PMC · Client, consultant and contractor
SOR & NCR: deliverables, expectations and verified closure
What the client should get from the Project Management Consultant, what the contractor should expect from the consultant, and the evidence the organisation needs before calling a non-conformance closed.
A shared standard of service and evidence
PMC means Project Management Consultant here. If the appointment uses OMC or another title, confirm its meaning, scope and delegated powers in writing. Neither the title nor this guide overrides the executed contract.
What the client should receive from the PMC
| Deliverable / expectation | What good looks like |
|---|---|
| Agreed mandate | Written scope, delegated authority, named decision-makers, review periods and escalation routes; clear separation of PMC, designer and contractor duties. |
| Reliable registers | A linked SOR/NCR register with unique references, exact locations, requirements, owners, agreed dates, current status and evidence links. |
| Independent assurance | Inspection and test records against approved acceptance criteria; designer, specialist and authority acceptance where applicable, not just contractor assurances. |
| Visible exposure | Open major/systemic items, overdue and repeat findings, authority blockers and recorded cost/programme impact. Unknown amounts remain unknown, not zero. |
| Decision-ready reporting | A dated weekly exception list and monthly trend pack, stating the population, reporting period, verified closures, evidence gaps and decisions required. |
| Traceable handover | A signed closure certificate and indexed dossier for each closed NCR; an explicit open-item schedule, authority instruments, updated as-builts and residual-risk owners. |
SOR or NCR—not interchangeable
| Instrument | When to use it | What closes it |
|---|---|---|
| SOR · Site Observation Report | An early observation, shortfall or potential deviation not yet established as a formal non-compliance. Record the facts, owner and due date. | Proportionate evidence and a recorded verification decision; convert to an NCR when a confirmed breach or repeat pattern warrants it. |
| NCR · Non-Conformance Report | A confirmed breach of an approved requirement: failed test, rejected inspection, missed hold point, unapproved material or concealed deviation. | Defined correction, root cause and preventive action where warranted, objective re-verification and the required approvals and closure dossier. |
Safety, structural stability or statutory concerns require immediate containment and escalation to the competent authorised parties. Do not wait for a score, a due date or a prescribed escalation rung.
Seven gates for major NCR closure
Apply these gates to major findings and to authority-linked, designer-linked or concealed-work items. Record why a gate is not applicable rather than leaving it blank. A photograph alone does not prove hidden work, system performance or structural compliance.
| Gate | Decision | Evidence to hold |
|---|---|---|
| G1 · Requirement | Fix the requirement and objective acceptance criterion | Clause, specification, approved drawing revision, ITP hold point or applicable code. |
| G2 · Containment | Bound the extent and control the affected work | Dated containment record, marked extent, photographs and hold/release reference. |
| G3 · Root cause | Identify a controllable system cause | Evidence-based five whys or equivalent analysis; not just ‘carelessness’ or ‘subcontractor error’. |
| G4 · CAPA | Complete corrective and preventive actions | Named owners, measurable actions, dates and proof that the preventive control is effective. |
| G5 · Verification | Re-inspect or re-test against the criterion | Results, method, date, competent verifier, calibration and witness records where required. |
| G6 · Acceptance | Obtain designer/authority acceptance where applicable | The required approved drawing, assessment, inspection record, NOC or certificate; PMC inspection is not a substitute. |
| G7 · Dossier | Index the evidence and update the controlled records | Signed certificate, evidence index, as-built/handover updates and traceable register entry. |
The client’s closure and handover pack
- Original SOR/NCR, revisions, requirement reference, extent, location and containment history.
- Accepted rectification method, root cause and CAPA with accountable owners and effectiveness evidence.
- Inspection/re-test results, dates, acceptance criteria, calibration, witnesses and material traceability as applicable.
- Designer assessment and the authority’s own acceptance instrument where required.
- Signed closure certificate, numbered evidence index, controlled transmittal, updated as-builts and handover records.
- Explicit open restrictions, unresolved items and residual risks with an owner, monitoring plan and next review date.
If an earlier closure cannot be substantiated
Preserve the original unaltered. Record an evidence gap, arrange competent independent review and proportionate testing, and issue a dated supplementary retrospective certificate. State “verified compliant”, “non-compliant” or “unable to verify” with the basis and limitations. Do not backdate, delete the earlier record or claim that a certificate removes liability.
Risk alerts support judgement—they do not grant approval
The supplied pack combines workbook formulas, a SQL/Python review and an optional scheduled run. Its critical/high/watch/low bands and cost, delay and ageing thresholds are management assumptions to validate for each project, not statutory limits.
| Phase | Priority review |
|---|---|
| Permits and design | Open authority/NOC-linked findings, overdue design/permit responses and missing acceptance instruments. |
| Construction | Major/systemic overdue findings, repeats, concentrated trade failures, containment and recorded commercial exposure. |
| Testing and commissioning | Fire/MEP blockers, absent test records, missing verification dates and unsupported closure certificates. |
| Handover | Open acceptance blockers, unverified closures, dossier completeness and outstanding authority instruments. |
| Post-handover | Residual stability/safety concerns, missing evidence, monitoring dates, repeated failures and CAPA effectiveness. |
These downloads are reference tools, not a live connection to your organisation’s records. The site does not run the uploaded SQL/Python, import sample records or email scheduled alerts. Have your authorised team validate the runner and mappings before using real project data.
Supplied reference library
Source references: PMC-QA-ART-001, PMC-QA-AUD-004 and PMC-QA-SQL-005. Files are supplied reference materials, not authority approvals or verified project records. The workbook and generated report contain illustrative examples; remove them before issue. Replace placeholders and agree project response periods.
- Download
SOR and NCR practitioner article
PDF · Source guidance on classification, responsibilities, escalation and proving closure.
- Download
SOR / NCR control workbook
Excel · 20 sheets, including registers, RACI, forms, closure audit and risk alerts. Contains illustrative sample NCRs—delete before use.
- Download
Major NCR close-out field aid
PDF · Seven gates and evidence checklist. Its suggested time boxes must be agreed against the project contract.
- Download
Risk automation and closure certificate
PDF · Query catalogue, scoring model and retrospective certificate field-by-field guidance.
- Download
Complete supplied reference package
ZIP · Articles, editable forms, field aid, diagrams, authority research, audit protocol, letter templates, SQL, Python and a sample report. Legal references and service routes require current verification.
Contract clause numbers, automatic escalation periods, withholding/back-charge proposals, legal article references and retention periods in the source files are not independently verified here. Check the current law, applicable authority, executed contract and Particular Conditions with qualified advisers before issuing notices or relying on legal conclusions.
Continue the PMC setup
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Turn this into evidence you can hand over
Replace scattered spreadsheets and WhatsApp threads with one HSE operations system built around UAE authority expectations.
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- Evidence, not just formsEvery record carries dates, signatures and an export you can hand over.