IQA CheckList For Proj - Site (Latest) No. SIL-QC-IQAC-S-08-Pg.1-20 Dt. 26.07.10

SIMPLEX INFRASTRUCTURES LIMITED
Audit Requirement
Internal Quality Audit Checklist (for Project Site) ISO 9001 : 2008
Project
Clients Audited by :
Consultant, if any Date of Audit :
Sl. ISO Questionnaires Answers Observations and Evidence

No. Ref. Yes No N/A
A Control of Documents and Records
1 4.1(d), 6.2.1, 6.2.2(a) Auditee's representative(s) involved in the Audit.
2 4.1, 4.2.1, 4.2.2, a) Are the Quality Manual, Work Procedure, Forms, Formats,
4.2.3, 4.2.4, 5.5.3 Process Flowcharts and Checklists issued as part of Quality
Management System (QMS) available at site as per latest copy
of List of QMS Forms and Documents ? Are these Forms &
Documents stamped 'Controlled' ? Check familiarity of sample
staff with above documents.
b) Check if in case of deviation from QMS Forms and
Documents abbreviated site name has been used in
Form/Document no. after SIL for distinction from QMS
Form/Document.
c) Check if necessity for change in QMS Form/Document from
site has been brought to the notice of MR's office by Project
Manager before making any change.
3 4.2.2, 4.2.3, 4.2.4 Has any extra copy of Quality Manual issued to Project
Manager been made ? If yes, check record of distribution, and
numbers used in these copies.
4 4.2.3, 4.2.4 a) Check if Project Manager has marked on all documents
received at site to whom to be distributed or copy to be issued
for action.
b) Check record of distribution of copy of QMS Forms and
Documents to relevant staff members at site for use and if such
copies are initialled against 'CONTROLLED' stamp by PM or his
authorised representitive.
5 4.2.4, 7.2.3, 8.2.1 Is File for correspondence with Customer maintained ? Check
whether Customer's letters are replied and status of letters with
respect to reply is mentioned on top of letters filed. Check if a
copy of all correspondences with Customer is sent to Project
Co-ordinator at Zonal / Sub-Office.
6 4.2.4, 7.2.2, 7.2.3(c) , Is there any procedure of Site Instructions issued by Customer ?
8.2.1 If yes, check if a copy is retained at PM's office and action has
been taken on all such instructions.
7 4.2.1, 4.2.3, 4.2.4, Check whether except for confidential files which may be kept
6.3(a) locked, other useful files and documents are stored properly in
almirah / cupboard / open shelf in a sequence with sticker marks
on shelves for easy identification and retrieval. (This is to be
checked in all departments / section).
8 4.2.1(c), 4.2.3(e) Check whether unique identification number and date are given
in letter and file for easy traceability and retrieval as per filing
system introduced.
9 4.2.1(c), 4.2.3(f) Check whether documents received from outside are recorded
in a register and their distribution is controlled.
10 4.2.3, 5.5.3 Is any register maintained separately for all outgoing

correspondences / documents ?
11 4.2.3, 4.2.4 Check if file covers have been printed or sheet pasted as per
format in Form No. SIL/FIL/COV/01/1.
12 4.2.3(d), 4.2.3 (f) Are documents like Technical Books, latest Codes, Journals /
Periodicals etc. received at site recorded ? Check records.
13 4.2.3(d), 4.2.4, 7.2.1 Is a copy of complete Contract Document available at site ?
NOTE : Objective evidence against each Sl. No. shall be noted by Internal Quality Auditors as much as possible.
Form No. : SIL/QC/IQAC-S/08/1 of 20
Date : 26.07.10
Audit Requirement
Project

No. Ref. Yes No N/A
14 4.2.3 (d) Check whether Drawing Register is maintained and includes the
date of receipt of all drawings with number of copies for all
revisions alongwith record of withdrawal and issue of revised
drawings.
15 4.2.3(g) Check sample drawings withdrawn with "OBSOLETE" mark and

their storage.
16 4.2.3(c), 4.2.3(d), Are current relevant Construction Drawings available at all work
4.2.3 (f), 4.2.4 locations at site ? Are changes & the current revision status
identified ? Check at random.
17 4.2.4 Check whether the drawings received from Customer /

Consultant are marked as "True Copy" and their distribution. In
case subsequent photocopies of such drawings are made,
check that those are marked as "Photocopy" and their record
including distribution.
18 4.2.3, 4.2.4 Check whether index of all drawings is pasted on inside cover of
drawing folder or list separately maintained for verification of
contents.
19 4.2.3(g) Check whether the documents that have become out of use and
superseded are prevented from any un-intended use by
promptly destroying such document. In case, however, such
documents are to be stored for any future reference
'CONTROLLED' stamp shall be properly struck and
'OBSOLETE' stamp put on these documents. Check at random.
20 4.2.3, 4.2.4 Check if there is any record of all files in use at the site in
different sections and a Master List is available with the Project
Manager.
21 4.2.3, 4.2.4 Check if the procedure of sending all useful documents on

completion of the Project to Zonal / Sub Office is being followed
or not.
22 4.2.1, 4.2.3 Check from sample if in all documents produced at site Co's
name, Name of Project, Revision Status (where applicable),
Doc. No., date, Prepared by, Checked by, Approved by have
been printed or not.
23 5.3, 5.4.1 Is Co.'s Quality Policy and Objectives displayed in Project
Manager's office and in Meeting Room where built ?
24 5.3, 5.4.1 Is a copy of Co.'s Key Quality Objectives with Action Plan and
Measurable Goal for current year available with each staff
member at Site ? Find out by sample check.
25 4.2.1 Check whether a copy of Company's Safety Manual and Safety
Policy is available at site. Find out from sample checks if the site
personnel are aware of it.
Date : 26.07.10
Audit Requirement
Project

