ACC-LAB(E) - Procedure for the Accreditation of Testing Laboratories by Industry Canada - Spectrum Management and Telecommunications

Spectrum Management and Telecommunications

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Appendix III - Assessor Rating Guide

Use of the Assessment Rating Guide

1. Elements to be assessed in this Rating Guide

Section 4 (Management Requirements)
Section 5 (Technical Requirements)

2. Key to Column Headings used in this Rating Guide

Item (unique identifier for use in assessment support software and database applications)
Clause (specific clause cited from ISO/IEC 17025)
1. Heading of the summary of requirement used in the standard ISO/IEC 17025
2. Clause number referenced in the standard ISO/IEC 17025
  
  e.g.:
  
  Scope of Management System
  4.1.3
  
  ensure management system covers activities in the testing laboratory's permanent facility, sites away from its permanent facilities, or temporary/mobile
Requirements (specific detail from the standard associated with an observation)
1. Numbered requirements (1O, 2O, 3O);
  1. 1……meets requirement
  2. 2……does not meet requirement
  3. 3……requirement is not applicable to this testing laboratory
2. Bulleted requirements (Yes, No, N/A);
  1. Yes…meets requirement
  2. No… does not meet requirement
  3. N/A… requirement is not applicable to this testing laboratory
Comments (assessor notes on the observation raised – specific details)

Assessor Rating Guide

4.0 MANAGEMENT REQUIREMENTS

A.01 4.1 Organisation

ITEM	CLAUSE	REQUIREMENT	1 2 3 COMMENTS
01	Testing laboratory Registration 4.1.1	ensure the testing laboratory can be held legally responsible	O O O
02	Testing laboratory Requirements 4.1.2	ensure the testing laboratory carries out its testing and calibration activities in a manner that meets the requirements of ISO/IEC 17025:1999, and the needs of the client, regulatory authorities or recognition organizations	O O O
03	Scope of Management System 4.1.3	ensure management system covers activities in the testing laboratory's permanent facility, sites away from its permanent facilities, or temporary/mobile facilities	O O O
04	Conflict of Interest 4.1.4	when part of an organisation, ensure the testing laboratory defines the responsibilities of key personnel to identify potential conflicts of interest	O O O
05	Management and Technical Personnel 4.1.5a	ensure management and technical personnel have the authority and resources needed to carry out duties	O O O
06	Undue Pressure 4.1.5b	ensure arrangements are in place so that management and personnel are free from internal and external commercial, financial and other pressures that might adversely affect the quality of their work	O O O
07	Client Confidentiality 4.1.5c	ensure there are policies and procedures related to client confidentiality, including electronic storage and transmission of results	O O O
08	Operational Integrity 4.1.5d	ensure the testing laboratory has policies and procedures to avoid involvement in activities that compromise the confidence in its competence, impartiality, judgement or operational integrity	O O O
09	Organisation Chart(s) 4.1.5e	ensure the organisation defines the relation of all staff including the interrelation between management, technical operations, support services and the quality system and, if applicable, the position of the testing laboratory within the parent organisation	O O O
10	Responsibility and Authority 4.1.5f	define the responsibility and authority of all personnel who manage, perform or verify work affecting the quality	O O O
11	Testing laboratory Supervision 4.1.5g	ensure adequate supervision of personnel for calibration and testing activities	O O O
12	Technical Management 4.1.5h	identify technical management that has overall responsibility for technical operations and resources	O O O
13	Quality Manager 4.1.5i	appoint a member of staff as quality manager who has defined authority and responsibility for implementing and overseeing the quality system, with direct access to the highest level of management at which decisions are made	O O O
14	Managerial Substitution 4.1.5j	ensure designated staff are available to substitute for key managerial personnel, where practical	O O O

