ASTM D7036-04
(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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Designation:D7036–04
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 3.1.1 air emission testing—the direct testing of emissions to
the atmosphere from stationary sources by sampling, measure-
1.1 This practice specifies the general requirements for
ment, and analysis including determination of the relative
competence to carry out sampling and analysis for air emis-
accuracy and QA/QC auditing of continuous monitoring sys-
sions tests of stationary sources. It covers testing and calibra-
tems. This definition excludes fuel sampling, visible emission
tion performed using standard methods, non-standard methods
evaluations, and daily operation and maintenance of continu-
and methods developed by the AETB.
ous monitoring systems.
1.2 This practice is applicable to all bodies engaged in air
3.1.2 air emission testing body (AETB)—a company or
emission testing regardless of the number of personnel or the
other entity that conducts Air Emission Testing.
scope of testing activities. When an AETB does not undertake
3.1.3 approved test protocol—a statement, approved by the
one or more of the activities covered by the practice such as
relevant regulatory authority or other receiving party, of the
developing test methods, the requirements of those clauses do
objectives of a specific test program and the test methods (and
not apply.
deviations) to be used to achieve those objectives. Also
1.3 The notes given provide clarification of text, examples,
referred to as “sampling plan” or “test plan.”
and guidance. The notes do not contain requirements and do
3.1.4 competence—the ability to consistently produce ac-
not form an integral part of this practice.
ceptable data of known and documented quality. An AETB
NOTE 1—ISO/IEC 17025 has been considered when elaborating this
shall be considered competent if it has in place and continually
practice. It is to be noted that at the time of approval of this practice
operates under a quality system meeting the requirements of
ISO/IEC 17025 was under revision. Several, but not all, statements of this
this practice.
practice are consistent with ISO/IEC 17025:1999.
3.1.5 external qualification exam—a qualification exam
NOTE 2—This practice is a specification for competence. It does not
address accreditation or any activities specific to accreditation such as meeting the requirements of 8.3.5 and administered by an
on-site inspections/audits by external assessors or proficiency testing.
independentproctor.Inaddition,anexternalqualificationexam
must be: (1) approved with regard to content and format by a
2. Referenced Documents
qualification exam provider. This test will be administered in
2.1 Referenced Standards:
accordance with rules established by the Provider; and (2)
NCSL RP-1 Establishment and Adjustment of Calibration
administered and scored by an independent proctor.
Intervals
3.1.6 independent proctor—a person not employed by or
ISO/IEC 17025 General Requirements for the Competence
associated with the AETB who oversees the administration of
of Testing and Calibration Laboratories
the external qualification exam in accordance with the rules
established by the qualification exam provider.
3. Terminology
3.1.7 internal qualification exam—a qualification exam
3.1 Definitions:
meeting the requirements of 8.3.5 and administered by the
AETB.
3.1.8 known and documented quality—for the purposes of
This practice is under the jurisdiction of ASTM Committee D22 on Sampling
this practice, data will be of known and documented quality if
and Analysis of Atmospheres and is the direct responsibility of Subcommittee
collected under a quality system meeting the requirements of
D22.03 on Ambient Atmospheres and Source Emissions.
this practice (including adherence to approved test protocols
Current edition approved August 1, 2004. Published August 2004. DOI:
10.1520/D7036-04.
and deviations).
NCSL International, Wilderness Place, Suite 107, Boulder, Colorado 80301-
3.1.9 performance data—data generated, or collected, or
both by the AETB indicating conformance with customer and
Available fromAmerican National Standards Institute (ANSI), 25 W. 43rd St.,
4th Floor, New York, NY 10036. regulatory requirements and with the requirements of this
Copyright © ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959, United States.
D7036–04
of prescriptive criteria that may or may not be relevant to a particular
practice. Such data includes feedback from regulatory agency
AETB.Italsofocusesontheeducationandqualificationsoftheindividual
observers,customers,internalandexternalauditresults,results
tester.
from participation in proficiency testing programs and any
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
3.1.13 qualification exam—a test to evaluate the knowledge
appropriate, regulatory authorities.
of the individual to become qualified.
5.4 The AETB shall:
3.1.14 qualification exam provider—a recognized associa-
5.4.1 Have in place a system to collect and document
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-
dentials.
5.4.3 Be legally identifiable, that is, it shall meet the
3.1.15 qualified individual—an individual who meets the applicable legal requirements of the governmental jurisdiction
in which it conducts business. It shall be organized and shall
requirements specified in 8.3.2 of this practice
operate so that its facilities and resources meet the require-
ments of this practice.
