Recordkeeping Dispute After a Failed Test
A tester tests a 2-inch double check valve assembly at a laundromat and records a check valve differential of 0.8 psi on the first check and 0.5 psi on the second. The purveyor's minimum is 1.0 psi. The tester writes 'passed' because the assembly 'held' and submits the report. Six months later a backflow incident occurs and the purveyor audits the file. The tester's certification is current, but the report lacks the assembly serial number, the gauge calibration date, and the tester's signature. The owner claims the tester told him it passed.
1. Evaluate the report against typical recordkeeping requirements and identify each deficiency.
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Typical requirements include assembly location, make, model, size, serial number, test results for each check, gauge information, tester name and certification number, signature, and date. This report is deficient because:
- The recorded differentials (0.8 and 0.5 psi) are below the 1.0 psi minimum, so the assembly should have been reported as failed.
- The serial number is missing, making the record untraceable to the assembly.
- The gauge calibration date is missing, so the test's validity cannot be confirmed.
- The tester's signature is missing, so the report is not authenticated.
The 'passed' determination is incorrect on its face. The tester's statement to the owner does not cure the record deficiency.
2. What are the consequences for the tester and the owner, and how should the tester respond to the audit?
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The tester faces potential decertification or discipline for submitting a false report and for incomplete records. The owner faces an unprotected assembly and possible enforcement. The tester should cooperate with the audit, acknowledge the error, and correct the record. The tester should not alter the original report retroactively; instead, submit a corrected report noting the error and the actual results. The tester should retest the assembly with a calibrated gauge and document the results. The owner should be notified in writing that the assembly failed and requires repair or replacement.
3. Describe the recordkeeping practices that would have prevented this outcome.
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Use a standardized test form that requires every field, including serial number, gauge calibration date, and signature. Apply a checklist before submission: verify each differential against the minimum, confirm the pass/fail determination matches the numbers, and confirm all fields are complete. Keep a copy of the report and the calibration certificate. Train testers on the purveyor's specific requirements. Implement a second-person review for failed or borderline results. Maintain records for the required retention period and make them available to the purveyor on request.