AMRL Preliminary Report

AMRL Preliminary Report
QS - 1
Quality System Evaluation

Name of Lab: Location (City, State): __________________________________________________ _________________________________________________ Assessment No. ___________
Table of Contents SECTION A. Quality System Criteria (AASHTO R18) 1. Quality Manual . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 2. Technical Manager . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 3. Quality System Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 4. Equipment Calibration and Verification . . . . . . . . . . . . . . . . . . . . . . . . . . 1 5. Proficiency Sample Testing and Records . . . . . . . . . . . . . . . . . . . . . . . . 1 6. Test Records . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 7. Records Retention . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 8. Training and Evaluation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 B. Quality Manual Requirements (AASHTO R18) 1. Organization and Organizational Policies ....................... 3 PAGE "" IF OK
2. Staff . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3,4 3. Equipment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 4. Test Records and Reports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 5. Sample Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 6. Diagnostic and Corrective Action . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 7. Internal Quality System Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 8. Subcontracting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 C. Additional Requirements - ASTM D3666 (Bituminous) . . . . . . . . . . . . . . . . . . . . 6 D. Additional Requirements - ASTM D3740 (Soil) . . . . . . . . . . . . . . . . . . . . . . . . . . 7
NOTE: An "X" indicates that a deficiency exists for one or more of the items listed under that heading. It is intended that the final Quality System Evaluation Report will reflect the deficiencies noted in this preliminary report; however, in preparation of the final report, a thorough review of the work sheets and specification standards may uncover additional deficiencies or indicate that a deficiency noted in the preliminary report is inappropriate. Received by: Assessor: ____________________________________ ____________________________________ Title: Date: _____________________________ _____________________________
QS - 1
Scope of Quality System Review: Indicate the fields of test included in the scope of this quality system evaluation. (Note - A quality system evaluation should be conducted in all fields associated with the laboratory's on-site assessment.) AC EML HMA SOL AGG
A. 1.
QUALITY SYSTEM CRITERIA
(AASHTO R18)
Quality Manual (QM) (Section 5.1): (a) Does the CML maintain a quality manual? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ____ (b) Does each document in the QM indicate its preparation or revision date? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ____ (c) Is the QM available for use by laboratory staff? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ____ Technical Manager (Section 5.2): (a) Does the CML have a technical manager who has overall responsibility for technical operations of lab? . . . . . . ____ Name: ____________________________ Title: ___________________________ (b) Has the CML nominated an individual to serve in the technical manager's absence? . . . . . . . . . . . . . . . . . . . . . ____ Name: ____________________________ Title: ___________________________ Quality System Management (Section 5.3): (a) Does the CML have a person(s) responsible for determining if quality system implementation activities are being conducted according to the QM? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Name(s): __________________________ Title(s): _________________________ (b) Does this individual have access to top management? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (c) Does the CML's management review the quality system at least annually? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (d) When a technical complaint casts doubt on the quality of the CML's work, does the CML's management ensure the quality system's continuing stability and effectiveness, and introduce any necessary changes or improvements? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
2.
3.
____ ____ ____ ____
4.
Equipment Calibration and Verification Criteria (Sections 5.4 and 5.8): (a) Is equipment that has been removed from service and new equipment that has been shown by verification (or otherwise) to be defective taken out of service and clearly identified? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ____ (b) Is newly acquired test equipment and materials without manufacturers certification calibrated or verified before being placed in service? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ____ (c) Are all applicable calibration and verification records and procedures adequate (see tables)? . . . . . . . . . . . . . ____ Proficiency Sample Testing and Records (Sections 5.5 and 5.10): All laboratories (regardless of accreditation status): (a) Is the laboratory currently enrolled in all AMRL proficiency sample programs applicable to the scope of this assessment? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ____ (b) Has the laboratory participated (i.e. supplied data) in all AMRL proficiency sample programs applicable to the scope of this assessment, and tested both samples in each pair, since the previous on-site assessment (see tables)? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ____ (c) Does the laboratory retain copies of all corrective action letters from final proficiency sample reports for which the laboratory received low ratings (i.e., 0, 1 or 2)? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ____ Accredited laboratories only: (d) Did the laboratory perform all proficiency sample test methods for which the laboratory is accredited? . . . . . . . . ____
Note to Assessors: Check the laboratorys ratings sheets in their copies of the most recent final proficiency sample report(s) for each applicable material (i.e. hot-mix, soil, etc.).
5.
(e) COMMENTS:
Has AMRL received a corrective action letter from the laboratory within 60 days of the issuance of any final proficiency sample reports for which the laboratory received low ratings (see tables)? . . . . . . . . . . . . . . . . . . . . ____
OSA.F40
Date: ______________
Assessment No: ______________
Assessor: _______________
4/00
QS - 2
6.
Test Records (Section 5.6): (a) Does the CML maintain test records for tests covered in the scope of the associated on-site assessment? . . (b) Do the test records contain sufficient information to permit verification of any test reports (original observations, calculations, derived data and identification of personnel involved in sampling and testing)? . . . (c) Are existing reports clearly referenced whenever they are amended? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (d) Does the CML prepare test reports which clearly present the following information (Table 6): (1) Identification of the report and the date issued? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (2) Description, identification and condition of the test sample? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (3) Test results and other pertinent data required by the standard test method? . . . . . . . . . . . . . . . . . . . . (4) The name of the person(s) accepting technical responsibility for the test report? . . . . . . . . . . . . . . . . . (5) An identification of any test results obtained from tests performed by subcontractor (if applicable)? . . (e) Is following information included on test reports or included in test records and traceable to test reports (Table 6): (1) The name and address of the testing laboratory? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (2) Name and address of the client or identification of the project? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (3) Date of receipt of the test sample? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (4) Date(s) of test performance? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (5) Identification of standard test method used & notation of all known deviations from test method? . . . . Records Retention (Section 5.7)*: (a) Does the CML retain the following records for a minimum of 3 years*: (1) Records pertaining to testing (work sheets, original observations/calculations, ID of testing tech., etc.)? (2) Records pertaining to equipment calibration and verification? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (3) Test reports? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (4) Records pertaining to internal quality system reviews (Ref. R18 Section 6.7)? . . . . . . . . . . . . . . . . . . .
Note to Assessors: All labs must present completed IQSRs, regardless of accreditation status.
____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____
7.
____ ____ ____ ____
(5) (6) (7)
Records pertaining to proficiency sample testing (Sections 5.5 and 5.10)? . . . . . . . . . . . . . . . . . . . . . ____ Records pertaining to technician training and evaluation? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ____ Personnel records? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ____ * Note to Assessors - Ask lab to show records to verify 3 year record maintenance.
8.
Training and Evaluation (Section 5.9)*: (a) Has the CML trained all new technicians employed since last assessment, who are performing tests covered by scope of associated on-site assessment, in manner described in QM? . . . . . . . . . . . . . . . . . . . . . . . . . . . . ____ (b) Has the CML evaluated the competency of all technicians performing tests covered by scope of associated on-site assessment in manner described in QM? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ____
Note to Assessors: All labs must present completed training and/or competency evaluation records, regardless of accreditation status.
COMMENTS:
OSA.F40
Date: ______________
Assessor: _______________
4/00
QS - 3
B.
QUALITY MANUAL (QM) REQUIREMENTS
(AASHTO R18)
Does the laboratory's Quality Manual contain the following documents: 1. Organization and Organizational Policies (Section 6.1): (a) Legal name and address of CML - and that of main office or company, if different - and any other information needed to identify the organization (6.1.1)? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ____ (b) Ownership and management structure of the CML including names, affiliations and positions of principal officers and directors (6.1.2)? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ____ (c) Organization chart showing relevant internal organizational components (6.1.3)? . . . . . . . . . . . . . . . . . . . . . . . ____ Staff (Section 6.2): (a) Outline or chart showing operational personnel positions and their lines of authority and responsibility? . . . . . ____ (b) Position Descriptions (6.2.2): Position descriptions for each technical operational position shown on CML's organization chart? . . . . . . . . . . . ____ Note: A reference to where position descriptions are found is acceptable if they are not in the QM. Do the position descriptions: (1) Identify the position? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (2) Describe the duties associated with the position? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (3) Describe the required skills, education and experience? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (4) Indicate the supervision exercised and received? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (c) ____ ____ ____ ____
2.
Biographical Sketches (6.2.3): Brief biographical sketches for supervisory technical staff involved in testing areas covered by scope of quality system evaluation? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ____ Note: A reference to where biographical sketches are found is acceptable if they are not in the QM. Do the biographical sketches indicate the following for each individual: (1) Education and work experience? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ____ (2) Licensure and certifications? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ____ (3) Current position? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ____