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A.02 4.2 Quality System

ITEM	CLAUSE	REQUIREMENT	1 2 3 COMMENTS
01	Policies and Procedures 4.2.1	document policies and procedures related to the quality system and ensure they are communicated, understood and implemented	O O O
02	Quality Manual 4.2.2, 4.2.3, 4.2.4	maintain a quality manual that: documents an authorised quality policy statement and supporting quality objectives; includes or makes reference to all procedures; defines the roles and responsibilities of technical management and the quality manager; and outlines the structure of the documentation used in the quality system.	O O O Yes No N/A ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___
03	Quality Policy Statement 4.2.2	ensure the quality policy statement includes: the testing laboratory management's commitment to good professional practice and quality of its service; a statement of the testing laboratory's standard of service; the objectives of the quality system; a requirement for personnel to be familiar with and implement the quality documentation; and the testing laboratory compliance with ISO/IEC 17025:1999.	O O O Yes No N/A ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___

A.03 4.3 Document Control

ITEM	CLAUSE	REQUIREMENT	1 2 3 COMMENTS
01	Policies and Procedures 4.3.1	ensure procedures to control all quality system documentation (internal and external documentation) are established and maintained;	O O O
02	Approval and Issue 4.3.2	ensure documents are reviewed and approved by authorised personnel prior to issue, and are periodically reviewed to ensure continuing suitability;	O O O
03	Master List 4.3.2.1	maintain a readily available master list (or equivalent) of all quality documentation, which documents current revisions and distribution;	O O O
04	Availability 4.3.2.2	ensure all quality documentation is available where required	O O O
05	Obsolete Documents 4.3.2.2	ensure obsolete documents are removed, or those retained for either legal or knowledge preservation purposes are suitably marked	O O O
06	Identification 4.3.2.3	ensure all quality documentation is uniquely identified by: date of issue and/or revision number; page numbering; total number of pages or a mark to signify the end of the document; and the issuing authority(ies).	O O O Yes No N/A ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___
07	Document Changes 4.3.3.1	ensure changes to documents are reviewed and approved by the same function that performed the original review, or a designate	O O O
08	Altered or New Text 4.3.3.2	ensure the altered or new text is identified in the document or the appropriate attachments, as practical	O O O
09	Handwritten Amendments 4.3.3.3	define procedures and authority for handwritten amendments to documents, and formal reissue	O O O
10	Computerised Amendments 4.3.3.4	establish procedures for changes to and control of computerized documents	O O O

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A.04 4.4 Review of Requests, Tenders and Contracts

ITEM	CLAUSE	REQUIREMENT	1 2 3 COMMENTS
01	Policies and Procedures 4.4.1	ensure policies and procedures related to review of requests, tenders and contracts are established and maintained; the procedures shall ensure: requirements are defined, documented and understood; testing laboratory capability and resources meet requirements; and appropriate method selection.	O O O Yes No N/A ___ ___ ___ ___ ___ ___ ___ ___ ___
02	Records of Review 4.4.2 to 4.4.3	maintain records of reviews, that include: pertinent discussions with client; subcontracted work; and significant changes.	O O O Yes No N/A ___ ___ ___ ___ ___ ___ ___ ___ ___
03	Notification of Client 4.4.4	ensure client is informed of any deviations from the contract	O O O
04	Contract Amendments 4.4.5	ensure the same contract review process is repeated, and amendments communicated to all personnel	O O O

A.05 4.5 Subcontracting of Tests and Calibrations

ITEM	CLAUSE	REQUIREMENT	1 2 3 COMMENTS
01	Competency 4.5.1, 4.5.4	ensure that subcontractors are competent (e.g., comply with ISO/IEC 17025:1999) and maintain records of competent subcontractors used	O O O
02	Client Approval 4.5.2, 4.5.3	ensure client approval has been obtained before work is subcontracted, unless specified by the client or regulatory authority	O O O

