1、Designation: D3740 10Standard 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 D3740; the number immediately following the designation indicates the yea
2、r 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 () indicates an editorial change since the last revision or reapproval.This standard has been approved for use by agencies of the Departme
3、nt 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 Crite
4、ria 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 criteriaa
5、nd 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 soil
6、 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 use.
7、 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 repla
8、ceeducation 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 be j
9、udged,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:2C1077 Practice for Laboratori
10、es Testing Concrete and Con-crete Aggregates for Use in Construction and Criteria forLaboratory EvaluationD653 Terminology Relating to Soil, Rock, and ContainedFluidsD3666 Specification for Minimum Requirements for Agen-cies Testing and Inspecting Road and Paving MaterialsD5255 Practice for Certific
11、ation of Personnel Engaged inthe Testing of Soil and RockE329 Specification for Agencies Engaged in ConstructionInspection and/or TestingE1187 Terminology Relating to Conformity Assessment3E1301 Guide for Proficiency Testing by InterlaboratoryComparisons2.2 Other Standards:AASHTO R18 Recommended Pra
12、ctice for Establishing andImplementing a Quality System for Construction Materi-als Testing Laboratories4ISO/IEC 17025 General Requirements for the Competenceof Testing and Calibration Laboratories3. Terminology3.1 Definitions:1This practice is under the jurisdiction of ASTM Committee D18 on Soil an
13、dRock and is the direct responsibility of Subcommittee D18.99 on Quality Control.Current edition approved March 1, 2010. Published April 2010. Originallyapproved in 1978. Last previous edition approved in 2008 as D3740 08. DOI:10.1520/D3740-10.2For referenced ASTM standards, visit the ASTM website,
14、www.astm.org, orcontact ASTM Customer Service at serviceastm.org. For Annual Book of ASTMStandards volume information, refer to the standards Document Summary page onthe ASTM website.3Withdrawn. The last approved version of this historical standard is referencedon www.astm.org.4Available from Americ
15、an Association of State Highway and TransportationOfficials (AASHTO), 444 N. Capitol St., NW, Suite 249, Washington, DC 20001,http:/www.transportation.org.1*A Summary of Changes section appears at the end of this standard.Copyright ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshoh
16、ocken, PA 19428-2959, United States.3.1.1 For definitions of terms used in this practice seeTerminologies D653 and E1187.3.1.2 Soil and Rock as used in this standard, any testmethod, practice, specification or guide developed by D18 andlisted in volumes 04.08 and 04.09.3.2 Definitions of Terms Speci
17、fic 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.3.2.3 qualified national author
18、ityan 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 evaluating the qualifications
19、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, state, or independent agenc
20、y 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 are made to these requiremen
21、ts 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 provide the specific services neede
22、d 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 jurisdictions of Committee D18, in i
23、ts 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 user.5. Responsibilities and Duties5.1 The agency shall ensure that only inspec
24、tions 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 agency shall ensure that all eq
25、uipment 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 performing laboratorytesting of
26、 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 following capabilities:6.2.1 t
27、esting 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 testing of constructed compone
28、nts.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 materials being processed, and6.3.4
29、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 person shall be a licensedregiste
30、red 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 education and experi-ence i
31、n having satisfactorily supervised or directed testing orinspection services, or both, of soil and rock is acceptable.7.2 Supervising Laboratory TechnicianThe supervisinglaboratory technician shall have at least 3 years experienceperforming tests on soil and rock.7.2.1 This person must demonstrate,
32、by written examina-tion(s), the ability to perform the tests in the manner stipulatedunder ASTM or other governing procedures and shall becapable of evaluating the test results in terms of specificationcompliance. Current certification by national, regional or stateauthorities shall be considered as
33、 one means of evidence offulfilling the written examination requirement (Note 2). Thecertification shall be appropriate to the work required. At aminimum, the written examination(s) shall include at least fivetest methods listed in ASTM Volumes 4.08 and 4.09.7.2.2 In addition, a performance evaluati
34、on reviewing thetechnicians competency to perform the test method correctlyshall be conducted prior to the technician performing the testindependently and at least every 36 months thereafter for eachtest the person is authorized to perform.7.3 Supervising Field TechnicianThis person shall have atlea
35、st 3 years experience in inspecting the kind of workinvolved in the soil and rock construction project.D3740 1027.3.1 This person must demonstrate, by written examina-tion(s), the ability to perform the tests and duties in the mannerstipulated under ASTM or other governing procedures andshall be cap
36、able of evaluating the test results in terms ofspecification compliance. Current certification by national,regional or state authorities shall be considered as one means ofevidence of fulfilling the written examination requirement(Note 2). The certification shall be appropriate to the workrequired.
37、At a minimum, the written examination(s) shallinclude at least five of the testing or inspection methods listedin ASTM Volumes 4.08 and 4.09.7.3.2 In addition, a performance evaluation reviewing thetechnicians competency to perform the test method correctlyshall be conducted prior to the technician
38、performing the testindependently and at least every 36 months thereafter for eachtest the person is authorized to perform.7.4 Inspecting or Testing TechnicianThis person shallhave a high school diploma or equivalent or trade schooltraining and have had sufficient on-the-job training to properlyperfo
39、rm the test or inspection to which the person is assigned.7.4.1 This person must demonstrate, by written examina-tion(s), the ability to perform the tests in the manner stipulatedunder ASTM or other governing procedures. Current certifica-tion by national, regional or state authorities shall be cons
40、id-ered as one means of evidence of fulfilling the writtenexamination requirement (Note 2). The certification shall beappropriate to the work required. At a minimum, the writtenexamination(s) shall include at least five of the testing orinspection methods listed in ASTM Volumes 4.08 and 4.09.7.4.2 I
41、n addition, a performance evaluation reviewing thetechnicians competency to perform the test method correctlyshall be conducted prior to the technician performing the testindependently and at least every 24 months thereafter for eachtest the person is authorized to perform.7.4.3 A trainee may perfor
42、m 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 for aninspection or testing report.NOTE 2Refer to Practice D5255 for other guidance on certifi
43、cation.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 recognized thatfrequently a few laboratory control tests
44、 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 implement a qualitysystem which meets the following
45、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 revised, the date of revision shall be indicated
46、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 byagency staff in the manner specified in the agencys qu
47、alitymanual. This individual(s) shall have direct access to topmanagement (Note 3).NOTE 3This individual(s) may have other responsibilities (for ex-ample, laboratory manager).8.1.3 Laboratory Procedure ManualThe agency shallestablish and maintain a procedures manual, outlining thecustomary method or
48、 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 to such standardsalong with any exceptions to the
49、m 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 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 the agency
