PENNDOT – Engineering District 10-0
ISO 9001 Internal Audit Report
(02/06)
Department
Audit Process
Date & Time of Audit
District Structural Control Engineer
SC3
10-25-2011 (10:00am)
Auditor(s)
Audit Objectives:
1. Jeff Jordan
2. Anita Harris
To verify conformance to the SC3 process as
per current ISO manual.
Name of Auditee(s)
Auditee(s) job Function
1. Tom Knieriem
2. William Wallace
1. Structural Control Engineer
2. Senior Coatings Inspector (KTA-Tator)
Item(s) or areas audited
Procedure#SC3 Disposal of Bridge Paint Waste
Auditee Comments:
It is my opinion the audit was very thorough and the auditor’s inquiries were very specific
which lead to some very good dialogue. I agree with the auditor’s comments indicated within
this report.
Plan approved by: (Management Representative)
Tab Boyer
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PENNDOT – Engineering District 10-0
ISO 9001 Internal Audit Report
Audit Criteria
External requirements (questions)
1. What reference documents are used? Show them, Are they current?
2. Who are your external customers/vendors during this process?
3. Is feedback from external customers/vendors solicited and used for this process? If yes,
how?
4. What forms, permits, documents are required for this process? Show them, are they
current?
External requirements (answers)
1.408 specs, contract specs, project special provisions are utilized for this process. (AASHTO
& Bridge coating inspection manual were not used).
2.Carboline (paint manuf), North star (prime contractor), Envirite (Waste transporter, and
disposal), ICE (middle man, dispatcher).
3.No surveys, only the waste manifest is the direct connection between external customers
and the Dept.
4.Waste manifests are kept on file at the project site and with Tom Knieriem at the 10-0 office.
Internal requirements (questions)
1. Who is responsible for applying for the EPA ID#?
2. EPA ID# good for 45-days how is this tracked on project?
3. Has the Contractor’s waste handling plan for hauler and disposal site info been reviewed
and approved? Show us the documents.
4. Have waste containers been approved by the Dept? if yes, how?
5. Is it documented when and how many containers of waste are placed in store site? Verify.
6. Have the proper stickers for accumulated waste been received? Verify.
7. How and when is the waste containers transported to the approved disposal site?
8. How is the delivery of waste material confirmed by the approved disposal site?
9. What happens when any deviations are found during this process?
Internal requirements (answers)
1.District Structural Control Engineer (Tom Knieriem).
2.This is left up to the individual IIC on the project, this project did not have a tracking
mechanism in place at time of audit, indicated that the EPA ID# is automatically re-newed
every 45-days. It was noted that the project manager was the one requesting the renewal.
3. Yes, it was reviewed and approved by the design consultant (Michael Baker).
4. Yes, began with 55 gal drums, then went to heavy duty bags which are transported to metal
roll off containers located at the secure containment site on project. Verbally approved.
5. no tracking of waste material is completed during the loading of the metal roll off containers,
only at the time of loading to the transport to waste site (by weight of roll off container)
6. Yes, was field verified on roll off container.
7. There is no set schedule, only when roll off container is considered full, then it is scheduled
for transport. Transported by a flat bed truck with integrated weigh scales, witnessed by Dept
and manifest is signed by Dept.
8. Not witnessed by project, hauled to Ohio to disposal site, verified, and manifest is
completed and sent back to the project.
9. No deviations documented on this project, if occur then operations are stopped immediately
until corrected, and/or payments are with held until in compliance.
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PENNDOT – Engineering District 10-0
ISO 9001 Internal Audit Report
Overall Statement of Effectiveness of the Quality Management System
Areas of strength regarding ability to meet requirements- including observed BEST
Practices
1. Attachment #1 (site specific information) has been replaced with a newly developed a site
specific information excel spreadsheet to the satisfaction of the structural control engineer
& to assist with tracking.
Areas to consider for improvement:
1. It was verified in the field at the disposal containment location on project that the sticker
on the roll-off container did not have all the pertinent information i.e. (EPA ID#) and some
of the written info was illegible.
Specific observed nonconformities (Findings): If Applicable, Follow-up
Scheduled:
None
Observations and auditor comments:
o At the time of this audit this process along with the process flow map was in the middle of
re-write, and had some changes/updates to be implemented.
o Auditees were well organized, and have a very thorough understanding of this process.
o Auditors performed a field view of the project waste containment system on site and it
appears to be in-line with the process requirements.
Statement of overall effectiveness of the system:
 Overall this process seems effective however, the Bridge paint waste storage
requirements seem to change based on the quantity of waste material obtained per site.
Distribution of Audit Report:
 Manager of area audited
 A.D.E. Construction
 ISO Management Representative
Unit Manager Comments Including Follow-Up Action: (if any)

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