A.06 4.6 Purchasing Services and Supplies

ITEM	CLAUSE	REQUIREMENT	1 2 3 COMMENTS
01	Policies and Procedures 4.6.1	document policies and procedures related to: procurement of supplies and services; and reception and storage of supplies.	O O O Yes No N/A ___ ___ ___ ___ ___ ___
02	Verification 4.6.2	ensure all purchased supplies that affect the quality are not used until verified compliant with specifications, and maintain records	O O O
03	Purchasing Documents 4.6.3	ensure purchasing documents are reviewed and approved for technical content prior to release	O O O
04	Approved Suppliers 4.6.4	maintain records of investigation of suppliers and a list of all approved suppliers	O O O

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A.07 4.7 Service to Client

ITEM	CLAUSE	REQUIREMENT	1 2 3 COMMENTS
01	Policies and Procedures 4.7	ensure policies and procedures are in place for co-operation with clients	O O O

A.08 4.8 Complaints

ITEM	CLAUSE	REQUIREMENT	1 2 3 COMMENTS
01	Policies and Procedures 4.8	document policies and procedures for the resolution of complaints from clients or other parties	O O O
02	Records 4.8	maintain records of complaints, investigations and corrective actions	O O O

A.09 4.9 Control of Nonconforming testing and/or Calibration Work

ITEM	CLAUSE	REQUIREMENT	1 2 3 COMMENTS
01	Policies and Procedures 4.9	ensure policies and procedures related to work or results that do not conform to procedures or client requirements are implemented; the procedures shall ensure: responsibilities and authorities are defined; evaluation of the significance of the nonconformance is made; remedial actions are taken immediately; client is notified and work recalled, if necessary; responsibility for authorising the resumption of work is defined; and corrective actions are promptly followed, when necessary.	O O O Yes No N/A ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___

A.10 4.10 Corrective Action

ITEM	CLAUSE	REQUIREMENT	1 2 3 COMMENTS
01	Policies and Procedures 4.10	document policies and procedures and designate appropriate authorities for implementing corrective actions; the procedures shall include: cause analysis; selection and implementation; monitoring and documenting actions; implementation of additional audits, when necessary.	O O O Yes No N/A ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___

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A.11 4.11 Preventive Action

ITEM	CLAUSE	REQUIREMENT	1 2 3 COMMENTS
01	Action Identification 4.11.1	ensure needed improvements and potential sources of non-conformances are identified	O O O
02	Action Plans 4.11.1, 4.11.2	ensure preventive action plans are developed, implemented and monitored for effectiveness	O O O

A.12 4.12 Control of Records

ITEM	CLAUSE	REQUIREMENT	1 2 3 COMMENTS
01	Procedures 4.12.1	document procedures related to control of quality and technical records: identification; collection; indexing; access; filing; storage and retention times; maintenance; protection, backup and access of electronic records; and disposal.	O O O Yes No N/A ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___
02	Record Integrity 4.12.1	ensure all records are: legible; readily retrievable; maintained in a suitable environment; and held secure and in confidence.	O O O Yes No N/A ___ ___ ___ ___ ___ ___ ___ ___ ___
03	Technical Records 4.12.2	ensure testing laboratory retains technical records of: all original observations; derived data; sufficient information to establish an audit trail; calibration records; staff records; copies of each test report or calibration certificate; personnel responsible for the sampling; personnel responsible for test/calibration; and personnel responsible for checking results.	O O O Yes No N/A ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___
04	Record Information 4.12.2	ensure records maintained contain sufficient information to: identify factors affecting uncertainty; and enable the original method conditions to be repeated.	O O O Yes No N/A ___ ___ ___ ___ ___ ___
05	Recording 4.12.2.2	ensure observations, data and calculations are recorded at the time they are made and be identifiable to the specific task	O O O
06	Corrections to Records 4.12.2.3	ensure any changes to the original records are made so that: original record is not obscured; correct value entered alongside; and alterations authorised by initial.	O O O Yes No N/A ___ ___ ___ ___ ___ ___ ___ ___ ___
07	Corrections to Electronic Records 4.12.2.3	ensure measures are taken to avoid loss or change of original data stored electronically	O O O

