ASTM D3740-99c

NOTICE: This standard has either been superseded and replaced by a new version or discontinued.
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Designation: D 3740 – 99c
Standard Practice for
Minimum Requirements for Agencies Engaged in the
Testing and/or Inspection of Soil and Rock as Used in
Engineering Design and Construction
This standard is issued under the fixed designation D 3740; the number immediately following the designation indicates the year of
original adoption or, in the case of revision, the year of last revision. A number in parentheses indicates the year of last reapproval. A
superscript epsilon (e) 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. Scope * approved through the ASTM consensus process.
1.1 This practice establishes minimum qualifications for
2. Referenced Documents
agencies engaged in the testing and inspection of soil and rock.
2.1 ASTM Standards:
Minimum requirements for field and laboratory personnel are
D 422 Test Method for Particle-Size Analysis of Soils
defined. The practice also covers the establishment and main-
D 558 Test Methods for Moisture-Density Relations of
tenance of a quality system.
Soil-Cement Mixtures
1.2 Criteria are provided for evaluating the capability of an
D 559 Test Methods for Wetting and Drying Compacted
agency to properly perform designated tests on soil and rock,
Soil-Cement Mixtures
and for establishing essential characteristics pertaining to an
D 560 Test Methods for Freezing and Thawing Compacted
agency’s organization, personnel, facilities, and quality system.
Soil-Cement Mixtures
This practice may be supplemented by more specific criteria
D 653 Terminology Relating to Soil, Rock and Contained
and requirements for particular projects.
Fluids
1.3 This practice can be used as a basis to evaluate testing
D 698 Test Method for Laboratory Compaction Character-
and inspection agencies, or both, and is intended for use for the
istics of Soil Using Standard Effort (12,4000 ft-lbf/ft (600
qualifying or accrediting, or both, of testing or inspection
3 2
kN-m/m ))
agencies, public or private, engaged in the testing and inspec-
D 854 Test Method for Specific Gravity of Soils
tion of soil and rock as used in engineering design and
D 1557 Test Method for Laboratory Compaction Character-
construction.
istics of Soil Using Modified Effort (56,000 ft-lbf/ft
1.4 This practice is not intended to apply to agencies
(2,700 kN-m/m ))
engaged in chemical testing of soil, rock, and contained fluid.
D 1883 Test Method for CBR (California Bearing Ratio) of
The minimum requirement for those agencies can be found in
Laboratory-Compacted Soils
Specification D 5522.
D 2166 Test Method for Unconfined Compressive Strength
1.5 This standard does not purport to address all of the
of Cohesive Soil
safety concerns, if any, associated with its use. It is the
D 2419 Test Method for Sand Equivalent Value of Soils and
responsibility of the user of this standard to establish appro-
Fine Aggregate
priate safety and health practices and determine the applica-
D 2435 Test Method for One-Dimensional Consolidation
bility of regulatory limitations prior to use.
Properties of Soils
1.6 This practice offers a set of instructions for performing
D 2664 Test Method for Triaxial Compressive Strength of
one or more specific operations. This document cannot replace
Undrained Rock Core Specimens Without Pore Pressure
education or experience and should be used in conjunction
Measurements
with professional judgment. Not all aspects of this practice may
D 2844 Test Method for Resistance R-Value and Expansion
be applicable in all circumstances. This ASTM standard is not
Pressure of Compacted Soils
intended to represent or replace the standard of care by which
D 2845 Test Method for Laboratory Determination of Pulse
the adequacy of a given professional service must be judged,
Velocities and Ultrasonic Elastic Constants of Rock
nor should this document be applied without consideration of
D 2850 Test Method for Unconsolidated, Undrained Com-
a project’s many unique aspects. The word “Standard” in the
pressive Strength of Cohesive Soils in Triaxial Compres-
title of this document means only that the document has been
sion
D 2936 Test Method for Direct Tensile Strength of Intact
This practice is under the jurisdiction of ASTM Committee D-18 on Soil and
Rock and is the direct responsibility of Subcommittee D18.99 on Quality Control.
Current edition approved Oct. 10, 1999. Published December 1999. Originally Annual Book of ASTM Standards, Vol 04.08.
published as D 3740 – 78. Last previous edition D 3740 – 99b. Annual Book of ASTM Standards, Vol 14.02.
*A Summary of Changes section appears at the end of this standard.
Copyright © ASTM, 100 Barr Harbor Drive, West Conshohocken, PA 19428-2959, United States.
