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Technical Assistance Consultant’s Report

This consultant’s report does not necessarily reflect the views of ADB or the Government concerned, and ADB and the Government cannot be held liable for its contents. (For project preparatory technical assistance: All the views expressed herein may not be incorporated into the proposed project’s design.

Project Number: 41127 March 2011

India: Institutional Strengthening of the Bihar Road Sector Prepared by MMM Group, Canada Vancouver, British Columbia, Canada

For Road Construction Department Government of Bihar

MMM Group, Canada

Asian Development Bank

Road Construction Department Government of Bihar

FINAL REPORT

ADB TA 7130-IND

Institutional Strengthening of the Bihar Road Sector

March 2011 (Updated May 2011)

Milestone Report

MMM Group, Canada

Asian Development Bank

Road Construction Department Government of Bihar

FINAL REPORT

ADB TA 7130-IND Institutional Strengthening of the Bihar Road Sector

March 2011 (Updated May 2011)

Milestone Report

Final Report, March 2011

ADB TA 7130-IND Institutional Strengthening of the Bihar Road Sector 3



TABLE OF CONTENTS

1 INTRODUCTION ........................................................................................................................... 7 1.1 Introduction and TA Timeline ........................................................................................ 7 1.2 Interim Report and Mid-term Workshop ........................................................................ 8 1.3 Need for Changes in TA Scope of Work ....................................................................... 9 1.4 TA Activities since Inception ....................................................................................... 10

2 INSTITUTIONAL AND MANAGEMENT ISSUES ................................................................................. 15 2.1 Bihar Road Network: New Developments .................................................................. 15 2.2 RCD’s Reduced Span of Control ................................................................................ 17

2.2.1 Road Sector Institutional Framework ............................................................. 18 2.2.2 Road Construction Department (RCD) ........................................................... 19 2.2.3 Bihar State Road Development Corporation .................................................. 22 2.2.4 Bihar Bridge Construction Corporation (Bihar Rajya Pul Nirman Nigam) ...... 23 2.2.5 Rural Works Department ................................................................................ 25 2.2.6 National Highways Authority of India .............................................................. 25 2.2.7 Transport Department and Traffic Police ....................................................... 25

2.3 Fresh Look at Institutional and Organizational Issues ................................................ 26

3 PROJECT AND CONTRACT MANAGEMENT AND PROCUREMENT PROCESSES................................. 27 3.1 Project Management Systems in Use and its Adequacy ............................................ 27

3.1.1 Progress of TA Activities ................................................................................ 27 3.1.2 Existing RCD Project Reporting System ........................................................ 28 3.1.3 Visits to RDC Field Offices ............................................................................. 29 3.1.4 Project Management Seminar, 11 Nov 09 ..................................................... 29 3.1.5 Integrated Project Management ..................................................................... 31

3.2 Standard Bid Documents ............................................................................................ 33 3.2.1 Construction .................................................................................................... 33 3.2.2 Consultant Services ........................................................................................ 33

3.3 Performance-Based Contract Maintenance ................................................................ 34 3.3.1 Progress of TA Activities ................................................................................ 34 3.3.2 PBC Maintenance Seminar, 18 Nov 09 .......................................................... 35 3.3.3 PBC Maintenance Contract Packages ........................................................... 36

4 ROAD PLANNING ...................................................................................................................... 38 4.1 Current Status of Planning in RCD ............................................................................. 38 4.2 Development of an RMS ............................................................................................. 40 4.3 RMS Components ....................................................................................................... 40 4.4 Data Needs Assessment ............................................................................................ 41 4.5 RMS Unit at RCD ........................................................................................................ 42 4.6 Training Needs of the RMS Unit ................................................................................. 43

5 QUALITY ASSURANCE ............................................................................................................... 44 5.1 Quality Management-Background .............................................................................. 44



5.2 Observations and Capacity Building Work ................................................................. 45 5.3 Recommendations on Quality Management ............................................................... 49 5.4 Sample Outline of a Quality Management Plan .......................................................... 53

6 HIGHWAY ACT AND ENFORCEMENT ISSUES ................................................................................ 54 6.1 Preparation of Draft Legislation .................................................................................. 54 6.2 Road Administration Act ............................................................................................. 54 6.3 Existing Legislation ..................................................................................................... 55 6.4 Structure of the draft Road Administration Act ........................................................... 58 6.5 Road Authorities .......................................................................................................... 60 6.6 Road Declaration and classification ............................................................................ 60 6.7 The Components of a Road ........................................................................................ 60 6.8 Road Development ..................................................................................................... 62 6.9 Provision for PPPs ...................................................................................................... 62 6.10 Establishment of a Bihar Road Maintenance Fund ................................................ 63 6.11 Overweight Vehicles ............................................................................................... 64 6.12 Compounding of Offences ...................................................................................... 66

7 ORGANIZATIONAL CONTEXT AND HUMAN RESOURCE MANAGEMENT ........................................... 69 7.1 Human Resource Development .................................................................................. 69 7.2 Current HRM Issues.................................................................................................... 71 7.3 Current Training Needs ............................................................................................... 73 7.4 Management of Change ............................................................................................. 75 7.5 Summary of Training Needs ....................................................................................... 76 7.6 Proposed Training Strategy ........................................................................................ 76 7.7 Proposed In-House Training Program ........................................................................ 77 7.8 Capacity Building Initiatives of TA including OSTs ..................................................... 78 7.9 External Training Programs ........................................................................................ 85

8 ROAD SAFETY MANAGEMENT .................................................................................................... 87 8.1 Objectives of TA .......................................................................................................... 87 8.2 Meetings and Discussions with Counterpart Staff from RCD ..................................... 87 8.3 Orientation Classes for Road Safety Engineering ...................................................... 87 8.4 Training for Road Safety Audits .................................................................................. 89 8.5 Reports Produced ....................................................................................................... 90 8.6 Road Safety Knowledge Base Provided to Counterpart Staff, Bihar Road Sector Project .................................................................................................................................... 91 8.7 Important Issues Presented to RCD: .......................................................................... 92

9 TA STAFFING SCHEDULE, WORKSHOPS AND REPORTS .............................................................. 94

10 COUNTERPART SUPPORT AND INTERACTIVE COMMUNICATION .................................................... 96



Appendices

Appendix 1: Institutional Strengthening Action Plan

Appendix 2: Original Terms of Reference of Consulting Services and Additions in Variation Orders

Appendix 3: List of References, Books and Documents Reviewed

Appendix 4: List of Persons Met

Appendix 5: Staffing Schedule, Workshops and Reports Submission

Appendix 6: In-country Training Programs/Workshops/Group Discussions/Seminars Organized by TA

Appendix 7: Matrix of TA Actions, Responsibility Centers and Deliveries

Additional Appendixes (Included in Final Report Updated: May 2011)

Appendix 8 - List of Laboratory Equipment/RCD

Appendix 9 - Report on Canada and Australia OST from Participants

Appendix 10 - Report on In-country Study Tour to Madhya Pradesh



1 US$ = INR 44.67 (25 MARCH 2011)

ABBREVIATIONS AND ACRONYMS ADB : Asian Development Bank BP : Business Processes BRPNN : Bihar Rajya Pul Nirman Nigam BSRDC : Bihar State Road Development Corporation CD : Capacity Development CDO : Central Design Organization CE : Chief Engineer CIDC : Construction Industry Development Council CPWD : Central Public Works Department DFR : Draft Final Report EE : Executive Engineer E-in-C : Engineer-in-Chief FS : Feasibility study FY ; Financial Year GOB : Government of Bihar HQ : Head Quarters HRD : Human Resources Development IT : Information Technology KM : kilometer LAA Land Acquisition Act, 1894 MDR : Major District Road MIS : Management Information System MOF : Ministry of Finance MORTH : Ministry of Road Transport and Highways MPRDC : Madhya Pradesh Road Development Corporation MSNY : Mukhyamantri Setu Nirman Yojana MVA Motor Vehicles Act, 1988 NH : National Highway NHAI : National highways Authority of India NHA National Highways Act, 1956 NHDP : National Highways Development Project NICMAR : National Institute of Construction Management and

Research NITHE : National Institute of Training for Highway Engineers ODR : Other District Roads OST : Overseas Study Tour PPP : Public Private Partnership RCD : Road Construction Department RMF : Road Maintenance Fund RSLCA Road Side Land Control Act



RSVY : Rashtriya Sam Vikash Yojana SH : State Highway SWOT : Strengths Weaknesses Opportunities and Threats SOE : State Owned Enterprise TA : Technical Assistance TOR : Terms of Reference VO : Variation Order WB : World Bank



1 INTRODUCTION

1.1 Introduction and TA Timeline

The Inception Workshop was held on 11 August 2009. The TA team members presented their approach and methodology for the consulting assignment besides the TA team’s understanding of the Bihar Road Sector. Extensive discussions took place at the Inception Workshop and major issues raised at the Workshop were recorded in the Inception Report submitted immediately after the Inception Workshop. During the course of its consulting services, the TA has kept the comments during the Inception Workshop and Mid-term Workshop (March 2010) in mind besides the issues emerging at various points in time during discussions and consultations with the RCD/BSRDC/BRPNN officials.

This Final Report records the developments since the commencement of the TA. However, as the Bihar Road Sector was still passing through a transitory stage in the evolution of its institutional and organizational context, the TA constantly and continuously reviewed its activities and reorganized its tasks to suit the current situation. Some instances where need for such reorganization was felt resulted in the reorganization of tasks, infusion of fresh inputs, addition of new expertise and expansion and modification of TOR, expressly provided for in the Variation Orders.

GOB approached ADB for a Loan amounting to USD420 million (and now, BSHP Phase II and III are also in the pipeline) for the road sector development. Among the conditions of the Loan is an Institutional Strengthening Action Plan to be adopted by GOB and RCD. The Institutional Strengthening Action Plan (ISAP) is placed as Appendix 1 to this Report. The current TA for Institutional Strengthening of the Bihar Road Sector was expected to support some of the institutional development initiatives set out in the Institutional Strengthening Action Plan1. The TA reviewed and proposed changes in Scope of Work to align it with major requirements of ISAP and sought approval for the same in Variation Orders. A timeline of important landmarks during the currency of the TA is listed in the table below.

S.No. Event/Description Date Details

1. Date of Contract for Consultant Services

30/06/2009

2. TA Commencement Date 13/07/2009

3. Inception Workshop 11/08/2009 To elicit responses before submitting Inception Report

1 Appendix 3 of the Report and Recommendations of the President to the Board of Directors,

ADB, August 2008



4. Submission of Inception Report 25/08/2009

5. Interim Report 30/11/2009 A mid-term review of institutional development requirements.

6. Mid-term Workshop 08/03/2010 Mid-term appraisal and review jointly with client.

7. Closing/Final Workshop 29/03/2010 To elicit comments from RCD on Draft Final Report

8. Contract Variation No. 1 21/01/2010 Inclusion of 2 Overseas Study Tours in Scope of Work.

9. Contract Variation No. 2 20/04/2010 Inclusion of pilot RMS, additional expertise induction and extension till 31/12/2010.

10. Contract Variation No. 3 15/12/2010 Extension of services till 31/03/2011.

11. Date of Close of TA Services 31/03/2011

12. Consulting Firm Name MMM Group Limited, Canada

1.2 Interim Report and Mid-term Workshop

The ADB Inception Mission gave adequate guidance to the TA regarding its approach to work and apprised of the expectations from the TA. It was also suggested that the TOR of the TA were framed much earlier than the actual commencement date of the consulting services, need for modifications in the Scope of Work may be imminent and this meant infusion of new expertise or induction of national consultants to match the situation prevailing. TA identified further areas for capacity building and training inputs under the TA and proposed modifications in TOR after duly incorporating these in the Interim Report and discussions at the Mid-course Workshop. Two Variation Orders resulted from these modifications proposed. These Variation Orders were issued in



January 2010 and April 2010 and immediately on their receipt, the TA initiated their implementation.

The TA conducted two Overseas Study Tours in response to the Variation Order of January 2010 and inducted fresh expertise in response to the Variation Order of April 2010. The Variation Order of April 2010 further required the TA to design, develop and deliver a pilot Road Management System for Muzzaffarpur circle. The pilot RMS is aimed at assisting RCD in understanding the need for maintaining a road database to assist in decision-making, prioritizing road maintenance works and updating asset records regularly. The pilot RMS has been delivered to the RMS Unit of RCD on 9 March 2011 at the conclusion of a workshop held to disseminate information on it.

Another Variation Order became necessary around November 2010 as elections to the state assembly were held in that month. As the model code of conduct was operative and a large number of RCD officials were drafted for election duty, extension of services of the TA beyond December 2010 became imminent. The third VO was issued on 15 December 2010 for extending the TA contract till March 2011.

TA’s original and amended TOR is placed at Appendix 2 of this Report.

1.3 Need for Changes in TA Scope of Work

Need for modifications in the TA Scope of Work was felt at the time of the Inception Workshop, Inception Mission and during discussions with the officials of RCD/BSRDC. As the work progressed and discussions within the working groups constituted as counterpart staff progressed, such need got further reinforced. Principal reasons for such need as emerged from the discussions, consultations and working together are:

The TA TOR and Scope of Work were framed much ahead of the commencement of the Project and full impact of institutional and organizational needs was not captured at that time;

The ISAP demanded much more by way of actions than the TA Scope of Work. If the TA has to fully support the achievement of the objectives of and actions under the ISAP, enhancement in the Scope of Work became imminent;

RCD felt the need for installing systems based approach to planning, prioritizing investments and managing assets. This could be achieved only by designing, developing, installing and operationalizing Road Management Systems or at least a pilot system in the limited resources available with the TA and not merely by learning about their features.;

Road sector in Bihar was still in a reorganization mode. BSRDC received its certificate of commencement of business only on 3 August 2009. Though organizational structures and staffing needs had been identified, orientation of staff for working in a corporate environment needed to be reinforced;



Transition management is a difficult process. With redistribution of road assets among different organizations, transitory phase of asset management impacts delivery processes. The sole objective of this redistribution is to enhance the efficiency of program delivery, adoption of modern management systems under a performance management regime, delivering value-for-money to the state in procurement of goods, works and services; and

Training the staff to adopt new methods of program delivery with innovation taking a front seat in resource management became a reality. There was a need for training the staff in newer areas like project management, risk management, FIDIC contracts management, concession monitoring in a PPP arrangement, total quality management, information technology in asset management and procurement performance management.

The TA team members have discussed such issues with officials of RCD/BSRDC at various. RCD officials represented that they needed more inputs in the area of Quality Control and testing both in the laboratory environment and at field. In order to meet with this requirement of RCD, the TA needed expertise in material testing and related activities. The original team did not possess this expertise of the kind that RCD required the TA to provide. Accordingly, a proposal for a VO became necessary. Likewise to meet RCD aspiration for technology based planning functions, a pilot RMS sub-project was designed. The pilot RMS required MIS expertise to design, develop and install a database management system. So the proposal for VO also included induction of MIS expertise. Detailed TOR for both the Materials Engineer and MIS Specialist are contained in Appendix 2.

1.4 TA Activities since Inception

The TA team has conducted several training sessions with the working groups allocated as counterpart staff, made presentations on subjects relevant to institutional strengthening to senior officials, submitted Working Papers and Technical Reports. While details of each of these activities are related in the respective Chapters in the Report, lists of such activities are furnished below:

Training Sessions and Presentations at Mini-workshops/Seminars by TA

Inception Workshop (11 August 2009)

Safety Management of Road Network Including Construction Sites (29 August 2009)

Road Safety Audit at Various Stages (7 September 2009)

Safety Considerations at Road Design Stage (10/11 September 2009)

Project Management Seminar (11 November 2009 at BSRDC)



Road Management System (RMS) for Madhya Pradesh (18 November 2009)

Contracting Routine Maintenance (18 November 2009)

Provisions of Draft Road Administration Act (24 November 2009)

Skills Development Seminar-RCD (24 November 2009)

Two-day Workshop on Public Private Partnerships in Road Sector: Design and Development, Processes and Procedures (5 and 6 February 2010)

Mid-term Workshop on Road Management (8 March 2010)

Series of training sessions on Quality Control-9 days (21-30 April 2010)

Two-day Hands-on Training on Financial Modeling and Risk Analysis of PPP Road Projects (5 and 6 May 2010)

Workshop on Quality Control Management (21 May 2010)

Training on components of pilot RMS including data collection (21 February to 8 March 2011)

Workshop on pilot RMS and its formal delivery to RMS Unit (9 March 2011)

Closing Workshop (29 March 2011)

Training Programs arranged by TA with External Institutions

International Course on Dissemination of HDM-4 at CRRI, New Delhi (27 September-8 October 2010)

Customized Training Program on Use of ROMDAS and DCP in Road Management at CRRI, New Delhi (28 February-2 March 2011)

Overseas Study Tours

Overseas Study Tour to Canada (17-31 July 2010)

Overseas Study Tour to Australia (2-14 October 2010)



In-country Study Tours

Trip to Pune to visit NICMAR jointly with Deputy Director, Training at TRI to study the nature of training programs suitable for RCD engineers/officials (October 2009)

In-country Study Tour to Madhya Pradesh to study the operations of MPRDC and MPPWD (October 2010)

Milestone Reports Submitted

Inception Report (August 2009)

Interim Report (November 2009)

Report on Road and Bridge Maintenance Policy (October 2010)

Report on Pilot Road Management System for Bihar Roads-Muzzaffarpur Circle (December 2010)

Draft Final Report (February 2011)

Final Report (March 2011)

Technical Reports Submitted

Road Safety Audit Report 1-Road Safety Audit on Sri Krishan Path from Chitkohra to Junction with Bailey Road (October 2009)

Road Safety Audit Report 2-Road Safety of Saraiya to Motipur SH-86 (October 2009)

Road Safety Audit Report 3-Road Safety of Raja Bazaar to Danapur (October 2009)

Report on Training of Counterpart Staff for Road Safety and Road Safety Audit of Bihta to Naubatpur (SH-78) (RSA for Existing Road-November 2009)

Final Engineering Skills Assessment Report (November 2009)

Road Safety Audit Guidelines (March 10)

Final Report: Road Administration Act (March 2010)

Five Year Development and Training Plan (April 10)



Road Safety Policy submitted by the TA (June 10)

Working Papers and Technical Notes Submitted

Safety Guidelines for Good Road Design (September 2009)

Road Maintenance Policy (Concept Note to E-in-C, 8 October 2009)

Road Administration Act (November 2009)

Engineering Skills Assessment Report (November 2009)

Bihar Road Management System-Concept and Structure (November 2009)

Technical Specifications – Performance Based Contract (November 2009)

Road Maintenance Contract Manual - Performance Based Contract (November 2009)

Road Accident Scenario in Bihar (December 2009)

Working Paper on Quality Control (April 2010)

Working Paper on Contracted Maintenance (April 2010)

Contract Maintenance Status Report as on March 2010 (April 2010)

Contract Maintenance Administration Manual (April 2010)

Draft Technical Specifications and Schedules for PBC (April 2010)

Working Paper 6.2: Quality Management (July 2010)

Working Papers and Technical Notes Relating to Pilot RMS

Working Paper 5.1 - Bihar Road Management System-Concept and Structure (November 2009)

Working Paper 5.2 - Data Needs Assessment outlines (May 10)

Working Paper 5.3 - RMS Data Collection Manual (May 10)

Working Paper 5.3 - Bihar Road Management System-Data Collection Manual (Revised) (December 2010)

Working Paper 5.4 – RMS Specifications (March 2011)

Working Paper 5.5 – Data Entry Manual (December 2010)

Working Paper 5.6 - Application of HDM-4 in the BRMS (January 2011)

Working Paper-5.7 - HDM-4 Setup in the BRMS (January 2011)



Working Paper-5.8 - Creating the HDM-4 Database (January 2011)

Working Paper-5.9 - HDM-4 Analysis (March 2011)

Final Report on Pilot Road Management System for Bihar Roads-Muzzaffarpur Circle (due in March 2011)

All these reports pertaining to pilot RMS and the road database (appropriately called the Electronic Road Register) were delivered in soft copies on an installation disk (CD/DVD). These have also been installed on the desktop PC provided by the RMS Unit. A licensed version of HDM-4 has been installed on the desktop PC and a laptop notebook and has been delivered to RMS Unit.



2 INSTITUTIONAL AND MANAGEMENT ISSUES

2.1 Bihar Road Network: New Developments

The road network is summarized and updated is depicted in Table 2.1:

Table 2.1: Bihar Road Classification and Length

Classification Length, km Under Road Construction Department:

National Highways (NH) 3,734 State Highways (SH) 3,989 Major District Roads (MDR) 8,156 Subtotal 15,879

Under Rural Works Department: Other District Roads 3,818 Village Roads 63,261

Total 82,958 Source: RCD website and information from Secretary RCD. Lengths are subject to change as roads are frequently reclassified.

The major road improvement projects in the state are:

Bihar State Highway Project (BSHP): funded by ADB. Phase I is under way,

comprising widening 820 km of newly declared SHs to two lanes. Phase II covering a further 800 km is in the implementation process and Phase III project is under preparation. All three BSHP Phases will be implemented by BSRDC.

Rashtriya Sam Vikas Yojna (RSVY): funded by central government covering

approximately 20000 km of previously declared SHs being implemented by the Central PWD of India (CPWD-approximately 1705 km) and Indian Railways Construction Corporation (IRCON-approximately 330 km) under a tripartite agreement signed between the Ministry of Road Transport and highways (at the center), government of Bihar and the executing agencies on 27 April 2005.

Widening and strengthening of approximately 2000 km of MDRs by RCD with

plans to improve all MDRs in the medium term funded by the state government. Mukhya Mantri Setu Nirman Yojana directed at providing links at the unbridged

locations even on ODRs and VRs is being operated under RCD and BRPNN is the nodal executing agency for the purpose.



Separate funding is allocated in the budget for bridges which is meant for providing links on unbridged locations on SH and MDRs identified and managed by RCD.

Widening and strengthening of SHs which have been declared NHs. This will be

implemented by RCD with funding from NHAI/central government. Improvement of 205 km section of NH-2 in Bihar to expressway standard by

NHAI.

East-West Corridor: start of widening 513 km of NH-28, NH-57 and NH-31 to four lanes.

NHDP-III: 1015 km of NH identified for improvement under PPP arrangement.

Projects to be developed on PPP basis on NH and SH are separately allocated

to BSRDC on 22 July 2009 (vide Letter No. A8/PPP/09/ 8073) as under:

S.No. Name of the Project

A Road and Bridge Projects allocated to IL&FSIDC, New Delhi

1. Munger-Bhagalpur Road (NH-80, 56 km)

2. Bakhtiarpur-Biharsharrif-Navada-Rajoli Road (NH-31, 106 km)

3. Gagna Riverfront Road in Patna 21 km)

4. HL Bridge on Ganga on Bakhtiarpur-Patori Road 6km with approach road of 30 km

5. Mahatma Gandhi Bridge Superstructure Rehabilitation 5.8 km with approach road of

7.0 km

B Road and Bridge Projects allocated to IDFC, New Delhi

6. Ara-Mohania Road (NH-30, 118 km)

7. Bihta-Aurangabad Road (SH-2, NH-98)

C Newly Proposed PPP Projects

8. Dumrao-Vikramganj Road (SH-79, 44.40 km)

9. Patna-Masaudi Road (SH-1, 38.75 km)



2.2 RCD’s Reduced Span of Control

It was contemplated that all State Highways will be transferred to the newly created BSRDC. ODRs, VRs and other unclassified roads have already been transferred to RWD and other local bodies with the overall control of NH, SH and MDR aggregating 15879 km in length only remaining with RCD. Of these roads, approximately 2000 km is under development by CPWD and IRCON, 205 km of NH-2 is being developed by NHAI, 513 km of East-West Corridor is again being developed by NHAI, 1015 km of NH under NHDP-III will be developed under PPP by NHAI and roads to be developed under the Bihar State Highway Project with ADB assistance will be looked after by BSRDC. That implies a reduction in the span of control with RCD. The roads completed by CPWD and IRCON will revert soon to RCD for maintenance. With the proposed decision to transfer all SH to BSRDC, the roads completed by CPWD and IRCON should pass on to BSRDC for maintenance. The aforementioned letter No. 8073 vide which roads for PPP works have been transferred to BSRDC states that the ownership of the roads will remain with GOB and BSRDC will only act as the executing agency. If that proposal applies to all the roads vested with BSRDC for development, construction and maintenance, the obvious conclusion is that RCD remains the GOB nominated owner and hence will exercise all budgetary and planning controls pertaining to assets vested in BSRDC. Obviously then BSRDC functions only as an executing agency and not as a Highway Authority with all the powers and duties of a Highway Authority identified in Chapter 6 under the Draft Highway Act submitted by the TA. RCD has undertaken strengthening and widening of some NHs with state funds (where request for funding was not approved by Central Government or NHAI). Budgetary allocations to RCD for the years 2008-09, 2009-10 and 2010-11 and expenditure incurred up to 25 February 2011 in the 2010-11 fiscal are depicted in Table 2.2.

