the Past 50% 42% 25% 31% 18%

Working Presently 70% 21% 20% 23% 13%

Likely to Work in Next Five Years 50% 26% 34% 34% 22%

UPSRP IDS

TNA Findings…


• By and large, the senior level officers possess the requisite level of knowledge and skills in Quality Management

• However, the officers at the lower levels (AEs and JEs) need more attention and training in Quality aspects

• These officers are directly responsible for the quality of works at site. Any error, due to an officer’s incompetence may have serious implications

• Officers with oversight responsibility of execution of projects (EEs and SEs) need to be updated on QM procedures and standards

UPSRP IDS

Categorization of Officers based on Quality Management Training Requirements

Category I

• Specialist Quality Management Personnel in HQ QM Cell, Zones, Circles and Divisions

• Personnel in charge of Implementation of ISO 9000

Category II

• Engineers responsible to ensure Quality in their Works

Category III

• Technical Personnel in charge of Testing in Zonal and District Laboratories

• AEs/JEs responsible for field level testing


UPSRP IDS

Categorization of Officers based on Quality Management

Categories Officers Training Level

•Category I :

Officers working on specialist Quality functions i.e., officers in Quality Management (QM) Unit and Quality Management in charges in zones, circles and divisions

Advanced level training

Policy makers, Implementers/ monitors Trainers

•Category II :All PWD officers who are required to take care of the Quality requirements in their work (EE and AE)

User level training, hands-on experience in sampling, testing and interpretation of test data

•Category III : Technical persons in Laboratories (JE and Lab. Technician)

Training in testing, equipment and testing procedures

Report No. 30 : Suggestions for implementing (in-conjunction with new training / HRD cell) on-going PWD-wide project quality management training

Training requirements

UPSRP IDS

Broad Contents of Training in Quality Management

QUALITY MANAGMENT LEVELS DESIGNATION


III

III

CE, SE,QM Unit Staff

EEAE, JE

o Quality management conceptso Quality planningo Quality controlo Quality assuranceo Quality audit and quality improvement

● Construction Procedure and Methodology

IIIIIIII

EEAE, JE

QM Unit Staff

o Quality control operationso Quality control in concretingo Quality control in earthworkso Quality control in rigid pavementso Quality control in flexible pavementso Quality control in structureso Quality control in other constructions and

serviceso ISO 9000 and total quality management


UPSRP IDS

Training Providers Standard Training Programmes

NITHE, NOIDA

Quality Control in Road & Bridge ProjectsConstruction Supervision of Road & Bridge Projects

Quality Assurance Systems and TQM for Highway Projects

NICMAR PUNE & Centres at Delhi, Mumbai and HYD Construction Quality Management

CRRI, New DelhiRigid and Composite Pavements: Design, Construction & Quality Control AspectsFlexible Pavements

CPWD Training Institute, Ghaziabad Design, Construction and Quality Control of Bituminous Pavements

(B) Customised Training Courses for UP PWD’s needs (in collaboration with reputed Training Providers)


Suggested Training Plan and Implementation Strategy

(A) Nomination to Standard Training Courses

UPSRP IDS


Training Courses Target Group Total Number

Duration (days)

No. of participants per course


Year 1

Training Days in a Year

Quality Management

Members of the Specialists Cells from CE to AE in HQ and Field Units

40 15 15- 20 2-3 2-3 30-45

Total 30-45

Training Plan for Category I Personnel

Implementation Strategy for training of Category I Personnel

• Nominations to External Training Programmes

• Tailor-Made Training Programmes in Partnership with Reputed Institutions. Participants maybe sent to the Institute or Institute faculty deliver programmes in UP


UPSRP IDS



Training Plan for Category II Personnel

Target Group Module CE SE EE AE JE Total Duration

(days) No. of

participants per course


Y 1 Y 2 Y 3 Training

Days in a Year

Quality Management 357 1366 4176 5899 10 20-25 295 10 10 10 100

UPSRP IDS


Implementation Strategy for training of Category II Personnel

Through In-house training. Organize training at 3-4 locations at a regional level

• Develop ‘own’ training facility and faculty from selected SE’s / EE’s / AE’s (serving and retired), and trained as ‘Trainers’, as well as consultants etc. Selected Quality Management Unit personnel may also be identified as potential trainers for the general training in Quality Management

• Standardised training material should be developed to ensure standardisation of the courses to be repeated at various locations

• Development of the module and the ‘training of trainers’ arranged with the help of NITHE / CRRI / ESCI/ Consultants etc


Training Plan for Category II Personnel (contd..)

