Guidelines

for
Performance Evaluation of the State Quality Monitors

1. Background: The PMGSY Guidelines inter alia envisage that ensuring the
quality of the road works is the responsibility of the State Governments, who are
implementing the Programme. Accordingly, a three-tier Quality Control mechanism is
stipulated of which the State Governments are responsible for the first two tiers of the
Quality Control Structure. At the Second tier of the Quality Control structure, periodic
inspections of works should be carried out by Quality Control Units, set up / engaged by
the State Government, independent of the Executive Engineers / PIUs. These officers /
Agencies (called as State Quality Monitors) are expected to carry out regular inspections
and also get samples of material used tested in laboratories of the State Government as
well as, in certain cases, independent laboratories, say those of the State Technical
Agencies.

As stipulated in the para 11.5.1 of Operations Manual the function of the 2nd tier of
independent quality management is to improve the quality and effectiveness of the
enforcement process. This includes

(i) Checks to ensure that the 1st tier is properly functional

(ii) Independent quality tests to verify that the quality control system is achieving
its intended objective
(iii) Detection of systemic flaws in the quality control process and action to
improve the process
(iv) Independent supervision of deterrent and punitive measures in respect of the
1st tier and the Contractor

Further, in order to be able to take an independent, impartial and dispassionate view of

quality control, it is essential that the 2nd tier should have no stake in the outcome. In other
words it should have nothing to do with the day-to–day or supervisory management or
administration of contracts so that issues of legal action against the contractor, disciplinary
proceeding against PIU officials, accountability to audit etc. do not colour its judgment or
actions. Under the second tier of quality mechanism, detailed guidelines for monitoring of
quality of the road works have also been prescribed by NRRDA. The method of inspection
of works, making observations and reporting has been standardized with a view to
minimize subjectivity in reporting. As per the guidelines, the SQM also has to upload the
abstracts of the quality grading for each item of work along with requisite number of
digital photographs in OMMAS.
With a view to ensure clear understanding of the SQM Guidelines, NRRDA had also
organized a number of training-cum-orientation programmes for SQC and selected SQMs

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of all States. During these programmes, the States were advised to assess the training
needs of their SQMs and impart them training through the SQMs trained in these training-
cum-orientation programmes.

2. Performance Review: As above, the Second tier of quality mechanism is an

important aspect of PMGSY and the performance of State Quality Monitors is critical for
the programme, therefore, the performance of State Quality Monitors needs to be
evaluated by the concerned SRRDAs on regular basis. Assessment in respect of the
following aspects is required to be covered during the performance evaluation:

a. Whether the SQM has carried out inspection as per the guidelines prescribed
under the 2nd tier;
b. Whether there is any lack of application of mind by SQM in recording
observations;
c. Whether there is a tendency to avoid desirable technical observations;
d. Whether the SQM has left inspection format incomplete without any reason;
e. Whether the SQM has filled up formats mechanically without appropriate
testing or observations in a professional manner.
f. Whether the SQM has uploaded the quality grading abstracts and the requisite
number of photographs in OMMAS

3. Independent Committee: The review of reports of SQMs shall be carried out by

an independent Performance Evaluation Committee constituted by concerned State
Government. The Evaluation Committee may consist of the following:

a. Two members of STAs/ PTA of the concerned State – Member

b. One Retired Engineer not below the level of CE – Member
c. SQC - Convener

If State desires, one NQM could also be nominated by NRRDA. The performance
evaluation of SQMs shall be based on review of 5-10% of the inspection reports or
number, say 10, whichever is more, for inspection conducted in last one year just
preceding the month of review.

4. System for Performance Evaluation of the State Quality Monitors

The evaluation of every item and sub-item of inspection shall be carried out and the
observations of the performance evaluator shall be quantified in terms of marks. Item and
sub-item wise maximum marks shall be as per enclosed marking format (Evaluation
Sheet). The marks obtained shall be filled up by the evaluator in the prescribed column.
Based on the provision of specific item or sub-item of work, total maximum marks will
not remain same in all cases and will vary depending upon the stage of the road work at

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which SQM has visited. Therefore, instead of absolute totals, a percentage will be taken
for the evaluation.