Table 2.2: Road Construction Department Budgets with expenditure till 25 February 2011

Serial No.

Scheme Agreed Outlay INR Lakh Expenditur

e upto 25/02/2011

2008-09 2009-10 2010-11

STATE PLAN

1 Training 20.30 300.00 200.00 70.56

2 Machinery and Equipment 968.58 1000.00 500.00 1.00

3 Bridges 19089.00 22467.00 28479.40 28408.65

4 RIDF (NABARD) Bridge 21690.90 23080.00 32340.00 31194.23

6 Road Construction 84800.06 78742.00 80000.00 56368.85

7 State Share of CSS (Eco. Imp.)

300.00 200.00 550.00 405.97

8 Rastriya Sam Vikash Yojana 54594.00 57076.00 62783.00 67300.00

9 MSNY2 39726.00 40000.00 40000.00 37095.74

2 Mukhyamantri Setu Nirman Yojana



10 BADP 2323.00 1090.00 931.83 931.83

11 Central Road Fund 2461.25 4000.00 8000.00 3275.41

12 ACA 10000.00 3300.00 00

13 ADB Loan Project 14192.41 71311.00 116500.00 116500.00

14 Equity Capital in BSRDC 2000.00 00

Sub Total 250165.50 304565.00 370284.23 342552.24

CENTRAL SPONSORED SCHEME

15 Inter State Connectivity 1000.00 200.00 750.00 NA

16 Central Share CSS(Eco. Imp.) 300.00 900.00 750.00 NA

Sub Total 1300.00 1100.00 1500.00 NA

Grand Total 251465.50 305665.00 371789.23 342552.24

NON - PLAN

1 MR (Repair of Roads etc.) 7396.48 30000.00 30000.00 NA

2 Machinery & Tools 86.85 300.00 300.00 NA

3 Establishment 17483.00 40254.00 40254.00 NA

Sub Total 24966.33 70554.00 70554.00 NA Source: RCD

Redistribution of roads between RCD and BSRDC leads to a newer organizational dimension and will require defining the role of BSRDC in a different perspective in the proposed Highway Act. Accordingly, it is felt that the capacity building dimensions for RCD and BSRDC will be widely different from each other with RCD being the owner of the road assets (with powers and duties for asset management planning, budget management, control and policy directions) and BSRDC just an executing agency for works of the state. This institutional framework needs to be reviewed in extensive consultations with GOB, RCD and BSRDC to impart efficiency, efficacy and performance orientation.

2.2.1 Road Sector Institutional Framework

The organizations involved in the management of the Bihar road sector are:

Road Construction Department (RCD) and its subsidiary agencies:

o Bihar State Road Development Corporation (BSRDC)

o Bihar State Bridge Construction Corporation (BRPNN)

Rural Works Department (RWD)

National Highways Authority of India (NHAI)

Transport Department



Traffic Police

2.2.2 Road Construction Department (RCD)

The RCD is responsible for the development, operation and maintenance of roads classified as State Highways (SH) and Major District Roads (MDR), as well as National Highways (NH) assigned to it by the NHAI. The organizational structure of the RCD is shown in Figure 2.1 and conforms to the long-established Wing, Circle, Division and Sub-Division hierarchy system used in state road departments. The BSRDC and BRPNN are not shown in Figure 2.1 but report to the Secretary, RCD.

The Secretary is the head of the department, with technical functions under the Engineer-in-Chief (E-in-C) and personnel administrative functions under an Additional Secretary and Joint Secretary etc.

Under the E-in-C there are eight Wings each headed by a Chief Engineer (CE):

Advance Planning

Central Design Organization (CDO)

Monitoring

Mechanical

South Bihar

North Bihar

National Highways (NH)

Ganga Bridge Project (GBP)

Only four CEs are appointed at present hence some of them are assigned responsibility for more than one wing.

RCD is invigorating its Training, Testing and Research Institute. Modern training infrastructure has been provided to the Institute so that in-house training programs can be conducted through specialists. A modern testing laboratory is being established at the Institute to provide lead in testing and quality management functions to the RCD organization and allied institutions.

Advance Planning Wing is inactive and, although the designated posts remain with RCD, the staff have been deputed to the RWD or Building Works Department. Preparation of annual plans and budgets is coordinated by the Special Officer (Communications).



CDO Wing is responsible for (1) technical review and sanction of major projects (>Rs. 10 Cr.), (2) preparation of Schedule of Rates, (3) training, (4) materials testing and (4) carrying out quality checks of completed works using four Flying Squads.

Monitoring Wing CE post is vacant and the Superintending Engineer (SE) in charge of monitoring activities reports directly to the E-in-C. The Monitoring Wing prepares reports on the financial and physical progress of all plan works based on information sent by the operational units.

Mechanical Wing no longer provides equipment and machinery to the RCD operational units. Its main activity is operating 11 hot mix plants to supply RCD contractors with hot mix for patching and overlays.



Figure 2.1: RCD Organisational Structure

Minister

Principal Secretary

Engineerin-in-Chief-cum-Addl. Commissioner-cum-Spl. Secretary

Additional Secretary

Joint Secretary (Management Cell)

2 Deputy Secretary

Deputy Secretary(Management Cell)

Under Secretary(Management Cell)

2 Under Secretary

Chief EngineerSouth Bihar

Chief EngineerAdvance Planning

Chief EngineerC.D.O.

Chief EngineerMonitoring

Spl. Officer(Communication)

Director(Purchase)

Chief Engineer(Mechanical)

Chief EngineerG.B. P.

Chief EngineerNational Highway

Chief EngineerNorth Bihar

Central Circle Bhojpur Circle Magadh Circle Bhagalpur Circle

4 Divisions 4 Divisions 5 Divisions 7 Divisions

Patna Circle

13 Divisions

Muzaffarpur Circle

5 Divisions

Bridge Design Circle

H.Q. Design Circle Director(Tranining & Research Institute)

2 Divisions 1 Division3 EEs

8 EEs Dy DirectorTranining

NH Pl. & Inv. Circle

Dy DirectorTesting & Research

2Flying Squad Div

2SEs

11 EEs

144AEs

2Deputy Directors

Mech. Circle, Patna Mech. CircleDarbhanga

NH Mech. CirclePatna

3Divisions

3Divisions

4Divisions

Design CirclePatna

1Division

Works CircleBhagalpur

3Divisions

Patna Circle Muzaffarpur Circle Darbhanga Circle Bhagalpur Circle


Purnea Circle Dehri-on-Sone Circle

Design & Q.C. Circle No. 1, Patna

Design & Q.C. Circle No. 2, Patna

2 Divisions 3 Divisions

Saran Circle Muzaffarpur Circle Darbhanga Circle Saharsa Circle


Purnea Circle

4 Divisions

BSRDC website



South Bihar and North Bihar Wings are divided into field Circles and Divisions as shown in Figure 2.1. The CE South Bihar post is located in RCD headquarters and the CE North Bihar post is located in Darbhanga. At present, the main activities of the two wings are to improve, operate and maintain MDRs. Improvements to most SHs are being implemented by the BSRDC (ADB BSHP) and CPWD/IRCON under the RSVY. NH Wing is similarly divided into field Circles and Divisions. Its main activities are to improve, operate and maintain the NHs assigned to RCD by NHAI/MORTH. Ganga Bridge Project Wing was established for the construction of the Ganga Bridge at Patna and now is inactive. Current repair of the Ganga Bridge is managed by NH Wing.

2.2.3 Bihar State Road Development Corporation

BSRDC was incorporated in April 2009 with a broad mandate to develop, construct, operate and maintain roads (and other infrastructure as decided by GOB) in Bihar. Its headquarters are in a refurbished building in the Mechanical Wing works yard in Patna. At present, the Secretary RCD is the Managing Director and the CE NH Wing is the Chief General Manager. RCD EEs, AEs and administrative staff have been deputed to key positions in BSRDC and administrative support staff such as typists and computer operators have been hired from the private sector. BSRDC received its Certificate of Incorporation from the Registrar of Companies (Bihar and Jharkhand) on 20 April 2009 and Certificate for Commencement of Business on 3 August 2009. Thus effectively BSRDC became operational as a business entity on 3 August 2009. BSRDC has been given responsibility for implementing the ADB BSHP and the PPP projects. At present, it functions as an executing agency and is the Employer’s Representative in the FIDIC construction contracts used in BSHP. Five field offices have been established across the state to provide an Employer’s presence close to the locations of the works. Each field office or PIU is headed by an officer of the rank of DGM and assisted by 2 or 3 Mangers. The span of control of each PIU will be for about 200 km of road assets. Construction of Phase I roads is under way and two consultants, ICT and Scott Wilson, have been appointed for construction supervision. For BSHP Phase II, Detailed Project Reports (DPRs) have been completed by consultants and the project is in implementation stage. Phase III is under preparation and loan approval process. BSRDC has also been given responsibility for implementing a series of SH and NH improvement projects under PPP arrangements of some have reached the bidding stage.

BSRDC has developed an organizational structure as shown in Figure 2.2 and additional posts are being created for the BSHP Phase II and III projects.



2.2.4 Bihar Bridge Construction Corporation (Bihar Rajya Pul Nirman Nigam)

BRPNN is a state corporation which carries out the design and construction of state-funded bridges, and some building works as well. In FY 2008-09 its workload was approximately Rs. 700 Cr. which has increased to Rs. 800 Cr. in FY 2009-10. BRPNN is restricted to construction of state-funded works which means it has not constructed any bridges on NHs.



Figure 2.2 Organizational Structure of BSRDC

T.A ( DGM Rank)

CONSULTANT (Legal)

Mgr. Mgr. Mgr. Mgr. Mgr. Mgr. Mgr. Mgr. Mgr. Mgr. Mgr. Mgr. Mgr. Mgr. Mgr. Mgr. Mgr. Mgr. Mgr. Mgr. Mgr. Mgr. Mgr. Mgr.

DGM (CM )

DGM ( External Funding )

DGM (Monitoring )

DGM (QC )

DGM ( Projects )

DGM ( Projects )

DGM ( PPP )

DGM (HQ) (Social/Envr./L.A)

DGM ( Projects )

GM (Procurement)

Chief General Manager

DGM (Planning/Design)

DGM ( Projects )

DGM ( Projects )

Board of Directors

Technical Wing

Legal & CM Cell G.M ( Projects ) GM (Planning/Design/QC/Monitoring)

Financial Wing Administrative Wing

Managing Director (Secretary RCD)

Chairman

Source: http://bsrdcl.bih.nic.in/



The corporation has its own headquarters and materials laboratory in Patna, field offices and some field equipment. The establishment comprises 1 CE, 3 SEs, 16 EEs, 35 AEs and 110 JEs. Investigations and designs for smaller bridges are prepared in-house and larger bridge designs are given to consultants. Works are constructed by contractors. BRPNN supervises construction with its own staff for small and medium bridges <100 m length and employs consultants for longer bridges. BRPNN has also been entrusted with implementation of two bridge projects on PPP basis. BRPNN is also the executing agency under the Mukhyamantri Setu Nirman Yojana. BRPNN has placed a strong emphasis on quality management and has ISO 9000 certification, In addition to its own materials laboratory and supervision, the corporation employs a consultant to provide third-party quality checks.

2.2.5 Rural Works Department

RWD has been given responsibility for developing or improving ODRs and VRs under various funding schemes including PMGSY (Prime Minister’s Grameen Sdak Yojana) and the Chief Minister’s VMGSY. Once improved, these roads will be handed over to the village panchayats to maintain.

2.2.6 National Highways Authority of India

As described above, NHAI has a major role in the state. At present, it is carrying out the improvement, operation and maintenance of NHs in the state either through the RCD NH Wing, or with its own resources as for NH-2 improvement. In future, it intends to develop more NHs through PPP arrangements. Progress on the PPP projects under NHDP-III has been sluggish and the state is stretching itself to maintain the relative stretches of NH.

2.2.7 Transport Department and Traffic Police

These agencies are responsible for the regulation of road transport, traffic management and enforcement of road transport and traffic rules and regulations. Both have an important impact on the performance of the road infrastructure. A detailed analysis of the enforcement issues in the transport area has been carried out in Chapter 6.



2.3 Fresh Look at Institutional and Organizational Issues

There does not appear to be any published document describing GOB’s objectives for the road sector or detailed policy for achieving those objectives apart from a brief statement on the RCD website, as follows:

“Main objectives: Planning and designing the road network to provide optimized connectivity to

rural and urban areas. To achieve the goal of socio-economic development through proper

management of road communication. Construction, upgradation and maintenance of roads and bridges.” “Areas of interest: To upgrade road infrastructure to a level close to the National average. Effective management of high-density traffic in urban areas. To ensure full road connectivity up to Block level. To adopt latest technology for construction. All-weather roads in flood-prone zones.”

It is extremely important to design and develop a comprehensive Road Policy for the state. The Road policy must address the road asset management practices the state wishes to adopt, investment prioritization criteria to be adopted, framework for PPP project structuring, life-cycle costing issues including maintenance policy for road assets and Master planning issues. However, a Road Maintenance Policy has recently been designed which adequately meets with the aspirations of RCD as a vibrant, modern and learning organization. Further, with the reallocation of assets among different road sector organizations newer capacity building needs will arise. RCD being the owner of the assets (on behalf of the state government) will need to equip itself with the road management expertise and policy direction capacity. A redistribution of manpower resources too may become imminent for which an appropriately directed human resource planning exercise may be required, especially to create a functional asset maintenance organization.



3 PROJECT AND CONTRACT MANAGEMENT AND PROCUREMENT PROCESSES

In the TOR section 4. Business Procedures a. Project and Contract Management and Procurement Processes, the TA is to undertake the following:

(i) Introduce computerized project management tools, train engineers and

implement standardized district reporting systems in project and contract management.

(ii) Refine RCD standard bid documents and request for proposals using international best practices.

(iii) Assess modalities to maintain state roads and help RCD to develop and test contracting modalities to maintain roads including corridor management, performance based maintenance and community-based maintenance contracts.

3.1 Project Management Systems in Use and its Adequacy

3.1.1 Progress of TA Activities

Progress made in project management systems (PMS) activities is summarized as follows.

1. A PMS Working Group was established comprising members from the Monitoring

Unit, NH Division West Patna, BSRDC, Bridge Design Circle and Highway Planning and Investment Division. The group held its first meeting on 2 November 2009 and reviewed the TA TOR and discussed existing PM procedures, reporting and the members’ views on the need for training, tools and manuals. It was agreed that the Consultant should prepare a more detailed seminar focusing on RCD needs.

2. A review of existing RCD procedures, manuals and project progress reports was completed. In addition, NHAI, IRC and other documents were reviewed. The NHAI Works Manual 2006 is directly applicable to RCD works and should be used as a general guide.

3. Project scheduling software was reviewed and two systems are recommended for use by RCD.

4. An initial workshop and training session was held on 10 Nov 09 to introduce PMS concepts.

5. Three training courses in PMS are being proposed for inclusion in the training plan.



3.1.2 Existing RCD Project Reporting System

The RCD has created a system for reporting the financial and physical progress of each Plan works using a common reporting format. This system created in simple MS Excel spreadsheets is designed to integrate fully with GOB’s Integrated Government Financial Management Information System meets the requirements of reporting and monitoring adequately.

In RCD each Division office is required to complete a report for each of its works and email it to the HQ Monitoring Wing weekly or fortnightly where the reports are entered into the monitoring database. The Monitoring Unit can prepare consolidated progress reports in various formats as required for review by RCD senior management and Finance Department’s IGFMIS.

In BSRDC the ADB BSHP supervision consultants prepare detailed monthly progress reports for each BSHP contract. BSRDC staff extract information from the consultants’ monthly reports and the contractors’ payment certificates and prepare a separate summary report in the RDC format. The supervision consultants; however make extensive use of Project Management software such as MS Project. The monitoring staff at BSRDC should interact and interface with supervision consultant regularly to imbibe their Project Management software so as to avoid duplication of work in sifting data from consultants’ reports and reentering it in their customized system.

Each month the RCD Secretary meets with the E-in-C, CEs and EEs from the Divisions in Patna to review the progress of all contracts in all Divisions. The process requires 2-3 days and contractors are also summoned as required. The progress and problems in each contract are reviewed and corrective actions are decided upon, including terminating contracts of non-performing contractors.

The RCD has contracted an IT company to create an internet-based system which will enable the Divisions to enter contract data directly into an on-line database which can be accessed by the Monitoring Unit and RCD senior management. This is similar to systems used by PMGSY and being implemented in other Indian states. However, the RCD system captures more details than some of the other systems, including a summary of physical progress, and includes brief notes on decisions and actions taken by the Secretary.

The system is excellent insofar as it summarizes the progress of every contract and has raised awareness of the need for effective project management at all levels in RCD.

RCD staff at all levels have expressed a need for a manual of procedures and computer tools to aid in improving the management of their projects. These should cover planning and scheduling of work, controlling progress, supervision of construction and quality management. The latter two areas are being covered elsewhere in the TA. The project



management component should focus on work planning, scheduling, progress control and reporting.

3.1.3 Visits to RDC Field Offices

The Consultant made the following field visits to inspect available facilities and discuss procedures, problems and needs with RCD field staff and contractors. Visits were made with the TA HRD Specialist in order to interview RCD staff on their functions and training needs at the same time.

NH Division, West Patna, 5 Nov 09

BSRDC, Patna, 6 Nov 09

SH Division Hajipur, 7 Nov 09

C&C Contractors works yard, Vaishali, 7 Nov 09

As a minimum every Division office is now equipped with an internet connection, new computer, printer and computer operator familiar with MS Office as a minimum. These are leased from local computer services companies which also ensures that the equipment is functioning properly. This is an excellent arrangement. Some Divisions also have additional older RDC-owned computer equipment.

The computer skills of Division staff are very mixed. Many EEs and AEs have limited computer skills while some staff, AEs in particular, have good skills including use of AutoCAD. Each Division office had at least one engineer who could enter the contract progress data into the RCD PMS Excel spreadsheet. However, none of the engineers was familiar with project management scheduling programs such as MS Project or Primavera.

3.1.4 Project Management Seminar, 11 Nov 09

The Consultant held a small seminar in the BSRDC offices which was attended by the PM Working Group and ADB BSHIP staff in BSRDC. The seminar provided introductory training in the principles of PM including:

project phases comparing projects and programs

project organization comparing the traditional RCD hierarchical structure, ADB BSHIP organization and matrix management organization

attributes required of effective project managers

technical and people management components of PM



typical project management tools.

Two sample slides are shown in Figure 3.2.

Reference Materials: the Consultant provided each seminar attendee with a CD containing the following reference materials:

Powerpoint file of the presentation

Works Manual, NHAI, 2006

Contracts Management Manual, International Labour Organization

Project Management Manual, Anchorage, Alaska, USA

Guidelines on Project Planning, MMM Group, Canada

Earned Value Analysis Explained, Project Smart, UK

Open Office Project 4 installation application.

NHAI Works Manual: describes all the steps involved in managing a road project in India and is readily transferrable to the RCD because the government requirements, rules, regulations and terminology are similar between NHAI and RCD. The other manuals are excellent examples of PM procedures applicable to the type of road and bridge works undertaken by the RCD including BSRDC.

Open Office Project: is a scheduling computer program similar to Microsoft Project or Primavera but less complex and suitable for most RCD applications. Best of all it can be downloaded free from the internet and therefore could be widely used in RCD at no cost. The Consultant urged the seminar attendees to install the program and try it out on their contracts. It is a largely intuitive and self-learning.



Figure 3.2 Slides from Project Management Seminar

Project Scheduling ToolsProject Scheduling Tools

ADB TA 7130 Institutional Strengthening of Bihar RDC 19

3.1.5 Integrated Project Management

The need for strengthening overall project management in RCD may be viewed in terms of the following components which make up an integrated PMS, at least at BSRDC in the near future:



People management Technical management which is further divided into:

o Scope (of the project) management o Schedule management o Quality management o Budget management o Documents management o Risk management

People Management: RCD has a well-established hierarchical people management system which applies to the majority of projects carried out by the department and which will be difficult to change. In contrast BSRDC is a newly established organization and there is an opportunity to introduce a matrix management style of organizing project teams. This will be addressed in the management structures component of the TA. No further people management work will be done under PMS except that people management is included as part of the project management training proposed below.

Scope Management: The scope of projects in the RCD divisions, in terms of design standards, use of materials and construction methods, has been fairly rigidly defined by government and IRC standards and norms i.e. this is the way it’s always been done. More flexibility is being shown on new expressway projects elsewhere in India and in the ADB BSHIP and certainly will be required in future PPP projects in Bihar.

It is recommended to introduce value engineering concepts and practices, informally or formally, during the feasibility and design stages of projects. This will involve training of RCD staff in value engineering methods and trial applications on various types of projects.

Schedule Management: is being applied only very loosely in the RCD Divisions. There are no project or program Gantt charts to be seen almost anywhere in the Division offices. There is a definite requirement to train RCD staff (EE and AE levels) and contractors in computer scheduling tools and to require they be used in all RCD projects. A training course is recommended below.

Quality Management: in the ADB SHIP two international supervision consultants are employed to inspect materials and works and ensure that design specifications are satisfied. In contrast, there is a critical need to improve quality management in regular RCD projects, which is being addressed in the TA Quality Management component.

Budget Management: is closely controlled in the ADB BSHIP by BSRDC because the supervision consultants monitor actual versus planned physical and financial progress very carefully. Control of RCD projects is looser and a uniform procedure for monitoring progress and payments against plan is needed. Earned Value Analysis is a useful tool for assessing projects’ financial and physical progress.



Documents Management: the RCD system for controlling documents is well established and no more work by the TA is proposed

3.2 Standard Bid Documents

3.2.1 Construction

RCD presently uses three SBDs for construction works:

Form No. F-2 Item Rate Tender and Contract for Works, Bihar Public Works

Department, Schedule XLV Form No. 61. Used by Divisions for all works under Rs. 2 Cr.

Standard Bidding Document, Procurement of Civil Works (For All Works

Department), Published by Roads Construction Department, 2006, (Revised March 2008). Used for all works above Rs. 2 Cr. under national competitive bidding.

Conditions of Contract for Construction, Multilateral Development Harmonised

Edition March 2006, Federation Internationale Des Ingenieurs-Conseil (FIDIC). Used in ADB BHSP and for other donor projects involving international competitive bidding.

These three documents should suffice for all construction works carried out by RCD except for PPP projects and PBC maintenance contracts (discussed below).

Model documents for PPP projects have been developed by NHAI and Government of India and there is now extensive experience in using these documents in PPP projects across India. This type of PPP document will be used by BSRDC and BRPNN when the PPP projects are more advanced and training in their interpretation was provided by the TA in February 2010.

3.2.2 Consultant Services

RCD uses two Request for Proposal (RFP) documents for consultant services:

RFP for Consultant Services based on the NHAI model for feasibility, DPR

construction supervision and other specialized consultant services. RFP for Consultant Services from ADB for construction supervision in donor-

funded projects.



TORs are tailored for specific projects. These documents and variations are sufficient for nearly all consultant services and no further work in the TA is required. TORs for supervision of PBC maintenance contracts will be required and these will be developed as part of the PBC maintenance work.

3.3 Performance-Based Contract Maintenance

3.3.1 Progress of TA Activities

Progress performance-based contract (PBC) maintenance identified in the Inception Report is summarized as follows.

1. A PBC maintenance Working Group was established comprising members from

the BSRDC, SH Division Gaya, BRPNN (Bridge Corporation), E-in-C Office. Group members attended the initial PBC maintenance seminar on 18 Nov 09 described below.

2. PBC maintenance contract documents from WB Kerala, WB Andha Pradesh, ADB Madhya Pradesh and ADB Uttarakhand road projects, British Columbia, Tanzania and other countries were reviewed. All of these documents have features suitable for application in Bihar but none fits RCD’s needs exactly. A draft SBD Section 6 Technical Specifications is being reviewed by RCD.

3. The draft maintenance policy prepared by RCD was reviewed and appropriate parts will be incorporated into the PBC maintenance technical specifications.

4. The maintenance activities which need to be included in PBC maintenance have been reviewed. The activities and required standards are to be included in the SBD technical specifications.

