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AASHTO’s National Transportation Product Evaluation Program (NTPEP) ContactEvaluation of Name and Location Information

Audit Report

PlantName:

Physical Address:

Mailing Address:(if different from above)

Proprietary OwnershipCompany Name:

Physical Address:

Primary ContactName:Title:

Telephone:Email:

Fax:

ManagementQC Manager:

Plant Manager:

Auditor ContactName:

Telephone:Address:

Email:

Auditor Name: _______________Audit Report Number: ____________

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AASHTO’s National Transportation Product Evaluation Program (NTPEP) ContactEvaluation of Name and Location Information

Audit Report

DOT Official ContactName:

Title / Organization:Telephone:

Address:

Email:



Address:

Email:



Address:

Email:

Other Attendee ContactName:


Address:

Email:


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AASHTO’s National Transportation Product Evaluation Program (NTPEP) ReportEvaluation of Summary

Audit Report

Evaluation Program for Plastic Pipe Facilities Producing PVC Pipe

Summary Report ForManufacturer: Location

IntroductionThe National Transportation Product Evaluation Program (NTPEP) is a program under the sponsorship of the American Association of State Highway and Transportation Officials (AASHTO). The NTPEP Evaluation Program for PVC Pipe Facilities provides a comprehensive review of the production and testing of pipe and of the quality management system. The evaluation starts with a desktop review of the facility’s quality manual and concludes with an on-site review of the facility’s processes and their quality management system documentation.

The desktop review and the on-site review were conducted by Lead Auditor Katheryn Malusky (AASHTO) / Evan Rothblatt (AASHTO) / Dan Stegmaier (AASHTO) / Pete Spellerberg (AASHTO). Contech was represented by Jason Richards (Plant Manager), Sam Shadowen (Quality Assurance Manager), Joe Richardson (Quality Assurance Manager – Perry, GA), during the on-site audit which was completed on Thursday, February 28, 2011.

The evaluation findings follow. Deviations from program requirements are noted in red.

Testing Personnel (Section 1) The following personnel were approved to run quality control testing at the plant:

Standard Specifications (Section 3) The plant had current versions of all applicable AASHTO and ASTM standards. These standards

were located

PVC Plastic Pipe Size and Type Produced (Section 4)

Audit of Training and Competency Evaluation Records (Section 6)

Sample / Yard Inspection (Section 7)

Manufacturing Process Walk-through (Section 8)

Quality Control Testing Equipment and Procedures (Section 9)


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AASHTO’s National Transportation Product Evaluation Program (NTPEP) ReportEvaluation of Summary

Audit Report

The following quality tests were demonstrated satisfactorily and the equipment for each test was in adequate condition:

Records Review (Section 10)


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AASHTO’s National Transportation Product Evaluation Program (NTPEP) Table ofEvaluation of Contents

Audit Report

Table of Contents

Section 1: Testing Personnel........................................................................................................6

Section 2: Corrugated Pipe Identification Markings................................................................6

Section 3: Standard Specifications..............................................................................................7

Section 4: Size and Type of Material Produced by the Plant...................................................8

Section 5: Product Information...................................................................................................9

Section 6: Training and Competency Evaluation Records.....................................................11

Section 7: Yard Inspection.........................................................................................................12

Section 8: Manufacturing Process Walk-through...................................................................14

Section 9: Quality Control Testing Facilities and Procedures................................................21

Section 10: Records Review.........................................................................................................41

Section 11: Sample Reports for CompoundResin and Pipe Testing........................................45

Section 12: Quality Management System (QMS) Requirements.............................................46

Section 13: Report Signature.......................................................................................................47


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AASHTO’s National Transportation Product Evaluation Program (NTPEP) Sections 1& 2Evaluation of Personnel and

Markings

Audit Report

Section 1: Testing Personnel

Auditor Note – List the plant personnel approved to perform quality Control tests. Obtain the information during the audit or refer to the plant’s pre-audit documentation or previous audit report.

Identification of the personnel approved to run quality control testing at the plant:

Name Position1)

2)

3)

4)

5)

6)

7)

8)

9)

10)

11)

12)

13)

14)

15)

Section 2: PVC Pipe Identification Markings

Auditor Note - Insert a picture(s) of the plant’s unique pipe identification markings. Refer to the plant’s pre-audit documentation or previous audit report


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AASHTO’s National Transportation Product Evaluation Program (NTPEP) Section 3Evaluation of Standard

Specifications

Audit Report

Section 3: Standard Specifications

Auditor Note - Indicate if current versions of the following AASHTO & ASTM standards are available at the plant.

AASHTO ASTMPoly (Vinyl Chloride) (PVC) Profile Wall Drain Pipe and Fittings Based on Controlled Inside Diameter M 304-10

Standard Test Methods for Determining the Izod Pendulum Impact Resistance of Plastics D 256-10

Standard Practice for Conditioning Plastics for Testing D 618-08

Standard Test Method for Tensile Properties of Plastics D 638-10

Standard Test Method for Deflection Temperature of Plastics Under Flexural Load in the Edgewise Position D 648-07

Standard Terminology Relating to Plastics D 883-11

Standard Test Method for Dilute Solution Viscosity of Vinyl Chloride Polymers D 1243-95 (08)

Standard Terminology for Abbreviated Terms Relating to Plastic D 1600-08

Standard Specification for Rigid Poly (Vinyl Chloride) (PVC) Compounds and Chlorinated Ploy (Vinyl Chloride) (CPVC) Compounds

D 1784-11

Standard Test Method for Adequacy of Fusion of Extruded Poly(Vinyl Chloride) (PVC) Pipe and Molded Fittings by Acetone Immersion

