ASTM D7036-04(2011)
(Practice)Standard Practice for Competence of Air Emission Testing Bodies
Standard Practice for Competence of Air Emission Testing Bodies
SIGNIFICANCE AND USE
This practice establishes general criteria for a quality system that, when followed, helps ensure consistently acceptable data quality from an AETB. The relevant criteria contained in this practice shall be addressed in the AETB’s quality manual, which shall contain or refer to additional specific criteria and requirements where relevant and necessary. The quality manual and its implementation (including test protocols, reports, and personnel testing) shall provide the sole basis for determining the conformance of the AETB with this standard.
Note 3—This practice assesses the overall ability of an AETB to deliver data of known and documented quality on a consistent basis regardless of the test method used. There is no requirement to define a scope of testing. It is a requirement of this practice that prior to performing a test method for the first time, the AETB has in place resources, training, and QA/QC consistent with this practice to insure data of acceptable quality are produced.
This practice is for use by AETBs in developing the quality, administrative, and technical systems that govern their operations. Clients, regulatory authorities, and accreditation bodies may also use it in confirming or recognizing the competency of AETBs.
Note 4—This practice is performance-based; that is, it focuses on the actual performance (that is, consistent generation of data of known and documented quality) of the AETB rather than on an extensive collection of prescriptive criteria that may or may not be relevant to a particular AETB. It also focuses on the education and qualifications of the individual tester.
Note 5—There has been an effort in the development of this practice to keep the paperwork and administrative burdens on affected AETBs to the minimum required for an effective program.
SCOPE
1.1 This practice specifies the general requirements for competence to carry out sampling and analysis for air emissions tests of stationary sources. It covers testing and calibration performed using standard methods, non-standard methods and methods developed by the AETB.
1.2 This practice is applicable to all bodies engaged in air emission testing regardless of the number of personnel or the scope of testing activities. When an AETB does not undertake one or more of the activities covered by the practice such as developing test methods, the requirements of those clauses do not apply.
1.3 The notes given provide clarification of text, examples, and guidance. The notes do not contain requirements and do not form an integral part of this practice.
Note 1—ISO/IEC 17025 has been considered when elaborating this practice. It is to be noted that at the time of approval of this practice ISO/IEC 17025 was under revision. Several, but not all, statements of this practice are consistent with ISO/IEC 17025:1999.
Note 2—This practice is a specification for competence. It does not address accreditation or any activities specific to accreditation such as on-site inspections/audits by external assessors or proficiency testing.
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Standards Content (Sample)
NOTICE: This standard has either been superseded and replaced by a new version or withdrawn.
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Designation: D7036 − 04(Reapproved 2011)
Standard Practice for
Competence of Air Emission Testing Bodies
This standard is issued under the fixed designation D7036; the number immediately following the designation indicates the year of
original adoption or, in the case of revision, the year of last revision. A number in parentheses indicates the year of last reapproval. A
superscript epsilon (´) indicates an editorial change since the last revision or reapproval.
1. Scope relative accuracy and QA/QC auditing of continuous monitor-
ing systems. This definition excludes fuel sampling, visible
1.1 This practice specifies the general requirements for
emission evaluations, and daily operation and maintenance of
competence to carry out sampling and analysis for air emis-
continuous monitoring systems.
sions tests of stationary sources. It covers testing and calibra-
tion performed using standard methods, non-standard methods
3.1.2 air emission testing body (AETB)—a company or
and methods developed by the AETB.
other entity that conducts Air Emission Testing.
1.2 This practice is applicable to all bodies engaged in air
3.1.3 approved test protocol—a statement, approved by the
emission testing regardless of the number of personnel or the
relevant regulatory authority or other receiving party, of the
scope of testing activities. When an AETB does not undertake
objectives of a specific test program and the test methods (and
one or more of the activities covered by the practice such as
deviations) to be used to achieve those objectives. Also
developing test methods, the requirements of those clauses do
referred to as “sampling plan” or “test plan.”
not apply.
3.1.4 competence—the ability to consistently produce ac-
1.3 The notes given provide clarification of text, examples,
ceptable data of known and documented quality. An AETB
and guidance. The notes do not contain requirements and do
shall be considered competent if it has in place and continually
not form an integral part of this practice.
operates under a quality system meeting the requirements of
NOTE 1—ISO/IEC 17025 has been considered when elaborating this
this practice.
practice. It is to be noted that at the time of approval of this practice
ISO/IEC 17025 was under revision. Several, but not all, statements of this
3.1.5 external qualification exam—a qualification exam
practice are consistent with ISO/IEC 17025:1999.
meeting the requirements of 8.3.5 and administered by an
NOTE 2—This practice is a specification for competence. It does not
independentproctor.Inaddition,anexternalqualificationexam
address accreditation or any activities specific to accreditation such as
must be: (1) approved with regard to content and format by a
on-site inspections/audits by external assessors or proficiency testing.
qualification exam provider. This test will be administered in
2. Referenced Documents
accordance with rules established by the Provider; and (2)
administered and scored by an independent proctor.