(d)
Training and Competency Evaluations (6.2.4 and 6.2.5): Method(s) used to ensure that CML personnel are trained to perform tests covered by scope of quality system evaluation (6.2.4)? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ____ Does the document: (1) Indicate what position(s) or employee(s) is responsible for the training program and maintenance of records? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ____ (2) Describe distribution of records to management? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ____ (3) Identify location of resulting records? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ____
(e)
Method(s) used to evaluate staff competency to ensure that each test covered by scope of quality system evaluation is performed in accordance with standard procedures (6.2.5)? . . . . . . . . . . . . . . . . . . . . . . . . . . . . ____ Does the document: (1) Indicate the frequency of evaluations? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (2) Indicate what position(s) or employee(s) is responsible for evaluating staff competency and maintaining records? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (3) Describe distribution of records to management? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (4) Identify location of resulting records? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ____ ____ ____ ____
COMMENTS:
OSA.F40
Date: ______________
Assessor: _______________
4/00
QS - 4
(f)
Sample form(s) used to record results of training and competency evaluation activities (6.2.6)? . . . . . . . . . . . ____ Does the form: (1) Include a field for entering name of trainee? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (2) Include a field for entering name of evaluator? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (3) Indicate test method(s) evaluated? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (4) Include field for indicating date activities took place? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (5) Provide field for recording results of training or evaluation activity? . . . . . . . . . . . . . . . . . . . . . . . . . . . ____ ____ ____ ____ ____
3.
Equipment (Section 6.3): Inventory (6.3.1): (a) Inventory of major sampling, testing, calibration and verification equipment associated with test methods covered by scope of quality system evaluation, and a copy of the manufacturer's instructions where applicable? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ____ Note: A reference to where the inventory and the manufacturer's instructions are found is acceptable if they are not in the QM. Does the inventory include, for each piece of major equipment where available: (1) Name of equipment? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (2) Date received? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (3) Date placed in service? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (4) Condition when received? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (5) Manufacturer? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (6) Model and serial number (or other acceptable identification number)? . . . . . . . . . . . . . . . . . . . . . . . . . (b) ____ ____ ____ ____ ____ ____
Equipment Calibration & Verification (6.3.2): List(s) giving general description of equipment for performing tests covered by scope of quality system evaluation which require calibration or verification (6.3.2.1)? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ____ Does the information for each item listed include: (1) Interval of calibration or verification? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ____ (2) Reference to calibration or verification procedure used? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ____ (3) Location of calibration and verification records? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ____
(c)
CML's method for ensuring that calibration and verification procedures are performed for all required equipment at specified intervals (6.3.2.2)? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ____ Does the document: (1) Indicate name(s) of individual(s) responsible for ensuring that calibration and verification activities are carried out? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (2) Describe procedures for handling equipment which is newly acquired, removed from service, out of calibration or defective? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (3) Identify individual(s) responsible for maintaining equipment calibration and verification records? . . . . . . (4) Describe distribution of equipment calibration and verification records to management? . . . . . . . . . . . . (5) Identify location of resulting records? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
____ ____ ____ ____ ____
(d) (e)
In-house equipment calibration and verification procedures, when they cannot be referenced in applicable standards, or has reference to their location in the CML (6.3.2.3)? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ____ Certificates or other documents that establish traceability of in-house equipment or reference standards used for calibration and verification, if any (6.3.2.4)? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ____ Note: A reference to where certificates are found is acceptable if they are not in the QM.
COMMENTS:
OSA.F40
Date: ______________
Assessor: _______________
4/00
QS - 5
4.
Test Records and Reports (Section 6.4): (a) Methods used by CML to produce test records and to prepare, check and amend test reports (6.4.1)? . . . . . . ____ Does the document: (1) Identify individual(s) responsible for maintaining test records and reports? . . . . . . . . . . . . . . . . . . . . . . . ____ (2) Describe distribution of test reports to management? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ____ (3) Identify location of resulting records? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ____ (b) Typical test report forms which illustrate manner in which tests results and supporting information (Section 5.6) are documented (6.4.2)? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ____ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ____ . . . . . . . . . . . . . ____
5. 6.
Sample Management (Section 6.5): (a) Procedure(s) for sample identification, storage, retention, and disposal?
Diagnostic and Corrective Action (Section 6.6): (a) Description of participation in proficiency sample and on-site assessment programs (6.6.1)?
Does the document(s) describe: (1) Methods used to identify poor results? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ____ (2) Procedures followed when poor results and deficiencies occur? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ____ (b) 7. Method(s) used in responding to external technical complaints (6.6.2)? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ____
Internal Quality System Review (Section 6.7): (a) Scope of internal quality system reviews? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ____ ____ ____ ____ ____
Does the document: (1) Indicate frequency of reviews? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (2) Identify individual responsible for conducting reviews? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (3) Describe distribution of reports to management? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (4) Indicate location of records showing results of reviews? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8. Subcontracting (Section 6.8): (a)
Policies which CML follows relative to subcontracting or a statement that the CML does not engage in such activities? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ____ Note: A reference to where the policies are found is acceptable if they are not in the QM. Does the document include: (1) Procedures followed by the CML in selecting competent subcontractors? . . . . . . . . . . . . . . . . . . . . . . . . ____ (2) Procedures followed by the CML when reporting results of testing performed by subcontractors? . . . . . ____
COMMENTS:
OSA.F40
Date: ______________
Assessor: _______________
4/00
QS - 6
C. ADDITIONAL REQUIREMENTS - ASTM D3666 (Bituminous) Note: These are requirements, in addition to what is required by AASHTO R18, that the lab must meet in order to become accredited for ASTM D3666. D3666 - Minimum Requirements for Agencies Testing and Inspecting Bituminous Paving Materials 1. 2. 3. Does the Laboratory Manager have at least 5 years experience in inspecting and testing bituminous materials and construction (Section 7.1)1? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ____ Does the Supervising Laboratory Technician have at least 5 years experience performing testing on bituminous materials (Section 7.2)1? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ____ Does the Supervising Field or Plant Technician or Inspector have at least 5 years experience in inspecting the kind of work involved in the bituminous construction project (Section 7.3)1? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ____
1
Note: AASHTO does not review personnel qualification records for compliance to certification requirements.
COMMENTS:
OSA.F40
Date: ______________
Assessor: _______________
4/00
QS - 7
D. ADDITIONAL REQUIREMENTS - ASTM D3740 (Soil) Note: These are requirements, in addition to what is required by AASHTO R18, that the lab must meet in order to become accredited for ASTM D3740. D3740 - Minimum Requirements for Agencies Engaged in the Testing and/or Inspection of Soil and Rock as Used in Engineering Design and Construction 1. 2. 3. Does the Laboratory Manager have at least 5 years experience in the inspection and testing of soil and rock (Section 7.1)1? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ____ Does the Supervising Laboratory Technician have at least 5 years experience performing testing on soil and rock (Section 7.2)1? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ____ Does the Supervising Field Technician have at least 5 years experience in inspecting the kind of work involved in the soil and rock construction project (Section 7.3)1? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ____
1
Note: AASHTO does not review personnel qualification records for compliance to certification requirements.
4. 5. 6. 7. 8. 9.
Are the Supervising Laboratory Technician and Supervising Field Technician re-evaluated at least every three years for each test the person is authorized to perform (Sections 7.2 and 7.3)? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ____ Are Inspecting or Testing Technicians re-evaluated at least every two years for each test the person is authorized to perform (Section 7.4)? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ____ Does the agency have a laboratory procedure manual outlining the method or inspection procedure for each customary test or service performed by the laboratory (Section 8.1.3)? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ____ Does the agency maintain records of any external audits and documentation describing how the deficiencies were corrected (Section 8.1.8)? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ____ Does the QM contain a list showing applicable dates of the qualifications, accreditations and recognition of the agency by others (Section 9.1.1.4)? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ____ Does the agency maintain records of the verification of competency of any external organizations used (Section 11.2.6)?____
Note to Assessors: This would include outside agencies that are used for equipment c/v as well as subcontractor laboratories.
COMMENTS:
OSA.F40
Date: ______________
Assessor: _______________
4/00
AMRL Preliminary Report Bituminous Materials Test Equipment

