1、Designation: E 699 03An American National StandardStandardPractice for Evaluation of Agencies Involved in Testing,Quality Assurance, and Evaluating of Building Components1This standard is issued under the fixed designation E 699; the number immediately following the designation indicates the year of
2、original adoption or, in the case of revision, the year of last revision. A number in parentheses indicates the year of last reapproval. Asuperscript epsilon (e) indicates an editorial change since the last revision or reapproval.1. Scope1.1 This practice provides a guide for the information to beob
3、tained and provides specific recommended criteria for evalu-ating the capabilities of an agency to conduct inspections andtests and to report on tests performed in accordance withASTM standards primarily on factory built components andassemblies.1.2 The criteria in this standard describe the basic i
4、nforma-tion used in judging the capability of an agency to perform itsintended functions objectively and competently as well as todisclose possible conflicts of interest judged from the stand-point of the user of this standard. Testing, approval, andcertification of a companys own products and servi
5、ces by itsown testing agency does not necessarily constitute a conflict ofinterest.1.3 The criteria presented herein are divided into threecategories of endeavor, namely,Part AStandards and Criteria for Testing AgenciesPart BStandards and Criteria for Quality Assurance Agen-ciesPart CStandards and C
6、riteria for Evaluating Agencies1.4 The fundamental purpose of this practice is to providecriteria for evaluating an agency as denoted in 1.3 either by auser of that service or by an accrediting authority.1.5 It is not the purpose of this practice to provide a basis fordetermining the quality of a pr
7、oduct or service being evaluated.1.6 This practice is not intended for the evaluation of thoseactivities normally associated with the production and sale ofproducts and the like, such as a manufacturers internal qualityprogram. However, any organization may request or performan evaluation of its own
8、 in-house facilities under this standardif it so desires.1.7 It is not the intent of this standard to be the basis for thedetermination of the type of agency to be selected by the user.1.8 This practice can be used in conjunction with Specifi-cation E 541 and Practice E 6511.9 Specification E 329 sp
9、ecifies minimum requirements foragencies testing and/or inspecting materials used in construc-tion and which are primarily assembled on the jobsite.2. Referenced Documents2.1 ASTM Standards:E 329 Specification for Agencies Engaged in the Testingand/or Inspection of Material Used in Construction2E 54
10、1 Specification for Agencies Engaged in System Analy-sis and Compliance Assurance for Manufactured Building3E 651 Practice for Evaluating Capabilities of AgenciesIn-volved in System Analysis and Compliance Assurance forManufactured Building33. Terminology3.1 Definitions:3.1.1 accrediting authoritya
11、formal body (or an indi-vidual user) that evaluates the capability of an agency in certainspecific fields of activity.3.1.2 affliateas used in this standard, a corporate ororganizational entity that has a management or an ownershiprelationship, or both, with the agency being evaluated. It doesnot re
12、fer to a contractual relationship between organizations,nor does it include the membership of a trade or similarassociation, or to the companies represented by such member-ship.3.1.3 agencyan organization or part of an organization,engaged in the activities of testing, quality assurance, orevaluatin
13、g test results.3.1.4 certificationthe process by which recognition isobtained from an appropriate party that a product meets certainspecified requirements. Prototype or production models, orboth, of the product(s) will have been tested and inspected tocheck that they do meet the requirements. Qualit
14、y assuranceprograms are used to ensure that the product(s) continue tocomply with the specified requirements. Satisfactory tests,inspections, and quality assurance are for the basis for certifi-cation. Certification may be evidenced by labeling of theproduct.1This standard is under the jurisdiction
15、of ASTM Committee E36 on ConformityAssessment and is the direct responsibility of Subcommittee E36.70 on Construc-tion and Building Testing/Inspection Agencies.Current edition approved June 10, 2003. Published July 2003. Originallyapproved in 1979. Discontinued September 1995 and reinstated in 1999
16、as E69999.2Annual Book of ASTM Standards, Vol 04.02.3Annual Book of ASTM Standards, Vol 14.02.1Copyright ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959, United States.3.1.5 criteriacommon characteristics pertaining to orga-nization, human resources, material
17、 resources, and qualitysystems which provide a basis for evaluating agencies as totheir capability to objectively and competently provide thespecific service(s) needed by the user.3.1.6 evaluatingthe function of obtaining data developedby a testing agency, and utilizing such data to performcalculati
