ASTM D7776 - 12

    Standard Guide for Self-Assessment of Quality System Practices in Petroleum Products and Lubricant Testing Laboratories

    Active Standard ASTM D7776 | Developed by Subcommittee: D02.94.01

    Book of Standards Volume: 05.04


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    Significance and Use

    This guide can be used to evaluate the performance of a laboratory with regards to its adherence to established laboratory quality practices for the essential elements of managing a well-performing laboratory. The suggested scoring system can be used to identify the laboratory areas which need improvement in performance.

    The assessment guide (Table 1) should be adjusted or modified to reflect the specific laboratory quality system that the laboratory follows. This guide is based on Practice D6792.

    5.3 Similar but more generic schemes can be found in other ASTM standards such as Guide E548, E882, E994, and E1323. But this guide is the first one to attempt a numerical evaluation for the petroleum products and lubricants testing laboratories in the oil industry.

    TABLE 1 Laboratory Assessment Guide to Good Laboratory Practices

    Note 1—When the sampling is within the control of the laboratory, documents other than quoted above may detail the sampling process (not only ASTM). For example, company procedures. These should be assessed as well to check compliance to industry standards and then to ensure the laboratory complies with these procedures.

    Note 2—Samples, when received by the laboratory from customers, should question the integrity of the sample and make some reference on the final test report to the fact that tests were completed on samples as received. If sample container was not appropriate, a similar caveat should be included. Instruction/procedure on how to deal with these situations should be documented and the laboratory assessed against it.

    Note 3—In-house instructions/operating procedures also need to be assessed where used/written for each test method.