Marking Methodology for Performance Evaluation of SQMs:

Marking shall be done in the following manner given below. For easy understanding,
guidelines for Quality Monitoring under Second Tier of Quality Mechanism including
formats are attached for ready reference.

4.1 Setting out and Working Drawing: The SQM is required to make
observations on the basis of establishment of bench mark and center line and
availability of drawings. Maximum marks would be 4 as detailed in performance
evaluation sheet.
4.2 Site Clearance and grubbing: The SQM is required to make observations
on the basis of site clearance and use of salvageable martial. Maximum marks would
be 2 as detailed in performance evaluation sheet.
4.3 Observations on Quality Arrangements: The observations of SQM on
establishment of field laboratory, availability of equipments and use of equipments
may be evaluated. For these items 3 marks are prescribed.
The observation regarding mandatory tests, QC Register may be evaluated for these
items 2 marks are prescribed.
The results are required to be compared with the test results by the PIU in QC
Register. It should be seen whether the SQM has made efforts to verify these results
and 1 mark is prescribed for this item.
4.4 Observations on Geometrics: In case of ongoing/ completed works, the
SQM is supposed to measure the width of road way and carriage way, super
elevation and extra widening at curves at a defined chainage and is required to offer
the comments about the adequacy for which 6 marks are prescribed.
4.5 Observation on Quality of Items of Work: The SQM is required to make
observations on the basis of hand feel tests or detailed test in respect of all the items
of construction. He is required to get test pits dug to facilitate observations. Sub-item
wise marking will be done in the following manner:

(i) Earth work: Maximum marks 10. The marking will depend on the quality
of observations made by SQM in case of three sub-items detailed in
performance evaluation sheet for item 5A or four sub-items for item 5B.
(ii) Sub-Base: Maximum marks 10. The marking will depend on the quality of
observations made by SQM in case of four sub-items detailed in
performance evaluation sheet.
(iii) Base Course: Maximum marks 10. The marking will depend on the quality
of observations made by SQM in case of five sub-items detailed in
performance evaluation sheet.
(iv) Bituminous Course: Maximum marks 10 for Bituminous Courses.. In case
of on-going works, grading of aggregate, binder and temperatures are to be
observed by SQM. In case of completed work, the thickness and surface
evenness is to be observed by SQM.
(v) The marking will depend on the quality of observations made by SQM as
detailed in performance evaluation sheet.
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 (vi) Shoulders: Maximum marks 5. The marking will depend on the quality of
observations made by SQM in case of three sub-items detailed in
performance evaluation sheet.
(vii) CD Works: Maximum marks 8. The SQM has to see adequacy of CDs and
its quality. The marking will depend on the quality of observations by SQM
with respect to location, type and quality of CDs.
(viii) Side Drains and Catch Water Drains: Maximum marks 4. The SQM has
to see adequacy of drains and its quality. The marking will depend on the
quality of observations made by SQM.
(ix) CC Pavement and Drains: Maximum marks 10. The SQM has to see the
quality of CC pavement / semi-rigid pavements etc. and drains including
their integration with CDs. The marking will depend on the quality of
observations by SQM as detailed in performance evaluation sheet.
(x) Road Furniture and Markings: Maximum mark 5. The SQM has to see the
fixing of furniture and the quality. The marking will depend on the quality of
observations by SQM.

4.6 Inspection of roads under Maintenance: The State may also depute SQMs
to access maintenance activities being carried out in the completed road works. The
SQM is expected to clearly point out the defects noticed in road during his inspection
and shall also report the current Pavement Condition Index (PCI) of the road as per
the methodology contained in Annexure-14.7 of Operational Manual or by use of
appropriate equipment.