UPSRP IDS


Training Plan for Category III Personnel (Technicians /Testing Personnel)

• Training to be provided at laboratories at the District and Zone level• The new equipment suppliers to be requested to provide training to the officers

along with the installation and calibration phases as a part of On-the-Job Training (OJT)

• The State Research Centre should also be involved in this process. Some training at an advanced level may be organised at the State Research Centre, Lucknow

Implementation Strategy for training of Category III Personnel

The district and zonal laboratories will also serve as training centres for regional level training and on-the-job training (OJT) of technicians / testing engineers as required



January 2008 i

ANNEXURE – A : CURRICULUM OF FOUNDATION COURSE FOR NEW ENTRANTS IN ENGINEERING SERVICE OF PUBLIC WORKS DEPARTMENT OF UTTAR

PRADESH

COURSES TO BE RUN BY P.W.D.

(65 COURSES)

(90 DAYS COURSE) TOTAL LECTURES-105

INCLUSIVE OF LABORATORY TRAINING, SITE DEMONSTRATION, GROUP DISCUSSION AND EVALUATION

ROAD SCENARIO

1. Scenario of Road Development in Uttar Pradesh and Broad Classification of Roads. 2. Development of Road Network and Associated Socio-economic and Ecological Area

Development. 3. State Road Policy

PRELIMINARY AND CONSTRUCTION REQUIREMENT

4. Road Surveying Techniques, Formation of Lay outs and Alignments 5. Land Acquisition Rules and Methodology of Land Acquisition for Road Construction. 6. Layout Criteria and Laws for Public Utility Serves viz.

• Level Crossings

• Religious Structures

• Historical Monuments

• Petrol Pump

• Fly-overs

• Road Safety Aspects

PAVEMENT AND CROSS DRAINAGE DESIGNING

7. Identification of Soil Types and Determination of Bearing Capacity of Soils. 8. Sub-grade/Sub-base Strengthening Materials in Salt-infested and Water-logged areas for

Road Construction 9. Damage Prevention Specifications for Road Construction in Black Cotton Soil Areas 10. Traffic Census Methods, Determination of Standard Axle Loads and Passenger Car Units

for Pavement Designing.


January 2008 ii

11. Flexible Pavement Design and Layer Equivalencies of Various Non-bituminous and Bituminous Courses.

12. Deflection Techniques and their use in Overlay Designs 13. Guidelines for Flood Assessment and Preventive Measures 14. Culvert Designing and Drainage Development System

EVALUATION OF CONSTRUCTION MATERIALS

Evaluation of Construction Materials

15. Bricks/OBBB 16. Stone Metal 17. Stand/Filling Materials 18. Blending Material/Screening Materiel 19. Bituminous Materials including emulsions and Cutbacks 20. Bitumen Modifiers including Polymers and Rubbers etc. 21. Cement 22. Lime 23. Geo-synthetic Materials 24. Steel Bars 25. Industrial Wastes

ESTIMATE PREPARATION AND SANCTION

26. Preparation of Schedule of Rate 27. Estimation Preparation 28. General Requirement for Sanction of Works, Budgetary Planning, Administrative

Approval and Technical Sanction of Works 29. Tender Process for Road Construction Work with special reference to Vertical Tenders

and Built-Operate-Transfer Policy.