5. Contract documents used in IRQP projects too were reviewed and some of the features can be captured in the final document to be adopted for maintenance works.

6. A draft PBC maintenance SBD was prepared and submitted in a separate Working Paper 4.1 Section 6 Technical Specifications.

7. Work on developing one or more pilot PBC maintenance contract packages should be undertaken by RCD soon.



3.3.2 PBC Maintenance Seminar, 18 Nov 09

A workshop on PBC maintenance was held in the E-in-C office on 18 Nov 09 attended by the CEs and senior staff in BSRDC and BSBDC. The E-in-C chaired the session which also included a presentation of the Road Management System developed in Madhya Pradesh under ADB TA 4013-IND Institutional Strengthening of the Madhya Pradesh Road Sector.

The PBC maintenance presentation described:

various types of maintenance contracts

experience of PBC maintenance in British Columbia, Canada

how a PBC maintenance contract would work in Bihar

recommendation to develop a hybrid PBC and quantities based contract for RCD

proposed next steps in the TA

There was very keen interest in the PBC approach with many questions and much discussion. There was a clear consensus that the hybrid contract was the most suitable model for RCD’s roads. The general features of a hybrid contract are shown in Figure 3.3. Subsequent to this workshop, in August 2010 RCD constituted a working group of its engineers to work on designing salient features of a Road Maintenance Policy. The Team Leader of the TA was coopted as an advisor/observer in this group. The TL attended its various meetings and made significant contribution in developing the maintenance policy, processes and procedures. The proposed Maintenance Policy substantially recommends that the maintenance activity should be contracted out. The qualification criteria for the contractors to be employed in maintenance activities will include their equipment holdings. As such RCD may not acquire any equipment that may be used for in-house construction or maintenance activities.

Reference Materials: the Consultant provided each seminar attendee with a CD containing the following reference materials:

Powerpoint file of the presentation

Powerpoint file on Highway Maintenance in British Columbia, Canada

Draft Bihar PBC Maintenance SBD Section 6 Technical Specifications

Kerala PBC Maintenance SBD Section 6 Technical Specifications

Madhya Pradesh PBC Maintenance SBD



Standard Highway Maintenance Contract, Ministry of Transport and Highways, British Columbia, Canada

Pavement Evaluation Guide, Ministry of Transport and Highways, British Columbia, Canada

Figure 3.3 Slides from PBC Maintenance Seminar

Hybrid Maintenance Contract

Component Input based Output based

Initial repairs – Replace km stones – Repair guard rails – Quantities in BOQ

100% 0%

Later repairs – Area patching – Repair retaining walls – Prospective quantities in BOQ

100% Determined by Engineer

0%

Emergency maintenance – Minor landslides PBC – Major landslides inputs based – Paid by dayworks rates

Determined by Engineer

Minor works

Routine maintenance 0% 100%

Next Steps in Bihar

• Develop PBC SBD

• PBC technical specifications

• RCD SBD Special Conditions of Contract

• Select roads, conduct condition surveys, estimate quantities and costs

• Funding and approvals

• Prequalification of bidders

• Procurement and award of contract

• Contract administration arrangement

3.3.3 PBC Maintenance Contract Packages



The maintenance contracts have to be sufficiently large to attract contractors with the necessary technical and financial resources, although subcontracting some activities to smaller contractors will be permitted. This means clubbing a number of roads within a reasonable proximity into a larger contract package. It is unreasonable to expect to maintain a single road by PBC contracting, unless it is a PPP concession highway.

RCD expects to combine all SHs and MDRs within an area into a single contract. The area may be single division or it may be two or more divisions. This remains to be determined.

RCD would like the initial contracts to be 3-5 years to prove the system before entering into long-term contracts such as 10 years. Capacity building of contracting firms too will be an integral part of future developments at RCD. Currently, various contractors are getting trained in e-tendering.



4 ROAD PLANNING

4.1 Current Status of Planning in RCD

In recent years there has been little attempt at long term planning of the road network in Bihar but there is currently a desire in the Department to produce a Road Master plan which quantifies budgetary needs for road maintenance and improvement over the next 10 years. Some inventory and condition data for the road network is available though in less detail than would normally be used for long range planning. Traffic data is fragmentary and there is no centralized information on pavement strength.

RCD is responsible for State Highways and Major district roads and some works on National Highways. Assuming that strategic planning of National Highways is undertaken by NHAI this limits the planning function in RCD to the secondary network – SHs and MDRs with a current length of around 12,000km.

The secondary network has been neglected and is generally in poor condition and the majority of roads are single lane. Needed improvement works mostly comprise widening and strengthening with expansion of the secondary network coming about through reclassification of tertiary roads. Routine and periodic maintenance is of course an essential budgetary item. The planning process should therefore focus on the future funding needs for maintenance and improvement of existing roads. During the course of its interactions at various levels, the TA felt that RCD needed to evolve a comprehensive and integrated Road Maintenance Management System. As a first step in this direction, RCD need to identify the basic composition of such system. The TA proposed a system as detailed below.

RCD’s Integrated Road Maintenance Management and Delivery Frameworks

TA’s main approach in various discussions and reviews was guided by an integrated framework as placed in Figure on the following page. The three principal components of this integrated framework are:

Road Management System (Programming & Prioritization)

Road Maintenance Delivery (Planning & Execution)

Road Maintenance Outcomes (Monitoring & Evaluation)

The TA recommends that the three components of the system though integrated should be managed by three independent but coordinating units viz. Road Management Unit, Contract Administration Unit and Monitoring & Evaluation Unit. Different functions of these Units are identified in the integrated framework in Figure below.



Inventory Data Condition Data Road Management

System (Programming &

Prioritization)

Road Maintenance Delivery

(Planning & Execution)

Road Maintenance Outcomes

(Monitoring & Evaluation)

Maintenance Management Executing Agency

PERT: Performance Evaluation and Review Technique

Contracting Structures Contract Administration

Contract Payments Planning

Contract Administration Unit

Monitoring & Evaluation Unit

Contractor Performance Measures Contract Evaluation

Financial Review: Value-for-Money

Maintenance Plans Maintenance Budget Financial Planning

Contact Close and Maintenance Delivery Post-contract Condition Data

RCD's Integrated Road Maintenance Management and Delivery Framework

Capacity Building Needs

Addressed to Road Management Unit: Road Database Management

System, MIS, Planning & Prioritization and Financial

Planning.

Addressed to Contract Administration Unit and Local

Contractors: Contract Management, Equipment

Planning, Financial Management.

Addressed to Monitoring and Evaluation Unit: Managing for

Results, Use of PERT Charts and Performance Management tools.

PERT-Feedback and Corrective Actions

Procurement Planning

Road Management Unit



The foundation of road planning is current and reliable data on the road network. The first stage in developing a road masterplan is therefore the creation of a road database. To this can be added analytical processes for strategic planning and short term works programming forming important components of a Rod Management System.

4.2 Development of an RMS

The TA consultant has designed, developed and delivered a pilot Road Management System to RCD for the roads in Muzzaffarpur Circle. The principal objective behind this pilot RMS project was to create an understanding of computerized road management principles and to appreciate the need for IT technology in it. The TA consultant has delivered a series of guidance reports to manage, operate and evolve the RMS. A detailed final report on RMS has been submitted at the conclusion of a workshop on 9 March 2011 where the pilot RMS was formally delivered to the RMS unit within RCD. Brief description of an RMS follows in the next sections. However, a detailed Report has already been delivered with its nine working papers/manuals of instructions.

4.3 RMS Components

Figure 0-1 shows the components and structure of the proposed Bihar RMS in its final stage of development.

DataCollection

System

RoadDatabase

HDM-4HDM-4Interface

Model Parameters

& Calibration

Road Network Information

WorkProgramme& Budget

Data Entry& Audit

RMS Software

GIS

Figure 0-1 RMS Components and Structure

The user interface will allow ease of data entry with pull-down lists for items that are not numeric as shown in Figure 0-2.



Figure 0-2 Road Inventory Data Entry and Edit Pane

The Road Database will in itself provide a Network Information System with a range of standard reports available in summary and detailed formats covering inter alia road and bridge inventory, condition and traffic. All data will be referenced to a location system that is independent of administrative boundaries and road class/number which are subject to change.

The interface with HDM-4 will include a homogeneous sectioning process to define sections for analysis in HDM-4 and retrieval of HDM analysis output for further summarizing in the Road Database.

4.4 Data Needs Assessment

The Consultants recommend that, to give the RMS a good start, a complete data collection exercise is undertaken for the secondary network of around 12,000km. The first stage in this will be establishing the location reference system on a node-link basis with intermediate location reference points, normally km stones. While this is done a GPS receiver can be used to provide geographical coordinates for all nodes and LRPs, thereby allowing future linkage to a GIS.

The data requirement should be adequate to initially assist the RCD in their planning and programming functions. Attribute data on roads and bridges which needs to be collected and entered into the database would include:

Road classification and number Road Inventory



Pavement structure and history Road condition Bridge and culvert inventory Bridge and culvert condition Traffic Road Accidents

The initial effort in acquiring the above data is a large one. Subsequent updating is a lesser task; updating inventory after improvements works, annual condition surveys and traffic counting on a 3 or 5 year cycle.

In order to ensure good quality and consistency, it is recommended that the initial data collection is outsourced. Detailed guidelines are provided in the Working Papers submitted by the TA.

4.5 RMS Unit at RCD

The establishment and operation of a Road Management System requires a small but specialized team of people within RCD Headquarters – the RMS Unit.

The RMS Unit should be headed by a SE or EE who should, desirably, have some experience of highway planning. More importantly, the Head of Unit should have a keen interest in the field of road management and planning and should be assigned for sufficient period of time to oversee the establishment of the system and its ongoing operation for at least a year afterwards

IT expertise is an essential part of the RMS operation and the SE should be supported by a database administrator who has IT qualifications. It is unlikely that this position can be filled from within existing RCD staff. Options for this position may be:

Deputation from another government department. Contract employment, maybe through the Road Development Corporation

which has already engaged staff on a contract basis. Consultancy contract where the deliverable is the operation and maintenance

of the RMS software for a period of, say, two years and supply of full time staff – database administrator plus data entry operators.

An AE should be responsible for quality assurance of incoming data. The audit covers both spatial integrity and technical accuracy of incoming data received from consultants or RCD field offices. Several JEs will assist in the data audit and, on a rotational basis, conduct annual road and bridge condition surveys. There should be a minimum of two JEs with experience in bridge inspection and repair.



Data entry will be performed by computer operators who may not be specialized in engineering data but who can operate a computer and have a good familiarity with keyboard operation. An RMS Unit was formally created in RCD in July 2010. Since then the TA has been dealing with this Unit in structuring and developing the pilot RMS. However, once the entire road network is decided to be brought on the RMS, the RMS unit will need to be augmented and strengthened further.

Figure 0-3 shows the organization chart for the RMS Unit.

RMS Manager(SE/EE)

Database Administrator

Data Auditor(AE)

ComputerOperators Junior Engineers

Figure 0-3 RMS Unit Organization

4.6 Training Needs of the RMS Unit

While generalized training and development plan for RCD and allied organizations has been delivered separately by the TA, training needs for the RMS unit are of an entirely different nature being largely dependent upon IT resources, platforms used and customization level. The TA has provided training in the use of the pilot RMS designed and developed by it. However, this is a pilot project based on a standalone database management system. A large scale model to be implemented state-wide may need to be installed on a different kind of RDBMS platform and integrated for web enabled and online data control systems. The training needs for immediate use have already been identified and fulfilled by the TA but for any advanced platforms to be used by RCD, specialized platform related and IT vendor specific training needs will emerge. More specifically, the vendors will advise the nature of training and capacity building needs at the material time.



5 QUALITY ASSURANCE

5.1 Quality Management-Background

The Quality Management activities under this project were modified subsequent to commencement as part of Variation Order No. 2 (578). This variation reduced the scope under quality management aspects, and added Quality Control and Materials Testing aspects. The two components were covered by separate experts as follows:

i. Quality Management – largely relating to establishing a quality management program / system. This report mainly comments on this aspect.

ii. Quality Control and Materials Testing – largely relating to materials testing, laboratory establishment, training, equipment, and delivery of quality system in construction process. This component of the project produced a manual with information and procedures relating to Quality Assurance System, and testing procedures included in the Report on Quality Control, dated April 2010. This task also identified a list of materials testing equipment to be purchased by RCD.

During August 2009, a project working group was established, preliminary investigations were conducted, a workshop was presented, and the inception report was produced. By May 2010, key members of the project working group were available to discuss project scope and provide inputs. The following table outlines the working group, and other key persons who have provided input.

Name Affiliation Reason for participating and period of input

Mr. Mehran Avini

ADB TA – Quality Management

ADB TA: Role include institutional quality management review only (August 2009 and May 2010)

Mr. Binal Mandal ADB TA – Quality Control and Materials Testing Expert

ADB TA: Role included training in materials testing, development of equipment requirements, and outline on QA/QC as it relates top materials testing (April 2010)

Mr. Chaman Prakash Sinha

Director, Training, Testing and Research Institute

Responsible for the Institute. Mr. Sinha became the director subsequent to the August 2009 TA trip. (May 2010)

Mr. Ashok Kumar, EE

Deputy Director, Testing and Research (lead RCD

Responsible for the materials testing activities in Patna. Conducts quality



contact with the TA) checks on field work. Provides support to Divisions.

Mr. Ajay Kumar, EE

RCD, Leader, Flying Squad #2

Has firsthand knowledge of quality issues- and has a quality audit role. (August 2009)

Mr. Ashok Sinha Assistant Director, Testing and Research (lead RCD contact with the TA)

Responsible for training.

Mr. Neeraj Saxena

Bihar State Bridge Construction Corporation

Has experience with ISO and quality assurance. (August 2009)

Mr. Navin Kumar Assistant Engineer, Patna West Division

Brings local/Divisional input. It is most important that the documents developed as part of this TA have input from RCD Patna, as well as Divisions outside Patna, who will be utilizing the document and its procedures. (August 2009)

Mr. Chandra Shekar

Deputy Director, Purchasing

Provided general input.

5.2 Observations and Capacity Building Work The Quality management expert commenced work in August 2009. The efforts at that time included holding a number of meetings with counterpart staff, visiting a divisional materials testing laboratory, preliminary assessment of current capabilities and structure as they relate to quality management, conducting a workshop, and issuing a report of findings as part of the overall project inception report. The original terms of reference for ADB TA 7130, before the variation order, noted the following as the anticipated areas requiring effort for improving the quality assurance capabilities within Bihar Road Construction Department (RCD):

Identify resource requirements for the unit. Establish a quality assurance strategy and arrangement, including quality

management manual, procedures, and reporting system, taking into account the extensive state road network.

Pilot test the manual on a sample of different types of works. Train the staff to use the manual. Assist RCD and SHA/RIC operationalize the manual and reporting system.

Help RCD and SHA/RIC identify, prepare specifications, and procure testing equipment and facilities for the quality management system.



That stage of the project (August 2009) provided an opportunity for the Quality Management technical advisor to review existing RCD documentation and procedures as they related to quality assurance; and interview various staff in RCD’s Patna offices and the materials testing laboratory, field offices, staff at the newly established Road Development Corporation (RDC), and the Bihar State Bridge Construction Corporation (BSBC) staff. Between August 2009 and May 2010, the TA 7130 variation order was issued and a Quality Control and Materials Testing expert was brought on board to provide training in materials testing and materials quality control. The training program took place in April 2010 and three reports were issued:

i. Quality Control Training Program 21-29 April 2010 (issued April 2010) – this report consists of an outline of the training provided with all attendees’ names.

ii. Quality Control Handbook – A compendium of various materials testing procedures put together by RCD’s Testing and Research Institute. This compendium was utilized for the April 2010 training.

iii. Report on Quality Control (April 2010) – This report outlines general Quality Assurance system requirements, discusses quality control responsibilities, notes practices for quality control at RCD, lists materials testing equipment generally required for a construction materials testing laboratory and a list of equipment to be procured under this project for materials testing, and provides a list of various materials tests.

The above documentation were prepared under the direction of the Quality Control expert, who provided materials testing training as part of this TA. In RCD, quality is primarily perceived as activities related to materials testing during construction. It currently excludes other road-related activities such as road maintenance. Currently there is no formalized organizational quality management system or corporate policy being practiced at the Road Construction Division, or at the Road Development Corporation. The Bihar State Bridge Construction Corporation apparently has some ISO certification. There are quality control and assurance units set up and operational, as it relates to works monitoring at each of the 38 RCD Divisions - and each Division is equipped with a materials testing laboratory. The responsibility for quality assurance is at the Assistant Engineer level, reporting to an Executive Engineer (who reports to Superintending Engineer which is below the Chief Engineer). Assistant Engineer position is an entry level for university graduates, and they are expected to be technically up to date. The RCD headquarters in Patna owns and operates a materials testing laboratory under the Director, Training and Research Institute. The current RCD organizational stream and at the Divisional level – as it directly relates to quality (only) – are shown in the following diagrams 1 and 2.



Diagram 1 - RCD Organization chart as it relates to quality.

Diagram 2 - Divisional level quality assurance responsibility organization chart.

Assistant Engineer field

Executive Engineer EE (Division)



Assistant Engineer (AE) quality

Assistant Research Officer

Research Assistant (RA) each RA

responsible for an AE (field) project

Laboratory Assistants (two)







Chief Engineer Central Design Office (CDO)

Chief Engineer Monitoring

Deputy Director (EE)

Testing & Research

Deputy Director (EE)

Training

Flying Squad Division (4 squads)

Superintending Engineers SE (2)

Executive Engineers EE

(11)

Assistant Engineers AE

(144)

Note: “green” areas note quality-related activities in RCD, excluding RDC and Bridge Construction Corporation.

Director (SE) Training &

Research Institute

10 Regional Chief Engineers & Directors

Engineer-in-Chief

Design Circle Bridge Design Circle, etc…

Secretary Road Construction Department



The primary responsibility for quality control lies with the field Divisions. The Training and Research Institute conducts additional materials testing as requested by the Divisions. Additionally, the RCD has 4 Flying Squads which respond to complaints regarding quality of materials. The squads have the role of conducting rudimentary materials testing on site; however, laboratory testing is conducted in Patna at CD headquarters’ laboratory which is headed by Deputy Director, Testing and Research (as part of the Training and Research Institute). Since August 2009, the materials testing laboratory in Patna has been substantially upgraded and refurbished. New equipments have been purchased by RCD, and training in materials testing has been provided as part of this project. Per the quality control expert’s recommendations and in coordination with the RCD, additional testing apparatus has been ordered as part of this TA (as outlined in the quality control expert’s April 2010 Report on Quality Control under this TA). In the organization chart shown earlier, the Chief Engineer, Monitoring, has the primarily responsibility for reporting on progress of works, such as quantity, payments, etc., but does not have a works implementation quality control / assurance role. The Testing and Research Institute falls under a separate Chief Engineer, (Central Design Office). It is noted that Road Construction Department (RCD) and the Road Development Corporation (RDC) have different approaches to delivering road infrastructure influenced by their mandate and history. The RDC generally is a project development and delivery entity. It incorporates FIDIC documentation for its contracts (and the Public-Private Partnership – PPP – model). It has no role in conducting quality assurance and uses consultants for all project aspects – including quality-related activities. The Road Construction Department (RCD) has a much longer history and delivers road infrastructure through traditional methods (not PPP) and has an “engineering”, inspection and materials testing role. RCD has utilized quality assurance consultants to varying degrees of success – and currently is re-evaluating the use of such consultants. RCD has acknowledged that use of outside consultants for materials testing is necessary. There are quality management manuals published by the Indian Road Congress as they relate to quality management procedures, construction materials testing, inspection and various other technical requirements. At the Divisional level quality-related activities are led at the Executive Engineer level, who generally has an Assistant Engineer responsible for testing, and another Assistant Engineer responsible for general inspection and contract administration. The laboratory visited in Nalanda in August 2009 was equipped with newly-arrived testing equipment, which were being utilized. However, there appeared to be limited training provided to staff, and a lack of available technical references. Internet connection was not available at this office, even though internet service is available in the area (town). This appears to be the norm across most areas of Bihar.



The training provided in Patna in April 2010 included representatives (Totaling over 120) from various Divisions as noted in the quality control and testing report produced by the quality assurance expert in April 2010. The Road Construction Division has experience with engaging a private consulting firm to provide 3rd party quality control of materials. That contract ended in May 2009 and was not extended. As part of that contract RCD now has in its possession two mobile materials testing laboratory (buses) which currently are not being utilized. The following provides a summary of observations:

i. RCD has felt a strong need for corporate quality management process:

practices approach, guidelines, responsibilities, philosophy or a corporate program.

ii. The RCD is in the process of establishing procedures for addressing quality control, quality assurance and overall approach to quality management in road construction or maintenance. It is noted that materials testing procedures are established, and IRC designed literature exist.

iii. There is currently little correlation or coordination between the construction contracts and their requirements relating to quality management, and the RCD’s corporate approach to quality management.

iv. Attempts are being made to addressing quality in road maintenance. Maintenance in Bihar is contracted out, which would include routine maintenance. The new contracts being designed for maintenance works will be so drafted that quality aspects in maintenance contracts will be addressed.

v. RCD’s website is operational and notes an “on line project monitoring system” link, which is a secured link.

vi. The Training and Research Institute appears to have the basic knowledge and the interest to take the lead in quality management related activities for RCD, and has expressed interest in developing a quality management program, with external assistance.

5.3 Recommendations on Quality Management During the May 2010 interaction with the Quality Management expert, the following items have been identified by the quality management working group as a priority for the RCD.

Category Implementation Comment

a) Quality Management Manual - Develop a quality management manual - initially for the Testing and Research Institute, but with the intention that once developed it can be further expanded (beyond this

This manual is not intended to be long. It is intended to be user-friendly, brief, and be utilized as a training tools as well. It is intended to bring together various documents in existence under one cover, and provide a corporate approach to quality



Category Implementation Comment project and at a later date) to encompass the entire RCD construction and maintenance activities.

management within the context described in this report. It shall address the following. Chapter 1: Corporate policy regarding quality management Methodology (likely ISO compatible approach, but much condensed for ease of use) Roles and responsibility (within RCD, external, contractors’, audits) Access to documentation and reporting (web-based) Background on contract requirements relating to quality Chapter 2: Testing references and procedure. This chapter would list various inspection and test requirements (a listing), provide information on frequency and applicability, and provide a list of references, which are intended to be web-based. This chapter is not intended to repeat testing procedures already existing, but provide a general condensed reference chapter The manual would include simplified organization charts and flow diagrams for ease of understanding and usage. Few simplified forms for reporting could be included as part of the manual . The manual shall be accessible on the RCD website. The author notes that this effort can be helped by interaction with the Bihar State Bridge Construction Division which has already achieved some ISO certification. The manual would be developed



Category Implementation Comment in close consultation with RCD, and once a working draft is available it would be introduced by providing training in its usage. The manual must be developed in coordination with the tender documents for construction and maintenance. It is beneficial to solicit input from the contracting industry as well. The manual can subsequently be expanded to provide an RCD corporate quality management manual.

b) Equipment and Materials - Adequately equip the Divisional and Circular offices with up to date and operational materials testing laboratories.

Much of this effort has been undertaken since August 2009. Under this TA training has been provided and a list of equipment and tests has been provided. RCD has also undertaken a program of equipment upgrading.

c) Incorporate 3rd party quality control and assurance into RCD procedures.

This refers to utilizing external consultants and expertise for the performance of quality control, quality assurance and audits. The quality management program noted in item a) above would help clarifying the roles and provide the basis for consideration. RCD shall assess whether it is more efficient, and where geographically possible, to utilize consultants for inspection and materials testing. This also relates to the contract requirements regarding roles and responsibilities. The author notes that quality control and quality assurance responsibilities should be the contractors’, with the state having an audit role. It is recognized that this would require a review of the contract requirements and may perhaps require implementation of



Category Implementation Comment some sort of reward/penalty scheme for exceeding or failing to meet contract quality requirements. This may take some time to be implemented and done in stages.

d) Tender Documentation - Review the tender documentation for construction and maintenance and provide input as they relate to quality and standardize the relevant sections across the province – and in correlation to RCD’s own quality management system and activities (items noted above)

This effort would be required. This would also assist in clarifying roles and responsibilities within and outside RCD. Please read comments under item c), above.

e) Lessons Learned from others – relating to organizational quality management and implementation.