18、ons, determine suitability, project results, or otherwisedraw conclusions resulting from an analysis of these data.3.1.7 human resourcesthose elements of support andcapability that are provided by humans using their mental andphysical capabilities.3.1.8 inspectionthe process of measuring, examining,
19、testing, gaging, or making other determinations with respect tomaterials, products, services, or environments.3.1.9 material resourcesthe instrumentalities, documenta-tion, environments, structures, etc., needed to augment theelements of support and capability provided by humans. (seehuman resources
20、.)3.1.10 organization componenta portion of an organiza-tion with specific tasks and activities that constitute a part ofthe total effort and accomplishments of the organization.3.1.11 qualitythe totality of features and characteristics ofa material, product, service, system, or environment that bea
21、ron its capability to satisfy a specified need(s).3.1.12 quality assurancea planned system of activitieswhose purpose is to provide assurance that the overall qualitycontrol program (see quality control) is in fact being effectivelyimplemented. This system involves a continuing evaluation ofthe adeq
22、uacy and effectiveness of the overall quality controlprogram with a view to having corrective action initiated wherenecessary. For a specific material, product, service, etc., thisinvolves verification, audits, and evaluations of the qualityfactors that affect the specification, production, inspecti
23、on, anduse of the material product, service, system, or environment.3.1.13 quality controla planned system of activitieswhose purpose is to provide a level of quality that meets theneeds of users; also, the use of such a system. The objective ofquality control is to provide an overall system integra
24、ting thequality factors of several related steps including: the properspecification for what is wanted; production to meet the fullintent of the specification; inspection to determine whether theresulting material, product, service, etc., is in accord with thespecification; and review of usage to de
25、termine necessaryrevisions of the specification.3.1.14 testingthe determination, by technical means, ofthe properties, performance, or elements of materials, products,services, systems, or environments, which may involve appli-cation of established scientific principles and procedures.4. Significanc
26、e and Use4.1 This standard provides basic criteria for evaluating thequalifications of agencies utilizing the test methods promul-gated by ASTM in Section 4, Construction, of the Annual Bookof ASTM Standards. The existence of a formal accreditingauthority such as a federal, state, municipal, or nong
27、overnmen-tal body is not necessary for the use of this standard. Thesecriteria may be supplemented by more specific criteria forparticular classes of testing, quality assurance, and evaluativeagencies. Specification E 329 can be used for on-site construc-tion projects.4.2 The intent of this standard
28、 is to provide a “consensus-system” standardized basis for evaluating a testing, qualityassurance, or evaluating agency with respect to its capability toprovide the specific service(s) needed by the user withoutprejudice to the agency offering other services or beingaffiliated with other agencies or
29、 organizations. In those situa-tions where a strict literal interpretation of the phrase “shall bemade available,” as used in this standard, would be inordi-nately burdensome to an agency, it will generally be sufficientthat the agency concerned has the information available for“on-site” review.4.3
30、The criteria of this standard are described in terms of thebasic information necessary for an accrediting authority toevaluate the capability, with respect to objectivity, and compe-tency of a testing, quality assurance, and evaluating agencyregarding common characteristics pertaining to the organiz
31、a-tion, human resources, material resources, and quality systemsemployed by the agency in performing the services offered.Typically, accreditation of an agency involves the followingthree essential phases:4.3.1 Submittal, to an involved accrediting authority, ofbasic information in accordance with t
32、he criteria of thisstandard by an interested agency.4.3.2 Evaluation of the agency-submitted information bythe involved accrediting authority.4.3.3 Verification, “on-site,” of the agency-submitted infor-mation by the respresentative(s) of the involved accreditingauthority.4.4 Although three categori
33、es are presented, an agency mayprovide one or any combination of these categories for whichit can qualify. An agency requesting qualification under morethan one category must satisfy the criteria for each category forwhich acceptability is desired.4.5 The criteria set forth herein represent areas up
