ASTM E699-99
(Practice)Standard Criteria for Evaluation of Agencies Involved in Testing, Quality Assurance, and Evaluating Building Components in Accordance with Test Methods Promulgated by ASTM Committee E-6
Standard Criteria for Evaluation of Agencies Involved in Testing, Quality Assurance, and Evaluating Building Components in Accordance with Test Methods Promulgated by ASTM Committee E-6
SCOPE
1.1 This standard provides a guide for the information to be obtained and provides specific recommended criteria for evaluating the capabilities of an agency to conduct tests and to report on tests performed in accordance with the standards promulgated by Committee E-6 on Performance of Building Constructions.
1.2 The criteria in this standard describe the basic information used in judging the capability of an agency to perform its intended functions objectively and competently as well as to disclose possible conflicts of interest judged from the standpoint of the user of this standard. Testing, approval, and certification of a company's own products and services by its own testing agency does not necessarily constitute a conflict of interest.
1.3 The criteria presented herein are divided into three categories of endeavor, namely,
Part A-Standards and Criteria for Testing Agencies
Part B-Standards and Criteria for Quality Assurance Agencies
Part C-Standards and Criteria for Evaluating Agencies
1.4 The fundamental purpose of this standard is to provide criteria for evaluating an agency as denoted in either by a user of that service or by an accrediting authority.
1.5 It is not the purpose of this standard to provide a basis for determining the quality of a product or service being evaluated.
1.6 This standard is not intended for the evaluation of those activities normally associated with the production and sale of products and the like, such as a manufacturer's internal quality program. However, any organization may request or perform an evaluation of its own in-house facilities under this standard if it so desires.
1.7 It is not the intent of this standard to be the basis for the determination of the type of agency to be selected by the user.
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Standards Content (Sample)
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An American National Standard
Designation: E 699 – 99
Standard
Criteria for Evaluation of Agencies Involved in Testing,
Quality Assurance, and Evaluating Building Components in
Accordance with Test Methods Promulgated by ASTM
Committee E-6
This standard is issued under the fixed designation E 699; 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 (e) indicates an editorial change since the last revision or reapproval.
INTRODUCTION
This standard and Practice E 548 for Generic Criteria for Use in the Evaluation of Testing and
Inspection Agencies provide criteria for use in the evaluation of a testing and inspection agency’s
capabilities with respect to organization, human resources, physical resources, and quality systems.
These criteria also require disclosure of those factors on which the objectivity of the agency can be
judged.
1. Scope 1.5 It is not the purpose of this standard to provide a basis
for determining the quality of a product or service being
1.1 This standard provides a guide for the information to be
evaluated.
obtained and provides specific recommended criteria for evalu-
1.6 This standard is not intended for the evaluation of those
ating the capabilities of an agency to conduct tests and to report
activities normally associated with the production and sale of
on tests performed in accordance with the standards promul-
products and the like, such as a manufacturer’s internal quality
gated by Committee E-6 on Performance of Building Construc-
program. However, any organization may request or perform
tions.
an evaluation of its own in-house facilities under this standard
1.2 The criteria in this standard describe the basic informa-
if it so desires.
tion used in judging the capability of an agency to perform its
1.7 It is not the intent of this standard to be the basis for the
intended functions objectively and competently as well as to
determination of the type of agency to be selected by the user.
disclose possible conflicts of interest judged from the stand-
point of the user of this standard. Testing, approval, and
2. Terminology
certification of a company’s own products and services by its
2.1 Definitions:
own testing agency does not necessarily constitute a conflict of
2.1.1 accrediting authority—a formal body (or an indi-
interest.
vidual user) that evaluates the capability of an agency in certain
1.3 The criteria presented herein are divided into three
specific fields of activity.
categories of endeavor, namely,
2.1.2 affıliate—as used in this standard, a corporate or
Part A—Standards and Criteria for Testing Agencies
organizational entity that has a management or an ownership
Part B—Standards and Criteria for Quality Assurance Agen-
relationship, or both, with the agency being evaluated. It does
cies
not refer to a contractual relationship between organizations,
Part C—Standards and Criteria for Evaluating Agencies
nor does it include the membership of a trade or similar
1.4 The fundamental purpose of this standard is to provide
association, or to the companies represented by such member-
criteria for evaluating an agency as denoted in 1.3 either by a
ship.
user of that service or by an accrediting authority.
