1、Designation: D 3740 04aStandard Practice forMinimum Requirements for Agencies Engaged in theTesting and/or Inspection of Soil and Rock as Used inEngineering Design and Construction1This standard is issued under the fixed designation D 3740; the number immediately following the designation indicates
2、the year oforiginal adoption or, in the case of revision, the year of last revision. A number in parentheses indicates the year of last reapproval. Asuperscript epsilon (e) indicates an editorial change since the last revision or reapproval.This standard has been approved for use by agencies of the
3、Department of Defense.1. Scope*1.1 This practice establishes minimum qualifications foragencies engaged in the testing and inspection of soil and rock.Minimum requirements for field and laboratory personnel aredefined. The practice also covers the establishment and main-tenance of a quality system.1
4、.2 Criteria are provided for evaluating the capability of anagency to properly perform designated tests on soil and rock,and for establishing essential characteristics pertaining to anagencys organization, personnel, facilities, and quality system.This practice may be supplemented by more specific c
5、riteriaand requirements for particular projects.1.3 This practice can be used as a basis to evaluate testingand inspection agencies, or both, and is intended for use for thequalifying or accrediting, or both, of testing or inspectionagencies, public or private, engaged in the testing and inspec-tion
6、 of soil and rock as used in engineering design andconstruction.1.4 This practice is applicable to all standards promulgatedby Committee D18 whether or not mentioned in the Refer-enced Document Section.1.5 This standard does not purport to address all of thesafety concerns, if any, associated with i
7、ts use. It is theresponsibility of the user of this standard to establish appro-priate safety and health practices and determine the applica-bility of regulatory limitations prior to use.1.6 This practice offers a set of instructions for performingone or more specific operations. This document canno
8、t replaceeducation or experience and should be used in conjunctionwith professional judgment. Not all aspects of this practice maybe applicable in all circumstances. This ASTM standard is notintended to represent or replace the standard of care by whichthe adequacy of a given professional service mu
9、st be judged,nor should this document be applied without consideration ofa projects many unique aspects. The word “Standard” in thetitle of this document means only that the document has beenapproved through the ASTM consensus process.2. Referenced Documents2.1 ASTM Standards:2C 1077 Practice for La
10、boratories Testing Concrete and Con-crete Aggregate for Use in Construction and Criteria forLaboratory EvaluationD 653 Terminology Relating to Soil, Rock and ContainedFluidsD 3666 Specification for Minimum Requirements forAgen-cies Testing and Inspecting Road and Paving MaterialsD 5255 Practice for
11、Certification of Personnel Engaged inthe Testing of Soil and RockE 329 Specification for Agencies Engaged in the Testingand/or Inspection of Materials Used in ConstructionE 1187 Terminology Relating to Conformity AssessmentE 1301 Guide for Proficiency Testing by InterlaboratoryComparisons2.2 Other S
12、tandards:AASHTO R18 Recommended Practice for Establishing andImplementing a Quality System for Construction Materi-als Testing LaboratoriesISO/IEC 17025 General Requirements for the Competenceof Testing and Calibration Laboratories3. Terminology3.1 Definitions:3.1.1 For definitions of terms used in
13、this practice seeTerminologies D 653 and E 1187.3.1.2 Soil and Rock as used in this standard, any testmethod, practice, specification or guide developed by D18 andlisted in volumes 04.08 and 04.09.1This practice is under the jurisdiction of ASTM Committee D18 on Soil andRock and is the direct respon
14、sibility of Subcommittee D18.99 on Quality Control.Current edition approved Nov. 1, 2004. Published November 2004. Originallyapproved in 1978. Last previous edition approved in 2004 as D 3740 04.2For referenced ASTM standards, visit the ASTM website, www.astm.org, orcontact ASTM Customer Service at
15、serviceastm.org. For Annual Book of ASTMStandards volume information, refer to the standards Document Summary page onthe ASTM website.1*A Summary of Changes section appears at the end of this standard.Copyright ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959,
16、 United States.3.2 Definitions of Terms Specific to This Standard:3.2.1 agencyan organization, or part of an organization,engaged in activities of technically oriented testing or inspec-tion, or both.3.2.2 quality manuala document stating the qualitypolicy, quality system and quality practices of an
17、 organization.3.2.3 qualified national authorityan organization recog-nized throughout the country, with the capability to assess andmonitor the professional and technical activities of an inspec-tion or testing agency, or both.4. Significance and Use4.1 This practice provides the basic minimum crit
