Designation: D3740 − 12a

Standard Practice for

Minimum Requirements for Agencies Engaged in Testing
and/or Inspection of Soil and Rock as Used in Engineering
Design and Construction1
This standard is issued under the fixed designation D3740; the number immediately following the designation indicates the year of
original
original adoption or, in the case of revis
revision,
ion, the year of last revision.
revision. A number in paren
parenthese
thesess indicates the year of last reappr
reapproval.
oval. A
superscript epsilon (´) indicates an editorial change since the last revision or reapproval.

This standard has been approved for use by agencies of the Department of Defense.

1. Sco
Scope*
pe* a project’s many unique aspects. The word “Standard” in the
1.1 Thi
Thiss pra
practic
cticee esta
establis
blishes
hes min
minimu
imumm qua
qualifi
lificati
cations
ons for title of this document means only that the document has been
agencies engaged in the testing and inspection of soil and rock. approved through the ASTM consensus process.
Minimum requirements for field and laboratory personnel are
defined. The practice also covers the establishment and main- 2. Referenc
Referenced
ed Documents
tenance of a quality system. 2.1 ASTM Standards:2
C1077 Practice for Agencies Testing Concrete and Concrete
1.2 Criter
Criteria
ia are provided for evaluating
evaluating the capability
capability of an
Aggr
Ag greg
egat
ates
es foforr Us
Usee in Co
Cons
nstr
truc
uctio
tion
n an
and
d Cr
Crite
iteri
riaa fo
forr
agency to properly perform designated tests on soil and rock,
Testing Agency Evaluation
and for establishing
agency’s essential
organization, characteristics
personnel, facilities, andpertaining to an
quality system. D653 Termino
erminology
logy Relating to Soil, Rock, and Contain
Contained ed
Fluids
This practice may be supplemented by more specific criteria
and requirements for particular projects. D3666 Specification for Minimum Requirements for Agen-
cies Testing and Inspecting Road and Paving Materials
1.3 Thi
Thiss practice
practice can be used as a bas
basis
is to eva
evalua
luate
te testing
testing D5255 Practice for Certification of Personnel Engaged in the
and inspection agencies, or both, and is intended for use for the Testing of Soil and Rock
qualif
qua lifyin
ying
g or acc
accred
reditin
iting,
g, or bot
both,
h, of test
testing
ing or ins
inspec
pection
tion E329 Specifi
Specification
cation for Agencies Engag
Engageded in Constr
Construction
uction
agencies, public or private, engaged in the testing and inspec- Inspection, Testing, or Special Inspection
tion
tion of sosoil
il an
and
d rorock
ck as us
used
ed in en
engi
gine
neer
erin
ing
g de
desi
sign
gn an
andd E1187 Term
ermino
inolog
logyy Rela
Relating
ting to Con
Confor
formity
mity Ass
Assess
essment
ment
construction. (Withdrawn 2006) 3

1.4 This practice

practice is applicable to all standards
standards which include
include E1301 Gui
Guide
de for Pro Proficie
ficiency
ncy Testi
esting
ng by Int
Interl
erlabo
aborat
ratory
ory
a reference to Practice D3740. Comparisons
1.5 This standar
standard d doe
doess not purport
purport to add
addre
ress
ss all of the 2.2 Other Standards:
safet
safetyy co
conc
ncer
erns
ns,, if an
anyy, as
asso
socia
ciate
ted
d wi
with
th its us
use.
e. It is th
thee AASHTO R18 Recommended Practice for Establishing and
responsibility of the user of this standard to establish appro- Implementing a Quality System for Construction Materi-
priate safety and health practices and determine the applica- als Testing Laboratories4
bility of regulatory limitations prior to use. ISO/IEC 17025 General Requirements for the Competence
1.6 This practice offers a set of instructions for performing of Testing and Calibra
Calibration
tion Labor
Laboratories
atories
one or more specific operations. This document cannot replace
educat
edu cation
ion or exp
experie
erience
nce and should
should be use
usedd in con
conjun
junctio
ction
n 3. Terminology
with professional judgment. Not all aspects of this practice may 3.1 Definitions:
be applicable in all circumstances. This ASTM standard is not
intended to represent or replace the standard of care by which
the adequacy of a given professional service must be judged, 2
For referenced ASTM standards, visit the ASTM website, www.astm.org, or
nor should this document be applied without consideration of contact ASTM Customer Service at service@astm.org. For Annual Book of ASTM
Standards volume information, refer to the standard’s Document Summary page on
the ASTM website.
1 3
This practice is under the jurisdiction of ASTM Committee D18 on Soil and The last app
approv
roved
ed ver
versio
sion
n of this historica
historicall sta
standa
ndard
rd is ref
refere
erence
nced
d on
Rock and is the direc
directt respo
responsibil
nsibility
ity of Subco
Subcommitte
mmitteee D18.99 on Quality Control. www.astm.org.
4
Curren
Currentt edi
editio
tion
n app
approv
roved
ed May 1, 201 2012.
2. Pub
Publis
lished
hed Jun
Junee 201
2012.
2. Ori
Origin
ginall
ally
y Availab
vailable
le from American Association
Association of State Highway and Tra Transpor
nsportation
tation
approved
approved in 1978. Last previous
previous edition approved in 2012 as D3740–
D3740–12.
12. DOI: Officials (AASHTO), 444 N. Capitol St., NW, Suite 249, Washington, DC 20001,
10.1520/D3740-12a. http://www.transportation.org.