2.1 Referenced Standards:
NCSL RP-1 Establishment and Adjustment of Calibration
3.1.6 independent proctor—a person not employed by or
Intervals
associated with the AETB who oversees the administration of
ISO/IEC 17025 General Requirements for the Competence
the external qualification exam in accordance with the rules
of Testing and Calibration Laboratories
established by the qualification exam provider.
3.1.7 internal qualification exam—a qualification exam
3. Terminology
meeting the requirements of 8.3.5 and administered by the
3.1 Definitions:
AETB.
3.1.1 air emission testing—the direct testing of emissions to
the atmosphere from stationary sources by sampling, 3.1.8 known and documented quality—for the purposes of
measurement, and analysis including determination of the this practice, data will be of known and documented quality if
collected under a quality system meeting the requirements of
this practice (including adherence to approved test protocols
This practice is under the jurisdiction of ASTM Committee D22 on Air
and deviations).
Qualityand is the direct responsibility of Subcommittee D22.03 on Ambient
Atmospheres and Source Emissions.
3.1.9 performance data—data generated, or collected, or
Current edition approved Jan. 15, 2011. Published March 2011. Originally
both by the AETB indicating conformance with customer and
approved in 2004. Last previous edition approved in 2004 as D7036 - 04.
DOI:10.1520/D7036-04R11.
regulatory requirements and with the requirements of this
NCSL International, Wilderness Place, Suite 107, Boulder, Colorado 80301-
practice. Such data includes feedback from regulatory agency
observers,customers,internalandexternalauditresults,results
Available from American National Standards Institute (ANSI), 25 W. 43rd St.,
4th Floor, New York, NY 10036. from participation in proficiency testing programs and any
Copyright © ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959. United States
D7036 − 04 (2011)
NOTE 5—There has been an effort in the development of this practice to
other data that provides direct, objective documentation of the
keep the paperwork and administrative burdens on affectedAETBs to the
quality of data collected by the body.
minimum required for an effective program.
3.1.10 performance issue—a performance issue (or quality
system problem) may be of two types: (1) some aspect of a test
5. Organization and Management
program or test data failed to meet expectations; and (2) failure
5.1 The AETB shall have in place a structure, including a
to follow the quality manual or a required component of the
quality system that enables it to continually monitor and
manual is absent.
improve its ability to deliver its scope of services. This ability
3.1.11 proficiency test—a means of evaluating an AETB’s
shall be measured by performance data.
performance relative to a given set of criteria.
5.2 The organization of the AETB shall be clearly defined
3.1.11.1 Discussion—A proficiency test, for example, may
including its place in any parent organization, and the relation-
be a blind determination of a reference sample, comparison of
ships between quality management, technical operations, and
paired sampling trains, or recovery from dynamic spiking.
support services.
3.1.12 qualification credentials—evidence that the qualified
5.3 It is the responsibility of the AETB to carry out its
individual meets the requirements of 8.3.2 and that clearly
activities in such a way as to meet the requirements of this
states the scope of the qualification (for example, a certificate
practice, the requirements of local, state and federal laws and
from a qualification exam provider).
regulations, and to meet the needs of the client, and when
appropriate, regulatory authorities.
3.1.13 qualification exam—a test to evaluate the knowledge
of the individual to become qualified.
5.4 The AETB shall:
5.4.1 Have in place a system to collect and document
3.1.14 qualification exam provider—a recognized associa-
tion of AETBs who oversees, maintains, or approves, or a performance data from all relevant sources.
combination the three the format and content of qualification 5.4.2 Provideitsemployeeswiththeresourcesandauthority
exams meeting the requirements of this practice. A qualifica- to initiate corrective actions and to verify and document their
tion exam provider also develops policies and procedures for
effectiveness.
the administration of the exams and issues qualification cre-
5.4.3 Be legally identifiable, that is, it shall meet the
dentials.
applicable legal requirements of the governmental jurisdiction
in which it conducts business. It shall be organized and shall
3.1.15 qualified individual—an individual who meets the
operate so that its facilities and resources meet the require-
requirements specified in 8.3.2 of this practice
ments of this practice.