No. Ref. Yes No N/A
26 4.2.1 Has any Safety Plan for the site been prepared and got
approved by the Customer ?
27 4.2.4 Are Safety Reports prepared regularly in given format and sent
to RO / ZO ?
28 4.2.4, 5.5.3 a) Have all kinds of accidents, if any, been reported to Zonal
Office / Registered Office as per procedure alongwith probable
cause(s) of accident ?
b) Check record of accidents (major/minor) at site in the given

format.
c) In case of fatal accident, check if a separate file is opened

and maintained till disposal of the case.
29 4.2.3(d), 7.5.1(b) Check whether a copy of relevant Instruction Manual / Job

Instruction for Plant & Equipment issued as QMS documents is
available with concerned person handling a particular machine.
30 4.2.3, 4.2.4, 6.3(b) Check whether backup for important files used in Computer are
kept in the form of CD or in another Computer elsewhere.
31 Check if Form No. SIL/QC/CNP/01/1 dt.02.01.06 'Control of

Non-conforming Product' is being used to record non-
conformances by way of rejection in-house or by Customer
including record of corrective/preventive action.
32 5.5.3 &4.1 Check if a copy of ISO 9001:2008 is available at office of

Project Manager.
33 5.5.3 & 5.6.1 Check if Project Managers and Section Heads at site are aware
of 'Summary of Decisions' taken during last Management
Review Meeting.
34 Any other relevant points noted during Audit.
Date :26.07.10
Audit Requirement
Project

No. Ref. Yes No N/A
B. RESOURCE MANAGEMENT
2 6.1, 6.2.1 a) Is site staff organisation chart available ?
b) Has site staff organisation chart met Customer's approval ?

Check from record if any post is not filled up since long and
the same reported by Customer.
3 6.1, 6.2.1 Is site understaffed or overstaffed w.r.t. approved staff

organisation ? Verify status with Project Manager.
4 5.5.1, 5.5.3 Are duties of various staff members well defined and are they
well aware of the same ? Have sample checks.
5 6.2.1, 6.2.2 Is updated bio-data of all staff members available at site ? Have
these been checked and a copy sent to Zonal / Sub Office and
to MR's office ?
6 6.2.1, 6.2.2 Is the Project Manager satisfied with the performance of all his
staff members or he has asked for replacement of any staff ?
7 6.2.1, 6.2.2 Has the Customer made any complaint about performance of
any staff member or asked for his removal from site for any
reason ?
8 6.2.1, 6.2.2 Has the Project Manager identified any training programme for
any of the staff members through Annual Appraisal Report
and/or through Training Need Intimation Form ? Check from
record.
9 6.2.1, 6.2.2 Has Introduction Training been imparted to all new entrants at
site on the basis of CD received from Training Dept. at
Z.O./Sub-office or through any other training programme ?
Check record.
10 6.2.1, 6.2.2 Has any of the existing staff members undergone any training
through inhouse, external agencies during last one year ?
Check if these are recorded in Training File maintained
separately at site.
11 6.2.1, 6.2.2 a) If training provided, has performance of staff who has

undergone training been monitored and report sent to Training
Department at RO/ZO ?
b) If yes and if post training effectiveness has not shown any

improvement has the particular staff been recommended for re-
training ?
12 5.5.3 Are contact details of all staff members available at site office to
be used in case of any emergency ?
13 6.2.2 Has any training programme on QMS requirements to ISO

9001:2008 been conducted at the site or any staff trained under
the programme elsewhere ?
14 6.3, 6.4 Is access to site establishment well marked with signs ? Are all
the units located on high ground with proper drainage facilities ?

Date :26.07.10
Audit Requirement
Project

No. Ref. Yes No N/A
15 6.3, 6.4 Are the rooms sizes provided adequate for comfortable working
of all staff members ? Are they well ventilated ?
16 6.3, 6.4 Are Computers provided in Accounts / Store and Planning

sections ?
17 6.3, 6.4 Collect details of Telephone, Fax and E-mail connection at site
alongwith Mobile Phone connection, if any.
18 6.3, 6.4 Is there any Walkie Talkie mode of communication or Intercom

facility available between different units in case of a major site ?
19 6.3, 6.4 Is any mode of communication available between concrete /

asphalt batching plant and point of placing ?
20 6.3, 6.4 Are all staff members provided with Company's transport
between workplace and their accommodation ?
21 6.3, 6.4 Are all staff members provided with Company's hired/built
accommodation in nearby town or near site ?
22 6.4 a) Check if noise and temperature are controlled at work place.
b) Are staff members at site happy in present environment of

site work ? Find out from sample checks.
23 6.3, 6.4 Are site facilities provided properly maintained ?
24 6.2.2 a) Is there any trained / qualified Safety Officer at site ?
b) Check if Safety Officers available are distributed at all

important sections of the project.
25 5.5.3, 6.4 Is there a list of Emergency-Contact Numbers of local Police,

Fire and Ambulance Department available, accessible and
clearly marked for emergency contact at prominent locations ?
26 5.5.3, 6.4 Is a list of senior personnel (Project Manager and Commercial

Manager) with address and telephone numbers available for
emergency contact by staff members at site ?
27 5.1, 6.4 a) Check if all staff and workmen required to wear safety gears
at work places are using the same.
b) Check if all Welders are using safety gloves, shields and

overalls at the time of execution of welding.
28 5.1, 6.4 Check if there is enough stock of PPEs at site and those are of
proper quality.
29 6.3, 7.6 Check whether fitness tests have been carried out for all lifting
equipments.
30 4.2.4, 6.2.2 a) Is safety induction training given to workers and their record
properly maintained ?
b) Are all staff members joining site briefed
about safety hazards on first day by Safety Officer / Project
Manager ? Enquire with some newcomers.
31 4.2.4, 6.2.2 Are regular tool box meetings delivered to workers and their
record properly maintained ?
Form No. : SIL/QC/IQAC-S/08/ 5 of 20
Date :26.07.10
Audit Requirement
Project