Cal/Verif (C/V) Written Procedures
2
April 2000
Do the records contain the following? Name 1 Model & of Serial No. worker ID of C/V equip used Date work done
3
ITEM
R18 Spec. Int. (mo.)
Lab spec. interval < R18?
C/V within spec. int.?
In QM or ref. to loc.?
C/V Equip. listed
Next due date
Previous C/V Detailed date results
Reference to procedure used
ASPHALT Flash cups (check critical dimensions) Flash cups (check critical dimensions) Penetrometers (check accuracy of dial & timer, check needle condition) Collars and floats (check critical dimensions) Ductility machines (check molds & speed of travel) Brass rings and assemblies (check critical dimensions) Thin-Film ovens (check rotation speed of shelf, check temperature) Timers (check accuracy) (T48/D92) (T79/D3143) (T49/D5) (T50/D139) (T51/D113) (T53/D36) (T179/D1754) (T201/D2170, T202/D2171) (T228/D70) (T240/D2872) (T240/D2872) EMULSION Saybolt viscometers (calibrate) GENERAL EQUIPMENT Ovens (verify temperature settings) Thermometers (calibrate)
(T49/D5, T51/D113, T201/D2170, T202/D2171, T209/D2041, T228/D70, T295/D3142)
12 12 6 12 12 12 12 6 12 12 12
Pycnometers (check critical dimensions & physical condition) Rolling Thin-Film ovens (check rotation speed of shelf, check temperature) Flow meters (calibrate)
(T59/D244)
36
T72/D88
4 6 12 24
4 4 E77
General purpose balances, scales, and weights (verify) Analytical balances and weights (verify)
COMMENTS:
1 2 3
Other information which uniquely identifies the test equipment may be substituted. Example: Serial No. of proving ring, std. thermometer, std. weight set, calipers, balances, timers, std. oil, etc. This information does not have to appear on the C/V record. 4 A standard calibration or verification procedure is available and in most cases must be used. 5 List of all equipment, including glass plates, rulers, straightedges, etc.
Date: ___________ Assessment No.: ___________ Assessor: ___________
AMRL Preliminary Report Hot-Mix Asphalt (HMA) Test Equipment

