1、Designation: E 699 03 (Reapproved 2008)An American National StandardStandard Practice forEvaluation of Agencies Involved in Testing, QualityAssurance, and Evaluating of Building Components1This standard is issued under the fixed designation E 699; the number immediately following the designation ind
2、icates the year oforiginal adoption or, in the case of revision, the year of last revision. A number in parentheses indicates the year of last reapproval. Asuperscript epsilon () indicates an editorial change since the last revision or reapproval.1. Scope1.1 This practice provides a guide for the in
3、formation to beobtained 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 practice des
4、cribe the basic informa-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 practice. Testing, approval, andcertification of a companys own p
5、roducts and services 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
6、 CStandards and Criteria 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 th
7、e quality of a product 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 eval
8、uation of its own in-house facilities under this practiceif it so desires.1.7 It is not the intent of this practice 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 Speci
9、fication E 329 specifies 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:2E 329 Specification for Agencies Engaged in ConstructionInspection and/or TestingE 541 Speci
10、fication forAgencies Engaged in SystemAnaly-sis and Compliance Assurance for Manufactured BuildingE 651/E 651M Practice for Evaluating Capabilities ofAgencies Involved in System Analysis and ComplianceAssurance for Manufactured Building3. Terminology3.1 Definitions:3.1.1 accrediting authoritya forma
11、l 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 practice, a corporate ororganizational entity that has a management or an ownershiprelationship, or both, with the agency being evaluated. It doesnot refer t
12、o 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, orevaluating tes
13、t 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. Quality ass
14、uranceprograms 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 practice is under the jurisdiction of AS
15、TM Committee E36 on Laboratoryand Inspection Agency Accreditation and is the direct responsibility of Subcommit-tee E36.70 on Construction and Building Testing/Inspection Agencies.Current edition approved May 1, 2008. Published October 2008. Originallyapproved in 1979. Discontinued September 1995 an
16、d reinstated in 1999 as E69999. Last previous edition approved in 2003 as E 69903.2For referenced ASTM standards, visit the ASTM website, www.astm.org, orcontact ASTM Customer Service at serviceastm.org. For Annual Book of ASTMStandards volume information, refer to the standards Document Summary pag
17、e onthe ASTM website.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 resources, and qualitysystems which provide a basis for evaluating agenc
18、ies 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 performcalculations, determine suitability, project results, or otherwisedraw conclusions
19、 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,testing, gaging, or making other determinations with respect tomaterials,
20、 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.)3.1.10 organization componenta portion of an organiza-tion with specifi
21、c 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 bearon its capability to satisfy a specified need(s).3.1.12 quality assuranc
22、ea 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 adequacy and effectiveness of the overall quality controlprogram with a view
23、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, inspection, anduse of the material product, service, system, or environment.3.1.1
24、3 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 integrating thequality factors of several related steps including: the properspe
25、cification 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 determine necessaryrevisions of the specification.3.1.14 testingthe determi
26、nation, 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. Significance and Use4.1 This practice provides basic criteria for evaluating thequal
27、ifications of agencies utilizing the test methods promul-gated byASTM in Section 4, Construction, of theAnnual Bookof ASTM Standards. The existence of a formal accreditingauthority such as a federal, state, municipal, or nongovernmen-tal body is not necessary for the use of this practice. Thesecrite
28、ria 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 practice is to provide a “consensus-system” standardized basis for evaluating a tes
29、ting, 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 organizations. In those situa-tions where a strict literal interpretation
30、of the phrase “shall bemade available,” as used in this practice, would be inordinatelyburdensome to an agency, it will generally be sufficient that theagency concerned has the information available for “on-site”review.4.3 The criteria of this practice are described in terms of thebasic information
31、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 organiza-tion, human resources, material resources, and quality systemsemployed by t
32、he 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 the criteria of thispractice by an interested agency.4.3.2 Evaluation of the a
33、gency-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 categories are presented, an agency mayprovide one or any combination of these catego
34、ries 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 upon whichagreement can be reached. There may be other areas to begiven conside
35、ration which may be of importance to the user.The user should include such other areas as a part of its owncriteria.4.6 This practice represents minimum criteria necessary toperform, monitor, or evaluate the test results of those standardspromulgated by ASTM Committee E-6.4.7 It is anticipated that
36、the ultimate user of this practicewill 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 judging the qualifications of the variousindividuals in a particular agency, rela
37、ted 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 individuals. The job experienceand the reliability of the individual should al
38、so be considered in thejudgment, where applicable.4.8 When assessing the organization and the resources of aparticular agency, the judgment should take into account onlyE 699 03 (2008)2those factors or resources specifically related to the technologi-cal area being served by the agency in terms of t
39、he 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 instance should not be impugnedthrough the lack of such evaluation. The ab
40、sence 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 practice does not abrogate the right to “due process”necessary to all assessments under th
41、is practice. 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 auniversal judgment by others interested in the agencys ser-vices. I
42、n 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 practice.5. Organization of the Agency5.1 The following information shall be made available bythe agen
43、cy: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 managerialstructure, and its principal members.5.1.1.4 All relevant i
44、nternal 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 applicable.5.1.1.6 External organizations and organizational compo-
45、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 information.5.1.2 A general description of the geographical area served.5.
46、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 includingoperational departments, support departments, and services.This
47、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 including the functions being performed at each location.The accreditation
48、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 practice shall be supplied for each location.5.1.6 A brief resume of all full-time managerial and super-visory empl
49、oyees 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.5.1.7 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