No. Ref. Yes No N/A
32 4.1(d), 6.3(c) Is one of Company's Cars available at site all the time when
work is in progress ?
33 6.4 Is First-Aid Kit complete with necessary medicines and

appliances available at site and locations(s) of such facility
known to site staff ? Make sample check.
34 6.4 At major site check if any arrangement with local registered

Medical Practitioner has been made for health check-up of
workers. Verify from records maintained.
35 6.4 At major site is any rest room available for giving First-Aid and
initial treatment in case of accident ?
36 6.4 Are portable fire extinguishers available in store and site offices
and are they in running condition at the time of audit ? Check by
sample operation ?
37 6.2.2 Check whether some people other than Safety Officers at site
are trained to operate Fire Extinguishers confidently in case of
emergency and record of such training is maintained.
38 6.2.2 Are safety and environment awareness banners written in Hindi

& English displayed and whether the meaning of contents are
explained to workmen ? Make sample checks.
39 6.1, 6.3, 6.4 Is intensity of lighting required for safe working provided at all
places of work at night and the same inspected on daily basis ?
Verify some of the reports.
40 6.1, 6.3, 6.4 a) Is general housekeeping at site in order ?
b) Has any Safety Park been built at site as per guidelines

given ?
41 7.2.1(d) a) Is Company's identification card given to staff and / or
workers ?
b) Check if personal details of all workers engaged by PRWs

including address and a copy of recent photograph with
signature / LTI are available at site office and the same
regularly updated.
42 6.4, 8.5.3 Has any preventive action been taken to prevent recurrence in
future of type of accident already occurred ?
43 6.3, 6.4 Is barricading provided around all excavated areas to prevent

accident ? Verify at site.
44 6.3(a), 6.4 a) Check if quality of drinking water provided to staff and

workers has been tested for suitability at least twice a year.
b) Check whether sanitation facility is provided at site / labour
camp / site staff quarters.
c) Check if separate toilet facilities are provided for female staff
and workers.
45 4.2.4, 6.4 Check if at major sites Safety Committee is formed with Project
Manager, some Construction Engineers, Safety Officer(s), one
or more PRWs representing workers and regular meetings are
held. Check minutes of meeting and if valuable suggestions are
implemented.
Date :26.07.10
Audit Requirement
Project

No. Ref. Yes No N/A
46 6.2 Check whether adequate number of Operators, Electricians,
Mechanics etc. are available or the Plant Engineer expects
anyone more.
47 6.2.2 Are Operators, Electricians, Mechanics etc. experienced for

their job or there are any complaints on any individuals
performance and asked for replacement ?
48 6.2.2 Check if in each shiftwork at least one licensed Electrician is

available at site ?
49 6.2.2 Have the Job Instructions been explained properly to Junior

category people by the Plant Engineer at site through in-house
training ?
50 6.2.2, 7.5.1(b) Check whether do's & don'ts / safety slogans / precautions are
displayed at key locations near machines..
51 6.2.1, 6.2.2 Are welder's qualification procedures being followed ? Do all

welders engaged on permanent work possess requisite
certificate ? Verify from records.
52 6.3(b), 7.6 Check if computer software used for any monitoring and
measurement at site satisfied the intended application and if the
same is original version of the package or not.
53 6.2.2, 6.4 a) Check to ensure that Safety Engineer / Officer of one unit has
not conducted audit of his own unit.
b) Check if recommendations in Safety Audit have been

complied and record is maintained.
c) Check if in Safety Audit Reports record of photographs of

both status of non-compliance and post compliance is
maintained.
54 Any other relevant findings during Audit.
Date :26.07.10
Audit Requirement
Project

No. Ref. Yes No N/A
C Project Planning, Administration and Execution
2 4.2.4, 7.4.1 Is a copy of pre-qualification record of Sub-contractors / PRWs

working at site prepared and available in record ?
3 7.4.1 Check whether all Sub-contractors / PRWs have been pre-

qualified before issue of Work Order.
4 4.2.4, 7.4.1 Is an approved List of Sub-contractors / PRWs maintained and

available at site ? Check whether list includes their name,
address and telephone No. alongwith the type of works they are
engaged in.
5 4.2.1, 7.1(b), 8.2.3 Has resource based detailed Project planning been done and
approval obtained from Customer ? Is it regularly monitored and
updated for all major activities based on commitments made to
Customer ? Check the latest one.
6 4.1(d), 4.2.1(d), Are Material, Equipment, Staff and Labour requirement

6.2.1, 7.1, 7.5.1(f) schedules prepared and up-dated periodically ? Check the
latest one.
7 4.1(b), 4.1(e), Is monthly construction schedule prepared for execution

4.2.1(d), 7.1, purpose ? If yes, check the current one and corrective action
7.5.1(e), 8.5.2 taken to make-up slippage, if any ?
8 6.3(b) Is construction scheduling done through Computer software ?