WORK PLANNING AND MANAGEMENT

30. Material Management Techniques, Inventory Control and Work Planning for Road Construction.

31. Road Construction Machines and Plants

EARTHWORK

32. Determination of Borrow area and Principles of Cartage of Earth for Road Construction 33. Stabilised Roads and Techniques of increasing Serviceability of Kaccha Roads 34. Earthwork Equipment, Methodology and Measurement Techniques


January 2008 iii

CONSTRUCTION OF SUB-BASE AND BASE COURSES

35. Construction of Granular Sub Base and Bases with special reference to WBM and WMM 36. Construction of Bituminous Levelling Course like lean Bituminous Macadam 37. Construction of Bituminous Base Courses BUSG, BM and DBM

DESIGN OF BITUMINOUS MIXES AND CONSTRUCTION OF BITUMINOUS COURSES

38. Designing of Bituminous Mixes 39. Construction of Painted Surface with Single or Two-coat Surface Dressing with Special

Reference to Design Procedure for Surface Dressing 40. Construction of Mix Seal Surfacing 41. Construction of Semi-Dense Asphaltic Concrete 42. Construction of Dense Asphaltic Concrete 43. Construction of Full depth asphaltic Concrete 44. Construction of Airfield with hot-mix-hot laid bituminous Paving Materials 45. Construction of Traffic Intersection and Bridge decks with Mastic Asphalt

PAVEMENT MAINTENANCE AND MANAGEMENT SYSTEM

46. Pavement Management System 47. Pavement Evaluation Techniques and Norms 48. Pavement Maintenance Systems with Special Reference to Repair of Pavements and

Damage Control Measure

• for potholes

• cracking

• depressions

• rutting

• slippage/creep of the surface

49. Rehabilitation of Pavement by Pavement Recycling

HILL ROADS

50. General Construction method for hill roads, causeways, submersible bridges and Scuppers.

51. Land slides and Safety Measures


January 2008 iv

BRIDGE CONSTRUCTION AND MANAGEMENT

52. Criteria for Site Selection of Bridges 53. Bridge Construction Stages and Management 54. Rules for Toll Tax Collection and Levies on Bridges 55. Construction and Maintenance of Pontoon Bridges and Road Bridge Ferries

BUILDING CONSTRUCTION AND MAINTENANCE

56. Design Systems for Single and Multi Storied Buildings 57. Earthquake Resistant Building Designs and damage Preventive Measures for Existing

Structures Construction Requirements for 58. RCC and RB work 59. Steel Structures 60. Brick Work 61. Wood Work 62. Painting and Varnishing 63. Floorings 64. Kitchen fixtures 65. General Installations 66. Maintenance of Buildings 67. Fire Prevention Measures in Multi-storied buildings 68. Electrification of Buildings 69. Rehabilitation & Repair of old buildings/Structures using new techniques 70. Dismantling of Old Structures-Process and Precautions


January 2008 v

MODULES FOR IN-SERVICE TRAINING OF ENGINEERS

MODULES TO BE TAKEN UP BY PWD

Assistant Engineers (5 days Course)

Executive Engineers (3 days Course)

Superintending Engineers (2 days Course)

Total Lectures-82 Total Lectures-46 Total Lectures-31

1.

MODULE-1 Modern Road Surveying Techniques and Ribbon Development 1. Modern Equipment used for Surveying

Techniques 2. Formation of Lay-outs and Alignments 3. Preparation of L-sections and X-sections 4. Ribbon Development in Rural Areas

Modern Road Surveying Techniques and Ribbon Development 1. Verification of Lay-outs and Alignments 2. Site Checking of L-sections and X-sections 3. Ribbon Development in Rural Areas

Strategies for Rural and Network 1. Network Planning of Rural Roads

2.

MODULE-2 Earthwork for Road Construction and Approaches of Bridges 1. Identification, Classification of Soils and their

Utility Determination 2. Selection of Borrow Areas 3. Scale of Sampling 4. Soil Testing Procedures 5. Conclusion of Results 6. Updated Testing Techniques 7. Compaction Equipments 8. Compaction Methods 9. Evaluation and Measurement of Earthwork

Payment Procedures

Earthwork Methodology 1. Scanning of Soil Test Results and Selection

of Borrow Areas 2. Updated Soil Testing Techniques 3. Earth Compaction Methods and Compaction

Equipments 4. Earth-Fills

Update for Earthwork Technology 1. Evaluation of Earthwork 2. Development of Central Data System for

Earthwork Monitoring 3. Use of Geofabrics in Approaches and Slopes


January 2008 vi




3.

