Plastic Pipe (HDPE and Polypropylene) / Information
Audit Report
PlantName:
Physical Address:
Mailing Address:
(if different from above)
Primary Contact
Name:
Title:
Telephone:
Email:
Management
QC Manager:
Plant Manager:
Auditor Contact
Name:
Telephone:
Address:
Email:
Other Attendee Contact
Name:
Title:
Organization:
Telephone:
Email:
DOT Official Contact
Name:
Title:
Organization:
Telephone:
Email:
Page 44 of 44
Plant Name: Plant – City, STNTPEP Number: PIPE-2015-01-0XX/PPP-2015-01-0XX
Auditor: Brian Korschgen
REV: 6/15/2015
AASHTO’s National Transportation Product Evaluation Program (NTPEP) / Report
Plastic Pipe (HDPE and Polypropylene) / Summary
Audit Report
Evaluation Program for Manufacturers of Plastic Pipe
Summary Report For
PLANT – City, ST
Introduction
The 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 manufacturers of plastic pipe (HDPE and Polypropylene) provides a comprehensive review of the production and testing of plastic 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.
An on-site audit of the PLANT facility, located in City, State, was conducted by Lead Auditor NAME (AASHTO) on DAY, MONTH, DATE, 2015. NAME was accompanied by Name (Auditor). PLANT was represented by NAME (Position). The STATE DOT was represented by NAME (Position).
Deviations from program requirements noted in red will require a corrective action report along with supporting evidence for the corrective action to obtain compliance. Deviations from program requirements noted in italics will not require a corrective action report and supporting evidence; however, they will be reevaluated during the next year’s audit and may be subject to further investigation by state transportation agencies. These deviations are also known as Observations.
Testing Personnel (Section 1)
Pipe Identification Markings (Section 2)
Plastic Pipe Size and Type Produced (Section 3)
Quality Control Testing (Section 4)
Standard Specifications (Section 5)
Quality Management System Records Review (Section 6)
Product Information (Section 7)
Manufacturing Walkthrough (Section 8)
Quality Control Testing Equipment and Procedures (Section 9)
Page 44 of 44
Plant Name: Plant – City, STNTPEP Number: PIPE-2015-01-0XX/PPP-2015-01-0XX
Auditor: Brian Korschgen
REV: 6/15/2015
AASHTO’s National Transportation Product Evaluation Program (NTPEP) / Table of
Plastic Pipe (HDPE and Polypropylene) / Contents
Audit Report
Table of Contents
Section 1: Testing Personnel 7
Section 2: Corrugated Pipe Identification Markings 8
Section 3: Size and Type of Pipe Produced 9
Section 4: Quality Control Testing Matrix 10
Section 5: Standard Specifications 11
Section 6: Quality Management System Records Review 12
Section 7: Product Information 14
Section 8: Manufacturing Walkthrough 18
Section 9: Quality Control Testing Evaluation 24
Section 10: Report Signature 43
Section 11: Miscellaneous Documents 44
Page 44 of 44
Plant Name: Plant – City, STNTPEP Number: PIPE-2015-01-0XX/PPP-2015-01-0XX
Auditor: Brian Korschgen
REV: 6/15/2015
AASHTO’s National Transportation Product Evaluation Program (NTPEP) / Section 1
Plastic Pipe (HDPE and Polypropylene) / Personnel
Audit Report
Section 1: Testing Personnel
Identification of the personnel approved to run quality control testing at the plantResin Testing: Testing performed on virgin resin and resin blends, including NCLS.
Production Testing: Line checks and testing performed during production which may include worksmanship, carbon black, unit weight, pipe diameter, pipe length, wall thickness, etc.
Lab Testing: Lab testing on conditioned pipe including, but not limited to, stiffness/flattening, brittleness, and any other test performed in the lab.
