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

Audit Report

Plant
Name:
Physical Address:
Mailing Address:
(if different from above)
Proprietary Ownership
Company Name:
Physical Address:
Primary Contact
Name:
Title:
Telephone:
Email:
Fax:
Management
QC Manager:
Plant Manager:
Auditor Contact
Name:
Telephone:
Address:
Email:
DOT Official Contact
Name:
Title / Organization:
Telephone:
Address:
Email:
DOT Official Contact
Name:
Title / Organization:
Telephone:
Address:
Email:
DOT Official Contact
Name:
Title / Organization:
Telephone:
Address:
Email:
Other Attendee Contact
Name:
Title / Organization:
Telephone:
Address:
Email:

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Auditor Name: ______
Audit Report Number: ______

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

Audit Report

Evaluation Program for Plastic Pipe Facilities Producing PVC Pipe

SummaryReport For

Manufacturer: Location

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 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)

  • 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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Auditor Name: ______
Audit Report Number: ______

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

Audit Report

Table of Contents

Section 1: Testing Personnel

Section 2:Corrugated Pipe Identification Markings

Section 3: Standard Specifications

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

Section 5: Product Information

Section 6:Training and Competency Evaluation Records

Section 7: Yard Inspection

Section 8:Manufacturing Process Walk-through

Section 9: Quality Control Testing Facilities and Procedures

Section 10: Records Review

Section 11: Sample Reports for CompoundResin and Pipe Testing

Section 12: Quality Management System (QMS) Requirements

Section 13: Report Signature

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Auditor Name: ______
Audit Report Number: ______

REV 1– 8/11

AASHTO’s National Transportation Product Evaluation Program (NTPEP) / Sections 1& 2
Evaluation 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 / Position
1)
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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Auditor Name: ______
Audit Report Number: ______

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AASHTO’s National Transportation Product Evaluation Program (NTPEP) / Section 3
Evaluation 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 / ASTM
Poly (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
Standard Terminology Relating to Plastic Piping Systems
Standard Specification for Elastomeric Seals (Gaskets) for Joining Plastic Pipe / F 412-09
Comments: / None

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Auditor Name: ______
Audit Report Number: ______

REV 1– 8/11

AASHTO’s National Transportation Product Evaluation Program (NTPEP) / Section 4
Evaluation 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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Auditor Name: ______
Audit Report Number: ______

REV 1– 8/11

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

Audit Report

Section 5: Product Information

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

YES / NO
A) / 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 Information
1) 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 Information
The 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 owneragency (DOT), and a third party is an impartial testing facility not under the control or influence of either the manufacturer or owner.)

• 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 a
Third Party Facility1 / M304
Compound Tests:
Tensile Strength and Modulus of Elasticity
Impact Resistance (Izod)
Deflection Temperature
Flammability
Pipe Tests:
Wall Thickness
Inside Diameter
Perforation Locations and Dimensions
Pipe Stiffness
Pipe Flattening
Low Temperature Flexibility
Impact Resistance (Tup)
Acetone Immersion
Soiltightness
Watertightness
1Names, addresses, and contact information for second and/or third party facilities used:

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Auditor Name: ______
Audit Report Number: ______

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AASHTO’s National Transportation Product Evaluation Program (NTPEP) / Section 6
Evaluation 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/A
Tensile Strength and Modulus of Elasticity / Tensile Strength and Modulus of Elasticity
Impact Resistance (Izod) / Impact Resistance (Izod)
Deflection Temperature / Deflection Temperature
Flammability / Flammability
Pipe Tests / Pipe Tests
Wall Thickness / Wall Thickness
Inside Diameter / Inside Diameter
Perforation Locations and Dimensions / Perforation Locations and Dimensions
Pipe Stiffness / Pipe Stiffness
Pipe Flattening / Pipe Flattening
Low Temperature Flexibility / Low Temperature Flexibility
Impact Resistance (Tup) / Impact Resistance (Tup)
Acetone Immersion / Acetone Immersion
Soiltightness / Soiltightness
Watertightness / 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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Auditor Name: ______
Audit Report Number: ______

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

Audit Report

Section 7: Sample / Yard Inspection

A) / Split Sample Selection
Product Trade Name: / None
Sample 1 / Sample 2 / Sample 3 / Sample 4
Spec: / 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 / Pipe only
Compound and Pipe / Pipe only
Compound and Pipe
B) / Raw Materials
Are compound lot test results available?
Yes / No / Yes / No / Yes / No / Yes / No
C) / Finished Product Tests
Are 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): / Compound Manufacturer(s): / Compound Manufacturer(s): / 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

Auditor 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 notingany physical defects. In addition the auditor should select three random samples of M304 pipeto verify proper quality control records.

YES / NO
E) / Visual Inspection of Pipe in the Yard (Conducted by auditor)
Pipe Inspections
1) The auditor shall inspect exterior and interior walls to ensure that:
  1. free from delamination?

  1. free from blowouts?

  1. free of foreign inclusion and visible defects?

  1. 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:
  1. free of foreign inclusion and visible defects?

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

2) The auditor shall inspect fittings and couplings to ensure the markings include:
  1. Manufacturer Name or Trademark?

  1. 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.

Section 7: Sample/Yard Inspection

• M304 Yard Samples

F) / M294 Random Sample Information and Record Audit
M304Yard Sample 1 / M304Yard Sample 2 / M304Yard 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 TESTS
Tensile 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 TESTS
Wall Thickness / one per hour per line
Inside Diameter / one per hour per line
Perforation Locations and Dimensions / one per hour per line
Pipe Stiffness / one per hour per line
Pipe Flattening / one per hour per line
Low Temperature Flexibility / one per year
Impact Resistance (Tup) / one per day per line
Acetone Immersion / Once per lot per line
Soiltightness / Once per year
Watertightness / Once per year
Comments: / None
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 / ResinCompoundLot # / Line / Size / ResinCompoundLot # / Line / Size / ResinCompoundLot # / YES / NO
Week 1
Week 2
Week 3
Comments: / None

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Auditor Name: ______
Audit Report Number: ______

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AASHTO’s National Transportation Product Evaluation Program (NTPEP) / Section 8
Evaluation 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 / NO
A) / Quality Control of CompoundResin
CompoundResin Blending / N/A
1)Are resincompoundsblends 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%?
3)What process does the plant use to verify and control 2)?
Comments: / None

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Auditor Name: ______
Audit Report Number: ______

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AASHTO’s National Transportation Product Evaluation Program (NTPEP) / Section 910
Evaluation 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 / No
A) / 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:

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

Izod Pendulum Impact Resistance (Test Method A: Cantilever Beam Test) / Yes / No
A) / 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 calibration
17)Micrometers – To measure the width of the specimen and the depth of plastic material remaining in the specimen under the notch