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A.13 4.13 Internal Audits

ITEM	CLAUSE	REQUIREMENT	1 2 3 COMMENTS
01	Requirements 4.13	ensure internal audits are periodically conducted to verify operations comply with all elements of the quality system and requirements of ISO/IEC 17025:1999; ensure that: audits follow a predetermined schedule and procedure; audits are planned and organised by the Quality Manager; audits are conducted by trained and qualified personnel, independent of the activity to be audited where resources permit; corrective actions are implemented; the client is notified in writing of compromised results; records of audits and corrective actions are maintained; and follow-up audits verify the effectiveness of corrective actions.	O O O Yes No N/A ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___

A.14 4.14 Management Reviews

ITEM	CLAUSE	REQUIREMENT	1 2 3 COMMENTS
01	Objectives 4.14.1	ensure the appropriate level of the testing laboratory management periodically carries out management review of the quality system, based on predetermined schedule and procedure, to ensure continuing suitability and effectiveness and to introduce necessary changes or improvements	O O O
02	Contents 4.14.1	ensure the contents of the management review include: suitability of policies and procedures; reports from managerial and supervisory personnel; outcome of recent internal audits; corrective and preventive actions; assessments by external bodies; results of inter-testing laboratory comparisons or proficiency tests; changes in the volume and type of the work; client feedback; complaints; and other relevant factors (e.g., quality control activities, resources and staff training).	O O O Yes No N/A ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___
03	Actions Taken 4.14.2	ensure actions are carried out within an appropriate and agreed time scale	O O O
04	Records 4.14.2	maintain records of management reviews and actions taken	O O O

5.0 TECHNICAL REQUIREMENTS

B.01 5.2 Personnel

ITEM	CLAUSE	REQUIREMENT	1 2 3 COMMENTS
01	Qualifications 5.2.1	ensure personnel performing specific tasks are qualified on the basis of education, training, experience and/or demonstrated skills	O O O
02	Trainees 5.2.1	ensure staff being trained have adequate supervision	O O O
03	Training Program 5.2.2	ensure there is a training program that documents policies and procedures for establishing goals and identifying training needs and provision of training	O O O
04	Employees 5.2.3	ensure personnel are employed or contracted by the testing laboratory, and ensure contracted personnel are supervised, competent and work in accordance with the quality system	O O O
05	Job Descriptions 5.2.4	document current job descriptions for managerial, technical and key support staff	O O O
06	Authorised Personnel 5.2.5	ensure management has authorised specific personnel to: perform specific sampling, testing and/or calibration; issue test and/or calibration reports; give opinions and interpretations (applicable to Forensic PSA only); and operate particular types of equipment.	O O O Yes No N/A ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___
07	Records 5.2.5	ensure testing laboratory maintains records for all technical personnel (including contracted personnel) for: relevant authorisation(s), and date confirmed; competence, and date confirmed; educational and professional qualifications; and training, skills and experience.	O O O Yes No N/A ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___

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B.02 5.3 Accommodation and Environmental Conditions

ITEM	CLAUSE	REQUIREMENT	1 2 3 COMMENTS
01	Technical Requirements 5.3.1	ensure that technical requirements for accommodation and environmental condition are documented	O O O
02	Facility 5.3.1	ensure the testing laboratory or off-site facility(ies) accommodation and environmental conditions do not compromise the quality of results	O O O
03	Monitoring 5.3.2	ensure testing laboratory monitors, controls and records environmental conditions, where applicable	O O O
04	Termination 5.3.2	ensure tests and/or calibrations are terminated when results are jeopardised by the environmental conditions	O O O
05	Incompatible Activities 5.3.3	ensure there is effective separation between areas of incompatible activity	O O O
06	Access 5.3.4	ensure access to office and testing laboratory areas is controlled	O O O
07	Housekeeping 5.3.5	ensure housekeeping measures are adequate	O O O