*A Summary of Changes section appears at the end of this standard

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 D3740 − 12a

3.1.
3.1.1
1 Fo
Forr de
defin
finiti
ition
onss of ter
terms
ms us
used
ed in th
this
is pr
prac
actic
ticee se
seee 5.4 The agency shall perform
perform all testing and inspection
inspection in
Terminologies D653 aand nd E1187
E1187.. accorda
acco rdance
nce with app
approp
ropria
riate
te stan
standar
dards
ds and qua
quality
lity con
contro
troll
3.1.2
3.1.2 Soi
Soill and Rock — as used in this standar
standard,
d, any test criteria.
method, practice, specification or guide developed by D18 and
listed in volumes 04.08 and 04.09. 6. Gener
General
al Capabilities
Capabilities
3.2 Definitions of Terms Specific to This Standard: 6.1 Laboratory Testing—The agency performing laboratory
3.2.1 agency—an organization, or part of an organization, testing of soil and rock shall have suitable test equipment and
engaged in activities of technically oriented testing or inspec- laboratory facilities for storing and testing samples and prepar-
tion, or both. ing samples for test.
3.2.2 quality manual—a document stating the quality policy, 6.2 Field Testing and Insp ection—The field services of a
Inspection—
quality system and quality practices of an organization. soil and rock testing and inspection agency shall include some
3.2.3 qualified natio
national
nal autho rity—an org
authority— organizatio
anizationn recog- or all of the following capabilities:
nized throughout the country, with the capability to assess and 6.2.1 testing of in situ materials,
materials,
monitor the professional and technical activities of an inspec- 6.2.2 testing of materials being processed,
processed,
tion or testing agency, or both. 6.2.3
6.2 .3 che
checki
cking
ng on ade
adequa
quacy
cy of pro
produc
duction
tion equ
equipm
ipment
ent or
construction equipment used for reworking or processing soil
4. Sign
Significan
ificance
ce and Use and rock,
6.2.4 obser
observation
vation and inspection
inspection of soil or rock placement,
placement,
4.1 Thi
Thiss pra
practic
cticee pro
provid
vides
es the basic min
minimu
imumm cri
criter
teria
ia for
and
use in evaluating the qualifications of a testing or inspection
6.2.5 in-pla
in-place
ce testing of constr
constructed
ucted components.
components.
agen
agency
cy,, or bo
both
th,, fo
forr so
soil
il an
andd ro
rock
ck.. Th
Thee cr
crit
iter
eria
ia ma
may y be
supplemented by more specific criteria and requirements. An 6.3 Sampling—the ser service
vicess of an ageagency
ncy responsi
responsible
ble for
individual user can also use it to judge the qualification of an samp
sampliling
ng so
soil
il an
andd ro
rock
ck sh
shal
alll in
incl
clud
udee so
some
me or alalll of th
thee
agency. The existence of a formal accrediting body such as a following capabilities:
6.3.1 samplin
samplingg of in situ materials,
federal, state,
use of this or independent agency is not necessary for the
standard. 6.3.
6.3.2
2 sa
samp
mplin
ling
g of mamater
terial
ialss wh
whicich
h ar
aree to be re
rewowork
rked
ed,,
processed, and reused,
NOTE 1—Users of this practice should be aware that certain of these
6.3.3 samplin
samplingg of materia
materialsls being processed,
processed, and
requirements may not be achievable and/or applicable to work performed
outside of the U.S.A. In such cases, users should ensure that all necessary 6.3.4 samplin
samplingg of constr
constructed
ucted components.
components.
modific
mod ificati
ations
ons are mad
madee to the
these
se req
requir
uireme
ements
nts such as to ren
render
der the
them
m
appropriate to each specific set of circumstances. 7. Personnel Qualifications
4.2 The intent of this practice
practice is to provide a consensus
consensus basis
basis 7.1 Management and Supervision—The testing and inspec-
for eva
evalua
luating
ting a tes
testing
ting or ins
inspec
pectio
tion
n age
agency
ncy,, or bot
both,
h, with tion services of the agency shall be under the direction of a
respect to that agency’s capability to objectively and compe- person charged with the engineering managerial or scientific
tently provide the specific services needed by the user. manage
man ageria
riall res
respon
ponsib
sibilit
ility
y. The per
person
son sha
shall
ll be a lice
license
nsed
d
4.3 This practice
practice may be used as a basis for accreditatio
accreditation.
n. registered
registered engin
engineer
eer or other licensed regist
registered
ered profe
profession
ssional
al
and
an d a fu
full
ll-ti
-time
me em
empl
ploy
oyeeee of th
thee ag
agen
ency
cy an
andd sh
shall
all ha
have
ve a
4.4 To qualify for accreditation
accreditation to this standard, the agency minimum of 5 years engineering or scientific experience, as
must include at least five standards relating to testing methods, appropriate, in the inspection and testing of soil and rock; or a
inspection methods, or both, from the standards covered under
thee ju
th juri
risd
sdict
ictio
ions
ns of Co
Comm
mmitt
ittee
ee D1
D18,8, in its cer
certifi
tificat
catee of person with equiv
person equivalent
alent science
science-orie
-oriented
nted educati
education
on and exper
experi-
i-
ence in having satisfactorily supervised or directed testing or
accreditation. inspection services, or both, of soil and rock is acceptable.
4.5 Th
4.5 Thee us
user
erss of an ac
accr
cred
edite
ited
d ag
agen
ency
cy mu
must
st re
revi
view
ew th
thee 7.2 Super
Supervising
vising Labo
Laboratory
ratory Technic ian—The super
echnician— supervising
vising
agency’s scope of accreditation to ensure the agency has been labora
lab orator
tory
y tec
techni
hnician
cian shall hav
havee at leas
leastt 3 yea
yearsrs exp
experie
erience
nce
accredited for its technical competence to perform the tasks performing tests on soil and rock.
requested by the user. 7.2.1
7.2 .1 Thi
Thiss per
person
son mus
mustt dem
demons
onstrat
trate,
e, by wri
written
tten exa
examin
mina-
a-
tion(s), the ability to perform the tests in the manner stipulated
5. Respo
Responsibi
nsibiliti
lities
es and Dutie
Dutiess unde
un derr AS
ASTMTM or ot othe
herr go
gove
vern
rnin
ing
g prproc
oced
edur
ures
es anandd sh
shal
alll be
5.1 The agency shall
shall ensure that only inspection
inspectionss or tests for capable of evaluating the test results in terms of specification
which it is adequately equipped and staffed are performed. compliance.
compli ance. Current certification by nation
national,
al, regio
regional
nal or state
authorities shall be considered as one means of evidence of
5.2 The age
agency
ncy sha
shallll ens
ensure
ure tha
thatt per
person
sonnel
nel per
perfor
form
m onl
only
y
fulfilling the written examination requirement (Note 2). 2). The
inspec
inspection
tionss and test
testss for whi
which
ch the
theyy are ade
adequa
quately
tely tra
trained
ined,,
certific
cer tificatio
ation
n sha
shall
ll be app
approp
ropria
riate
te to the worworkk req
requir
uired.
ed. At a
qualified
qualified and certified in accord
accordance
ance with applica
applicable
ble specifica-
minimum,
minimu m, the written examination(
examination(s) s) shall includ
includee at least five
tions. test methods listed in ASTM Volumes 4.08 and 4.09.
5.3 The agency shall ensure
ensure that all equipment is properly 7.2.2 In addition, a perfo
performanc
rmancee evalua
evaluation
tion reviewing the
maintained in good operating condition and is calibrated as technician’s competency to perform the test method correctly
applicable. shall be conducted prior to the technician performing the test