D 2152-95 (10)

Standard Test Method for Determining Dimensions of Thermoplastic Pipe and Fittings D 2122-98 (10)

Standard Practice for Underground Installation of Thermoplastic Pipe for Sewers and Other Gravity-Flow Applications D 2321-11

Test Method for Determination of External Loading Characteristics of Plastic Pipe by Parallel-Plate Loading D 2412-11

Test Method for Determination of Impact Resistance of Thermoplastic Pipe and Fittings by Means of a TUP (Falling Weight)

D 2444-99 (10)

Standard Specification for Joints for Drain and Sewer Plastic Pipes Using Flexible Elastomeric Seals D 3212-07


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AASHTO’s National Transportation Product Evaluation Program (NTPEP) Section 3Evaluation of Standard

Specifications

Audit ReportStandard Terminology Relating to Plastic Piping SystemsStandard Specification for Elastomeric Seals (Gaskets) for Joining Plastic Pipe

F 412-09

Comments: None


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AASHTO’s National Transportation Product Evaluation Program (NTPEP) Section 4Evaluation of Size and Type of

Material

Audit Report

Section 4: Size and Type of Material Produced by the Plant

Auditor Note – Indicate all applicable AASHTO pipe produced at this location. Refer to the pre-audit documentation or the plant’s previous audit report.

Specification M304: Indicate all applicable pipe produced at this location:Size inches [mm] St

4 [100]5 [125]6 [150]7 [175]8 [200]9 [225]10 [250]12 [300]15 [375]18 [450]21 [525]24 [600]27 [673]30 [750]36 [900]42 [1050]48 [1200]


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AASHTO’s National Transportation Product Evaluation Program (NTPEP) Section 5Evaluation of Product Information

Audit Report

Section 5: Product Information

Auditor Note – Complete the following section using information acquired by the pre-audit documentation.

YES NOA) General

1) Does the company own plants at other locations?

2) If yes, does each plant have its own unique pipe marking?List other locations: N/A

B) CompoundResin Information1) How is compound received at the plant? by Railcar by Truckload with Hopper by Truckload of Boxes by Other Method:

If Other Method, Please Describe:

2) Please Describe your Lot Numbering System:

3) Are Certificates of Analysis furnished by Manufacturers for each lot of compound?Please identify and describe what blends your facility uses:Comments: None

C) Pipe InformationThe following tables include details for quality control testing. Please indicate, for each test shown, whether your facility conducts the test in-house, by a second party facility, or by a third party facility. If the test is conducted by a second party facility or third party facility, please indicate the interval tested as well as the contact information and address for the facility. (The in-house and second parties are the manufacturer and owner agency (DOT), and a third party is an impartial testing facility not under the control or influence of either the manufacturer or owner.)


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AASHTO’s National Transportation Product Evaluation Program (NTPEP) Section 5Evaluation of Product Information

Audit Report

• QC Test Matrix – M304

Matrix of Quality Control Tests, Facilities, and Intervals (M304)

TEST NAME

Testing Performed: Test Interval:

In-House

By a Second Party

Facility1

By aThird Party

Facility1

M304

Compound Tests:Tensile Strength and Modulus of ElasticityImpact Resistance (Izod)Deflection TemperatureFlammabilityPipe Tests:Wall ThicknessInside DiameterPerforation Locations and DimensionsPipe StiffnessPipe FlatteningLow Temperature FlexibilityImpact Resistance (Tup)Acetone ImmersionSoiltightnessWatertightness

1Names, addresses, and contact information for second and/or third party facilities used:


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AASHTO’s National Transportation Product Evaluation Program (NTPEP) Section 6Evaluation of Audit of Training

Audit Report

Section 6: Audit of Training and Competency Evaluation Records

A) Audit of Training and Competency Evaluation records:

Auditor Note – The auditor shall select two random names from Section 1 to verify training and competency evaluation records.Name: Name:

Training Record

Adequate?

Competency Eval. Recd’s Adequate?

Training Record

Adequate?

Competency Eval. Recd’s Adequate?

Compound Tests YES NO YES NO N/A Compound Tests YES NO YES NO N/ATensile Strength and Modulus of Elasticity

Tensile Strength and Modulus of Elasticity

Impact Resistance (Izod)

Impact Resistance (Izod)

Deflection Temperature Deflection Temperature

Flammability FlammabilityPipe Tests Pipe TestsWall Thickness Wall ThicknessInside Diameter Inside DiameterPerforation Locations and Dimensions

Perforation Locations and Dimensions

Pipe Stiffness Pipe StiffnessPipe Flattening Pipe FlatteningLow Temperature Flexibility

Low Temperature Flexibility

Impact Resistance (Tup)

Impact Resistance (Tup)

Acetone Immersion Acetone Immersion

Soiltightness SoiltightnessWatertightness Watertightness

1) Do the training records indicate that at least one person is trained for each quality control test performed in house?

YES NO

Comments: None


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AASHTO’s National Transportation Product Evaluation Program (NTPEP) Section 7Evaluation of Sample/Yard

Inspection

Audit Report

Section 7: Sample / Yard Inspection

A) Split Sample SelectionProduct Trade Name: None

Sample 1 Sample 2 Sample 3 Sample 4Spec: Spec: Spec: Spec:Size: Size: Size: Size:

Is a compound sample available for split sample testing?Yes No Yes No Yes No Yes No

Split sample testing is requested for:Pipe only Compound and Pipe

Pipe only Compound and Pipe



B) Raw MaterialsAre compound lot test results available?

Yes No Yes No Yes No Yes No

C) Finished Product TestsAre production facility test reports are available for the same lot of pipe?