B.03 5.4 Test and Calibration Methods and Method Validation

ITEM	CLAUSE	REQUIREMENT	1 2 3 COMMENTS
01	Methods and Procedures 5.4.1	ensure testing laboratory uses appropriate methods and procedures for calibrations and tests including, where appropriate, estimation of uncertainty and statistical techniques for analysis of data	O O O
02	Equipment Instructions 5.4.1	ensure testing laboratory uses appropriate instructions for the operation of equipment, where the absence of the instructions would affect the work	O O O
03	Method Deviations 5.4.1	ensure that deviations from the test and calibration methods are: documented; technically justified; authorised; and accepted by client.	O O O Yes No N/A ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___
04	Method Selection 5.4.2	ensure testing laboratory selects test and/or calibration methods that: meet the needs of the client; and are appropriate for the test and/or calibration; and where appropriate, are based on latest international, regional or national standards.	O O O Yes No N/A ___ ___ ___ ___ ___ ___ ___ ___ ___
05	Non-Client Specified Method Selection 5.4.2	for non-client specified methods, ensure the testing laboratory informs the client of the method chosen, and selects methods that are either: published reference methods; or validated testing laboratory developed methods; or validated methods adopted by the testing laboratory.	O O O Yes No N/A ___ ___ ___ ___ ___ ___ ___ ___ ___
06	Inappropriate Methods 5.4.2	ensure testing laboratory informs the client if the method proposed by the client is inappropriate or out of date	O O O
07	Testing laboratory-Developed Methods 5.4.3	ensure testing laboratory developed methods are planned, and assigned to qualified personnel	O O O
08	Non-standard Methods 5.4.4	when methods used that are not covered by standard methods, ensure that: client approval has been obtained; specifications of client requirements are met; purpose of the test and/or calibration is identified; and method is validated before use.	O O O Yes No N/A ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___
09	Method Validation 5.4.5	ensure the method validation includes: records of validation; procedure used; and a statement that the method is fit for the intended use.	O O O Yes No N/A ___ ___ ___ ___ ___ ___ ___ ___ ___
10	Range and Accuracy 5.4.5	verify that the testing laboratory ensures the range and accuracy of the test and/or calibration results are relevant to the clients' needs	O O O
11	Uncertainty of Measurement 5.4.6	ensure testing laboratory has a procedure to estimate the uncertainty of measurement that includes relevant uncertainty components and uses appropriate methods	O O O
12	Calculations and Data Transfers 5.4.7	ensure calculations and data transfers are checked in a systematic manner	O O O
13	Computers or Automated Equipment 5.4.7	ensure for computers or automated equipment used: the testing laboratory developed software is sufficiently documented and suitably validated; computers and automated equipment are maintained to ensure proper functioning; and appropriate environmental and operating conditions are provided.	O O O Yes No N/A ___ ___ ___ ___ ___ ___ ___ ___ ___
14	Protection of Data 5.4.7, 5.10.7	ensure procedures for protection of data are established and include: integrity and confidentiality of data entry or collection; storage; transmission; and processing.	O O O Yes No N/A ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___

