Methodology for Site Quality Audits and Non-Conformance Reports (NCRs)

Purpose: To provide a standardized procedure for Assistant Engineers (AE) or Construction Site Controllers (CSC) to conduct periodic Site Quality Audits and issue Non-Conformance Reports (NCRs) for deviations in materials or workmanship, ensuring compliance with MoRTH, IRC, IS codes, and ISO 9001:2015.

Scope: Applicable to all road construction projects in India, including earthwork, sub-base, base course, bituminous layers, concrete pavements, and associated works.

Document Version: 2.0
Publication Date: June 09, 2025
Approval Authority: [Insert Name/Designation, e.g., Project Director]

Applicable Standards:

  • MoRTH Specifications for Road and Bridge Works (5th Revision, 2013)
  • IRC: SP: 57-2018 – Guidelines on Quality Systems for Roads
  • IRC: SP: 47-2014 – Guidelines on Quality Systems for Road Bridges
  • IRC: SP: 55-2014 – Guidelines on Traffic Management in Work Zones
  • IRC: SP: 98-2013 – Guidelines for Use of Waste Materials in Road Construction
  • IS: 383-2016, IS: 73-2013, IS: 269-2015, IS: 2720 (Parts 5, 8, 28), IS: 456-2000, IS: 1786-2008, IS: 1199-1959, IS: 516-1959, IS: 6241-1971
  • ISO 9001:2015 – Quality Management Systems

1. Preparation for Site Quality Audit

Objective

To plan and allocate resources for effective quality audits at specified intervals or construction stages.

Steps

  1. Review Project Documents:
    • Examine the Quality Assurance Plan (QAP), Inspection Test Plan (ITP), and contract specifications (MoRTH Clause 901.1).
    • Identify critical stages (e.g., embankment, WMM, bituminous surfacing) for audits, per IRC: SP: 57-2018.
  2. Conduct Risk Assessment:
    • Identify potential quality risks (e.g., material shortages, equipment failures) using a risk matrix (ISO 9001:2015 Clause 6.1).
    • Prioritize high-risk areas (e.g., concrete pavements, MoRTH Section 600) for detailed audits.
  3. Schedule Audits:
    • Plan audits monthly or at milestones (e.g., sub-base completion), per MoRTH Clause 901.3.
    • Coordinate with contractor, client, and third-party auditors (if applicable) for site access.
  4. Prepare Audit Tools:
    • Use the Site Quality Audit Checklist .
    • Arrange testing equipment (e.g., sand replacement kit, slump cone, bitumen extractor).
    • Set up digital tools (e.g., Procore, NIC’s e-Office) for record-keeping, per MoRTH Clause 901.4.
  5. Form Audit Team:
    • Assign AE/CSC as lead auditor, supported by quality engineers, lab technicians, and third-party auditors (if required, MoRTH Clause 901.3).
    • Brief team on standards (MoRTH Sections 300-900, IS: 456, IS: 2720) and risk priorities.

Responsibilities

  • AE/CSC: Plan audit, conduct risk assessment, and lead team.
  • Contractor: Provide site access, materials, and quality records.
  • Client: Approve audit schedule and third-party involvement.
  • Quality Engineer: Assist in testing and documentation.

2. Conducting the Site Quality Audit

Objective

To verify compliance of materials, workmanship, and processes with specified standards through inspections and testing.