    NumberIssueCommentMaximum Score
    1.0 PERSONNEL & TRAINING
    1.1 Is there an organization chart available for the lab? / 5
    1.2 Is there a management approved policy, directive, endorsement or the like for the goals and operations of the laboratory? / 10
    1.3 Are job descriptions provided for all laboratory associates?/ 5
    1.4 Are personnel qualification records including training maintained for all lab personnel? / 5
    1.5 Are technicians trained in all pertinent tests? / 10
    1.6 Are newly hired technicians trained by approved trainers? / 10
    1.7 Before new technicians perform routine analysis, are they evaluated to produce correct results by analyzing quality control standards?/ 10
    1.8 Are technicians provided instrument training courses where necessary? / 10
    1.9 Are there back-up technicians for each test? / 5
    1.10 Is there a documented system for training and is it being followed? / 5
    1.11 Is there a system to recognize innovative ideas from technicians?/ 5
    1.12 Are there quality improvement teams organized in the lab? / 5
    1.13 Are results of these teams work readily available?/ 5
    1.14 Does management review the work of these quality teams?/ 5
    TOTAL/195
    2.0 SAMPLE PREPARATION
    2.1A Has a representative sample been obtained per Practice D4057 or D4177 protocols? / 5
    2.2B If the sample analysis involves LPG, does the sampling and storage follow instructions in Practice D6849?/ 5
    2.3BAre LPG samples obtained according to Practice D3700 if using a floating piston cylinder? / 5
    2.4B Are LPG samples collected using manual method Practice D1265? / 5
    2.5B For the analysis of calcined petroleum coke, is Practice D6969 followed for sample preparation? / 5
    2.6B For collection of calcined petroleum coke, is Practice D6970 followed? / 5
    2.7BFor ampulization and storage of gasoline is Practice D6596 being followed?/ 5
    2.8BIf volatility measurements are conducted on fuel samples, is Practice D5842 being followed?/ 5
    2.9BIs Practice D4296 being followed in sampling of pitch?/ 5
    2.10BAre aviation fuel samples stored in containers suitable according to Practice D4306/ 5
    2.11BAre gas turbine fuels handled in accordance with Practice D4418?/ 5
    2.12BIf in-service monitoring of fluids is done, is Practice D4378 being followed?/ 5
    2.13 Are appropriate sample containers being used, checked for their integrity, cleanliness, and compatibility?/ 5
    2.14B Is liquid sample mixing done using Practice D5854 protocol?/ 5
    TOTAL/ 175
    3.0 TEST METHOD COMPLIANCE
    3.1 Are all test methods used in the lab available to all staff members?/ 10
    3.2 Is a current site specific lab manual available?/ 10
    3.3 Are the methods specified in the product specifications used for analysis?/ 10
    3.4 Are all tests performed in the lab following the exact language of the written test methods?/ 30
    3.5C Has the lab modified any of the specified test methods??
    3.6 If so, has it been shown that the modified method gives results equivalent to those obtained by the specified method?/ 20
    3.7 If a method is modified, is the customer informed about this change? / 5
    3.8 Are all tests specified in the product specifications performed?/ 10
    3.9 If not, has approval been given in writing by the process leaders and/or customers not to carry out all tests?/ 5
    3.10 Does the lab have appropriate instrument for the analysis?/ 10
    3.11 Is an equipment inventory list available and is it up-to-date?/ 5
    3.12 Are major instruments included in service contracts?/ 5
    3.13 If not, has arrangement been made to get the instrument speedily repaired or use of a back-up lab for analysis? / 5
    3.14 Are logs kept of all downtime and service problems of all instruments? / 5
    3.15 Is there a system of backup in case of instrument failure?/ 5
    3.16Is there a long range plan of upgrading and replacing older instrumentation? / 5
    3.17Has a maintenance schedule been established for all equipment in the lab? / 10
    3.18 Is a record of special or routine or preventive maintenance kept and is it up-to-date? / 5
    3.19 If a duplicate analysis is done for some reason, are the results checked to see that they meet Practice D3244 or ISO 4259 criteria for replicate testing?/ 10
    3.20In reporting the results, are protocols given in Practice E29 and standards followed regarding rounding of the test results? / 10
    TOTAL/ 175
    4.0 CALIBRATION OF INSTRUMENTS
    4.1 Are all pertinent calibration standards available in the lab? / 10
    4.2 Are they all stored in clean, safe, and contamination-free environment?/ 10
    4.3BIs Practice D4307 followed for preparing liquid blends for use as analytical standards? / 5
    4.4B Is Practice D4051 used for the preparation of low-pressure gas blends? / 5
    4.5 Are the calibration standards traceable to national or international standards? / 5
    4.6 Where appropriate, are the values for reference materials produced by following the appropriate NIST or other standards issuing body certification protocol?/ 10
    4.7B If used, are crude oil samples for mercury analysis handled as per Practice D7482?/ 5
    4.8 Is relevant calibration done on all instruments before sample analysis?/ 10
    4.9 Has a calibration schedule been established for lab equipment? / 5
    4.10 Are calibration procedures documented and available to all lab personnel?/ 10
    4.11 If the calibration is done through a vendor, is it checked that it meets the requirements? / 10
    4.12 Are all calibration records maintained containing all necessary information? / 10
    4.13 When found to be out of calibration, is the instrument taken out of operation until the problem is fixed?/ 10
    4.14B Was the performance of process stream analyzer, if used, validated using Practice D3764 or D6122, whichever is applicable?/ 5
    4.15BIf used, are moisture analyzers calibrated per Practice D4178? / 5
    4.16BIf analyzers are used has a linear correlation been established between the analyzer and primary ASTM test methods using Guide D7235? / 15
    4.17B If metals are analyzed using ICP-AES, is Practice D7260 followed for ICP-AES operation?/ 10
    4.18B If metals are analyzed using XRF, is Practice D7343 followed for XRF operation? / 10
    4.19B If balances are used for analytical purposes, are they being calibrated using Test Method E898? / 10
    4.20B If thermometric measuring devices are being used, are they calibrated using Test Method E77?/ 10
    4.21B If timers are used for measurement purposes, are they being calibrated or verified using the relevant standard test method? / 10
    TOTAL/ 180
    5.0 STATISTICAL QUALITY CONTROL
    5.1 Is a QC program set up for each routine test performed in the lab, if pertinent? / 10
    5.2 Has a schedule of QC frequency been established and followed?/ 10
    5.3 What is the frequency of QC testing? / 10
    5.4DIs a QC samples analyzed with each batch of samples? / 10
    5.5 Is a list available showing tests with QC program, standards, frequency, and the analyst responsible for running it? / 10
    5.6 Are control charts used in the lab for all appropriate tests? / 10
    5.7 Are the control charts being plotted in real time? / 10
    5.8EAre the control charts plotted manually or electronically? / 5
    5.9FAre the control charts plotted by technicians or supervisors? / 10
    5.10GAre the control charts displayed near the test stations or filed in cabinets? / 5
    5.11 Are all relevant data recorded on the QC charts (e.g., analyst name or initial, date, numerical value, etc.)? / 10
    5.12 Are the values reported on the control chart consistent with the reporting resolution in the test method?/ 5
    5.13 Are the mean ± standard deviation values assigned to the QC sample based on at least 20 replicate measurements? /10
    5.14 If starting the chart with 15 or less data points, is it revised after obtaining 20 -30 data points? (D6299) /10
    5.15HHow many statistical run rules are used for control charts? / 10
    5.16 Have any run rules been violated? / 10
    5.17 What action was taken in such cases? Is the action taken documented? / 0

    1. Scope

    1.1 This guide covers and provides direction for the self-assessment of the quality system practices in a laboratory testing petroleum products and lubricants in the oil industry. This guide is intended to satisfy requirements of international laboratory quality standards to conduct periodic self-assessments. It is not intended for comparing laboratory performance among a laboratory group or for use in external certification programs.

    1.2 Other forms of assessment formats may also be acceptable as long as they cover the essential elements of this guide regarding laboratory capability.