RCD has indicated that they would much benefit from experiencing quality management practices elsewhere relating to highway departments. The author supports this effort. Lessons learned would include: quality documentation as it relates to constriction and maintenance contracts; evaluation of bids and how they are assessed considering the contractor’s capabilities beyond the lowest price; a contractor assessment program during implementation and perhaps a reward and/or penalty system; use of internal and external resources in quality-related activities; 3rd party audits; owner’s quality management plan and contractor’s quality management plan, and their relationship; capacity building in the contracting industry; quality management relating to construction as well as maintenance activities;



Category Implementation Comment f) Develop a web-based quality

management program This is reasonable approach and can better link the field offices to Patna – and perhaps through a project-specific Sharepoint site to contractors – for data transfer (test results, etc.), access to manuals and information, audits. RCD already has a website with a link to “on line project monitoring system”. It is not clear what this link provides, but perhaps can be enhanced or duplicated for quality/project-related services.

5.4 Sample Outline of a Quality Management Plan A sample outline for a quality management manual for RCD was delivered by the TA. It has been presented to RCD in a workshop, but it has not been discussed in detail and is presented as a general guideline. Determining its contents would require further work and collaboration. Initially, it is intended to apply to road construction – and preferably to road maintenance. However, subsequently it can serve as the basis for a corporate-wide quality management plan. The scope of this project / effort is the road construction and materials testing. The outline is provided within the limited current scope of Quality Management as part of ADB TA 7130-IND (Institutional Strengthening of the Bihar Road Sector) Project. The quality testing and training was addressed adequately. Brief outline of the sample manual was delivered in the Report on Quality Management in July 2010.



6 HIGHWAY ACT AND ENFORCEMENT ISSUES

6.1 Preparation of Draft Legislation

The Consultant has prepared and submitted to RCD a Working Paper containing a draft Road Administration Act. The Working Paper also includes a draft notification under section 200 of the Motor Vehicles Act (setting out penalties which are to be specified on infringement notices).

6.2 Road Administration Act

There are few statutory provisions dealing with road administration in Bihar State. A draft Bihar Road Side Land Control Act (RSLCA) was prepared in 2002 but it was not enacted. National legislation exists (the National Highways Act 1956 and the Control of National Highways (Land and Traffic) Act, 2002), but it applies to National roads, and not State roads.

As might be expected, to some extent non-statutory alternatives have been devised but these are suboptimal solutions:

well structured legislation would set out objectives, powers and functions of road authorities. A brief statement of functions is set out on the RCD website, but this is not a satisfactory alternative to a statutory mandate;

the process of classifying roads and allocating them to road authorities requires a clear statutory basis, providing transparency of process and facilitating decisions which are based on clear criteria;

road maintenance funding currently occurs through an annual budget cycle. Funding as a “non-plan” expenditure does not provide a basis for long-term road maintenance planning. By contrast, a statutory road maintenance fund can provide significant, stable and predictable funding, facilitating long-term planning;

interaction between road authorities and agencies which have infrastructure within the right of way (electricity, telecommunications, water, sewerage and transport infrastructure) is not structured, and is not considered to be satisfactory;

some clearance of roadside encroachments does occur under existing legislation, but a Road Administration Act will provide all stakeholders with consistency and transparency in relation to their rights and obligations, facilitating more effective road administration.



6.3 Existing Legislation

National

Central Road Fund Act, 2000

Central Road Fund (State Roads) Rules, 2007

These Rules, made under the Central Road Fund Act, 2000, provide for disbursement of funds from the Central Road Fund for projects relating to the construction and development of State roads, including roads of inter-State connectivity and of economic importance identified by the Central Government in consultation with State Governments.

Control of National Highways (Land and Traffic) Act 2002

This provides for the creation of a Highway Administration, comprising officers of the Central Government or the State Government, to exercise functions under the Act. These include protection of roads from encroachments, with provision for granting permission to occupy, on payment of rent. The Act also provides for creation of National Highway Tribunals to specify highway limits and to hear appeals.

The Act also makes provision for protection of roads or bridges from overweight vehicles.

Highways Administration Rules, 2004

These Rules, made under the Control of National Highways (Land and Traffic) Act, 2002, provide for a Highway Land Register, permission to occupy part of a highway (including rent limited to not exceed the “present cost” of the land), determination of laden weight of vehicles and weight limitation (by reference to the limits of weight specified in section 113 of the MVA).

Land Acquisition Act, 1894

This Act provides for the compulsory acquisition of land for a “public purpose”. Although this term is not exhaustively defined (section 3) it would seem to include road construction. The “inclusive” definition lists ‘the provision of land for a corporation owned or controlled by the State” as a public purpose.

The Act includes an objection procedure for person whose land is likely to be acquired (section 5A). However, this is procedural only: it has been held by the courts that discretion vests in government in the choice of land to be acquired, and that the courts will not intervene unless the decision is made in bad (Bihar Land Acquisition Manual, 7ed 2008, pages 14,17).

The Act also sets out the procedure for land acquisition and for determining the compensation to be paid.



Motor Vehicles Act, 1988

This Act deals with a range of issues related to the use of motor vehicles in India. These include:

Limits of weight and limitations of use (sections 113 - 115): The use of transport vehicles may be limited by State Governments by area or route. It is an offence to drive, or cause or allow to be driven, a vehicle if its weight (laden or unladen) exceeds the limit specified in the vehicle’s certificate of registration. In addition, a State Government or an authority authorized by the State Government is empowered to temporarily prohibit or restrict the use of vehicles in specified areas or specified roads.

Power is conferred by the Act on authorized officers to require a vehicle to be weighed if the officer has reason to believe that the vehicle is overweight. If a weighed vehicle is overweight the officer can required the driver to off-load excess weight.

National Highways Act, 1956

The Central Government is empowered by this Act to declare roads to be a national highway. The Act includes power of land acquisition. The Central Government is given authority to direct that specified functions in relation to development or maintenance of a national highway are also to be exercisable by a State Government.

National Highways (Collection of Fees by any Person for the Use of Section of National Highways/Permanent Bridge/Temporary Bridge on National Highways) Rules, 1997

National Highways (Rate of Fees) Rules, 1997

These two sets of rules provide for the Central Government to enter into an agreement in relation to the development and maintenance of the whole or part of a national highway or bridge on a national highway. A person who has entered into an agreement is authorized to collect fees from the drivers of vehicles using the road or bridge.

National Highways (Fees for the Use of National Highways, Section and Permanent Bridge – Public Funded Project) Rules, 1997

These rules provide for collection of fees for the use of sections of National Highways or bridges on National Highways.

National Highways Authority of India Act, 1988

The National Highways Authority of India is constituted by this Act and given the function of developing, maintaining and managing national highways. It has power to compulsorily acquire land.



Bihar Legislation

Motor Vehicles Rules, 1992

These Rules are made by the Government of Bihar, for the purposes of applying, in Bihar State, provisions of the National Government’s MVA.

These Rules prescribe officers who are authorized for the purposes of section 114 of the MVA, under which an officer can require a vehicle to be weighed (Rule 187). The prescribed officers are a Magistrate, an officer of the Transport Department of or above the rank of Assistant Motor Vehicle Inspector and a police officer of or above the rank of Sub-Inspector.

Weighing devices for the purposes of section 114 of the MVA are prescribed (rule 189).

Fees for storage of goods removed from over-loaded vehicles are set out in rule 190 (Rs 5 per day per 100 kilograms) plus labour costs. The rule provides that the fees are recoverable from the driver or owner or other person in charge of the vehicle from which the goods are removed.

Overall Dimensions of Motor Vehicles (Prescription of Conditions for Exemption) Rules, 1991

These Rules enable permits to be granted for the movement of over-dimension vehicles.

Public Land Encroachment Act 1956

This Act provides for the removal and prevention of encroachment on “public lands”. These are defined to be land managed by or vested in the Central or State Government or a local authority, and includes land over which the public has a right of user such as a right of way. Powers and functions under the Act are conferred on the “Collector”, who is the Collector of the district or an officer empowered by the State Government to discharge the functions of the Collector.

For the purposes of the Act an “encroachment” is an unauthorized occupation of public land. It includes erection of structures over public land, occupation of public land to exhibit goods for sale and occupation of land for parking of vehicles.

Enforcement powers conferred on the Collector are:

power to serve a “show cause” notice (leading to an injunction for removal);

power to act immediately where the encroachment is:



o in the nature of exposing goods for sale or operation of a booth for vending; or

o of such a nature that the Collector considers immediate removal is essential for the safety of the general public or the safety of another structure.

6.4 Structure of the draft Road Administration Act

The draft Road Administration Act which has been submitted to RCD for its consideration is structured as follows:

Chapter 1 – Preliminary

This sets out the tile of the Act, its purpose and objective. It also includes definitions of terms used in the Act.

The title of the Act describes its scope: road administration comprises road governance (regulation of behaviour on roads) and road management (non-regulatory activities – largely road maintenance). The term “road” is used as this is a generic expression, covering both major and minor roads.

Chapter 2 – Road Authorities

This sets out the functions of road authorities.

Chapter 3 – The Road Network

This provides for road classification and the setting of technical standards.

Chapter 4 – Creating, Re-aligning and Closing Roads

This provides for creating, re-aligning and closing of roads. A precondition to land acquisition for road development is that a road development scheme should be created. The process of acquisition of land and determination of compensation, however, is to continue to occur in accordance with Bihar land acquisition and compensation laws.



Chapter 5 – Protection of Roads

This provides for protection of roads from encroachments, unauthorized access and obstructions. It also vests ownership of a road in its road administrator – thereby resolving any legal doubt, and providing the road administrator with powers, duties and functions that go with land ownership.

Chapter 6 – Administration of the Road System

The responsibilities, functions and powers of road authorities are set out. Provision is made for road master plans for each road administered by a road authority. In addition, RCD is to establish Codes of Practice, benchmarking good road management practices, for the guidance of road administrators and others who work in road reserves.

Chapter 7 – Road Funding

The Bihar Road Maintenance Fund is created. The Act provides for payments into the Fund, and payments out of the Fund.

Payments into the Fund are to include contributions by the State Government and any money borrowed by the proposed Bihar Road Maintenance Fund Board.

Payments out of the Fund are to be payments for road maintenance and administration of the fund.

The Fund is to be administered by a skills-based Bihar Road Fund Maintenance Board.

Chapter 8 – Offences and penalties

This Chapter creates offences for the purposes of the Act and sets out the applicable penalties.

Chapter 9 – Evidence and notices

Chapter 10 – Miscellaneous

These two chapters deal with procedural and technical issues, including provision to make regulations under the Act.



6.5 Road Authorities

The draft Road Administration Act provides flexibility in the appointment of persons to be road authorities for Bihar roads. The appointment might be a general one, for particular roads or parts of roads. For example, responsibility for the main carriageway of a road could be allocated to RCD and for footpaths to the District council.

The draft Act includes objectives, powers, functions and duties of road authorities.

Concessionaires under PPP arrangements would not be road authorities, but would have some of the powers and functions of road authorities in relation to concession roads. Their powers and functions would also be regulated by the terms of the applicable concession agreement.

6.6 Road Declaration and classification

The proposed classification of roads in Bihar State is:

National Highways (declared under the NHA) State highway Major district road Other district road Village road.

This draft Act provides opportunity to make changes to those classifications if required. It is desirable, however, to set out the criteria for classifying a road as belong to one of the State categories (classification as a National Highway occurs under the National Highways Act). This issue has been referred to RCA for consideration.

Road administrators are to be required to establish and maintain a register of roads which clearly identifies each road and its associated building lines and control lines as well as the category to which it belongs.

Technical standards set by the RCD are to apply to all road administrators.

6.7 The Components of a Road

The draft Bill broadly follows the 2002 draft RSLCA in its identification of the components of the road, with some changes in terminology. They are shown in the following drawing:



In the terminology of the draft Act:

the midpoint of the carriageway is the centreline;

the surface on which vehicles travel (typically sealed) is the carriageway;

the land which comprises the carriageway and road shoulder is the roadway;

the land between road boundaries is the right of way;

the land between the right of way and the building line is the building restriction area;

the land between the building line and the control line is the controlled area.

The right of way

The right of way is a core concept in a Road Administration Act – the term “road” is synonymous with “right of way”. The abutting areas (the building restriction area and the controlled area) exist to provide protection for the road.

The draft Bihar Road Side Land Control Act prepared in 2002 did not satisfactorily identify the right of way. This deficiency should now be addressed – the Act should provide for the clear definition of the “right of way” and therefore of the road. The most effective way to do this is by specifying that the right of way is the area between the road boundaries: and that the road boundaries are to be fixed by reference to the centre line of the road.

This should be done under the Act rather than in the Act, in recognition of the fact that the width of the right of way will vary according to circumstances such as the width of the



formation, height of embankment or cutting and other factors. The relevant factors are listed in the draft Act.

The building restriction area

The building restriction area is the nearest band of land on either side of the right of way, that is, from the right of way to the building line. Within this area a permit is required to erect, alter or demolish a structure or to carry out works.

The term “building restriction area” has been derived from the 2002draft Act. The term is potentially confusing, however, as building restrictions also apply in the controlled area – the only difference between the building restriction area and the controlled area is that a permit is required for works within the building restriction area. If this two-band approach is taken forward in subsequent drafts of this Bill consideration should be given to a renaming.

The controlled area

The controlled area is the outer band of land on either side of the right of way, that is, beyond the building restriction area, to the control line. Within this area a permit is required to erect, alter or demolish a structure. However, a permit is not required to carry out works.

6.8 Road Development

The process of road creating roads raises distinct issues – while road administration relates to existing roads, road development largely relates to acquisition and development of land that is not yet a road. It is possible that this process will be undertaken by a body that is not a road authority, so a distinct term is used in the draft Act for a body that develops roads – a road planning body.

6.9 Provision for PPPs

The draft Act includes provision for public private partnerships in relation to roads. A partnership is to be regulated by a concession agreement between the Government of Bihar and another party, called in the Act a concessionaire. Although a PPP agreement might be for operation of a toll road the draft Act does not limit the scope of concession agreements, other than providing that they are to be “in relation to a road”. A road comprises the “road right of way”, which is defined to include road infrastructure such as bridges so, for example, it would be possible to enter into a concession agreement in relation to a bridge which carries a road.

The proposed Act is largely enabling – that is, largely it authorises and gives effect to concession agreements.



6.10 Establishment of a Bihar Road Maintenance Fund

There is a need for improved road maintenance in Bihar, as in the developing world generally. The 2003 ADB publication Road funds and Road Maintenance: An Asian Perspective notes:

“In the developing world, roads are deteriorating for want of maintenance. Roads are being lost. The Asian Development Bank (ADB) and other agencies lending money for roads are concerned about this. Inadequate maintenance is the cause of the problem. Maintenance includes all activities needed to keep a country’s road network operating indefinitely: • routine maintenance (restoring drainage, filling potholes and cracks, maintaining

edges);

• periodic maintenance (resealing, about every 5 years, to rejuvenate the surface); and

• rehabilitation (overlaying, about every 15 years, to restore smoothness and durability).

A road network is sustainable when it is in satisfactory condition and does not, as a whole, deteriorate over time. Individual roads do not remain static: paved roads go through a cycle of accumulating roughness, despite routine and periodic maintenance, until they are restored to their original smoothness by rehabilitation. Since a network is made up of roads that individually are at all points in this maintenance cycle, the condition of the network as a whole does not change year by year. A sustainable road network is, therefore, one that is maintained.”

It is desirable that road maintenance be provided with significant funding. It is also desirable that the funding be predictable in order that long term planning can occur. In Bihar at present routine road maintenance is funded as a “non-plan” expenditure, with the consequence that it is entirely dependent on annual funding decisions. Allocations which are not committed at the end of each year must be returned and thus become unavailable for road maintenance.

The draft Act proposes to address this problem by the creation of a Road Maintenance Fund. This is to have a predictable income stream and is to be available only for road maintenance. Money remaining in the fund at the end of one year is to remain in the fund, and available for road maintenance, the following year. As a result, long-term road maintenance planning will become possible.

Revenue for the Road Maintenance Fund

The Act should set out funding sources for the Road Maintenance Fund, to provide a predictable income stream. The draft Act which has been submitted to RCD provides a structure for this: decisions will need to be made about what these income sources should be.



Expenditure from the Road Maintenance Fund

The Road Maintenance Fund should be applied to maintenance of roads in the State of Bihar, as determined by the proposed Road Maintenance Fund Board. The draft Act makes it clear that this comprises routine road maintenance, periodic road maintenance; and road rehabilitation.

The Road Maintenance Fund Board

The fund should be administered by an independent Board composed of eight members (one of whom is to act as Chair) with a variety of skills and experience. The Board should be subject to independent audit.

6.11 Overweight Vehicles

Existing provisions

The framework of vehicle weight controls are already in place, principally in sections 113 – 114 of the MVA. They are enforced by the Road Transport Department. This arrangement is regulated by the MVA – a Central Government Law – which states (section 213) that State Governments may, for the purposes of carrying into effect the provisions of this Act, establish a Motor Vehicles Department”. This provision is being applied on the basis that RTD fits this description.

Conceptually, it can be argued that provisions relating to overweight vehicles are better located in a Road Administration Law as one of the major objectives of weight restrictions is to limit damage to roads. Under this approach the agency which enforces the law (RCD) would have an economic interest in enforcing it – that is, to protect its roads from damage. However, another objective of vehicle weight laws is to improve road safety by regulating an attribute of motor vehicles (that is, their weight) by ensuring that they do not exceed the weight specified in their certificate of registration. In any event, reallocation of the enforcement function to RCD would require amendment to Central Government legislation and is thus beyond the power of the Government of Bihar.

Reform proposals

Differential penalties

The existing provisions of the MVA apply both to the driver and to a person who “causes or allows” the breach to take place (section 194 MVA). The Consultant has proposed that the proposed infringement notice system (“composition” of offences under section 200 of the MVA) establish differential penalties, that is, according to the perpetrator and not only according to the offending vehicle movement. This is to avoid imposition of



inappropriately high penalties on drivers and inappropriately low penalties on commercial vehicle operators.

The draft Act identifies three tiers of offence – minor, substantial and severe. These are based on the extent of overloading, and reflect the fact that the amount of damage which the vehicle movement causes to the road increases with vehicle weight. These categories are used to distinguish infringement notice penalties – the penalty level increases, in three steps, as the overloading increases.

Additional enforcement powers

A provision of the draft Road Administration Act enables enforcement officers to take specified actions if they reasonably believe that a vehicle is substantially in breach of vehicle weight limits. The action can include issuing a direction that a vehicle is not to commence a journey, allowing a vehicle to continue a journey subject to conditions and directing that the vehicle be moved to a specified place. It is to be an offence to fail to comply with a direction. The purpose of this provision is to facilitate vehicle weight enforcement at places other than weigh stations: at present, a vehicle that does not pass a vehicle weigh station is effectively exempt from vehicle weight restrictions.

It should be recognised that a provision which confers discretion of this type on an enforcement officer has the potential to provide the foundation for oppressive behaviour by enforcement officers. It is not possible to eliminate this possibility by legislation. However, the draft Bill does include protections:

exercise of this power is to be available only to officers specially authorised for the purpose, and not to members of the police force generally. This limits the number of persons who can potentially initiate action, thereby increasing the scope for training of enforcement officers and auditing of enforcement activity;

the power is only available if the officer forms a reasonable belief that the vehicle is substantially overweight;

the direction must be given in writing, specifying the basis on which the opinion has been formed, improving the audit trail;

the direction must be withdrawn if the driver or operator provides information which creates a reasonable doubt as to whether the vehicle is overweight.

The provision does not provide detail on what would give grounds for such a belief, but it would include:

the result of weighing the vehicle or axle using a portable weighing device (taking into consideration the measuring error of such devices);

inspection of the load (particularly if load items are marked with weights or if the volume of liquids can be estimated);

the appearance of the vehicle and its load.



It is expected that this provision would be used only in very clear cases, and its operation should be reviewed soon after commencement of the Act.

Possibilities for future reforms

A problem for enforcing vehicle weight restrictions is that the person who is intercepted often has little control over the loading of the vehicle, and possibly little knowledge of its loaded weight – and possibly little say in what gets loaded onto the vehicle. One technique for addressing this problem is to impose specific obligations on other persons, such as:

the consignor;

the person who packs goods for transport by road – most importantly, the person who packs a container for transport by road;

the person who loads the vehicle;

the person who operates the vehicle;

the consignee of the goods.

Under this approach a “chain of responsibility” can be established, so that penalties can be applied to the persons – up or down the “chain” – whose behaviour was culpable.

Imposition of additional obligations would add complexity to the administration of the Act, and for this reason and constitutional reasons (the draft Act is to be a law of the State of Bihar) are not included in the draft Act. Further, a penalty system of this type is premised on there being a structured commercial goods transport – which is often not the case in Bihar.

A less complicated provision could require consignors of containers by road to ensure that the containers are accurately labelled with their loaded weight. However, there is little road container traffic in Bihar, so there is little current need for such a provision.

If provisions such as these are to be introduced it is desirable that stakeholder consultation first take place with industry representatives. There would also be a need for training, particularly for enforcement officers.

6.12 Compounding of Offences

Section 200 of the MVA provides a legislative basis for the issuing of infringement notices. Infringement notices are a practical and effective device for diverting cases from the courts where there is no dispute about liability, and are appropriate to be used where offences are quite easily categorized and where there is not a significant subjective element to an offence. Many traffic offences are, on these criteria, suitable for being dealt with in this way.



There is provision in the MVA for the issuing of infringement notices, although this term is not used – the section refers to the compounding of offences. The relevant section (section 194) correctly specifies that the amount for which the offence may be compounded is not to be left to the judgment of the prosecuting officer, but rather is to be determined in advance. This achieves consistency and certainty and simplifies the administrative task of enforcement agencies. The section provides that specified offences under the Act may be compounded, either before or after the institution of a prosecution, by:

“such officers or authorities and for such amount as the State Government may, by notification in the Official Gazette, specify in this behalf.”

This has not yet occurred in Bihar. Instead a practice has developed of issuing notices (see example below) which specify details of:

the issuing agency (Office of the SP (Traffic) Police, Patna);

the driver’s name;

vehicle number and vehicle description;

date, place and time of alleged offence;

a statement specifying the Act and section numbers of the alleged offence and advising the recipient that, if he or she presents all documents to the issuing agency before a specified date the matter will not be taken to court.

An infringement notice issued in Patna on 25 November 2009.

The deficiency with the notice is that it does not specify the amount which is to be paid. This is apparently due to the fact that a notice under section 194 of the MVA has not been published for Bihar State.



The draft notice which has been submitted to RCD has been drafted to distinguish some circumstances in which higher penalties are appropriate:

for repeat offenders;

for offences committed by commercial vehicle operators. A difficulty with enforcement of vehicle weight laws, for example, is that drivers have little ability to pay substantial fines – however, this should not be a reason for limiting the penalty where the offender is the vehicle operator. The MVA allows this distinction to be drawn by specifying two categories of offender – the driver and the person who causes or permits the overweight vehicle movement to occur;

for vehicle weight offences, higher penalties apply for heavier vehicles.



7 ORGANIZATIONAL CONTEXT AND HUMAN RESOURCE MANAGEMENT

Engineering Skills Assessment The purpose of this Chapter is to assess the skill levels of engineering staff in RCD and BSRDC on current job functions, and develop a human resource development (HRD) strategy that addresses present and future needs. Where current HR issues impact on future human resource development they are also reviewed in both organizations viz. RCD and BSRDC. Preliminary in-house and external training programs have been developed to address the perceived skills gap, as well as to facilitate skills progression through both organizations. Initial assessment was carried out by the TA Consultants team in October and November 2009. After review of the Draft, a five year Draft Training and Development Plan was developed for RCD and BSRDC engineers which includes course outlines for proposed in-house courses, a five-year training schedule, and estimated numbers to be trained and cost.

In order to establish current job functions and perceived training needs, a questionnaire was circulated through the Chief Engineers of North Bihar, South Bihar and NH zones, and BSRDC, to selected staff at all levels. The purpose of the questionnaire was to establish a ‘snap-shot’ of current job functions and perceived training needs in both organizations. Time constraints confined the sample to limited numbers. In addition the HRM Expert conducted one-on-one interviews with selected HQ and District staff to validate questionnaire results. Similar interviews were conducted with BSRDC staff.

7.1 Human Resource Development

Human Resource Development (HRD) involves development of the expertise required by an individual to perform at each level, as well as progress through an organization. Such expertise comprises a combination of factors, including knowledge, skills, experience and aptitude. Knowledge and generic3 skills are traditionally acquired through education programs, while applied skills are acquired through a combination of training and experience. Aptitude is the desire of an individual to achieve, and can be encouraged (or discouraged) depending on conditions of services, on availability of resources and/or on opportunities for promotion.