MODULE-3 Flexible Pavement Design 1. Traffic Census Procedure and Data

Compilation 2. Calculation of Million Standard Axles and

Passenger Car Units 3. Proctor Density and Modified Proctor Density 4. CBR Determination 5. Deflection Techniques 6. Pavement Thickness and Width of Pavement

Determination 7. Layer Equivalency of Bituminous and Non-

bituminous Layers 8. Choice of Surfacings and Environmental

Factors 9. Total Pavement Design 10. Life of various Surfacings

Pavement Design Systems 1. A Preview of Flexible and Rigid Pavement

Design Concepts 2. Stage Construction of Roads 3. Layer Equivalency of Bituminous and Non-

Bituminous Layers 4. Updated Deflection Techniques for Overlay

Design 5. Choice of Surfacings and Environmental

Factors

Pavement Composition and Design Analysis 1. Pavement Structure Composition and

Limitations of Pavement Design System 2. Environmental Considerations in Selection of

Bituminous Materials and Bituminous Surfacing

4.

MODULE-4 Bituminous Construction 1. Classification of Bituminous Courses 2. Comparison of Various Bituminous Course

Specifications and Unique Features of Each Specification

3. Design Methods for Bituminous Mixes: a. Laboratory Methods of Mix Design b. Field Methods of Mix Design c. Evaluation Methods of Mix Design

4. Machinery for Bituminous Construction

Bituminous Materials and New Construction Techniques 1. Unique Features of Bituminous Courses 2. Evaluation Methods of Mix Design 3. Modern Bituminous Construction 4. New Bituminous Paving Materials 5. Damage Control in Roads:

a. Salt-infested and Water-logged Areas b. Black Cotton Areas

Evaluation of Bituminous Construction Techniques 1. New Bituminous Paving Materials 2. Unique Features of Bituminous Courses 3. Modern Bituminous Construction


January 2008 vii




5. Classification and Evaluation of Bituminous Materials a. Straight Run Bitumen b. Oxidised Bitumen c. Cut Back d. Bituminous Emulsions e. Polymer Modified/Rubber Bitumen f. Specialised Techniques of Bituminous

construction in a. Salt-infested and Water-logged Areas b. Black Cotton Areas

g. Laying of Mastic Asphalt at Traffic Intersections and Bridge

5.

MODULE-5 Maintenance Management and Pavement Rehabilitation 1. Symptoms and Causes of Pavement

Failures/Damages 2. Damage Control Measures for Pavement

Systems 3. Integrated Pavement Management System 4. Pavement Evaluation Techniques:

a. Bump Integrator and Roughometer b. Anti-skid Measurement Devices c. Serviceability Index

5. Service Life of Various Bituminous Layers 6. Causes of Premature Failures of Bituminous

Pavements 7. Recycling of Bituminous Pavements 8. Renewal of Bituminous Courses

Pavement Evaluation and Preventive Maintenance 1. Pavement Failures and Remedial Measures 2. Integrated Pavement Management System 3. Pavement Evaluation Techniques:

a. Bump Integrator and Roughometer b. Anti-skid Measurement Devices c. Serviceability Index

4. Service Life of Various Bituminous Layers 5. Recycling of Bituminous Pavements

Pavement Evaluation Tools and Modern Maintenance Technology 1. Integrated Pavement Management System 2. Pavement Evaluation Techniques:

a. Bump Integrator Roughometer b. Anti-skid Measurement Devices c. Serviceability Index

3. Recycling of Bituminous Pavements


January 2008 viii




6.

MODULE-6 Integrated Quality Management of Roads 1. Quality Control 2. Quality Promotion 3. Quality Assurance/Quality Circle

Quality Management of Roads 1. Quality Management System

Total Quality Management Concepts 1. Quality Management Concept and Future

Strategies

MODULES FOR IN-SERVICE TRAINING OF ENGINEERS MODULES TO BE TAKEN UP BY IMDUP

7.