Which authentic Package is in use ?
9 7.1(b), 7.2.1, a) Check whether Method Statements / Work Procedures have

7.5.1(b), 8.2.3 been prepared for all major items of works and got approved by
Customer's representative prior to start of construction.
b) Are Construction Engineers well aware of the Method

Statements / Work Procedures approved / adopted including
revisions, if any ?
c) Check from Project Manager if any work is being executed

on the basis of verbal instructions which are still not confirmed /
revised in Work Procedure / Work Instructions.
10 4.2.4 Check whether data for As-Built Drawings are regularly sent by
Construction Engineers. Also check status of submission of As-
Built drawings, if included in Contract.
11 5.2, 7.2.3, 8.2.1 Is Customer happy with performance so far on the project and
any letter of appreciation received ?
12 7.2.3, 7.5.1 Is the project on schedule or there is any slippage ? If behind

schedule, has any application for extension of time been
submitted and also granted ?
Date :26.07.10
Audit Requirement
Project

No. Ref. Yes No N/A
13 6.1, 7.1, 7.2.3, 7.5.1, Check whether progress review meeting is being held with
8.2.1, 8.5.2 Customer and at what intervals. Check some records of
discussions and Customer's complaints on mobilisation and
progress, if any, including corrective action(s) taken.
14 4.2.4, 5.5.3, 7.1, a) Check whether progress report is being prepared and sent to
7.2.3 Zonal / Sub-office (and to Customer, if applicable) at regular
intervals. Verify some of the records.
b) Check if In monthly progress reports where submitted in

'Summary of Changes' cumulative figures both upto previous
month and end of current month have been stated.
c) In case there is a shortfall against target, check if reasons
attributable to both Customer and SIMPLEX have been
analysed and recorded.
15 4.1(e), 7.1, 7.5.1(e), Is daily monitoring of the construction schedule done in meeting
8.2.3 between the Project Manager and concerned staff members ?
16 7.5.1(e), 8.4 a) Check if a daily target for progress at site is fixed.
b) Is gap identification done between daily work planned &

actually executed ? Are reasons investigated and remedial
actions taken ?
17 5.5.3, 6.1 In case mobilisation of additional resources is necessary for
completion of Project on schedule, has it been communicated to
Zonal / Sub Office through Project Co-ordinator ?
18 4.2.4, 5.5.3, 8.2.3 Check whether records of internal progress review and resource
requirement meeting held fortnightly between Project Manager
and site staff in QMS Form SIL/ISR/ROD/00/1 to 3 maintained
including 'Action by', 'Target date' and 'Verified by'. Verify
minutes of some recent meetings.
19 8.5 Are effective actions being taken on the basis of internal

progress review meetings ?
20 7.2.1(c) a) Check whether statutory and regulatory requirements list has

been prepared as applicable in the particular State of location of
the Project and verify their compliance and updating from site
records.
b) Check if a copy of compliance status is being sent regularly

to Project Co-ordinator.
21 5.5.1, 7.2.1(a) Is copy of latest valid Authorization Letter / Power of Attorney in

favour of the Project Manager available at site ?
22 4.2.3(c), 7.2.1(c) Are documents on registration and insurance of Co. owned

vehicles at site updated ?
23 4.2.3(c), 7.2.1(c) a) Is copy of valid Labour License available at site ?
b) Is any under-aged engaged in work ? Make sample check.
24 4.2.3(c), 7.2.1(c) a) Check whether copy of valid Workmen Compensation Policy

is available.
b) Is any claim towards Workmen's Compensation pending ?
25 4.2.4 Check whether Daily Labour Allocation Report is maintained.
Form No. SIL/QC/IQAC-S/08/9 of 20
Date :26.07.10
Audit Requirement
Project

No. Ref. Yes No N/A
26 7.2.1 ( c ) Is labour wages register maintained by PRW and Sub-
contractor for their workers ?
27 7.2.1(c) Are any cases / complaints with Police / Octroi / Excise / Sales
Tax / Labour Court etc. pending ?
28 7.2.1 (a) a) Check whether a copy of Contractors All Risk (CAR) Policy is
available, if specified in contract.
b) In case provision of CAR is not included in contract, check if

cover is taken on other insurances specified in contract.
29 7.2.1( c ) Check whether details like number of workers engaged,

minimum wages rates, labour licence issue authority etc. are
displayed in Notice Board as per local rules / contract
requirements.
30 6.3(a) Check if identification to all site facilities i.e. office, store, quality
lab etc.has been given by writing with paint or with stickers.
31 7.2.3 Check whether the delay in possession of site / issue of working

drawings / approval of design / removal of obstructions etc. has
been notified to Customer well in time (if applicable).
32 7.2.3 Are Notices of Claims issued to Customer in time (if

applicable) ?
33 7.2.3 Check whether the delay in certification of bill and receipt of

payment against provision in Contract, if any, brought to notice
of Customer.
34 7.2.1, 7.2.2 Check if extra items of work are notified and rate analysis
submitted to Customer for approval in time preferably before
execution of work.
35 7.2.1, 7.2.2 Check whether the increase / reduction in BOQ quantities and /
or total Contract Value has been notified to Customer well in
advance (if applicable).
36 4.1(d), 5.1(e), Are equipments mobilised according to contract requirement ?