34、on whichagreement can be reached. There may be other areas to begiven consideration which may be of importance to the user.The user should include such other areas as a part of its owncriteria.4.6 This standard represents minimum criteria necessary toperform, monitor, or evaluate the test results of
35、 those standardspromulgated by ASTM Committee E-6.4.7 It is anticipated that the ultimate user of this standardwill have the expertise necessary to exercise good judgment inthe areas of human resources, physical resources, and qualitysystems of the agency being evaluated.NOTE 1For example, when judg
36、ing the qualifications of the variousindividuals in a particular agency, related factors or alternative resources(such as mechanical, electrical, or electronic equipment used to aid,control, or monitor the work of the personnel) should be considered whenassessing the overall qualifications of such i
37、ndividuals. The job experienceand the reliability of the individual should also be considered in thejudgment, where applicable.4.8 When assessing the organization and the resources of aparticular agency, the judgment should take into account onlyE699032those factors or resources specifically related
38、 to the technologi-cal area being served by the agency in terms of the specificevaluation, and only as necessary to form an adequate judg-ment in relation to the evaluation. Conversely, those techno-logical areas served by a particular agency that are not requiredto be evaluated in a specific instan
39、ce should not be impugnedthrough the lack of such evaluation. The absence of evaluationor the denial of accreditation by any one party should notprejudice future evaluations by other parties because smalldifferences in needs can influence the judgement of users. Theuse of this standard does not abro
40、gate the right to “due process”necessary to all assessments under this standard. The right ofrebuttal to any conclusions drawn during an accreditationprocedure shall be extended to the agency.4.9 Each act of evaluation should be viewed as a “one-to-one” judgment and should not be construed as being
41、auniversal judgment by others interested in the agencys ser-vices. In order to ensure proper interpretation of each act ofevaluation, the purpose of the evaluation and the evaluationarea shall be clearly specified in any report of an evaluationmade pursuant to this standard.5. Organization of the Ag
42、ency5.1 The following information shall be made available bythe agency:5.1.1 A description of the organization including:5.1.1.1 The complete legal name and address of the mainoffice.5.1.1.2 The names and positions of the principal officers anddirectors.5.1.1.3 The agencys principal ownership, its m
43、anagerialstructure, and its principal members.5.1.1.4 All relevant internal organizational components in-cluding their locations and their primary functions.5.1.1.5 All relevant organizational affiliates of the agency,and the principal officers of the affiliates and directors of theaffiliates, where
44、 applicable.5.1.1.6 External organizations and organizational compo-nents and their functions that are utilized for significantsupporting technical services.5.1.1.7 A brief history of the agency, including its relation-ship with its organizational components, affiliations, and othersupporting inform
45、ation.5.1.2 A general description of the geographical area served.5.1.3 A general description of the types of users of theservices.5.1.4 A listing of the relevant technical services offered.5.1.5 A functional description of the agencys organiza-tional structure for the services listed in 5.1.4 inclu
46、dingoperational departments, support departments, and services.This may be demonstrated in the form of charts that depict therelevant groups and their relationship.5.1.5.1 This description shall be inclusive of all the loca-tions that are to be used for performing the services listed in5.1.4 includi
47、ng the functions being performed at each location.The accreditation of an agency includes the accreditation of alllocations of the agency performing services or support func-tions for which accreditation is being sought. All informationrequired by this standard shall be supplied for each location.5.
48、1.6 A brief resume of all full-time managerial and super-visory employees used to perform the services for whichaccreditation is being sought. Where part-time employees,contractors, consultants, etc., are utilized in any capacity forthese services, their relationship to the agency shall be stated.5.
49、1.7 A statement determining the managerial or financialrelationship, or both, between the agency, its owners, itsmanagement, its directors, and the users of the services to beperformed.PART ASTANDARDS AND CRITERIA FORTESTING AGENCIES6. General6.1 The testing agency is responsible for the performance ofthe applicable tests with the objective of ascertaining that themanufacturers product complies with the testing requirementsof the applicable standard or specifications. An understandingof the requirements of each individual test method to be usedis a necessity. It