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 D3740 − 12a

independently and at least every 36 months thereafter for each 7.6 Perfo
Performance
rmance Evalua tions—The per
Evaluations— perfor
forman
mance
ce eva
evalua
lua--
test the person is authorized to perform. tions re
tions requ
quir
ired
ed fo
forr th
thee Supervis
Supervising
ing Labo
Laboratory
ratory Technician,
echnician
Supervising
Super vising Field Technic ian, and the Inspecti
echnician Inspecting
ng or Testing
7.3 Supervising Field Technician—This person shall have at
Technician for reviewing the technic
technician’
ian’ss compe
competency
tency shall
least 3 ye
least year
arss ex
expe
peri
rien
ence
ce in in insp
spect
ectin
ing
g ththee ki
kind
nd of wo work
rk
include a demonstration of the test or inspection method to
involved in the soil and rock construction project.
document the technician’s ability to perform the procedure in
7.3.1
7.3 .1 Thi
Thiss per
person
son mus
mustt dem
demonsonstra
trate,
te, by wriwritten
tten examina-
examina- accordance with the standard.
tion(s),
tion(s ), the ability to perfo
perform
rm the tests and duties in the manner
stipula
stipulated
ted und
underer AST
ASTM M or othotherer gov
govern
erning
ing pro
proced
cedure
uress and 7.7 It is sat
satisfa
isfacto
ctory
ry for a per
person
son to fill one or mor
moree of the
shall
sh all be cacapa
pabl
blee of eveval
alua
uatin
ting
g ththee tes
testt re
resu
sults
lts in ter
terms
ms of levels of management,
management, supervision,
supervision, inspec
inspector
tor,, or technic
technician
ian
specific
spe cificatio
ation
n com
compli
plianc
ance.
e. Cur
Curren
rentt cer
certific
tificatio
ationn by natnation
ional,
al, positions in accordance with 7.17.1,, 7.2
7.2,, 7.3
7.3,, and 7.4 provided that
regional or state authorities shall be considered as one means of person qualifies for the highest level. It is also recognized that
evidenc
evid encee of ful fulfilli
filling
ng the wriwritten
tten exaexamin
minatio
ationn req
requir
uireme
ement
nt freque
frequentl
ntly
y a few lablabora
orator
tory
y con
contro
troll tes
tests
ts or ins
inspec
pectio
tions
ns are
(Note 2) 2). The certificati
certification
on sha
shallll be app
approp
ropria
riate
te to the work conducted at small field or peripheral locations. It is not the
requir
req uired.
ed. At a min minimu
imum,m, the wri written
tten exa
examin
minatio
ation(s
n(s)) sha
shall
ll intent of this practice that the supervisory personnel be directly
include at least five of the testing or inspection methods listed present at such locations at all times.
in ASTM Volumes 4.08 and 4.09. 8. Quali
Quality
ty System Criteria
Criteria
7.3.2 In addition, a perfoperformance
rmance evaluation
evaluation reviewing the
8.1 The age
agency
ncy shall esta
establi
blish
sh and implement
implement a qua quality
lity
technician’s competency to perform the test method correctly
system which meets the following criteria:
shall be conducted prior to the technician performing the test
8.1.1 Qua
Quality
lity Man ual—The ag
Manual— agenc
ency
y sh
shall
all est
estab
ablis
lish
h an
andd
independently and at least every 36 months thereafter for each
maintain a quality manual that conforms to the requirements in
test the person is authorized to perform.
Section 9, Quality Manual (Requirements). Each document in
7.4 In
Inspectin
specting
g or Testing Technic ian—Thi
echnician— Thiss person
person sha
shall
ll the quality
quality man
manual
ual sha
shall
ll ind
indicat
icatee its pre
prepar
paratio
ation
n dat
date.
e. If a
have
have a hi
high
gh sc
scho
hool
ol di
dipl
plom
omaa or eq
equi
uiva
vale
lent
nt or tr
trad
adee sc
scho
hool
ol document is revised, the date of revision shall be indicated on