Yes No Yes No Yes No Yes No

Compound Lot # Compound Lot # Compound Lot # Compound Lot #

Pipe Lot # Pipe Lot # Pipe Lot # Pipe Lot #

Compound Manufacturer(s):




D) Split Sample Markings Verifications (Conducted by auditor)1) Do pipe markings: Yes No a) exist along the pipe at intervals not exceeding 4.911.5 ft [13.5 m]? b) include the Manufacturer’s name or trademark? c) include nominal size? d) include the specification designation? e) identify the plant designation code? f) identify the date of manufacture or an appropriate code?

Comments: None


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Inspection

Audit ReportAuditor Note – After the split sample sizes and specs are decided on, the auditor should conduct the yard inspection of the AASHTO pipe in the yard noting any physical defects. In addition the auditor should select three random samples of M304 pipe to verify proper quality control records.

YES NOE) Visual Inspection of Pipe in the Yard (Conducted by auditor)

Pipe Inspections

1) The auditor shall inspect exterior and interior walls to ensure that:

a. free from delamination?

b. free from blowouts?

c. free of foreign inclusion and visible defects?

d. the ends are cut squarely and do not affect joining?

2) The auditor shall inspect non-AASHTO pipe to ensure that it is not marked M304?3) The auditor shall inspect to ensure that damaged pipe has been marked according to

the manufacturer’s Quality Manual?Comments: None

Fittings and Couplings Inspections

1) The auditor shall inspect exterior and interior walls to ensure that:

a. free of foreign inclusion and visible defects?

b. the ends are cut squarely and do not affect joining?

2) The auditor shall inspect fittings and couplings to ensure the markings include:

a. Manufacturer Name or Trademark?

b. Specification?

Comments: None

Auditor Note – To gather the proper information for the record traceability (using three randomly selected samples from the yard) complete the following chart titled Test Record Audit.


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Inspection

Audit Report

Section 7: Sample/Yard Inspection

• M304 Yard Samples

F) M294 Random Sample Information and Record AuditM304 Yard Sample 1 M304 Yard Sample 2 M304 Yard Sample 3

Size: Size: Size:

Shift: Shift: Shift:

Manuf. Date: Manuf. Date: Manuf. Date:

Plant: Plant: Plant:CompoundResin Lot #:

CompoundResin Lot #:

CompoundResin Lot #:

Records available, records indicate tests are performed at required frequency and results meet spec. requirements for:

Quality Control Test Specified Interval

Sample 1 Sample 2 Sample 3

YES NO N/A YES NO N/A YES NO N/A

COMPOUND TESTSTensile Strength and Modulus of Elasticity

once per year per formulation

Impact Resistance (Izod) once per year per formulation

Deflection Temperature once per year per formulation

Flammability once per year per formulation

PIPE TESTSWall Thickness one per hour per

lineInside Diameter one per hour per

linePerforation Locations and Dimensions one per hour per

linePipe Stiffness one per hour per

linePipe Flattening one per hour per

lineLow Temperature Flexibility one per yearImpact Resistance (Tup) one per day per

lineAcetone Immersion Once per lot per

lineSoiltightness Once per yearWatertightness Once per year


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Inspection

Audit Report

Comments: None


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Inspection

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H) Additional Test Record Audit

In addition to a review of the test records for the M304 yard samples selected, test records are reviewed for AASHTO pipe produced on up to three additional weeks throughout the year since the previous audit.Auditor Note: If any tests have not been performed, collect all pertinent testing documentation for that lot of pipe.

Records available, records indicate tests are performed at required frequency and results meet spec. requirements for:

Additional Test Records Reviewed All Tests Performed

Date Produced Line Size ResinCompound Lot # Line Size ResinCompound

Lot # Line Size ResinCompound Lot # YES NO

Week 1

Week 2

Week 3

Comments: None


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AASHTO’s National Transportation Product Evaluation Program (NTPEP) Section 8Evaluation of Manufacturing Walk-

Through

Audit Report

Section 8: Manufacturing Process Walk-through

Auditor Note – Complete the following after the yard inspection and the selection of the split samples. The resincompound samples shall be taken at this point.

YES NOA) Quality Control of CompoundResin

CompoundResin Blending N/A[1)] Are resin compoundsblends composed of virgin resin and reworked

material?[2)] Is it understood that a new lot is established each time a component resin

or component ratio changes by more than ±1.5%?1)[3)] What process does the

plant use to verify and control 2)?

Comments: None


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AASHTO’s National Transportation Product Evaluation Program (NTPEP) Section 910Evaluation of QC Testing

Facilities and ProceduresRecords

Review

Audit Report

Section 9: Quality Control Testing Facilities and Procedures

Auditor Note – After conducting the manufacturing process walk- through, audit the testing facilities and quality control testing procedure.

Yes NoA) Quality Control Plant: General Requirements

1) Is there an assigned QC Manager responsible for assuring all sampling and testing is done correctly?

Name:2) Is this the same person identified in the QMS?3) Is the plant’s test equipment adequately housed to allow proper operation of

all required test equipment in accordance with the applicable test procedures?

4) Is all test facility equipment in proper working order?5) Is there documentation which indicates that required maintenance has been

performed?6) Are test results recorded properly using forms contained in the plant’s QM?7) Is there evidence to indicate that the plant intends to retain copies of NTPEP

test reports for a minimum of 5 years?Comments:

Auditor Note – Based on the information gathered for training in Section 5, conduct the audit of the applicable test methods:


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Review

Audit Report

• Izod Pendulum Impact Resistance – Test Method A: Cantilever Beam Test

Izod Pendulum Impact Resistance (Test Method A: Cantilever Beam Test) Yes NoA) Apparatus (ASTM D 256 sec. 6.0)

1) A machine with massive base having a pendulum holding and releasing mechanism and a mechanism for indicating the breaking energy of the specimen?

