AASHTO R 89-2018 Standard Practice for Accreditation Bodies Operating in the Fields of Construction Materials Testing and Inspection.pdf

1、Standard Practice for Accreditation Bodies Operating in the Fields of Construction Materials Testing and Inspection AASHTO Designation: R 89-181Technical Section: 5c, Quality Assurance and Environmental Release: Group 1 (April) American Association of State Highway and Transportation Officials 444 N

2、orth Capitol Street N.W., Suite 249 Washington, D.C. 20001 TS-5c R 89-1 AASHTO Standard Practice for Accreditation Bodies Operating in the Fields of Construction Materials Testing and Inspection AASHTO Designation: R 89-181Technical Section: 5c, Quality Assurance and Environmental Release: Group 1 (

3、April) 1. SCOPE 1.1. This practice describes the requirements for accreditation bodies that evaluate and accredit agencies that perform construction materials testing and inspection. The requirements apply to the assessment and administration activities of the accreditation body. 1.2. The accreditat

4、ion method described in this standard requires the direct demonstration of testing and inspection activities and the detailed examination of any equipment associated with such activities during assessments, whenever possible. 2. REFERENCED STANDARDS 2.1. AASHTO Standard: R 18, Establishing and Imple

5、menting a Quality Management System for Construction Materials Testing Laboratories 2.2. ASTM Standards: C1077, Standard Practice for Agencies Testing Concrete and Concrete Aggregates for Use in Construction and Criteria for Testing Agency Evaluation C1093, Standard Practice for Accreditation of Tes

6、ting Agencies for Masonry C1222, Standard Practice for Evaluation of Laboratories Testing Hydraulic Cement D3666, Standard Specification for Minimum Requirements for Agencies Testing and Inspecting Road and Paving Materials D3740, Standard Practice for Minimum Requirements for Agencies Engaged in Te

7、sting and/or Inspection of Soil and Rock as Used in Engineering Design and Construction E329, Standard Specification for Agencies Engaged in Construction Inspection, Testing, or Special Inspection 2.3. ISO/IEC Standards: 17020, Conformity assessment - Requirements for the operation of various types

8、of bodies performing inspection 17025, General Requirements for the Competence of Testing and Calibration Laboratories 17043, Conformity assessment - General requirements for proficiency testing 2018 by the American Association of State Highway and Transportation Officials. All rights reserved. Dupl

9、ication is a violation of applicable law.TS-5c R 89-2 AASHTO 3. SIGNIFICANCE AND USE 3.1. The members of AASHTO and other governmental authorities implement laws and regulations covering the approval of materials, products, and services used in the construction, maintenance, and repair of transporta

10、tion, building, and public works systems. Similarly, in the private sector, purchasers authorizing construction activities develop and implement specifications describing conformity assessment systems. 3.2. These authorities and purchasers develop and implement systems for approval aimed at achievin

11、g a minimum level of quality in materials and competence in services provided. Such a system should enable comparability, and also ensure competition on equal terms between those agencies that would seek to provide testing and inspection services in support of such activities. 3.3. In order for auth

12、orities and purchasers to confidently assess the capabilities of testing and inspection agencies, it is desirable to rely on an accreditation body that can provide an unbiased, thorough, and objective assessment of a testing and inspection agencys capabilities. Accreditation should provide confidenc

13、e to the authority or purchaser that an agency performing tests or inspections is competent to do so. 3.4. The use of this standard will facilitate the evaluation of comparability between different accreditation and assessment bodies providing accreditation and assessment services. 3.5. Accreditatio

14、n is often confused with other terms that are related, such as certification, validation, and qualification. Accreditation applies to an agency as opposed to certification, which generally applies to people or products. Likewise, qualification or validation generally refers to a process specified by

15、 a governmental body (or other authority) that may include accreditation, but is specific to the requirements of that body for the specified purpose. 4. TERMINOLOGY 4.1. Definitions: 4.1.1. accreditationthird-party attestation of an agencys formal demonstration of its competence to carry out specifi