D 3740
Rock Core Specimens D 4971 Test Method for Determining the In Situ Modulus
D 2938 Test Method for Unconfined Compressive Strength of Deformation of Rock Using the Diametrically Loaded
2 2
76-mm (3-in.) Borehole Jack
of Intact Rock Core Specimens
D 3080 Test Method for Direct Shear Test of Soils Under D 5220 Test Method for Water Content of Soil and Rock
2 2
In-Place By the Neutron Depth Probe Method
Consolidated Drained Conditions
D 5240 Test Method for Testing Rock Slabs to Evaluate
D 3148 Test Method for Elastic Moduli of Intact Rock Core
Soundness of Riprap By Use of Sodium Sulfate or
Specimens in Uniaxial Compression
Magnesium Sulfate
D 3967 Test Method for Splitting Tensile Strength of Intact
D 5255 Practice for Certification of Personnel Engaged in
Rock Core Specimens
the Testing of Soil and Rock
D 4318 Test Method for Liquid Limit, Plastic Limit, and
D 5312 Test Method for Evaluation of Durability of Rock
Plasticity Index of Soils
for Erosion Control Under Freezing and Thawing Condi-
D 4341 Test Method for Creep of Cylindrical Hard Rock
tions
Core Specimens in Uniaxial Compression
D 5313 Test Method for Evaluation of Durability of Rock
D 4394 Test Method for Determining the In Situ Modulus
for Erosion Control Under Wetting and Drying Condi-
of Deformation of Rock Mass Using the Rigid Plate
tions
Loading Method
D 5334 Test Method for Determination of Thermal Conduc-
D 4395 Test Method for Determining the In Situ Modulus
tivity of Soil and Soft Rock by Thermal Needle Probe
of Deformation of Rock Mass Using the Flexible Plate
Procedure
Loading Method
D 5335 Test Method for Linear Coefficient of Thermal
D 4403 Practice for Extensometers Used in Rock
Expansion of Rock Using Bonded Electric Resistance
D 4405 Test Method for Creep of Cylindrical Soft Rock
2 Strain Gages
Core Specimens in Uniaxial Compressions
D 5407 Test Method for Elastic Moduli of Undrained Intact
D 4406 Test Method for Creep of Cylindrical Rock Core
2 Rock Core Specimens in Triaxial Compression Without
Specimens in Triaxial Compression
2 Pore Pressure Measurement
D 4435 Test Method for Rock Bolt Anchor Pull Test
D 5522 Specification for Minimum Requirements for Labo-
D 4436 Test Method for Rock Bolt Long-Term Load Re-
2 ratories Engaged in Chemical Analysis of Soil, Rock, and
tention Test
Contained Fluid
D 4506 Test Method for Determining the In Situ Modulus
E 1187 Terminology Relating to Laboratory Accreditation
of Deformation of Rock Mass Using a Radical Jacking
E 1301 Guide for Development and Operation of Labora-
Test
tory Proficiency Testing Programs
D 4525 Test Method for Permeability of Rocks by Flowing
Air
3. Terminology
D 4535 Test Methods for Measurement of Thermal Expan-
3.1 Definitions:
sion of Rock Using a Dilatometer
3.1.1 For definitions of terms used in this practice see
D 4543 Practice for Preparing Rock Core Specimens and
Terminologies D 653 and E 1187.
Determining Dimensional and Shape Tolerances
3.2 Definitions of Terms Specific to This Standard:
D 4553 Test Method for Determining In Situ Creep Char-
3.2.1 agency—an organization, or part of an organization,
acteristics of Rock
engaged in activities of technically oriented testing or inspec-
D 4554 Test Method for In Situ Determination of Direct
tion, or both.
Shear Strength of Rock Discontinuities
3.2.2 quality manual—a document stating the quality
D 4555 Test Method for Determining Deformability and
policy, quality system and quality practices of an organization.
Strength of Weak Rock by an In Situ Uniaxial Compres-
3.2.3 qualified national authority—an organization recog-
sive Test
nized throughout the country, with the capability to asses and
D 4611 Test Method for Specific Heat of Rock and Soil
monitor the professional and technical activities of an inspec-
D 4612 Practice for Calculating Thermal Diffusivity of
tion or testing agency, or both.
Rocks
4. Significance and Use
D 4630 Test Method for Determining Transmissivity and
Storativity of Low Permeability Rocks by In Situ Mea- 4.1 This practice provides the basic minimum criteria for
surements Using the Constant Head Injection Test use in evaluating the qualifications of a testing or inspection
D 4631 Test Method for Determining Transmissivity and agency, or both, for soil and rock. The criteria may be
supplemented by more specific criteria and requirements. An
Storativity of Low Permeability Rocks by In Situ Mea-
individual user can also use it to judge the qualification of an
surements Using the Pressure Pulse Technique
agency. The existence of a formal accrediting body such as a
D 4644 Test Method for Slake Durability of Shales and
federal, state, or independent agency is not necessary for the
Similar Weak Rocks
use of this standard.