It appears that most engineers within RCD are primarily focused on their technical expertise, with perhaps some recognition of the need to develop applied management skills, but little awareness of the importance of generic management and communication skills. As shown in the diagram on the next page, engineers should be developing their

3 In this context ‘generic’ refers to general skills not necessarily applied to a specific sector or

organization



technical, management and communication skills throughout their career. In the early part of an individual’s career acquisition of technical skills is a high priority, while later management skills become more important. Growth of communications skills is required throughout.

Assuming that the relevant experience has been acquired, typical methods for development of technical skills required for advancement are:

JE to AE – coursework (at academic institutions) or training in engineering design and construction/maintenance methods, including quality control;

AE to EE – applied post-graduate degree, and/or training in specialist technical areas and/or procedures relevant to their new position;

EE to SE – training in computer-based planning systems and/or specialist areas such as road safety, environment and economics;

SE to CE – attendance at conferences and study tours to discuss and observe new approaches to road sector management.

SKILLS DEVELOPMENT OF RCD ENGINEERS

Communications skills are the third dimension

Technical Technical Skills Gap

Skills

Management Skills Gap

JE AE EE SE CE

Management Skills The limited technical training focused of RCD and BSRDC staff appears to be generic, i.e not specific to RCD/BSRDC procedures. Given the long periods between promotions, it can be assumed that staff will obtain more than enough of the experience required. If more relevant training was conducted, progression of an individual through the organization could be greatly speeded up.

Typical methods for the development of management skills required for advancement are:



JE to AE – training in project management that includes personnel management;

AE to EE –training in departmental management that includes scheduling, financial management and HR management;

EE to SE – training in management of construction/maintenance programs; SE to CE – training in leadership and organizational management.

Virtually no training appears to have been conducted in generic management skills such as personnel management, HR management, financial management, etc. Applied management skills may have been picked up on the job by most staff rather than structured training in project management, departmental management, program management, leadership and organizational management applied specifically to RCD policies, systems and procedures.

7.2 Current HRM Issues

Some current HRM issues were raised through the HRD Survey as follows:

1. Actual hours of work vary and are often much longer than ‘official’ working hours. It was also stressed that staff should be reimbursed for use of their own vehicle or provided with a vehicle;

2. Clear policies and transparent procedures are required, including policies for hiring, training, assessment and promotion;

3. More importance should be given to human resource management, for example through regular training activities at all levels;

4. Transferring of staff with substantial experience to a new position where they have no expertise should be discouraged. If absolutely necessary to transfer staff to new positions, training should be provided prior to transfer;

5. Chances of promotion are dismal, with JEs taking about 20 years to become AES and AEs another 20 years to become EEs, and EEs 10 years to become SEs. By the time an individual becomes a CE they are close to retirement and all the valuable experience gained during their career is lost. Delegation of more responsibility to junior staff should prepare them sooner to advance;

6. Staff need to develop a more ‘professional’ attitude.

Review of the conditions of service is not within the scope of this TA, however if staff are not provided with the resources and time required to manage effectively, then their development will be impeded.

A human resource management (HRM) system is required that provides a proactive and strategic approach to staff development with the following components:

Job categories and job descriptions that truly reflect current and future job functions;



Hiring, orientation and transfer/redeployment policies and procedures that ensure engineers have the necessary credentials, skills, experience and aptitude that are required for a position;

Regular performance assessment from which individual strengthening and promotion (training) needs can be identified on an on-going basis;

Active training programs, equitably managed, that ensure equitable access to relevant training at all levels of both organizations;

Transparent policies and procedures for transfer and/or redeployment of staff; Opportunities for professional growth.

Centralization of human resource management in both RCD and BSRDC is proposed under the direction of an administrative officer (not appended to the engineering tasks of a DGM as is the situation currently in the BSRDC), preferably trained in human resource management, with access to the processes and systems required.

The current job categories in RCD overlap resulting in excessive layers of management. An alternative hierarchy of positions is proposed wherein each job function is separated from the other. In addition it is suggested that a division in primary function may be beneficial above the EE position wherein the SE becomes a technical specialist while the CE retains a primarily management role as shown on the diagram below.

Separated Job Functions

SE becomes a technical specialist position

JE

TECHNICAL

MA

NA

GEM

EN

T

AE

EE

SE

CE

A fundamental component of modern personnel management is up-to-date functional job descriptions that clearly define the job functions of the position. These are required



to establish the skills gap between current skills of incumbent staff and skills required to be fully effective in a given position, and hence training needs.

When hiring staff for a position, functional job descriptions should be reviewed with prospective candidates and areas of strength and weakness identified. A numerical assessment system should be used to rate candidates. In addition hiring of EEs from outside of the RCD could be considered.

Orientation and mentoring program(s) are important so that new recruits are familiarized with the full spectrum of RCD or BSRDC activities at both HQ and in the Divisions. A senior staff member might be assigned to each new recruit as a mentor. Transfer of staff should be carefully managed to ensure that the individual being transferred has the skills required for the new position before being transferred, and to allow the individual to pass on his/her years of experience to a successor. A performance assessment system would provide a suitable system to manage this.

Modern personnel management systems adopt an open and transparent approach to performance assessment, whereby the employee contracts to improve areas of weakness and the employer contracts to reward good performance. The objective of a performance evaluation is to identify strengths and weaknesses of the employee while providing a channel for employees to address any workplace problems that they may have such as insufficient resources or conflicts with their colleagues and/or supervisor.

Requirements for promotion should be clearly laid out and validated by assessment of skills and experience. Progression of AEs must be accelerated to ensure that adequate experienced staff are available, and more responsibility might be delegated to JEs to accelerate their promotion.

An organizational ‘culture’ of professional development, led from the top, should be developed whereby all staff are expected to develop their skills on a continuous basis through in-house and external programs.

7.3 Current Training Needs

The layout of the HRD survey was based on the first three categories introduced as outlined in the HR Assessment report, i.e. technical, management and communication skills. A secondary objective was to make staff more aware of the full range of skill required as an engineer, including management and communications (computers).

Interviews were also conducted at HQ and two Division offices to validate questionnaire results. Due to time allotted (approx 1 month), and other demands on time of RCD/BSRDC staff (e.g. IRC conference), the sample size was smaller than preferred, and so data can only be considered indicative of general trends. However data received



confirms the need for extensive training at all levels with slightly differing priorities in each level.

A much more extensive survey by the Directorate of Training in the future of all staff should be conducted of all staff. Prior to this survey, workshop(s) should be conducted to orientate all staff to the proposed training strategy as outlined in the next section. Once more detailed results have been obtained, precise numbers of participants for all courses, particularly computer literacy and computer applications courses can be established. Suitable training centers can then be identified in Patna and elsewhere. Results from the HR Survey are tabulated on the following page. TECHNICAL SKILLS Current Training Needs

Investigation Several AEs indicated the need for more training to help them manage investigation consultants. Some JEs indicated that training may assist them to better collect road condition data.

Planning & Design

Senior staff (CE, SEs, EEs) indicated that training in planning systems was a high priority. Most AEs and some JEs (and one contractor) indicated a need for improvement in preparation of DPRs. In order to monitor consultants RCD and BSRDC staff need to be fully familiar with DPR content, and be able to check that consultants have actually done the work. Most AEs directly involved in construction works indicated that training in design was a high priority. However training should be limited to the skills required to check consultants’ work.

Construction & Maintenance

Some EEs indicated a need for training in construction methods. Most AEs directly involved in construction works indicated some need for further training in construction and maintenance methods. This would include quality control and interpretation of specifications.

MANAGEMENT SKILLS Current Training Needs

Program Management

Most senior staff and non-specialist EEs indicated that additional training in overall program management would be medium to high priority.

Preparation and Award of Contracts

EEs indicated that this was a high priority. Some AEs indicated that this was a high priority.

Management of Contracts

All RCD staff indicated that this was a high priority. Senior BSRDC staff indicated that their DGMs would benefit from training in contract management, quality control and people management



COMPUTER AND IT SKILLS Current Training Needs

Basic Computer Operation

Senior staff indicated that this was a low to medium priority. Most AEs indicated medium to good computer skills. JEs indicated a need for basic computer operation sufficient to use email.

‘Office’ Applications (email, word processing, etc.)

SEs and EEs indicated a need for office applications training.

Technical Applications (e.g. AutoCAD)

Some AEs indicated a need for AutoCAD training

7.4 Management of Change

As RCD moves to contracting of maintenance, less time will be spent at all levels in direct management of works. However the percentage of the road network under maintenance will grow substantially over time. Therefore, time spent on project/program management, including dealing with external stakeholders, will likely increase at all levels.

Outsourcing of all contract supervision of construction and maintenance contracts to consultants will have a much greater impact on the RCD staff. Site monitoring visits will be greatly reduced with more time spent on meetings with stakeholders and reporting using computer-based systems. The process of transition from RCD supervision of works to full consultant supervision of works will likely take at least 10-20 years and can be summarized as follows:

Activity Present Transition Future

Design Small – RCD Large - Consultants

Small – RCD Large - Consultants

Consultants only

Construction Supervised by RCD (excl ADB Projects)

Supervised by RCD & Consultants

Supervised by Consultants only

Maintenance (excl Emergency

Maintenance)

Directed and monitored by RCD

Directed by Contractors. Monitored by RCD

Directed by Contractors. Monitored by Consultants

Most of the impact on staff due to outsourcing will be at the AE and JE levels. Impact on middle and senior management will depend to a great extent on how well the new management systems are integrated into the organization. Hence it is critical that all staff be fully apprised of systems, procedures and documents through comprehensive



orientation and training using procedures, systems and manuals specific to RCD/BSRDC prior to full implementation of outsourcing.

7.5 Summary of Training Needs

Based on findings above a list of current and future training needs is presented below: Network Planning Planning of Construction and Maintenance Programs Project Preparation Environmental, Social and Economic Assessment Road Safety Road and Bridge Design Design, Construction and Maintenance of Flexible Pavements Procurement Project Management, including quality control Quality Control Testing Maintenance Planning and Delivery Quality Management Procedures Executive development (leadership) Personnel Management Stakeholder Interaction Communications Instructional Skills Computer Literacy: Computer Applications

This list of training needs may be refined based on further feedback from this report and additional interviews and questionnaires.

7.6 Proposed Training Strategy

There appears to be no clear training policy or readily available record of training courses attended. However, organization-wide coordination of training activities is being done at TRI now who are also trying to establish connection between training needs and courses taken. On the other hand several senior staff have attended several training courses recently, although these appear to be technical rather than the management training which is the primary need. Virtually none of the respondents had received any formal management training. Of late, TRI has established a close liaison with national level training institutions like CRRI, NITHE and NICMAR and emphasis on management oriented training is increasing as is evidenced by the list of training programs subscribed to since October 2009 and posted on RCD website.



Elements of the proposed training strategy that are addressed in more detail in the report are summarized below.

It is proposed that the Training and Research Institute have its training function clearly separated from its quality control (research) function. In addition, it is proposed that the Director (Training) should report directly to the Secretary thus reflecting the true scope of its mandate throughout the whole organization; Assuming that research is no longer part of the mandate of RCD then consideration should be given to renaming it the Training Centre and dropping the term Research completely.

It is proposed that the Joint Secretary also chair a Training Coordination Committee (TCC) responsible for overall training planning and programming, as well as selection of candidates for training based on actual needs.

It is proposed that courses specific to RCD/BSRDC operations and procedures (hereinafter referred to as customized courses) be designed for junior and middle management. Courses should cover actual skills needed to do the job and should utilize RCD/BHSDC procedures and documents wherever feasible. The recently upgraded training [and research] institute would be a suitable location for training of HQ staff. Other institutions (such as engineering or management colleges) in Bihar state may be prepared to offer training facilities. It is further proposed that Training Implementation Agencies (TIAs) be contracted to design and conduct these courses.

It is proposed that Training Assistants be assigned to each course who could be either senior RCD staff (such as SEs) or, as in other jurisdictions, recently retired RCD staff. RCD staff can provide a wealth of experience directly related to the RCD.

The Director of Training, and deputies, should be trained in training management and/or have a background in human resource management. It is not necessary for an engineer to hold this position.

7.7 Proposed In-House Training Program

A program of in-house training is proposed comprising on-the-job training, workshops (including workshops conducted by the ADB Consultants), courses, an orientation program, study tours and ‘special’ individual programs. The in-house training program will be managed by the Director of Training and his staff. Training will be conducted by RCD staff, professional instructors and/or guest lecturers at the training centre at RCD HQ, at Division offices and at regional training centers around the state. A preliminary in-house training program is tabulated on the following pages for guidance purposes. This program was discussed at various levels before the submission of Training and Development Plan.



The proposed in-house training will comprise: An organizational ‘culture’ of on-the-job training whereby senior staff take any

opportunity to train junior staff; Regular internal workshops held at the HQ training centre or at regional

centers where RCD staff and/or external presenters present short sessions on topical subjects;

Customized courses up to one week long covering quality control, project management and procurement, and PB maintenance contracts for all junior staff over 5 years presented by TIAs assisted by RCD training assistants;

An orientation course for new recruits comprising a combination of customized courses;

Study tours and conferences for middle and senior management; Special individual programs for staff identified through a performance

assessment requiring strengthening of skills or candidates for promotion.

7.8 Capacity Building Initiatives of TA including OSTs The TA conducted two Overseas Study Tours and one In-country Study Tour for engineers from RCD/BSRDC and BRPNN to familiarize them with the operational processes and management processes adopted elsewhere. The first Overseas Study Tour (OST) to Canada had nine participants from RCD. They visited Vancouver and Toronto largely for understanding the road management concepts besides field trips to see works in action. Brief outline of the OSTs to Canada and Australia is furnished below.

The principal objectives of the OST were:

– To expose the officials to the best practices adopted internationally by highway management agencies;

– To familiarize the participants with the management, organizational and institutional frameworks adopted by highway agencies to create efficient, cost-effective and vibrant program delivery mechanisms;

– To demonstrate to them the approaches to program delivery utilizing business processes designed under a systems approach to work;

– To expose them to the quality management systems adopted by some of the efficient road management agencies abroad; and

– To generally, expose them to the use of modern Road Management Systems using extensive database management techniques and decision support tools.

The consultant tried to ensure that all these objectives are fully met by organizing presentations on the road management systems followed in Canada and Queensland (Australia), interactions and meetings with the officials of the road agencies, and site visits.



The following participants were nominated for the OST to Canada.

Name Designation Remarks Mr. Atish Chandra Chairman, Bihar State Road

Development Corporation Ltd. Did not go as his program was cancelled just before departure.

Mr. Chandra Shekhar

Deputy Director (Purchase & Transport), RCD, Patna

Mr. Shyamanand Pandey

Executive Engineer, RCD, Darbhanga

Mr. Ranjit Kumar Mishra

DGM (Tech.) Bihar State Road Development Corporation Ltd.

Mr. Deepak Singh OSD-cum-EA to MD, Bihar State Road Development Corporation Ltd.

Mr. Keshav Ranjan Prasad

OSD-cum-Under secretary, RCD, Patna

Mr. Neeraj Saxena Deputy Director, TRI, RCD, Patna Mr. Arun Kumar Mishra

Senior Project Engineer, BRPNN, Bhagalpur

Mr. Navin Kumar Assistant Engineer, Danapur Subdivision, RCD, Patna

Mr. Alankar Sinha Project Engineer, BRPNN, Patna List of Presentations attended by OST participants and sites visited

A list of the presentations made during the OST by various road agencies, experts and faculty is furnished in the Table below. At the bottom of the Table is the list of sites visited.

SL No. Presentation Title Presenter

1 Infrastructure Investment Mr Joot Meyboom

2 Project Management & Risk Management Mr Brad Prince, Sr Project Manager

3

Maintenance Contracting and PPP Overview I. Road Maintenance by Contract - Overview II. Public-Private Partnerships (PPP) Set-up III. Road Maintenance in PPP’s

Mr Mehran Avini



4 Meeting with Ministry of Transport, BC Highway Maintenance (The British Columbia Model)

Mr. Reg Fredrickson Director, Highway Maintenance & Rehabilitation Mr. Nicole Pharand Fraser, Sr. Manager, Maintenance Program in BC Ministry of Transport

5 Metro Vancouver’s Major Road Network & Safety

Mr. Sany R. Zein, Director, Translink

6 P3s as an Approach to Delivering Major Capital Assets. The Canadian Experience

Mr. Hans VanPoorten MBA, P.Eng.

7 Alternative Delivery Project Experience Mr. Chris Gauer, P. Eng., AVS

8 Roadside Features Ministry of Transportation of Ontario

Timea Tomi, Policy Advisor, Policy, Priorities and Coordination Office, Strategic Policy and Transportation Economics Branch

9 Bridges Maintenance Program Bala Tharmabala, Manager, Bridge Office

10 Pavement Management System

Becca Lane, P.Eng. Head, Pavements and Foundations Section, Materials Engineering and Research Office

11 Lynn Creek Bridge & Brooksbank Avenue Underpass Project A Project Management Case History

Brad Prince, M.Eng., P.Eng., PMP, Senior Project Manager / Associate, MMM Group

12 Contracts – Oversight, Monitoring and Performance

Mr Jeff Baker, Head, Maintenance Contract Analysis Section,

13 Highway Maintenance in Ontario Ontario Administration

Field Visits

14 Sea to Sky road tour, Whistler Mr Mehran Avini



15 To Victoria (Capital of British Columbia Province)

By Ferry through Pacific Ocean

16 Travel and Experience of local transportation system, Toronto

Mr Anil Bajracharya, MMM Group

OST to Australia was arranged in October 2010. Ten participants were nominated for the OST as per details below.

List of Participants nominated for the OST to Australia The following participants were nominated for the OST to Australia.

Name Designation Remarks Mr. Amir Hassan Executive Engineer, NH Division,

RCD, Guzarbagh

Mr. Sanjay Kumar Executive Engineer, Road Division No.1, RCD, Gaya

Mr. Prabin Chandra Gupta

DGM(Tech), BSRDC, Patna

Mr. Shree Niwas Kumar

Executive Engineer (Mech.), Central Mechanical Workshop, Patna

Mr. Chandra Mohan Kumar Mishra

Executive Engineer, Road Division, RCD, Supaul

Mr. Mahesh Prasad Executive Engineer, HQ Design Circle, RCD, Patna



Mr. Hanuman Prasad Choudhary

Senior Quality Control Engineer, BRPNN, Patna

Mr. Bablu Kumar Dy, General Manager, BSRDC, Patna

Coordinator

Mr. Arvind Prasad Executive Engineer, Road Division, RCD, Patna

Mr. Deepesh Kumar Assistant Engineer, Bridge Design Circle, CDO, RCD, Patna

Details of presentations and training sessions are Australia is as under.

List of Presentations attended by OST participants and sites visited

A list of the presentations made during the OST by various road agencies, experts and faculty is furnished in the Table below. At the bottom of the Table is the list of sites visited. The OST (to Australia) participants have prepared a report on the OST which is annexed at the end of this report.


1 An overview of the commercialization of RoadTek

Mr. Michael Mailloux, Director Governance, Department of Transport and Main Roads, Queensland

2 Presentation on Gateway upgrade project

Mr David Wright, GM, Gateway Upgrade Project

3 Presentation on BCC Trans Apex Roads Project

Mr Scott Stewart



4 Partnering for Infrastructure Projects Mr. Zorn Radoseve and Mrs. Penny Flynn

5 Tour CLEM 7 Tunnel Operations Center

Andrew Wheatley

6 Transport Management System in Brisbane

Brisbane Metropolitan Transport Management Center

7 Overview of Ipswich Motorway Upgrade Project

Mr. Mango Murphy, Project Director, TMR

Field/Site Visits

8 Gateway Upgrade Project Mr Peter Rotolone

9 Ipswich Motorway Upgrade Project Mr. Mango Murphy

10 Bus Trip to Southern and Eastern Busways-Brisbane To see the dedicated bus corridor.

Mr. Glen Stringer

The TA has conducted a series of training sessions with RCD staff. List of such training programs was furnished in Chapter 1. However, a detailed summary of the contents and subjects discussed at such training sessions is provided in Appendix 6. The TRI at RCD is acting as the nodal office for coordinating all their internally coordinated and organized training programs. A list of the various training programs organized and conducted with TRI’s coordination is posted on RCD website. Since October 2009 and till December 2010, more than 4000 man-days of training has been provided by RCD to its engineers and contractors. TRI is coordinating with external training institutions like NITHE, CRRI and NICMAR for many training programs. Thus the impact of capacity building efforts is already becoming visible. The list of training programs coordinated by TRI is posted at: http://rcd.bih.nic.in/Documents/Trainings-conducted-by-TRI.pdf

http://rcd.bih.nic.in/Documents/Trainings-conducted-by-TRI.pdf



Proposed In-House Program

IN-HOUSE PROGRAMME Location RCD PARTICIPANTS BSRDC PARTICIPANTS

CE SE EE AE JE CGM GM DGM M JE

1. ON-THE-JOB TRAINING HQ & Divisions

Conducted by Senior staff for junior staff

2. WORKSHOPS4 HQ & Divisions

Conducted by Senior staff and consultants for all staff

3. COURSES

3.1 Project Management and Procurement* HQ & Zones ? √ ? √ √

3.2 Quality Control Testing HQ AD(QC) ? √ ?

3.3 Management of Performance-based Maintenance* Contracts

HQ & Zones ? √ √

3.4 Orientation Program for new staff HQ ? √ √ ? √ √

4. STUDY TOURS & CONFERENCES tbd √ √ √ √ √ √

5. INDIVIDUAL PROGRAMMES5 As determined through performance assessment

√ - Recommended ? – to be considered HQ – RCD Training Institute, Bihar Zones – regional centers in the State tbd - to be determined * these courses will contain sessions on quality control and supervisory skills

4 Topics could include overviews of all in-house courses, road and bridge maintenance, training, quality management procedures, updates on various

systems, etc. 5 Based on individual need and including specific computer applications training, personnel management and/or training management



7.9 External Training Programs

A program of external training is proposed comprising technical, management and computer/IT training. It is proposed that the external training program be contracted out to one or more training institutions in Bihar and elsewhere. Each contract will be managed by the RCD Training Centre. A preliminary external training program is tabulated on the following pages for guidance purposes.

One centralized institution for generic (not specific to Bihar) technical and management training associated with roads and bridges is the National Institute for Training of Highway Engineers (NITHE). In previous meetings of the Consultant with the Director he has indicated support for training of state highway officials both at the main campus in Delhi, or on location at a facility in the State. NITHE publishes its calendar for training on its website which can be accessed by TRI to decide on the programs currently needed before the annual training plan and budget is prepared.

Of particular relevance to RCD’s management training needs is IIT Roorkee’s recent course in Techno Management Skills where presenters are available from both private and public sector on a range of generic technical and management topics.

The Central Road Research Institute, located in Delhi, has a mandate for capacity building of human resources in the area of Highway Engineering (refer to Appendix G). The Institute has the competence to organize national & international training programs and continuing education courses.

The Engineering and Staff College of India (ESCI), located in Hyderabad, offers the following relevant training programs:

Civil and Transportation Environment Management Management & Technology

The National Institute of Construction Management and Research (NICMAR) is based in Pune, near Mumbai, and offers the following programs that may be relevant to RCD staff;

3-day in-service training courses and workshops; 2 year program in Infrastructure Development & Management by distance; 1 year program in Highway Project Management by distance; 6 month construction management programs by distance (for contractors)

The three distance programs may be of particular reference as individual programs prior to promotion.

Training Centers that can provide basic computer and IT training are located in and around Patna. It is proposed that a questionnaire be circulated to all RCD staff to determine precise numbers requiring this type of training.



Proposed External Training Program EXTERNAL PROGRAMME (for selected senior & middle management) Possible Institutions

RCD PARTICIPANTS BSRDC PARTICIPANTS

CE SE EE AE JE CGM GM DGM M JE

2.1 Network Planning, including RMS NITHE, CCRI, IIT Roorkee, ESCI

√ √ √ ?

2.2 Planning of Construction & Maintenance Programs NITHE, NICMAR √ √ √ √

2.3 Project Preparation for Middle & Senior Staff6 NITHE √ √ √ √

2.4 Environmental, Social and Economic Assessment NITHE, CCRI, ESCI ? ? √ √

2.5 Road Safety and Road Safety Audit NITHE, ESCI ? √ ? √

2.6 Road and Bridge Design, incl computer applications NITHE ? √ √

2.7 Design, Construction & Maintenance of Flexible and Concrete Pavements

CCRI, NITHE, ESCI ? ? ?