16、c tasks. 4.1.2. accreditation bodyauthoritative body that performs the act of third party recognition to agencies. DiscussionA typical accreditation body provides the assessment and evaluation of corrective actions following an assessment. However, some accreditation bodies allow for multiple assess

17、ment bodies to provide assessments that are then used as the basis for their accreditation decisions. 4.1.3. agencyan organization that performs testing or inspection services that can be the object of accreditation. DiscussionAgency is typically what the international accreditation community refers

18、 to as a conformity assessment body (CAB). 4.1.4. appealrequest by an agency for reconsideration of an adverse decision made by the accreditation body related to its desired accreditation status. DiscussionAdverse decisions might include decisions to deny, suspend, or revoke accreditation or to refu

19、se service. 2018 by the American Association of State Highway and Transportation Officials. All rights reserved. Duplication is a violation of applicable law.TS-5c R 89-3 AASHTO 4.1.5. assessmentprocess undertaken by an accreditation body to evaluate the competence of an agency, based on particular

20、standard(s) for a defined scope of accreditation DiscussionEvaluations may include desktop reviews of quality management systems, on-site assessments, proficiency sample testing, and reviews of personnel qualifications. 4.1.6. assessment bodyorganization that provides assessment services that are us

21、ed as the basis for accreditation. 4.1.7. assessorindividual assigned by an accreditation or assessment body, alone or as part of an assessment team, to assess conformance of an agency to a defined scope of standards and requirements. 4.1.8. authorityan independent entity, apart from the agency bein

22、g evaluated or the accreditation body, that uses or relies upon the services of an agency (or agencies) and uses accreditation as a tool to verify the quality and competence of that agency (or agencies) DiscussionAuthorities can be governmental bodies, businesses or private interests (owners, purcha

23、sers, specifiers) with an interest in requiring the use of conformity assessment and accreditation services. Governmental bodies such as national, state, county, and local governments may use accreditation to determine the competence of services used in publicly funded projects. Businesses or privat

24、e interests may use accreditation to determine the same for services used in privately funded projects. 4.1.9. complaintexpression of dissatisfaction to an accreditation body, other than an appeal, by any person or organization, relating to the activities of that accreditation body or of an accredit

25、ed agency, where a response is expected. 4.1.10. conformity assessmentan evaluation activity that determines if a process or service conforms to standard specifications and fulfills relevant requirements. 4.1.11. consultancythe act of an accreditation body taking actions to fulfill requirements of t

26、he quality management system on behalf of the agency being evaluated DiscussionExamples of consultancy include, but are not limited to (1) participating in the operation or management of the agencys quality management system; (2) preparing or revising manuals, procedures, or records; or (3) providin

27、g specific solutions to resolve nonconformities. 4.1.12. interested partiesorganizations that have a direct or indirect interest in accreditation. DiscussionAgencies evaluated by the accreditation body and agencies that require accreditation have a direct interest in the quality and outcomes of the

28、accreditation process. 4.1.13. revocationaction taken by an accreditation body to remove accreditation for all or part of the scope of accreditation. DiscussionRevocation generally occurs when the accreditation body determines that an agency has not conformed to the requirements of accreditation. Re

29、vocation can occur for many reasons including, but not limited to: (1) inability or failure to resolve assessment deficiencies; (2) non-participation in assessments and/or proficiency testing programs; or (3) non-payment of accreditation or assessment fees. 4.1.14. related bodyA related body is a se

30、parate legal entity that is linked by common ownership or contractual arrangements to the accreditation body DiscussionA related body may be a division, group, or other organizational component of the accreditation body that is not directly involved in the accreditation process or can be another org

31、anization closely related to or associated with the activities of the accreditation body. 2018 by the American Association of State Highway and Transportation Officials. All rights reserved. Duplication is a violation of applicable law.TS-5c R 89-4 AASHTO 4.1.15. remote assessmentan assessment condu

32、cted by the accreditation body without visiting the physical location of the agency. DiscussionRemote assessments are often used to conduct document review and review of proficiency testing results. 4.1.16. scope of accreditationThe categories or fields of testing under which standards or requiremen