training and have had sufficient on-the-job training to properly the document.
document. The qualit
qualityy manual shall be available for use by
perform the test or inspection to which the person is assigned. laboratory staff.
7.4.1
7.4.1 Thi
Thiss per
person
son mus
mustt dem
demons
onstra
trate,
te, by wri
written
tten examina-
examina- 8.1.2 Qualit
Qualityy Manag ement—The agency shall designate a
Management—
tion(s), the ability to perform the tests in the manner stipulated person
person(s)
(s) hav
having
ing res
respon
ponsib
sibilit
ility
y for det
determ
erminin
ining
g if qua
quality
lity
under ASTM or other governing procedures. Current certifica- system
system impimpleme
lementantation
tion acti
activit
vities
ies are bei
being
ng con
conduc
ducted
ted by
tion by national, regional or state authorities shall be consid- agency staff in the manner specified in the agency’s quality
ered
ered as on onee me
mean
anss of evevid
iden
ence
ce of fu fulfi
lfill
llin
ing
g ththee wr
writ
itte
ten
n manual
man ual.. Thi
Thiss ind
indivi
ividua
dual(s
l(s)) sha
shall
ll hav
havee dir
direct
ect acce
access
ss to top
examination requirement (Note (Note 2).
2). The certification shall be management (Note 3). 3).
appropriate to the work required. At a minimum, the written NOTE 3—Th
3—Thisis indiv
individual(
idual(s)
s) may have other responsibiliti
responsibilities
es (for ex-
examin
exa minatio
ation(s
n(s)) sha
shall
ll inc
includ
ludee at leas
leastt five of the testing
testing or ample, laboratory manager).
inspection methods listed in ASTM Volumes 4.08 and 4.09. 8.1.3 Laboratory Procedure Manual—The agency shall es-
Technicians that perform fewer than 5 of the applicable testing tablish and maintain a procedures manual, outlining the cus-
or inspection methods will meet the written exam requirement tomary method or inspection procedures for each test or service
provided the examination(s) includes each testing or inspection perfor
per formed
med by the lab labor
orato
atory
ry.. Cop
Copies
ies of cur curren
rentt AST
ASTM, M,
method performed. AASHTO
AAS HTO,, or othother
er nat
nation
ional
al stan
standar
dards
ds use
used d nee
needd not to be
7.4.2 In addition, a perfo
performance
rmance evaluation
evaluation reviewing the includ
inc luded
ed in the man manual.
ual. However
However,, for each pro proced
cedure
ure,, the
technician’s competency to perform the test method correctly manual
man ual sha
shall
ll inc
includ
ludee spe
specific
cific ref refere
erence
ncess to suc suchh sta
standa
ndards
rds
shall be conducted prior to the technician performing the test along with any exceptions to them or any special instructions
independently and at least every 24 months thereafter for each (such as requirement for forms, calculation programs, check-
test the person is authorized to perform. ing,, rev
ing review
iew,, or comcombinbinatio
ations
ns the
thereo
reof,
f, etc.
etc.)) (or bot
both).
h). The
7.4.3
7.4.3 A trai
trainee
nee may per
perfor
form
m thi
thiss wor
workk whi
whilele adv
advanc
ancing
ing refere
reference
ncedd stan
standar
dards
ds sha
shall
ll be rea readil
dily
y ava
availab
ilablele for use by
toward certification under the direct physical supervision of a personnel performing the test or service.
person
per son meet
meeting
ing the req
requir
uireme
ements
nts abo
above.
ve. The trai
trainee
nee can
cannot
not 8.1.4 Equipment Calibration and Verification—The agency
independently evaluate test results or sign as responsible for an shall
sh all cal
calib
ibra
rate
te or veverirify
fy alalll sig
signi
nific
ficanantt tes
testin
ting
g eqequi
uipm
pmenentt
inspection or testing report. associ
ass ociated
ated with test
testss cov
covered
ered by the scope of this standard standard
which
whi ch the age
agency
ncy per
perfor
forms.
ms. As a min minimu
imum,m, the equ equipm
ipment
ent
NOTE 2—Refer to Practice D5255 for other guidance on certification.
listed in Table 1 shall be included if it is associated with tests
7.5 Writte
Writtenn Examin
Examinations —The wri
ations— written
tten exa
examin
minatio
ations
ns re- perfor
per formed
med by the age agency
ncy.. App
Applica
licable
ble equequipm
ipment
ent sha
shall
ll be
quired for the Supervising Laboratory Technician, Supervising calibrated or verified at the intervals specified in the agency’s
Field Technic ian, and the Inspect
echnician Inspecting
ing or Testing Technic
echnician
ian quality manual. The intervals specified in the quality manual
shall be of sufficient length and detail to cover the entire test or shall be no greater than those indicated in Table 1 (Note 4).4).
inspection
inspec tion method, including as applic
applicable:
able: the signifi
significance
cance of Newly acquired equipment without manufacturers certification
the test or inspection method, sampling, specimen preparation, and equipment that has not been calibrated or verified because
procedure, and reporting of results. it has been removed from service shall be calibrated or verified

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 D3740 − 12a
TABLE 1 Test Equipment Calibration and Verification Requirements
Equipment—Test Method Requirement Interval (Month)
Mechanical Shakers Check Sieving Thoroughness 12
Gen. Purpose Balances, Scales & Weights Verify Measurements 12
Compression or Loading Device Verify Measurements 12
Mechanical Compactor Calibrate Compactive Effort 12
CA Kneading Compactor Calibrate Compactive Effort and Dwell 24
Ovens Verify Temperature Setting(s) 12
Vacuum System Check Pressure 24
Molds Check Critical Dimensions 12
Manual Hammer Check Wt. & Critical Dimensions 12
Sieves Check Physical Condition 12
Liquid Limit Device Check Wear & Critical Dimensions 12
Grooving Tool Check Critical Dimensions 12
Hydrometers Check Critical Dimensions 24
Straightedge Check planeness of edge 12
Weighted Foot Assembly Check weight 12
CBR Annular and Slotted Weights Check weight 12
CBR Penetration Piston Check diameter 12
Standard Metal Specimen Check outside diameter 12
Metal Follower Check diameter 12
Dial Gages, LVDTs, Micrometers Verify Indications 12
Presure Gages and Transducers Calibrate Measurements 12
Load Cells Calibrate Measurements 12
Flow Meters Calibrate Measurements 12
Thermal Meters and Transducers Calibrate Measurements 12
Sonic Transducers Verify Measurements 12

