Professional Documents
Culture Documents
Abstract
ANSI/NCSL Z540.3-2006 and ISO/IEC 17025:2005 are voluntary consensus standards which
prescribe requirements for the calibration of measuring and test equipment and for the technical
competency of the performing laboratories. Many agencies in the U.S. which are part of, or
regulated by, the Federal Government are required to use instruments which have been calibrated
in accordance with one or both of these standards. The National Technology and Transfer
Advancement Act (NTTAA) of 1995 encourages all federal agencies to use technical standards
that are developed by consensus standards bodies, in lieu of “government-unique” standards.
ISO 17025 and ANSI Z540.3 have evolved over a half-century of metrological advancement,
drawing upon expertise in the public and private sector. They are now supported by a mature
infrastructure of third party assessment and accreditation that facilitates mutual recognition and
global trade, ensuring calibrations are accepted worldwide. However, some federal agencies and
regulatory bodies in the U.S. do not yet recognize these standards. Calibrations are commonly
performed which may not conform to these requirements. This paper discusses the history of risk
mitigation techniques applied to products and processes when declaring in-or-out of tolerance
conditions. Particular focus is given to the Food and Drug Administration’s (FDA) regulation of
calibration requirements in the Quality System Regulation (QSR) found in Title 21 Part 820 of
the Code of Federal Regulations (CFR). Currently, a paucity of official guidance exists with
respect to what constitutes an acceptable calibration program in medical device and
pharmaceutical industries. Ambiguities may persist due to lack of recognition of consensus
standards such as ISO 17025 and Z540.3 as guidance documents. Fundamental requirements
such as traceability, measurement uncertainty, measurement decision-rules, as well as basic
metrological definitions are somewhat ill-defined in the CFR. The objective of this paper is to
provide relevant background information and to encourage constructive dialogue between
government agencies, standards writing committees, industry partners, and third party
assessment/accreditation bodies. Cooperation of this type is consistent with public law and
White House policy objectives. Ultimately, such dialogue may foster recognition of these
voluntary consensus standards as guidance documents for calibration in regulated industries,
resulting in regulatory efficiencies, improved quality, and reduced risk to consumers or patients.
Note: Throughout this paper, “emphasis” is denoted via red-highlight and/or underline for quoted references. Where applied,
emphasis is the author’s and not that of the original source document.
1 th
Revised July 31, 2016. Originally submitted May 24 , and published in the July 2016 NCSLI Proceedings.
Many federal agencies, in diverse roles, have established minimum quality standards and
regulatory requirements governing the calibration of test and measurement equipment. These
agencies differ from commercial non-regulated industries in several respects. Requirements of
most federal agencies are codified into law and non-compliance with such rules and regulations
can result in legal action, particularly where regulatory agencies are concerned. For example,
medical device and pharmaceutical manufacturers, regulated by the FDA, must comply with
Title 21 of the Code of Federal Regulations (CFR), including the calibration requirements of
section §820.72 (see Table 2) and other applicable sections [1]. Non-compliance can subject a
manufacturer to warning letters, recalls, injunctions, seizures, and/or debarment. Federal
agencies exist where legislation has been enacted to create them and where the criticality,
importance, or cost of such a program is deemed too great to relegate the responsibility to private
industry. USA.gov currently lists more than 600 different federal agencies, each charged with
matters related to the general public well-being, with some establishing their own quality and
calibration standards. Examples of Federal Agencies include:
It has been the aspiration of government and industry alike to standardize on quality
requirements for more than half a century. The largest standardization effort in quality history
began with the wide spread adoption of the ISO 9000 series in 1987, the documentary roots of
which began in the 1950’s. See Table 1 and Figures 1 and 2. Standardization has also been the
goal with respect to the calibration requirements of test and measuring equipment used to
manufacture goods or monitor critical processes in a broad range of industries. Groups
developing voluntary consensus standards for calibration requirements have worked diligently to
aid in this endeavor. A cursory review of Table 1 will reveal a litany of documents, developed
over 65 years, governing calibration in both the public and private sector. Figure 1 provides a
simplified graphical evolution of these historical standards and guidelines, with a particular focus
on the FDA-regulated medical device and healthcare industry. The calibration documents in
Table 1 can generally be divided into two categories:
Full document titles for these standards are provided in Table 1 such that publications may
henceforth be referenced simply by their document numbers for convenience.
(for calibration)
Navy: SLIM & SecNav 4355.11 No Cal Requirements
Navy: Tech Memo 63-106
1978
1970 1960
FDA 21 CFR
NATO AQAP-6 MIL-C-45662 §820.61 (GMP)
NATO AQAP-7 MIL-HDBK-52
(E36 Committee)
NCSL RP-11
~1977
1992 1987
ISO CERTICO[1]
BS EN 30012-1 (Now CASCO) ANSI/ASQC M1
ISO 10012-1 Guidelines ANSI/ASQC M2
ISO 10012-2
ISO 10012*
(for calibration)
1978
ISO Guide 25
1999 ASTM E548 1994
ANSI/NCSL Z540.3*
& Z540.3 Handbook
Figure 1. Simplified evolution of international and national calibration standards and guidelines
Concepts of test accuracy (or uncertainty) ratios for calibration (e.g. 10:1 and 5:1), as well as
false-accept and false-reject risk, have existed since at least 1950, as evidenced in MIL-STD-120
[2]; see Appendix B. Origins of the ubiquitous 4:1 test accuracy ratio have been documented by
Castrup [3] and Mimbs [49] [A125] and attributed to Crandon and Hayes of the U.S. Navy in the
1950’s. Hayes [A5] published the first known statistical analysis of calibration quality (false
accept/reject) in 1955, invoking the concept of accuracy ratios, based primarily on the 1954
seminal works of Eagle [A1] and Grubbs & Coon [A2]. Concurrently in 1953-1954, Wiesen and
Clark [A3] at Sandia Corporation were independently carrying out similar analysis of how
accuracy ratios and guardband limits affect incorrect accept/reject decisions, as was Mandel [A4]
in the UK. They were followed shortly thereafter by Tingey & Merrill [A6] at the Atomic
Energy Commission in 1957. A few years later in 1959, Wiesen & Owen [A8] at Sandia along
with David et-al [A7] published additional work on the calculus of how accuracy ratios and
guardbanding impact incorrect pass/fail decisions or misclassification of items judged to be in-
or-out of tolerance. All used the bivariate normal joint probability density model to calculate
consumer and producer risk2. See Appendix A for a partial chronology of related works on
measurement decision risk for calibration and testing (pass/fail) decisions.
In the 1960’s, suppliers to federal agencies had to contend with a myriad of different calibration
requirements. Many of these government-unique documents espoused different calibration
quality mandates including different test accuracy ratios which had to be met. In most cases,
minimum accuracy ratios were required, rather than detailed statistical analysis of decision-risk.
See Appendix B for a history of some TAR requirements. Private industry sometimes struggled
to keep up with the proliferation of these government standards and the vast array of calibration
requirements they imposed, particularly those requiring specific test accuracy ratios. This was
reflected in statements 50 years ago by Condon [4], Russell [5], and Fruechtenicht [6].
2
In 1926, Shewhart addressed measurement errors as impacting ‘True Versus Observed Quality’.
In 1948 , Grubbs also investigated effects of measurement errors on observed product variability and discussed
isolating these variances into separate components, as did Bennett in Jan 1954.
In 1962, Traver at GE, and engineers at GM, developed the Gauge R&R Study which ANOVA is now commonly used
to estimate “gauge capability”, e.g. Precision to Tolerance Ratio (P/T), Signal-to-Noise Ratio (SNR), Discrimination
Ratio (DR), etc. However, as stated by Montgomery, “None of these quantities really describe the capability of the
gauge in any sense that is directly interpretable. The effective capability of a measuring system is best described in
terms of how well it discriminates between good and bad parts… The joint probability density function… is bivariate
normal… A very useful way to describe the capability of a measurement system is in terms of producer’s risk and
consumer’s risk”. Appendix H.5 in ISO GUM further describes why ANOVA Gauge R&R alone is insufficient.
In 1963, Eisenhart also published a seminal work, “Realistic Evaluation of the Precision and Accuracy of Instrument
Calibration Systems”, but did not directly address measurement decision risk.
Indeed, MIL-C-45662A [7] and its successors did become the ubiquitous calibration standard for
critical industries for more than 30 years. This was true even outside of government agencies
and their contractors. It was adopted by a multitude of industries in the U.S., particularly those
which operated a quality management system, even though MIL-C-45662 had begun as a
government-unique military standard. In 1982, the Food and Drug Administration [8] [9] stated:
“The medical device GMP equipment requirements are based on MIL-C-45662 and were written to assure that
production and quality assurance measurement equipment (mechanical, electronic, automated) used in the
manufacture of medical devices is suitable for its intended use.”
Like the FDA calibration requirements in the Good Manufacturing Practices (GMP’s), many
Federal agencies developed their own government-unique standards and requirements based, to
some extent, on this venerable military standard. This included the Department of Energy
(DOE), the Nuclear Regulatory Commission (NRC), and the National Aeronautics and Space
Administration (NASA), among many others. General equipment calibration requirements were
eventually codified into law by many government agencies via the Code of Federal Regulations
(CFR). For example:
FDA: 21 CFR §820.72 Inspection Measuring, and Test Equipment [1A]
NRC: 10 CFR §50 B-XII Control of Measuring and Test Equipment [10]
FAA: 14 CFR §145.109 Equipment, Materials, and Data Requirements [11]
MIL-C-45662 was first published in 1960 [12]. It had grown out of the military metrology and
calibration programs established just a few years earlier in the mid 1950’s. Together, MIL-C-
45662A in 1962 [7] and its companion MIL-HDBK-52 in 1964 [13] formed the developmental
foundation for future international/allied military calibration standards and guidelines. The
North Atlantic Treaty Organization’s (NATO’s) Allied Quality Assurance Publication AQAP-6
[14] and AQAP-7 [15] for calibration were developed in the early 1970’s based to some extent
these U.S. military requirements. Afterwards, the British Ministry of Defence (MoD) looked to
these NATO standards when developing their own DEFSTAN 05-26 [16] and DEFSTAN 05-27
[17] calibration standards in 1973. In turn, these British MoD calibration standards were
influential in the development of BS 5781-1:1979 [18] and BS 5781-2:1982 [19] which would
subsequently form much of the basis for ISO 10012-1:1992 [20] and ISO 10012-2:1997 [21]
(also see footnote 3 in the following section). In 2003, these two ISO documents were combined
into a single document, the current ISO 10012:2003, Measurement Management Systems –
Requirements for Measurement Process and Measuring Equipment [22]. See Figure 1.
Concurrent to this evolution, the first edition of ISO Guide 25 had been published in 1978 [23].
Guide 25 was developed by ILAC Task Force 1, established during the first ILAC meeting of
1977 in Copenhagen [24]. Guide 25 emerged from guidelines developed earlier by the ISO
Committee on Certification (CERTICO, formed 1970), now called the Committee on Conformity
Assessment (CASCO, renamed in 1985). ISO Guide 25 was also derived from ASTM E548-76
(Committee E36, formed 1973) and, to some degree, DEFSTAN 05-32 in 1976. These standards
addressed accreditation and quality requirements for “test house” and laboratory organizations.
Guide 25 was just 4 pages long when first published in 1978. It was revised in 1982 and again in
1990. This third revision, ISO Guide 25:1990 [25] became the primary source document for the
development of ISO 17025:1999 [26], with the current version being ISO 17025:2005 [27]. See
Figure 1. At the time of this writing, ISO 17025 is presently under revision again by CASCO
Working Group 44. A Committee Draft (CD1) was released in September 2015 for circulation
and comment, with CD2 released in March 2016 [28]. A Final Draft International Standard
(FDIS) is expected in late 2016 with final publication tentatively projected for September 2017.
While sharing many common objectives, there were significant differences in these documents.
Maintaining compliance to multiple calibration standards was a challenge for U.S. industry,
similar to the situation alluded to earlier in the late 1960’s. ISO Guide 25 was the prevailing
voluntary consensus standard for calibration labs in 1990. Meanwhile, the government-unique
MIL-STD-45662A [29] in 1988 had evolved substantially since its initial introduction in 1960 as
MIL-C-45662. Most notably perhaps, MIL-STD-45662A was the first version to formally
require the ubiquitous 4:1 Test Accuracy Ratio (TAR), although not specifically referenced by
name. Section 5.2 of MIL-STD-45662A required that:
A brief summary of the TAR requirements throughout the life of MIL-STD-45662A and its
associated handbook is given.
MIL-STD-45662A and many of its predecessors had invoked test accuracy ratios as a risk
mitigation technique. This was done to ensure that calibration standards were adequate for their
intended use by limiting the risk of incorrect decisions during calibration. This was accomplished
by ensuring that the laboratory standards were sufficiently more accurate than the instruments
3
The ANSI/ASQC M1-1987 standard had been previously published in 1987 and was reaffirmed in 1996 [74]. A
history of its development was given by one of the M1/M2 authors (Schumacher) [32A] [32B]. However (arguably),
the M1 standard was not as widely adopted as the later ANSI/NCSL Z540.1-1994 standard, despite M1’s
comprehensive nature, a focus on “measurement assurance”, and co-authorship by Dr. Belanger of NBS/NIST. M2
was also influential in ISO-10012-2:1997. Appendix B provides a summary of M1’s treatment of accuracy ratios.
In 1993, the first edition of the ISO Guide to the Expression of Uncertainty in Measurement (GUM) was also
published, standardizing the way uncertainties were calculated internationally. The term Test Uncertainty Ratio
(TUR) slowly began to replace Test Accuracy Ratio (TAR). A distinction is made in the Z540.3-2006 Handbook [45]
between Test Uncertainty Ratio (TUR) and Test Accuracy Ratio (TAR), as elaborated by Mimbs [49].
By contrast to MIL-STD-45662A (1988), ISO Guide 25 did not contain any requirement or
mention of test accuracy ratio throughout its history from 1978 to 1990. This and several other
differences between ISO Guide 25 and MIL-STD-45662A caused calibration requirements in the
U.S. to become somewhat splintered into two different paradigms (ISO Guide 25 vs. MIL-STD-
45662A). Once again, many industries and calibration laboratories in the U.S. were struggling to
resolve the apparent conflict, often having to comply with both to satisfy a broad range of
interests. As reported by Held [33] in 1992 when quoting Randall [34]:
“In response to this need, the NCSL [National Conference of Standards Laboratories] formed a standing TQM
committee on calibration systems and tasked it with two immediate objectives:
1. Bring together the various government bodies which audit calibration quality systems for the purpose
of establishing a single American National Calibration Quality System; and
After having spent months comparing various American Quality System requirements with the new European
standards for compatibility, the committee overwhelmingly voted to adopt a proposed U.S. consensus
standard consisting of ISO/IEC Guide 25 and some additional requirements to make it compatible with other
European standards and satisfy some requirements important to U.S. industry and government agencies [i.e.
MIL-STD-45662A].
Note that the incorporation of ISO/IEC Guide 25 will include ISO 9000 compliance and international
recognition. A final draft of this document was written by Dr. Joe D. Simmons, Chief of Calibration Services at
NIST. This draft was reviewed and unanimously endorsed by the TQM Committee. At this point the TQM
Committee is seeking a group which will publish the standard for distribution and use.”
Efforts to assimilate ISO Guide 25 and MIL-STD-45662A into a single U.S. Calibration
Standard, and to develop a nationally recognized laboratory accreditation program are further
documented by Cigler [36] of NIST; a history of accreditation is given by Neumann [36A].
Schumacher in 1995 [32B] and Harris in 2001 [36B] would later recount the efforts of the NCSL
TQM Committee (ANSI Z540 Committee) and the participation of various federal agencies.
“…an NCSL [TQM] committee was formed by Gary Davidson with the purpose to eliminate the various similar
calibration control system requirements standards issued by various agencies of the US federal government
with a single standard [Z540] they could all agree upon. For that purpose, committee members were invited
from numerous agencies of the federal government… Hence, the NCSL committee proceeded with writing
such a standard. Its two parts are based on the ISO/IEC Guide 25 and on MIL-STD-45662A”.
Indeed, when Z540.1 was published in 1994, it was quickly embraced by industry and enjoyed
widespread adoption in some agencies for more than a decade. With its ≥4:1 TAR requirement
carried over from the military, the sanctity of this calibration quality metric in Z540.1 remained
firmly entrenched in U.S. industry. It was thought to provide evidence that incorrect acceptance
decisions during calibration would be rare. A 4:1 TAR instilled confidence that when a
laboratory’s calibration certificate stated an item was found to be “In-Tolerance”, it actually was.
Less than a year after Z540.1 was published in 1994, the Department of Defense formally
cancelled MIL-STD-45662A in February of 1995, referring future requirements to Z540.1 (and
ISO 10012-1) as alternatives. NATO’s AQAP-6 was also cancelled the same year, citing ISO
10012-1 as its replacement. At the time, guidance within the ISO 10012-1:1992 document
alluded to both 3:1 and 10:1 TAR as guidance (see Appendix B). Eleven years later in 2003,
when ISO 10012-1:1992 and 10012-2:1997 were combined into a single standard (ISO
10012:2003) the conceptual reference to test accuracy ratio was removed altogether.
As stated, in 1990, ISO Guide 25 contained no test accuracy ratio requirement and did not
address how measurement uncertainty might result in incorrect decisions. It simply stated that
appropriate methods and procedures should “…be consistent with the accuracy required”.
1. A statement of compliance should only be made if the ratio of the uncertainty of measurement to the
specified tolerance is reasonably small, e.g. 1:3.
2. If the measurement value, extended by the measurement uncertainty, exceeds the specified tolerance
while the measurement value itself falls within the tolerance, neither compliance nor non-compliance
can be proved. Only the measurement results and the associated uncertainty can then be given in the
certificate without any statement of compliance.”
Ultimately, when ISO Guide 25 did evolve into the 1st edition ISO 17025 and was finally
published in 1999, the language in the earlier draft relating to any type of accuracy or uncertainty
ratio (or decision rules) to mitigate the risk of incorrect acceptance decisions had been removed.
Moreover, when ISO 17025 was later revised in 2005 (2nd edition), no additional treatment of
accuracy ratios or measurement decision risk was added at that opportunity in time. Today, the
pertinent requirement is found in section 5.10.4.2 which simply requires that:
Ten years later in September 2015, the first committee draft (CD1) of the pending 3rd edition of
ISO 17025 [41] did not necessarily add any additional technical requirements to this matter.
However, it did propose some much needed direction, stating:
ISO 17025 CD1 Draft (2015): [41]
“7.1.1 (d) when the customer requests a verification of conformity to a specification or standard for the test or
calibration (e.g. pass/fail, in-tolerance/out-of-tolerance):
the specification is clearly defined in the procedure selected;
the decision rule for conformity, its level of risk and statistical assumptions is documented in the test
method/procedure or is documented by the laboratory and communicated to the customer;
the decision rule is agreed to by the customer.”
“7.1.1.3 When the customer requests a statement of conformity to a specification or standard for the test or
calibration (e.g. pass/fail, in-tolerance / out-of-tolerance) the specification and the decision rule shall be clearly
defined and communicated.
7.7.1 When statement of conformity to a specification or standard for test or calibration is requested, the
laboratory shall:
a) Document the decision rules employed taking into account the level of risk (such as false accept and
false reject and statistical assumptions) associated with the decision rule employed;
b) Apply the decision rule.