MODULE-7 Financial Management System 1. Budgetary Preparation & Operative Heads of

Accounts and Reconciliation of Accounts 2. Annual Audits

a. SE Office Audit b. AG Office Audit

3. Allotments of Funds & Cash Credit Limits 4. Stores & Store Purchase Rules Checking of

Stores 5. Financial Powers of PWD Officers 6. Travelling Allowance Rules 7. Administrative Approval & Technical Sanction

of Estimates 8. Temporary Sanction of Labour and

Disbursement of Temporary and Permanent Imprest

9. Preparation of Tender Documents Contract Bonds. Work Orders and Piece Work Agreements

10. Measurement Process, Measurement Book & Checking

Measures for Effective Financial Control 1. Preparation of Vertical Tender Documents

and Contact Bonds 2. Public Accounts Committee and Reply of

Audit Reports 3. Rules regarding use of Government Vehicle

and Telephone

New Dimensions of Fiscal Management 1. Built-Operate-Transfer Policy for Road

Construction 2. Future Fiscal Management Studies for PWD


January 2008 ix




11. Preparation of Main and Subsidiary Cash Book

12. Public Accounts Committee and Reply of Audit Reports

13. Rules regarding use of Government Vehicle and Telephone

8.

MODULE-8 Administrative Management System 1. Definition of Cadre & Service Rules for

Various Cadres 2. Adhoc & Substantive Appointments 3. Regularisation Rules 4. Rules for Relaxation of Service Conditions 5. Confirmation of Services 6. Government Service Conduct Rules 7. Classification Control and Appeal Rules 8. Disposal of Complaints 9. Preparation of Charge Sheet 10. Preparation of Suspension Orders 11. Procedure for Disposal of Court Cases

Procedural System for Administrative Management 1. Govt. Service Conduct Rules 2. Classification Control and Appeal Rules 3. Disposal of Complaints 4. Procedure for Disposal of Court Cases

Enquiries and Implementation of Court Orders 1. Disposal of Complaints and Enquiry System 2. Procedure for Implementation of Judgement

of Court Cases

9.

MODULE-13 Human Resource Development 1. Human Resource Development 2. Motivation

Organisational Behaviour 1. Organisational Behaviour 2. Transactional Analysis 3. Performance Appraisal

Organisational Planning & Monitoring 1. Human Resource Development 2. Organisational Behaviour 3. Performance Appraisal 4. General analysis and storage of Technical

data 5. Transactional Analysis


January 2008 x




10.

MODULE-9 Evaluation of Cost Benefit Ratio 1. Cost Benefit Ratio 2. Direct and Indirect Returns of Road

Construction 3. Socio-economic and Ecological Aspects of

Road Construction 4. System of Rehabilitation of Affected People

due to Road Construction

Return Based Road Planning 1. Cost Benefit Ratio 2. Socio-economic and Ecological Aspects of

Road Construction 3. Systems of Rehabilitation of Affected People


Significant Aspects of Road Planning 1. Socio-economic and Ecological Aspects and

Construction 2. Systems of Rehabilitation of Affected People


11.

MODULE-10 Building Construction 1. Architectural Planning of Buildings 2. Building Materials-Specifications and Testing 3. Design Systems for Single and Multi-Storied

Buildings 4. Rehabilitation & Repair of Old Buildings

/Structures using new Techniques 5. Building Construction in Seismic-Zones 6. Low-cost Housing Construction Techniques

Updated Building Construction Techniques 1. New Building Construction Materials and

Uses 2. Innovative Building Construction Techniques 3. Rehabilitation & Repair of Old Buildings

/Structures using New Techniques 4. Building Construction and Maintenance in

Black Cotton Soil Areas

Innovative Technology of Building Construction and Rehabilitation 1. Construction of Hi-rise Buildings 2. Earthquake Resistant Building Construction

Technology 3. Rehabilitation & Repair of Old Buildings

/Structures using New Techniques

12.