before
writtenbeing placed
procedu
procedures in service.
res for all in-hoThe
in-house agency shall
use calibration have
and detailed
verification
verification 8.1.7
pate in aProficiency Sample
formall profic
forma proficiency Testing—
iency sample The agency
program (s) as shall
program(s) partici-
partici
ibed in-
described
descr
activities not addressed in standards. These procedures shall Guide E1301
E1301.. An inhouse program or a program operated by
indicate the equipment required to perform the calibration or an independent third party is acceptable. The scope of partici-
verification. pation shall be sufficient to validate quality system operation.
NOTE 4—When a maximum calibration or verification interval for a 8.1.8 External Audit Recor ds—The agency shall maintai
Records— maintainn
specific piece of test equipment is specified in a standard, the maximum records of any external audits and documentation describing
interva
intervall spe
specifi
cified
ed by thi
thiss doc
docume
umentnt is int
intend
ended
ed to be the same as the how the deficiencies were corrected.
maximum
maxim um interv
interval
al specifi
specifieded by the stand
standard.
ard.
8.1.9 Proficiency Sample Records—The agency shall retain
8.1.5 Equipment Calibration and Verification Records—The results of participation in proficiency sample programs includ-
agency shall maintain calibration and verification records for ing data sheets, summary reports, and documentation describ-
all equ
equipm
ipment
ent spe
specifie
cified
d in the qua
quality
lity manual.
manual. Suc
Such
h reco
records
rds ing steps taken to det determ
ermine
ine the cau
cause
se of poo
poorr res
results
ults and
shall includ
include:
e: corrective
corre ctive action
actionss taken.
8.1.5.1
8.1.5.1 detailed results
results of the work perform
performed
ed (dimensions,
(dimensions,
8.1.10 Test Method
Methodss and Pro Procedur es—The age
cedures— agency
ncy sha
shall
ll
mass, force, frequency, temperature, time, and the like),
maintain
maintai n copies of standa
standard
rd and nonstandard
nonstandard proce
procedures
dures for
8.1.5.2
8.1.5
including.2 model
description
description of thenumber
and serial equipment
equip ment calibrated
or other or verified
acceptable identi- testi
testing
ng peperf
rfor
ormed
med wh which
ich is co
cove
vere
red
d by ththee sc
scop
opee of th
this
is
fication (Note
(Note 10)
10), standar
stan dard
d and shall ensensure
ure that the pro
proced
cedure
uress are the mos
mostt
8.1.5.3
8.1.5 .3 date the work was done, current and are readily accessible to employees performing the
8.1.5.4
8.1.5 .4 identifi
identification
cation of the indiv
individual
idual performing
performing the work
work,, work.
8.1.5.5
8.1.5 .5 identifi
identification
cation of the calibr
calibration
ation or verifi
verification
cation pro- 8.1.11 Test Records—The agency shall maintain test records
cedure used, which contain sufficient information to permit verification of
8.1.5.6
8.1.5 .6 the previous calibration
calibration or verification date and the any test repreport
orts.
s. Reco
Recordsrds per
pertain
taining
ing to test
testing
ing sha
shall
ll inc
includ
ludee
next due date, and original
origin al obser
observation
vations,
s, calcula
calculations,
tions, derived data and an identi
identi--
8.1.5.7
8.1.5 .7 identifi
identification
cation of any in-house calibration
calibration or verifi- fication
fica tion of per
person
sonnel
nel inv
involv
olved
ed in samp
samplin
lingg and test
testing
ing.. The
cation device used. agency shall prepare test reports which clearly,clearly, accur
accurately
ately and
8.1.6 Insp
Inspection
ection of Facilitie s—Th
Facilities— Thee ag
agen
ency
cy sh
shall
all ha
have
ve its unambiguously present, but are not limited to, the information
facilities inspected at intervals of not more than 3 years by a specified
specifi ed in T Table
able 2 (Note 5) 5). The proproced
cedure
ure for ame
amendinding
ng
qualified national authority. The agency shall, within 30 days report
rep ortss sha
shall
ll req
requir
uiree tha
thatt the pre
previo
viousl
usly
y exi
existin
sting
g rep
report
ort be
of the receipt of the evaluation report, submit to the qualified clearly referenced when an amendment is made. The references

nati
nationa
onallcies
deficiencies
deficien authori
authority
weretycorre
a wri
written
tten rep
corrected.
cted. report
ort doc
docume
umenti
nting
ng how any shall establish
deletion a clear audit
to the original reporttrail
and from the latestdata.
its supporting issuance or