2) A jig for positioning the specimen in the vise?

3) Graphs or tables to aid in the calculation of the correction for friction and windage?

4) A single or multimembered arm with a bearing and head with striker?5) Is the arm sufficiently rigid to maintain the proper clearances and geometric

relations between the machine parts and the specimen?6) Is the striker of the pendulum hardened steel and a cylindrical surface having a

radius of curvature of 0.80 ± 0.20 mm?7) Location of the line of contact of the striker at the center of precussion of the

pendulum within ±2.54 mm?8) The position of the pendulum holding and releasing mechanism with the vertical

height of fall of the striker at 610 ± 2 mm?9) The effective length of the pendulum between 0.33 and 0.40 m?

10) The machine provided with a basic pendulum capable of delivering an energy of 2.7 ± 0.14 J within ± 0.5 % of its nominal capacity?

11) A vise to clamp the specimen rigidly in position?12) The striking surface comes within 0.2 % of scale of touching the front face of a

standard specimen when the pendulum is free hanging?13) Means provided for determining the energy expended by the pendulum in breaking

the specimen?14) The vise, pendulum, and frame shall be sufficiently rigid to maintain correct

alignment of the hammer and specimen?15) The base shall be sufficiently massive that the impact will not cause it to move?

16) A check of the calibration17) Micrometers – To measure the width of the specimen and the depth of plastic

material remaining in the specimen under the notchComments:


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• Izod Pendulum Impact Resistance – Test Method A: Cantilever Beam Test

Izod Pendulum Impact Resistance (Test Method A: Cantilever Beam Test) Yes NoB) Procedure (ASTM D 256 Sec. 10.0)

1) At least five and preferably ten or more individual determinations of impact resistance on each sample?

2) Specimens with the same nominal width (±0.3 mm)?3) Lightest standard pendulum that is expected to break each specimen in the group

with a loss of not more than 85% of its energy?4) Machine with the proper pendulum in place for conformity with the requirements

of Section 6 before starting the tests?5) Proper correction for windage and friction?

6) One reading of Factor A: the position the pointer attains after the swing.7) One reading of Factor B: until a swing causes no additional movement of the

pointer.8) Average A and B reading?

9) Specimens for conformity with the requirements of Sections 7, 8, and 10.1?

10) The width of each specimen after notching to the nearest 0.025mm?11) The depth of material remaining in the specimen under the notch of each specimen

to the nearest 0.025mm?12) Specimen positioned precisely clamped in the vise?13) “Impacted end” of the specimen as shown and dimensioned in Fig. 6 is the end

projecting above the vise?14) The record of the indicated breaking energy of the specimen together with a

description of the appearance of the broken specimen?15) Determination of the correction to obtain the new breaking energy?16) Comparison of the net value so found with the energy requirement of the hammer

specified in 10.2?17) Obtaining the impact resistance under the notch in J/m?

18) Calculation of the average Izod impact resistance of the group of specimens?

19) Calculation of the standard deviation of the group of values?

Comments:


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• Izod Pendulum Impact Resistance – Test Method C: Cantilever Beam Test for Materials of Less than 17 J/m

Izod Pendulum Impact Resistance (Test Method C: Cantilever Beam Test for Materials of Less than 17 J/m) Yes No

A) Apparatus (ASTM D 256 sec. 12.0)1) A machine with massive base having a pendulum holding and releasing

mechanism and a mechanism for indicating the breaking energy of the specimen?
















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• Izod Pendulum Impact Resistance – Test Method C: Cantilever Beam Test for Materials of Less than 17 J/m

Izod Pendulum Impact Resistance (Test Method C: Cantilever Beam Test for Materials of Less than 17 J/m) Yes No

B) Procedure (ASTM D 256 Sec. 16.0)1) At least five and preferably ten or more individual determinations of impact

resistance on each sample?2) Specimens with the same nominal width (±0.3 mm)?3) Lightest standard pendulum that is expected to break each specimen in the group












19) Calculation of the standard deviation of the group of values?20) Estimation of the magnitude of the energy to toss each different type of material

and each different specimen size(width)?Auditor Name: _______________Audit Report Number: ____________

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Comments:

• Izod Pendulum Impact Resistance – Test Method D: Notch Radius Sensitivity Test

Izod Pendulum Impact Resistance (Test Method D: Notch Radius Sensitivity Test) Yes No
















material remaining in the specimen under the notch


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Comments:

• Izod Pendulum Impact Resistance – Test Method D: Notch Radius Sensitivity Test

Izod Pendulum Impact Resistance (Test Method D: Notch Radius Sensitivity Test) Yes No

B) Procedure (ASTM D 256 Sec. 22.0)1) Test of ten specimens of each notch radius?