4.7 Special Conditions:

a. Marking in case of Contradictory Remarks: If SQM has made such a
remark in any item which is contradictory to remarks made in earlier part of
the report, zero mark will be awarded in the item or sub-item where this
remark has been given. Zero mark will also be awarded for that item or sub-
item for which the earlier observations have been later contradicted.
b. Marks for not recording any observations: If the SQM has not recorded
any observations without giving reasons, Zero mark shall be awarded in that
particular item/sub-item.
c. Marks in case of Incorrect Grading: If observations made for any item
does not commensurate to the grading awarded to that item, zero mark would
be awarded to the corresponding item as given in clause 3.2 above.
d. Marking in case of wrong Overall grading: If the calculation of overall
grading in the hard copy of the SQM report is not as per guidelines, it would
be a fair indicator of the care and sincerity of SQM. No marking would be
done in such a case and word “wrong overall grading” would be written on
evaluation sheet.
4.8 Performance Ratings and Summarization:

Performance rating of the SQM would depend on the average of marks

obtained in all the evaluated reports. The summary sheet shall be filled up by the
evaluator on the basis of average of observations in all the evaluated reports.

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 Annexure-I

Performance Evaluation Sheet

Name of SQM
(if name coding not done):
Code of SQM:
Name of Work:
Work Ongoing or Complete:
District:
Date of SQM visit:

# Item Sub Item Stage of Work Max. Marks Marks

Marks wherever Obtained
Applicable
Bench Mark and All Stages 1
Centre line
Setting out
Availability of
1 and working
working All Stages 3
Drawing
drawing
Total 4
Site Clearance Stage I 1
and Grubbing
2 Site clearance Re-use of
and grubbing Salvageable Stage I 1
Material
Total 2
Field Lab All Stages 3
No. of
mandatory Test All Stages 2
3 Quality as per prescribed
Arrangements Frequency
Maintenance All Stages 1
QC Registers
Total 6
Road way and 2 per km in every
1
width inspection
Carriageway 2 per km in every
1
width inspection
Camber 2 per km 2
4 Geometrics
Super-elevation
& Extra 1 curve in each
2
Widening at km
Curves
Total 6

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# Item Sub Item Stage of Work Max. Marks Marks
Marks wherever Obtained
Applicable
Quality of material In State-1, 1 per
for embankment km/ In Stage-II 1
/sub-grade or III, 1 per km
Earthwork
and Sub- Compaction In Stage-1, 2 per
5A Grade in km / In Stage-II 6
Embankme or III, 2 per km.
nt/Cutting Side slope and 2 per km in
Profile 2
Stage III
Total 10
Stability and Stage 1 and II,
Workmanship of at 2 critical
Cut Slopes location with
2
maximum
height of cutting
in each km
Adequacy of Slope All Stages – in
Protection 1
general
Earthwork Upon completion All Stage II/III,
in Cutting of formation at 2 critical
5B in cutting, dressing, locations with
Hilly/Rollin traffic worthiness 2
maximum
g Terrain height of cutting
in each km
Longitudinal Stage II/III, 1
Gradient critical and
fairly
5
representative
stretch of
200mm on each
Total 10
Grain Size In Stage-II or
2
III, 1 per Km
Plasticity In Stage –II or
2
III, 1 per km
6 Sub-base Compaction In Grade-II or
4
III, 1 per Km
Total Thickness of 2 per km 2
Layers
Total 10
6
# Item Sub Item Stage of Max. Marks Marks
Work Marks wherever Obtained
Applicable
Grain Size of Course In State-II or
2
Aggregate III, 1 per Km
Test for Liquid
Limit and Plasticity
In State-II or
Index in case fine 2
III, 1 per km
aggregates are
crushable type I
Volumetric Analysis
Base Course- In State-II or
for assessment of
Water Bound III, 1 per 2
7 Compaction of
Macadam Km.
WBM
Surface Evenness In completed
using straight edge WBM 2 tests 1
per km
Thickness of every
layer of WBM 2 per km 3