2
April 2000
Do the records contain the following? Model Name & Serial of No. worker
1
ITEM
R18 Spec. Int. (mo.) (T245) (T245/D1559) (T245/D1559) (T245/D1559) (T247/D1561) (T246/D1560) (T247/D1561) (T246/D1560, T247/D1561) 36 12 12 12 24 12 12 12 12 12 12 12 12 12 6
C/V Equip. listed
ID of C/V equip used
Date work done
Next due date
Mechanical compactors (calibrate) Manual compaction hammers (check mass of hammer & critical dimensions) Molds (check critical dimensions) Breaking heads (check critical dimensions) California kneading compactors (calibrate) Calibration cylinders (check critical dimensions) Molds (check critical dimensions) Followers (check critical dimensions) Compression testing machines (verify load indications)
(T167/D1074, T245/D1559, T246/D1560) (T167/D1074) (T167/D1074) (T170/D1856) (T209/D2041) (T30/D5444)
T67/E4
Compressive strength molds (check critical dimensions) Compressive strength plungers (check critical dimensions) Flow meters (calibrate) Vacuum system (check pressure) Mechanical shakers (check sieving thoroughness)
4 4
4 4
T30/D5444 M92/E11
Sieves (check physical condition of all, check openings of No.4) (T30/D5444)
COMMENTS:
1 2 3
AMRL Preliminary Report Soil Test Equipment