MODULE-11 Bridge Construction 1. Bridges: Classification and Construction

Techniques 2. Site Selection of Bridges 3. Construction and Maintenance of Pontoon

Bridges and Roads Bridge Ferries 4. Rules for Toll Tax Collection and Levies on

Bridges 5. Construction of Fly-overs

Bridge Related Support Systems 1. Site Selection of Bridges 2. Toll Tax Collection and Levies on Bridges 3. Flood Damage Control Measures 4. Location and Construction of Fly-overs

Preventive Maintenance of Bridges 1. Flood Damage Control Measures 2. Preventive Maintenance of Bridges with

special reference to Epoxy Treatment for Crack Sealing


January 2008 xi




13.

MODULE-12 Hill Roads Construction 1. General Construction method for Hill Roads,

Causeways, Submersible Bridges and Scuppers

2. Land slides and Safety Measures

Special Features for Construction in Hill Areas 1. Special Features for Hill Road Construction 2. Management of Land Slides

Pre-Requisites for Construction in Hill Areas 1. Hill Safety Committee and Its

Recommendations 2. Normative Standards for Site Selection for

Buildings and Bridges in Hilly Areas


January 2008 i

ANNEXURE – B: COMPETENCY OF OFFICERS (TNA FINDINGS)

Competency Levels of Chief Engineers Level of competence

Key Areas Awareness Exposure Basic

Knowledge

Ability to

work

Worked in Past

Working Presently

Likely to work in future

1. Quality Management Quality policy & systems 100% 80% 70% 50% Auditing 100% 60% 50% 30% Material Testing 100% 90% 80% 80% Specification 100% 90% 80% 80% Construction Procedure & Methodology 100% 90% 80% 80%

50% 70% 50%

Competency Levels of Superintending Engineers

Level of competence


Knowledge

Ability to

work

Worked in Past

Working Presently



42% 21% 26%

Competency Levels of Executive Engineers

Level of competence


Knowledge

Ability to

work

Worked in Past

Working Presently



25% 20% 34%


January 2008 ii

Competency Levels of Assistant Engineers

Level of competence


Knowledge

Ability to

work

Worked in Past

Working Presently



31% 23% 34%

Competency Levels of Junior Engineers

Level of competence


Knowledge

Ability to

work

Worked in Past

Working Presently


1. Quality Management

Quality policy & systems 100% 20% 18% 3%

Auditing 100% 12% 10% 3%

Material Testing 100% 22% 20% 7%

Specification 100% 25% 25% 7% Construction Procedure & Methodology 100% 28% 25% 7%

18% 13% 22%

National Institute for Training of Highway Engineers (NITHE) (Ministry of Shipping, Road Transport & Highways, Govt. of India) Training Calendar for the year 2007-2008 S. No. Name of Training Programmes Location Training

Days Participation Level/Equival.

Course Fee per participant

Apr, 2007 Dates

May, 2007 Dates

Jun, 2007 Dates

Jul, 2007 Dates

Aug, 2007 Dates

Sep, 2007 Dates

Oct, 2007 Dates

Nov, 2007 Dates

Dec, 2007 Dates

Jan, 2008 Dates

Feb, 2008 Dates

Mar, 2008 Dates

1. Foundation Course for newly recruited engineers Noida 6 weeks AEE/AE Equl Rs.72,000/- 17 Dec - 25 Jan 2. Refresher Course for Executive Engineers Noida 5 days EE Equivalent Rs.10,000/- 23-27 3. Refresher Course for Superintending Engineers Noida 5 days SE Equivalent Rs.10,000/- 19-23 4. Refresher Course for Mechanical Engineers Noida 5 days SE/EE/AE Equl Rs.10,000/- 23-27