18、eria foruse in evaluating the qualifications of a testing or inspectionagency, or both, for soil and rock. The criteria may besupplemented by more specific criteria and requirements. Anindividual user can also use it to judge the qualification of anagency. The existence of a formal accrediting body
19、such as afederal, state, or independent agency is not necessary for theuse of this standard.NOTE 1Users of this practice should be aware that certain of theserequirements may not be achievable and/or applicable to work performedoutside of the U.S.A. In such cases, users should ensure that all necess
20、arymodifications are made to these requirements such as to render themappropriate to each specific set of circumstances.4.2 The intent of this practice is to provide a consensus basisfor evaluating a testing or inspection agency, or both, withrespect to that agencys capability to objectively and com
21、pe-tently provide the specific services needed by the user.4.3 This practice may be used as a basis for accreditation.4.4 To qualify for accreditation to this standard, the agencymust include at least five standards relating to testing and/orinspection methods, from the standards covered under theju
22、risdictions of Committee D18, in its certificate of accredita-tion.4.5 The users of an accredited agency must review theagencys scope of accreditation to ensure the agency has beenaccredited for its technical competence to perform the tasksrequested by the user5. Responsibilities and Duties5.1 The a
23、gency shall ensure that only inspections or tests forwhich it is adequately equipped and staffed are performed.5.2 The agency shall ensure that personnel perform onlyinspections and tests for which they are adequately trained,qualified and certified in accordance with applicable specifica-tions.5.3
24、The agency shall ensure that all equipment is properlymaintained in good operating condition and is calibrated asapplicable.5.4 The agency shall perform all testing and inspection inaccordance with appropriate standards and quality controlcriteria.6. General Capabilities6.1 Laboratory TestingThe age
25、ncy performing laboratorytesting of soil and rock shall have suitable test equipment andlaboratory facilities for storing and testing samples and prepar-ing samples for test.6.2 Field Testing and InspectionThe field services of asoil and rock testing and inspection agency shall include someor all of
26、 the following capabilities:6.2.1 testing of in situ materials,6.2.2 testing of materials being processed,6.2.3 checking on adequacy of production equipment orconstruction equipment used for reworking or processing soiland rock,6.2.4 observation and inspection of soil or rock placement,and6.2.5 in-p
27、lace testing of constructed components.6.3 Samplingthe services of an agency responsible forsampling soil and rock shall include some or all of thefollowing capabilities:6.3.1 sampling of in situ materials,6.3.2 sampling of materials which are to be reworked,processed, and reused,6.3.3 sampling of m
28、aterials being processed, and6.3.4 sampling of constructed components.7. Personnel Qualifications7.1 Management and SupervisionThe testing and inspec-tion services of the agency shall be under the direction of aperson charged with the engineering managerial or scientificmanagerial responsibility. Th
29、e person shall be a licensedregistered engineer or other licensed registered professionaland a full-time employee of the agency and shall have aminimum of 5 years engineering or scientific experience, asappropriate, in the inspection and testing of soil and rock; or aperson with equivalent science-o
30、riented education and experi-ence in having satisfactorily supervised or directed testing orinspection services, or both, of soil and rock is acceptable. ANICET (Note 2) Level IV Certification in Construction Mate-rials TestingSoils, Geotechnical Engineering Technology orTransportation EngineeringSu
31、bfield Highway Materialsshall be considered as one means of evidence of the experienceof this individual.NOTE 2The National Institute for Certification in Engineering Tech-nologies (NICET) is a nationally recognized certification organization.Refer to Practice D 5255 for other guidelines on certific
32、ation.7.2 Supervising Laboratory Technician The supervisinglaboratory technician shall have at least 5 years experienceperforming tests on soil and rock. This person must demon-strate, by performance evaluation and written/oral examina-tion, the ability to perform the tests normally required in them
33、anner stipulated under ASTM or other governing proceduresand shall be capable of evaluating the test results in terms ofspecification compliance. A current valid NICET Level IIICertification (Note 1) in Construction Materials TestingSubfield Soils or Geotechnical Engineering Technology orTransportat