2.8 Procurement for Middle & Senior Staff, incl PPPs NITHE, NICMAR, ESCI √ √ √ √

2.9 Quality Control Testing for Lab Assistants NITHE, NICMAR, ESCI ? ?

2.10 Road & Bridge Maintenance for Middle & Senior Staff NITHE, CCRI √ √ ? ?

2.11 Quality Management IIT Roorkee, NITHE, CRRI √ √ √ √ √ √

2.12 Executive Development (Leadership) NITHE, ESCI √ √ √ √

2.13 Personnel Management for Middle & Senior Staff IIT Roorkee, ESCI √ √ √ √ √ √

2.14 Stakeholder Interaction for Middle & Senior Staff IIT Roorkee, NITHE √ √ √ √ √ √

2.15 Instructional Skills IIT Roorkee √ √ √ √

2.16 Computer literacy (communications) and technical computer applications

Around Bihar - see Appendix K

By individual assessment

√ - Recommended ? – to be considered

6 Junior staff will receive training in these areas through customized in-house courses



8 ROAD SAFETY MANAGEMENT

8.1 Objectives of TA

Keeping in view the objectives of the Road Safety component as envisaged in the TOR and Inception Report it was considered that the following steps would be necessary to accomplish the same. The TA proceeded in its work in this area in accordance with these objectives.

To introduce to the counterpart staff the extent and scope of the road safety

problem in India and the role those highway professionals can play in improving road safety.

To train the counterpart staff through power point presentations and interactive sessions on the safety considerations that need to be taken care of at different stages of a road project viz., planning, design ,construction, maintenance and operation.

To introduce counterpart staff to the subject of Road Safety Audit (RSA) at different stages of a road project.

To train the counterpart in the methodology and process of conducting at the important stages viz., detailed design, construction and operational stage (existing road) of a road project.

To discuss with and other decision makers about the way to formalise and institutionalise the safety in RCD.

8.2 Meetings and Discussions with Counterpart Staff from RCD

The following RCD engineers were nominated to be counterpart staff on Road Safety aspects from RCD side:

1. Mr Ranjeet Kumar Tech. Advisor. Headquarters, Design Circle, RCD Patna 2. Mr Madhusudan Kumar Sr. Project Engineer, RCD,Patna

3. Ms. Sanju Kumari A.E. Headquarter Design Circle , RCD Patna 4. Mr Babloo Kumar A.E. N.H. Patna Circle, RCD, Patna

Meetings were arranged with counterpart staff in the ADB Project Office in RCD at Vishwevariya Bhawan.

8.3 Orientation Classes for Road Safety Engineering

To start with the counterpart engineers were briefed in the overall objectives of the project. They were provided the summary of the overall project objectives and the



relevant section of the Inception Report containing road safety objectives. Later as part of the Knowledge base provided to trainees they were provided soft copy of the full Inception Report . The first two weeks were devoted to providing them orientation to basics of road safety and road safety engineering. They were exposed to terminology and basic concepts used in road safety literature. The sessions were held in an interactive and participative manner. The following Power Point Presentations were made to Counterpart Staff, Bihar on the subject of road safety. i. Role of Highway Engineers in Promoting Road Safety: How some countries

have obtained remarkable success in achieving better road safety, especially through contributions by highway engineering organisations was brought out. The significant role the highway professionals can play in promoting road safety improvements through safety conscious planning and design, use of techniques as road safety audits and hazardous locations was discussed.

ii. Understanding Road Signs: The research experience in India has shown that

engineers and planners have a poor knowledge of traffic control devices and road signs in particular. Quite a good time was spent on teaching the basics of road sign system and the relevance of various shapes, symbols and colours used in road signs as well as the need for their proper lateral and longitudinal placement on the roads.

iii. Safety Considerations at Road Design Stage: The safety considerations to be

made at the planning and design stages were discussed in this presentation. The importance of development and access control, need to control encroachment and ribbon development was stressed. In the design part proper safety considerations in alignment design, both horizontal and vertical, as well their proper coordination was brought out. All other design elements such cross-sections, traffic control devices, roadside features, roadside facilities etc were discussed.

A special document entitled “Safety Guidelines for Good Road Design” was produced as part of the project which discussed safety issues that could arise while designing a road and the good practices which could be employed to have minimised such potential safety problems.

iv. Safety Management of Work Zones: In this presentation the concept of traffic control zone at road construction sites was presented to the counterpart staff. The need to inform, guide and regulate road traffic at road construction sites while taking care of construction workers and equipment at such situations was presented.

v. Road Safety Audit (RSA) at Various Stages: One of the major aims for this

project is to be making the RCD counterpart staff to be able to undertake road safety audits at various important stages of a highway project. After exposing them to the various important elements of road safety engineering, they were given power point presentation on Road Safety Audit. That included the basic concept



and definition of RSA, its advantages, when RSA may be conducted, who may conduct it, the RSA process, use of check lists, RSA reporting and implementation etc. The coverage was quite exhaustive so as to enable the participants to undertake RSA in office as well in the field. Beside the handout for the presentation, the participants were also provided with the Indian Highways published paper “Road Safety Audit? Frequently Asked Questions” by Dr. S.M. Sarin & Dr. N. Mittal.

8.4 Training for Road Safety Audits

In addition to various topics of the road safety engineering to which counterpart staff were exposed in orientation programme, the participants were trained in office as well as field as how to undertake road safety audits. How and what to look for, while conducting road safety audits, were explained to them. They were provided with reflective safety jackets which they wore as their PPE while on the road.

Under this phase three safety audit exercises were carried out. These were:

i. Road Safety Audit on Existing Road: Sri Krishan Path from Chitkohra near

Patel Chowk to Junction with Bailey Road:

ii. Road Safety Audit of Saraiya to Motipur (SH-86) at Draft Detailed Design Stage:SH-86 from Saraiya to Motipur in Bihar (28.330 km), constitutes the key artery between NH-28 and NH-102, providing a bypass route to avoid the congested city of Muzzaffarpur. As part of the up-gradation programme of Bihar roads, RCD has opted for a loan from ADB. SH-86 is one such road which has been given priority to be upgraded to a State Highway in North Bihar. Its design drawings in the detailed design report were reviewed as part of RSA. Field visits were made to the existing road.

iii. Road Safety Audit of Construction Stage: Bailey Road To Danapur: There

was some major work going on along the Bailey Road-Danapur road section for

an elevated rail section of the East Central Railway. In addition some

construction work for the median was also in progress.



Discussions on the field with traffic police officials regarding safety issues at the site

8.5 Reports Produced

In all, four main reports were produced, apart from various power point presentations as mentioned earlier.

1. Safety Guidelines for Good Road Design: These guidelines have been compiled for providing for the use by highway planners and engineers while planning and designing road projects. Its main sections include “Principles for designing safer roads”, “Planning and controls for safety”, “Designing for safety: Road link design”, and Designing for safety: Road junction design”.

2. Training for Road Safety Audit (Report 1): Road Safety Audit on Existing Road: Sri Krishan Path from Chitkohra near Patel Chowk to Junction with Bailey Road: This road stretch, about 3km in length, a part of the route to Patna airport, in the suburban VIP area of the city, was taken up for road safety audit a case for RSA of an existing road. A part of the stretch was under up-gradation stage.

3. Training for Road Safety Audit (Report 2): Road Safety Audit of Saraiya to

Motipur (SH-86) at Draft Detailed Design Stage: SH-86 from Saraiya to Motipur in Bihar (28.330 km), constitutes the key artery between NH-28 and NH-102, providing a bypass route to avoid the congested city of Muzzaffarpur.

As part of the up-gradation programme of Bihar roads, RCD has opted for a loan from ADB. SH-86 is one such road which has been given priority to be upgraded to a State Highway in North Bihar.

The draft detailed design Report and its drawings were obtained from Saraiya to Motipur (SH86) and road safety audit was carried out. In doing so the existing road, which is proposed to be upgraded, was also visited by the audit team.



Training for Road Safety Audit (Report 3): Road Safety Audit of Construction Stage: Bailey Road To Danapur: As a part of the programme, to train the designated

counterpart staff from the RCD to conduct Road Safety Audits at various Stages of a

road project, it was desired to visit some construction sites to see if safety was being

kept in mind and implemented while carrying out the road work. Some experience was

already gained on safety issues while conducting road such a safety audit on Sri Krishan

Path from Chitkohra near Patel Chowk to Junction with Bailey Road, where a section of

the road was under widening. Safety issues related to road users as well as construction

workers and equipment and machinery were observes and a report was prepared for the

same.

8.6 Road Safety Knowledge Base Provided to Counterpart Staff, Bihar Road Sector Project

Besides providing the counterpart staff with the hard copies of the presentations, guidelines and the reports produced, counterpart staff was also given important national and international documents, in soft copy format, to serve them as their Knowledge-base. These documents contained road safety manuals and RSA guidelines produced in India and elsewhere. Soft copies of material produced and used under this project were also provided to them as part the Knowledge-base.

1. Inception Report 2. Presentations made to Counterpart Staff, Bihar

Role of Highway Engineers in Promoting Road Safety Understanding Road Signs Safety Considerations at Road Design Stage Safety Management of Work Zones Road Safety Audit at Various Stages

3. Road Safety Manuals, India

1998 Road Safety Manual India Trainers RS Manuals India 2005 Trainers Road Safety Manual, 2005 Workbook for RS Manual, 2005

4. ADB Road Safety Guidelines

Executive Summary 1: Introduction and Background 2: Road Safety Trends in the Asian and Pacific Region 3: Road Safety Action Plans and Programs 4.1: Coordination and Management of Road Safety 4.2: Road Accident Data Systems 4.3: Road Safety Funding and the Role of the Insurance Industry 4.4: Safe Planning and Design of Roads



4.5: Improvement of Hazardous Locations 4.6: Road Safety Education of Children 4.7: Driver Training and Testing 4.8: Road Safety Publicity and Campaigns 4.9: Vehicle Safety Standards 4.10: Traffic Legislation 4.11: Traffic Police and Law Enforcement 4.12: Emergency Assistance to Road Accident Victims 4.13: Road Safety Research 4.14: Road Accident Costing

5. Road Safety Reports, Bihar Project

1. Safety Guidelines for Good Road Design 2. Training for Road Safety Audit (Report 1): Road Safety Audit on Existing

Road: Sri Krishan Path from Chitkohra near Patel Chowk to Junction with Bailey Road

3. Training for Road Safety Audit (Report 2): Road Safety Audit of Saraiya to Motipur (SH-86) at Draft Detailed Design Stage

4. Training for Road Safety Audit (Report 3): Road Safety Audit of Construction Stage: Bailey Road To Danapur

6. RSA Manuals NZ RSA Manual RSA for Road Projects ADB Guidelines, 2003

7. Accident Investigation and Prevention Manual (AIPM), India

8.7 Important Issues Presented to RCD: Before concluding the work on Road safety area, the TA received a request to assist RCD in preparing a Draft Road Safety Policy. The TA delivered the same in June 2010. Besides this the additional work carried out was:

Road safety audit exercises by the counterpart staff to appreciate the learning from

the TA. Discussions and recommendations about the model required for initiating road

safety in general and road safety audits in particular in the Bihar Road Sector. Preparation a suitable guidelines on Road Safety Audits for Bihar Road Sector. Preparations for and holding of a Workshop for dissemination of road safety issues

and road safety audits for road organisations in Bihar.



Suggested Model for Initiating RSA in an Organisation



9 TA STAFFING SCHEDULE, WORKSHOPS AND REPORTS

This TA was a small organization with international consultants only as its members when compared with other TAs in the Capacity Development segment. The total man-month inputs were 39.90 months including 4 man-month inputs of the national MIS Expert. The TA largely concentrated on Institutional Strengthening, Organizational Structuring and some focus on capacity building at the individual levels. However, RCD, BSRDC and BRPNN expressed the need for specific training programs and capacity building at the organization and individual level in certain areas of concern to them which were conducted within the limited resources available within the TA. They also requested the TA to assist them by examining the appraisal and structuring aspects of specific projects. While the TA was bound by a tight timeframe and extensive TOR, inputs were delivered by the team during the consulting services on a select basis including on examining issues on works-in-progress.

Some generic training programs were organized through the national training institutions in this area viz. NITHE, NICMAR or CIDC by TRI directly. TA coordinated with the external training institutions for customization of training programs to meet specific needs of the Bihar state road sector organizations prominent among them being training on use of HDM-4 and use of ROMDAS in RMS.

As highlighted in Chapter 1, based on the assessment of RCD requirements and suggestions received from RCD the TA proposed expansion in Scope of Work and variations in TOR to accommodate intensive training on Quality Control and piloting a Road Management System. This involved the induction of two specialists for specified periods. An International Materials Engineer and a national MIS Specialist were inducted into the team under a Variation Order. The total combined man-month input of all the specialists was fixed at 39.90 months which are nearly fully utilized by the time the TA concludes. Actual Staffing Schedule at the close of the TA is placed in Appendix 5.

The TA had proposed three workshops of which the Inception Workshop was held on 11 August 2009 and the Mid-term Workshop was held on 8 March 2010. Final and closing workshop was held on 29 March 2011 to elicit GOB, RCD, BSRDC, BRPNN and ADB response to the Draft Final Report and any comments for inclusion in the Final Report. There were no major comments received at the Closing Workshop.

The TA reports (Milestone Reports) submission has already been indicated in Chapter 1.

The Matrix of TA Actions, Responsibility Centers and Deliveries is placed as Appendix 7 to this Report. It identifies the actions of the TA in conformity with the TOR. It also identifies the responsibility centers in GOB and Bihar state road sector organizations to review, adopt and assimilate the results of TA actions. The exact nomenclature of road sector organizations to replace SHA and/or RIC will be BSRDC in keeping with RCD’s current organizational structuring proposals. The inputs completed or reports submitted have been clearly indicated in the Appendix 5, 6 and 7.



During the course of the TA, the team conducted and coordinated several training programs/sessions. Brief listing of the same has been depicted in Chapter 1 but details of the training programs are furnished in the tables in Appendix 6. These tables not only list the programs but also detail contents and subjects handled in brief. All these training programs were well attended and evoked keen interest among participants.



10 COUNTERPART SUPPORT AND INTERACTIVE COMMUNICATION

The TA mobilized on 19 July 2009. RCD provided furnished two room office-space which was occupied by the TA on 23 July 2009. RCD provided full support to the TA to ensure that at no time the TA work got interrupted due to any reason. Internet connectivity was available to the TA team at all times during their work. The TA worked from the following address:

RCD identified counterpart staff to work with the TA team members, respond to TA queries, provide data/information when needed, review reports and present to the RCD higher management for comments. The arrangement worked effectively and the TA enjoyed complete support of the counterpart staff.

The Workshops drew participants into extensive discussions and generated a lot of interest.

With the nomination of counterpart staff it became convenient for the TA team members to communicate with the road sector organizations and receive response to their submissions, analysis and interventions.

MMM Group Limited TA Project Office,

Room 305, Road Construction Department, Government of Bihar,

Vishweshwaraiya Bhawan, Bailey Road, Patna, India-800015

Tel: +91 612 653 1517 Email: [email protected]



APPENDIXES



Appendix 1 Institutional Strengthening Action Plan



APPENDIX 1: Institutional Strengthening Action Plan

Objective Elements Actions Taken or Under Way

Actions to be Taken

A. Road Sector Institutional Framework and Strategy

Enhance sector institutional framework with a sustainable long-term strategy for the state road sector

Develop road policy

Manage right-of-way

Develop investment programs for state highways and major district roads

Road policy framework developed

Short-term plan developed

Redefine RCD functions and powers with adequate legal backing, e.g., State Highway Act.

Based on road asset management systems, prepare long-term state and district investment and maintenance programs.

B. Organization Reform and Strengthening

Enhance organization structure for roads policy, planning, and execution functions

sector institutions to modernize sector development and management

Enhance RCD planning capacity

Enhance environment and

Strategically important roads outsourced, e.g., CPWD and IRCON under the Government’s grant fund, build-operate-transfer roads to IDFC of IILFC, and others through FIDIC-based contract/project management

Supervision and monitoring wing established and weekly reporting systems established via e-mails with all district offices connected

Project management unit

Review state road institutions and develop a restructuring roadmap to make RCD a state-of-the-art modern road agency.

Equip the RCD planning wing with staff and tools to prepare (i) condition-based investment and maintenance budget annually and (ii) medium- and long-term state road development program.

RCD is to establish




Actions to be Taken

social management capacity

equipped with specialists and nodal officers to be in charge

and staff an environment and social management unit.

Improve state roads business practices

Develop sound procurement and contracting processes

Ensure sound norm-based planning process

Improve quality assurance

Standard bidding document developed

E-procurement initiated, and advertisement published in websites and newspapers

Procurement procedures use international best practices

Road inventory is being prepared and a core road network identified

Third-party quality control introduced

Mobile quality control squads set up in all district offices

Divisional testing laboratory enhanced

Administrative approval based on the detailed project report.

RCD is to enhance project and contract management skills.

RCD is to increase outsourcing construction supervision, especially of state highways.

RCD is to adopt asset management practices based on international best practices.

Establish planning practices based on international best practices.

Establish competent quality control unit.

Enhance laboratory capacity.




Actions to be Taken

Improve efficiency and transparency of resource use

Improve financial management capacity

RCD discloses the target and achievement including payments of all works on its website

Weekly monitoring

system established

RCD equipped with computers and connected with all district offices via e-mail

RCD is to enhance monitoring systems for efficient and effective budgeting, and develop road asset management.

Computerize RCD financial management systems.

Improve human resource management

Increase staff Productivity

Improve skill mix

RCD enhanced productivity of staff through weekly monitoring systems

Annual training provided to engineers

Cadre management systems are to ensure promotion opportunities and adequate staffing.

RCD is to increases the number of staff for planning, procurement, quality assurance, and social and environment.

Develop learning and training program.

C. Private Sector Participation

Improve quality and efficiency of road development and management

Increase private sector participation in road financing

Increase cost effectiveness of road construction and maintenance

Build-operate-transfer schemes identified

All maintenance works outsourced to the private sector

Develop an enabling environment, e.g., laws and regulations.

Establish non-lapsable road development fund.




Actions to be Taken

Implement build-operate-transfer schemes; maintain, operate, and transfer contracts; and performance-based contracts.

D. Road Development and Maintenance Financing

1.Economic budget for road improvement and maintenance

Introduce rational selection of road investment projects

Develop condition based budget estimate for maintenance

Increase budget allocation to maintenance

Efficient utilization of maintenance budget achieved

RCD is to introduce electronic road register and asset management systems for condition-based budget estimates.

Collect required data for state road network.

Institutionalize the data collection program.

2.Enhance transparency and accountability for fund usage

Ensure road user satisfaction

Use allocated funds efficiently

Increased maintenance financing for state roads

Weekly monitoring of progress established

Enhanced quality of works after third party quality assurance introduced

Increase maintenance financing as roads are rehabilitated.

Fully utilize allocated funds through close monitoring systems.




Actions to be Taken

Target and progress published on the website

E. Road Safety

Improve road safety

Enhance GOB capacity to improve and manage traffic safety

Road safety program in place and monitored in all districts

RCD is to formulate a road safety cell.

RCD is to implement road safety audits.

Improve GOB capacity for vehicle fitness testing.

F. Overloading

Reduce overloading

Enhance GOB capacity to reduce overloading

Action plans laid out to enhance control of overloading.

Overloading control program being set up with initial instalment of six weighbridges at state border points

Install more weighbridges.

Enforce the regulation, e.g., practice off-loading of overloaded trucks.

G. Vehicle Emissions

Reduce pollution

Enhance GOB capacity to reduce air pollution from vehicles

Bihar motor vehicle rules amended to require all vehicles to have a pollution control certificate

Vehicle emission test centres set up

Enhance staffing and equipment.

H. Construction Industry




Actions to be Taken

Enhance technical, operation, and management capacity of local contractors

Increase GOB support for enhancing contractors’ capacity

Provide a medium and long-term pipeline of road projects.

Increase number of well-qualified contractors from outside the state

Increase the entry of new entities to the construction industry

Equipment bank set up in three districts State road development programs and other programs published in the website

Registration systems simplified

Set up more equipment banks.

Provide more detailed information on potential projects to the public at early stages of project preparation.

Package large contracts to attract qualified contractors from outside the state.



Appendix 2 Original Terms of Reference of Consulting Services and Additions in Variation Orders



APPENDIX 2: Original Terms of Reference of Consulting Services and Additions in Variation Orders

A. Objective

1. The main objective of the consulting services is to support the government of Bihar (GOB) in improving sector management performance by implementing institutional development initiatives. The focus of the technical assistance (TA) is to (i) redefine and restructure the Road Construction Department (RCD) as a state-of-the-art road agency, and (ii) implement new business procedures and provide training to RCD officials to enable RCD to adopt a new institutional and management structure. New business procedures will cover (i) procurement and contracting processes, (ii) planning processes, (iii) quality assurance systems, (iv) engineering (pavement design, maintenance methods, and safety), and (v) human resource management.

B. Scope of Services

2. The consultants will undertake the services in close consultation with the principal secretary and engineer-in-chief, RCD. They will conduct state and district training and workshops as required. RCD-wide consultation will be conducted to disseminate the concepts of the sector development initiative.

3. For a long-term framework, splitting the functions of road development policy and programming from project implementation is often effective. While the government would determine the extent, an autonomous body like a state highway authority (SHA) or road infrastructure corporation (RIC) would execute the project, e.g., project preparation, design, bidding contract awards, and management. This will ensure efficient decision making for project implementation and help build up expertise in outsourcing of technical work, understanding FIDIC7, using new forms of contracts, and developing public-private partnerships. For these terms of reference, the newly modernized RCD is, in any form, named as the SHA/RIC.

4. The consultant will be expected to undertake the following tasks:

(i) Recommend an appropriate institutional structure for managing the overall state road network, including state highways and major district roads.

(ii) Recommend appropriate management structures for managing each layer of the road network.

(iii) Review existing and draft laws and acts being prepared for Bihar and examples in other states and countries; and use these to develop a draft highway act, incorporating adequate provision for concession arrangements like public-private partnerships for consideration by GOB.

7 Federation Internationale Des Ingenieurs-Conseils



(iv) Recommend and implement new business procedures, and provide training to RCD staff to enable restructuring and adoption of a new institutional and management structure.

1. Institutional Framework

5 The main task of the consultants is to seek agreement from various groups involved on how roads are to be administered. They will be expected to (i) examine if SHA and/or RIC remain responsible for all state highways and major district roads, or be dedicated to strategically important roads with other roads left for RCD; (ii) identify functions and powers RCD and/or SHA and/or RIC require for effective corridor management; and (iii) identify and structure for SHA and/or RIC to be able to work as a project implementation agency for dedicated roads, e.g., strategically important roads.

2. Management Structures

6. The institutional analysis should determine how each part of the road network is to be managed. The task following is to recommend appropriate organization and management structures for SHA/RIC. The intention is to do most road works under contract. RCD and SHA/RIC should thus be primarily staffed to plan and manage the road network, and to hire and supervise consultants and contractors to carry out any required civil works. In this connection, the consultant will be expected to undertake the following:

(i) Recommend an appropriate organization structure for SHA/RIC, including the need for a management board (including functions, composition, and remuneration of members). Recommend the management structure, e.g., chief executive officer (CEO) and line managers, and develop procedures for appointing the CEO and, if necessary, the deputy CEO; and the relationship between other line departments, the board, and the CEO.

(ii) Define the middle-management structure. Arrangements should articulate the regional structure of the proposed organization. Proposals should indicate the middle management structure, how it relates to the CEO, and appropriate terms and conditions for staff employment for staff to ensure the agency can attract and retain suitably qualified staff.

(iii) Propose suitable financial reporting and accounting arrangements. Proposals should include recommended formats for simple accounts to help SHA/RIC maintain effective financial control; including identification of costs by activity and project; and preparation of a consolidated income statement, partial balance sheet, and cash flow statement. Advise on the most appropriate way of reflecting shortfalls in regular road maintenance and erosion of capital in the accounts.

(iv) Propose (a) arrangements for establishing a performance-based budgeting system for planning, implementing, and monitoring road maintenance; and (b) an appropriate auditing system, including internal audit and control procedures, with independent external audit arrangements.



(v) Recommend how SHA/RIC should deal with planning and management of road networks.

(vi) Identify arrangements needed for the unclassified road network. Determine if a form of cost-sharing arrangement would encourage local communities to take ownership. When they agree to take ownership of these roads, tracks, and trails, identify how to register their commitment and provide advice and technical assistance. Identify arrangements to ensure the funds allocated from the road fund are used effectively.