2) Specimens with the same nominal width (±0.3 mm)?3) Lightest standard pendulum that is expected to break each specimen in the group












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19) Calculation of the standard deviation of the group of values?20) Calculation of the average impact resistance of each group? (except that within

each group the type of break must be homogenously C, H, C and H, or P)21) Checking the break of the specimen with the 0.25-mm radius notch? (If the

specimen does not break, the test is not applicable.)22) Checking the specimens tested with the 1.0-mm radius notch whether they are

failed as in category NB, non-break or not?Comments:

• Izod Pendulum Impact Resistance – Test Method E: Cantilever Beam Reversed Notch Test

Izod Pendulum Impact Resistance (Test Method E: Cantilever Beam Reversed Notch Test) Yes No















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• Izod Pendulum Impact Resistance – Test Method E: Cantilever Beam Reversed Notch Test

Izod Pendulum Impact Resistance (Test Method E: Cantilever Beam Reversed Notch Test) Yes No

B) Procedure (ASTM D 256 Sec. 29.0)1) At least five and preferably ten or more individual determinations of impact

resistance on each sample?2) Specimens with the same nominal width (±0.3 mm)?3) Lightest standard pendulum that is expected to break each specimen in the group







to the nearest 0.025mm?12) Specimen positioned precisely clamped in the vise? (Clamp the specimen so that

the striker impacts it on the face opposite the notch.)13) “Impacted end” of the specimen as shown and dimensioned in Fig. 6 is the end

projecting above the vise?Auditor Name: _______________Audit Report Number: ____________

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14) The record of the indicated breaking energy of the specimen together with a description of the appearance of the broken specimen?

15) Determination of the correction to obtain the new breaking energy?16) Comparison of the net value so found with the energy requirement of the hammer



19) Calculation of the standard deviation of the group of values?

Comments:

• Tensile Properties of PlasticsTensile Properties of Plastics Yes No

A) Apparatus (ASTM D 638 sec. 5.0)Testing Machine

1) Fixed grips rigidly attached to the fixed and the movable members of the testing machine?

2) Self-aligning grips with free movement into alignment as soon as any load is applied so that the long axis of the test specimen will coincide with the direction of the applied pull together the center line of the grip assembly?

3) The slippage relative to the grips of the specimen is prevented insofar as possible?4) Drive Mechanism—A drive mechanism for imparting to the movable member a

uniform, controlled velocity with respect to the stationary member, with this velocity to be regulated as specified in Section 8?

5) Load Indicator—A suitable load-indicating mechanism capable of showing the total tensile load carried by the test specimen when held by the grips?

6) The total elastic longitudinal strain of the system constituted by these parts does not exceed 1 % of the total longitudinal strain between the two gage marks on the test specimen at any time during the test and at any load up to the rated capacity of the machine for the fixed member, movable member, drive mechanism, and grips?

7) Crosshead Extension Indicator—A suitable extension indicating mechanism capable of showing the amount of change in the separation of the grips, that is, crosshead movement?

Extension Indicator (extensometer)


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8) A suitable instrument for determining the distance between two designated points within the gage length of the test specimen as the specimen is stretched?

9) Setting of the extensometer at the full gage length of the specimen?

10) Instrument with free of inertia at the specified speed of testing?11) Modulus-of-Elasticity Measurements—for modulus-of-elasticity measurements, an

extensometer with a maximum strain error of 0.0002 mm/mm that automatically and continuously records?

12) Low-Extension Measurements—the extensometer system must meet at least Class C (Practice E83) requirements, which include a fixed strain error of 0.001 strain or 61.0 % of the indicated strain, whichever is greater?

13) High-Extension Measurements—for making measurements at elongations greater than 20 %, measuring techniques with error no greater than ±10 % of the measured value?

14) Micrometers—Apparatus for measuring the width and thickness of the test specimen complied with the requirements of Test Method D5947?

Comments:

• Tensile Properties of PlasticsTensile Properties of Plastics Yes No

B) Procedure (ASTM D 638 Sec. 10.0)1) Measurement of the width and thickness of each specimen to the nearest 0.025mm

using the applicable test methods in D5947?2) Measurements of the width of specimens produced by a Type IV die as the distance

between the cutting edges of the die in the narrow section?3) Measurement of the diameter of rod specimens, and the inside and outside diameters of

tube specimens, to the nearest 0.025 mm (0.001 in.) at a minimum of two points 90° apart?

4) Alignment of the long axis of the specimen and the grips with an imaginary line joining the points of attachment of the grips to the machine?

5) Check of proper distance in case of flat/tub and rod specimens?

6) Evenly and firmly tightened grips?

7) Attachment of the extension indicator?

8) Setting the speed of testing at the proper rate as required in Section 8?

9) Recording of the load-extension curve of the specimen?10) Recording of the load and extension at the yield point and the load and extension

at the moment of rupture?Comments:


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• Deflection Temperature of Plastics under Flexural Load in the Edgewise Position

Deflection Temperature of Plastics Under Flexural Load in the Edgewise Position Yes No

A) Apparatus (ASTM D 648 Sec. 7.0, 10.0)1) Specimen supports allowing the load to be applied on top of the specimen

vertically and midway between the supports?2) The contact edges of the supports and of the piece by which load is applied with

the roundness of a radius of 3 ± 0.2 mm?3) Immersion bath with suitable liquid heat-transfer?4) Deflection measurement device suitable for measuring specimen deflection of at

least 0.25 mm with a readable capability of 0.01 mm or better?5) Weights enabling the specimen to be loaded to a fiber stress of 0.455 Mpa ± 2.5 %

or 1.82 Mpa ± 2.5 %?6) Temperature measurement system with digital indicating with the minimum

accuracy of ± 0.5°C?7) Thermometer 1C or 2C, having ranges from -20 to 150°C or -5 to 300°C

respectively, whichever temperature is most suitable?8) Automatic shut off the heat system?


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9) Sound an alarm or record the temperature system in case of the deflection of the specimen being reached?

10) Sufficient heat transfer liquid to cover thermometers to the point specified in their calibration?