34、ion EngineeringSubfield Highway Materialsshall be considered as one means of evidence of competency.At a minimum, each person shall be re-evaluated at least everythree years for each test the person is authorized to perform.7.3 Supervising Field TechnicianThis person shall have atleast 5 years exper
35、ience in inspecting the kind of workinvolved in the soil and rock construction project. This personmust demonstrate, by performance evaluation and written/oralD 3740 04a2examination, the ability to correctly perform the requiredduties. A current valid NICET Level III Certification (Note 2)in Constru
36、ction Materials Testing Subfield Soils or Geotech-nical Engineering Technology or Transportation EngineeringSubfield Highway Materials shall be considered as one meansof evidence of competency. At a minimum, each person shallbe re-evaluated at least every three years for each test theperson is autho
37、rized to perform.7.4 Inspecting or Testing Technician This person shallhave a high school diploma or equivalent or trade schooltraining and have had sufficient on-the-job training to properlyperform the test or inspection to which the person is assigned.This person must demonstrate, by written and p
38、erformanceexaminations, competency for the test or inspection which theperson will be assigned.A current NICET Level I certification in a related field(Geotechnical/Construction Materials Testing- Soils or simi-lar); or a current ACI certification as a “Aggregate TestingTechnician-Field or Lab”; or
39、equivalent; satisfy the aboverequirement.A trainee may perform this work while advancing towardcertification under the direct physical supervision of a personmeeting the requirements above. The trainee cannot indepen-dently evaluate test results or sign as responsible for the report.NOTE 3ACI Intern
40、ational is a nationally recognized certificationorganization.7.5 It is satisfactory for a person to fill one or more of thelevels of management, supervision, inspector, or technicianpositions in accordance with 7.1, 7.2, 7.3, and 7.4 provided thatperson qualifies for the highest level. It is also re
41、cognized thatfrequently a few laboratory control tests or inspections areconducted at small field or peripheral locations. It is not theintent of this practice that the supervisory personnel be directlypresent at such locations at all times.8. Quality System Criteria8.1 The agency shall establish an
42、d implement a qualitysystem which meets the following criteria:8.1.1 Quality ManualThe agency shall establish andmaintain a quality manual that conforms to the requirements inSection 9, Quality Manual (Requirements). Each document inthe quality manual shall indicate its preparation date. If adocumen
43、t is revised, the date of revision shall be indicated onthe document. The quality manual shall be available for use bylaboratory staff.8.1.2 Quality ManagementThe agency shall designate aperson(s) having responsibility for determining if qualitysystem implementation activities are being conducted by
44、agency staff in the manner specified in the agencys qualitymanual. This individual(s) shall have direct access to topmanagement (Note 4).NOTE 4This individual(s) may have other responsibilities (for ex-ample, laboratory manager).8.1.3 Laboratory Procedure ManualThe agency shallestablish and maintain
45、 a procedures manual, outlining thecustomary method or inspection procedures for each test orservice performed by the laboratory. Copies of current ASTM,AASHTO, or other national standards used need not to beincluded in the manual. However, for each procedure, themanual shall include specific refere
46、nces to such standardsalong with any exceptions to them and/or any special instruc-tions (such as requirement for forms, calculation programs,checking and/or review, etc.). The referenced standards shall bereadily available for use by personnel performing the test orservice.8.1.4 Equipment Calibrati
47、on and VerificationThe agencyshall calibrate or verify all significant testing equipmentassociated with tests covered by the scope of this standardwhich the agency performs. As a minimum, the equipmentlisted in Table 1 shall be included if it is associated with testsperformed by the agency. Applicab
48、le equipment shall becalibrated or verified at the intervals specified in the agencysquality manual. The intervals specified in the quality manualshall be no greater than those indicated in Table 1 (Note 5).Newly acquired equipment without manufacturers certificationand equipment that has not been c
49、alibrated or verified becauseit has been removed from service shall be calibrated or verifiedbefore being placed in service. The agency shall have detailedwritten procedures for all in-house calibration and verificationactivities not addressed in standards. These procedures shallindicate the equipment required to perform the calibration orverification.NOTE 5When a maximum calibration or verification interval for aspecific piece of test equipment is specified in a standard, the maximuminterval specified by this document is intended to be the same as th