3. Highway Act

7. The consultant will be expected to review draft laws being prepared for Bihar and examples from other states and countries, and taking into account the work specified in the terms of reference, to prepare a draft highway act. The bill should be divided into sections dealing with the following:

(i) I he general responsibilities of RCD and GOB with regard to classifying roads, assigning them to a legally constituted SHA/RIC, promulgating authorized road signs and signals, setting appropriate geometric standards for road construction, issuing notices regarding regulation of roads and road traffic (e.g., governing vehicle weight and dimensions), delegating administration of responsibilities to a designated SHA/RIC, and initiating research on matters related to roads.

(ii) The detailed responsibilities of SHA/RIC, including the role (if any) in negotiating and signing contracts to have part of the road network under its jurisdiction managed under a concession agreement, e.g., build-operate-transfer projects.

(iii) The establishment of the road fund and its basic working modalities. The preference is for short enabling legislation, supported by regulations to be published (and updated) by RCD and GOB.

4. Business Procedures

8. Adherence to old codes and procedures sometimes cause delays in preparing and implementing projects. Decision making is not sufficiently decentralized and operating decisions are delayed due to too many layers of interventions. RCD is aware of the need to streamline business procedures and introduce internationally recognized systems and practices for procurement, quality management, planning, contract and project management, and financial management.

9. The consultants are to help RCD and SHA/RIC to become modern road management agencies. This requires introducing new business procedures for new institutional and management structures, covering (i) procurement and contracting processes, (ii) planning processes, (iii) quality assurance systems, (iv) engineering (pavement design, maintenance methods, and safety), and (v) human resource management.



a. Project and Contract Management and Procurement Processes

10. The consultants will undertake the following:

(i) Introduce computerized project management tools, train engineers, and implement standardized district reporting systems in project and contract management.

(ii) Refine RCD standard bid documents and request for proposals using international best practices.

(iii) Assess several contracting modalities to maintain state roads, and help RCD develop and test several contracting modalities to maintain state roads, including corridor management, performance-based maintenance contracts, and community-based maintenance contracts.

b. Planning Processes


(i) Develop state-specific norms for road development and maintenance, and implement in planning and design.

(ii) Establish planning practices and train engineers at the district level based on international best practices.

c. Quality Assurance


(i) Identify resource requirements for the unit. (ii) Establish a quality assurance strategy and arrangement, including quality

management manual, procedures, and reporting system, taking into account the extensive state road network.

(iii) Pilot test the manual on a sample of different types of works. Train the staff to use the manual. Assist RCD and SHA/RIC operationalize the manual and reporting system.

(iv) Help RCD and SHA/RIC identify, prepare specifications, and procure testing equipment and facilities for the quality management system.

d. Engineering Practices

13. The consultants will establish manuals, introduce the system, and provide training to concerned officials in RCD and SHA/RIC in pavement design, maintenance methods, and safety audit.

e. Human Resource Management



14. RCD engineers are competent but need training, capacity building, and more effective cadre management; career development strategies are needed. Avenues for promotion of staff have to be ensured, particularly for lower level functionaries. The consultants will do the following:

(i) Identify human resource requirements and assist RCD and SHA/RIC in recruiting adequate number of staff for planning, procurement, quality assurance, and social and environment aspects.

(ii) Develop and implement a scheme of skill development and redeployment in other organizations for full utilization of available human resources.

(iii) Develop cadre management and help RCD and SHA/RIC with implementation to ensure opportunities for promotion and adequate staffing.

(iv) Develop continuous results-oriented posting of personnel and help RCD and SHA/RIC with implementation.

(v) Identify training requirements and develop learning and training program.

C. Reporting

15. The consultants will provide ADB with progress reports on the institutional strengthening action plan, including achievements, problems, and policy recommendations. They will prepare specific reports in accordance with the terms of reference. Upon completion of their services, the consultants will prepare a draft final report covering all tasks and a final report 30 days after the tripartite review meeting with RCD, ADB, and the consultants.

16. The consultants, in consultation with RCD, will prepare a training program and comprehensive training proposals in the areas specified in this terms of reference, including selection criteria for candidates, training objectives, cost estimates.

D. Staffing

17. The TA will be implemented from October 2008 to August 2009. International consulting inputs include (i) institutional management specialist as team leader (8 person-months), (ii) legal specialist knowledgeable in laws and acts in the road sector (3 person-months), (iii) contract and project management specialist (4 person-months), (iv) road planning specialist (3 person- months), (v) quality control and management specialist (3 person-months), (vi) road maintenance and pavement specialist (4 person-months), (vii) road safety specialist (3 person- months), and (viii) human resource management specialist (3 person-months).



Additions to TOR in Variation Orders Terms of Reference and Scope of Work for the new experts MIS Expert MIS Expert will be at the center of designing, developing, installing and operating the road database forming the core of the pilot RMS. He will convert into computerized format all the data needs, report formats necessary under the monitoring & evaluation part of the RMS, decision support documentation and data import-export facilities with other systems. He will assist in integration of the various modules of the pilot RMS into one system capable of being linked with the other mission critical systems of the RCD. The critical activities and tasks comprising the scope of work for the MIS expert will be:

i. To identify the hardware and software requirements of RCD for establishing the pilot road database and Electronic Road Register for the pilot RMS;

ii. To understand the data collection formats designed by the Road Planning Expert and Road Maintenance and Pavement Expert in consultation with the working group constituted by RCD for the development of the pilot RMS. He will design the relative data tables, masters, queries to link the data to be populated in the database so as to deliver reporting formats congruent with the data collection formats and desired outcome report formats;

iii. To design, develop, test and install the database and the Electronic Road Register for the pilot RMS for Muzaffarpur Circle;

iv. To provide support in designing all decision support reports emanating from the interaction and interface between the Electronic Road Register and HDM 4; and

v. To generally provide all assistance relating to hardware and software operations connected with the pilot RMS including training the data entry operators, database administrators and controllers appointed by RCD.



QC and Materials Testing Expert In conformity with the need expressed by RCD to split the Quality Management (largely relating to establishment of Quality Systems) and Quality Control (largely related to testing, laboratory establishment, training in use of laboratory equipment and quality delivery in construction processes), the TA has proposed to induct expertise in QC and Materials Testing. The QC and Materials Testing Expert will fulfil the latter need whereas the Quality Control and Quality Management Expert will work on the Management related areas including a workshop on TQM in the balance period of time available for him after reallocating part of his time to the QC and Materials Testing Expert. The critical activities and tasks comprising the scope of work for the QC and Materials Testing Expert will be:

i. To work in close coordination with the TRI to assess the quality testing laboratory infrastructure needs at the central level and circle levels;

ii. To assess the equipment requirements at the various levels in the laboratories established/ to be established by RCD;

iii. To assist in providing training in the use of equipment in coordination with the manufacturers, vendors, suppliers if the equipment is received during his stay in Patna. If the equipment is received after completion of his time, to leave guidance with the Director TRI on issues and critical operational concerns so that appropriate training is sought from the suppliers;

iv. To provide training in QC and materials testing in the field on construction works in progress in consultation with RCD, construction supervision consultants and contractors. For this purpose the stretches of road construction works will be identified by TRI/RCD; and

v. To generally assist RCD in institutionalizing the QC function and advise on acquisition of equipment required in the QC laboratories.



Appendix 3

List of References, Books and Documents Reviewed



APPENDIX 3: List of References, Books and Documents Reviewed

Specifications for Road and Bridge Works

Bihar Public Works Department Code Vol. I & II

Handbook of Quality Control for Construction of Road and Runways

Standard Bidding Document Procurement of Civil Works

Bihar PWD Item Rate Tender and contract for Works : Form No F-2

Bihar State Highway Project – Bid Document

Model Request for Proposal for PPP Project

Request for Proposal on BOT (toll basis) in the State of Bihar ( RCD, GOB) Vol. I – Instructions to Bidders

Request for Proposal on BOT (toll basis) in the State of Bihar ( RCD, GOB) Vol. II – Draft Concession Agreement

Request for Proposal on BOT (toll basis) in the State of Bihar ( BSRDC, GOB)

Request for Proposal for Appointment of Technical Consultants

Improvement of Organisational Structure of RCD, GOB - Prepared by : N. V. Merani (Dec 2007)

Draft Bihar Road Side Land Control Act (RCD) GOB – 2003

Pocket Book for Highway and Bridge Engineers

Motor Vehicles Manual

Bihar Public Land Encroachment Act

Bihar Land Acquisition Manual

Bihar Rajya Pul Nirman Gigam- Company Regulations and Business Bye-lows

Rastriya Sam Vikas Yojna Brochures – 24.03.2007

Contract documents for IRQP work in Km. 0.0 to km. 1.9 of NH 103, Agreement No. 10F2 of 2008-09

Contract documents for widening with IRQP in km. 15 to 28 on NH103, Agreement No. SBD 33 of 2008-09

Contract documents for periodical renewal work in km. 171 to 184 of NH 19, Agreement no. SBD 40 of 2008-09

IRC and MORTH Publications on highways and bridges.

Website references:

http://www.nhai.org/qualityassurancemanual.htm

http://pmgsy.nic.in/downloads/QAHVolI.pdf

http://www.nhai.org/qualityassurancemanual.htm

http://pmgsy.nic.in/downloads/QAHVolI.pdf



http://pmgsy.nic.in/downloads/QAHVolII.pdf

http://www.adb.org/Documents/Profiles/PPTA/36005012.ASP

http://www.adb.org/Documents/TARs/IND/42513-IND-TAR.pdf

http://www.ilo.org/public/english/employment/recon/eiip/download/india_mp_v1.pdf

http://pmgsy.nic.in/downloads/QAHVolII.pdf

http://www.adb.org/Documents/Profiles/PPTA/36005012.ASP

http://www.adb.org/Documents/TARs/IND/42513-IND-TAR.pdf



Appendix 4 List of Persons Met



APPENDIX 4: List of Persons Met

Important meetings, decisions and date of the same are listed below.

Date Persons met and purpose of meeting

2009-07-13 ADB TA 7130-IND team mobilised

2009-07-14 Kick off meeting with RDC DGM (Special Cell)

2009-07-20 Introductory Meeting with E-in-C

2009-07-20 Introductory Meeting with Chief Engineer NH/ CGM BSRDC

2009-07-21 Introductory meeting with Secretary PWD

2009-07-23 Initial meeting with Principal Secretary, Secretary, E-in-C, DGM BSRDC

2009-07-24 Introductory meeting with Counterpart/Deputy Director Purchase RDC

2009-07-27 Introductory presentation to RDC Officer and initial discussions of Organization Structure of RCD

2009-07-29 Introductory meeting with Mr. B. Ram CE North Bihar and initial discussions of CE north

2009-07-29 Meeting with DGM RDC collecting reference Documents relating to Road Planning

2009-07-30 Initial meeting with Mr. D.N. Prasad CE NH/CGM RDC of discussions

2009-07-30 Initial meeting with Mr. N. Prasad CE South Bihar, CE Advance Planning, CE CDO of RDC

2009-07-31 Initial meeting with Mr J.K. Dutt, SE Special Officer, Communications

2009-08-01 Initial meeting with Mr Shamim Ahmad, EE Chhapra Division

2009-08-01 Initial meeting with Mr S K Sinha, EE Mujafpharpur Division

2009-08-03 Initial meeting with Mr. Chaudry and Mr Ranendra Kumar AE, Monitoring

2009-08-04 Initial meeting with flying Squad1 to flying Squad 4) Mr Ajay Kumar Singh, EE, Mr Kamlesh Kumar, EE, Mr Ramniwas Dubey, EE, Mr Sohel Akhtar EE

2009-08-06 Initial meeting with Mr. Ashok Kumar Deputy Director, Testing and Research

2009-08-07 Initial meeting with Mr G.C Mishra, DGM, BSRDC

2009-08-07 Introductory meeting with new Secretary PWD

2009-08-08 Initial meeting with Mr Gyanchand Das AE, Mr Vijay Kumar JE, Mr Rajesh Kumar ARO, Mr Raj Kumar Gupta JE, Mr Kamlesh Kumar AO in Bihar Sarif Division

2009-08-10 Initial meeting with Mr. A K Jha MD, Mr Alok Kumar EE, BSPNN

2009-08-13 Mr Chandra Shekhar for constituting working group of counterpart staff

2009-08-13 Meeting with E-in-C for deciding on counterpart staff

2009-08-13 Meeting with quality assurance working group Mr Ashok Kumar, EE, Ajay Kumar, EE, Neeraj Saxena EE, Navin Kumar AE, A K Sinha, Deputy Director, TRI

2009-08-18 Mr. Alok Kumar, EE, BRPNN to discuss Ganga bridge project implementation



modalities on PPP basis

2009-08-19 Mr. Anand Barav Prasad, DGM (PPP Cell), BSRDC regarding documentation for PPP projects and capacity building and training needs in PPP area.

2009-08-25 Mr. Prem Nath, AE, SH Div. Hajipur counterpart staff nominations

Date Persons met and purpose of meeting (25th August to 30th Nov 09)

2009-08-26 Road Safety expert meeting with Mr Chandra Shekhar,TA Nodal Officer & Prem Nath, AE

2009-08-27 Meeting with Road Safety counter part group



2009-09-09 Meeting with Mr Alok Kumar Senior Project Engineer BRPNN


2009-09-18 Meeting with E-in-C, DGM BSRDC

2009-09-20 Meeting with Counterpart/Deputy Director Purchase RDC

2009-09-24 Meeting with Mr. B. Ram CE North Bihar

2009-09-28 Meeting with Mr Suresh Prasad and Premnath Documents relating to Road Planning

2009-09-28 Meeting with Mr. Ashok Kumar, Deputy Director Testing lab

2009-10-02 Meeting with Mr. G.C. Mishra DGM, BSRDC

2009-10-07 Meeting with Mr J.K. Dutt, SE Special Officer, Communications


2009-10-15 Meeting with Mr Ashok Kumar Deputy Director Testing lab

2009-10-19 Legal Expert Meeting with Mr Babloo Kumar

2009-10-20 Legal Expert meeting with E-in-C and Mr J.K. Dutta, SOC

2009-10-26 HRM Expert and Legal Expert Meeting with E-in-C

2009-10-27 HRM Expert and Legal Expert Meeting with Mr G.C. Mishra, DGM, BSRDC

2009-10-27 Legal Expert Meeting with Secretary/Transport Commissioner, GOB

2009-10-28 HRM Expert and Legal Expert Meeting with Mr Jha, MD, BRPNN

2009-10-28 Meeting with new Deputy Director Training Mr Neeraj Saxena and Mr Sinha

2009-11-02 Meeting with Contract and Project Management counter part

2009-11-05 Site Visit NH Division, West Patna,

2009-11-06 Contract and Project Management Expert Meeting with Mr G.C. Mishra, BSRDC

2009-11-07 Site Visit Meeting SH Division Hajipur and C&C Contractors works yard, Vaishali

2009-11-09 Meeting with SP Traffic Police Patna, GOB and D.D. Training

2009-11-11 Meeting with BSRDC Officers (DGM,PM)

2009-11-18 Meeting with E-in-C and CE South, SOC, and other officers RCD, BSRDC,



BRPNN.

2009-11-24 Meeting with Secretary, E-in-C and all CE’s, SOC, and all others senior officers RCD, BSRDC, BRPNN

2009-11-27 Meeting with Mr Jha, MD, BRPNN



Appendix 5

Staffing Schedule, Workshops and Reports Submission



Month No. 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21Field Home TOTAL Used

J A S O N D J F M A M J J A S O N D J F M PM PM

Lalit CHUGH MMM Team Leader/Institutional Management Expert

0.77 0.10 0.53 0.13 0.93 0.87 0.70 0.83 0.87 0.80 0.77 0.80 0.73 0.90 0.47 0.77 0.80 0.63 0.70 12.7500 0.2500 13.0000 13.1000

Campbell Oliphant DUNCAN

MMM Legal Expert 0.53 0.97 0.23 0.57 2.0500 0.2500 2.3000 2.3000

Janusz William SOBIENIAK

MMM Contract and Project Management Expert

0.60 0.47 0.03 0.70 0.64 0.52 2.7500 0.2500 3.0000 2.9567

Prashant JOSHI MMM Road Planning Expert 0.23 0.40 0.50 0.23 0.20 0.37 0.27 0.33 0.47 3.2500 0.2500 3.5000 3.0000

Mehran AVINI MMM Quality Control and Quality Management Expert

0.03 0.50 0.58 0.22 1.1000 0.2500 1.3500 1.3333

Michael J. RILEY MMM Road Maintenance and Pavement Expert

0.57 0.40 0.70 0.30 0.53 0.27 0.60 0.73 0.55 4.5000 0.5000 5.0000 4.6500

Rajeev SHRIVASTAVA MMM National MIS Expert 0.13 0.93 1.00 1.00 0.93 4.0000 0.0000 4.0000 4.0000

Bimal MONDAL MMM International Materials Engineer 0.97 1.00 0.03 2.0000 0.0000 2.0000 2.0000

Surendrra Mohan SARIN MMM Road Safety Expert 0.27 1.00 0.27 0.60 0.23 0.50 0.13 2.7500 0.2500 3.0000 3.0000

C.E (Rhett) WADE MMM Human Resources Management Expert

0.05 0.40 0.83 0.07 1.00 0.37 2.0000 0.7500 2.7500 2.7167

TOTAL 37.1500 2.7500 39.9000 39.0567

REPORTS SUBMISSIONSInception Report CInterim Progress Report CDatabase Report CDraft Final Report CFinal Report

WORKSHOPS C C C

Legend: Anticipated Input - Full MonthAnticipated Input - Partial MonthTime Completed - Full MonthTime Completed - Partial Month

CP

Note 1: The deployment of the key personnel as estimated undergoes changes depending upon RCD response.Note 2: Besides the Workshops proposed team members are conducting focus groups or training programs as part of TA work.Note 3: Home-based inputs have not been identified separately but included in overall inputs.

2011

CompletedPlanned

INTERNATIONAL

STAFFING SCHEDULE TILL MARCH 2011NAME FIRM POSITION

2009 2010MONTHS INPUT PROPOSED



Appendix 6

In-country Training Programs/Workshops/Group Discussions/Seminars Organized by TA



1 Aug-09

3 Oct-09

4 Nov-09

5 Nov-09

6 Nov-09

7 Nov-09

S Sarin

S Sarin

2 Sep-09

Road Safety Traning Program

Road Safety Traning Program

Safety Guidelines for Good DesignRoad Accidents Scenario in BiharRoad Safety Audit of Saraiya to MotipurRoad Safety Audit on Sri Krishan MargBihar Road Safety Policy

Road Safety Audit at Various Stages

Safety Considerations at Road Design Stage

Safety Management of Work Zones

Inception workshop

Road Sector Performance IndicatorsRoad Sector Institutional FrameworkManagement StructuresRoad PlanningQuality Management

Project Management

Training Programs Coordination by or atS.No. Institutional Strengthening of the

Bihar Road Sector Fields Subjects Covered Largely Use of External Faculty, if anyDate mm/yy

Principles of Project ManagementEarned Value Explained projectsmart

TA Team

Campbell Duncan

Rhett Wade

Mike RileyRoad Management System

Road Administration Act/ State Highway Act

Engineering Skills AssessmentHuman Resource Management

Institutional Strengthening of the Bihar Road Sector (ADB TA-7130-IND)

In-country Training Programs/ Workshops/ Group Discussions/ Seminars Organized by TA

Inception Workshop: August 2009Mid-term Workshop: March 2010

Janusz Sobieniak

Road Management System

Highway Act

Human Resource Management



TA Team

Bimal Mandal

Attended by ADB Task Leader as well

Training for Quality Control and Quality Assurance

Credible and holistic approach to road assets maintenance and importance of RMS

Lalit Chugh

Contracting road maintenance

Quality Control

Neeraj TomarPublic Private Partnerships: Design and Development, Processes and Procedures

Development and training plan

Training for Quality Control and Quality Assurance

Saugata Maitra and Neeraj Tomar

PPP- Institutional Framework

Day-1:Structuring a PPP Project:Critical FactorsPPP-Financial ModelingVGF and Approval MechanismConcession Agreement and Important Features

Day-2:PPP-Financial Modelling

Lalit ChughFeb-10

Apr-10

PPP-Definitions, Structures, Options and Modes8

Review of progress and new developments

Legislations and Regulations

9 Mar-10 Mid-term workshop

Feb-10Public Private Partnerships: Design and Development, Processes and Procedures

10

Apr-10

Quality Control



15 Feb-11Customised Training in Use

of ROMDAS and DCP

Lalit Chugh

Lalit Chugh

TA Team

Equipment used in Road Data Collection

CRRI, New Delhi TA Team

Mehran AviniRCD Approach to Quality Control Management

Critical Financial Indicators-Definitions and Interpretation

Quality Control Management

Understanding Financial Modeling for a Road Sector PPP Project

Hands-on Working on PSI_Selector

Hands-on Working on PSI_Selector using a case study (Step-by-Step) (working on desktop computers)

Financial Modeling and Risk Analysis of Public Private

Partnership ProjectsMay-10

May-10

CRRI, New Delhi

Vikas Goel

11

TA Team

MS Excel and Financial Functions

Risk analysis of a PPP Project

International Course on Dissemination of HDM-4 PPP in the road sectorMaintenance PlanningSite visit to PPP Roads

MS Excel and Financial Functions

Risk analysis of a PPP Project

Preparing Risk Matrix

Participants’ QuestionsParticipants’ Questions

Financial Modeling and Risk Analysis of Public Private

Partnership Projects

Preparing Risk Matrix

14

13 Sep-05

Incountry Study Tour to Madhya Pradesh

Incountry Training Program

Oct-10

12 May-10



Appendix 7

Matrix of TA Actions, Responsibility Centers and Deliveries



MATRIX OF WORK PLAN ACTIONS, RESPONSIBILITY CENTERS AND TARGET DATES

TOR Task Heading

Actions Required as per TOR

TA Actions Deliverables/Reports Submitted Remarks and Responsibility Center

1. Institutional Framework

Examine if SHA and/or RIC remain responsible for all state highways and major district roads, or be dedicated to strategically important roads with other roads being left for RCD8.

Identify functions and powers RCD and/or SHA and/or RIC require for effective corridor management.

Identify and structure for SHA and/or RIC to be able to work as a project implementation agency for dedicated roads, e.g. strategically important roads.

Review carried out continuously at all times and suggestions made for strengthening wherever needed.

RCD/BSRDC is already

following an effective system of allocating span of controls and functional clarity at all levels.

The structure adopted is conducive to an efficient and effective program delivery.

Continuous review carried out jointly with RCD.

BSRDC is implementing all policy

decisions of GOB and RCD in terms of its mandate.

RCD to examine and review draft report;

In case any directions are required from GOB, RCD to get approvals or policy based directions for consultant’s final recommendations;

TA consultant will incorporate all suggestions and comments in the Final Report.

8 GOB has since incorporated BSRDC as the organization for carrying out the PPP Projects and ADB Projects. Nomenclature like SHA/RIC has changed

to read exact organizational names when reference to SHA and/or RIC arises. Further remodeling is contemplated in terms of roads designated for development by BSRDC.



TOR Task Heading



2. Management Structures.

Recommend an appropriate organization structure for SHA/RIC, including the need for a management board (including functions, composition, and remuneration of members). Recommend the management structure, e.g. chief executive officer (CEO) and line managers, and develop procedures for appointing the CEO and, if necessary, the deputy CEO; and the relationship between other line departments, the board, and the CEO.

Define middle-management structure. Arrangements should articulate the regional structure of the proposed organization. Proposals should indicate the middle management structure,

Carried out in consultation with RCD.

(An analysis of job functions, spans of control and organizational structuring needs was carried out in the Working Paper titled “Draft Engineering Skills Assessment Report”-November 2009).

BSRDC has an effective

system of allocation of functions at different levels of management. It is reflected effectively in the organizational structure adopted. Review of this structure

BSRDC is a corporate entity within the Indian company Law. Its management mandate has to be consistent with both the corporate laws and the authority vested in it by GOB. The TA finds that BSRDC is functioning effectively on both counts.

RCD and BSRDC to

initiate a process of continuous review to conform with the changing work dimensions of BSRDC and rising expectations of GOB on road sector development front. In due course, with the passing of the Highway Act, adequate autonomy should flow to BSRDC to take independent programming of its actions.



TOR Task Heading



how it relates to the CEO, and appropriate terms and conditions for staff employment for staff to ensure the agency can attract and retain qualified staff.