The note in the CD2 draft of ISO 17025 is of great significance, as it references ISO Guide 98-4
[42], which is also known as JCGM 106:2012, “Evaluation of Measurement Data – The Role of
Measurement Uncertainty in Conformity Assessment” [43]. Compliance with ISO/IEC Guide
98-4 is not specifically required by CD2 of ISO 17025. However, Guide 98-4 provides a
thorough technical treatment of the statistical considerations which should be addressed any time
a measured value is asserted to fall inside or outside of acceptable tolerance limits. There is
always a risk that such a pass/fail decision or assertion is incorrect, due to measurement
uncertainty. If the uncertainty is small by comparison with the acceptable tolerance limits (high
TUR), then, on the average, the risk or probability incorrect decisions will be low. Conversely,
if this uncertainty is comparable in magnitude with the tolerance limits (low TUR), the average
risk of incorrect conformance decisions is elevated. This is the nature of calibration and
verification.
Six years prior to the publication of JCGM 106:2012, the NCSLI 174 Standards Writing
Committee and ANSI had published ANSI/NCSL Z540.3-2006 [44], replacing Z540.1-1994
(R2002). For the first time in a national or international standard, Z540.3 directly addressed, in a
formal manner, the rather complex issue of false accept risk during calibration. The Z540.3
standard requires that:
“5.3 (b) Where calibration provide for verification that measurement quantities are within specified tolerances,
the probability that incorrect acceptance decision (false accept) will result from calibration tests shall not
exceed 2% and shall be documented. Where it is not practicable to estimate this probability, the test
uncertainty ratio shall be equal to or greater than 4:1.
NOTE: Achieving these requirements may involve adjustment and management of calibration system
parameters such as: measurement reliability, calibration intervals, measurement uncertainty, calibration
tolerances, and/or guard bands.
Calibration-servicing components may be considered competent to provide calibration services when they
have been accredited to meet ANSI/ISO/IEC 17025, including the requirements of this sub-clause…”
As discussed earlier, the concept of measurement decision risk had been formalized in the
1950’s. Over the years, a proliferation of papers have been published from individuals on the
subject of accuracy (or uncertainty) ratios and the risk of incorrect pass/fail decisions during
calibration and testing. Appendix A provides a partial list of these papers and serves to
demonstrate the considerable attention this subject has garnered, particularly in the 21st century
where ISO 9001:2015 has adopted a “risk-based-thinking” model [50]. In addition to
independent authors, there exists many guidelines from a variety of engaged organizations which
deal directly with measurement decision risk as applied to calibration and the adequacy of
measurement processes. Several prominent publications on measurement and calibration
decision risk (misclassification) are listed here, many of which are available via public domain.
1984: NBS (NIST) Special Publication 673 [51]
1994: NASA RP-1342 – Sections 4.10, 6.5, 6.6, Appendix C.5 & F.5 [52]
2001: ASME B89.7.3.1-2001 [53]
2002: UKAS LAB34 – Section 4 [54]
2003: ISO 10576-1:2003 [55]
2004: AFNOR FD x07-022, Section 6 [A79]
2005: ASME B89.7.4.1-2005 [56]
2007: Eurachem/CITAC Guide [57]
2008: Eurolab Cook Book Doc No. 8.0 [58]
2009: Z540.3 Handbook – Section 5.3 and Appendix A [45]
2009: ILAC-G8:03/2009 [59]
2010: NASA HDBK 8739.19-4 [60]
2010: VDA-5 [61]
2010: AIAG MSA-4 – Chapter 1, Section B & Chapter 3 Section C [62]
2012: UKAS M3003 – Appendix M [63]
2012: NCSL RP-21 [47]
2012: JCGM 106:20012 [43]
2012: ISO/IEC Guide 98-4 [42]
2012: ISO 22514-7 [64]
2012: ISO/TR 14253-6 [A140]
2013: ISO 14253-1 [65]
2014: WADA TD2014DL [66]
2014: NCSL RP-18 [46]
2015: ISO 14253-5 [A157]
The CFR calibration requirements do not specifically indicate how instruments should be
assessed to ensure they are “suitable for their intended purpose” (i.e. no accuracy ratios or
uncertainty considerations) nor what the qualifications or objective evidence for “traceability”
are. In 1997, the FDA [67] stated that:
“Manufacturers must assure all inspection, measuring and test equipment (including mechanical, automated or
electronic inspection and test equipment) is suitable for its intended use and is capable of producing valid
results. This would normally be done through installation, operation and performance qualification [IQ/OQ/PQ]
of the equipment”
The first statement above is a direct requirement of 21 CFR §820.72. However, the second
statement is the FDA guidance on how that requirement would normally be achieved. From a
literal perspective, it is difficult to imagine that “all” measuring and test equipment (to include
micrometers, calipers, rulers, hand-held meters, etc.) would be subjected to rigorous IQ/OQ/PQ
type qualification and validation activities. For medical device manufacturers, such extensive
qualification activities for measuring equipment are typically limited to analytical and/or
automated/computerized measuring apparatus addressed in USP <1058> [68] (e.g. “Group C”).
This is contrasted with Group B instruments which may only require calibration and preventative
maintenance, rather than qualification. ISPE GAMP-5 [69] further categorizes software and
computerized systems for analytical instrument qualification. Efforts to harmonize these two
guidance documents on qualification were published in 2014 by Vuolo-Schuessler et-al [70].
However, a certain degree of subjectivity exists when deciding which measuring instruments
must be qualified via the IQ/OQ/PQ process to show suitability for the intended use, and which
instruments must simply be calibrated. Thus, the type and extent of objective evidence necessary
to satisfy the “suitable for intended use” clause remains somewhat nebulous. Recent standards
such as ISO 22514-7:2012 [64], provide some guidance on how objective evidence to show
suitability might be achieved. Similar to the ubiquitous process capability index of 1.33, ISO
22514-7 recommends maintaining a “measuring system capability index (CMS)” of ≥1.33 and
Minitab® notes that a “gage capability index (Cgk)” of ≥1.33 is a common benchmark to assess
repeatability and bias for a “capable gage” [64A]. ANOVA Gauge R&R techniques often
espouse “gauge capability” requirements for “precision to tolerance ratio” (see footnote 2 in
Section 2 of this paper). However, a thorough statistical treatment of the subject is provided in
JCGM 106:2012 as a discussion of measurement capability index (Cm), mathematically
equivalent to test uncertainty ratio or TUR in Z540.3. In such an approach, suitability might be
determined based on the ability to provide acceptably low false-accept risk. That is, suitability is
related to the probability that a measuring instrument or system may erroneously indicate that a
product or process is in-tolerance. Measuring instruments exhibiting an acceptably low false-
accept risk may then be deemed suitable and “capable of providing valid results”.
FDA 21 CFR §133.4 (GMP)* FDA 21 CFR §820.61 (GMP) FDA 21 CFR §820.72 (QSR)
Equipment Measuring Equipment Inspection, Measuring, & Test Equipment
(1963 – Obsolete) [71] (1978 – Obsolete) [72] (1997 - Current) [1A]
Equipment used for the All production and quality assurance measurement a) Control of inspection, measuring, and test
manufacture, processing, equipment, such as mechanical, automated, or equipment. Each manufacturer shall ensure that all
packaging, labeling, holding, or electronic equipment, shall be suitable for its inspection, measuring, and test equipment,
control of drugs shall be intended purposes and shall be capable of producing including mechanical, automated, or electronic
maintained in a clean and orderly valid results. Such equipment shall be routinely inspection and test equipment, is suitable for its
manner and shall be of suitable calibrated, inspected, and checked according to intended purposes and is capable of producing
design, size, construction, and written procedures. Records documenting these valid results. Each manufacturer shall establish
location in relation to surroundings activities shall be maintained. When computers are and maintain procedures to ensure that equipment
to facilitate maintenance and used as part of an automated production or quality is routinely calibrated, inspected, checked, and
operation for its intended purpose. assurance system, the computer software programs maintained. The procedures shall include
The equipment shall: shall be validated by adequate and documented provisions for handling, preservation, and storage
testing. All program changes shall be made by a of equipment, so that its accuracy and fitness for
(a) be so constructed that any designated individual(s) through a formal approval use are maintained. These activities shall be
surfaces that come into contact procedure. documented.
with drugs are suitable, in that they
are not reactive, additive, or (a) Calibration. Calibration procedures shall include (b) Calibration. Calibration procedures shall
absorptive to an extent that specific directions and limits for accuracy and include specific directions and limits for accuracy
significantly affects the identity, precision. There shall be provisions for remedial and precision. When accuracy and precision limits
strength, quality, or purity of the action when accuracy and precision limits are not are not met, there shall be provisions for remedial
drug or its components. met. Calibration shall be performed by personnel action to reestablish the limits and to evaluate
having the necessary education, training, whether there was any adverse effect on the
(b) be so constructed that any background, and experience. device's quality. These activities shall be
substances required for the documented.
operation of the equipment, such as
lubricants or cool ants, may be (b) Calibration standards. Where practical, the (1) Calibration standards. Calibration standards
employed without hazard of calibration standards used for production and quality used for inspection, measuring, and test
becoming additive to drug assurance measurement equipment shall be traceable equipment shall be traceable to national or
products. to the national standards of the National Bureau of international standards. If national or international
Standards, Department of Commerce. If national standards are not practical or available, the
(c) be constructed to facilitate standards are not practical for the parameter being manufacturer shall use an independent
adjustment, cleaning, and measured, an independent reproducible standard reproducible standard. If no applicable standard
maintenance as necessary to assure shall be used. If no applicable standard exists, an in- exists, the manufacturer shall establish and
the reliability of control house standard shall be developed and used. maintain an in-house standard.
procedures, to assure uniformity of
production, and to assure the (c) Calibration records. The calibration date, the (2) Calibration records. The equipment
exclusion from drugs of calibrator, and the next calibration date shall be identification, calibration dates, the individual
contaminants, including those from recorded and displayed, or records containing such performing each calibration, and the next
previous and current information shall be readily available for each piece calibration date shall be documented. These
manufacturing operations. of equipment requiring calibration. A designated records shall be displayed on or near each piece of
individual(s) shall maintain a record of calibration equipment or shall be readily available to the
(d) Be of suitable size and accuracy dates and of the individual performing each personnel using such equipment and to the
for use in any intended measuring, calibration. individuals responsible for calibrating the
mixing, or weighing operations. equipment.
* The 1963 GMP equipment regulations (21 CFR §133.4) did not contain any calibration requirements for equipment.
Target Measurement Uncertainties (TMU’s)4 are similar to minimum Test Uncertainty Ratios
(TUR’s) in that each can be used to specify the maximum allowable uncertainty, based on the
intended use of the measurement result. For calibration, the target measurement uncertainty
might be specified as a minimum 4:1 TUR, and the intended use might be to verify that test and
measurement equipment complies with established metrological specifications or allowable
tolerances. For pharmacopeial assays, the TMU might be specified directly, and the intended use
of the measurement result might be to verify that a drug has the required potency, within
specified limits. In each case, the required/minimum Test Uncertainty Ratio (TUR) or Target
Measurement Uncertainty (TMU) provides an upper limit on the magnitude of the acceptable
measurement uncertainty for the intended use, i.e., deciding conformity to specifications with
acceptably low risk of incorrect decisions. The Eurachem/CITAC guide on Setting and Using
Target Uncertainty in Chemical Measurements [A158] (section 5.1.2, equation 1) recommends
the Target Measurement Uncertainty (Utg), be 8 times smaller than the interval range (or span) of
the specification limits (Qmax – Qmin) for the measurand. This Target Measurement Uncertainty
is mathematically identical to a Test Uncertainty Ratio of 4:1, as defined in Z540.3.
4
Target Measurement Uncertainties (also called International Target Values or ITV’s) emerged from efforts in 1979
by the nuclear industry to safeguard the quantity or inventory of nuclear and/or fissile materials held in various
locations, which are subject to periodic verification and accountancy via analytical measurement techniques [196].
Target Measurement Uncertainties have since also found favor with the analytical chemistry community [A158].
Although defined in the VIM, this term has not, thus far, been embraced by the calibration community at large,
particularly in the U.S. As of this writing, a Google search of the term “target measurement uncertainty” together
with “test uncertainty ratio” yields zero results returned (although Weitzel [173D] [173E] does relate TMU & TAR).
Target Measurement Uncertainties have also been employed to identify the “end-use”
uncertainty objective of the final result (or legal limit), such that, yet a sufficiently smaller
measurement uncertainty should be used to determine compliance to such a limit. Section 2.1.5
of the Eurachem guide on Terminology in Analytical Measurement – An introduction to VIM 3
[202] appears to advocate a 5:1 Test Uncertainty Ratio “rule of thumb” in traceability chains:
An example in this Eurachem guide is also given with respect to EU legislation on maximum
allowable uncertainty for the testing of surface water for lead content, where a 2:1 Test
Uncertainty Ratio is apparently acceptable [202]. WELMEC uses the terms Maximum
Permissible Uncertainty (MPU) and Maximum Permissible Error (MPE), recommending that
“where practically possible, MPU ≤ MPE/3”, equivalent to a 3:1 TUR [A86].
Eurachem Guide on Terminology in Analytical Measurement (2011): [202]
“3.1.2 The laboratory will aim to remove sources of significant uncertainty until the measurement procedure is
deemed to be fit for purpose. This means that the laboratory should know the maximum measurement
uncertainty that can be accepted by the customer for a specific application. This is called the target
measurement uncertainty. For example, the EU legislation regarding the official control for monitoring water
status state that laboratories performing measurements should use measurement procedures capable of
providing results with an ‘uncertainty of measurement of 50 % or below (k=2) estimated at the level of relevant
environmental quality standards.’ For example, the environmental quality standard for lead in surface waters
-1 -1
is 7.2 µg L , so the target measurement uncertainty is 3.6 µg L .”
Rather than requiring (sometimes arbitrary) minimum Test Uncertainty Ratios or maximum
allowable Target Measurement Uncertainties, Z540.3 addresses the root intent of these attempts
at risk mitigation. Rather than placing requirements on secondary parameters which are merely
related to measurement decision risk, Z540.3 advocates placing allowable limits on false accept
risk itself. Risk can then be mitigated by controlling Test Uncertainty Ratio, reliability of the
end-item/process, and/or guardband limits. In addition to the US Pharmacopeial Forum stimuli
article and the Eurachem/CITAC guides previously discussed, Target Measurement
Uncertainties (and guardbanding), along with their utility in establishing “fitness for purpose or
intended use”, have been addressed by several authors. These include Weitzel & Johnson
[A138], Majcen, Skubic & DeBièvre [197], DeBièvre [198] [199], DaSilva & Williams [200],
among many others. Accreditation bodies have also recognized TMU’s with respect to
establishing uncertainty requirements in medical laboratories accredited to ISO 15189 [201].
Decision rules, measurement uncertainty, risk and probability have been used in many scientific areas for
many years. We can leverage this experience to more effectively meet cGMP requirements… The USP is
using the TAR [Test Accuracy Ratio] decision rule to determine if its Certified Reference Materials are fit-for-
use.” Weitzel [173E]
See also comments from the FDA [173A] and USP [173B] [173C] [173D] [173E] regarding test
accuracy ratios, measurement uncertainty, decision risk, and fitness-for-use toward the end of
Section 7 of this paper.
5
JCGM 106:2012 [43] invokes the term “global” consumer/producer risk when addressing probabilities of
incorrect decisions, prior to obtaining any specific individual measurement result. The terms “program-level” risk
[A96] and “average” risk [56] have also been used in this capacity. By contrast, JCGM 106 uses the term “specific”
risk when addressing probabilities of incorrect decisions associated with a specific measurement result . The terms
“bench-level” [A96] risk, “individual” [56] risk, and “local” [A85A] risk have also been used in discussing this level
of risk. The distinction between global and specific risk is critically important, but is beyond the scope of this paper.
Meanwhile, private industry was publishing their own calibration guidance for medical device
and pharmaceutical manufacturers. These groups were often comprised of individuals and
experts with direct knowledge of metrology and calibration principles. The Association for the
Advancement of Medical Instrumentation (AAMI) published the following in 1998 [73]:
AAMI Quality System Compendium – GMP Requirements & Industry Practice (1998): [73]
2nd edition published in 2007; 3rd edition in 2015.
“Most manufacturers consider the necessary accuracy, precision, and resolution required for the measuring
and test equipment during the establishment of their manufacturing and test procedures. Otherwise, the
manufacturer may discover at a later date that the equipment is not suitable (i.e., not accurate or precise to
provide reliable measurement/test results)…
Generally, measuring equipment is at least four times, preferably ten times, more accurate than specified
tolerances. Traceable standards are typically at least four times, preferably ten times, more accurate than the
particular measuring or test equipment being calibrated.
AAMI chose to cite the ANSI/ASQC M1-1987 standard “Calibration Systems” [74] while also
referencing 4:1 and 10:1 accuracy ratios. Like AAMI, the FDA also made reference to
ANSI/ASQC M1-1996 in a list of “useful standards” under the calibration section (line 1336) of
the bibliography in the revised-draft guidance entitled, “Guidance for Industry: PAT – A
Framework for Innovative Pharmaceutical Manufacturing and Quality Assurance” in 2003.
However, this reference to the ANSI/ASQC M1 Calibration Standard was removed upon final
publication of the PAT Guidance [75]. See Appendix B for treatment of accuracy ratios in
ANSI/ASQC M1-1996.
The ISPE GAMP document does not address accuracy ratios directly. However, it does provide
guidance on how measurement uncertainty should be taken into account when making decisions
regarding the in-or-out of tolerance status of calibration results.
The certificate should be checked to determine whether residual errors are within agreed limits. This
assessment should include consideration of the potential influence of measurement uncertainty when trying to
determine pass or fail decisions (see Figure 5.3)... Given the ambiguity and inconsistency this can generate, it
is considered good practice to have a policy on dealing with these various influence conditions.
…the contract should state how the specification limits are selected and how the potential influence of
measurement uncertainty will be treated. (Note: it is usually considered better to select larger tolerances than
the manufacturer’s specification, where the application allows, as compliance with manufacturer’s specification
may be difficult to achieve or demonstrate in the long term.) Measurement uncertainty can lead to the incorrect
or false acceptance and rejection of calibration results.
• False accept occurs when an instrument appears to pass specification limits when it actually fails:
- Declaring an instrument to be within tolerance when it is out of tolerance has the potential for the
instrument’s reading to cause product to be made outside the intended process range.
• False reject occurs when an instrument appears to fail specifications when it actually passes:
- False rejects may have a significant impact on business efficiency. For critical measurements, the calibration
false accept rate should be considered.”
NCSL International RP-6: Calibration Quality Systems for the Healthcare Industries (2015): [77]
(1st edition 1986, 2nd edition 1999, 3rd edition 2008, 4th edition 2015)
Items should be calibrated with measurement systems, standards, and reference materials that have
adequate accuracy, stability, and range to completely verify the performance of the calibrated item within its
specified tolerance limits.
Each organization should establish a program that includes measurement uncertainty, uncertainty ratios,
accuracy ratios, false accepted risks, false rejected risks, or coverage factors to support the adequacy of its
measurement system.
NOTE: Other methods of controlling measurement decision risk, such as guardbanding may also be used”.
4.1. Work with the US FDA on recognition of 17025 (ILAC MRA) accredited calibration laboratories.
4.1.1. This effort aspires to create a guidance document for abbreviated inspection of such laboratories, by
providing greater efficiency for documentation and lab qualification, however, it does not advocate in any way
the mandated use of such laboratories. It is stressed to be promoted as a voluntary guidance document.