    1.3 This standard does not purport to address all of the safety concerns, if any, associated with its use. It is the responsibility of the user of this standard to establish appropriate safety and health practices and determine the applicability of regulatory limitations prior to use.


    2. Referenced Documents (purchase separately) The documents listed below are referenced within the subject standard but are not provided as part of the standard.

    ASTM Standards

    D94 Test Methods for Saponification Number of Petroleum Products

    D445 Test Method for Kinematic Viscosity of Transparent and Opaque Liquids (and Calculation of Dynamic Viscosity)

    D892 Test Method for Foaming Characteristics of Lubricating Oils

    D1265 Practice for Sampling Liquefied Petroleum (LP) Gases, Manual Method

    D3244 Practice for Utilization of Test Data to Determine Conformance with Specifications

    D3700 Practice for Obtaining LPG Samples Using a Floating Piston Cylinder

    D3764 Practice for Validation of the Performance of Process Stream Analyzer Systems

    D4051 Practice for Preparation of Low-Pressure Gas Blends

    D4057 Practice for Manual Sampling of Petroleum and Petroleum Products

    D4177 Practice for Automatic Sampling of Petroleum and Petroleum Products

    D4178 Practice for Calibrating Moisture Analyzers

    D4296 Practice for Sampling Pitch

    D4306 Practice for Aviation Fuel Sample Containers for Tests Affected by Trace Contamination

    D4307 Practice for Preparation of Liquid Blends for Use as Analytical Standards

    D4378 Practice for In-Service Monitoring of Mineral Turbine Oils for Steam and Gas Turbines

    D4418 Practice for Receipt, Storage, and Handling of Fuels for Gas Turbines

    D5185 Test Method for Determination of Additive Elements, Wear Metals, and Contaminants in Used Lubricating Oils and Determination of Selected Elements in Base Oils by Inductively Coupled Plasma Atomic Emission Spectrometry (ICP-AES)

    D5842 Practice for Sampling and Handling of Fuels for Volatility Measurement

    D5854 Practice for Mixing and Handling of Liquid Samples of Petroleum and Petroleum Products

    D6046 Classification of Hydraulic Fluids for Environmental Impact

    D6122 Practice for Validation of the Performance of Multivariate Online, At-Line, and Laboratory Infrared Spectrophotometer Based Analyzer Systems

    D6299 Practice for Applying Statistical Quality Assurance and Control Charting Techniques to Evaluate Analytical Measurement System Performance

    D6304 Test Method for Determination of Water in Petroleum Products, Lubricating Oils, and Additives by Coulometric Karl Fischer Titration

    D6595 Test Method for Determination of Wear Metals and Contaminants in Used Lubricating Oils or Used Hydraulic Fluids by Rotating Disc Electrode Atomic Emission Spectrometry

    D6596 Practice for Ampulization and Storage of Gasoline and Related Hydrocarbon Materials

    D6792 Practice for Quality System in Petroleum Products and Lubricants Testing Laboratories

    D6849 Practice for Storage and Use of Liquefied Petroleum Gases (LPG) in Sample Cylinders for LPG Test Methods

    D6969 Practice for Preparation of Calcined Petroleum Coke Samples for Analysis

    D6970 Practice for Collection of Calcined Petroleum Coke Samples for Analysis

    D7235 Guide for Establishing a Linear Correlation Relationship Between Analyzer and Primary Test Method Results Using Relevant ASTM Standard Practices

    D7260 Practice for Optimization, Calibration, and Validation of Inductively Coupled Plasma-Atomic Emission Spectrometry (ICP-AES) for Elemental Analysis of Petroleum Products and Lubricants

    D7343 Practice for Optimization, Sample Handling, Calibration, and Validation of X-ray Fluorescence Spectrometry Methods for Elemental Analysis of Petroleum Products and Lubricants

    D7372 Guide for Analysis and Interpretation of Proficiency Test Program Results

    D7482 Practice for Sampling, Storage, and Handling of Hydrocarbons for Mercury Analysis

    E29 Practice for Using Significant Digits in Test Data to Determine Conformance with Specifications

    E77 Test Method for Inspection and Verification of Thermometers

    E548 Guide for General Criteria Used for Evaluating Laboratory Competence

    E882 Guide for Accountability and Quality Control in the Chemical Analysis Laboratory

    E898 Test Method of Testing Top-Loading, Direct-Reading Laboratory Scales and Balances

    E994 Guide for Calibration and Testing Laboratory Accreditation Systems General Requirements for Operation and Recognition

    E1323 Guide for Evaluating Laboratory Measurement Practices and the Statistical Analysis of the Resulting Data


    ICS Code

    ICS Number Code 75.080 (Petroleum products in general); 75.100 (Lubricants, industrial oils and related products)

    UNSPSC Code

    UNSPSC Code


    DOI: 10.1520/D7776-12

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