Name / Resin Testing / Production Testing / Lab Testing
Comments: / None
Page 44 of 44
Plant Name: Plant – City, STNTPEP Number: PIPE-2015-01-0XX/PPP-2015-01-0XX
Auditor: Brian Korschgen
REV: 6/15/2015
AASHTO’s National Transportation Product Evaluation Program (NTPEP) / Section 2
Plastic Pipe (HDPE and Polypropylene) / Markings
Audit Report
Section 2: Corrugated Pipe Identification Markings
Insert a picture(s) and/or diagram(s) of the plant’s unique pipe identification markings.
Page 44 of 44
Plant Name: Plant – City, STNTPEP Number: PIPE-2015-01-0XX/PPP-2015-01-0XX
Auditor: Brian Korschgen
REV: 6/15/2015
AASHTO’s National Transportation Product Evaluation Program (NTPEP) / Section 3 3
Plastic Pipe (HDPE and Polypropylene) / Size and Type of Pipe
Audit Report
Section 3: Size and Type of Pipe Produced
Specification M252: Indicate all applicable pipe produced at this location:Key: St = Straight Co = Coil C1 = Class 1 Perforations C2 = Class 2 Perforations
Type C – No Inner Wall Type CP – No Inner Wall with Perforations
Type S – Smooth Inner Wall Type SP – Smooth Inner Wall with Perforations
Type D – Smooth Inner Wall joined to Smooth Outer Wall
Type DP – Smooth Inner Wall joined to Smooth Outer Wall with Perforations
Single-Wall / Dual-Wall
C / CP / S / SP
Size inches [mm] / St / Co / St / Co / Size inches [mm] / C1 / C2
4 [100] / 4 [100]
6 [150] / 6 [150]
8 [200] / 8 [200]
10 [250] / 10 [250]
Specification M294: Indicate all applicable pipe produced at this location:
Single-Wall / Dual-Wall / Triple-Wall
C / CP / S / SP / D / DP
Size inches [mm] / C1 / C2 / C1 / C2 / C1 / C2
12 [300]
15 [375]
18 [450]
21 [525]
24 [600]
27 [673]
30 [750]
36 [900]
42 [1050]
48 [1200]
54 [1350]
60 [1500]
Specification M330: Indicate all applicable pipe produced at this location:
Single-Wall / Dual-Wall / Triple-Wall
C / CP / S / SP / D / DP
Size inches [mm] / C1 / C2 / C1 / C2 / C1 / C2
12 [300]
15 [375]
18 [450]
21 [525]
24 [600]
27 [673]
30 [750]
36 [900]
42 [1050]
48 [1200]
54 [1350]
60 [1500]
Comments: / None
Page 44 of 44
Plant Name: Plant – City, STNTPEP Number: PIPE-2015-01-0XX/PPP-2015-01-0XX
Auditor: Brian Korschgen
REV: 6/15/2015
AASHTO’s National Transportation Product Evaluation Program (NTPEP) / Section 4 4
Plastic Pipe (HDPE and Polypropylene) / Quality Control Testing
Audit Report
Section 4: Quality Control Testing Matrix
Matrix of Quality Control Tests, Facilities, and IntervalsPlease indicate for the QC tests shown below if your facility conducts the test in house or indicate the name of the outside facility used (Second or Third Party). Additionally, indicate the frequency of record testing. Please indicate contact information for second/third party facilities below.