Propose suitable financial reporting and accounting arrangements. Proposals should include recommended formats for simple accounts to help SHA/RIC maintain effective financial control; including identification of costs by activity and project; and preparation of a consolidated income statement, partial balance sheet, and cash flow statement. Advise on the most appropriate way of reflecting shortfalls in regular road maintenance and erosion of capital in the accounts.

is carried out at regular intervals.

BSRDC has adopted

Tally accounting platform for recording its accounting and financial data. Transaction accounts are maintained at the PIUs, where actual disbursements take place. Accounting records are forwarded by PIUs to BSRDC HQ where consolidation takes place both in terms of requirements of the corporate laws and integration with GOB’s Integrated Government Financial Management Information System.

TA reviewed the financial and

accounting management systems. These are working effectively within the guidelines of GOB’s IGFMIS.

The organization to

review TA report in the light of the extant statutory and regulatory requirements for financial reporting by a government owned entity.



TOR Task Heading



Propose (a) arrangements for establishing a performance-based budgeting system for planning, implementing, and monitoring road maintenance; and (b) an appropriate auditing system, including internal audit and control procedures, with independent external audit arrangements.

Recommend how SHA/RIC should deal with planning and management of road networks.

Identify arrangements needed for the unclassified road network. Determine if a form of cost-sharing arrangement would encourage local communities to take ownership. When they agree to take ownership of these roads, tracks, and

A performance review system is already in place. This is in conformity with the fiscal monitoring system introduced by GOB alongwith the IGFMIS.

Suitable

recommendation made and a pilot RMS delivered.

Such system is under contemplation for use in the low density, village roads but is not being handled by RCD/BSRDC as they deal with roads classified as SH and MDR only.

TA reviewed the existing budgeting and monitoring systems. Adequate control measures including audit and review already exists in the systems followed by BSRDC.

The unclassified roads are

managed either by the Rural Works Department or the third level of government viz. panchayats. RCD, BSRDC and BPRNN do not have any involvement in these.



TOR Task Heading



trails, identify how to register their commitment and provide advice and technical assistance. Identify arrangements to ensure the funds allocated from the road fund are used effectively.

3. Highway Act

The general responsibilities of RCD and GOB with regard to classifying roads, assigning them to a legally constituted SHA/RIC, promulgating authorized road signs and signals, setting appropriate geometric standards for road construction, issuing notices regarding regulation of roads and road traffic (e.g. governing vehicle weight and dimensions), delegating administration of responsibilities to a designated SHA/RIC, and

Submitted in November 2009

(Working Paper titled “Draft Road Administration Act”-November 2009 submitted.

Draft highway Act including the legislative requirements for managing concession agreements or build-operate-transfer kind of asset development has been submitted.

RCD to review the draft Highway Act and give comments. RCD has to get the Act promulgated;



TOR Task Heading



initiating research on matters related to roads.

The detailed responsibilities of SHA/RI, including the role (if any) in negotiating and signing contracts to have part of the road network under its jurisdiction managed under a concession agreement e.g. build-operate-transfer projects.

The establishment of the road fund and its basic working modalities. The preference is for short enabling legislation, supported by regulations to be published (and updated) by RCD and GOB.

Submitted

Draft short legislation submitted

for review and adoption by GOB/RCD

4. Business Procedures

a) Project and Contract Management and Procurement Processes

Introduce computerized

project management tools, train engineers, and implement standardized

TA conducted training

sessions and familiarized RCD with the modern project

Details furnished in Chapter 3 of

this Report

RCD has introduced a

Project Management System coordinated by Monitoring Division



TOR Task Heading



district reporting systems in project management and contract management.

Refine RCD standard bid

documents and request for proposals using international best practices.

Assess several contracting

modalities to maintain state roads, and help RCD develop and test several contracting modalities to maintain roads, including corridor management, performance-based maintenance contracts, and community-based maintenance contracts.

management tools. Finalized May 2010. Carried out jointly with

RCD’s working group on framing a sustainable Road Maintenance Policy.

Details furnished in Chapter 3, of

this Report Details furnished in Chapter 3, of

this Report

conforming with the IGFMIS of GOB;

RCD adopt revised SBDs

as needed. As regards documents relating to maintenance works and PBC, a model agreement needs to be evolved on the basis of some reviewed by the TA and the model documents under preparation at MORTH.

RCD to pilot the

Performance-based Maintenance contract by identifying a road or set of roads or a corridor.



TOR Task Heading



5. Planning

Processes 6. Quality

Assurance

Develop state-specific

norms for road development and maintenance, and implement in planning and design.

Establish planning practices and train engineers at the district level based on international best practices.

Identify resource

requirements for unit. Establish a quality

assurance strategy and arrangement, including quality management manual, procedures, and reporting system, taking into account the extensive state road network.

Pilot test the manual on sample of different types of

Delivered in April 2010 Carried out in April 2010

A report on Maintenance Policy

submitted by the TA details all issues in detail.

Suitable training program designed

or identified at national level training institutes for RCD/BSRDC/BPRNN engineers.

Details furnished in Chapter 5 of

this Report

RCD has established an

RMS Unit in response to the pilot RMS project for Muzzaffarpur Circle roads. The same Unit can be augmented to act as the Planning unit in future.

RCD/BSRDC/BPRNN to

institutionalize the Quality



TOR Task Heading



7. Engineering

Practices 8. Human

Resource Management

works. Train the staff to use the manual. Assist RCD and SHA/RIC operationalize the manual and reporting system.

Help RCD and SHA/RIC identify, prepare specifications, and procure testing equipment and facilities for the quality management system.

Consultant will establish

manuals, introduce the system, and provide training to concerned officials in RCD and SHA/RIC in pavement design, maintenance methods, and safety audit.

Identify human resource

requirements and assist RCD and SHA/RIC in recruiting adequate number of staff for planning,

Reviewed all available

guidance documents and manuals. Recommended modifications wherever necessary or alternative guidelines suggested.

November 2009 for

submission of HR Assessment Report (Already submitted for review and comments

Draft Maintenance Policy based on

inputs received from RCD and Draft Safety Audit Manual.

HR Assessment Report

Management systems. RCD to create a

Maintenance Unit and a Road Safety Audit Unit.

RCD/BSRDC/BPRNN to

introduce newer capacity building methods, result-oriented HR practices and update



TOR Task Heading



procurement, quality assurance, and social and environment aspects.

Develop and implement a scheme of skill development and redeployment in other organizations for full utilization of available human resources.

Develop cadre management and help RCD and SHA/RIC with implementation to ensure opportunities for promotion and adequate staffing.

Develop continuous results-oriented posting of personnel and help RCD and SHA/RIC with implementation.

Identify training requirements and develop a learning and training program.

from RCD)

Training and Development Plan submitted in April 2010.

Training & Development Plan with

a five-year perspective and tentative budget.

organizational skills inventory regularly.

RCD/BSRDC/BPRNN to

adopt the Training & Development Plan, set aside appropriate budgets for training and capacity building, and institutionalize training plans for future as part of organizational development function.

Appendix 8: List of Laboratory Equipment/RCD

Appendix: 9 Report on Canada and Australia OST from Participants

ADB TA 7130-IND Institutional Strengthening of the Bihar Road Sector OVERSEAS STUDY TOUR TO CANADA: REPORT OST Plan and Activities Duration, Travel and Debriefing OST Commencement Date: 17 July 2010; OST Duration: 17 July 2010 to 30 July 2010-14 days; Principal Places of Visit: Vancouver, Whistler, Toronto; Debriefing Seminar Held on: 16 August 2010;

OST Objectives as stated in the proposal for approval and as observed The principal objectives of the OST were:

• To expose the officials to the best practices adopted internationally by highway management agencies;

• To familiarize the participants with the management, organizational and institutional frameworks adopted by highway agencies to create efficient, cost-effective and vibrant program delivery mechanisms;

• To demonstrate to them the approaches to program delivery utilizing business processes designed under a systems approach to work;

• To expose them to the quality management systems adopted by some of the efficient road management agencies abroad; and

• To generally, expose them to the use of modern Road Management Systems using extensive database management techniques and decision support tools.

The consultant tried to ensure that all these objectives are fully met by organizing presentations on the road management systems followed in Canada, interactions and meetings with the officials of the road agencies, and site visits. List of Participants nominated for the OST The following participants were nominated for the OST to Canada.

Name Designation Remarks Mr. Atish Chandra Chairman, Bihar State Road

Development Corporation Ltd. Did not go as his program was cancelled just before departure.

Mr. Chandra Shekhar Deputy Director (Purchase & Transport), RCD, Patna

Mr. Shyamanand Pandey Executive Engineer, RCD, Darbhanga Mr. Ranjit Kumar Mishra

DGM (Tech.) Bihar State Road Development Corporation Ltd.

Mr. Deepak Singh OSD-cum-EA to MD, Bihar State Road Development Corporation Ltd.



Mr. Neeraj Saxena Deputy Director, TRI, RCD, Patna Mr. Arun Kumar Mishra Senior Project Engineer, BRPNN,

Bhagalpur

Mr. Navin Kumar Assistant Engineer, Danapur Subdivision, RCD, Patna

Mr. Alankar Sinha Project Engineer, BRPNN, Patna In all nine participants went on the OST.

List of Presentations attended by OST participants and sites visited A list of the presentations made during the OST by various road agencies, experts and faculty is furnished in the Table below. At the bottom of the Table is the list of sites visited.


1 Infrastructure Investment Mr Joot Meyboom

2 Project Management & Risk Management Mr Brad Prince, Sr Project Manager

3

Maintenance Contracting and PPP Overview I. Road Maintenance by Contract - Overview II. Public-Private Partnerships (PPP) Set-up III. Road Maintenance in PPP’s

Mr Mehran Avini

4 Meeting with Ministry of Transport, BC Highway Maintenance (The British Columbia Model)

Mr. Reg Fredrickson Director, Highway Maintenance & Rehabilitation Mr. Nicole Pharand Fraser, Sr. Manager, Maintenance Program in BC Ministry of Transport

5 Metro Vancouver’s Major Road Network & Mr. Sany R. Zein,

Safety Director, Translink

6 P3s as an Approach to Delivering Major Capital Assets. The Canadian Experience

Mr. Hans VanPoorten MBA, P.Eng.

7 Alternative Delivery Project Experience Mr. Chris Gauer, P. Eng., AVS

8 Roadside Features Ministry of Transportation of Ontario

Timea Tomi, Policy Advisor, Policy, Priorities and Coordination Office, Strategic Policy and Transportation Economics Branch

9 Bridges Maintenance Program Bala Tharmabala, Manager, Bridge Office

10 Pavement Management System

Becca Lane, P.Eng. Head, Pavements and Foundations Section, Materials Engineering and Research Office

11 Lynn Creek Bridge & Brooksbank Avenue Underpass Project A Project Management Case History

Brad Prince, M.Eng., P.Eng., PMP, Senior Project Manager / Associate, MMM Group

12 Contracts – Oversight, Monitoring and Performance

Mr Jeff Baker, Head, Maintenance Contract Analysis Section,

13 Highway Maintenance in Ontario Ontario Administration

Field Visits

14 Sea to Sky road tour, Whistler Mr Mehran Avini

15 To Victoria (Capital of British Columbia Province)

By Ferry through Pacific Ocean

16 Travel and Experience of local transportation system, Toronto

Mr Anil Bajracharya, MMM Group

Debriefing Seminar and Knowledge Sharing The Debriefing Seminar was held on 16 August 2010 in Patna. Participants at the Seminar were drawn from various offices of RCD and its allied corporations. The Seminar was well attended and over 50 persons attended.

The participants of the OST were constituted into two groups to share their learning at the Seminar. In all, four presentations were made at the Seminar.

It is proposed that such seminars will be held at selected centres in north and south Bihar for a wider dispersal of the knowledge shared.

Learning Points The following learning points were discussed at the Seminar and were adopted as the lessons learnt from the OST. Infrastructure Investment

• In Bihar Infrastructure Investment holds utmost importance, hence the P3 model becomes significant. To make a small beginning we can undertake the following steps in the highway sector

• Assess the total requirements for development in the next 10 years

• Based upon the current deficit and projected deficit for 10 yrs. – The quantum of Private & Public Investments can be analyzed and efforts made to make conducive environment for investors/concessionaires

• Fix a base level amount for mega projects and make it mandatory to provide a rationale for not implementing the project on P3 model.

Project Management

• Define the project scope clearly – keep it fixed there should be no change

• Risk sharing between owner and the investor should be properly defined – it controls cost too

• Co-ordination among different stakeholders

• Standard Quality Management

• Ensure Road Safety

• Train staff on quality and safety – by organising classes and field visits

• Celebrate success and focus on the positives

Pavement Management/Road Management Road management is a process for achieving the best value for the available funds. To provide safe, comfortable and economic transportation The organisation should have a good Road management System comprising 1. Road Data Inventory 2. Data Analysis System 3. Pavement Performance Evaluation a. Riding Quality b. Pavement Distress 4. Preventive Rehabilitation and Reconstruction Strategy 5. Budgeting and Work Programming (Road Management System is being implemented by RCD for the roads of North Bihar Circle as a Pilot Project)

Road Maintenance

• Execution of Road maintenance work needs to be systemized to ensure the effective use of maintenance budget

• Prepare a good road maintenance manual

• Short term maintenance contract for already renovated highways

• Long term performance based maintenance contract along with renovation contract

Performance Based Maintenance Contract

• Define Maintenance Priorities • Protection of public safety • Protection of road and bridge infrastructure • Protection of the Environment • Ongoing maintenance based on road classification • Claim redressal system • Define intervention process • Define Emergency Services • Provide Bonus clause based on stakeholders assessment

Road Safety Road Safety Strategy

1. Requirement for Constituting a Road Safety Directorate

2. Road accident data collection system needs to be developed

3. To ensure Road Safety

A. Engineering – Make it mandatory to check the geometrics of turning and junctions and issue certificates

B. Enforcement – Strict and regular co-ordination with transportation department and police

C. Education – A dedicated fund for education

D. Intelligent Transportation System

E. Road Safety Audit

OST Australia Tour Report Organised by MMM Group for institutional Strengthening and capacity building of RCD

Officers, Govt. of Bihar under TA 7130(ADB)

(Report submitted by Participants)

All 10 nominated participant by RCD Government of Bihar visited Australia as part of OST as per the following schedule program as under.

Date Program Descriptions Presenters and Photograph

2/10/10 Departure : Patna by G8-344

Arrival : New Delhi

Night Halt : New Delhi

1825 Hr.

2000 Hr

03/10/10 Flight: Delhi - Bangkok: Thai Airways TG324 (Departing Delhi at 1155 hrs on 03/10/10, arriving Bangkok 1750 hrs 03/10/10)

Bangkok - Brisbane: Thai Airways TG473 (Depart Bangkok 2359 hrs 03/10/10

04/10/10 All Participants Welcomed by Mr. Glen Stinger, Representative of MMM Group, Canada.

Check in Oaks Festival Tower, 108, Albert Street, Birsbane.

05/10/10 Presentation made on the topic of : “An Overview of the commercialization of RoadTek” by Mr. Michael Mailloux Director Commercial Governance Department of Transport and Main Roads.

Roadtek is commercialized business unit within TMR which provides Civil works and services included :

(a) Asset Services

(b) Network Services

(c) Plant Hire Services

Bus Trip to Southern and Eastern Busways.

It is

(a) Dedicated Corridor for Bus.

(b) Mostly Six lane road with noise barrier near inhabitated areas.

(c) Big and well facilitated Car parking at bus stop site for park and ride.

(d) Permissible speed : 80 kmph

1330 to 1500 Hr.

06/10/10

Gateway upgrade project presentation

and site visit at Queensland Motor wage Office, 1051 Lytton Road Murarrie.

Presentation made by Mr Davit Wright, GM Gateway Upgrade project and subsequently site visit by Mr. Peter Rotolone .

High lights :

Bridge length : 1.60 km

Type : Segmental Cantilever

Span : 260 mtr.

Clearance : 55 mtr.

Lane : Six Lane

1000 to 1300 Hr.

Presentation on BCC Trans Apex Roads Project.

Presented by Scott Stewart at Level 2, 171 George Street.

High Lights :

(a) Planning of Brisbane growth living : Brisbane 2026

(b) Trans Apex Plan under ground road link around CBD.

(c) BCC Calculated Congestion cost 1.3 billion per year at present and every five minute in congestion means 135000 fewer jobs in the region.

BDO: Advisers to BCC on PPP’s Alliances, Partnering for Infrastructure projects Presented by Mr Zorn Radoseve and assisted by Mrs. Penny Flynn at Level 18, 300 Queen Street.

High Lights :

(a) ECI : Early Contractors Engagement

(b) IAA : Interim Alliance Agreement

1500 to 1700 Hrs

07/10/10 Tour CLEM 7 Tunnel Operations Centre. Presented by Andrew Wheatley at 82 Campbell Street, Bowen Hills.

High Lights :

Tunnel Length : 4.8 km two lane

Double Tube with cross link at every 60 mtr.

24 Hr. traffic monitoring with incident management having response time of 4.827 minute.

900 to 1100 Hr.

Designed for 1.1 lacs vehicle per day.

Company : River Valley

Mode : PPP Mode

Concession Period: 45 years.

Transport Management System of Brisbane at Brisbane Metropolitan Transport Management Centre, Level 2, 266 George Street by Les Carter.

High Lights :

24x7 Hrs. operation of surveillance of Brisbane Metropolitan area Traffic.

Traffic monetroing and on road support to road users through :

(a) TRU : Traffic Response Unit for accident.

(b) MBRS : Motor way Breakdown Response Service for vehicle breakdown.

(c) RACQ : Road Assistant Center of Queensland.

(d) Priority quick clearance Zone will be cleared within 30 min.

(e) All the above services are available 24x7 free of cost by the Department.

1300 to 1500 Hrs.

08/10/10 Ipswich Motorway Upgrade project presentation and site visi By Mrs Mango Murphy, GM, Ipswich Motorway Upgrade project and Mr. Tartric Project Engineer.

High Lights :

Mining Filling

Slide Slip line repair below 20 mtr. of ground level.

09/10/10 Site Visit : Visit of Gold Coast and Surfer Paradise

10/10/10

11/10/10

Site to Blue Mountain, Olympic Park, Candy Market, at Sydney.

Night Halt : YHA,Sydney. Visit To Opera House, Harbour Bridge, Darling Harbour, Manley Beach, Boondy Beach and return to Brisbane. (2200 Hr.)

12/10/10 BCC: City Assets at level 2,266 George Street. Presented by Mrs. Inga Condric, GM, and Assets.

High Light :

New Structure : Outsourced Maintance : Departmental

Strength: Owned quarry, Batch Mix Plant 400 TPH, Ashphalt Plant for Multi grade bitumen.

Road Network : 5596 km

Water ways & Sewerage : 5900 km

Park: 13412 hec.

All roads resurfacing by milling and recycling by Departmental

1130 to 1300 hrs

Machineries.

BCC Strategic Procurement at level 2, 266 George Street. Presented by David Cox.

High Light :

Negotiations with all bidder on considering following points :

(a) Team

(b) Methodology

(c)Environment and safety

(d) Price

1400 to 1530 Hrs

13/10/10 Closing and lunch

Note: Highlights include description of lessons learnt.

Appendix: 10 Report on In-country Study Tour to Madhya Pradesh

In-Country Study Tour to Madhya Pradesh 1

ADB TA 7130-IND Institutional Strengthening of the Bihar Road Sector IN-COUNTRY STUDY TOUR TO MADHYA PRADESH: REPORT Duration, Travel and Learning Tour Commencement Date: 1 October 2010; Tour Duration: 1 October 2010 to 7 October 2010-7 days; Principal Places of Visit: Bhopal, Indore, Jabalpur.

Tour Objectives as stated in the proposal for approval and as observed The principal objectives of the tour were:

� To expose the officials to the best practices adopted in other Indian states;


� To familiarize the participants with the management, organizational and institutional frameworks adopted by MPRDC to create efficient, cost-effective and vibrant program delivery mechanisms;

� To demonstrate to them the approaches to creating an enabling environment for PPP in the state road sector; and

� To generally, expose them to the use extensive database management techniques and decision making with regard to prioritization of works.

In order to ensure that all these objectives are fully met interactions and meetings with the officials of MPRDC and site visits were arranged. List of Participants nominated for the Tour The following participants were nominated for the tour to Madhya Pradesh.

Name Designation Remarks

Mr. Shiv Shankar Prasad

Superintendent Engineer, Saharsa Road Circle, RCD

Mr. Brajesh Prasad General Manager, BSRDC Limited

Mr. Chandra Shekhar Deputy Director (Purchase & Transport) RCD, Patna

Did not go on account of health reasons



Mr. Neeraj Saxena Deputy Director, TRI, RCD, Patna

Mr. Sunil Kumar Executive Engineer, Patna West Division

Mr. Anand Bharav Prasad

DGM, BSRDC Limited

Mr. Sunil Kumar Chaudhary

Assistant Engineer, Monitoring, RCD, Patna

In all seven participants went on the tour. List of Presentations attended by tour participants and sites visited A list of the presentations made during the tour by various MPRDC furnished in the Table below.


Date Places Visited Road/Project Site Visited Presentation made or Issues discussed

Officials Met

3th Oct 2010 Indore BRTS Road Indore City BRTS planning, Lane management and congestion controlling

Mr Manoj Vaidhya, Vaidhya Technical Training Organization, Design and Supervision Consultants

Mr S C Garg, CTO, BRTS, Ex CE MPPWD, Ex CGM, MPRDC

Indore – Ujjain – Construction on going – MPRDC Road

Construction methodology and Project Management System

Bhopal – Shehore- Devas – BOT toll Road

PPP structuring, Toll management, role of independent engineer and concession administration

Mr S R Ahirwar, Project Manager, MPRDC

Chetak Enterprises Concessionaire, SAI Consultants TL - Supervision Consultants,

4th Oct 2010 Bhopal MPRDC Headquarters Presentations made by MPRDC:

� PPP Projects Management;

� MIS and Road database;

� Maintenance Planning.

Meetings with MPRDC officials

Mr Vivek Agrawal, MD, MPRDC,

Mr A S Chedke, Technical Advisor MPRDC and Ex CGM, MPRDC

MR Anil Chansoriya, CGM PPP

Mr Akhilesh Agrawal, CGM

Mr B S Meena, DGM (ADB) & DM (BHOPAL)

Mr Piyush Chaturvedi, DGM


(Procurement)

Mr Alok Chatuvrdi DGM, MIS

Mr Diwakar Shukla, DGM

Mr Neeraj Vijay, DGM, (BOT)

Mr Pawan Arora, DGM (HR)

Mr Anil Shrivastava, DGM

Mr S R Ahirwar, AM

Vidisha Bhopal – Vidisha Road (under ADB Project)

Quality management, Project management

Mr. Anil Chansoriya

5th Oct 2010 Hosangabad-Pipariya- Pachmari

Hosangabad-Pipariya- Pachmari – BOT Toll Road

Concession administration, toll administration

Mr Anil Shrivastava, PM, MPRDC

Chetak Enterprises Concessionaire

6th Oct 2010 Pipariya - Narsingh -Jabalpur

Pipariya - Narsingh –Jabalpur BOT Tool Road

Concession administration, toll administration

Mr Anil Shrivastava,PM MPRDC

Chetak Enterprises Concessionaire

7th Oct 2010 Jabalpur -Patna


Learning Points The following learning points were discussed during the tour. Enabling PPP in road sector

� Adopt a proactive approach and create a shelf of viable and bankable road projects;

� Enunciate a clear and transparent policy regime;

� Adopt a transparent procurement process; and


� Create a facilitative environment for investment promotion.

Project Management

� Define the project scope clearly – keep it fixed there should be no change;

� Risk sharing between owner and the investor should be properly defined;

� Co-ordination among different stakeholders;

� Standard Quality Management;

� Ensure Road Safety

� Train staff on quality and safety – by organising classes and field visits

Pavement Management/Road Management

Road management is a process for achieving the best value for the available funds. To provide safe, comfortable and economic transportation The organization should have a good Road management System comprising 1. Road Data Inventory 2. Data Analysis System 3. Pavement Performance Evaluation a. Riding Quality b. Pavement Distress 4. Preventive Rehabilitation and Reconstruction Strategy 5. Budgeting and Work Programming (Road Management System is being implemented by RCD for the roads of North Bihar Circle as a Pilot Project)

Road Maintenance

� Execution of Road maintenance work needs to be systemized to ensure the effective use of maintenance budget

� Prepare a good road maintenance manual

� Short term maintenance contract for already renovated highways

� Long term performance based maintenance contract along with renovation

contract