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B.04 5.5 Equipment

ITEM	CLAUSE	REQUIREMENT	1 2 3 COMMENTS
01	Operation 5.5.1 to 5.5.4	ensure all equipment (including that outside the testing laboratory's control) required for the test and/or calibration procedure is: available and functioning properly; capable of achieving required accuracy; compliant with specifications; checked and calibrated before use; operated by authorised personnel; operated using available current instructions on use and maintenance; and uniquely identified, where practicable.	O O O Yes No N/A ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___
02	Records 5.5.5	ensure records of equipment are maintained and include: identity of the equipment and its software; manufacturer's name, model, and serial number or other unique identification; checks that the equipment complies with the testing laboratory requirement and standard specification; current location, where appropriate; the manufacturer's instructions, if available, or reference to their location; calibration history and due date of next calibration; the maintenance plan, where appropriate, and maintenance carried out to date; and any damage, malfunction, modification or repair to the equipment.	O O O Yes No N/A ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___
03	Procedures 5.5.6, 5.5.10, 5.5.11	ensure procedures for the management of measuring equipment are established and include: safe handling; transport; storage; use; planned maintenance; intermediate calibration checks to ensure that equipment continues to perform satisfactorily; and appropriate correction factors are used, where applicable.	O O O Yes No N/A ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___
04	Out of Service 5.5.7	ensure equipment subjected to overloading or mishandling, gives suspect results, or shown to be defective or outside of specified limits is taken out of service, and is: isolated; clearly labelled or marked as being out of service; examined for the effect of the defect or departure from specified limits; addressed under the "Control of non-conforming work" procedure.	O O O Yes No N/A ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___
05	Calibration Status 5.5.8	ensure equipment calibration status is identified, where practicable	O O O
06	Return to Service 5.5.9	ensure that if equipment goes outside the direct control of the testing laboratory, it is checked and validated before being returned to service	O O O
07	Adjustments 5.5.12	ensure equipment is safeguarded from adjustments that would invalidate results	O O O

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B.05 5.6 Measurement Traceability

ITEM	CLAUSE	REQUIREMENT	1 2 3 COMMENTS
01	Calibration Program 5.6.1, 5.6.2	ensure the testing and/or calibration testing laboratory has a calibration program for its measurement and test equipment	O O O
02	Traceability 5.6.2	verify the calibration program ensures the measurements from the testing laboratory are traceable to SI units: When using internal calibration source, ensure there is an unbroken chain linking to the primary standards of the SI units. When using external calibration source, ensure: demonstrated competence, measurement capability, and traceability; certificates contain the measurement results; and certificates include the measurement uncertainty and/or compliance statement.	O O O Yes No N/A ___ ___ ___ ___ ___ ___ ___ ___ ___
03	Traceability 5.6.2	where measurement traceability cannot be strictly made to International System (SI) units, establish traceability by use of: certified reference materials; or agreed methods (validated with inter-testing laboratory comparison); or consensus standards (validated with inter-testing laboratory comparison).	O O O Yes No N/A ___ ___ ___ ___ ___ ___ ___ ___ ___
04	Reference Standards and Reference Materials 5.6.3	ensure the testing and/or calibration testing laboratory has procedures for the: calibration of reference standards traceable to SI units by a competent body; calibration of reference standards before and after any adjustments; traceability of reference material to SI units where possible, or to certified reference materials; intermediate checks for reference standards and/or reference materials; and transportation and storage of reference standards and/or reference materials.	O O O Yes No N/A ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___

B.06 5.7 Sampling

ITEM	CLAUSE	REQUIREMENT	1 2 3 COMMENTS
01	Procedures and Plan 5.7.1	ensure procedures for sampling are available at the location where required, and include: a sampling plan (based on appropriate statistical methods, wherever reasonable); factors to be controlled to ensure validity of the results; selection of samples; and withdrawal and preparation of samples.	O O O Yes No N/A ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___
02	Deviations 5.7.2	ensure client-requested deviations from the sampling plan are documented and communicated to the appropriate personnel	O O O
03	Records 5.7.3	ensure testing laboratory has procedures for recording sampling data and operations; records to include: sampling procedure; sampler identification; environmental conditions (if relevant); sampling location; and basis for sampling procedure statistics, if appropriate.	O O O Yes No N/A ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___

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B.07 5.8 Handling of Test and Calibration Items