5.4.4 Be organized so that staff members are not subject to
4. Significance and Use
undue pressure or inducement that might inappropriately
4.1 This practice establishes general criteria for a quality
influence their judgment or results of their work, including
system that, when followed, helps ensure consistently accept-
quality issues.
able data quality from an AETB. The relevant criteria con-
5.4.5 Be organized so that confidence in its independence of
tained in this practice shall be addressed in theAETB’s quality
judgment and integrity is maintained at all times.
manual, which shall contain or refer to additional specific
5.4.6 Be organized so that staff members are aware of both
criteria and requirements where relevant and necessary. The
the extent and limitations of their responsibilities.
quality manual and its implementation (including test
5.4.7 Provide adequate supervision of technical staff, in-
protocols, reports, and personnel testing) shall provide the sole
cludingtrainees,bypersonsfamiliarwithrelevantmethodsand
basis for determining the conformance of the AETB with this
procedures,thepurposeofthetestproject,andwithassessment
standard.
of testing results. Only qualified individuals may supervise a
NOTE 3—This practice assesses the overall ability of an AETB to
test.
deliver data of known and documented quality on a consistent basis
5.4.8 Have a technical manager or director (however
regardless of the test method used. There is no requirement to define a
named) who has overall responsibility for the technical opera-
scopeoftesting.Itisarequirementofthispracticethatpriortoperforming
a test method for the first time, theAETB has in place resources, training,
tions of the AETB and has demonstrated competence in air
and QA/QC consistent with this practice to insure data of acceptable
emissions testing activities through education or professional
quality are produced.
experience, or both.
4.2 This practice is for use by AETBs in developing the
5.4.9 Have a quality manager (however named) who has
quality, administrative, and technical systems that govern their
responsibility for the quality system and its implementation.
operations. Clients, regulatory authorities, and accreditation
The quality manager shall have authority and responsibility for
bodies may also use it in confirming or recognizing the
ensuring that the requirements of this practice are implemented
competency of AETBs.
and maintained. The quality manager must have direct access
NOTE 4—This practice is performance-based; that is, it focuses on the to the highest levels of management at which decision are
actual performance (that is, consistent generation of data of known and
made on policies affecting the AETB.
documented quality) of the AETB rather than on an extensive collection
of prescriptive criteria that may or may not be relevant to a particular NOTE 6—The quality manager may also be the technical manager in
AETB.Italsofocusesontheeducationandqualificationsoftheindividual AETBs with limited staff. Whenever possible, the quality and technical
tester. manager positions should be filled independently.
D7036 − 04 (2011)
5.4.10 Have a qualified individual on-site for each test AETB shall also ensure that its quality policy is understood,
project who is qualified for each test method performed. implemented, and maintained at all levels within the AETB.
5.4.11 Be able to provide documentation or otherwise
7.2 Quality System—The AETB shall establish, maintain,
demonstrate, on request from the persons or organizations
and operate under a documented quality system as a means of
evaluating its competence, that it complies with the relevant
ensuring that its operations are appropriate to providing air
and appropriate federal, state, and local requirements for
emission testing services and meet the requirements of this
conducting testing procedures under its scope, including com-
practice.
pliance with this practice.
7.2.1 The quality system shall be designed to ensure the
5.4.12 Be able to provide documentation or otherwise
required degree of completeness, representativeness,
demonstrate, on request from the persons or organizations
comparability, and uncertainty (within the limits of uncertainty
evaluating its competence, that it complies with applicable
documented in the test method) needed to meet the data quality
local, state, and federal requirements governing health and
objectives of each project undertaken by the AETB.
safety, transportation, shipping and other relevant require-
7.2.2 The quality system and the AETB’s conformance to
ments.
the quality system shall be documented to the extent necessary
to ensure consistent achievement of data quality objectives for
6. Document Control
projects undertaken by the AETB.
6.1 General—The AETB shall establish and maintain pro-
cedures to control all documents that form part of its quality NOTE 7—Data quality objectives (however named) should always be a
part of any test program. Sections 7.2.1 and 7.2.2 do not establish new
system (internally generated or from external sources), such as
requirements. Data quality objectives may be defined in the testing
regulations, standards, other normative documents, test, or
method (for example, bias <5 %, leak rate 60.10 in. H O, conversion
calibration methods, or a combination of thereof, as well as
efficiency >90 %) or may be defined by regulation or by the client).
drawings, software, specifications, instructions and manuals.
7.3 Quality Manual—The quality system shall be docu-
These procedures shall be sufficient to preclude the use of
mented in a quality manual and supporting quality system
invalid, or obsolete documents, or both.
documentation. The manual shall address all topics covered in
6.2 Quality system documents generated by theAETB shall
the outline provided in Appendix X1 of this practice. Portions
be uniquely identified. Such identification shall include the
not relevant to the scope of the AETB’s services may be
date of issue, or revision identification, or both, page
eliminated. This documentation shall be available for use by
numbering, the total number of pages or a mark to signify the
the AETB staff. The quality system documents shall be
end of the document, and the issuing authority(ies).
maintained current under the responsibility of the quality
6.3 Changes to documents shall be reviewed and approved manager.
by the same organizational group that performed the original
7.4 Audits:
review unless specifically designated otherwise. Personnel
7.4.1 TheAETB shall annually conduct internal audits of its
conducting the review shall have access to pertinent back-
activitiestoverifythatitsoperationscontinuetoconformtothe
ground information upon which to base their review and
requirementsofthequalitysystem.Suchauditsshallbecarried
approval. Where practicable, the altered
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