1、Designation: D3740 12aStandard 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 ye
2、ar 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 Departm
3、ent 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 Crit
4、eria 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 criteria
5、and 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 soi
6、l and rock as used in engineering design andconstruction.1.4 This practice is applicable to all standards which includea reference to Practice D3740.1.5 This standard does not purport to address all of thesafety concerns, if any, associated with its use. It is theresponsibility of the user of this s
7、tandard 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 replaceeducation or experience and should be used i
8、n 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 judged,nor should this document be applied with
9、out 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 forAgencies Testing Concrete and ConcreteAggregates for Use
10、in Construction and Criteria forTesting Agency EvaluationD653 Terminology Relating to Soil, Rock, and ContainedFluidsD3666 Specification for Minimum Requirements for Agen-cies Testing and Inspecting Road and Paving MaterialsD5255 Practice for Certification of Personnel Engaged inthe Testing of Soil
11、and RockE329 Specification for Agencies Engaged in ConstructionInspection, Testing, or Special InspectionE1187 Terminology Relating to Conformity Assessment3E1301 Guide for Proficiency Testing by InterlaboratoryComparisons2.2 Other Standards:AASHTO R18 Recommended Practice for Establishing andImplem
12、enting 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 andRock and is the direct responsi
13、bility of Subcommittee D18.99 on Quality Control.Current edition approved May 1, 2012. Published June 2012. Originallyapproved in 1978. Last previous edition approved in 2011 as D374012. DOI:10.1520/D3740-12a.2For referenced ASTM standards, visit the ASTM website, www.astm.org, orcontact ASTM Custom
14、er 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 American Association of State Highway and
15、 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 Conshohocken, PA 19428-2959, United States
16、.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 Specific to This Standard:3.2.1 agencyan
17、 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 authorityan organization recog-nized thro
18、ughout 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 of a testing or inspectionagency, o
19、r 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 agency is not necessary for theuse of th
20、is 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 requirements such as to render themappropriat
21、e 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 needed by the user.4.3 This practice may
22、 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 its certificate ofaccreditation.4.5
23、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 inspections or tests forwhich it is adequ
24、ately 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 equipment is properlymaintained in go
25、od 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 soil and rock shall have suitable
26、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 testing of in situ materials,6.2.2 t
27、esting 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 components.6.3 Samplingthe services of an
28、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 sampling of constructed components.
29、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 licensedregistered engineer or other licensed regi
30、stered 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 in having satisfactorily supervised
31、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, by written examina-tion(s), the abi
32、lity 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 one means of evidence offulfilling
33、 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 evaluation reviewing thetechnicians compete
34、ncy 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 atleast 3 years experience in inspecting
35、 the kind of workinvolved in the soil and rock construction project.D3740 12a27.3.1 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 capable of evaluating the test result
36、s 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. At a minimum, the written examinat
37、ion(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 performing the testindependently a
38、nd 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 properlyperform the test or inspection to which
39、 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 consid-ered as one means of evidence o
40、f 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.Technicians that perform fewer than 5 of
41、the applicable testingor inspection methods will meet the written exam requirementprovided the examination(s) includes each testing or inspectionmethod performed.7.4.2 In addition, a performance evaluation reviewing thetechnicians competency to perform the test method correctlyshall be conducted pri
42、or 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 perform this work while advancingtoward certification under the direct physical supervision of aperson meeting the requirements above. Th
43、e trainee cannotindependently evaluate test results or sign as responsible for aninspection or testing report.NOTE 2Refer to Practice D5255 for other guidance on certification.7.5 Written ExaminationsThe written examinations re-quired for the Supervising Laboratory Technician, SupervisingField Techn
44、ician, and the Inspecting or Testing Technicianshall be of sufficient length and detail to cover the entire test orinspection method, including as applicable: the significance ofthe test or inspection method, sampling, specimen preparation,procedure, and reporting of results.7.6 Performance Evaluati
45、onsThe performance evalua-tions required for the Supervising Laboratory Technician,Supervising Field Technician, and the Inspecting or TestingTechnician for reviewing the technicians competency shallinclude a demonstration of the test or inspection method todocument the technicians ability to perfor
46、m the procedure inaccordance with the standard.7.7 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 thatf
47、requently 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 implement a
48、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 revised,
49、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 byagency staff in the manner specified in the agencys qualitymanual. 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