33、ts are included in the published directory listing of a laboratorys accreditation 4.1.17. specifierAn entity that requires a testing or inspection agency to maintain accreditation 4.1.18. subcontractorAn entity used to perform assessment activities for the accreditation body 4.1.19. surveillancea se

34、t of activities initiated by an accreditation body to monitor the continued fulfillment of accreditation requirements. 4.1.20. suspensionaction taken by an accreditation body to temporarily make accreditation invalid for all or part of the scope of accreditation. 4.1.21. technical experta member of

35、the assessment team who provides experience or knowledge to assist the assessor in determining conformance in the subject area under assessment. 4.1.22. virtual assessmentan assessment conducted using streaming video and audio technologies. DiscussionVirtual assessments are useful for monitoring imp

36、lementation of corrective actions or making minor changes to the scope of an existing accreditation. 4.1.23. withdrawalaction taken by an accredited agency to voluntarily reduce the scope of its accreditation. 5. GENERAL REQUIREMENTS 5.1. Legal and Organizational Requirements: 5.1.1. The accreditati

37、on body shall be a registered legal entity. The accreditation body shall document its legal status including the names of those persons who control it. Persons who control the accreditation body may include board members, owners or other entities that provide direct oversight of the accreditation bo

38、dys activities. 5.1.2. The accreditation body shall have authority and shall be responsible for its decisions relating to accreditation. 5.1.3. The accreditation body shall document its entire organizational structure, showing lines of authority and responsibility. 5.1.4. The accreditation body shal

39、l document the duties and responsibilities of top management and other personnel associated with the accreditation body who could affect the quality of the accreditation and the decision making process. 5.1.5. The accreditation body shall describe the procedure for the management and operation of an

40、y committees or boards that are involved in the accreditation process, including selection criteria, terms of service and responsibilities of the board and/or committee members. The accreditation body shall document participation on such boards and committees including the names and affiliations of

41、those participating. 5.2. Impartiality Requirements: 2018 by the American Association of State Highway and Transportation Officials. All rights reserved. Duplication is a violation of applicable law.TS-5c R 89-5 AASHTO 5.2.1. The accreditation body shall be organized and operated in a manner so as t

42、o safeguard the objectivity and impartiality of its activities. The management of the accreditation body shall demonstrate a commitment to impartiality. 5.2.2. The accreditation body shall identify, evaluate, manage, and document risks to impartiality and objectivity of the accreditation activities.

43、 Where risks are present, the accreditation body shall minimize risk to the point of acceptability. If the risk is deemed to be unacceptable, accreditation services shall not be provided. 5.2.3. The accreditation body shall document and implement a structure that provides opportunity for effective i

44、nvolvement by interested parties of the accreditation body. This structure is intended to safeguard impartiality and develop and maintain the principles and major policies of operation of its accreditation system. 5.2.4. The accreditation body shall make its services available to all applicants rega

45、rdless of their size, affiliation, or number of testing and inspection agencies already accredited. Any limitations on the offering of services shall be documented. 5.2.5. All accreditation body personnel and committees that could influence the accreditation process shall act objectively and be free

46、 from any undue commercial, financial, and other pressures that could compromise impartiality. 5.2.6. The accreditation body shall ensure that each decision on accreditation is made by competent person(s) or committee(s) different from those who carried out the assessment. 5.2.7. The accreditation b

47、ody shall not provide any service that affects its impartiality, such as those services performed by agencies that are included in the scope of accreditation offered by the accreditation body. 5.2.8. The accreditation bodys activities shall not be linked with outside interests, persons or corporate

48、bodies that might offer services for the purpose of helping an agency obtain accreditation. The accreditation body shall not state or imply accreditation would be simpler, easier, faster, or less expensive if any specified person(s), consultant firm, or commercial product were used. 5.2.9. The accre

49、ditation body shall ensure that the activities of its related bodies do not compromise the confidentiality, objectivity, and impartiality of its accreditations. The accreditation body, with the assistance of the interested parties, shall identify, analyze and document the relationships with related bodies to determine the potential for conflict of interest, whether they arise from within the accreditation body or from the activities of the related bodies. Where conflicts are identified, appropriate action shall be taken. 5.3