D 4645 Test Method for Determination of the In Situ Stress
in Rock Using the Hydraulic Fracturing Method
NOTE 1—Users of this practice should be aware that certain of these
D 4729 Test Method for In Situ Stress and Modulus of
requirements may not be achievable and/or applicable to work performed
Deformation Using the Flatjack Method outside of the U.S.A. In such cases, users should ensure that all necessary
D 3740
modifications are made to these requirements such as to render them
NICET (Note 2) Level IV Certification in Construction Mate-
appropriate to each specific set of circumstances.
rials Testing—Soils, Geotechnical Engineering Technology or
Transportation Engineering—Subfield Highway Materials
4.2 The intent of this practice is to provide a consensus basis
shall be considered as one means of evidence of the experience
for evaluating a testing or inspection agency, or both, with
of this individual.
respect to that agency’s capability to objectively and compe-
tently provide the specific services needed by the user.
NOTE 2—The National Institute for Certification in Engineering Tech-
4.3 This practice may be used as a basis for accreditation.
nologies (NICET) is a nationally recognized certification organization.
Refer to Practice D 5255 for other guidelines on certification.
5. Responsibilities and Duties
7.2 Supervising Laboratory Technician— The supervising
5.1 The agency shall ensure that only inspections or tests for
laboratory technician shall have at least 5 years experience
which it is adequately equipped and staffed are performed.
performing tests on soil and rock. This person must demon-
5.2 The agency shall ensure that personnel perform only
strate, by performance evaluation and written/oral examina-
inspections and tests for which they are adequately trained,
tion, the ability to perform the tests normally required in the
qualified and certified in accordance with applicable specifica-
manner stipulated under ASTM or other governing procedures
tions.
and shall be capable of evaluating the test results in terms of
5.3 The agency shall ensure that all equipment is properly
specification compliance. A current valid NICET Level III
maintained in good operating condition and is calibrated as
Certification (Note 1) in Construction Materials Testing—
applicable.
Subfield Soils or Getotechnical Engineering Technology or
5.4 The agency shall perform all testing and inspection in
Transportation Engineering—Subfield Highway Materials
accordance with appropriate standards and quality control
shall be considered as one means of evidence of competency.
criteria.
At a minimum, each person shall be re-evaluated at least every
three years for each test the person is authorized to perform.
6. General Capabilities
7.3 Supervising Field Technician—This person shall have at
6.1 Laboratory Testing—The agency performing laboratory
least 5 years experience in inspecting the kind of work
testing of soil and rock shall have suitable test equipment and
involved in the soil and rock construction project. This person
laboratory facilities for storing and testing samples and prepar-
must demonstrate, by performance evaluation and written/oral
ing samples for test.
examination, the ability to correctly perform the required
6.2 Field Testing and Inspection—The field services of a
duties. A current valid NICET Level III Certification (Note 1)
soil and rock testing and inspection agency shall include some
in Construction Materials Testing— Subfield Soils or Geto-
or all of the following capabilities:
technical Engineering Technology or Transportation
6.2.1 testing of in situ materials,
Engineering—Subfield Highway Materials shall be considered
6.2.2 testing of materials being processed,
as one means of evidence of competency. At a minimum, each
6.2.3 checking on adequacy of production equipment or
person shall be re-evaluated at least every three years for each
construction equipment used for reworking or processing soil
test the person is authorized to perform.
and rock,
7.4 Inspecting or Testing Technician— This person shall
6.2.4 observation and inspection of soil or rock placement,
have a high school diploma or equivalent or trade school
and
training and have had sufficient on-the-job training to properly
6.2.5 in-place testing of constructed components.
perform the test or inspection to which the person is assigned.
6.3 Sampling—the services of an agency responsible for
This person must be able to demonstrate either by oral or
sampling soil and rock shall include some or all of the
written examination, or both, competence for the test or
following capabilities:
inspection which is conducted. A NICET Level II Certification
6.3.1 sampling of in situ materials,
in Construction Materials Testing—Soils shall be considered as
6.3.2 sampling of materials which are to be reworked,
one means of initial evidence of competency. At a minimum,
processed, and reused,
each person shall be re-evaluated at least every two years for
6.3.3 sampling of materials being processed, and
each test the person is authorized to perform. A NICET Level
6.3.4 sampling of constructed components.
I, with the appro
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