Comments:

• Deflection Temperature of Plastics under Flexural Load in the Edgewise Position

Deflection Temperature of Plastics Under Flexural Load in the Edgewise Position Yes No

B) Procedures (ASTM D 648 Sec. 12.0)1) Obtaining the nominal width and depth value for the specimen with a suitable

micrometer at several points along the span?2) Positioning the test specimens edgewise in the apparatus and ensuring of them

properly aligned on the supports so that the direction of the testing force is perpendicular to the direction of the molding flow?

3) Positioning of the thermometer bulb or sensitive part of the temperature measuring devices to be as close as possible to the test specimen (within 10 mm) without touching it?

4) Being sufficient of the stirring of the liquid-heat transfer medium ensuring that temperature of the medium is within 1.0°C at any point within 10 mm of the specimen?

5) Suitable temperature of the bath?


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6) Careful applying the loaded rod to the specimen and lowering the assembly into the bath?

7) Adjusting the load so that the desired stress of 0.455 Mpa or 1.82 Mpa is obtained?8) Adjusting the deflection measurement device to zero or recording its starting

position after five minutes of applying load?9) Heating the liquid heat-transfer medium at a rate of 2.0 ± 0.2°C/min?

10) Recording of the temperature of the liquid heat-transfer medium at which the specimen has deflected the specified amount at the specified fiber stress?

Comments:

• Dilute Solution Viscosity of Vinyl Chloride Polymers

Dilute Solution Viscosity of Vinyl Chloride Polymers Yes NoA) Apparatus (ASTM D 1243 Sec. 6.0)

1) Transfer Pipets?2) Volumetric Flasks, 100-mL, glass-stoppered, in accordance with National Institute

of Standards and Technology Circular C-434?3) Viscometer, Ubbelohde Series U-1 or Cannon-Ubbelohde No. 75?

4) Water Bath, at 30 ± 0.5°C, controlled to within ± 0.01°C?

5) Timer, as specified in Test Method D445, graduated in divisions of 0.1 s or less?

6) Filter Funnel, fritted-glass?

7) Thermometer, standard, in accordance with Method E77?

Comments:Auditor Name: _______________Audit Report Number: ____________

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• Dilute Solution Viscosity of Vinyl Chloride Polymers

Dilute Solution Viscosity of Vinyl Chloride Polymers Yes NoB) Procedures (ASTM D 1243 Sec. 8.0)

1) Weighing 0.2 ± 0.002 g of the sample with moisture content below 0.1 %?2) Adding 50 to 70 mL of cyclohexanone to the flask, taking care to wet the resin so

that lumps do not form?3) Heating (not exceed 12 h) the flask at 85 ± 10°C until the resin is dissolved?

4) Checking gel-like particles (If any, prepare a new solution)?5) Cooling the solution to the test temperature by immersing flask in the 30°C bath

for a minimum time of 30 min?6) Measurement at 30°C the flow time of the prepared solution and of the pure


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solvent (aged at 85 ± 10°C) in the viscometer?7) The flow time of the solution or the solvent within 0.1 % on repeat runs on the

same filling?Comments:

• Adequacy of Fusion of Extruded Poly Pipe and Molded Fittings by Acetone Immersion

Adequacy of Fusion of Extruded Poly Pipe and Molded Fittings by Acetone Immersion Yes No

A) Apparatus (ASTM D 2152 Sec. 4.0)1) A container which is either individual, sealable for each specimen or one large,

airtight container capable of holding several specimens without touching one another?

2) Precision hydrometer, graduated in thousandths, with a minimum range of 0.780 to Auditor Name: _______________Audit Report Number: ____________

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0.790 g/mL?3) A cylinder large enough to immerse the hydrometer?4) A thermometer with ASTM 12C total immersion, range from −20°C to 102°C

accurate to 0.2°C, or equivalent?Comments:

• Adequacy of Fusion of Extruded Poly Pipe and Molded Fittings by Acetone Immersion

Adequacy of Fusion of Extruded Poly Pipe and Molded Fittings by Acetone Immersion Yes No

B) Procedures (ASTM D 2152 Sec. 9.0)


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1) Standard Laboratory Atmosphere of 23 ± 2°C?2) Sufficient dried acetone into the container to ensure complete immersion of the

specimen?3) Allowing specimen to stand immersed for 20 min without being agitating?

4) Inspection for signs of attack?

Comments:

• Wall Thickness – Micrometer

Wall Thickness Yes NoAuditor Name: _______________Audit Report Number: ____________

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A) Apparatus (ASTM D 2122 Sec. 7.0)1) A cylindrical or ball anvil tubing micrometer readable to ± 0.001 in. (± 0.02 mm)?

Comments:B) Procedure (ASTM D 2122 Sec. 7.0)

1) Pipes cut cleanly and burrs removed?2) Specimens conditioned and tested at:

a. 73.4°F ± 3.6°F (23°C ± 2°C)?b. 50% ± 5% relative humidity?

3) Conditioned for not less than 24 hr (where required, in accordance with D618)?4) A minimum of eight measurements taken at closely spaced intervals and averaged?5) Wall Thickness range (in percentage) calculated?

Comments:


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• Wall Thickness – Ultrasonic GaugeWall Thickness via Alternative Apparatus Yes No

A) Apparatus (D 2122 Sec. 4.0) NTPEP (Approved Alternate Procedure) Appendix #41) Device Used? Ultrasonic Laser Electronic Nuclear

3) Has the apparatus used been validated in accordance with D 2122?

4) Is each gauge and transducer identified? Gauge S/N: __________ Transducer S/N: __________

Comments:B) Procedure for Wall Thickness via Ultrasonic gauge

1) Two sets (8 measurements/set) of liner thickness readings taken per shift?2) One of the sets taken with a micrometer in accordance with D2122?4) Each set of measurements comprised of at least eight readings?5) Are the numbers from each reading recorded?