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 D3740 − 12a
TABLE 2 Test Report Requirements ence to where the required position descriptions may be found
A Name and address of the testing laboratory
laboratory is acceptable if they are not included in the quality manual.
B Identi
Identificatio
fication
n of the report and the date issued
9.1.2.3 The quality manual shall contain a brief biographical
C Name and address
address of the client
D Identi
Identificatio
fication
n of the projec
projectt sketch
ske tch,, not
noting
ing the edu educati
cation,
on, wor
workk exp
experie
erience
nce,, lice
licensu
nsure,
re,
E Descri
Description
ption and identification
identification of the test sampl
sample
e certifications
certific ations,, and curre
currentnt positi
position
on of super
supervisor
visoryy techni
technical
cal
F Date of receipt
receipt of the test sample
stafff inv
staf involv
olved
ed in test
testing
ing areas covcovered
ered by the sco
scope
pe of this
G Date(s
Date(s)) test was performed
performed
H Identi
Identificatio
fication
n of the standard test method(s)
method(s) used and a notati
notation
on of standar
stan dard.
d. Alte
Alterna
rnativ
tively
ely,, the qua
quality
lity man
manual
ual may concontain
tain a
deviations from the standard reference to the location of the biographical sketches.
I Test results and other pertinent
pertinent data required by the standa
standard
rd test method
J Identi
Identificatio
ficationn of any test results obtained
obtained from tests performed by a
9.1.2.4
9.1.2 .4 The quality manual
manual shall contain a docudocument
ment which
subcontractor
K The name of the person(s)
person(s) accepting technical
technical responsibility
responsibility for the test describes the method(s)
staff are trained used totoensure
and qualified thattests
perform all agency technical
covered by the
report
L Any additional sample and field identification/l
identification/locatio
ocation
n inform
information
ation
scope of this standard. In addition to the description of training
meth
me thod
odss th
thee do
docu
cume
ment
nt sh
shall
all inindi
dica
cate
te wh
whatat po
posi
sitio
tion(
n(s)
s) or
employee(s) is responsible for the agency training program and
maintenance of training records.
NOTE 5—The requirements in Table 2 apply to the record that is used
to present the labora
laboratory’
tory’ss test resul
results
ts in their final form. In some cases, a NOTE 8—T8—Ther
heree may be sev severa
erall dif
differ
ferent
ent met
method
hodss emp
employ
loyed
ed for
test report or test data sheet is the final form of the data. differing
differing condit
conditions
ions of staf
stafff exper
experience
ience and backg
background
round including (1)
on-the-job
on-th e-job apprentice
apprentice training (one on one) for new emplo
employees
yees with little
8.1.12 Recor
Records
ds Retentio n—Reco
Retention— Records
rds per
pertain
taining
ing to test
testing
ing,, or no experience in laboratory or inspection work; (2) formal in-house
equipment
equipm ent calibra
calibration
tion and verific
verification,
ation, test repor
reports,
ts, intern
internal
al training sessions for certification, rating, or competency evaluation; and
quality system reviews, proficiency sample testing, test tech- (3) training by external organizations.
organizations. An individual with prior experience
experience
nician training and evaluation, and personnel shall be retained performing a specific test need only have competency confirmed by the
by the laboratory in a secure location for a minimum of 3 years. agency.
9.1.2.
9.1 .2.5
5 The quality
quality man
manual
ual shall con
contain
tain a doc
docume
ument
nt de-
NOTE 6—There are many circumstances when a longer retention may
be advantageous to the agency. Records concerning the calibration and scribing the method
scribing method(s)
(s) used to evaluate staff competency
competency to
verification of equipment are an example. Retention schedules of this type ensure that each test covered by the scope of this standard is
usually require such records to be held throughout the useful life of the performed in accordance with standard procedures. This de-
equipment. scription shall include the frequency of evaluations for each
technici
technician
an and ind
indicat
icatee wha
whatt pospositio
ition(s
n(s)) or emp
employ
loyee(
ee(s)
s) is
9. Quality Manual (Requireme
(Requirements)
nts)
responsible
respo nsible for evalua
evaluating
ting staf
stafff compet
competency
ency and mainta
maintaining
ining
9.1
9.1 The ag
agen
ency
cy shshal
alll es
estab
tabli
lish
sh an
and
d ma
main
intai
tain
n a qu
quali
ality
ty record
records.
s. The
These
se pro
proced
cedure
uress sha
shall
ll ens
ensure
ure tha
thatt each tech
technici
nician
an
manual meeting the following requirements: performing the test method is evaluated.
NOTE 7—The quality system requirements of AASHTO R18, ISO/IEC NOTE 9—Proficiency sample testing may be useful in evaluating staff
17025, Specifi
17025, Specification
cation E329
E329,, Practice C1077
C1077,, or Specifi
Specification
cation D3666
D3666,, competency, however, it should be used in conjunction with observation of
satisfy
satisfy the requir
requirement
ementss of this standard. actual testing performed.
9.1.1 Organization and Organizational Policies: 9.1.
9.1.2.
2.6
6 Th
Thee qu
quali
ality
ty ma
manu nual
al shshal
alll co
cont
ntai
ain
n a fo form
rm(s
(s)) fo
forr
9.1.1.1
9.1.1.1 The quality manual
manual shall contain
contain the legal name and recording training and competency evaluation activities sum-
address of the agency and that of the main office or company, marized under 9.1.2.4 and 9.1.2.5 including the name of the
if different, and any other information needed to identify the trainee, name of the evaluator, test method evaluated, the dates
organization. and result
results.
s.
9.1.1.2
9.1.1.2 The quality manual
manual shall contain the ownership and 9.1.3 Facilities and Equipment:
management structure of the agency. Names, affiliations and
9.1.3.1 Inventory—Th Thee ququali
ality
ty ma
manunual
al shshal
alll cocont
ntain
ain an
positions of principal officers and directors shall be listed.
inventory of major sampling, testing, calibration and verifica-
9.1.1.
9.1.1.3
3 The qua
quality
lity man
manual
ual sha
shall
ll con
contain
tain an or organ
ganizat
ization
ion
tion equipment associated with the test methods covered by the
chart showing relevant internal organizational components.
scope of this standard. A reference to where the inventory is
9.1.1.
9.1.1.4
4 The qua
quality
lity manual
manual shashall
ll con
contain
tain a lis
listt sho
showin
wingg
located is acceptable if it is not included in the quality manual.
applicable dates of the qualifications, accreditations and rec-
The inventory shall include, for each piece of major equipment,
ognition of the agency by others.
the name, manufacturer, model and serial number (Note ( Note 10 and
9.1.2 Staff:
Note 11).
11).
9.1.2.1
9.1.2.1 The quality manual
manual shall contain an outline or chart
showin
sho wingg ope
operat
ration
ional
al per
person
sonnel
nel pos
positio
itions
ns and the their
ir lin
lines
es of NOTE 10—M
10—Majoajorr equ
equipm
ipment
ent inc
includ
ludes
es equ
equipm
ipment
ent suc
suchh as sha
shaker
kers,
s,
authority and responsibility. physical or chemic
physical chemicalal testin
testing
g machi
machines,
nes, balances, baths, ovens, micro-
scopes, and computing equipment dedicated to testing. Equipment such as
9.1.2.2
9.1.2.2 The quality manual shall contaicontainn position descrip-
chairs, desks and file cabinets may be excluded. Major equipment does not
tionss for each tech
tion technic
nical
al ope
operat
ration
ional
al pos
positio
ition
n sho
shown
wn on the usually include expendable items such as miscellaneous glassware, sieves,
agency
age ncy’s
’s or
organ
ganizat
ization
ion cha
chart
rt in test
testing
ing are
areas
as cov
covered
ered by the molds and viscometers.
scope of this standard. These position descriptions shall iden- NOTE 11—An identification number assigned by the agency or other
tify
tify th
thee po
posi
sitio
tion
n an
and
d in
inclu
clude
de a de
desc
scri
ript
ptio
ionn of ththee du
dutie
tiess unique identifying information may be substituted for the model and serial
associat
asso ciated
ed wit
with
h the pos
positio
ition,
n, req
requir
uired
ed ski
skills,
lls, edu
educati
cation
on and number if this is the practice normally followed by the agency.
experience, and supervision exercised and received. A refer- 9.1.3.2 Equipment Calibration and Verification:

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5
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 D3740 − 12a

(1) Th
Thee qu
quali
ality
ty mamanu
nual
al sh
shall
all co
cont
ntain
ain a lilist(
st(s)
s) gi
givi
ving
ng a describin
describingg the dis
distrib
tributio
ution
n of rep
report
ortss to man
manage
agemen
mentt and
generall descri
genera description
ption of equipm
equipmentent for perfo
performing
rming tests covere
coveredd identifying the location of resulting records.
by th
thee sc
scop
opee of ththis
is st
stan
anda
dardrd th
that
at re
requ
quir
iree cal
calib
ibra
ratio
tion
n or 9.1.8 Subcontracting—The quality manual shall contain a
verific
verificatio
ation.
n. For each item listed,
listed, the list sha
shallll inc
includ
ludee the docume
doc ument
nt des
descri
cribin
bing
g the polpolicie
iciess tha
thatt the age
agency
ncy fol
follow
lowss
inter
interva
vall of ca
calib
libra
ratio
tion
n or ve veri
rific
ficat
atio
ion,
n, a re
refe
fere
renc
ncee to ththee relative to subcontracting, if it engages in such activities. A
calibration or verification procedure used (Note 12), 12), and the reference to where the policies may be found is acceptable if
location of calibration and verification records (Note ( Note 13)
13). they are not included in the quality manual. These policies shall
include procedures followed by the agency in selecting com-
NOTE 12—When standard calibration procedures are used, the standard
shall be referenced. When the procedure used has been prepared by the pete
petent
nt su
subc
bcon
ontr
trac
acto
tors
rs wh
who o me
meet
et th
thee re
requ
quir
irem
emen
ents
ts of th
this
is

agency, the is
if the work in-house designation
performed shall be
by an outside referenced. It shall be indicated
agency. pra
practic
cticee and rep
report
subcontractors. Iforting
theing the does
agency result
results
s of
not testing
testing
engage perfoactivities,
performe
in such rmedd by
NOTE 13—In addition to being in the quality manual, this information the quality manual shall contain a statement to that effect.
may also be included in the calibration and verification records on each
piece of equipm
equipment.
ent.
10. Records and Reporting
Reporting Requirements
Requirements
(2) Th
Thee qu
qual
ality
ity man
manua
uall sh
shal
alll co
cont
ntain
ain a dodocu
cume
ment
nt th
that
at
describes the agency’s method for ensuring that the calibration 10.1 The agency
10.1 agency sha
shall
ll main
maintain
tain a sys
system
tem of reco
records
rds that
and ver
verifica
ification
tion pro
proced
cedure
uress are per
perfor
formed
med for all reqrequir
uired
ed permits
per mits ver
verifica
ification
tion of any iss
issued
ued rep
report
ort.. A rec
record
ord of eac
each
h
equipm
equ ipment
ent at the spe
specifie
cified
d int
interv
ervals.
als. Thi
Thiss doc
docume
umentnt sha
shall
ll report and related records shall be retained for at least three
includee the name of individual(s)
includ individual(s) respo
responsible
nsible for ensuring that years and shall include the name of the person performing the
calibra
calibration
tion and ver
verific
ificatio
ation
n acti
activit
vities
ies are carr
carried
ied out
out,, and test(s).
procedures for handling equipment that is new, removed from 10.2 The agency shall maintain the following records: records:
service, out of calibration or defective. 10.2.1
10.2.1 Detailed
Detailed res
result
ultss (fo
(forr exa
exampl
mple,e, wor
worksh
ksheets
eets)) of all
(3) The quality manual shall contain in-house equipment required
requi red equip
equipment
ment calibr
calibration
ation and verific
verification,
ation,
calibration and verification procedures, when they cannot be
10.2.2
10.2.2 Results of internal
internal audits,
referenced in applicable standards, or have a reference to their
10.2.3
10.2.3 The res
result
ultss of any on- on-the
the-jo
-job
b tra
traini
ining
ng per
perfor
formed
med
location. including name of person, date of training, by whom and type
(4) The quality manual shall contain certificates or other
of trainin
training,
g,
documents that establish the traceability of in-house equipment
10.2.4
10.2.4 The res
results
ults of any acti activiti
vities
es per
perfor
formed
med to ens ensure
ure
or reference standards used for calibration and verification, or
continued
contin ued competence in perfo performing
rming standard test method
methods, s,
have a reference to their location in the agency.
inclu
includi
ding
ng na
name
me of pe pers
rson
on,, da
datete of cocomp
mpeteten
ency
cy ch
chec
eck,
k, by
9.1.4 Test Records and Reports: whom, what type of activity,
9.1.4.
9.1.4.1
1 The qua
quality
lity manual shall con
contain
tain a doc
docume
umentnt tha
thatt 10.2.5
10.2.5 The results of audits and inspections
inspections of the agency
describes methods used by the agency to produce test records and certifications of agency personnel with applicable dates,
and to prepare, check and amend test reports. 10.2.6
10.2.6 Record
Recordss of verifi
verification
cation of competency
competency of any exter-
9.1.4.2
9.1.4.2 The quality manual shall contain typical
typical test repor
reportt nal organizations used, and
forms which illustrate the manner in which tests results and 10.2.7
10.2.7 Record
Recordss or resume
resumess that docum
documentent the qualifications,
qualifications,
supporting information (see 8.1.11
8.1.11)) are documented. work experience, and training history of each person.