4.1.2. If a calibration laboratory was accredited to ISO/IEC 17025 for the applicable calibration discipline by a
mutually recognized accreditation body (AB), and the scope of uncertainty was considered acceptable by the
contracting party to ultimately support its process, the calibration would be considered traceable to national or
international standards under the scope of such accreditation, and the scope of accreditation would then be
considered acceptable documentation of the unbroken chain of traceability to satisfy the requirements stated
in 21 CFR 820.72(1).
4.1.3. As of May, 2013, the 151 awaits formal notification from The US FDA on the ultimate status of this
proposed draft guidance document.”
As stated by McNeely, the NCSL International 151 Healthcare Metrology Committee has
petitioned the FDA to create a new draft guidance document that would allow minimized FDA
assessments of calibration laboratories that are accredited to ISO 17025. This would be
somewhat similar to the course taken by NRC, which now readily accepts calibrations from
accredited laboratories for commercial third party calibrations (see section 6.2). Such an FDA
guidance document may facilitate an abbreviated inspection of calibration laboratories that
voluntarily chose to become accredited. The request by the NCSLI 151 Committee was
submitted to the Dockets Management Branch (HFA-305) of the FDA on October 11, 2011. See
Appendix C. Such activities are consistent with 21 CFR §10.115 [79] governing FDA Good
Guidance Practices and the participation in their development; see Appendix D. As of April
2016, the NCSLI 151 Committee awaits formal notification from the FDA on the status of this
proposed draft guidance document.
Similar advocacy regarding the recognition of national and international calibration standards
was previously submitted to the FDA in 1998 by James [80] in Docket No. 97N-0477.
“All calibration systems that assure the integrity of medical measurements should employ methods similar to
those set forth in national and international standards such as IS0 GUIDE 25, ANSI/NCSL Z540-1, NASA
5300.4, or U.S. DOD MIL-STD-45662A. These standards require periodic intervals and methods be
established to maintain acceptable accuracy and measurement reliability. Measurement reliability [End of
Period Reliability or EOPR] is defined as: the probability that the equipment under test and the measurement
standard will remain in-tolerance throughout the established interval. This kind of system is designed to be
both effective and efficient at addressing the needs of uncertainty growth.”
GHTF.SG3.N99-8 Quality Systems For The Design And Manufacture Of Medical Devices (1999): [81]
Published (1999) – Archived June 21, 2005.
Note: The GTHF participated in ISO/TR 14969:2004(E), which effectively replaced the GHTF guidance here.
The requirements of this clause in ISO 9001 spell out in considerable detail what is to be implemented.
Although the requirements pertain explicitly to inspection, measuring and test equipment, it is helpful to
approach the subject from the perspective that measuring is itself a process involving raw materials,
equipment and procedures. The requirements of ISO 9001 explicitly involve elements of the measurement
process; elements whose collective purpose is to choose suitable measurements, suitable measuring
equipment, and suitable measurement procedures. These elements are specified to provide confidence in the
ability of the supplier's measuring systems to control adequately the production and inspection of the product.
For both product- and process-measurement systems, statistical methods are valuable tools for achieving and
demonstrating fulfilment of requirements. In particular, statistical methods are the preferred tools in fulfilling
the requirement that ‘Inspection, measuring and test equipment shall be used in a manner which ensures that
the measurement uncertainty is known and is consistent with the required measurement capability’.
The requirements of this clause also should be applied by the supplier insofar as ‘demonstrating the
conformance of product to the specified requirements’ contractually involves measurements subsequent to
production and inspection of a product (e.g. during subsequent handling, storage, packaging, delivery or
servicing) as may be required under other clauses of ISO 9001.
Many entities regulated by the FDA voluntarily choose to be certified to ISO 13485:2016 [82] by
a registrar. The International Accreditation Forum (IAF) has published an overview of recent
enhancements to this certification process [82A]. Registration/certification to ISO 13485 is not
specifically required by the FDA. However, a new Medical Device Single Audit Program
(MDSAP) is currently in the final stages of a pilot program. Under this pilot program, FDA
regulated entities can voluntarily choose to be audited, not by the FDA, but by a 3rd party
auditing organization. Auditing organizations must be approved by the International Medical
Device Regulators Forum (IMDRF), of which the FDA is a member of, and which evolved out
of the previous GHTF. The MDSAP will take the place of routine FDA audits and will use ISO
13485 as its primary requirements document. The calibration requirements for control of
monitoring and measuring devices in ISO 13485:2003 are given below. Note that no mention of
test accuracy ratios, uncertainty, or measurement decision risk is provided.
The organization shall determine the monitoring and measurement to be undertaken and the monitoring and
measuring devices needed to provide evidence of conformity of product to determined requirements (see
7.2.1).
The organization shall establish documented procedures to ensure that monitoring and measurement can be
carried out and are carried out in a manner that is consistent with the monitoring and measurement
requirements.
In addition, the organization shall assess and record the validity of the previous measuring results when the
equipment is found not to conform to requirements. The organization shall take appropriate action on the
equipment and any product affected. Records of the results of calibration and verification shall be maintained
(see 4.2.4).
When used in the monitoring and measurement of specified requirements, the ability of computer software to
satisfy the intended application shall be confirmed. This shall be undertaken prior to initial use and
reconfirmed as necessary.
NOTE See ISO 10012 for guidance related to measurement management systems.”
As stated, the IMDRF’s Medical Device Single Audit Program will use ISO 13485 as the core
framework for auditing purposes. The IMDRF recently published an MDSAP Companion
Document [83], which contains guidance on auditing calibration requirements, to be used by
approved auditing organizations. Although the concepts of test accuracy ratio and measurement
decision risk are not directly discussed in the guidance, the primary requirement is the ubiquitous
clause, “…suitable for its intended use, and capable of giving valid results.” The IMDRF
guidance is provided below.
“13. Confirm that the organization has determined the monitoring and measuring devices needed to provide
evidence of conformity to specified requirements. Verify that the monitoring and measuring equipment used in
production and service control has been identified, adjusted, calibrated and maintained, and capable of
producing valid results.
Clause and regulation: [ISO 13485:2003: 7.5.1.1, 7.6; TG(MD)R Sch3 P1 1.4(5)(e); RDC ANVISA 16/2013:
5.1.5, 5.4; 21 CFR 820.70(g), 820.72]
Additional country-specific requirements: None
Assessing conformity:
Maintenance and calibration
While reviewing the selected production process, make note of significant pieces of process equipment and
significant pieces of measuring or test equipment. Consider selecting process and test equipment that, if not
properly controlled, could cause devices to not meet specified requirements; or produce inaccurate results that
could lead to unrecognized nonconformities. Confirm that the production and test equipment selected for
review is suitable for its intended purpose and capable of giving valid results.
Review the maintenance, control, and calibration procedures (and records) for the equipment selected for
review. The initial frequency with which measuring and test equipment is calibrated and maintained is usually
based on the equipment manufacturer’s recommendations. As the organization gains experience with the
piece of equipment, the frequency of calibration and maintenance may be adjusted, based on a documented
rationale.
Accuracy and precision
When accuracy and precision is a factor in the validity of the result of the measuring equipment, the required
accuracy and precision should be defined during the planning of product realization to ensure the equipment is
suitable and capable of providing valid results
Reviewing records
If production equipment or test equipment is found to be outside of its maintenance or calibration
requirements, verify that the organization made an assessment of the effect of the out-of-tolerance situation on
in-process, finished, or released devices, based on risk. Equipment adjustment, calibration, and maintenance
procedures and records may provide insight into nonconformities. Review these procedures and records to
determine whether inadequate procedures or the organization’s failure to comply with adequate procedures
contributed to the nonconformity. For example, determine whether the lack of specified equipment adjustment
or maintenance contributed to the production of nonconforming product.”
Much like the FDA’s database on recognized consensus standards [84] [85] [86] , ISO 17025 is
not currently listed as a “recognized standard” by the IMDRF N15 document, “Final Report: List
of International Standards Recognized by IMDRF Management Committee Members as of
March 2014” [87] [88].
As previously stated, the older 1999 GHTF SG3.N99-8 guidance document was archived in 2005
and has been essentially replaced by ISO/TR 14969:2004 [89]. While again not mentioning test
accuracy ratios or measurement decision risk, the ISO Technical Report 14969 does indicate
that, “Statistical methods are important in showing which monitoring and measuring devices are
used in a manner which ensures that the measurement uncertainty is known and is consistent
with the required measurement capability.”
“7.6.1 The requirements refer explicitly to monitoring and measuring devices, including test software. It is
helpful to approach the subject of control of monitoring and measuring devices from the perspective that
measuring is itself a process involving materials, equipment and procedures. The intent of the requirements is
to give the organization confidence in the monitoring and measuring devices that it uses to ensure that product
meets customer and regulatory requirements.
Statistical methods are important in showing which monitoring and measuring devices are used in a manner
which ensures that the measurement uncertainty is known and is consistent with the required measurement
capability.
The requirements of this subclause are also applied by the organization when demonstrating the conformity of
product to the specified requirements. This can involve measurements subsequent to production and
inspection of product (e.g. during handling, storage, packaging, preservation, delivery or servicing).
Documented procedures should include details of equipment type, unique identification, location, frequency of
checks, check method and acceptance criteria…
NOTE Additional information regarding the management of monitoring and measuring equipment is available in
ISO 10012.”
The calibration requirements in ISO 13485 may not be sufficiently prescriptive to adequately
minimize or control incorrect decisions due to measurement uncertainty or to provide guidance
on instrument suitability. In the healthcare industry, falsely accepting a measuring device during
calibration (i.e., declaring it as In-Tolerance, when it is actually Out-of-Tolerance, due to
measurement uncertainty) can have serious consequences. Accuracy is of paramount importance
for many instruments, not just those used during calibration and for the manufacture of medical
devices, but for the actual devices themselves. Grim [90] published the following conclusions in
2002 regarding measurement error and uncertainty in blood pressure measuring instruments:
Grim, Summary Report – NHBPEP / NHLBI / AHA National Institutes of Health (2002): [90]
“Unless blood pressure (BP) is measured accurately, the proven benefits of diagnosing and treating an
unhealthy blood pressure will not be transferred to the population. …errors as small as 2-5 mmHg can have
astounding costs to the individual patient, to the health care system, to a research project, for government
planning and for society.
…an error of ‘only’ -5 mmHg at the 90-95 mmHg range will miss the 21 million US hypertensives in the US in
this range (42 % of all with HTN). Over the next 6 years, these 21 million untreated HTN will experience
125,000 CAD [coronary artery disease] deaths of which at least 20 % would have been prevented by
treatment. About the same number of fatal strokes would have also been prevented. Thus a -5 mmHg error
will cause about 50,000 preventable deaths not to mention preventing perhaps twice this many non-fatal CAD
and CVAs [cerebrovascular accident]. Aneroid devices out of calibration most often read too low.
Measuring BP falsely high increases costs by treating those who do not truly have high BP. Thus an error of
+5 mmHg would move 27 million people from 85-89 [mmHg] into the high BP range. As the estimated cost of
treating one person for high BP is $1000/yr, this will cost $27 billion/yr to treat a ‘non-disease’. Even a 2
mmHg error will misclassify about 6 million persons into the 90–95 range. Current standards permit devices ±3
mm of the mercury standard. This seems too lenient.”
The preceding review of the standards and guidelines employed by the healthcare industry to
maintain and calibrate equipment may appear rather stringent. However, a recent article by
Simpson [95] entitled, “FDA Standards on Calibrating Lab Equipment Are Not So Tough”
highlights the basic FDA calibration requirements found in 21 CFR §820.72. These
requirements have remained largely unchanged since the 1978 version of 21 CFR §820.61
which, as stated previously, were based to some degree on calibration requirements from MIL-C-
45662 published in 1960. One significant change did occur when the GMP’s were revised in
1997; a requirement was added to investigate product impact or “adverse effects” resulting from
out-of-tolerance instruments (see Table 2). This same impact assessment requirement had also
been added to MIL-STD-45662 in 1980, along with the addition of the 4:1 TAR requirement in
MIL-STD-45662A in 1988. However, the revised 1997 GMP’s in 21 CFR §820.72 contained no
accuracy or uncertainty ratio requirement. The basic FDA calibration requirements in 21 CFR
§820.72 are similar to those found in ISO 9001 and ISO 13485. They are not as prescriptive as
the modern requirements found in ISO 17025 or Z540.3 which many industries, both regulated
and unregulated, have adopted or employ as guidance documents. Refer to Table 1 for a
historical context of calibration documents and requirements and guidelines that have evolved
over several decades to prescribe technical requirements for many critical calibration programs.
An article in 2010 by Schmitt [102] provides an interview with Trautman – at the time, the FDA
Associate Director of International Affairs and author of the 1997 (current) 21 CFR 820 Quality
System Regulation. This article deals directly with FDA calibration expectations, particularly
those required of 3rd party calibration laboratories (outsourced “test houses”). Since little exists
in the public domain regarding official FDA guidance on calibration, the article by Schmitt
becomes highly relevant. Owing to this, the article is reproduced in its entirety, with the author’s
permission, in Appendix E of this paper. Inherent to the theme of the article is that the FDA
calibration requirements are very stringent – so stringent, that care is advised when selecting
outsourced third-party calibration vendors, because they may not meet rigorous FDA
requirements. Cautions are given in the article that such calibration laboratories often service
other “unregulated” industries – the apparent implication being that some of these other
industries may not have such strict calibration requirements.
Historical NASA calibration and metrology documents are provided in Table 1. NASA’s current
policy directive on metrology and calibration [103] states that:
Many of the DoE calibration laboratories have themselves, attained accreditation. In 1998, Pettit
[109] published the following account:
“Accreditation can offer many benefits to a testing or calibration laboratory, including increased marketability of
services, reduced number of outside assessments, and improved quality of services. Compared to IS0 9000
registration, the accreditation process includes a review of the entire quality system, but in addition a review of
testing or calibration procedures by a technical expert and participation in proficiency testing in the areas of
accreditation.
Within the DOE, several facilities have recently become accredited in the area of calibration, including Sandia
National Laboratories, Oak Ridge, AlliedSignal FM&T; Lockheed Martin Idaho Tech. Co., and Pacific
Northwest National Lab.
Recently, representatives from these and other DOE facilities throughout the U.S. formed a DOE Accreditation
Committee under the sponsorship of the DOE Technical Standards Program. This committee will hold its first
open meeting on September 23-24, 1998 at the National Institute of Standards and Technology in
Gaithersburg, MD with the Goal of developing procedures for sharing and coordinating information within DOE
on accreditation issues.”
“Measures shall be established to assure that tools, gages, instruments, and other measuring and testing
devices used in activities affecting quality are properly controlled, calibrated, and adjusted at specified periods
to maintain accuracy within necessary limits.”
For many years the NRC’s calibration requirements, specified by this “Basic Requirement 12” in
Appendix B of 10 CFR §50, were augmented by NQA-1 supplementary requirements [110]
[111].
ANSI/ASME NQA-1 Supplement 12 S-1, Supplementary Requirements for Control of Measuring and Test
Equipment (1986): [110], [111]
1. General: This Supplement provides amplified requirements for control of measuring and test
equipment. It supplements the requirements of Basic Requirement 12 of this Standard and shall be
used in conjunction with that Basic Requirement when and to the extent specified by the organization
invoking this Standard.
2. Selection: Selection of Measuring and Test Equipment shall be controlled to assure that such items
are of proper type, range, accuracy, and tolerance to accomplish the function of determining
conformance to specified requirements.
3.2 Control: The method and interval of calibration for each item shall be defined, based on the
type of equipment stability characteristics, required accuracy, intended use, and other
conditions affecting measurement control. When measuring and test equipment is found to
be out of calibration, an evaluation shall be made and documented of the validity of previously
inspected or tested. Out-of-calibration devices shall be tagged or segregated and not used
until they have been recalibrated. If any measuring or test equipment is consistently found to
be out of calibration, it shall be repaired or replaced. A calibration shall be performed when
the accuracy of the equipment is suspect.
3.3 Commercial Devices: Calibration and control measures may not be required for rulers, tape
measures, levels, and other such devices, if normal commercial equipment provides adequate
accuracy.
4. Handling and Storage: Measuring and test equipment shall be properly handled and stored to
maintain accuracy.
5. Records: Records shall be maintained and equipment shall be suitably marked to indicate calibration
status.
“General Guidance:
The regulatory basis for control of M&TE is found in 10 CFR 50, Appendix B, Criterion XII. The method by
which the licensee will comply with this requirement is normally described in Chapter 17 of the FSAR [Final
Safety Analysis Report].
IEEE 498-1980, ‘IEEE Standard Requirements for the Calibration and Control of Measuring and Test
Equipment Used in Nuclear Facilities’ provides guidance for establishing a program for the control and
verification of the accuracy of M&TE.
Even though a regulatory guide does not currently exist to endorse IEEE Standard 498, this inspection
procedure was written using the guidelines of IEEE Standard 498 because the majority of the guidance is
generic in nature.”
IEEE STD 498 was withdrawn in July of 1995. See Appendix B for the requirements of IEEE
STD 498, as they related to test uncertainty ratio to mitigate incorrect calibration decisions, and
how these requirements evolved over two decades.
For a number of years, the nuclear industry has also relied on the Nuclear Procurement Issues
Committee (NUPIC) Document No. 28 and No. 29 for the procurement of 3rd party supplier
“commercial-grade” calibrations. Document No. 28 is the Commercial Grade Calibration
Service Checklist [117] and Document No. 29 is the Commercial Grade Calibration Services
Checklist Implementation Guidelines [118].
An endeavor of the NRC to use and accept commercial calibrations from laboratories accredited
to ISO 17025, in lieu of surveys/audits, was documented in NISTIR 6989 in 2003 [119]. The
abstract of this report is provided here.
“Representatives of the Nuclear Utilities Industry and the laboratory accreditation community met to discuss
Nuclear Regulatory Commission (NRC) recognition of the use of accredited commercial calibration
laboratories as suppliers of commercial grade calibration services to the regulated utilities.
The purpose of the meeting was to map out a strategy for approaching the NRC concerning the issue of
calibration laboratory accreditation and the National Cooperation for Laboratory Accreditation (NACLA).
The intent is to gain NRC endorsement of laboratory accreditation based on ISO/IEC 17025 as a means to
qualify calibration service suppliers for nuclear work. In support of this effort, a comparison between the
requirements of ISO/IEC 17025: General requirements for the competence of testing and calibration
laboratories and the audit requirements of the Nuclear Utilities Procurement Issues Committee (NUPIC)
Commercial Grade Survey Checklist for Calibration Services was prepared.”
NRC – Bellefonte (BLN) Nuclear Generating Station – Combined License (COL) – Final Safety Analysis
Report (FSAR) – Chapter 17, Quality Assurance, Section 17.5.4.7 (2009): [120]
…As discussed in the QAPD, the applicant also remains responsible for ensuring that the items or services
are suitable for the intended application and for documenting the evaluation that supports this conclusion...
• SRP Section 17.5 paragraph II.L.8 establishes provisions for the procurement of commercial-grade
calibration services for safety-related applications. As an exception to these provisions, the QAPD proposes
that procurement source evaluations and selection measures not be required, provided that all of the following
conditions are met…
-Purchase documents require reporting as-found calibration data when calibrated items are found to
be out of tolerance.
-A documented review of the supplier’s accreditation will be performed and will include a verification of
the following:
•The calibration laboratory holds a domestic accreditation by any one of the following accrediting bodies,
which are recognized by the International Laboratory Accreditation Cooperation (ILAC) Mutual Recognition
Arrangement (MRA):
-NVLAP administered by NIST
-American Association for Laboratory Accreditation (A2LA),
-ACLASS Accreditation Services (ACLASS),
-International Accreditation Service (IAS),
-Laboratory Accreditation Bureau (L-A-B).
