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How to Do a Construction Quality Control Plan Audit
Posted by Ed Caldeira

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A quality control plan audit for a construction project is the “check”

part of the “Plan-Do-Check-Act” (PDCA) process. The purpose of the audit is to see whether your quality plan
is working as intended. The best quality plan on paper isn’t a lot of good if it isn’t implemented correctly.

A QC plan audit doesn’t have to be an exhaustive process. Instead, you’ll basically be spot checking. If you find
poor quality results or areas of your plan that aren’t being followed, then you can dig a little deeper.

For example, a part of any quality plan is a schedule of inspections and tests. During your QA audit, you’ll look
to see whether those inspections are actually being done and whether they are being done correctly (in
accordance with the procedures specified in the quality plan), resulting in good reports and detection of any
nonconformance.

The goal of the audit isn’t just to generate an audit report (although if no problems are found that may be the
outcome). The goal, rather, is to generate an action plan to improve quality. What this will consist of depends
on the circumstances and the type of problems that you find.
Who Should Conduct the Quality Audit?

This depends on the size of the project. For a small project, a senior manager can conduct the audit. The
company’s quality manager should audit medium-sized projects. For the largest projects or when something
has clearly gone wrong (or when the customer requires it), a small independent team sent from the corporate
office can conduct the audit. An independent audit firm may also do your quality audit.

Procedure for the Quality Plan Audit

You should audit your quality program about once a month. It’s not necessary to audit the entire operation
under most circumstances. Instead, choose an activity that was completed recently or shortly before the time of
the audit. Go into the field and verify that the work was completed to the specifications. Knowing what work has
been completed, verify that the inspection forms and test reports were prepared in according to the inspection
and test plan.

In addition to work procedures, your auditor(s) should check to make sure all paperwork is being done
correctly. Your quality plan likely requires that reports be filed where there are nonconformance and when other
issues arise such as problems with materials. While you are on the jobsite, look for marks that inspectors made
to indicate corrections. Check to see that they completed the appropriate reports and that they are being filed
correctly – with a good match between the reports and the conditions found in the field.

Any gaps in procedures or reporting are signs of a problem and call for deeper investigation. That’s the point of
the audit: to find any problems in the implementation of the quality plan and, when they’re found, to take
corrective action.

In all cases, you want to see two things. First, that the correct procedures, as specified in your quality plan, are
being followed; and secondly, that they are being followed consistently.
You can use the checklist below, along with your project-specific or site-specific quality plan, to do a thorough
audit. (Click here to see a sample of a site-specific quality plan.) Your observations will either validate
compliance or show deficiencies.

Quality System Audit Checklist

YES NO Project Quality Coordination and Communication

A project startup meeting was conducted to communicate project goals and expectations.

Before each scheduled work task, a preparatory meeting was conducted to communicate
requirement details and coordinate work activities.

YES NO Employee Qualifications

Employee qualifications were evaluated based on previously identified requirements

 including licensing requirements, training qualifications, responsibilities, and authority for
each job position.

Field employees were trained on quality standards and procedures for their job position.

Employee capabilities were validated before employees were assigned to carry out quality
job responsibilities.

Employee qualifications, quality practices, and performance are being reviewed on an

ongoing basis as part of the employee performance management process.

YES NO Qualification of Subcontractors and Suppliers

Outside organizations’ qualifications were verified based on licensing requirements,

compliance with specific quality standards, quality responsibilities, qualification of personnel
and quality improvement processes.

Subcontractor and supplier quality performance is being evaluated on an ongoing basis.

YES NO Project-Specific Quality Standards

All relevant regulations, codes, and industry standards are available on jobsite.

Specifications for materials that meet contract as well as regulatory requirements are
available on jobsite.

Quality and certification requirements for materials and equipment that affect quality are
available on jobsite.

Measuring devices that affect quality were calibrated to special requirements when
applicable.

Contract and published standards were supplemented with company quality standards as
required to reduce quality risks and assure quality results.

YES NO Inspections and Test Plan

Inspections and tests were performed to contract specifications and industry standards.

Inspection and test results were recorded for each quality inspection and test.

Inspection and test samples were sent to independent laboratories that are certified by
nationally recognized accreditation agencies.

YES NO Work Task Quality Inspections

Required quality work task inspections were performed at key milestones during the project.

All quality inspections and quality control activities were performed for each work task as
required by the contract, industry, and company policies.

The full series of quality inspections (including before work begins, at first article completion,
 while work is in process, and at completion) were performed for each construction task.

All materials were inspected before use.

The results of each work task inspection was recorded. A copy of the inspection report is
available for review.

YES NO Quality Control of Corrections and Nonconformances

Nonconformances and rework items were marked clearly to identify them for correction.

Corrections were made in a timely manner and validated for their effectiveness.

Customer approval was received before accepting any nonconforming items.

Nonconformance items were noted for future prevention.

Standards and specifications were updated to address the causes of nonconformances.

A review was done of the effectiveness of actions that were taken to prevent
nonconformances.

YES NO Project Completion Inspections

Senior managers, independent of production, performed a rigorous inspection at project

completion.

All deviations were corrected and reinspected prior to submittal to the customer for final
review.

Management participated in the customer’s final inspection and quickly addressed issues
that were found.

Notes:    

Result

Usually, a “trigger” event found in a quality plan audit results in deeper investigation to determine why the plan
wasn’t followed correctly. When you find problems, the next step is to generate your corrective procedures. In
other words, take corrective actions.

The source of the problem may lie with company personnel, subcontractors, or suppliers. On the other hand, it
may result from an error of management, poor leadership or faulty communication. Finally, on occasion the
quality plan itself may be unrealistic or inappropriate in its approach to the specific circumstances and problems
of the project and require amendment. Depending on which of these is true, remedial action may consist of:

 Additional training for personnel in correct procedures to follow and/or disciplinary action.
 Communication with superintendents and other employees to deal with problems that haven’t
been properly addressed.
  Reconsideration of some element or elements of the quality plan to make it more appropriate to
the project being undertaken.

Audit Reports

After completing your audit, you’ll want to create an audit report. I’ve included an Audit Report Form for you to
download and use along with you checklist. Your audit report should describe what you reviewed, your findings,
and your corrective action plans, in any. If possible, you should review your audit report with the project
manager before leaving the jobsite. Click here to download your QC Plan Audit Checklist and Report Forms.

Conclusion

A quality plan is only as good as the people implementing it and their ability to work together. Until it’s properly
implemented, the plan is only a blueprint. To make it actually work for your company, you need to make sure
that the plan is being carried out as designed and intended. A monthly quality audit is a good approach to
making sure of that and to making the plan work the way it should.

Tags: quality plan, construction quality control plan, quality audit

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