2.1.3 agency—an organization or part of an organization,
engaged in the activities of testing, quality assurance, or
evaluating test results.
This standard is under the jurisdiction of ASTM Committee E-36 on Confor-
mity Assessment and is the direct responsibility of Subcommittee E36.10 on
2.1.4 certification—the process by which recognition is
Laboratory/Inspection Bodies.
obtained from an appropriate party that a product meets certain
Current edition approved Dec. 10, 1999. Published March 2000. Originally
specified requirements. Prototype or production models, or
pulished ast E 699–79. Discontinued September 1995 and reinstated as E 699–99.
Annual Book of ASTM Standards, Vol 14.02. both, of the product(s) will have been tested and inspected to
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NOTICE: This standard has either been superceded and replaced by a new version or discontinued.
Contact ASTM International (www.astm.org) for the latest information.
E699–99
check that they do meet the requirements. Quality assurance gated by ASTM Committee E-6. The existence of a formal
programs are used to ensure that the product(s) continue to accrediting authority such as a federal, state, municipal, or
comply with the specified requirements. Satisfactory tests, nongovernmental body is not necessary for the use of this
inspections, and quality assurance are for the basis for certifi- standard. These criteria may be supplemented by more specific
cation. Certification may be evidenced by labeling of the criteria for particular classes of testing, quality assurance, and
product. evaluative agencies.
2.1.5 criteria—common characteristics pertaining to orga-
3.2 The intent of this standard is to provide a “consensus-
nization, human resources, material resources, and quality
system” standardized basis for evaluating a testing, quality
systems which provide a basis for evaluating agencies as to
assurance, or evaluating agency with respect to its capability to
their capability to objectively and competently provide the
provide the specific service(s) needed by the user without
specific service(s) needed by the user.
prejudice to the agency offering other services or being
2.1.6 evaluating—the function of obtaining data developed
affiliated with other agencies or organizations. In those situa-
by a testing agency, and utilizing such data to perform
tions where a strict literal interpretation of the phrase “shall be
calculations, determine suitability, project results, or otherwise
made available,” as used in this standard, would be inordi-
draw conclusions resulting from an analysis of these data.
nately burdensome to an agency, it will generally be sufficient
2.1.7 human resources—those elements of support and
that the agency concerned has the information available for
capability that are provided by humans using their mental and
“on-site” review.
physical capabilities.
3.3 The criteria of this standard are described in terms of the
2.1.8 inspection—the process of measuring, examining,
basic information necessary for an accrediting authority to
testing, gaging, or making other determinations with respect to
evaluate the capability, with respect to objectivity, and compe-
materials, products, services, or environments.
tency of a testing, quality assurance, and evaluating agency
2.1.9 material resources—the instrumentalities, documenta-
regarding common characteristics pertaining to the organiza-
tion, environments, structures, etc., needed to augment the
tion, human resources, material resources, and quality systems
elements of support and capability provided by humans. (see
employed by the agency in performing the services offered.
human resources.)
Typically, accreditation of an agency involves the following
2.1.10 organization component—a portion of an organiza-
three essential phases:
tion with specific tasks and activities that constitute a part of
3.3.1 Submittal, to an involved accrediting authority, of
the total effort and accomplishments of the organization.
basic information in accordance with the criteria of this
2.1.11 quality—the totality of features and characteristics of
standard by an interested agency.
a material, product, service, system, or environment that bear
3.3.2 Evaluation of the agency-submitted information by
on its capability to satisfy a specified need(s).
the involved accrediting authority.
2.1.12 quality assurance—a planned system of activities
3.3.3 Verification, “on-site,” of the agency-submitted infor-
whose purpose is to provide assurance that the overall quality
mation by the respresentative(s) of the involved accrediting
control program (see quality control) is in fact being effectively
authority.
implemented. This system involves a continuing evaluation of
3.4 Although three categories are presented, an agency may
the adequacy and effectiveness of the overall quality control
provide one or any combination of these categories for which
program with a view to having corrective action initiated where
it can qualify. An agency requesting qualification under more
necessary. For a specific material, product, service, etc., this
than one category must satisfy the criteria for each category for
involves verification, audits, and evaluations of the quality
which acceptability is desired.
factors that affect the specification, production, inspection, and
3.5 The criteria set forth herein represent areas upon which
use of the material product, service, system, or environment.