2
April 2000
1
ITEM
R18 Spec. Int. (mo.) (T88/D422) (T89/D4318) (T89/D4318) (T99/D698) (T180/D1557) (T99/D698) (T180/D1557) 24 12 12 12 12 12 12 12 12 12 12 6 (T100/D854) (T176/D2419) 24 12
In QM 5C/V or ref. Equip. to loc.? used
Date work done
Next due date
Previous C/V date
Detailed results
Hydrometers (check critical dimensions) Liquid limit devices (check wear & critical dimensions) Grooving tools (check critical dimensions) Mechanical compactors (calibrate- 5.5 lb) Mechanical compactors (calibrate - 10 lb) Manual hammers (check weight & critical dimensions - 5.5 lb) Manual hammers (check weight & critical dimensions - 10 lb)
4 4
D2168
Molds: proctor & soil cements (T99/D698, T134/D558, T135/D559, T136/D560, T180/D1557) (check critical dimensions, 4-in. diameter) Molds: proctor (check critical dimensions, 6-in. diameter) Molds: R-value (check critical dimensions) Molds: CBR (check critical dimensions)
(T99/D698, T180/D1557)
(T190/D2844) (T193/D1883)
Straightedges (T99/D698, T134/D558, T135/D559, T136/D560, T180/D1557) (check planeness of edge) Vacuum systems (check pressure) Weighted foot assemblies (check weight)
Soil Test Equipment Continued On Next Page COMMENTS:
1 2 3
AMRL Preliminary Report Soil Test Equipment (contd)