Total 10
Level C/Cleanliness
of WBM surface
1 per Km 1
prior to application
of bituminous
Quality of Prime
1
Coat Track Coal
observation
with respect of 1
on the day of
quality of material
inspection
and
Gradation Test for
Bituminous Course Aggregate (if 1 test on the
Layer – day of 2
the work in the item
Premix inspection
8 is)
Carpet Grade of bitumen
(PMC/surface and temperature at 1 test on the
Dressing SD) the time of mixing day of 2
inspection
and laying (if the)
Bitumen Extraction
1 test per
Test if PMC is 1
Km
complete
Thickness of Layer 2 per Km 2
Surface evaluation in
case of completed 2 per Km 1
BT Work
Total 10
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# Item Sub Item Stage of Max. Marks Marks
Work Marks wherever Obtained
Applicable
In State-II or
Quality of Material 1
III, 1 per km
In State-II or
Degree of Compaction 2
Shoulders III, 1 per km
9
In State-II or
Thickness of layer 2
III, 1 per km.
Total 5
Quality of Material
Concrete, Stone/Brick,
Cross All Stages 4
Masony, Hume pipes
Drainage including size etc.
works
Quality of
10 causeways
workmanship such as
of all spans
positioning of pipes, All Stages 4
and
wing walls, cushion
Culverts
over H pipes etc.
Total 8
General quality of
Side Drain Side Drains/Catch All Stages 4
11 and Catch Water Drains and their
Water Drain integration with CDS
Total 4
Quality of Material, In Stage – II,
Concrete, or III, 1 per
2
Stone/Concrete Block 100m Length
Pavement etc. of Pavement
Strength of CC in In Stage-II,
Concrete or III, 1 per
2
Pavement/Concrete 100m Length
CC/Semi Block Pavement of Pavement
Road
Quality of
12 Pavement &
workmanship –
Associated
Wearing surface In Stage-I or
Pukka 3
texture. Adequacy of III
Drains
setting of concrete,
joins, Edges etc.
In Stage-II or
III, 1 per
Thickness of layer 3
100m Length
of pavement
Total 10

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 # Item Sub Item Stage of Work Max. Marks
Marks wherever
Applicable
Citizen information Board
main information Board,
Stage 1 2
Quality and whether fixed
during construction
Logo Boards, 200m
Road stones and km stones,
Furniture and Stage III 2
13 quality and whether fixed
Markings after completion
Whether the information
in boards is given in local State I & III 1
language
Total 5
Whether inspection has
Entry in
been entered in OMMAS All 10
OMMAS
by SQM
Whether i10 photographs
per inspection are All 2
Number of uploaded by SQM
photographs Whether loaded
14 uploaded on photographs reflect the
All 4
OMMAS and quality of works inspected
Quality by SQM properly
inference Whether observations of
available SQM are commensurate
All 4
through them to quality of works seen in
photographs.
Total 20

Signature of Evaluator:

Marks obtained to marks applicable = …….% Name of Evaluator:

Date:

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 Annexure-II

Summary Performance of SQM

(To be filled by Evaluator)

Name of SQM (If name coding not done):

SQM Code:

Period for which evaluation done:

1. Whether inspections performed generally as per guidelines:

Yes No

2. General observation about application of mind in recording observations:

(Correlation in observations and grading)

Item Observations

Quality Arrangement

Quality of Work

(a) Earth Work

(b) Sub-base

(c) Base-Course

(d) Bituminous Course

(e) CD/Drainage/CC Pavement etc.

(f) Furniture and Signage

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3. Whether SQM has left portions of inspection format blank without recording any
reasons: Yes No

4. Whether tendency to avoid desirable technical noticed:

Yes No

5. Whether SQM has made contradictory remarks:

Yes No

6. Whether SQM could provide guidance to the PIU through his observations:
Yes No

7. Whether the SQM has reported the maintenance aspect of completed road works
in the comprehensive manner:

Yes No

8. Average % Marks: %

Signature:

Name of Evaluator:

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 Annexure-III

Performance of SQM ( Evaluated to Three Categories )

(to be prepared by SRRDA)

SQM Securing Mark less than SQM Securing Mark SQM Securing Mark
50% ( To be discontinued) between 50% to 75% grater than 75% would
( May be continued but be continued
placed under
observation )
Name of Code % of Name Code % of Name Code % of
SQM Marks of Marks of Marks
(averag SQM (averag SQM (averag
e of all e of all e of all
reports) reports) reports)

*****

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