6) Does the record indicate whether a micrometer or ultrasonic gauge was used?

Comments:


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• Inside Diameter

Inside Diameter Yes NoA) Apparatus (ASTM D 2122 Sec. 8.0)

1) Metal rule, tape, or caliper accurate to 0.03 mm and having at least 0.01 in. (0.2 mm) graduations?

OR2) Tapered plug gage, having a taper ratio of 1:100 and accurate to ± 1% of its taper and

± 0.001 in. (± 0.02 mm) of its diameter and a 45° by 1/8 in (3 mm) face bevel located on the entrance of the end of the gage?


1) A metal rule, steel tape, or caliper used to determine the average inside diameter from two diameter measurements, the first at the seam (0°) and the second 90° from the seam?

OR2) A plug gage inserted into the pipe, causing round out but no expansion used to

determine the inside diameter?Comments:


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• Length of Pipe

Length of Pipe Yes NoA) Apparatus (ASTM D 2122 Sec. 12.0)

1) Steel tape or rule with marked graduations of ¼”or less (240”x 0.01 x 0.1) accurate to ± 6 mm in 3 m?


1) Pipe stress free and at rest on a flat surface and in a straight line?

2) Length measured?

Comments:


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• Unit Weight

Unit Weight Yes NoA) Apparatus

1) Steel tape or rule with marked graduations having a tolerance of 10% of the nominal length?

2) Balance or scale, accurate to 0.1% of the load applied?

Comments:B) Procedure

1) Pipe length determined according to D 2122?

2) Pipe length weighed?

3) Calculations performed correctly to produce result in units of weight per foot?

Comments:


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• Determination of External Loading Characteristics of Plastic Pipe by Parallel-Plate Loading

Determination of External Loading Characteristics of Plastic Pipe by Parallel-Plate Loading Yes No

A) Apparatus (ASTM D 2412 Sec. 6.0)1) A properly calibrated compression testing machine of the constant-rate-of-

crosshead movement type meeting the requirements of Test Method D695?2) The rate of head approach as 0.50 ± 0.02 in. /min?

3) Applying of the load to the specimen through two parallel steel bearing plates?

4) The condition of plate with flat, smooth, and clean?

5) The thickness of the plates less than 0.25 in.?

6) The plate length that equal or exceed the specimen length?7) The plate width that more than the pipe contact width at maximum pipe deflection

plus 6.0 in.?8) Measurement of the change in inside diameter, or deformation parallel to the

direction of loading, with a suitable deformation indicator meeting the requirements of Test Method D695?

9) Measurement of the changes in diameter during loading by continuously recording plate travel or by periodically computing it?

Comments:


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• Determination of External Loading Characteristics of Plastic Pipe by Parallel-Plate Loading

Determination of External Loading Characteristics of Plastic Pipe by Parallel-Plate Loading Yes No

B) Procedures (ASTM D 2412 Sec. 9.0)1) Determination of the length of each specimen to the nearest 1/32 in. or better by

making and averaging at least four equally spaced measurements around the perimeter?

2) Measurement of the wall thickness of each specimen in accordance with Test Method D2122 with minimum eight measurements equally spaced around one end and calculation of the average wall thickness?

3) Determination whether a line of minimum wall thickness exists along the length of the specimen?

4) Determination of the average outside diameter to the nearest 0.01 in. (0.2 mm) using a circumferential wrap tape or by averaging the maximum and minimum outside diameters as measured with a micrometer or caliper?

5) Calculation of the average pipe inside diameter for OD-controlled pipe?

6) Calculation of the average pipe inside diameter for ID-controlled pipe?7) Location of the pipe section with its longitudinal axis parallel to the bearing plates

with laterally center position in the testing machine?8) Placement of the first and successive specimen followed by the orientation of

minimum wall thickness?9) Compression of the specimen at a constant rate of 0.5 ± 0.02 in. /min.?

10) Recording of the load-deflection measurements continuously or intermittently with reference to the relative movement of the bearing plates?

11) Note of the load and deflection at the first evidence of each of the following significant events when and if they occur: line cracking or crazing, wall cracking, wall delamination, rupture?


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12) Record of type and position of each event with respect to the corresponding load and deflection?

Comments:

• Determination of the Impact Resistance of Thermoplastic Pipe and Fittings

Determination of the Impact Resistance of Thermoplastic Pipe and Fittings Yes NoA) Apparatus (ASTM D 2444 Sec. 4.0)

1) The mass of the tup to be 6, 12, 20, or 30 lb?

2) The sufficient length of the drop tube to provide for a fall of at least 10 ft?

3) Care about tup falls freely?4) Means provided (1) to hold the tup at steps of 2 in. (50.8 mm) for a distance of 2 to

10 ft (610 mm to 3.0 m) above the specimen holder, (2) to release the tup in a reproducible manner, (3) to allow the tup to fall freely, and (4) to catch the tup on the first rebound?

5) The V-block holder with the minimum length of the specimen being tested and having a 90-deg included angle?

6) The side supports with sufficient depth to support the specimen in the V and not on the top edges of the V-block?

7) The flat-plate holder with approximate size of 8by 12 by 1 in.?8) The groove with about 0.12 in. in depth with the edges rounded to a radius of about

0.06 in.?Comments:


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• Determination of the Impact Resistance of Thermoplastic Pipe and Fittings

Determination of the Impact Resistance of Thermoplastic Pipe and Fittings Yes NoB) Procedures (ASTM D 2444 Sec. 9.0)

1) Impaction of one of the sets using energy estimated to cause 15 % of the specimens to fail?