Quality Control Test / Minimum Frequency / In-house/Outside Facility / M252
Frequency / M294
Frequency / M330
Frequency
HDPE Resin Tests
Density / Each Lot / N/A
Melt Index / Each Lot
NCLS (Blended Resins) / Initially / Quarterly / N/A
Polypropylene Resin Tests
Density resin / compound / Each Lot / Quarterly / N/A
Melt Index resin / compound / Each Lot / Quarterly
IZOD Impact Strength / Initially / Quarterly
Oxidative-Induction Time / Initially / Quarterly
Tensile Strength/Elongation at Yield / Initially / Quarterly
Flexural Modulus (1% Secant) / Initially / Quarterly
Pipe Tests
Worksmanship / Markings / 1 / Shift
Unit Weight / 2 / Shift
Color Content/Carbon Black / 1 / Day
Wall Thickness / 2 / Shift
Inside Diameter / 1 / Shift
Pipe Length / 1 / Shift
Perforation Location/dimension / 1 / Shift
Water Inlet Area / 1 / Shift
Pipe Stiffness/Flattening / 2 / Week
Brittleness / 2 / Week
Liner NCLS / 2 / Year* / N/A
Stub Compression / No Requirement**
*Liner NCLS needs to be performed semi-annually per plant, per size, for pipe produced during that half year. **There is no Stub Compression frequency requirement in the work plan; NTPEP is only indicating the facility’s testing frequency.
Comments: / None
Page 44 of 44
Plant Name: Plant – City, STNTPEP Number: PIPE-2015-01-0XX/PPP-2015-01-0XX
Auditor: Brian Korschgen
REV: 6/15/2015
AASHTO’s National Transportation Product Evaluation Program (NTPEP) / Section 55
Plastic Pipe (HDPE and Polypropylene) / Standard Specifications
Audit Report
Section 5: Standard Specifications
Auditor Note - Indicate if current versions of the following AASHTO & ASTM standards are available at the plant.Primary / AASHTO / ASTM
Specification for Corrugated Polyethylene Drainage Pipe
/ M 252-09 (12)Specification for Corrugated Polyethylene Pipe, 300- to 1500-mm Diameter
/ M 294-13Specification for Polypropylene Pipe, 300 to 1500 mm (12 to 60 in.) Diameter
/ M 330-13Secondary
Test Method for Tensile Properties of Plastics
/ D 638-14Test Method for Flexural Properties of Unreinforced and Reinforced Plastics and Electrical Insulation Materials / D 790-10
Test Method for Melt Flow Rates of Thermoplastics by Extrusion Plastometer
/ D 1238-13Standard Test Methods for Density and Specific Gravity (Relative Density) of Plastics by Displacement OR
Test Method for Density of Plastics by the Density-Gradient Technique
OR
Standard Test Method for Density of Polyethylene by the Ultrasound Technique
/ D 792-13D 1505-10
D 4883-08
Standard Practice for Compression Molding Thermoplastic Materials into Test Specimens, Plaques, or Sheets
/ D 4703-10aStandard Test Method for Determination of Carbon Black Content in Polyethylene Compounds by the Muffle Furnace Technique
/ D 4218-96 (08)Test Method for Determining Dimensions of Thermoplastic Pipe and Fittings
/ D 2122-15Test Method for Determination of External Loading Characteristics of Plastic Pipe by Parallel-Plate Loading
/ D 2412-11Test Method for Determination of Impact Resistance of Thermoplastic Pipe and Fittings by Means of a TUP (Falling Weight)
/ D 2444-99 (10)Specification for Polyethylene Plastics Pipe and Fittings Materials
/ D 3350-14Test Method for Notched, Constant Ligament-Stress (NCLS) Test to Determine Slow-Crack-Growth Resistance of HDPE Resins or HDPE Corrugated Pipe
/ F 2136-08Secondary – M330
Standard Test Methods for Determining the Izod Pendulum Impact Resistance of Plastics
/ D 256-10Standard Test Method for Oxidative-Induction Time of Polyolefins by Differential Scanning Calorimetry
/ D 3895-07Comments:
Page 44 of 44
Plant Name: Plant – City, STNTPEP Number: PIPE-2015-01-0XX/PPP-2015-01-0XX
Auditor: Brian Korschgen
REV: 6/15/2015
AASHTO’s National Transportation Product Evaluation Program (NTPEP) / Section 6
Plastic Pipe (HDPE and Polypropylene) / QMS Review
Audit Report
Section 6: Quality Management System Records Review
Audit of Training and Competency Evaluation recordsAuditor Note – The auditor shall select two random names from Section 1 to verify training and competency evaluation records are complete.
