1、Designation: D 3740 08Standard Practice forMinimum Requirements for Agencies Engaged in Testingand/or Inspection of Soil and Rock as Used in EngineeringDesign and Construction1This standard is issued under the fixed designation D 3740; the number immediately following the designation indicates the y
2、ear 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 Depar
3、tment 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.1.2 Cr
4、iteria 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 criter
5、iaand 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 of s
6、oil 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 Documents Section.1.5 This standard does not purport to address all of thesafety concerns, if any, associated with its u
7、se. 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 cannot re
8、placeeducation 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 must b
9、e 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 Labora
10、tories Testing Concrete and Con-crete Aggregates 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 Ce
11、rtification of Personnel Engaged inthe Testing of Soil and RockE 329 Specification for Agencies Engaged in ConstructionInspection and/or TestingE 1187 Terminology Relating to Conformity Assessment3E 1301 Guide for Proficiency Testing by InterlaboratoryComparisons2.2 Other Standards:AASHTO R18 Recomm
12、ended 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 this practice seeTerminolo
13、gies 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 responsibility of Subcommittee D
14、18.99 on Quality Control.Current edition approved March 1, 2008. Published March 2008. Originallyapproved in 1978. Last previous edition approved in 2004 as D 3740 04a.2For referenced ASTM standards, visit the ASTM website, www.astm.org, orcontact ASTM Customer Service at serviceastm.org. For Annual
15、 Book of ASTMStandards volume information, refer to the standards Document Summary page onthe ASTM website.3Withdrawn.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, United States.3
16、.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 organization.3.
17、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 criteria foruse in e
18、valuating 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 such as afederal
19、, 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 necessarymodifications
20、 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 compe-tently provid
21、e 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 methods,inspection methods, or both, from the standards covered underthe jurisdi
22、ctions of Committee D18, in its certificate ofaccreditation.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 agency s
23、hall 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 The age
24、ncy 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 agency per
25、forming 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 the fo
26、llowing 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-place te
27、sting 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 material
28、s 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. The perso
29、n 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-oriented
30、 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 EngineeringSubfield
31、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 certification.7
32、.2 Supervising Laboratory TechnicianThe supervisinglaboratory technician shall have at least 5 years experienceperforming tests on soil and rock. This person must demon-strate, by performance evaluation and written examination, theability to perform the tests normally required in the mannerstipulate
33、d under ASTM or other governing procedures andshall 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 orTransportation Engineering
34、Subfield 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 experience in inspec
35、ting the kind of workinvolved in the soil and rock construction project. This personmust demonstrate, by performance evaluation and written/oralD3740082examination, the ability to correctly perform the requiredduties. A current valid NICET Level III Certification (Note 2)in Construction Materials Te
36、sting 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 authorized to perform.7
37、.4 Inspecting or Testing TechnicianThis 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.7.4.1 This person must demonstrate, by written and perfor-mance e
38、xaminations, competency for the test or inspectionwhich the person will be assigned.7.4.2 A current NICET Level I certification in a related field(Geotechnical/Construction Materials Testing-Soils or similar);or a current ACI certification as a “Aggregate TestingTechnician-Field or Lab”; or equivale
39、nt; satisfy the aboverequirement.7.4.3 A trainee may perform this work while advancingtoward certification under the direct physical supervision of aperson meeting the requirements above. The trainee cannotindependently evaluate test results or sign as responsible forthe report.NOTE 3ACI Internation
40、al 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 recogni
41、zed 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 and imp
42、lement 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 adocument is
43、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 byagenc
44、y 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 a pr
45、ocedures 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 references
46、to such standardsalong with any exceptions to them or any special instructions(such as requirement for forms, calculation programs, check-ing, review, or combinations thereof, etc.) (or both). Thereferenced standards shall be readily available for use bypersonnel performing the test or service.8.1.4
47、 Equipment Calibration 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
48、the agency. Applicable 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
49、 that has not been calibrated 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 t