7.5.1(c) Was any approval of Customer obtained on the list of equipment
proposed to be mobilised ?
37 4.2.4 Check list of mobilised Plant & Equipment available at site with
its rating / capacity and their current running status.
38 4.2.4, 7.5.1 a) Are maintenance norms and procedure for routine and
preventive maintenance being followed as per Instruction
Manual and Job Instructions for Plant & Equipment issued as
QMS documents ? Records of ________ machines checked
and no delay / miss-out noticed.
b) Check from records if preventive maintenance plan of all
motors in use at site has been prepared and the same is being
effectively implemented.
c) Check if maintenance records of hired major machines are
being kept in record.
Date :26.07.10
Audit Requirement
Project

No. Ref. Yes No N/A
39 7.2.3, 8.2.1 Was any complaint received from Customer about frequent
breakdown of any major Plant affecting progress of work ? If
yes, check from records what corrective action was taken and if
such action was intimated to the Customer.
40 4.2.4, 7.5.1 a) Is Equipment History Card (EHC) for each machine as per
QMS Form issued being filled up and maintained ?
b) Check if EHC of each machine is being sent with the

machine when transferred.
41 4.2.4 Are Fuel & Oil consumption limits chart set by P&M Dept.,
Regd. Office available at site for all major plants ?
42 8.4, 8.5 Check whether actual consumption of Fuel & Oil is maintained
and action taken, if Fuel / Oil consumption is found more than
limit.
43 4.2.1(d), 4.2.4, 7.5.3 a) Are spare parts codes available at site ?
b) Check if actual values of Insulation resistance for different

machines in use are recorded.
44 4.2.1(d), 4.2.4, 7.5.1 a) Is the QMS Form 'Daily Equipment Maintenance schedule
submitted on monthly basis' issued beingfilled-up for all
equipment and sent to RO/ZO as per procedure ? Check
samples.
b) Check if frequency of different maintenance services in each

major machine is being strictly followed as per manual.
c) Check if in maintenance records 'R' for replacement and 'O'

for OK being entered instead of ticking only.
45 7.5.1(e), 8.4, 8.5 Is effective action taken to increase the plant utilisation ?
46 4.2.1(d), 4.2.4, 7.5.1 a) Is the QMS Form 'Details of Machine breakdown during the
month' being filled-up regularly at site and report being sent to
RO/ZO as per procedure ? Check samples.
b) Check if type of maintenance is mentioned in Report as of

'Stop-gap' nature or 'major'.
47 5.5.3, 7.5.1, 7.5.2(b) Has any report been sent by Plant Manager at site to registered
office / zonal office for discontinuing a machine and its
replacement by a new one on the basis of its maintenance
history ?
48 7.5.1, 7.5.2 Is there any complaint about any particular model of equipment
based on its low performance, frequent breakdown records and
high maintenance cost compared to other models of the same
equipment ? If yes, has it been reported to Registered Office /
Zonal Office ?
49 7.1, 7.5.1, 7.5.2 i) Check if release of plant from site has been made as per plan
given to P&M Dept., RO/ZO.
ii) If not, check if revised plan has been sent along with reasons
for delay in release.
Date :26.07.10
Audit Requirement
Project

No. Ref. Yes No N/A
50 7.1(c) , 7.5.2(c) a) Check if Bar Bending Schedule (BBS) is prepared by
Authorised Representative and if a copy is passed on to
Reinforcement Foreman. Also check if first sample bar cut &
bent is verified by concerned Construction Engineer with his
own copy of BBS.
b) Check from sample BBS if degree of angle has been

mentioned when different from 90°.
51 4.2.4, 7.5.1 a) Check whether Daily Works Diary (with serialled page
numbers) is maintained by all Engineers at site to record
important information, brief specifications etc ?
b) Check if record is maintained of names of Section-in-charge
involved in construction of various component structures in the
project from beginning till end.
52 4.2.4 Check if all Inspection Checklists are available at points of use,
explained to persons using the same, properly filled-up and
records maintained. Check from samples.
53 7.2.2 Check if for variation order/extra items involved intimation is

being given by Project Manager to Project Co-ordinator at Z.O.
in Form No. SIL/CRP/02/3 Part-C.
54 4.2.4, 7.2.3 Check if any interim certificate during execution and completion
certificate on completion of Project have been collected from
Customer as a measure of Customer Satisfaction.
55 7.2.3, 8.2.1 Has any 'Customer Feedback Request Form' received through
Project Coordinator been submitted to Customer for filling-up at
least once a year since start of project and on completion of
project ? If yes, check if filled-up Form is satisfactory.
56 7.1(d), 8.2.3, 8.3 a) Check various structures and components if there are any
cracks, honeycombs, joint marks, loss of slurry, out of plumb /
location and any such ir-regularities.
b) Check if route cause analysis has been done,
corrective/preventive action taken and monitoring of such action
done.
c) Check if PRW's workers have been given training on use of

cover blocks and the same recorded.
57 7.4.1, 8.4 Is performance review of Sub-contractors / PRWs being done in
QMS Format SIL/PR/PRS/04/1&2 and forwarded to Project Co-
ordinator at Zonal Office ?
58 7.4.1 Check if 'Lessons Learnt' from the project particularly on poor

performance of Architects, Consultants, Suppliers, Sub-
contractors and PRWs and due to reasons of adverse nature
during execution of works including those of specialized nature
have been intimated to 'Central Repository' at RO with a copy to
PC.
59 4.2.4, 7.5.1 Check if component parts of Batching Plant and other Plant
installations are secured properly, readings on all fixed
instruments are legible and can be sighted by the respective
Operator from his seat and all these are properly maintained.
60 7.2.1 Check if post completion requirements as per contract e.g.

guarantees and maintenance obligations are being fulfilled for
component structures already completed and similar provisions
planned for entire project on completion.
61 4.1, 7.5.1,7.5.2 Check for the specific outsourced activities, if any, and whether
relevant controls are exercised over the same.
62 7.2.3, 8.2.1 Any other relevant point noted during Audit.