•The accreditation encompasses ANS/ISO/IEC 17025, ‘General Requirements for the Competence of Testing
and Calibration Laboratories.’
•The published scope of accreditation for the calibration laboratory covers the necessary measurement
parameters, ranges, and uncertainties.
NRC staff evaluated and found to be acceptable the NVLAP and A2LA accreditation programs
(Ref. 17.5-6). The staff subsequently determined that the accreditation programs of ACLASS,
L-A-B, and IAS are also recognized by the ILAC MRA and are therefore acceptable (Ref. 7, 8,
and 9).
In addition to acceptance of NVLAP and A2LA accredited calibrations, the NRC has authored
letters addressed to IAS [121], L-A-B [122], ACLASS/ANAB [123], and PJLA [124], attesting
to the acceptance of calibrations from laboratories accredited by these AB’s, which are all
signatories to the ILAC MRA or Mutual Recognition Arrangement [125] [126] [127] [128].
Reports in 2010 had conveyed some confusion on behalf of calibration suppliers as to the NRC’s
requirements [129]. However, the most recent status of the NRC’s program of accepting
accredited commercial calibrations is found in the March 2015 version of the Nuclear Energy
Institute’s NEI 14-05A, “Guidelines for the Use of Accreditation in Lieu of Commercial Grade
Surveys for Procurement of Laboratory Calibration and Test Services [130]”. A chronology of
some historical standards and guidelines, prescribing the DOE & NRC requirements for the
calibration and control of measuring and test equipment throughout history, is given in Table 3.
Army: AR 750-43: Army Test, Measurement, & Diagnostic Equipment (2014): [132]
b. All contracts with a commercial laboratory for calibration services will specify that the commercial laboratory
adhere to International Organization for Standards (ISO)/IEC 17025:2005 (or later) for all measurement
parameters required for the calibration. Commercial calibration laboratories that are accredited to ISO/IEC
17025 and recognized as such by the International Laboratory Accreditation Cooperation, are not subject to
paragraph 6–17 of this regulation. Nonaccredited commercial laboratories will adhere to paragraph 6–17.”
Navy: NACLA Navy Partnership – Naval Surface Warfare Center, Corona Division: [133] [134]
“…the Measurement Science Department of the Naval Surface Warfare Center, Corona Division, is requesting
that NACLA investigate the establishment of a NACLA Recognition Program that would provide a conformity
assessment process for assessment bodies (including but not limited to Accreditation Bodies) that wish to
assess organizations to the requirements of ANSI/NCSL Z540.3 – 2006, Requirements for the Calibration of
Measuring and Test Equipment. (Referred herein as the National Standard).
This National Standard has great potential in reducing “risk” associated with calibration measurement values
in the many calibration systems Suppliers employ in producing their end product. The benefits associated with
reducing risk are many and varied, depending on the industry… Examples of Industries that will benefit from
implementing Z540.3 include, but are not limited to:
• Packaging
• Machining
• Transportation
• Healthcare
• Energy
• Manufacturing
• Chemistry
The goal is to establish a process that will promote uniformity in assessment to the supplemental requirements
of sub-clause 5.3.
ISO TS 16949: Quality Management Systems — Particular Requirements for the Application of ISO
9001:2008 for Automotive Production and Relevant Service Part Organizations (2009): [141]
“7.6.2 Calibration/verification records
Records of the calibration/verification activity for all gauges, measuring and test equipment, needed to provide
evidence of conformity of product to determined requirements, including employee- and customer-owned
equipment, shall include
equipment identification, including the measurement standard against which the equipment is
calibrated,
revisions following engineering changes,
any out-of-specification readings as received for calibration/verification,
an assessment of the impact of out-of-specification condition,
statements of conformity to specification after calibration/verification, and notification to the customer if
suspect product or material has been shipped.
7.6.3.1 Internal laboratory…
NOTE Accreditation to ISO/IEC 17025 may be used to demonstrate the organization's in-house laboratory
conformity to this requirement but is not mandatory.
7.6.3.2 External laboratory
External/commercial/independent laboratory facilities used for inspection, test or calibration services
by the organization shall have a defined laboratory scope that includes the capability to perform the required
inspection, test or calibration, and either
there shall be evidence that the external laboratory is acceptable to the customer, or
the laboratory shall be accredited to ISO/IEC 17025 or national equivalent.
NOTE 1 Such evidence may be demonstrated by customer assessment, for example, or by customer-
approved second party assessment that the laboratory meets the intent of ISO/IEC 17025 or national
equivalent.
NOTE 2 When a qualified laboratory is not available for a given piece of equipment, calibration services may
be performed by the equipment manufacturer. In such cases, the organization should ensure that the
requirements listed in 7.6.3.1 have been met.”
Similar accreditation requirements also existed in section 4.11.2.b.1 of QS-9000 in 1998 [141A].
FAA calibration requirements for test and inspection equipment and tools are codified in 14 CFR
§145.109 [11]. The FAA requires the following:
“(a) Except as otherwise prescribed by the FAA, a certificated repair station must have the equipment, tools,
and materials necessary to perform the maintenance, preventive maintenance, or alterations under its repair
station certificate and operations specifications in accordance with part 43. The equipment, tools, and material
must be located on the premises and under the repair station's control when the work is being done.
(b) A certificated repair station must ensure all test and inspection equipment and tools used to make
airworthiness determinations on articles are calibrated to a standard acceptable to the FAA…”
FAA Order 8900.1, Vol 6, Chap 9 Part 145 Policy; Flight Standards Information System – FSIMS (2014): [142]
a) The repair station is calibrating MTE [Measuring & Test Equipment] per intervals, procedures, and the
system described in the RSM [Repair Station Manual] or QCM [Quality Control Manual].
b) All MTE are calibrated and traceable to a standard acceptable to the Federal Aviation Administration
(FAA), to include those recommended by the manufacturer, and the National Institute of Standards and
Technology (NIST) or other national authority.
NOTE: The part 145 rule states that tooling used to make airworthiness determinations must be calibrated to
a standard acceptable to the FAA.
Those standards may be derived from the NIST, to a standard provided by the equipment manufacturer, or
other recognized standards. The International Bureau of Weights and Measures (BIPM) is a recognized
authority that maintains a global list of National Metrology Institutes (NMI). The BIPM Web site lists the NMI
signatory countries that participate in the International Committee for Weights and Measures (CIPM). The
CIPM Mutual Recognition Arrangement (MRA) signatories are acceptable to the FAA and can be found at
http://www.bipm.org.
There are many accreditation bodies that provide third-party laboratory accreditation. The International
Laboratory Accreditation Cooperation (ILAC) establishes a global network for accreditation of laboratory and
testing facilities. Signatories to the ILAC MRA are in full conformance with the standards of International
Organization for Standardization (ISO)/International Electrotechnical Commission (IEC) 17011. ILAC MRA
signatories are acceptable to the FAA and can be found at http://ww.ilac.org.
Accredited laboratories have already established traceability through the assessment and accreditation
process under ISO/IEC 17025. No further documentation is required once traceability is confirmed to a
recognized accredited laboratory. Additionally, for foreign equipment, the standard of the country of
manufacture may be used if acceptable to the Administrator.”
FAA Order 6200.4G – National Test Equipment Program Management (2010): [143]
FAA Performance Work Statement – Mike Monroney Aeronautical Center – FAA Logistic Center (2008): [144]
FAA Test, Measurement & Diagnostic Equipment Calibration Services.
3. PURPOSE
“1.1.1 The calibration service is the key to ensuring documented accreditation and certification for all
government owned TMDE [Test Measurement & Diagnostic Equipment], and provides the government a
certification of calibration attesting each item performs within specified standards of tolerance. It is not possible
to separate GTMDE used for critical systems from GTMDE used for advisory systems, or to determine any
FAA site as more critical than another to the safe operation of the NAS [National Air Space System]. All
TMDE therefore requires certification to enable certification of critical FAA operating systems. This function is
determined as essential to the safety of human life… It is the FAA’s intent to enter into a performance based,
firm fixed price agreement for the services required. Offerors must develop and provide cost effective
solutions, with the opportunity to propose innovative alternatives that meet the below objectives:
Provide calibration and certification of calibration attesting each individual item of TMDE
performs within specified standards of tolerance.
Ensure calibration accreditation can be tracked for each piece of TMDE used to achieve
certification of critical NAS operating systems.
Ensure Calibrations are performed on time in accordance with calibration due dates.
Ensure Calibration services meet quality standards comparable to or better than best
commercial, industry practices…
Calibration Documentation, Compliance, and Accreditation Report Review: FAA shall perform random
audits/reviews of:
The Contractors’ ISO 9001 Surveillance Reports including the nonconformance reports. If applicable, the FAA
may review the Contractor’s ISO/IEC 17025 accreditation report and associated documentation.
6.3.3 WORKING STANDARDS ACCURACY
6.3.3.1 All Working Standards utilized by the Contractor in the calibration process shall be more accurate than
the TMDE being calibrated. Accuracy ratios (Working Standards to TMDE being calibrated) shall be
maintained at 4:1 as a minimum except in rare cases where the Contracting Officer’s Technical
Representative (COTR) approves less than a 4:1 ratio”.
(2) Consultation; participation.--In carrying out paragraph (1) of this subsection, Federal agencies and
departments shall consult with voluntary, private sector, consensus standards bodies and shall, when such
participation is in the public interest and is compatible with agency and departmental missions, authorities,
priorities, and budget resources, participate with such bodies in the development of technical standards.
(3) Exception.--If compliance with paragraph (1) of this subsection is inconsistent with applicable law or
otherwise impractical, a Federal agency or department may elect to use technical standards that are not
developed or adopted by voluntary consensus standards bodies if the head of each such agency or
department transmits to the Office of Management and Budget an explanation of the reasons for using
such standards. Each year, beginning with fiscal year 1997, the Office of Management and Budget shall
transmit to Congress and its committees a report summarizing all explanations received in the preceding
year under this paragraph.
(4) Definition of technical standards.--As used in this subsection, the term ’technical standards’ means
performance-based or design-specific technical specifications and related management systems practices”
The NTTAA was based on the White House Office of Management and Budget’s OMB Circular A-
119, which governs the use of voluntary consensus standards by federal agencies. The 1998 revision
of Circular A-119 [148] stated:
(1) encourage federal agencies to benefit from the expertise of the private sector,
(2) promote federal agency participation in such bodies to ensure creation of standards that are useable by
federal agencies,
(3) reduce reliance on government-unique standards where an existing voluntary standard would suffice.
…the policy of the federal government, in its procurement and regulatory activities, is to:
(1) rely on voluntary standards, both domestic and international, whenever feasible and consistent with law
and regulation,
(2) participate in voluntary standards bodies when such participation is in the public interest and is compatible
with agencies' missions, authorities, priorities, and budget resources,
(3) coordinate agency participation in voluntary standards bodies so that . . . the most effective use is made of
agency resources . . . and that the views expressed by such representatives are in the public interest and do
not conflict with the interests and established views of the agencies."
“…this Circular directs agencies to use standards developed or adopted by voluntary consensus standards
bodies rather than government-unique standards, except where inconsistent with applicable law or otherwise
impractical.
This Circular… describes procedures for satisfying the reporting requirements of the NTTAA. The policies in
this Circular are intended to minimize the reliance by agencies on government-unique standards. The Circular
also provides policy guidance to agencies on the use of conformity assessment in procurement, regulatory,
and program activities. This Circular replaces Office of Management and Budget (OMB) Circular No. A-119,
dated February 10, 1998. Many voluntary consensus standards are appropriate or adaptable for the Federal
government's purposes…
Conformity assessment includes sampling and testing, inspection, supplier’s declaration of conformity,
certification, and management system assessment and registration. Conformity assessment also includes
accreditation of the competence of those activities.
This Circular applies to all agencies and agency representatives who use standards or conformity
assessment and/or participate in the development of standards. “Agency” means any… establishment of the
Federal government. It also includes any regulatory commission or board…
Consistent with Section 12 (d)(1) of the NTTAA, all Federal agencies must use voluntary consensus standards
in lieu of government-unique standards in their procurement and regulatory activities, except where
inconsistent with law or otherwise impractical. In these circumstances, your agency must submit a report
describing the reason(s) for its use of government-unique standards in lieu of voluntary consensus standards
as explained in Sections 9-11.
In evaluating whether to use a standard… an agency should consider the following factors…(f) the ongoing
use of the standard by other agencies for the same or a similar requirement, the use of which in a particular
instance would increase consistency across the Federal government… (h) the prevalence of the use of the
standard in the national and international marketplaces…
As a general matter, standards being considered for use in regulation that specify nomenclature, basic
reference units, or methods of measurement or testing, and that are primarily empirical in their formulation, will
ordinarily warrant less scrutiny by an agency than standards that embody factors that are less objective…
In addition, the United States is obligated under the TBT [Technical Barriers to Trade] Agreement to use
relevant international standards, except where such standards would be an ineffective or inappropriate means
to fulfill the legitimate objective pursued. In particular, the TBT Agreement, Article 2.4, provides that: ‘Where
technical regulations are required and relevant international standards exist or their completion is imminent,
[WTO] Members shall use them, or the relevant parts of them, as a basis for their technical regulations…’
…agencies should consider using voluntary consensus standards, as described in this Circular, to achieve
their regulatory, procurement, and program needs, including for test methods, sampling procedures, and
protocols, if applicable. It may be appropriate for the agency to allow the use of multiple standards in order,
for example, to permit greater flexibility…
…agencies should recognize the possible contribution of private sector conformity assessment activities.
When properly conducted, conformity assessments conducted by private sector conformity assessment
bodies can increase productivity and efficiency in government and industry, expand opportunities for
international trade, conserve resources, improve health and safety, and protect the environment.
Working closely with NIST and OMB, agencies are encouraged to identify their conformity assessment needs
in such areas as regulatory compliance and…to assess whether the use of private sector conformity
assessment mechanisms in lieu of or in conjunction with government conformity assessment procedures
would be beneficial…”
2016 NCSL International Workshop & Symposium
Prior to the 2016 revision of Circular A-119, the Office of Management and Budget stated that:
U.S. Office of Management and Budget (OMB) (2014): [150]
“For two decades, it has been the policy of the United States Government to support the development and use
of efficient and effective standards and conformity assessment approaches that, when adopted by Federal
agencies, can address important regulatory, procurement, and policy objectives, such as increasing the net
benefits of Federal regulation. Promoting and using high-quality standards and standardization systems in turn
supports the broader goals of enhancing economic growth, innovation, and competition and of facilitating
international trade by avoiding the creation of unnecessary obstacles to trade.”
Encouragement of federal agencies to utilize voluntary consensus standards has been evident for nearly
30 years. The Administrative Council of the United States (ACUS) is an independent agency charged
with providing recommendations for improving federal agency procedures. In 1978, ACUS stated:
ACUS Recommendation 78-4 (1978): [151]
“Federal Agency Interaction with Private Standard-Setting Organizations in Health & Safety Regulation
(a ) Many federal agencies have authority to issue mandatory health or safety regulations relating to products,
materials, processes, practices or services that may be the subjects of voluntary standards prepared by
non-governmental organizations. Non-governmental standards, though not legally enforceable, have in
fact gained wide acceptance and a high degree of observance… Standards developed by private
organizations… or under the Department of Commerce voluntary standards program, are frequently
referred to as "voluntary consensus standards," and are the subject of this recommendation…
(c) Members of technical committees that develop voluntary consensus standards often have a wealth of
technical knowledge and expertise that agency staffs do not possess…
(f) The recommendation that follows is limited to agency interaction with standards-developing organizations
and use of voluntary consensus standards in the context of regulation of health or safety. The
recommendation may nevertheless be significant in relation to setting standards for other purposes: For
example, in conservation of energy and resources, environmental issues, and formulation of test methods
and definitions…
4. Each agency should, as a matter of general policy, regularly review standards or revisions proposed by
technical committees active in the areas of regulatory concern of the agency…
6. Agencies with authority to issue health or safety regulations should consider the use of existing relevant
voluntary consensus standards in developing mandatory standards. Voluntary consensus standards
should be considered with due caution and on a case-by-case basis. Ordinarily, standards which embody
judgmental factors should receive greater scrutiny when being considered by agencies for adoption into
regulations than standards which specify nomenclature, basic reference units, or methods of
measurement or testing, and which are primarily empirical in their formulation.
(7a) If the voluntary consensus standard adequately addresses the questions of health or safety and is being
substantially complied with by the affected industry, the agency may decide to take no further regulatory
steps, or, alternatively, to adopt the standard into its regulations (see paragraph (f) below), and direct its
primary regulatory efforts elsewhere…
(7e) Agencies should consider the "regulatory guide" approach as a means of effectively making use of
voluntary consensus standards. A "regulatory guide" is a formal declaration by the agency that
compliance with designated portions, or all, of a voluntary consensus standard will be considered an
acceptable method of compliance with a general mandatory standard appearing in either the governing
statute or the agency's regulations. When taking this approach, the agency should suitably publicize its
decision and reasons therefor.
(f) The agency may adopt a voluntary standard into its regulations either by placing the text of the standard
in the regulations, or, preferably, by incorporating the standard by reference pursuant to 1 CFR part 51.”
“Incorporation by reference allows agencies to comply with the requirement of publishing rules in the Federal
Register to be codified in the Code of Federal Regulations (CFR) by referring to material published elsewhere.
The practice is first and foremost intended to—and in fact does—substantially reduce the size of the CFR. But
it also furthers important, substantive regulatory policies, enabling agencies to draw on the expertise and
resources of private sector standard developers to serve the public interest. Incorporation by reference allows
agencies to give effect to a strong federal policy, embodied in the National Technology Transfer and
Advancement Act of 1995 and OMB Circular A-119, in favor of agency use of voluntary consensus standards.
This federal policy benefits the public, private industry, and standard developers”.
Examples of federal agencies incorporating ISO 17025 ‘by reference” into the Code of Federal
Regulations are provided below.
“The approval testing and evaluation process must contain a rigorous Quality Assurance and Quality Control
program consisting of a QAPP developed in accordance with ISO/IEC 17025:2005(E), as amended ISO/IEC
17025:2005/Cor.1:2006(E) (incorporated by reference, see § 162.060–5). The independent laboratory
performing approval tests and evaluations is responsible for ensuring the appropriate Quality Assurance and
Quality Control procedures are implemented.”
“(3) Testing will be conducted at a lab accredited to the International Organization for Standardization (ISO) /
International Electrotechnical Commission (IEC), “General requirements for the competence of testing and
calibration laboratories,” ISO/IEC 17025:2005(E) (incorporated by reference; see§ 429.4). If testing cannot be
completed at an independent lab, DOE, at its discretion, may allow enforcement testing at a manufacturer's
lab, so long as the lab is accredited to ISO/IEC 17025:2005(E) and DOE representatives witness the testing.”
Regarding the use of voluntary consensus standards for quality systems in the healthcare industry, the
following was published by the FDA upon the revision of the cGMPs in 1997:
FDA Final Rule cGMP Quality System Regulation Preamble (1997): [157]
“This revision follows the suggestion underlying many comments on specific provisions that FDA generally
harmonize the CGMP requirements and terminology with international standards. ISO 9001:1994, ISO/CD
13485, and EN 46001 employ this terminology to describe the CGMP requirements. In addition, this title
[Quality System Regulation] accurately describes the sum of the requirements, which now include the CGMP
requirements for design, purchasing, and servicing controls. CGMP requirements now cover a full quality
system. FDA notes that the principles embodied in this quality system regulation have been accepted
worldwide as a means of ensuring that acceptable products are produced. While the regulation has been
harmonized with the medical device requirements in Europe, Australia, and Japan, as well as the
requirements proposed by Canada, it is anticipated that other countries will adopt similar requirements in the
near future.