Steps

  1. Site Inspection:
    • Inspect ongoing/completed work (e.g., embankment, WMM, bituminous layers) for visual defects, per MoRTH Clause 902.
    • Measure layer thickness, surface regularity, and camber using tools like measuring tapes and 3m straightedges (MoRTH Clauses 305, 406, 507).
  2. Material Verification:
    • Check test certificates for aggregates (IS: 383-2016), bitumen (IS: 73-2013), cement (IS: 269-2015), and steel (IS: 1786-2008).
    • Conduct random sampling for lab/field tests if certificates are missing or doubtful (MoRTH Clause 901.2).
    • Verify use of sustainable materials (e.g., recycled aggregates, IRC: SP: 98-2013).
  3. Field Testing:
    • Perform field density tests (min. 1 test per 500 sq.m for embankment/WMM, IS: 2720 Part 28).
    • Conduct bitumen content tests (min. 1 test per 100 tonnes, IS: 6241-1971).
    • Verify concrete slump (50-100 mm, IS: 1199-1959) and compressive strength (IS: 516-1959) for PQC.
  4. Workmanship Assessment:
    • Confirm compaction (min. 95% MDD for embankment, MoRTH Clause 305.3).
    • Verify bituminous layer application (mixing temp 150-165°C, MoRTH Clause 507).
    • Check surface regularity (max. 4 mm under 3m straightedge, MoRTH Clause 902.3).
  5. Safety and Environmental Compliance:
    • Ensure PPE usage (helmets, vests, IS: 2925-1984) and dust control (water sprinkling, MoRTH Clause 111.1).
    • Verify erosion control (silt fences, MoRTH Clause 306) and waste management (MoRTH Clause 111.4).
    • Confirm traffic management (signage, barriers, IRC: SP: 55-2014).
  6. Documentation Review:
    • Verify quality control records, ITP adherence, and daily reports (MoRTH Clause 901.4).
    • Ensure digital records are backed up (e.g., cloud-based systems).

Responsibilities

  • AE/CSC: Lead inspection, verify compliance, and record findings.
  • Quality Engineer: Conduct tests and assist in documentation.
  • Contractor: Provide materials, equipment, and records.
  • Third-Party Lab: Conduct independent tests if required.

3. Identification and Documentation of Non-Conformances

Objective

To identify and document deviations from standards for corrective action.

Steps

  1. Identify Deviations:
    • Compare findings with standards (e.g., MoRTH Clauses 305, 406, 507; IS: 456).
    • Flag issues like low compaction, incorrect bitumen content, or non-compliant slump.
  2. Classify Severity:
    • Minor: Minimal impact (e.g., slight surface irregularity, MoRTH Clause 902).
    • Major: Structural impact (e.g., low concrete strength, IS: 516).
    • Critical: Immediate safety/structural risk (e.g., embankment failure).
  3. Document Non-Conformance:
    • Use the NCR format (artifact ID: d1867d3d-27b4-4f80-8321-578fd627c847).
    • Record details: location, description (e.g., “WMM thickness 60 mm vs. 75 mm”), standard violated (MoRTH Clause 406), and evidence (test reports, photos).
  4. Issue NCR:
    • For standard NCRs, issue within 24 hours to contractor and project manager.
    • For critical NCRs, issue immediately, halt work if necessary (MoRTH Clause 901.5), and notify client.
    • Log NCR in quality management system (e.g., Procore, Excel).

Responsibilities

  • AE/CSC: Identify deviations, classify severity, and issue NCR.
  • Contractor: Acknowledge NCR and provide initial response.
  • Client: Review critical NCRs and approve work stoppage if needed.

4. Root Cause Analysis and Corrective Action

Objective

To determine causes of non-conformances and implement corrective actions.

Steps

  1. Conduct Root Cause Analysis:
    • Collaborate with contractor to analyze issues (e.g., equipment failure, operator error) using 5-Why or fishbone analysis (ISO 9001:2015 Clause 8.7).
    • Review records (e.g., batching plant logs, test results).
  2. Propose Corrective Actions:
    • Specify actions (e.g., “Replace non-compliant WMM, retest density per IS: 2720”).
    • Set completion date and assign responsibilities (e.g., contractor’s site engineer).
  3. Document in NCR:
    • Update NCR with root cause, corrective actions, and verification method (e.g., retest per IS: 6241).
  4. Monitor Implementation:
    • Verify corrective actions within timeline (MoRTH Clause 901.5).
    • Conduct follow-up tests/inspections to confirm compliance.

Responsibilities

  • AE/CSC: Oversee analysis, approve actions, and monitor implementation.
  • Contractor: Perform corrective actions and provide evidence.
  • Quality Engineer: Assist in verification tests.

5. Preventive Measures and NCR Closure

Objective

To prevent recurrence and formally close NCRs.

Steps

  1. Propose Preventive Measures:
    • Identify solutions (e.g., “Train operators on bitumen sprayer calibration,” MoRTH Clause 112).
    • Update QAP/ITP with additional checks (IRC: SP: 57).
  2. Implement Preventive Measures:
    • Schedule training or maintenance (e.g., “Training on [Date]”).
    • Document implementation (e.g., “Pre-mix checklist introduced”).
  3. Verify Compliance:
    • Conduct retests (e.g., slump per IS: 1199, density per IS: 2720).
    • Confirm compliance (e.g., “Slump 80 mm, per IS: 456”).
  4. Close NCR:
    • Update NCR status to “Closed” upon verification (MoRTH Clause 901.5).
    • Attach documents (test reports, photos) and obtain signatures.
    • Archive NCR digitally (MoRTH Clause 901.4).