4. Significance and Use
5.4.4 Be organized so that staff members are not subject to
4.1 This practice establishes general criteria for a quality
undue pressure or inducement that might inappropriately
system that, when followed, helps ensure consistently accept-
influence their judgment or results of their work, including
able data quality from an AETB. The relevant criteria con-
quality issues.
tained in this practice shall be addressed in theAETB’s quality
5.4.5 Be organized so that confidence in its independence of
manual, which shall contain or refer to additional specific
judgment and integrity is maintained at all times.
criteria and requirements where relevant and necessary. The
quality manual and its implementation (including test proto-
5.4.6 Be organized so that staff members are aware of both
cols, reports, and personnel testing) shall provide the sole basis the extent and limitations of their responsibilities.
for determining the conformance of the AETB with this
5.4.7 Provide adequate supervision of technical staff, in-
standard.
cludingtrainees,bypersonsfamiliarwithrelevantmethodsand
procedures,thepurposeofthetestproject,andwithassessment
NOTE 3—This practice assesses the overall ability of an AETB to
of testing results. Only qualified individuals may supervise a
deliver data of known and documented quality on a consistent basis
test.
regardless of the test method used. There is no requirement to define a
scopeoftesting.Itisarequirementofthispracticethatpriortoperforming
5.4.8 Have a technical manager or director (however
a test method for the first time, theAETB has in place resources, training,
named) who has overall responsibility for the technical opera-
and QA/QC consistent with this practice to insure data of acceptable
tions of the AETB and has demonstrated competence in air
quality are produced.
emissions testing activities through education or professional
4.2 This practice is for use by AETBs in developing the
experience, or both.
quality, administrative, and technical systems that govern their
5.4.9 Have a quality manager (however named) who has
operations. Clients, regulatory authorities, and accreditation
responsibility for the quality system and its implementation.
bodies may also use it in confirming or recognizing the
The quality manager shall have authority and responsibility for
competency of AETBs.
ensuring that the requirements of this practice are implemented
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
documented quality) of the AETB rather than on an extensive collection made on policies affecting the AETB.
D7036–04
NOTE 6—The quality manager may also be the technical manager in
7.1.2 TheAETB shall ensure that its quality policy includes
AETBs with limited staff. Whenever possible, the quality and technical
recognition of the needs and expectations of its customers.The
manager positions should be filled independently.
AETB shall also ensure that its quality policy is understood,
5.4.10 Have a qualified individual on-site for each test implemented, and maintained at all levels within the AETB.
project who is qualified for each test method performed. 7.2 Quality System—The AETB shall establish, maintain,
5.4.11 Be able to provide documentation or otherwise dem- and operate under a documented quality system as a means of
ensuring that its operations are appropriate to providing air
onstrate, on request from the persons or organizations evalu-
ating its competence, that it complies with the relevant and emission testing services and meet the requirements of this
practice.
appropriate federal, state, and local requirements for conduct-
ing testing procedures under its scope, including compliance 7.2.1 The quality system shall be designed to ensure the
with this practice. required degree of completeness, representativeness, compara-
5.4.12 Be able to provide documentation or otherwise bility, and uncertainty (within the limits of uncertainty docu-
mented in the test method) needed to meet the data quality
demonstrate, on request from the persons or organizations
evaluating its competence, that it complies with applicable objectives of each project undertaken by the AETB.
7.2.2 The quality system and the AETB’s conformance to
local, state, and federal requirements governing health and
the quality system shall be documented to the extent necessary
safety, transportation, shipping and other relevant require-
to ensure consistent achievement of data quality objectives for
ments.
projects undertaken by the AETB.
6. Document Control
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
6.1 General—The AETB shall establish and maintain pro-
requirements. Data quality objectives may be defined in the testing
cedures to control all documents that form part of its quality
method (for example, bias <5 %, leak rate 60.10 in. H O, conversion
system (internally generated or from external sources), such as
efficiency >90 %) or may be defined by regulation or by the client).
regulations, standards, other normative documents, test, or
7.3 Quality Manual—The quality system shall be docu-
calibration methods, or a combination of thereof, as well as
mented in a quality manual and supporting quality system
drawings, software, specifications, instructions and manuals.
documentation. The manual shall address all topics covered in
These procedures shall be sufficient to preclude the use of
the outline provided in Appendix X1 of this practice. Portions
invalid, or obsolete documents, or both.
not relevant to the scope of the AETB’s services may be
6.2 Quality system documents generated by theAETB shall
eliminated. This documentation shall be available for use by
be uniquely identified. Such identification shall include the
the AETB staff. The quality system documents shall be
date of issue, or revision identification, or both, page number-
maintained current under the responsibility of the quality
ing, the total number of pages or a mark to signify the end of
manager.
the document, and the issuing authority(ies).
7.4 Audits:
6.3 Changes to documents shall be reviewed and approved
7.4.1 TheAETB shall annually conduct internal audits of its
by the same organizational group that performed the original
activitiestoverifythatitsoperationscontinuetoconformtothe
review unless specifically designated otherwise. Personnel
requirementsofthequalitysystem.Suchauditsshallbecarried
conducting the review shall have access to pertinent back-
out by qualified personnel who, whenever practical,
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