FDA, however, did not adopt ISO 9001:1994 verbatim for two reasons. First, there were complications in
dealing with the issue of copyrights and, second, FDA along with health agencies of other governments does
not believe that for medical devices ISO 9001:1994 alone is sufficient to adequately protect the public health.
Therefore, FDA has worked closely with the GHTF [Global Harmonization Task Force] and TC 210 to develop
a regulation which is consistent with both ISO 9001:1994 and ISO/CD 13485. FDA made several suggestions
to TC 210 on the drafts of the ISO/CD 13485 document in order to minimize differences and move closer to
harmonization. In some cases, FDA has explicitly stated requirements that many experts believe are inherent
in ISO 9001:1994. Through the many years of experience enforcing and evaluating compliance with the
original CGMP regulation, FDA has found that it is necessary to clearly spell out its expectations. This
difference in approach does not represent any fundamentally different requirements that would hinder global
harmonization. In fact, numerous comments expressed their approval and satisfaction with FDA's effort to
harmonize the quality system requirements with those of ISO 9001:1994 and ISO/CD 13485…
FDA supports the international harmonization of standards and regulations governing medical devices and the
eventual mutual recognition of CGMP inspections between major device markets. While full achievement of
this goal is still in the future, the harmonization of quality standards is an important first step. FDA believes in
a step wise approach toward harmonization and eventual mutual recognition”.
The National Institute of Standards and Technology (NIST), is charged with providing an annual
report to the OMB summarizing the various federal agencies participation in the NTTAA. Excerpts
from several of these annual reports are provided here and contain information relevant to FDA, NRC
and other federal agency programs.
"The Department of Health and Human Services HHS reported several activities including:
FDA’s participation in ongoing conformity assessment activities such as the ANSI Accreditation and
International Conformity Assessment, as well as American Society for Testing and Materials (ASTM)
Committee E-36 on Conformity Assessment allows FDA to ensure that its needs are met while utilizing
existing recognition and accreditation criteria.
FDA’s Center for Devices and Radiological Health allows a medical device manufacturer to submit a
Declaration of Conformity to a “recognized standard” as described in ISO/IEC Guide 22 in its standards
recognition program and has developed an MRA with the European Union on mutual recognition of each
other's conformity assessment procedures related to manufacture and marketing of medical devices. This
reduces costs for manufacturers and decreases the time to market for approved products.
The FDA Office of Regulatory Affairs (FDA/ORA) actively participates in the National Cooperation for
Laboratory Accreditation (NACLA), serving as a member of the NACLA Executive Board of Directors and
participating in the NACLA Recognition Committee for Accrediting Bodies who apply for mutual recognition.
This participation may form the basis for the future accreditation [to ISO 17025] of FDA laboratories.
With the idea of enhancing international credibility and recognition, FDA’s Center for Food Safety and Applied
Nutrition (CFSAN) is moving towards ISO [17025] accreditation of its own laboratories that perform regulatory
work…
The Department of Commerce reported that the Nuclear Regulatory Commission (NRC) now accepts
accreditation [to ISO 17025] by qualified laboratory accreditation bodies as an acceptable alternative so a
supplier audit, commercial-grade survey, or in-process surveillance for the qualification of commercial grade
calibration service suppliers. This reduces resource burdens on industry and eliminates costs related to
redundant audits. The Department also reported that:
NIST provides technical support for the Inter-American Accreditation Cooperation (IAAC). Such
arrangements/agreements are designed to harmonize conformity assessment practices and promote the
global acceptance of conformity assessment results from qualified bodies to minimize the need for and cost of
redundant conformity assessment activities.
Federal agencies continue to experience personnel turnover at all organizational levels due to reorganizations,
accelerated or early retirements, and normal attrition. These changes make it difficult for Federal agencies to
retain high-level managers who understand the importance of standards and who visibly support standards-
related activities. Staff turnover has also caused a decrease in “institutional memory” of standards policies,
responsibilities, and practices. To address this issue, NIST recently developed and is now providing training
for Federal employees who are engaged in developing standards and using them in regulation or procurement
actions. NIST is creating a handbook for Standards Executives so that they will have readily available the
information needed to make decisions about the use of standards.
Sustained high-level Federal agency leadership has been identified as the primary driver of successful NTTAA
implementation. Top agency leaders have the ability to direct policy and resources in ways that bring about
other desirable outcomes, such as increased Federal participation and collaboration with the private sector.
Ensuring that agency Standards Executives have the tools at hand to show how standards and the standards
making process contribute to their agency’s mission is a continuing priority”.
“Standards may become part of conformance activities as they may provide an acceptable approach to be in
compliance with applicable laws and regulations. Also, FDA laboratories which conduct official product testing
are, or are in the process of becoming, ISO/IEC 17025 accredited. They have conducted staff training, are in
the process of writing a Laboratory Quality Assurance Manual centrally documenting Center policies and
procedures related to the official testing of regulated biological products, are implementing a quality
management software tool to assist in the effort, under direction of quality assurance managers hired to
coordinate the implementation of an ISO 17025-based quality system”
NISTIR 7503: Eleventh (2007) Annual Report on Federal Agency Use of Voluntary Consensus Standards and
Conformity Assessment – Addendum (2008): [160]
Establishment and use of standards result in benefits to FDA that include: standards that can assist reviewers
with assessment of product applications; international standards that can be used by multiple regulatory
regions, following our legal mandate to facilitate harmonization on an international level; standards that often
result in better utilization of limited internal resources; and direct participation by various stakeholders in
development of standards that results in a consensus among users, manufacturers and government
regulators on safety and effective use of regulated products.
NISTIR 7598: Twelfth (2008) Annual Report on Federal Agency Use of Voluntary Consensus Standards and
Conformity Assessment – Addendum (2009): [161]
“The FD&C Act requires the Center for Devices and Radiological Health to annually publish a list of voluntary
consensus standards ’recognized’ by the Agency for the use of manufacturers and others in meeting the
regulatory requirements of the FDA. The list of recognized Standards and several applicable guidance
documents are available at http://www.fda.gov/cdrh/stdsprog.html.”
As stated in the 12th annual NIST report addendum above, the FDA/CDRH maintains a database of
recognized consensus standards [84] [85]. For example, the list below indicates specific calibration
procedures which are formally recognized by the FDA. However, ISO 17025 and ANSI/NCSL
Z540.3 for calibration programs are not included in the FDA database of recognized standards.
FDA Standard
Standard Designation Specialty Task FR Publication
Recognition Developing Title of Standard
Number and Date Group Date
Number Organization
The FDA/CDRH has published guidance on the use of consensus standards [86]. This guidance states,
“CDRH believes that conformance with recognized consensus standards can support a reasonable
assurance of safety and/or effectiveness for many applicable aspects of medical devices”. Although
ISO 17025 is not currently listed as a recognized consensus standard, the FDA has expressed positive
statements towards laboratory accreditation to ISO 17025. However, this dialogue was directed more
toward testing laboratories, rather than calibration laboratories [162].
FDA Guidance for Industry – Submission of Laboratory Packages by Accredited Laboratories (2009): [162]
“Since the time we issued the proposed rule, significant changes in laboratory accreditation have occurred.
For example, when we drafted the proposed rule, there was a trend towards the use of the International
Organization for Standardization (ISO) standard ISO 17025, "General Requirements for the Competence of
Testing and Calibration Laboratories," but no firm consensus (see 69 FR at 23461). Additionally, when we
drafted the proposed rule, parties disagreed as to the value of laboratory accreditation, and FDA’s own
laboratories were not accredited. Today, there is widespread agreement on ISO 17025, the laboratory industry
favors accreditation, and FDA's own laboratories are accredited. Moreover, the Administration’s Strategic
Framework expressly seeks better ways to ensure compliance with safety standards, while the Action Plan
and the GAO testimony reflect greater support for the use of accredited laboratories. Thus, given these and
other developments and the Action Plan's recommendation to issue guidance, we have decided to issue this
guidance document instead of proceeding with a final rule at this time… Rigorous accreditation standards give
us more confidence that accredited laboratories have the technical capability and trained personnel to perform
the specific methods for which they are accredited.”
As stated above, the FDA’s Office of Regulatory Affairs (ORA) laboratories are accredited to ISO
17025. The quality policy of the ORA laboratories states that, “ORA laboratories are committed to
laboratory accreditation according to the requirements of ISO/IEC 17025” [163].
The FDA has documented the historical precedent leading up to the decision to pursue accreditation,
including legal testimony regarding admissibility of scientific laboratory evidence in litigation [164].
FDA: Allergenic Products Advisory Committee Meeting Background Document: ISO 17025 Accreditation of the
Laboratory of Immunobiochemistry (2011): [164]
“Following these media awareness events, the FDA Senior Science Council recommended in 1998 that FDA
develop quality systems compliant to ISO 17025 (then known as ISO Guide 25) for all official testing activities.
ISO 17025 is also known as “General Requirements for the Competence of Testing and Calibration
Laboratories,” and merges the requirements for technical competence in testing and calibration with
requirements for quality systems. ISO 17025 is the main standard used by testing laboratories and is broken
into two main sections: management and technical requirements…
In response to the Senior Science Council’s recommendations, the Center for Biologics Evaluation and
Review (CBER) evaluated existing gaps in CBER testing and lot release activities, purchased and
implemented quality system software, developed the quality system policy manual, and provided basic ISO
17025 training for select laboratory personnel. To facilitate the goal of ISO 17025 accreditation, CBER created
the Division of Product Quality in 2006, and then decided that official testing be transferred to DPQ, thus
satisfying the goal that the testing would be performed in an accredited laboratory according the standards of
ISO 17025”.
The FDA has also stated, “ISO/IEC 17025 is one of the most important standards for calibration and
testing laboratories… Laboratory customers, regulatory authorities and accreditation bodies may also
use it in confirming or recognizing the competence of laboratories [169A]. ”
FDA: ISO/IEC 17025:2005 Accreditation for State Food Testing Laboratories (2012): [169]
“The intended outcome of this FOA [Funding Opportunity Announcement] is for microbiological and
chemical food analyses performed on behalf of State manufactured food regulatory programs to be
conducted within the scope of an ISO/IEC 17025:2005 accredited laboratory and the goal of achieving a
nationally integrated food safety system to be further advanced. This will be accomplished by preparing
the primary food testing laboratories for State manufactured food regulatory programs to achieve and
maintain ISO/IEC 17025:2005 laboratory accreditation. Currently accredited laboratories will also be
prepared for accreditation enhancements. Increased laboratory analyses from ISO/IEC 17025:2005
accredited labs, as would be accomplished through this cooperative agreement, will in effect serve to
increase the analytical capacity for FDA and enhance efforts to protect the food supply.”
The FDA has also recently issued a Final Rule on the Food Safety and Modernization Act (FSMA)
regarding accredited third party certification [170].
FDA: Accreditation of Third-Party Certification Bodies To Conduct Food Safety Audits and To Issue
Certifications (2015): [170]
“At our own initiative, we are removing the requirement to use a laboratory consistent with section 422 of the
FD&C Act and inserting a requirement in § 1.651(b)(3) to use a laboratory accredited under ISO/IEC
17025:2005 or another laboratory accreditation standard that provides at least a similar level of assurance in
the validity and reliability of sampling methodologies, analytical methodologies, and analytical results.”
Regarding the FSMA, the American Council of Independent Laboratories (ACIL) has stated [171],
“ACIL has advocated for years the FDA establish uniform requirements for private laboratory submission…
…ACIL has consistently and repeatedly urged FDA to adopt and recognize International Standards
Organization (ISO) accreditation [ISO 17025] as the primary basis for qualification of laboratories to submit
analytical data to FDA for any purpose. We are pleased that FSMA addressed these issues and look forward
to working with FDA on their implementation.”
Recognition and use of ISO 17025 by federal agencies, as well as utilization of the associated network
of private sector accreditation and certification bodies, is consistent with ACUS Recommendation
2012-7 [172] (below) and is addressed in an ACUS report by McAllister [173].
“Federal agencies in diverse areas of regulation have developed third-party programs to assess whether
regulated entities are in compliance with regulatory standards and other requirements. Through these
programs, third parties are charged with assessing the safety of imported food, children’s products, medical
devices, cell phones and other telecommunications equipment, and electrical equipment used in workplaces.
In these regulatory third-party programs, regulated entities generally contract with third parties to carry out
product testing, facility inspections, and other regulatory compliance assessment activities in the place of
regulatory agencies. Regulatory agencies take on new roles in coordinating and overseeing these third-party
actors.
In some areas of regulation, Congress has directed federal agencies to develop a third-party program; in
others, regulatory agencies have developed programs under existing statutory authority. Several broad
reasons support the growing use of third-party programs in federal regulation. In many areas, federal
regulatory agencies are faced with assuring the compliance of an increasing number of entities and products
without a corresponding growth in agency resources. Third-party programs may leverage private resources
and expertise in ways that make regulation more effective and less costly. In comparison with other regulatory
approaches, third-party programs may also enable more frequent compliance assessment and more complete
and reliable compliance data. Because agencies can authorize third parties located in other countries to
undertake assessment activities, third-party programs may be particularly effective when regulated products or
processes are international in scope. Regulatory third-party programs raise a host of important questions.
Representing a partial privatization of the public function of implementing and enforcing regulatory law, they
are a form of “public-private governance,” in which private actors play roles that are traditionally viewed as
governmental in nature.
Frequently, regulatory third-party programs use the practices and terminology of an international conformity
assessment framework that has been developed by private-sector standards organizations. “Conformity
assessment” is defined in international standards as the “demonstration that specified requirements relating to
a product, process, system, person, or body are fulfilled.” International standards also set forth how the
organizations that conduct conformity assessment – “conformity assessment bodies,” which are usually
private organizations – should operate.
International standards have been developed for various types of conformity assessment bodies, including
testing bodies, certification bodies, and inspection bodies. Recognizing the assessment of regulatory
compliance as a form of conformity assessment, many federal agencies that have established third-party
programs have relied on conformity assessment standards and bodies. Agencies may require, for example,
that third parties that certify conformity with regulatory requirements operate in accordance with the
international standards for certification bodies. Federal agencies may also require that the third parties be
accredited by accreditation bodies that operate in accordance with international accreditation standards.
Accreditation bodies are established in many countries, and they may be either private or governmental.
Agencies that establish third-party programs generally cannot or do not delegate their regulatory authority to
conformity assessment bodies. Rather, agencies authorize conformity assessment bodies to perform certain
technical tasks to assess conformity, and regulatory agencies rely on these assessments in their own
enforcement of regulatory requirements.
The goal is to leverage expertise and resources in the private sector to serve regulatory objectives. A key
resource for agencies considering a regulatory third-party program is the National Institute of Standards and
Technology (NIST), which has the responsibility under the National Technology Transfer and Advancement
Act of 1995 to coordinate government conformity assessment activities with similar activities of private-sector
entities, with the goal of avoiding unnecessary duplication and complexity. Following Office and Management
and Budget (OMB) Circular A-119, NIST published guidance for federal agencies on conformity assessment
activities in 2000”.
Harris, NIST SP-986. NIST Workshop on Conformity Assessment for a Changing Government (2001): [36A]
“Collaboration
▪ Met with Jim Turner, House Majority Counsel to Committee on Science, Commerce, Technology
July 27, 2001.
- Laboratory accreditation issues; lack of uniformity in acceptance of accreditation by Federal agencies,
effectiveness of NCSLI in representing interests of members
- Possible proposal to OMB [White House Office of Management and Budget]
Suggestions
Government agencies should recognize competence of laboratories accredited to international quality
standards
- Versus additional audits and requirements
- Compare ISO/IEC 17025 and NRC 10 CFR 50, find out if there are gaps, then address the gaps by
17025 updates
- Environmental, chemical, biological
Collaboration among Federal & accredited labs to provide traceable calibration services”.
The recent implementation of the FDA’s Medical Device Single Audit program (MDSAP) pilot
program and the FSMA are exemplary applications of using third party programs to assess regulatory
compliance. Additional benefit could further be realized from formal recognition of ISO 17025
accredited calibration laboratories during FDA audits, to include recognition as part of the MDSAP
program. This would be analogous to the current recognition of such accredited calibration
laboratories by the DOD, DOE, NRC, FAA, the automotive industry, and other federal agencies.
Perhaps the most direct indication of FDA support and recognition of ISO 17025 accredited
calibration laboratories was provided in March 2011 [173A] when addressing comments received in
response to a proposed FDA rule regarding temperature indicating devices for particular food
processing and packaging requirements.
FDA, Response to Comment 11: Docket FDA-2007-N-0265 (2011): [173A]
“One comment expressed concern about… documentation of accuracy of temperature-indicating devices and
reference devices. The comment suggested that the final rule should instead require documentation that
conforms to the standards established by the American National Standards Institute, National Conference of
Standards Laboratories (ANSI/NCSL) or the International Organization for Standardization, International
Electrotechnical Commission (ISO/IEC) for accrediting calibration laboratories. The comment stated that the
laboratory accreditation standards indicate acceptable reporting practices. The comment acknowledged that
the standards may be too prescriptive for food processors who perform their own calibrations.
(Response) We do not agree that the regulation should require the documentation of accuracy of temperature-
indicating devices and reference devices to conform to the standards specified in the comment for accrediting
calibration laboratories. Although FDA supports use of accredited calibration laboratories and recognizes that
the laboratories must maintain certain documentation for the accreditation, the records required by this final
rule are appropriately limited to those necessary to document that the temperature-indicating device was
tested for accuracy at sufficient frequency to ensure accuracy during processing. As acknowledged by the
comment, a requirement for processors to adhere to accreditation standards would impose an unnecessary
burden on those who successfully perform their own calibrations but are not accredited by ANSI/NCSL or
ISO/IEC”.
However, as stated previously, certain branches of the FDA do indeed maintain a list of recognized
consensus standards [84] [85] [86], as does the IMDRF [87] [88]. Both the NTTAA [146] and the
Food and Drug Modernization Act encourage the use of such standards.
Z540 has existed for 22 years (1994 to 2016) with a single revision in 2006 when Z540.3 replaced
Z540.1. Likewise, ISO 17025 has existed for 17 years (1999 to 2016) with a single revision in 2005.
While hundreds of documentary calibration standards exist for individual equipment types (i.e.,
calibration procedures/methods), Z540.3 and ISO 17205 are the two standards for calibration systems.
Revision and/or replacement of these standards has been relatively infrequent for nearly two decades.
Z540.3 addresses how measurement uncertainty and test uncertainty ratio (TUR) can influence false
accept/reject decisions for all calibration and measurement or test processes, resulting in incorrect in-
or-out of tolerance decisions (see also appendices A & B). The U.S. Pharmacopeia (USP) has also
recognized the importance ISO 17025 and of test accuracy (or uncertainty) ratios [173B] [173C]
[173D] [174E], regarding their effect on the risk of making false accept and false reject decisions.