Responsibilities

  • AE/CSC: Approve measures, verify compliance, and close NCR.
  • Contractor: Implement measures and provide evidence.
  • Client: Review closed NCRs for major/critical issues.

6. Reporting and Continuous Improvement

Objective

To document outcomes, share findings, and enhance quality processes.

Steps

  1. Compile Audit Report:
    • Summarize findings, NCRs, and recommendations in the audit checklist.
    • Include next audit schedule and approval signatures.
  2. Share with Stakeholders:
    • Distribute reports to contractor, client, and quality control committee (via email, e-Office, or Procore).
    • Upload to project portal (MoRTH Clause 901.4).
  3. Conduct Review Meetings:
    • Hold monthly quality meetings to discuss NCR trends and preventive measures (IRC: SP: 57).
    • Update QAP based on feedback (MoRTH Clause 901.1).
  4. Change Management:
    • Review methodology annually or upon regulatory changes (e.g., MoRTH updates).
    • Document revisions with version control and client approval.
  5. Train Personnel:
    • Conduct training on standards and NCR processes (MoRTH Clause 112).
    • Use NCR case studies to improve awareness.

Responsibilities

  • AE/CSC: Prepare reports, lead meetings, and manage revisions.
  • Contractor: Participate in meetings and implement QAP updates.
  • Client: Approve reports and methodology revisions.
  • Quality Control Committee: Review KPIs and recommend improvements.

7. Tools and Resources

  • Testing Equipment: Sand replacement kit, slump cone, core cutter, bitumen extractor, compression testing machine.
  • Documentation Tools: Audit Checklist, NCR format, digital platforms (Procore, e-Office, Excel).
  • Standards: MoRTH Specifications, IRC: SP: 57, IS codes, ISO 9001:2015.

8. Key Performance Indicators (KPIs)

  • Audit Completion Rate: 100% of planned audits completed.
  • NCR Closure Rate: 95% of NCRs closed within timeline.
  • Non-Conformance Rate: Reduce major/critical NCRs by 10% quarterly.
  • Testing Compliance: 100% adherence to testing frequencies (MoRTH Clause 903).
  • Sustainability Metrics: 10% use of recycled materials where applicable (IRC: SP: 98).

9. Publication and Distribution

  • Format: Publish as a PDF document with version control and approval signatures.
  • Distribution: Share via project portals (e.g., morth.nic.in, e-Office), contractor’s quality system, and printed copies for site use.
  • Accessibility: Ensure availability to all stakeholders, including client, contractor, and third-party auditors.
  • Archiving: Maintain digital copies in project records for at least 5 years, per MoRTH Clause 901.4.

References

  • MoRTH Specifications for Road and Bridge Works (5th Revision, 2013)
  • IRC: SP: 57-2018 – Guidelines on Quality Systems for Roads
  • IRC: SP: 47-2014 – Guidelines on Quality Systems for Road Bridges
  • IRC: SP: 55-2014 – Guidelines on Traffic Management in Work Zones
  • IRC: SP: 98-2013 – Guidelines for Use of Waste Materials in Road Construction
  • IS: 383-2016 – Coarse and Fine Aggregates for Concrete
  • IS: 73-2013 – Paving Bitumen
  • IS: 269-2015 – Ordinary Portland Cement
  • IS: 2720 – Methods of Test for Soils (Parts 5, 8, 28)
  • IS: 456-2000 – Plain and Reinforced Concrete
  • IS: 1786-2008 – High Strength Deformed Steel Bars
  • IS: 1199-1959 – Methods for Sampling and Analysis of Concrete
  • IS: 516-1959 – Methods for Tests for Strength of Concrete
  • IS: 6241-1971 – Method of Test for Determination of Bitumen Content
  • ISO 9001:2015 – Quality Management Systems

Approval
Prepared By: [Insert Name, AE/CSC]
Reviewed By: [Insert Name, Quality Control Committee Lead]
Approved By: [Insert Name, Project Director/Client]

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