Training and Competency Evaluations / Yes / No
A) / Training
1) Does the manufacturing facility maintain records to ensure that the facility’s personnel are trained to perform physical tests initially?
2) Do the training records for the individual(s) listed above:
a. List the date(s) of training and identification of the trainer?
b. Indicate that all relevant training has been completed?
B) / Competency Review
1) Does the manufacturing facility perform competency checks to evaluate staff competency on at least an annual basis?
2) Do the competency evaluation records for the individual(s) listed above:
a. List the date(s) of the review and identification of the reviewer?
b. Indicate that all relevant competency evaluations have been completed?
Comments:
Quality Management / Yes / No
C) / Internal Audits
1) Was a current internal audit presented?
2) Are internal audits performed at least annually?
3) Do internal audits cover all processes that affect product quality (production, quality testing, training, shipping, etc)?
4) Do internal audits determine if quality system processes are being followed?
D) / Management Reviews
1) Was a current management review presented?
2) Are management reviews performed at least annually?
3) Do management reviews determine the effectiveness of quality system processes?
Comments:
E) / Pipe Testing Report Requirements
1) Do test reports include identification of the plant, date of production, shift, line, and lot designation?
2) Does the lot designation trace to the resin lot test results?
3) Are test results recorded properly using forms contained in the plant’s QM?
4) Is there evidence to indicate that the plant intends to retain copies of test reports for a minimum of 7 years?
5) Please describe the test reporting system:
Comments: / None
F) / Review of a Recent Resolution of Non-Conforming Product or Test Results
1) Does the manufacturing facility document each instance for resolving non-conforming product or test results?
2) Does the documentation clearly identify the deficiencies?
3) Does the documentation require that product produced subsequent to the deficiency will be quarantined pending an investigation of the failure?
4) Does the investigation include:
a) Obtaining and testing check samples?
b) If check sample meets requirements, reasons for original failure documented?
c) After reasons are documented, is the quarantined material released?
d) If check sample fails requirements, corrective action taken?
G) / Review of Previous Corrective Actions / N/A
Have all deviations noted in the last NTPEP report been corrected? / Yes / No
Section / Deviation and Corrective Action Response
7
Comments: / None
• Equipment Calibration
Auditor Note – Use the following table to perform the record audit of quality control testing equipment calibration, standardization, and checks. *Adequate documentation on each record includes: (1) Model & Serial No., (2) Name of worker, (3) ID of equipment used for calibration, (4) Date of calibration, (5) Detailed calibration results, and (6) Reference to calibration procedure used.
ITEM
(Frequency – SP01) / Calibration/Standardization Records / Verification Records (Non-mandatory and are performed in addition to the required Calibration/Standardization)
Entity Performing Calibration / Manufacturing Facility
Frequency / *Adequate Documentation Presented? / Entity Performing Verification / Manufacturing Facility
Frequency / *Adequate Documentation Presented?
Parallel Plate Test Machine (calibrate every 12 Months, 1% accuracy) D695
Ultrasonic Gauge/Transducer (calibrate every 12 months) D2122
Balances and Scales (standardize every 12 months)
Weigh Blending Equipment for Resin Blending
(standardize every 12 months)
Standard Weights (every 3 year) only required if balances are standardized in-house
Calipers and Micrometers (standardize every 12 months)
Standard Gauge Blocks (every 3 years) only required if calipers/micrometers are standardized in-house
Melt Index Heater (at least every 12 months) D1238
Muffle Furnace (standardize at least every 12 months)
Temperature Measuring Device (standardize every 12 months)
Comments: / OA - denotes performed by an outside agency
IN – denotes performed internally
Calibration records for all testing equipment were current and complete.
Page 44 of 44