Date :26.07.10
Audit Requirement
Project

No. Ref. Yes No N/A
D Purchase & Store Management
2 4.2.4, 7.4.1 Are forms pertaining to "Questionnaire for Supplier / Sub-

contractor / PRW" and Checklist related to pre-qualification
available ?
3 4.2.4, 7.4.1 Is a copy of pre-qualification record for Suppliers working at site
prepared and available at site ?
4 4.2.4, 7.4.1 In case Suppliers are pre-qualified by Zonal / Sub-Office, a copy

of list of such pre-qualified parties shall be made available at
site. Make sample check.
5 7.4.1 a) Check whether all Suppliers have been pre-qualified before
issue of Purchase Order.
b) Check if any new Supplier has been engaged in recent past

and if order has been placed on him for token quantity before
performances are established.
6 4.2.4, 7.4.1 Is an approved list of Suppliers maintained & available at site ?
Check whether list includes their name, address and telephone
number along with the list of items being supplied / works being
executed ?
7 4.2.4, 7.4.2 a) Check if planning for requirement of major materials for a
month is done in advance and intimated to ZO/RO for
processing the same.
b) Check whether proper Indents are prepared from site with

complete information about material i.e. required quantity,
relevant specifications of material including the year of
publication of relevant code where applicable and the required
delivery date before forwarding the same to the Purchase
Department at RO/ZO. Verify some samples.
c) In case of phased supply of materials, check if quantity and

required date of supply are both mentioned in indents.
d) Check if any indent was returned from ZO for lack of

complete information or otherwise.
8 4.2.4, 7.4.2 a) Check whether complete information related to supplies are

sent to suppliers while sending enquiry. Verify some records.
b) Check if in case of bags of cement in indent / enquiry content

in Kg. and type of packing are maintained.
9 7.4.2 Check whether necessary tests, special checks and controls in
processes involved if any inspection requirements and
inspection locations are mentioned on Purchase Order. Verify
some samples.
10 7.4.1 Check whether minimum 3 (three) Quotations are obtained,
comparative statement prepared, recommendation made and
got approved by PM before preparing Purchase Order. Verify
some records.
11 7.4.2 a) Check whether Purchase Order issued includes complete
details including name of brand / manufacturer where specified
and terms & conditions including if Manufacturer's Test
Certificate is 'To be furnished ' or 'Not required'. Verify some
samples.
b) In case LOI is issued prior to issue of Work /Supply order

check if replacement of LOI is mentioned in subsequent order
issued.
c) Check if variation p.c. in quantities mentioned in ERP format

of supply / work order is elaborated.
12 4.2.4 Check whether site is maintaining copy of purchase order/s

issued for local purchases and those ordered from Z.O..
Date :26.07.10
Audit Requirement
Project

No. Ref. Yes No N/A
13 4.2.4, 7.4.1 a) Are all materials being received in time ? Is list of pending
Indent maintained ? Check if there is any unusual delay in
delivery affecting progress of work and reasons for delay
recorded.
b) Is Daily Material Receipt Report for major materials being

sent from site to ZO as per format issued ?
14 7.5.5 Check whether handling and storage of major materials are in

order from receipt till used-up. Verify if any damage during
handling and storage has taken place.
15 7.5.3, 7.5.5 Check whether identification and traceability is there for major
materials in the store racks and yard.
16 6.4 Check the general housekeeping and safety requirements at

store.
17 6.3 (a), 6.4 Are storage racks properly built and stable ?
18 6.4 In case any material is stored overhead, check that it is tied

properly.
19 6.3(a), 7.5.5 Are gas cylinder storage sheds properly made and maintained ?
20 6.3(a), 7.5.5 Is storage of fuel and other inflammable material separately

made and maintained ?
21 6.3(a), 7.5.5 Check if cement is stored as per specification.
22 6.3(a), 7.5.5 a) Check if useable reinforcement bars are stored properly and
separately from cut-pieces while cut-pieces kept separately in
scrap bin.
b) Check if access to reinforcement stockyard is maintained

properly.
c) Check if identification of reinforcement bars at yard is done

with batch no. in suitable temporary tags till receipt of
satisfactory test results from manufacturers or through approved
external laboratory.
23 7.5.5 Is 'First come First use' principle being followed in issue of all
materials ?
24 7.5.5 Are all materials with specified shelf life being used within the
mentioned period ? Check if there is any wastage on this
account.
25 4.2.4, 8.2.3 a) Check if minimum stock level of major materials to be

maintained at site has been determined and intimated to
concerned people for awareness. Verify from records.
b) Check whether status of major materials i.e.receipt,

consumption and stock is updated on a daily / weekly basis and
others on monthly basis. Verify from records.
26 4.2.3(e), 7.4 Check whether upon receipt of material, PO number is written

on challan copy. Relevant stamp used on challan shall include
P.O. No. and date. Verify from records.
27 4.2.4 Check whether status of plants, tools, spares, office equipments

and furniture available at site updated. Verify some statements.
Date :26.07.10
Audit Requirement
Project

No. Ref. Yes No N/A
28 8.3 a) Are rejected materials, if any, identified and stored
seperately to stop use before removal from site ?
b) In case progress of work is affected by large p.c. of rejection

has it been reported to Z.O. ? Check from record action taken.
29 8.3 Has any bought out item/machine/spare part been received in

damaged condition ? If yes, check how the same has been
replaced.
30 7.4.1 a) Check if any equipment has been defective during warranty

period and what action has been taken on that ?
b) Check if service report from Service Engineer for any major
machine found defective during warranty period is available in
record at site.
31 7.5.4, 7.5.5 Are receipt, storage, consumption and reconciliation of
Customer supplied materials recorded separately ? Check
reconciliation status and if wastage recorded is within specified
limits.
32 4.2.1(d) Are all materials issued against material requisition ? Check

some samples.
33 4.2.1(d), 8.2.3 a) Check whether Debit Notes in standard format are being
prepared towards recovery against use of Company's tools and
materials by Sub-contractor's / PRWs and those are in order.
b) Check if a copy of Requisition Slip is enclosed with Debit