ITEM	CLAUSE	REQUIREMENT	1 2 3 COMMENTS
01	Procedures 5.8.1	document procedures for test and/or calibration item management: transportation; receipt; handling; protection; storage; retention and/or disposal.	O O O Yes No N/A ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___
02	Identification 5.8.2	ensure testing laboratory has a system for identifying test and/or calibration items	O O O
03	Deficiencies 5.8.3	ensure any abnormalities and deficiencies upon item receipt are recorded; if in doubt about suitability of item, ensure that client is contacted and instructions are recorded	O O O
04	Facilities 5.8.4	ensure testing laboratory has appropriate facilities to maintain item integrity, and the protection of secured items	O O O
05	Environmental Conditions 5.8.4	ensure required environmental conditions for items are maintained, monitored and recorded, as appropriate	O O O

B.08 5.9 Assuring the Quality of Test and Calibration Results

ITEM	CLAUSE	REQUIREMENT	1 2 3 COMMENTS
01	Quality Control 5.9	ensure testing laboratory has planned quality control procedures for monitoring data validity; monitoring may include but is not limited to: use of certified reference materials and/or secondary reference materials; participation in inter-testing laboratory comparison or proficiency-testing programs; replicates; re-testing or re-calibration of retained items; and correlation of results for different characteristics of an item.	O O O Yes No N/A ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___
02	Quality Control Data 5.9	ensure that the planned quality control data are reviewed, recorded to detect trends, and, where practicable, statistical techniques are applied	O O O

B.09 5.10 Reporting the Results

ITEM	CLAUSE	REQUIREMENT	1 2 3 COMMENTS
01	Test Reports and Calibration Certificates 5.10.2, 5.10.6, 5.10.8	provide test reports and calibration certificates that contain: title; name and address of testing laboratory; location where test or calibration carried out, if different; report I.D. on each page; name and address of client; identification of method used; unique item identification, description and condition; date of item receipt, where critical to validity; date test or calibration carried out; sampling plan and procedures used, where relevant; test and/or calibration result, with units; name(s), function(s) and signature(s) or equivalent identification of person(s) authorising the report or certificate; statement to the effect that the results relate only to the items tested or calibrated, where relevant; and subcontracted results clearly identified.	O O O Yes No N/A ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___
02	Test Result Interpretation 5.10.3	where necessary for the interpretation of results, ensure test reports include the following: variances from the test methods; information on specific test conditions; statement of compliance; statement on the estimated uncertainty; opinions and interpretations, which are clearly marked (applicable to Forensic PSA only); additional requested information; date of sampling; identification of the substance, material or product sampled; sampling location; environmental conditions during sampling; and sampling method or procedure used, and deviations.	O O O Yes No N/A ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___
03	Calibration Result Interpretation 5.10.4	where necessary for the interpretation of results, ensure calibration certificates include the following: calibration conditions; uncertainty of measurement; statement of compliance with an identified metrological specification or clause; and measurement traceability statement.	O O O Yes No N/A ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___
04	Compliance Data Records 5.10.4.2	ensure testing laboratory maintains records of measurement results and associated uncertainties, when these items are omitted from the reported statement of compliance	O O O
05	Statement of Compliance 5.10.4.2	ensure uncertainty of measurement is accounted for when statements of compliance are made	O O O
06	Repairs and Adjustments 5.10.4.3	ensure calibration results before and after adjustments/repairs are reported, if available	O O O
07	Calibration Intervals 5.10.4.4	ensure calibration certificates or labels do not recommend calibration intervals unless requested by the client or legally regulated	O O O
08	Opinions and Interpretations 5.10.5	ensure testing laboratory documents the basis upon which opinions and interpretations have been made, when applicable	O O O
09	Amendments 5.10.9	issue, as necessary, revised test reports and calibration certificates that: reference the original; are identified as supplemental; meet test report or calibration certificate requirements of ISO/IEC 17025:1999.	O O O Yes No N/A ___ ___ ___ ___ ___ ___ ___ ___ ___
10	Simplified Reporting 5.10.1	when results are reported in a simplified way (i.e. for internal clients, or in the case of a written agreement with a client), ensure any information normally reported to the client is maintained

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