“The impact of an RM uncertainty, unless it is negligible, is that it will alter the likelihood that a quality control
laboratory will make an incorrect administrative decision – passing an item that does not meet its acceptance
criteria (consumer risk) or failing to pass an item that does (producer risk)…
A criterion… can be considered… in terms of the relationship between the expanded uncertainty and the
acceptance criteria… This ratio is sometimes referred to as the test accuracy ratio (TAR) or test uncertainty
ratio... The choice of 4:1 is commonly used and was part of MIL-STD 45662A… …ASME [B89.7.3.1-2001]...
suggests a range of 10:1 to 3:1, and 4:1 and 3:1 have been more commonly used in recent years. Based on
these considerations, a choice of 4:1 seems to be a reasonable default choice and is the TAR used by the
European Pharmacopeia (U. Rose, written communication, June 2007)”.
"A TAR of 4:1 is most commonly used and is USP’s choice” [173C].
Along with historical instrument reliability data (EOPR) [37] [38] [39] [39A] [A96], few aspects of a
calibration program or measurement science are more important than test uncertainty ratio for ensuring
that measuring instruments are “suitable for their intended use and capable of providing valid results”.
2016 NCSL International Workshop & Symposium
8. Summary and Conclusion
The formal origins of modern quality system documentary standards were born in the military and
aerospace industries of the 1950’s, of which, calibration systems were an integral part. Over time,
these military quality standards evolved into ISO 9001 with a multitude of organizations choosing to
become registered. However, specific language prescribing technical competency requirements for
calibration was not included in ISO 9001 (or similar standards such as ISO 13485). When the FDA
introduced equipment calibration requirements into the Good Manufacturing Practices in 1978
(codified in 21 CFR 820.61), the calibration requirements were based to some extent on MIL-C-45662
from 1960; however, no accuracy ratio or uncertainty requirements for decision rules were specified.
The FDA was a member of the NCSL TQM committee and a contributor to Z540.1, which replaced
MIL-STD-45662A; both standards required a 4:1 test accuracy ratio. Since then, standards for
calibration systems have evolved considerably, the latest of which (Z540.3) is a direct descendent of
these earlier standards and focuses on limiting the probability of incorrect acceptance decisions.
Companies registered to ISO 9001 or ISO 13485 are not necessarily required to demonstrate that
measuring equipment has been calibrated in a technically competent manner or that the risks of
erroneously accepting non-conforming instruments have been adequately controlled. Essentially, only
basic documentation requirements for calibrated equipment are required by ISO 9001, ISO 13485, and
21 CFR §820.72. This is contrasted with other federal agencies or regulated industries which employ
ISO 17025 and/or Z540.3 as guidance or requirements documents to ensure technical competence of
calibrations. Thus, there exists a significant disparity in the implementation of voluntary consensus
standards for calibration requirements among federal (or federally-regulated) entities, many of which
are engaged in critical operations which may affect the health and welfare of the general public.
The National Technology Transfer and Advancement Act of 1995 was instituted to encourage federal
agencies to adopt voluntary consensus standards for use in carrying out their responsibilities and
regulatory functions. Federal agencies are required to use such standards in lieu of “government
unique” standards, where such use is consistent with the agencies’ mission and objectives. Adoption
of such voluntary consensus standards harnesses the expertise of the private sector to aid in carrying
out agency objectives. The DOD, NASA, the DOE, the Nuclear Regulatory Commission, the Federal
Aviation Administration, and the automotive industry are examples of federal agencies, or industries
regulated by them, where ISO 17025 and/or Z540.3 have been officially recognized and adopted for
use in demonstrating that equipment has been calibrated in a technically competent manner. Not all
federal agencies have utilized these standards, as guidance documents or otherwise, and some agencies
rely on government unique standards to prescribe equipment calibration requirements.
Many federal agencies formally recognize calibrations which have been performed by a laboratory
accredited to ISO 17025 or Z540.3. Accreditation bodies which are signatories to the ILAC MRA
enjoy a wide degree of acceptance. Global recognition of accreditation bodies is facilitated via peer
review by other MRA signatories to ensure that all members are competent to accredit calibration
laboratories. Laboratory accreditation is a mature system, supported by an infrastructure of ILAC
policy documents on important issues such as metrological traceability, measurement uncertainty,
calibration measurement capability, decision rules, etc. These policies leverage the significant
contributions and expertise of groups such as the Joint Committee on Guides in Metrology (JCGM),
consisting of eight prominent scientific organizations representing diverse areas of chemistry, physics,
legal metrology, clinical chemistry, laboratory medicine, etc. The question could be posed, “If critical
government/regulated industries do not use these standards for guidance, or do not formally recognize
accredited calibration laboratories, then who should?”
2016 NCSL International Workshop & Symposium
1950
MIL-STD-120
1955
1963
Army: AR 750-25
FDA 21 CFR
Government Standards
Air Force: AFR 74-2 & BU-520
§133.4 (GMP)
Navy: SLIM & SecNav 4355.11 No Cal Requirements
Navy: Tech Memo 63-106
(for calibration)
1978
1970 1960
FDA 21 CFR
NATO AQAP-6 MIL-C-45662 §820.61 (GMP)
NATO AQAP-7 MIL-HDBK-52
1997
1973 1976
(for calibration)
Requirements for
Measurement Processes adopted by voluntary consensus
and Measuring Equipment standards bodies…”
Public1978
Law 104-113
ISO Guide 25
ASTM E548 1994
ANSI/NCSL Z540.3-2006
Requirements for the Calibration of
Measuring and Test Equipment
Figure 4. Should federal agencies formally recognize voluntary consensus standards for calibration?
There is a deep and rich history of the development of calibration standards and guidelines which have
found application among regulated and non-regulated industries alike. When consideration is extended
to the implications of the National Technology Transfer Advancement Act, the use of such standards
becomes an attractive method of improving calibration quality while reducing the reliance on
government-unique standards for the prescription of calibration requirements and/or guidance.
Utilizing such consensus standards as guidance documents can mitigate the risk of incorrect decisions
during calibration and subsequent measurement processes. Standards such as Z540.3 provide a
consistent approach for ensuring that measuring processes/instruments are “suitable for their intended
use” by managing false-accept risks and incorrect decisions to acceptably low levels. The U.S.
Pharmacopeia has also embraced a similar philosophy to limiting incorrect measurement decisions via
target uncertainties & TUR. Standards such as ISO 17025 could provide utility in the implementation
of the Medical Device Single Audit Program (MDSAP) by streamlining acceptance of calibrations in
the medical industry on an international/global scale via recognition of accredited laboratories.
Complying with government-unique calibration standards has been a challenge for industry dating
back to the 1960’s. Reliance and recognition of voluntary consensus standards for calibration has
many benefits for both government and industry alike and can provide utility in determining
“suitability for intended use” by mitigating measurement decision risk. Leveraging these standards as
guidance documents, rather than requirements documents, along with formal recognition of accredited
calibration laboratories could foster a degree of harmonization without undue industry burden. In the
21st century “risk-based” environment, the approach to calibration incorporated into Z540.3 is
complementary to this risk-based philosophy. Consensus standards for calibration provide a
framework for making sound decisions throughout the lifecycle of products and instruments, from
design through end-use application.
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2016 NCSL International Workshop & Symposium
(ISPE) – Community of Practice (COP) Technical Subcommittee on Good Automated
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2016 NCSL International Workshop & Symposium
Appendix A
(Additional References on Probability/Risk of Incorrect Decisions Due to Measurement Uncertainty)
1970’s
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1980’s
[A23] H. Castrup, Evaluation of Customer and Manufacturer Risk vs. Acceptance Test
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[A24] G. Hahn, Removing Measurement Error in Assessing Conformance to Specifications.
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2016 NCSL International Workshop & Symposium
Appendix A
(Additional References on Probability/Risk of Incorrect Decisions Due to Measurement Uncertainty)
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2016 NCSL International Workshop & Symposium
Appendix A
(Additional References on Probability/Risk of Incorrect Decisions Due to Measurement Uncertainty)
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2016 NCSL International Workshop & Symposium
Appendix A
(Additional References on Probability/Risk of Incorrect Decisions Due to Measurement Uncertainty)
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2016 NCSL International Workshop & Symposium
Appendix A
(Additional References on Probability/Risk of Incorrect Decisions Due to Measurement Uncertainty)
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[A95] M. Dobbert, Understanding Measurement Risk. Proceedings of the NCSL International
Workshop and Symposium. St. Paul MN. July 2007.
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International Workshop and Symposium. St. Paul MN. July 2007.
[A96A] TAF-CNLA-G-04, Method of Stating Test and Calibration Results and Compliance
With Specification. Taiwan Accreditation Foundation. Taiwan ROC. July 2007.
[A97] OMCL PA/PH/OMCL (05) 49 DEF CORR, Uncertainty of Measurement – Part 1.
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European Directorate for the Quality of Medicines & Healthcare. December 2007.
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in Complete Conformity Control System. Conference: Innovations and Advances in Computer
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[A100] R. Nicholas. How to Build Your Own Unilateral Consumer Risk Calculation Tool,
Including the Treatment of Biases. Proceedings of the Measurement Science Conference.
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Proceedings of the NCSL International Workshop and Symposium. Orlando FL. August 2008
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the NCSL International Workshop and Symposium. Orlando FL. August 2008.
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November 2008.
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Chemical Analysis’. Accreditation and Quality Assurance. Vol. 13, No. 11, pp 671 – 674,
November 2008.
[A107] A. Williams. Compliance With Specifications. Accreditation and Quality Assurance.
Vol. 13, pp 617 – 618, November 2008.
[A108] A. Williams, Principles of the EURACHEM/CITAC Guide ‘Use of Uncertainty
Information in Compliance Assessment’. Accreditation and Quality Assurance. Vol. 13, No. 11,
pp 633 – 638. November 2008.
[A109] M. Czaske, Usage of the Uncertainty of Measurement by Accredited Calibration
Laboratories When Stating Compliance. Accreditation and Quality Assurance. Vol. 13, No. 11,
pp 645-651. November 2008.
[A110] E. Desimoni, B. Brunetti, A. Clerici, About Considering Both False Negative and False-
Positive Errors When Assessing Compliance and Non-compliance with Reference Values given
in Compositional Specifications and Statutory Limits. Accreditation and Quality Assurance. Vol.
13, No. 11, pp 653 – 662. November 2008.
[A111] M. Dobbert, A Guard-Band Strategy for Managing False-Accept Risk. NCSLI Measure –
The Journal of Measurement Science. Vol. 3, No. 4, pp 44-48. December 2008.
[A112] D. Macii, D. Petri, Guidelines to Manage Uncertainty in Conformance Testing
Procedures. IEEE Transactions on Instrumentation and Measurement. Vol. 58, No. 1. January
2009.
[A112A] I. Lira, Comment on ‘A Probabilistic Approach to the Analysis of Measurement
Processes’. Metrologia. Vol. 46, No. 1. January 2009.
[A113] M. Dobbert, R. Stern, A Pragmatic Method for Pass/Fail Conformance Reporting that
Complies with ANSI Z540.3, ISO 17025, and ILAC-G8. Proceedings of the NCSL International
Workshop and Symposium. San Antonio TX. July 2009.
[A114] H. Castrup, An Examination of Measurement Decision Risk and Other Measurement
Quality Metrics. Proceedings of the NCSL International Workshop and Symposium. San
Antonio TX. July 2009.
[A115] D. Huang, S. Dwyer, Test Instrument Reliability Perspectives and Practices: Part 1:
Interpreted Within System Reliability Framework. Proceedings of the NCSL International
Workshop and Symposium. San Antonio TX. July 2009.
[A116] S. Khanam, Test Uncertainty Ratio (TUR) and Test Uncertainty. Ph.D Dissertation in
Mechanical Engineering. University of North Carolina at Charlotte. Charlotte NC. 2009
[A116A] APLAC TC-004, Method of Stating Test and Calibration Results and Compliance With
Specifications. Asia Pacific Laboratory Accreditation Cooperation. October 2009.
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Review. Analytical and Bioanalytical Chemistry. Vol. 400, No. 6, pp 1729 – 1741. June 2011.
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[A120] D. Deaver, J. Somppi, A Study of and Recommendations for Applying the False
Acceptance Risk Specification of Z540.3. Proceedings of the Measurement Science Conference.
Anaheim CA. March 2010.
[A121] M. Dobbert, R. Stern, A Pragmatic Method for Pass/Fail Conformance Reporting that
Complies with ANSI Z540.3, ISO 17025, and ILAC-G8. NCSLI Measure – The Journal of
Measurement Science. Vol. 5, No. 1. March 2010.
[A122] D. Jackson, Threshold Analysis. Proceedings of the Measurement Science Conference.
Anaheim CA. March 2010.
[A123] W. Hinrichs, The Impact of Measurement Uncertainty on the Producer’s and User’s
Risks, on Classification and Conformity Assessment: An Example Based on Tests on Some
2016 NCSL International Workshop & Symposium
Appendix A
(Additional References on Probability/Risk of Incorrect Decisions Due to Measurement Uncertainty)
Construction Products. Accreditation and Quality Assurance. Vol. 15, No. 5, pp 289-296. May
2010.
[A124] M. Yiu. Calibration is Changing. EDN Network. June 2010.
[A125] S. Mimbs, Conformance Testing: Measurement Decision Rules. Proceedings of the
NCSL International Workshop and Symposium. Providence RI. July 2010.
[A126] L. Lewis, Managing Risk Using the Guard Band Method 2 % Bayesian Analysis.
Proceedings of the NCSL International Workshop and Symposium. Providence RI. July 2010.
[A127] S. Beckert, E. Paladini, L. Valentina, Analysis of the Acceptable Deviation for the
Measurement Process Established by the MSA and the VDA Manuals. Proceedings of the World
Congress on Engineering. Vol III. London England. July 2010.
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Measure – The Journal of Measurement Science. Vol. 5, No. 3. September 2010.
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NCSL International Workshop and Symposium. National Harbor MD. August 2011.
[A132] H. Alexander, How to Satisfy the Requirements of ISO/IEC 17025:2005 When Reporting
Calibration or Test Results and Making a Statement of Compliance with a Metrological
Specification from the Perspective of the Accrediting Body. Proceedings of the NCSL
International Workshop and Symposium. National Harbor MD. August 2011.
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Indicating Measuring Instruments. Precision Engineering. Vol. 36, No. 2, pp 218 – 228. April
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“2.3.3 In general practice, gage tolerances should not exceed 10 percent of the tolerance of the part to be
gaged [10:1 TAR].
2.3.6 Disputed Rejections. Any part which is so close to either rejection limit as to be improperly rejected [false
reject] either as a result of tolerance or wear of the inspection gages, will be reinspected…Any observational
errors in the inspection must, however, be in the direction of safety rather than in the direction of danger of
acceptance of improper parts [false accept].
6.2.5 Gages in use must be checked periodically to insure that they have not worn to the extent that they
accept defective material or reject acceptable material.
8.3.4.3 When the dimensions of gages are very close to the specified limits… the gage inspector will often be
required to exercise considerable judgment in deciding whether or not the gage should be accepted.
For example, a plain “go” plug gage is given a plus tolerance. If the plus tolerance should be a little greater
than that specified, the plug gage will tend to reject a few more components than a properly made plug gage
[false-reject].
On the other hand, if a plain “Go” plug gage should have a diameter less than nominal, in other words, if it is
undersize, the gage could pass unsatisfactory components [false-accept].
8.3.5.2 The measuring instruments used should always be suitable for the tolerance specified on the gage
drawings… In general, the accuracy of the measuring instruments should be less than 20 percent [5:1 TAR] of
the tolerance on the gage being inspected. A measuring instrument which has an accuracy of 10 percent
[10:1 TAR] of the gage tolerance should be used whenever such an instrument is available provided that its
use does not involve an excessive expenditure of time. When the acceptability of gage is questionable
because it is near the tolerance limit, the gage may be re-inspected by more accurate instruments.”
“3.2 (a) Standards established by the manufacturer for calibrating the measuring and test equipment used to
control and verify product quality shall be accurate and stable over the range of calibration necessary to
assure the product requirements are met and that any deviation from product requirements are accurately
known...(d) The procedure shall require that calibration be performed by comparison with higher accuracy
level standards.”
“3.1 Adequacy of Reference Standards: Reference standards used for calibrating M&TE shall have an
accuracy level, acceptable calibration ranges, and precisions that are equal to or better than those required of
M&TE. The accuracies of the M&TE and the reference standard should be chosen such that the equipment
being calibrated can be calibrated and maintained within the required tolerances.”
IEEE STD-498-1980 Section 4.1 (1980): [113] and IEEE STD 498-1985 Section 5.1 (1985): [114]
“Adequacy of Reference Standards: Reference standards used for calibrating M&TE shall have an accuracy
level, acceptable calibration ranges, and precisions that are equal to or better than those required of M&TE.
The accuracies of the M&TE and the reference standard should be chosen such that the equipment being
calibrated can be calibrated and maintained within the required tolerances.
In general, the inaccuracy of the reference standard shall contribute no more than one fourth of the allowable
measuring and test tolerance. However, when the actual inaccuracy of the measuring and test equipment is
less than on fourth of the plant equipment tolerance, the requirement of one fourth the tolerance between the
reference standard and measuring at test equipment may not be necessary. The rational for deviating from
these requirement must be justified and documented.”
“The standards used for calibrating M&TE shall have capabilities for accuracy, stability, range and resolution
required for the intended use. Accuracy ratios may be used for determining adequacy. The accuracy ratio may
be high (4:1, 10:1, or higher) or low (3:1, or 2:1). The exact ratio depends on state-of-the-art limitations, and
the contactor’s measurement requirements. The Government representative must verify that standards used
by the contractor are capable of calibrating the M&TE for the intended use. The accuracy of the standards
must at least be equal to the tolerance required (i.e., 1:1) but in most cases should be greater. A 1:1
comparison is permitted only when state-of-the-art limitations preclude a higher accuracy ratio. Normally,
when only a 1:1 accuracy ratio can be achieved, any out of tolerance condition of the M&TE will be
significant.”
“2.5 Accuracy Ratio: The Ratio of the tolerance of the instrument being calibrated to the uncertainty of the
standard.
4.3 Calibration ensembles shall have accuracies sufficient for the purpose of the calibration performed with
them.
4.3.1 Calibration Uncertainties. The uncertainty of calibration ensembles shall be taken into account by
increasing the limits of uncertainty of the calibration or by decreasing the acceptance/rejection limits of
tolerance of the calibration by an amount at least equal to the uncertainty of the calibration ensemble, unless
such uncertainty is acceptable or negligible with respect to the required uncertainty limits.
4.3.2 Accuracy Ratios. When the use of a fixed accuracy ratio is determined to be acceptable to establish a
sufficient level of measurement accuracy between the ensemble to be calibrated and the calibration ensemble,
the ratio and rational for its selection shall be clearly specified.
Comments: The specification in this standard of a minimum accuracy ratio is considered invalid because the
acceptable risk associated with a measurement process may vary with each process, thereby suggesting
varying accuracy ratios.
Appendix. In the application of the more traditional approach to calibration involving accuracy ratios, one
typically find requirements to the effect that any instrument or standard used to calibrate another device must
have an accuracy 10 times better than that of the device being calibrated. As an example, a device having a
±0.5 percent tolerance might be calibrated using a standard having an uncertainty of ±0.05 percent or better,
and in turn might be calibrated using an item having an uncertainty of ±0.005 percent or better… In such a
process, one makes no attempt to determine precisely the actual errors introduced at each step. It is
assumed that because of the built-in ‘safety factor’ of 10 at each level, the calibration hierarchy will produce
devices of adequate accuracy. In most cases, experience shows that this works quite well, provided devices
having the necessary accuracy are available and providing the waste of information in tolerable.”