Note sent to Accounts Section by Construction Engineer / Store.
34 4.2.1(d), 4.2.4, 7.5.1 Are gate passes issued & maintained before sending-out any
material from site premises ?
35 4.2.4, 7.4.3, 8.2.4 a) Are manufacturer’s test certificates (MTC) available for
manufactured goods and are they correlated with challans to
which such materials correspond ? Verify from records.
b) Are all MTCs ' Verified and Reviewed ' by Quality Control
Engineer at Site ?
36 7.5.5 What is the frequency of physical verification of stock done at

site ? Check the last stock verification and note percentage of
discrepancy of major materials.
37 7.4.1, 8.4 a) Is Supplier's Performance Review being done as per the

frequency defined in Doc. No. SIL/PR/PRS/04/1&2 and
forwarded to Zonal Office ?
b) In case performance is poor, check from record if the

Supplier has been informed about the same.
38 7.4.1, 8.4, a) Has any Supplier, Sub-contractor / PRW been disqualified

based on bad performance so far ?
b) If yes, check if unsatisfactory performance was brought to

the party's notice and requested for improvement before
termination.
39 Any other relevant findings during Audit.

Date :26.07.10
Audit Requirement
Project

No. Ref. Yes No N/A
E Quality Control, Analysis and Corrective Action
2 Quality control organisation, in case of a major project site.
6.2.1, 6.2.2(a)
3 4.2.3, 7.2.1, 7.2.3, Check whether Integrated Test Plan / Field Quality Plan has
7.5.1, 8.2.3 been prepared in accordance with Contract requirements and
got approved by the Customer.
4 4.1(e), 7.2.1, 7.5.1, Are test formats given in QMS being followed or formats
8.2.3 supplied by Customer in use ?
5 4.2.4, 8.2.3 Check from records whether tests are being conducted and all
Quality records being maintained as per Integrated Test Plan /
Field Quality Plan approved by the Customer.
6 4.2.4, 7.1(d), 8.2.4 a) Check whether Control Chart for Tests are being maintained
properly to identify if there had been any rejection and
percentage of the same.
b) Check how rejections of material during test if any, have

been dealt with.
7 7.1(d), 8.2.1, 8.2.4, a) Check from random samples if all concrete cubes in curing
8.3 tank have identification mark and date of casting printed/painted
on surface.
b) Check if if persons engaged in preparation of concrete

cubes, demoulding, putting in curing tank and finally testing
have been trained for the job by questioning / observing action
on field where possible.
c) In case cube strengths have not satisfied acceptance criteria

what remedial action has been proposed for Customer
Satisfaction ? Check if there is any such occurrence.
8 7.1(d), 8.2.4, 8.3, 8.4 Are any non-destructive tests in use at the Project site ? If yes,
check reasons and verify the test results.
9 6.3, 7.6(e) Check whether environment provided in the laboratory is

suitable for storage and use of testing equipment.
10 6.3, 7.6(e) Are the Curing Tanks properly maintained ?
11 7.6 Check whether following calibrated measuring devices are

available at site.
One steel tape of 3mtr and another of 15mtr long.
One gauge meter.

One vernier calliper.
One micrometer.

Date :26.07.10
Audit Requirement
Project

No. Ref. Yes No N/A
12 4.2.4, 7.1(d), 7.6 a) Check whether latest and valid Calibration Certificates with
respect to all measuring instruments / equipments in use at site
are maintained.
b) Check if a copy of traceability record of equipment of

national / international standard used in calbiration of testing
equipment has been issued by calibration agency and the same
is available in file.
c) Check whether Form No. SIL/QC/CAL/02/1 dt. 02.01.06 is
used to record calibration status of all testing equipments at site.
d) Check if all testing equipments used at site have

Identification (ID) Mark / No.
e) Check from record if permissible error for each measuring /

testing equipment has been decided.
13 7.1(d), 7.6 Are all weights and weighing balances being used at site
calibrated ?
14 7.6 Check if calibration test of pressure gauge includes readings in

both increasing and decreasing order of pressure for gauges
used in Pile load test / Plate bearing test.
15 7.6(d) Check whether calibrated equipments are safeguarded from

adjustments that would invalidate calibration.
16 4.2.4, 7.4.3, 8.2.4 Check whether following Quality Records are available and
easily traceable. Verify some samples.
a) Manufacturer's Test Certificates (MTC) for
(i) Steel Reinforcement

(ii) Cement
(iii) Admixtures
(iv) Other important manufactured items
b) Check if all MTCs and results of Third Party tests in record are
'Verified and Reviewed' by Quality Control Engineer at Site
before filing them.
c) Third Party Tests conducted as per contract requirement or
otherwise.
17 7.1(d), 7.4.3 Are materials inspected by QC Engineer at the time of receipt at

site and necessary checks made ?
18 7.1(d), 7.4.3, 8.2.4 Are materials being used only after getting manufacturer's test
certificate or satisfactory result in tests in in-house or external
laboratory ?
19 7.1(d) Are all structures and foundations as installed within specified

tolerances ?
20 7.2.3, 8.2.1 Check if there is any Customer complaint on finished structure.
21 8.3 Check if any non-conforming product is detected.
22 8.4 Has the root cause been analysed for such non-conforming
products, if any ?
Form No.: SIL/QC/IQAC-S/08/17 of 20
Date :26.07.10
Audit Requirement
Project