2
April 2000
1
ITEM
R18 Spec. Int. (mo.) (T190/D2844) (T190/D2844) (T190/D2844) (T193/D1883) (T193/D1883) (T193/D1883) 24 12 12 12 12 12 12 12 12 12 12 12 12 6 4 12
C/V Equip. used
Date work done
Next due date
Previous C/V date
Detailed results
California kneading compactor (calibrate) Standard metal specimens (check outside diameter) Metal followers (check diameter) CBR annular and slotted weights (check weight) CBR penetration pistons (check diameter) Compression/ loading devices: CBR (verify load indications)
4 4
4 4
T67/E4 T67/E4
Compression/ loading devices: unconf. (verify load indications) (T208/D2166) Compression/ loading devices: consol. (verify load indications) (T216/D2435) Compression/ loading devices: shear (verify normal load indication)(T236/D3080) Compression/ loading devices: shear (verify shear load indications) Compression/ loading devices: UU (verify load indications) Compression/ loading devices: CU (verify load indications) Mechanical shakers (check sieving thoroughness) Sieves (check physical condition of all, check openings of No. 4) Ovens (verify temperature settings) General purpose balances, scales, and weights (verify)
(T236/D3080)
4 4 4 4 4
4 4 4 4 4
T67/E4 T67/E4 T67/E4 T27/C136 M92/E11
(T296/D2850) (T297/D4767)
COMMENTS:
1 2 3
AMRL Preliminary Report Aggregate Test Equipment

2
April 2000
1
ITEM
R18 Spec. Int. (mo.) (T19/C29) (T84/C128) (T96/C131) (T96/C131) (T104/C88) (T104/C88) (T176/D2419) 12 24 24 24 12 12 12 12 6 4 12

4
C/V Equip. listed
Date work done
Next due date

4

T19/C29
Unit weight measures (calibrate) Conical molds and tampers (check critical dimensions) L.A. machines (check RPM & critical dimensions) Steel balls (check individual weight & charge weight) Sulfate soundness specimen containers (check physical condition) Sulfate soundness oven (check rate of evaporation) Weighted foot assemblies (check weight) Mechanical shakers (check sieving thoroughness) Sieves (check physical condition of all, check openings of No. 4) Ovens (verify temperature settings) General purpose balances, scales, and weights (verify)
T104/C88
4 4
4 4
T27/C136 M92/E11
COMMENTS:
1 2 3
AMRL Preliminary Report Proficiency Sample Program (PSP) Requirements Laboratory Name/Location: AMRL #: Date of Previous OSA: Areas Accredited/Dates: __________________________________________ ____________ ____________ _______/_______ _______/_______ _______/_______ Sample Number(s) Received Date of Final Report Data Provided to AMRL?
April 2000
_______/_______ Corrective Action Provided to AMRL? Corrective Action Retained by Laboratory?
Types of Samples Applicable to the Laboratorys Accreditation
List any test methods in the scope of the laboratorys accreditation for which low ratings or insufficient data were received.
COMMENTS:
AMRL Preliminary Report Proficiency Sample Program (PSP) Requirements Laboratory Name/Location: AMRL #: Date of Previous OSA: Areas Accredited/Dates: __________________________________________ ____________ ____________ _______/_______ _______/_______ _______/_______ Sample Number(s) Received Date of Final Report Data Provided to AMRL?
April 2000
_______/_______ Corrective Action Provided to AMRL? Corrective Action Retained by Laboratory?
Types of Samples Applicable to the Laboratorys Accreditation
List any test methods in the scope of the laboratorys accreditation for which low ratings or insufficient data were received.
COMMENTS:

AMRL Preliminary Report

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Quality System Evaluation