2) Impaction of the second set at an energy estimated to cause 85 % to fail?Preliminary Tests

3) Selection of a tup estimated to cause failure of some specimens when dropped from a height of 5 ft?

4) Plot of the test results on probability graph paper to serve as the basis for estimating the proper drop height for the final test?

Final Tests5) 100 test specimens divided into two equal groups?

6) Estimation of the drop height at which 85 % of the specimens will pass?

7) Estimation of the drop height at which 85 % of the specimens will fail?

8) At least one pass and at least one fail (to be acceptable)?

9) A straight line plot followed by the test result on normal probability paper?

10) Analyzing a graph with the intercept of the plot?

Comments:


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Section 10: Records Review

Auditor Note – This section details the audit of record traceability for the resincompound and pipe testing as well as other documents established by the work plan.

A) General Plant Requirements1) Does the facility:

a. Have a current copy of the Company’s Quality System Manual?b. Have current versions of all AASHTO, ASTM and Company Test Procedures?

(Completed from the list in Section 3)c. Maintain copies of previous NTPEP Audit Reports?

Comments:

B) Record Traceability1) Statistical Analysis of Test Results:

a. Does the plant follow their procedures?

b. Do the records show that each plant is monitored separately?

c. Do the records include total manufacturer product quality trends?


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2) Does the plant follow their procedures for the following:

a. Test Results and Product Traceability (Storing and Locating Test Reports)?

b. Resolving Non-Conforming Test Results?

c. Equipment Maintenance?

d. Internal Quality Audits?

e. Management Reviews?

f. Contract Reviews?

g. Customer Feedback?

Comments:


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Audit ReportAuditor Note – The auditor shall use records maintained at the facility to conduct the following sections of the audit.

C) Additional CompoundResin Testing and Control InformationGeneral Requirements

[1)] Are Lot Numbers defined as a railcars or truckloads (hopper truckloads or truckloads of boxes) of resincompound?

1)[2)] Are the lot numbers carried through to the finished product?[3)] Are compoundresin quality control tests completed prior to using compoundresins

in production?[4)] Is compoundresin testing completed prior to production runs?

[5)] Do resin Certificates of Analysis (Resin) includes the following lot specific data:

a. Melt Index?

b. Density?

Comments: NoneResin Blends N/A

[1)] (M 294 Blends only) Are blended resins tested for Notched Constant Ligament Stress (NCLS) initially and then quarterly with continued use?

[2)] Are blends established by pipe manufacturer test results (Density and Melt Index)?

[3)] Are lots established by blends?[4)] Are third party test results for blended resin components and ratios verified by the plant

with in-house testing?Comments: None


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D) Additional Pipe Testing RequirementsGeneral Requirements

[1)] Does the plant use reworked plastic meeting the requirements of Section 5.16.2 (M 304 252 and M 294)?

1)[2)] Is the use of recycled plastic not allowed?

Report Traceability Requirements

1) Is each pipe quality control sample designated with a sample control number?

2) Do reports for each sample include:

a. Identification of the plant?

b. Date?

c. Shift Manufactured?

d. Production Line?

e. Lot Designation?

[3)] Does the lot designation trace to the compoundresin lot test results?

Comments: None


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• Equipment CalibrationE) Equipment Calibration, Standardizations, and Checks

Auditor Note – Use the following table to perform the record audit of quality control testing equipment calibration, standardization, and checks.

Equipment Calibration, Standardization & Checking

ITEM

Cal/Verify (C/V)

Written Procedure Do the records contain the following?

Plan

tsp

ec.

inte

rval

C/V

Cur

rent

?

C/V

Per-

form

edin

spec

.

In Q

Mor

ref.

to lo

c.?

C/V

equi

p.lis

ted

Mod

el&

Seria

l No.

Nam

eof

Wor

ker

ID o

f C/V

equi

p. u

sed

Dat

e W

ork

done

Det

aile

dre

sults

Ref

eren

ceto

pro

cedu

reus

ed

Parallel Plate Test Machine (calibrate at least every 12 Months, 1% accuracy) D695

Ultrasonic Gauge (calibrate at least every 12 months) D2122

Ultrasonic Transducer (check at least every 12 months) D2122

Standard Blocks (Calibrated once - used to check ultrasonic measurements)

Balances, Scales and Weights (standardize every 12 months, 0.5% accuracy)

Calipers (calibrate at least every 12 month)

Micrometers (calibrate at least every 12 month)

Temperature Measuring Device (calibrate at least every 12 months)

Comments:O.A. means calibration was completed by an Outside Agency.

None


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AASHTO’s National Transportation Product Evaluation Program (NTPEP) Section 11Evaluation of Sample Reports

Audit Report

Section 11: Sample Reports for Compound and Pipe Testing

Auditor Note – Insert hard copies of the test records, certificates of analysis, and reports gathered during the audit.


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AASHTO’s National Transportation Product Evaluation Program (NTPEP) Section 12Evaluation of QMS Information

Audit Report

Section 12: Quality Management System (QMS) Requirements

Auditor Note – Complete the following section based upon information gathered from the pre-audit and during the audit.

A) QMS Report InformationQMS Report Identification (Posted on NTPEP Website):

Date of Revision of Approved QMS:

Facility has this manual available?

Comments: None


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AASHTO’s National Transportation Product Evaluation Program (NTPEP) Section 14Evaluation of *Insert Plant Name and Location* Annexes

Audit ReportSection 13: Report Signature

The Preceding Report has been reviewed and assured to be accurate by the Lead Auditor.

Auditor Name:Signature:


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