No. Ref. Yes No N/A
23 8.5.2 Check whether Corrective action has been taken towards
Customer's acceptance of non-conforming products.
24 8.3 Check whether repaired products are re-inspected and

accepted by Customer without any complaint or without
imposing any penal recovery.
25 8.5.3 Check whether Preventive action has been taken towards re-
occurrence of non-conforming products.
26 8.3 i) Check if any non-conforming structure or its component has

been rejected by Customer and replacement ordered.
ii) Check if QMS Form SIL/QC/CNP/01/1 has been filled up to

record such occurrence.
27 7.5.3 Are all structures identified and traceable ?
28 7.4.1, 7.6 Are the external agencies engaged in Radiography, Pile

integrity and other Non-destructive tests having requisite
competency certificates ? Check records maintained for the
same.
29 7.1(d), 7.2.1, 8.2.4 Is any load test on structure included within the scope of work ?
If yes, verify test results.
30 8.3 For any non-conformance product has any penal recovery been
imposed by Customer ? Verify records.
31 7.6 Any other relevant points noted during Audit. Check if ongoing
suitability of all monitoring and measuring software in use has
been verified prier to use.
32 8.2.2 Check if records of Internal Quality Audit including

corrective/preventive actions are maintained till completion of
the project.
33 Any other relevant points noted during Audit.
Date :26.07.10
Audit Requirement
Project

No. Ref. Yes No N/A
Date :26.07.10
Audit Requirement
Project

No. Ref. Yes No N/A

Date :26.07.10

IQA CheckList For Proj - Site (Latest) No. SIL-QC-IQAC-S-08-Pg.1-20 Dt. 26.07.10

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SIMPLEX INFRASTRUCTURES LIMITED

Sl. ISO Questionnaires Answers Observations and Evidence

10 4.2.3, 5.5.3 Is any register maintained separately for all outgoing

13 4.2.3(d), 4.2.4, 7.2.1 Is a copy of complete Contract Document available at site ?

Sl. ISO Questionnaires Answers Observations and Evidence

15 4.2.3(g) Check sample drawings withdrawn with "OBSOLETE" mark and

17 4.2.4 Check whether the drawings received from Customer /

21 4.2.3, 4.2.4 Check if the procedure of sending all useful documents on

Form No. : SIL/QC/IQAC-S/08/2 of 20

Sl. ISO Questionnaires Answers Observations and Evidence

b) Check record of accidents (major/minor) at site in the given

c) In case of fatal accident, check if a separate file is opened

29 4.2.3(d), 7.5.1(b) Check whether a copy of relevant Instruction Manual / Job

31 Check if Form No. SIL/QC/CNP/01/1 dt.02.01.06 'Control of

32 5.5.3 &4.1 Check if a copy of ISO 9001:2008 is available at office of

34 Any other relevant points noted during Audit.

Form No. : SIL/QC/IQAC-S/08/3 of 20

Sl. ISO Questionnaires Answers Observations and Evidence

2 6.1, 6.2.1 a) Is site staff organisation chart available ?

b) Has site staff organisation chart met Customer's approval ?

3 6.1, 6.2.1 Is site understaffed or overstaffed w.r.t. approved staff

11 6.2.1, 6.2.2 a) If training provided, has performance of staff who has

b) If yes and if post training effectiveness has not shown any

13 6.2.2 Has any training programme on QMS requirements to ISO

Form No. : SIL/QC/IQAC-S/08/4 of 20

Sl. ISO Questionnaires Answers Observations and Evidence

16 6.3, 6.4 Are Computers provided in Accounts / Store and Planning

18 6.3, 6.4 Is there any Walkie Talkie mode of communication or Intercom

19 6.3, 6.4 Is any mode of communication available between concrete /

22 6.4 a) Check if noise and temperature are controlled at work place.

b) Are staff members at site happy in present environment of

23 6.3, 6.4 Are site facilities provided properly maintained ?

24 6.2.2 a) Is there any trained / qualified Safety Officer at site ?

b) Check if Safety Officers available are distributed at all

25 5.5.3, 6.4 Is there a list of Emergency-Contact Numbers of local Police,

26 5.5.3, 6.4 Is a list of senior personnel (Project Manager and Commercial

b) Check if all Welders are using safety gloves, shields and

Sl. ISO Questionnaires Answers Observations and Evidence

33 6.4 Is First-Aid Kit complete with necessary medicines and

34 6.4 At major site check if any arrangement with local registered

38 6.2.2 Are safety and environment awareness banners written in Hindi

40 6.1, 6.3, 6.4 a) Is general housekeeping at site in order ?

b) Has any Safety Park been built at site as per guidelines

b) Check if personal details of all workers engaged by PRWs

43 6.3, 6.4 Is barricading provided around all excavated areas to prevent

44 6.3(a), 6.4 a) Check if quality of drinking water provided to staff and

Form No. : SIL/QC/IQAC-S/08/6 of 20

Sl. ISO Questionnaires Answers Observations and Evidence

47 6.2.2 Are Operators, Electricians, Mechanics etc. experienced for

48 6.2.2 Check if in each shiftwork at least one licensed Electrician is

49 6.2.2 Have the Job Instructions been explained properly to Junior

51 6.2.1, 6.2.2 Are welder's qualification procedures being followed ? Do all

b) Check if recommendations in Safety Audit have been

c) Check if in Safety Audit Reports record of photographs of

54 Any other relevant findings during Audit.

Form No. : SIL/QC/IQAC-S/08/7 of 20

Sl. ISO Questionnaires Answers Observations and Evidence

2 4.2.4, 7.4.1 Is a copy of pre-qualification record of Sub-contractors / PRWs

3 7.4.1 Check whether all Sub-contractors / PRWs have been pre-

4 4.2.4, 7.4.1 Is an approved List of Sub-contractors / PRWs maintained and

6 4.1(d), 4.2.1(d), Are Material, Equipment, Staff and Labour requirement

7 4.1(b), 4.1(e), Is monthly construction schedule prepared for execution

8 6.3(b) Is construction scheduling done through Computer software ?