5. Feasibility Study and Preparation of Detailed Project Reports (DPR) for Road Projects Noida 6 days EE/AEE/AE

Equivalent Rs.12,000/- 2-7 26-01

6. Feasibility Study and Preparation of Detailed Project Reports (DPR) for Bridge Projects Noida 6 days EE/AEE/AE

Equivalent Rs.12,000/- 10-15 4-9

7. Design, Construction & Maintenance of Rigid Pavements Noida 3 days EE/AEE/AE/JE

Equivalent Rs.6,000/- 7-9 28-30

8. Design, Construction & Maintenance of Flexible Pavements Noida 3 days EE/AEE/AE/JE

Equivalent Rs.6,000/- 6-8 12-14

9. Modern Trends in Design & Construction of Bridges, Elevated Structures, Under Passes and Tunnels Noida 4 days EE/AEE/AE/JE

Equivalent Rs.8,000/- 8-11 3-6

10. Bridge Inspection, Rehabilitation and Maintenance Management System Noida 5 days EE/AEE/AE

Equivalent Rs.10,000/- 10-14

11. Pavement Inspection, Repair & Rehabilitation Noida 3 days EE/AE Equl. Rs.6,000 20-22

12. Modern Techniques of High Embankment Constn. on soft soil & Geosynthetics soil structures Noida 4 days EE/AEE/AE


13. Road Safety and Road Safety Audit Noida 5 days SE/EE Equl. Rs.10,000/- 7-11

14. Environmental and Social Impact Assessment in Highway Projects Noida 3 days SE/EE


15. Planning, Design, Construction and Operation of Expressways Noida 3 days EE/AEE/AE


16. Planning, Design, Construction and Maintenance of Hill Roads Noida 5 days EE/AEE/AE/JE


17. Planning, Design, Construction, Supervision and Maintenance of Rural Roads (PMGSY Projects) Noida 5 days EE/AEE/AE/JE


18. Preparation of Claims, Disbursement Procedures, Accounting and Auditing of Externally Aided Projects Noida 3 days AEE/AE/JE/AO


19. Guidelines and Codes of Practice for Design and Construction of Bridges and Elevated Structures Noida 4 days EE/AEE/AE

Equivalent Rs.8,000/- 7-10 3-6

20. Quality Control in Road & Bridge Works Noida 5 days AEE/AE/JE Eq. Rs.10,000/- 7-11 10-14 21. Construction Supervision of Road & Bridge Projects Noida 5 days EE/AE/JE Equl Rs.10,000/- 23-27 19-23

22. Quality Assurance Systems and TQM for Highway Projects Noida 3 days EE/AEE/AE


23. Computer Aided Highway Design Noida 3 days EE/AE Equl. Rs.6,000/- 10-12 28-30 24. Computer Applications in Highway Engineering Noida 3 days EE/AE Equl. Rs.6,000/- 26-28 18-20 25. Contract Management for Highway Projects Noida 3 days EE/AE Equl. Rs.6,000/- 25-27 26. Dispute Resolution in Highway Projects Noida 3 days EE/AE Equl. Rs.6,000/- 18-20 27. HDM-4 Noida 3 days EE/AE Equl. Rs.6,000/- 13-15 3-5 28. Disaster Management in Highway Sector Noida 3 days SE/EE/AE Equl Rs.6,000/- 18-20 29. Management Development Programme Noida 5 days SE/EE Equl. Rs.10,000/- 3-7 30. Chief Executive’s Development Programme Noida 3 days Secy./EinC/CE Rs.6,000/- 28-30 31. Public Private Partnership in Highway Projects Noida 5 days CE/SE/EE Eq. Rs.10,000/- 11-15 8-12 14-18

Sponsored/International and Regional Training Programmes : To be organised on request from all the concerned All programmes are residential (fee is including lodging & boarding). * No course fee for Engineers nominated by M/o Shipping, Road Transport & Highways and State Public Works Departments/Union Territories, except lodging & boarding charge if hostel accommodation is availed. However, course fee for sponsored programmes will be charged.

Details about the Course Contents may be obtained from: Shri VL Patankar, Director, NITHE, 0120-2251886, [email protected] Shri Dinesh Sharma, Dy. Director, 0120-2551887, 9868146134 (M), [email protected] Tel/Fax: 0120-2400085, 2400086, Email : [email protected], Website : www.nithe.org

*

ANNEXURE - C