Concept:
The two principal and essential requirements for measurement standards are traceability and accuracy. The
traceability requirement is as defined in paragraph 3.5. The accuracy requirement is resolved by comparing
the accuracy attributes of the measurement standard (expressed as uncertainty) to the tolerances of the
characteristics being calibrated. Since it is recognized that it is not possible to have a perfect measurement
standard (i.e., one without any error or uncertainty), some amount of uncertainty is allowable. As stated, the
MIL-STD provides for an uncertainty limit of 25% of the tolerance of the characteristic being calibrated unless
otherwise specified in the contract. This is commonly called a 4:1 test accuracy ratio. When test accuracy
ratios of 4:1 or greater are maintained, the error contributed by the measurement standards is considered
negligible. However, when lesser ratios are used due to state-of-the-art or other limitations, the relatively larger
error of the measurement standards increases the risks of erroneous acceptance or rejection of the instrument
being calibrated. These conditions could ultimately lead to increased acceptance of
bad material by the Government or rejection of good material by the contractor .
Application:
The adequacy of a measurement standard for its intended use is determined by comparing its accuracy,
stability, range and resolution to the expected values and tolerances of the instrument’s characteristic being
calibrated. The collective uncertainty of the measurement standards used to perform the calibration is
typically a combination of the inherent accuracy, including stability and resolution, of each standard comprising
the calibration system. For purpose of compliance to paragraph 5.2 of the MIL-STD, collective uncertainty of
the measurement standards does not include other possible sources of errors in the use of the standards,
such as technician or procedure. Methods for combining uncertainties of the characteristics of more than one
measurement standard include simple arithmetic addition, root sum of squares (RSS), use of partial
derivatives, distribution analysis, or some combination of these or other methods. The contractor may use any
or all applicable methods but should describe and justify the methodology used in his calibration system
description. If there are questions concerning the contractor's methods and conclusions in developing
collective uncertainty estimates, the Government representative should request assistance from the Metrology
Engineering Center of the cognizant DOD agency.
To verify the adequacy of a measurement standard or group of measurement standards for its intended use,
the Government representative should review the calibration procedure in which the measurement standards
are used. Since paragraph5 .5 of the MIL-STD requires that the calibration procedure contain the required
parameter, range and accuracy of each measurement standard and the acceptable tolerance of the instrument
characteristic being calibrated, comparison of the uncertainty values should reflect a minimum 4:1 test
accuracy ratio. Such comparisons should always be in terms of measurement units( e.g., volts, ohms, etc.)
and not percentages or parts per million (ppm) unless percentages and ppm are the measurement units (e.g.,
voltage divider linearity). The reason for using units of measurement versus percentages is demonstrated in
the following example. If a ±1% of full scale 0-15 psig working pressure gage were to be calibrated against
±0.1% of full scale 0-100 psig precision pressure gage, it would appear that there is a 10:1 test accuracy ratio
if only percentage uncertainties were compared. However, since the percentage uncertainties for both test and
precision gages apply to the full-scale values, in terms of measurement units the calibration tolerance of the
test gage is ±0.15 psig (±1% of 15 psig) and the measurement uncertainty of
the-precision pressure gage is ±0.1 psig (±0.1% of 100 psig). The true test accuracy ratio is then 1.5:1 rather
than 10:1 and the precision gage does not meet the minimum test accuracy ratio requirement.”
Using an example of a measurement standard calibrating M&TE, the following are approaches that maybe
taken by the contractor when a minimum 4:1 test accuracy ratio is not achieved:
a. The M&TE being calibrated could be derated (test tolerances increased). This option is appropriate when all
applications of the instrument are known and the derated tolerances are consistent with the known usage
and/or contractual requirements, The M&TE should be labeled as to the specific
derating, In effect, this approach may increase the test accuracy ratio to 4:1 or greater for the specific
calibration.
b. The M&TE test tolerances could be reduced to compensate for the uncertainty of the measurement
standards [i.e. guardbanding]. While this would result in an increase of erroneous out-of-tolerance findings for
the M&TE during the calibration process, it should not have an adverse impact on the material to be delivered
to the Government. This approach should be used sparingly since the increased out-of-tolerance results
during the calibration may result in excessive repairs and recalibrations.
The contractor's calibration system could also provide for instances where test accuracy ratio is not a
significant factor. This could arise when the value and uncertainty of the known measurement standard is
essentially transferred to the M&TE unknown measurement standard through a relatively simple
intercomparison process. Other typical but more complex methods for obviating the test accuracy ratio
requirement are through Measurement Assurance Programs (MAPS) and use of statistical process control
(SPC) or statistical quality control in the measurement system.
If the contractor uses any of these or similar methods, the Government representative should assure that the
deviation from the test accuracy ratio requirement is documented, that the rationale and methodology
supporting the deviation are adequate and the adequacy of the calibration is not degraded. If there are
questions concerning the acceptability of the proposed deviation, the Government representative should
request assistance from the Metrology Engineering Center of the cognizant DOE) agency.
To be acceptable for use in the contractor's calibration system, measurement standards must also be
traceable as defined in paragraph 3.5 of the MIL-STD, and supported by an appropriate certificate or report of
calibration. Paragraph 5.8 of this handbook provides further details concerning traceability
requirements for measurement standards.
In addition to traceability and accuracy requirements, the Government representative should confirm that the
contractor reviews calibration history of the measurement standards to ensure that appropriate reliability in
terms of calibration interval is maintained. (See paragraph 5.4 of the MIL-STD.)”
“1.2 Applicability. Selection of measuring and test equipment shall be controlled to assure that such items are
of the proper type, range, accuracy, resolution, and tolerance to accomplish the function of determining
conformance to specified requirements.
5.1 Adequacy of Reference Standards: Reference standards used for calibrating measuring and test
equipment shall have calibrated ranges, precisions and accuracies such that the measuring and test
equipment and ultimately the facility equipment can be and maintained within the required tolerances.
In general, the inaccuracy of the reference standard shall contribute no more than one fourth of the allowable
measuring and test tolerance. That is, reference standards utilized to calibrate measuring and test equipment
shall have a minimum accuracy four times greater than the measuring and test equipment being calibrated.
The accuracy requirement is satisfied with M&TE is calibrated by a reference standard with a minimum 4:1
higher accuracy ratio, and when that reference standard is traceable through a series of calibrations, using
reference standards also of 4:1 greater accuracy, back to the National Institute of Standards and Technology
(NIST) or other appropriate governing laboratory standard. This is depicted in Fig 1.
If it is impractical to maintain these accuracy ratios, the rational for deviating from these requirements shall be
justified, documented, and authorized by responsible management”.
“3.2.3.2 A measurement system shall consist of all recommended calibration equipment of combinations
thereof and have a uncertainty equal to or better than one-fourth of the uncertainty of the test instrument for
each parameter tested, i.e. a test accuracy ratio (TAR) (see 6.4.5) equal to or better than four to one.
Measurement systems of better TAR may be used for reasons of equipment availability, reduced complexity,
or reduced calibration time. If a TAR equal to or better than four-to-one is not feasible because of state-of-the-
art or other technical considerations, the best TAR available shall be used. In such cases, the actual TAR
shall be stated in the procedure. Where several items of equipment are applicable, preference shall be given
to the equipment affording the simplest, quickest, and most efficient test method.
6.4.5 Test Accuracy Ratio: The maximum permitted error of the unit to be measured or calibrated, divided by
the maximum known error of the measuring or generating device used to perform the measurement. For
example, if it is required that a system or equipment output parameter be accurate to 8 % (maximum permitted
error) and the known accuracy (maximum known error) of the measuring device used to measure the output
parameter is 2 %, then the TAR is 4.”
“3.4.4.1 M&TE should be calibrated using reference standards (secondary or working) whose calibration has a
known valid relationship to nationally recognized standards or accepted values of natural physical constants…
The reference standard used should have an accuracy at least four times greater than the device under test.
If this accuracy ratio cannot be met, analysis of the error should be estimated to provide a valid uncertainty of
the calibration process.”
12.3.2 (b) Calibration Procedures. …The ‘ratio of accuracy’ of the standard to the M&TE being calibrated
should be as high as reasonably achievable and consistent with national standards. These procedures
should… contain the following: …accuracy of calibration standards to be used; calibration standards to be
used…”
Calibration Standards:
“2.10 (i) Select calibration standards to attain a minimum calibration accuracy ratio of 4:1. When state of the
art limitations prevent attainment of the minimum accuracy ratio, the measurement uncertainty must be
reported as part of the calibration data record. Users of equipment calibrated to less than 4:1 accuracy ratios
must account for the reported instrument uncertainty when establishing end-item test pass/fail criteria.”
If such techniques or analyses are not used, then the collective uncertainty of the measurement standards
shall not exceed 25% of the acceptable tolerance (e.g. manufacturer’s specification) for each characteristic of
the measuring and test equipment being calibrated”.
“12.2.1 (B) Calibration standards shall have a greater accuracy than the required accuracy of the measuring
and test equipment being calibrated.
1. If calibration standards with greater accuracy than required of the measuring and test equipment being
calibrated do not exists or are unavailable, calibration standards with accuracy equal to the required calibration
accuracy may be used if they can be shown to be adequate to the requirements.
2. The basis for the calibration acceptance shall be documented and authorized by responsible management.
The level of management authorized to perform this function shall be identified”.
“5.3.3 Test accuracy ratio (TAR): Unless otherwise specified, the recommended TMDE shall be capable of
measuring or generating to a higher accuracy than the measurement parameters being supported. A
minimum TAR of 4 to 1 is required. The actual TAR shall be documented.
a. If a TAR of 4 to 1 cannot be achieved, the contractor shall analyze the measurement requirements
and justify the lesser TAR.
b. A minimum TAR of 4 to 1 is required when an actual test is in conducted to characterize performance
of operational equipment or to caliber other TMDE.
c. A TAR of 4 to 1 is not required when the TMDE only provides input stimuli which is not used to
characterize performance of the operational equipment of other TMDE. In this case, the TAR does
not need to be greater that 1 to 1”.
“3.5 Test Uncertainty Ratio: The total uncertainty of the unit to be measured or calibrated divided by the total
uncertainty of the measuring or generating device used to perform the measurement. For example, if it is
required that a system or equipment output parameter’s uncertainty is 8% and the uncertainty of the
measuring device used to measure the output parameter is 2%, then the TUR is 8 to 2 or 4 to 1.
Interpretive guidance: The desired TUR is 4 to 1. TUR is the calculated result of dividing the uncertainty or
tolerance of a measurement/input requirement by the uncertainty/tolerance of the equipment satisfying the
requirement. TURs are generally calculated for each operational system test requirement that is supported by
SE [support equipment] and for SE supported (calibrated) by SE. The maximum permitted uncertainty should
reflect the actual use requirement of the unit being measured/calibrated for the intended use. Tolerances used
in TUR calculations will be in the same measurement units. Uncertainties expressed in logarithmic units such
as decibels should be considered. Decibels should first be converted to linear units before computing TUR.
For example, suppose the system uncertainty and the measurement uncertainty is 4db and 1db respectively.
The db ratio may be 4 to 1 but the linear ratio may be only 2 to 1 or a 3db gain is generally double in value
when dealing with power measurements. Caution should be used when uncertainties are stated as
percentages because they often are not related (i.e. percentage of full scale versus percentage of reading).
Tolerances expressed as ‘minimum’, ‘maximum’, ‘less than’, ‘more than’, ‘greater than’ and ‘less than’, do not
allow TURs to be calculated, thus using them is not desired. However, when no other option exists, the design
activity should specify the recommended uncertainty of the supporting equipment (see 5.4.3).
5.4.3 Test Uncertainty Ratio: The recommended TMDE shall be capable of measuring or generating to a
higher accuracy than the measurement parameters being supported. Unless otherwise specified, a minimum
TUR of 4 to 1 is desired. The actual TUR shall be documented.
Interpretive guidance: TUR is a recognized mechanism for establishing the criteria between equipment listed
in proximity categories in the [CMRS Calibration and Measurement Requirements Summary]. Actually, use of
the TUR is an alternative to performing a more difficult uncertainty analysis as described in ANSI/NCSL Z540-
2-1997. The TUR does not relate directly to uncertainty analysis. However, it can be linked to the probability of
making erroneous test decisions. Another important point, design activities often select SE that is more
accurate than required for the application due to availability, future planning, cost considerations, etc. That is
perfectly acceptable but in the application, as defined by the CMRS, the specifications should be derated to
the 4 to 1 TUR so as not to create unnecessarily accurate and costly support requirements for the SE.
Creation of unnecessarily over/under specified problems are minimized when the design activity emphasizes
concurrent engineering processes where the logistics support planning and design engineering are time
related and maintain a close liaison. The importance of not over specifying a piece of support equipment
cannot be over emphasized as substantial unnecessary costs can be incurred by designs using overly
stringent specifications.
a. If a TUR of 4 to 1, or the specified TUR, cannot be achieved, the design activity shall analyze the
measurement requirements and provide documented justification for the lesser TUR.
Interpretive guidance: It is highly recommended that if the CMRS preparing activity contact their designated
service CMRS review agent to discuss any shortcomings in meeting specified TUR prior to submittal.
b. A TUR of 4 to 1 is not required when the TMDE only provides input stimuli which are not used to
characterize performance of the operational equipment or other TMDE. In this case, a minimum TUR of 1 to 1
is acceptable.
Interpretive guidance: A TUR of 1 to 1 is acceptable between the system and an item of support equipment
only when the system requires an input, stimulus, or applied value for establishing test conditions and the
system itself does not measure the applied parameters or characterize its own performance. Examples of
acceptable 1 to 1 TURs are input/supplied torque applications, electrical stimuli signals, and pressure inputs. A
minimum TUR of 1 to 1 only applies between the system and the SE. It does not apply between SE and
calibration equipment. A 4 to 1 TUR is desired when the system measures an applied/input parameter and the
results determine pass/fail status or the systems performance is characterized.”
In recent years, as tolerances have become increasingly tighter, the well-known ten-to-one ratio has
transitioned to a more commonly used ratio of four-to-one (see MILSTD 45662A) or even three-to-one (see
International Standard 10012-1). A 4:1 decision rule means the uncertainty interval associated with the
measurement result should be no larger than one-fourth of the allowable product variation, which requires the
expanded uncertainty, U, to be no larger than one-eighth of the specification zone. Once the uncertainty
requirement is satisfied, then the product is accepted if the measurement result lies within the specification
zone and rejected otherwise”.
“5.10.3.1 Test Reports should include …where relevant, a statement of compliance/non-compliance with
requirements or specifications. …uncertainty is needed in test reports when…it affects compliance to a
specification limit.
5.10.4.2 When statements of compliance are made, the uncertainty of measurement shall be taken into
account.”
1D507
“4. Article or Material Measurement Processes. The expanded uncertainty in any article or material
measurement process shall not exceed 10 percent of the tolerance of the article or material characteristic
being measured…
“12.2.1 (B) Calibration standards shall have a greater accuracy than the required accuracy of the measuring
and test equipment being calibrated.
1. If calibration standards with greater accuracy than required of the measuring and test equipment being
calibrated do not exists or are unavailable, calibration standards with accuracy equal to the required calibration
accuracy may be used if they can be shown to be adequate to the requirements.
2. The basis for the calibration acceptance shall be documented and authorized by responsible management.
The level of management authorized to perform this function shall be identified.
(C) Calibration standards used for the calibration of M&TE shall have an accuracy of at least four times the
required accuracy of the equipment being calibrated or, when this is not possible, shall have an accuracy that
ensures the equipment being calibrated will be within required tolerance.”
“3.1.13 Test Accuracy Ratio. A simple comparison between the accuracy of the Unit Under Test (UUT) and the
accuracy of the calibration standard. However, this ratio does not consider other potential sources of error in
the calibration process. For example, if it is required that an equipment output parameter’s accuracy is ±8%
and the accuracy of the single measuring device used to measure the output parameter is ±2%, the TAR is 8
to 2, or 4 to 1.
3.1.16 Test Uncertainty Ratio. The comparison between the accuracy of the Unit Under Test and the
estimated calibration uncertainty is known as a Test Uncertainty Ratio (TUR). This ratio is more reliable
because is accounts for possible sources of error in the calibration process that the TAR does not. This value
also takes into account issues such as temperature, humidity, Type A (statistical analysis including actual and
random measurement results), and Type B (anything not a Type A) uncertainties.
5.4.3 Test Uncertainty Ratio (TUR). The recommended TMDE shall be capable of measuring or generating to
a higher accuracy than the measurement parameters being supported. Unless otherwise specified, a minimum
TUR of 4 to 1 is desired. The actual TUR shall be documented. If a TUR of 4 to 1, or the specified TUR,
cannot be achieved, the design activity shall analyze the measurement requirements and provided
documented justification for the lesser TUR. A TUR of 4 to 1 is not required when the TMDE only provides
input stimuli which are not used to characterize performance of the operational equipment of other TMDE. In
this case, a minimum TUR of 1 to 1 is acceptable.”
“1.4.28 TAR/TUR. Test Accuracy Ratio/Test Uncertainty Ratio. The ratio of the uncertainty (accuracy) of the TI
[Test Instrument or Unit-Under-Test] to the uncertainty (accuracy) of the standard (for example 4:1).
TAR and TUR are equivalent in the Air Force Metrology and Calibration Program, as the term Accuracy has
been used for the (more correct) term Uncertainty in Air Force Calibration procedures.
3.1.7 AFMETCAL shall ensure: …The calibration uncertainties are sufficiently small so that the adequacy of
the measurement is not affected. Well-defined and documented measurement assurance techniques or
uncertainty analyses may be used to verify the adequacy of a measurement process. If such techniques or
analyses are not used, then the collective uncertainty of the measurement standards shall not exceed 25
percent (4:1) of the acceptable tolerance for each characteristic of the measuring and test equipment being
calibrated or verified”
“It is often the case that a calibration certificate will contain the statement “in tolerance”, or words to that effect,
along with a statement to the effect that the measurement uncertainty does not exceed a certain fraction of the
tolerance. Such fractions are often called “test uncertainty ratios”, TURs for short. Uncertainty statements
phrased in terms of TURs are implicit statements of the uncertainty: knowing the tolerance ratio allows one to
determine the largest possible value of the measurement uncertainty. Implicit statements of uncertainty are
acceptable on accredited calibration certificates as long as the measurement uncertainty and the
measurement results are also provided”.
A2LA R205 Specific Requirements: Calibration Laboratory Accreditation Program (2015): [191]
An exception can be made only in cases where the laboratory indicates in the contract with the client
that the calibration results will be reported without factoring in the effect of uncertainty on the
assessment of compliance, and the client agrees to the contract.
In this case, the uncertainty can be excluded when making that statement of compliance on the
calibration certificate. In effect, both parties share the risk that the results may or may not meet the
specification since the uncertainty was not included when the results were determined. In these cases,
the measurement uncertainty shall still be determined and shall be reported on the calibration
certificate.
6) In accordance with ILAC P14:01/2013 ILAC Policy for Uncertainty in Calibration section 6.1, the
calibration laboratory shall retain documentary evidence of the measured quantity value and the
uncertainty of measurement as specified in ISO/IEC 17025 clauses 5.10.4.2 and 4.13, and shall
provide such evidence upon request.
7) The certificate relates only to metrological quantities and states which clauses of the specification are
verified to have been met”.