NOTE 14—A printout showing a typical test record is acceptable if the 10.3 Each report,
report, as a minimu
minimum,
m, shall include:
include:
laboratory
laboratory uses electro
electronic
nic media for repor
reportt stora
storage.
ge. 10.3.1
10.3.1 The name and address of the agency,
agency,
9.1.5 Sample Management—The quality manual shall con- 10.3.2
10.3.2 The date the report
report was issued and the date the test or
tain a docum
document
ent descr
describing
ibing procedure(s)
procedure(s) for sample identifica- inspection was performed,
tion, storage, retention, and disposal of samples. 10.3.3
10.3.3 The name of the clie client,
nt,
10.3.4
10.3.4 Identi
Identification
fication of the report, the project,
project, and the name
NOTE 15—In this context, the term storage refers to what is done before and title of the person technically responsible for the report,
testing. The term retention refers to what is done after testing.
and the standard test method(s) used,
9.1.6 Diagnostic and Corrective Action: 10.3.5
10.3.5 Specific
Specific ide
identi
ntificat
fication
ion and des
descri
cripti
ption
on of the test
9.1.6.
9.1.6.1
1 The qua
quality
lity man
manual
ual sha
shall
ll con
contain
tain a doc
docume
ument(
nt(s)
s) specimen
specim en or item inspe
inspected
cted that includ
includes
es field identification
identification
describ
describing
ing par
partici
ticipat
pation
ion in pro
profici
ficienc
encyy sam
sample
ple and on-
on-site
site and det
detaile
ailed
d loc
locatio
ationn inf
inform
ormatio
ation,
n, for exa
exampl
mple,
e, app
applica
licable
ble
inspection programs, methods used to identify poor results and horizontal and vertical coordinates of the sample source,
procedures followed when poor results occur or deficiencies 10.3
10.3.6
.6 The dadate
te th
thee tes
testt sa
samp
mplele or ite
item
m ininsp
spec
ected
ted wa
wass
occur. received by the agency, if applicable,
9.1.6.2
9.1.6.2 The quality manual
manual shall contain a document outlin-
outlin- 10.3.7
10.3.7 The standard test method(s)
method(s) used with a notatio
notationn of
ing the meth
method(
od(s)
s) use
usedd in res
respon
pondin
dingg to ext
extern
ernal
al tech
technica
nicall all known deviations from the referenced methods or require-
complaints. ments of the method(s), or both, not performed by the agency,
9.1.7 Internal Quality System Review—The quality manual 10.3.8
10.3.8 Ide
Identi
ntificat
fication
ion of tes
testt res
result
ultss or oth
other
er dat
data,
a, or bot
both,
h,
shall con
shall contain
tain a doc
docume
ument
nt des
descri
cribin
bing
g the sco
scope
pe of int
intern
ernal
al obtained from subcontractor(s), and,
quality
quality sys
system
tem rev
review
iews,
s, esta
establi
blishi
shing
ng the fre
freque
quency
ncy of the
these
se 10.3.9
10.3. 9 The results and other pertinent
pertinent data requir
required
ed by the
reviews,
review s, identif
identifying
ying indivi
individuals
duals responsible
responsible for the review
review,, test or inspection method(s) used.

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6
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 D3740 − 12a

10.4 Agenc
Agencyy test reports shall accurately
accurately and clearly present 11. Keywords
the specified test results and all pertinent data.
11.1 constr
11.1 construction
uction materials testing;
testing; quality assurance;
assurance; qual-
10.5 Correc
Corrections
tions or additions to repor
reports
ts shall clearly refer-
refer- ity control; quality manual; quality system
ence the report being amended.

SUMMARY OF CHANGES

Committee D18 has identified the locatio

Committee locationn of selected changes
changes to this practice since the last issue, D3740–12,
D3740–12,
that may impact the use of this practice. (Approved May 1, 2012)

(1) Revised the calibration, verification, and check intervals for

several pieces of equipment in Table 1. 1.

Committee D18 has identi

Committee identified
fied the locatio
locationn of selected changes
changes to this practice since the last issue, D374
D3740–1
0–11,
1,
that may impact the use of this practice. (Approved March 1, 2012)

(1) Ad
Adde
ded
d ne
new
w 7.5 and 7.6 and renum
renumbered
bered subse
subsequent
quent
paragraphs.

Committee D18 has identified the locatio

Committee location
n of selected changes
changes to this practice since the last issue, D3740–10,
D3740–10,
that may impact the use of this practice. (Approved September 1, 2011)

(1) Revised 1.4

1.4.. (2) Revised 7.4.1
7.4.1..

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