agreement can be reached. There may be other areas to be
2.1.13 quality control—a planned system of activities
given consideration which may be of importance to the user.
whose purpose is to provide a level of quality that meets the
The user should include such other areas as a part of its own
needs of users; also, the use of such a system. The objective of
criteria.
quality control is to provide an overall system integrating the
quality factors of several related steps including: the proper 3.6 This standard represents minimum criteria necessary to
perform, monitor, or evaluate the test results of those standards
specification for what is wanted; production to meet the full
intent of the specification; inspection to determine whether the promulgated by ASTM Committee E-6.
resulting material, product, service, etc., is in accord with the
3.7 It is anticipated that the ultimate user of this standard
specification; and review of usage to determine necessary
will have the expertise necessary to exercise good judgment in
revisions of the specification.
the areas of human resources, physical resources, and quality
2.1.14 testing—the determination, by technical means, of
systems of the agency being evaluated.
the properties, performance, or elements of materials, products,
NOTE 1—For example, when judging the qualifications of the various
services, systems, or environments, which may involve appli-
individuals in a particular agency, related factors or alternative resources
cation of established scientific principles and procedures.
(such as mechanical, electrical, or electronic equipment used to aid,
control, or monitor the work of the personnel) should be considered when
3. Significance and Use
assessing the overall qualifications of such individuals. The job experience
3.1 This standard provides basic criteria for evaluating the
and the reliability of the individual should also be considered in the
qualifications of agencies utilizing the test methods promul- judgment, where applicable.
NOTICE: This standard has either been superceded and replaced by a new version or discontinued.
Contact ASTM International (www.astm.org) for the latest information.
E699–99
3.8 When assessing the organization and the resources of a tions for which accreditation is being sought. All information
particular agency, the judgment should take into account only required by this standard shall be supplied for each location.
those factors or resources specifically related to the technologi- 4.1.6 A brief resume of all full-time managerial and super-
cal area being served by the agency in terms of the specific visory employees used to perform the services for which
evaluation, and only as necessary to form an adequate judg- accreditation is being sought. Where part-time employees,
ment in relation to the evaluation. Conversely, those techno- contractors, consultants, etc., are utilized in any capacity for
logical areas served by a particular agency that are not required these services, their relationship to the agency shall be stated.
to be evaluated in a specific instance should not be impugned 4.1.7 A statement determining the managerial or financial
through the lack of such evaluation. The absence of evaluation relationship, or both, between the agency, its owners, its
or the denial of accreditation by any one party should not management, its directors, and the users of the services to be
prejudice future evaluations by other parties because small performed.
differences in needs can influence the judgement of users. The
PART A—STANDARDS AND CRITERIA FOR
use of this standard does not abrogate the right to “due process”
TESTING AGENCIES
necessary to all assessments under this standard. The right of
rebuttal to any conclusions drawn during an accreditation
5. General
procedure shall be extended to the agency.
5.1 The testing agency is responsible for the performance of
3.9 Each act of evaluation should be viewed as a “one-to-
the applicable tests with the objective of ascertaining that the
one” judgment and should not be construed as being a
manufacturer’s product complies with the testing requirements
universal judgment by others interested in the agency’s ser-
of the applicable standard or specifications. An understanding
vices. In order to ensure proper interpretation of each act of
of the requirements of each individual test method to be used
evaluation, the purpose of the evaluation and the evaluation
is a necessity. It is essential that the test agency has a copy of
area shall be clearly specified in any report of an evaluation
each applicable test method available, in its entirety, before
made pursuant to this standard.
undertaking the test program.
4. Organization of the Agency
5.2 The test agency shall prepare and submit a report in
4.1 The following information shall be made available by compliance with the requirements of the test method. This test
the agency: report shall stipulate that the tests were performed in accor-
4.1.1 A description of the organization including: dance with all requirements of the test method when such is the
case. In those cases where a deviation is made from the test
4.1.1.1 The complete legal name and address of the main
office. method requirements, each such deviation shall be enumerated
in the test report separately so that proper evaluation of the test
4.1.1.2 The names and positions of the principal officers and
directors. results can take the deviations into account.
4.1.1.3 The agency’s principal ownership, its managerial 5.3 The function of a test agency encompasses only the
structure, and its principal members. performance of the tests required, the reporting of the results,
4.1.1.4 All relevant internal organizational components in- and a statement of compliance to the particular
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