ANAB (previously ACLASS) MA 2002: ISO/IEC 17025 Accreditation Requirements for Calibration Laboratories
(2016): [194]
“In some instances, a calibration certificate may contain the statement “in tolerance,” along with a statement
that the measurement uncertainty does not exceed a certain fraction of the tolerance. These fractions are
often called test accuracy ratios (TARs) or test uncertainty ratios (TURs). Uncertainty statements phrased in
terms of TARs or TURs are not acceptable for demonstrating measurement traceability or as an alternative to
calculated MU [measurement uncertainty].”
IAS CL/014 Policy Guide on Calibration, Traceability, and Measurement Uncertainty for Calibration
Laboratories. (2016): [195]
“Calibration certificates and/or reports held by or issued by IAS accredited calibration laboratories must meet
the requirements of ANSI/ISO/IEC Standard 17025:2005, Clause 5.10 (sub-clauses 5.10.2 and 5.10.4 are
required, other sub-clauses as appropriate).
Calibration certificates must include appropriate statements of uncertainty… All calibration certificates issued
under the laboratory’s accreditation, whether or not indicating compliance to the 4:1 rule or other accepted
metrological specification, must include the IAS logo and the uncertainty of the calibration...
The American National Standard for calibration, ANSI/NCSL Z540-1-1994, known as Z540-1, has been
formally retired effective in July 2007, although the standard continues to be used. The standard was replaced
by ANSI/NCSL Z540.3-2006, known as Z540.3. There are significant differences between the two documents.
The two most obvious differences are the alignment of Z540.3 to be consistent with the requirements of
ANSI/ISO/IEC ISO 17025:2005 in Section 5.3…
Z540-1 allowed the use of a Test Accuracy Ratio (TAR), with a minimum ratio of 4:1. Z540.3 allows the use of
a Test Uncertainty Ratio (TUR), again with a minimum of 4:1. This provision is known as the 4:1 Rule. The
laboratory may claim compliance to the 4:1 rule, providing the laboratory maintains evidence, including
information regarding calibration of the laboratory’s measuring equipment and measurement uncertainty
calculations, that it can consistently maintain the 4:1 ratio for any calibration where compliance with the 4:1
rule is stated. The evidence must be available for review by IAS upon request. If the 4:1 cannot be
maintained, the laboratory must report either specific uncertainties or the actual TUR for any affected
readings, as appropriate for the specific type of calibration…
It is understood that some laboratory may have a need to be verified as compliant to the requirements of
ANSI/NCSL Z540.3-2006, either solely for Section 5.3, or for the entire Standard. This will require additional
assessment time and the laboratory must provide additional documentation as required by the Standard”.
(e) Can FDA use means other than a guidance document to communicate new agency policy or a
new regulatory approach to a broad public audience?
The agency may not use documents or other means of communication that are excluded from the
definition of guidance document to informally communicate new or different regulatory expectations
to a broad public audience for the first time. These GGP's must be followed whenever regulatory
expectations that are not readily apparent from the statute or regulations are first communicated to a
broad public audience.
(f) How can you participate in the development and issuance of guidance documents?
(1) You can provide input on guidance documents that FDA is developing under the procedures
described in paragraph (g) of this section.
(2) You can suggest areas for guidance document development. Your suggestions should address
why a guidance document is necessary.
(3) You can submit drafts of proposed guidance documents for FDA to consider. When you do so,
you should mark the document ‘Guidance Document Submission’ and submit it to Division of
Dockets Management (HFA-305), 5630 Fishers Lane, rm. 1061, Rockville, MD 20852...”
[Editor's note: This article originally ran in the medical device industry publication The Silver Sheet in June
2010. The Silver Sheet was incorporated into The Gray Sheet in April 2015. Please visit TheGraySheet.com for
in-depth regulatory and quality news, analysis, podcasts and features.]
Too many device firms aren’t double-checking the quality of finished products after determining that
manufacturing equipment was out of calibration, an FDA official says.
“A large majority of manufacturers contract out their calibration activities. Because of this, what we typically
see is that companies are blindly accepting calibration certificates from test houses,” FDA/GMP expert Kim
Trautman told “The Silver Sheet.”
Test houses are third parties used by firms to ensure that equipment used in the manufacture or the inspection
and testing of their devices is properly calibrated and maintained.
Calibration certificates are sent to firms describing the condition of the equipment as it was received by the test
house, as well as its condition when it was returned to the manufacturer.
“I have seen situations where a test house has sent equipment back to a manufacturer and the certificate said,
‘Yes, this piece of equipment was way out of calibration. It was XYZ, and we have now recalculated it,’”
Trautman said.
“So my question to the manufacturer is, what did you do with that information? Because you now know that
there is finished product that was sold during this period of time when the instrument [used to manufacture it]
was way out of calibration,” she said.
At that point, a firm should investigate to ensure that the equipment in question did not have an adverse effect
on devices already manufactured, Trautman said.
In addition to equipment condition, test-house certificates also specify the calibration method that was used.
Those test methods typically tie to national and international standards from the International Organization for
Standardization (ISO), the American National Standards Institute (ANSI), the American Association for
Laboratory Accreditation (A2LA), or another accrediting body.
FDA requires equipment testing and calibration under Quality System Regulation Sec. 820.72, “Inspection,
Measuring and Test Equipment,” as well as Sec. 820.70(g), “Production and Process Controls; Equipment.”
Manufacturing equipment, as well as instruments used for inspection and testing, can range from a simple
ruler, to widely used voltage meters, to complex custom-built test equipment that contains software – all of
which “require accuracy and precision,” Trautman said.
“All equipment has to be appropriate for its purpose, and it has to be maintained, adjusted and cleaned,” she
said.
Companies may calibrate equipment themselves; however, most firms use a combination of in- and out-of-
house testing.
Firms also may have test-house representatives calibrate equipment at their manufacturing facilities if the
equipment is too large to move or if the firms don’t have the expertise to conduct calibration activities on their
own.
Tracie Capozzio, director of quality assurance & regulatory compliance for NeuroWave Systems in Cleveland
Heights, Ohio, says regulatory agencies, including FDA, are checking more thoroughly to see if manufacturers
are examining whether finished devices may have been tainted by out-of-calibration equipment.
During an agency inspection, “they’re usually looking for pieces of equipment that have come back out of
calibration, and what you’ve done when they’ve come back out of calibration – whether or not you have
evaluated the equipment that was used and how you went about identifying which product was processed with
that equipment, and what the impact was,” Capozzio said.
NeuroWave’s “procedures are written so that any product that was made during the time period between the
last calibration, which was good, and the current calibration – if it was received at the calibration site out of
calibration – is reviewed for any adverse impacts,” she said.
Regulatory bodies, including FDA, are “focused a bit more now on inspection and test equipment than in the
past, and you’re starting to see more regulatory activity related to equipment,” Capozzio said.
Another problem FDA sees is that many companies are not adequately reviewing test-house certificates, and
some do not look at the certificates at all.
“Ninety percent of the time when there are problems [with manufacturing equipment] it’s because someone
hasn’t even paid attention to the certificates that the calibration test house has given them,” Trautman said.
“The manufacturers that get into these problems are those that just take the certificates, file them and don’t
really look at them and utilize the information that the test house is giving them,” she said.
“Kim Trautman is probably correct that 90 percent of companies file away the certificates, assuming that
everything is good, but you can’t assume that,” NeuroWave’s Capozzio told “The Silver Sheet.”
“It’s very easy to get a certificate from a certification house and just assume that they’re the experts, and when
they give you a certificate, that means the equipment is good,” she said.
“That assumption isn’t 100-percent false, though, because when the test house gives the equipment back and
they give you a certificate, the equipment should be good at that point,” Capozzio said. “However, you have to
be cognizant enough to know what the equipment was like when the test house received it.”
NeuroWave recently received a CE mark for its first product, the NeuroSENSE Monitor, which monitors
patient brain activity levels to help guide anesthesia and sedation in operating rooms and intensive care units.
Although the device is not yet on the market, NeuroWave has produced valuation units. It uses several pieces
of manufacturing equipment that it must calibrate, including signal generators, high-voltage probes, digital
calipers, oscilloscopes and multimeters.
Most of the firm’s equipment is sent to test houses for calibration, although some, such as electrostatic
discharge equipment and an in-house built biosignal playback unit, is tested by NeuroWave itself.
The manufacturer’s biosignal playback unit “is not something we can send out for calibration because there is
no standard known to a test house that it could be calibrated against,” Capozzio said.
“In-house built equipment often requires special or unique maintenance and calibration instructions that can
only be developed and implemented by the manufacturer of the equipment,” she said.
At NeuroWave, “the test-house certificates that come back to us with equipment are reviewed, and after
review, the person who is in charge of the calibration and maintenance program is responsible for looking at
the different specifications that are critical for our product,” she said.
Next, the certificates are initialed, indicating that they were reviewed for accuracy.
“That is definitely one of the areas that regulatory agencies such as FDA look at during an inspection,”
Capozzio said. “So we have it built into our system to do that every time the certificates come back in.”
The key risk in not reviewing calibration certificates, of course, is that the manufacturer won’t notice that a test
house has made a mistake – and that devices that have already gone out the door are out of spec.
“You may find that you’re getting nonconformances kicked back, and your failure investigation shows that
somehow this testing is either not being done right or not being done with the right equipment,” FDA’s
Trautman said.
“The investigation might lead you back to a piece of test equipment, and then possibly it might lead you back
to a calibration test house not doing something right,” she said.
Test-house errors indeed happen, admits Pete Sweetnam, VP of test house RS Calibration Services in
Pleasanton, Calif.
“Mistakes can take place, especially when you’re moving equipment back and forth,” he told “The Silver
Sheet.” “We try to do the majority of our calibrations through a pick-up and drop-off system to avoid UPS and
FedEx if we can. Even during the physical handling and movement of equipment, things can get damaged or
become out of adjustment again.
“There are certain pieces of equipment where there is a high tendency for that to happen, so we recommend
that it not be moved, and that’s why we’ll go onsite and do the work,” added Sweetnam, whose test house is
accredited to ISO, ANSI, A2LA and other organizations.
Although FDA ideally wants manufacturers to adequately review calibration certificates, Trautman
acknowledges that calibration errors may still slip through.
“You can never prevent everything bad from happening,” she said.
However, having a robust failure investigation program in place may mitigate any problems brought on by
equipment improperly calibrated by a test house and not immediately detected when the equipment is accepted
at the company, Trautman said.
“In a circumstance where there is a product failure and a manufacturer can get down to a root cause [and
determine that equipment was calibrated incorrectly], we’re not going to ding the firm during an investigation
for a calibration violation or a purchasing control violation, provided they have a robust failure system in place
that they were following,” she said.
“What’s more important to FDA is, what are you going to do about it now?” Trautman continued. “What are
you going to do to fix the issue? Are you going to switch test houses? Are you going to increase the frequency
of calibration? But we’re not going to say during an investigation, ‘Oh, this test house is terrible.’”
If a manufacturer finds that a piece of equipment was improperly calibrated by a test house, it should not
automatically open a corrective and preventive action (CAPA), Trautman says.
“CAPA is an escalating activity, but clearly there needs to be some elevation to at least explore or evaluate a
correction,” she said. “Are you going to go back to your test house? Are you going to talk to this supplier
about what happened?”
Calibration test houses must be controlled under QSR Sec. 820.50, “Purchasing Controls,” because they supply
a service.
“If it’s a one-off and you can handle it through a nonconformance investigation, then that is OK,” Trautman
said. “It needs to be handled, but how the manufacturer handles it is important, whether they do it via a
nonconforming report or a particular correction.”
However, “if it is elevated to a CAPA, then it says to me that something a little bit bigger systemically needs to
happen with feedback to this particular supplier.”
When NeuroWave notices trouble with poorly calibrated equipment, it first opens a nonconformance report.
“It would depend on how broad the problem was and how many pieces of equipment may be affected,”
Capozzio said.
“If it’s isolated to one piece of equipment, we may not move it into a CAPA because our actions through our
nonconformance process are very similar to what we do through CAPA,” she explained. “Unless it’s systemic
in nature, we may not advance it to a CAPA unless there is some reason to do so.”
Further, Trautman reminds manufacturers that the buck stops with them if a test house makes an error on a
calibration certificate.
“If that certificate doesn’t contain a piece of information that is required by the Quality System Regulation, the
manufacturer can’t use the excuse that ‘This is all the calibration test house people gave me,’” she said.
“It’s the manufacturer’s responsibility to make sure that they have the control, through supplier controls and
contracts, to get the information that is necessary for that finished device manufacturer to meet regulatory
requirements,” Trautman said.
If firms run into recurring problems, they will have to decide whether they should use a different test house.
“If I’m a manufacturer and it’s a problem that the test house continues to give me documentation that doesn’t
meet my requirements, then yes, I’m going to probably look into switching test houses,” Trautman said.
“It depends on the scope of the issue and how willing that test house is to rectify whatever issues I’m having
with them,” she said. “After all, there are other test houses that can do a fair majority of these types of
calibrations.”
There are several factors that help determine how often manufacturing equipment and instruments used for
inspection and testing should be calibrated.
“When companies buy manufacturing equipment, they come with instruction manuals that talk about the
recommended frequency of calibration,” FDA’s Trautman said. “Most manufacturers will start off with that
recommendation unless they have historical data that tells them they can lengthen or shorten” the time between
calibrations.
“Suppose this is the first time that I’m using particular scales for weighing, and the operation manual
recommends that the scales be calibrated every nine months,” she said. “As a manufacturer, I’m going to start
off my calibration of this particular piece of equipment to have it calibrated every nine months.
“Then one of three things can happen,” Trautman continued. “One, that frequency may be perfect. Two,
because I use the scale a lot, I may need to shorten the calibration time to six months. Or three, because I don’t
use the scale all that often, I probably can lengthen the calibration time to one year. But I have to justify those
changes in my calibration procedures.”
According to QSR Sec. 820.72(b), calibration procedures must include “specific directions and limits for
accuracy and precision.”
Further, Sec. 820.72(b)(2) notes that calibration records should include “equipment identification, calibration
dates, the individual performing each calibration and the next calibration date.”
“The obvious question for FDA investigators is, how is the frequency determined?” Trautman said. “Ninety-
nine percent of manufacturers will just pull out an operations manual that came along with the equipment and
say, ‘This is what was suggested.’
“If it’s not the same timeframe as in the procedures, then the investigator might ask why,” she added. “If there
is a documented specification as to why the calibration of a particular piece of equipment can be less frequent
or more frequent, then the manufacturer is probably fine as long as that has been documented.”
Karen St. Onge, director of corporate quality assurance at NxStage Medical in Lawrence, Mass., cautions firms
that at a minimum they should follow the equipment’s manufacturer-recommended calibration intervals.
She said companies should consider what the equipment is used for when determining when it should be
tested.
“You may consider a much shorter calibration interval depending on the level of risk or the intended use of
that piece of equipment,” says St. Onge, whose firm manufactures home hemodialysis devices and other
products.
For example, if a piece of equipment “is being used for acceptance criteria – it’s measuring some criterion that
is being used to accept the product – then you should not have a calibration cycle longer than 12 months, and
in some cases it could be even shorter,” she said.
“You have to assess,” St. Onge said. “If after a year you go in and look at that same piece of equipment and
find out that that attribute is out of calibration, then you have to look at a year’s worth of product that you
accepted and determine whether or not there is any impact [to devices] due to that piece of equipment being
out of calibration.
“The bottom line is that it’s not a one-size-fits-all situation,” she continued. “There is a business risk involved.
You have to look at all equipment individually when determining the appropriate calibration interval.”
St. Onge recommends that device manufacturers determine one month in advance which equipment needs to
be calibrated.
“You need to run things in advance to make sure that it gets calibrated before its due date. So at the beginning
of June we are looking at what is due next month in July,” St. Onge told “The Silver Sheet.” “We are already
starting to pull equipment that is due for testing in July. We’re going through and determining what we need to
do to get it calibrated.”
For equipment that is no longer used, St. Onge suggests that companies conduct and document one last
calibration.
“If the process changes and you are no longer going to use a specific piece of equipment, part of the closure to
put that piece of equipment out to pasture is to do a final calibration,” she said.
When that happens, “you have closed the book on that piece of equipment, knowing that the entire time it was
in use during your process that it was within its calibration,” St. Onge said.
That is “important, because if it were to come back as being out of calibration, you will need to do an
assessment of what impact, if any, that had on how you were using that equipment,” she said.
According to Trautman, “a red flag is raised when a manufacturer has a calibration system that is set up to
calibrate every single thing all the time, once a year, because that’s rather arbitrary.
“Maybe all of their instruments really do have a one-year recommended calibration time,” she added.
“However, I see too many programs that have everything calibrated once a year, and then you sometimes need
to go back and wonder, what did the operation manual for this instrument say? Or, do they even still have the
manual?”
Most calibration citations found on FDA-483 inspection forms come about because manufacturers do not
calibrate equipment when they said they would.
Firms “will have a calibration schedule set up and there will be a sticker on an instrument, and the investigator
will go in and pick up the instrument and they’ll find that it was supposed to be recalibrated last month, but it
wasn’t,” FDA’s Trautman said.
“The sticker will say, ‘Calibration due on X date,’ and the investigator will walk in and find that it is past that
date,” she said. “There is really no excuse for these problems, because this isn’t tough technology. These aren’t
things that are hard to handle.
“This is just about manufacturers being diligent and following through, and keeping track, and keeping on top
of their equipment,” Trautman noted.
Even the tiniest pieces of equipment should be labeled with a calibration sticker, NxStage’s St. Onge said.
“If you have a set of pin gauges, then you may not be able to necessarily label each pin gauge, but they
generally would come in a box, so you would label the box that they’re in with an equipment number,” she
said. “Any equipment that requires calibration generally must bear a calibration sticker.”
St. Onge urges manufacturers to check periodically that calibration stickers on equipment are kept up to date.
“My experience has been that in walking through a manufacturing area or an engineering area where
equipment is in use, most auditors or investigators will look at different equipment that is in use and make note
of their identification numbers,” which are included on calibration stickers, she said.
Identification numbers make it possible for an investigator to more easily find calibration documentation and
records related to a particular piece of equipment.
“They will always look to see if equipment is marked as ‘calibration due,’ and whether it is within its
calibration date,” St. Onge said. “Often they will go back and ask to see some examples of the calibration that
was performed, whether it’s in the form of a certificate from an outside test house or documentation that
something was calibrated in-house.
“They will look at the results and look at the certificate and make sure that the certificate has appropriate
information on it and that the standards that were used are noted and are identified as traceable to national or
international standards,” as required by QSR Sec. 820.72(b)(1), “Calibration Standards,” she added.
NIST is the National Institute of Standards and Technology, an agency of the U.S. Department of Commerce.
NIST is the regulatory overseer of calibration test houses that works to ensure that measuring and test
standards are reliable.
“Everyone has a manual for a refrigerator, or a manual from a washer and dryer in some drawer or some file
someplace,” FDA’s Trautman said. “Just like all of us at home, manufacturers have that kind of setup for all of
their equipment as well.”
That is how it is performed at Hitachi Chemical Diagnostics, a company that manufactures tests to measure a
patient’s reaction to allergens.
Instruction manuals “are not part of our standard operating procedures, because they would make the SOPs too
big. So they are kept in a separate file,” says Emi Zychlinsky, VP of research and development for the
Mountain View, Calif., firm.
“We basically just have a file where we just go by equipment name, serial number and part number,” she said.
“This is not a big deal for us because we don’t have that much equipment.”
The company has “manufacturing equipment that we use to manufacture our reagents, and then we have
manufacturing equipment we use for bottling and mixing reagents,” Zychlinsky told “The Silver Sheet.”
The firm also has equipment for general manufacturing purposes, such as centrifuges, cold rooms, pipettes and
balances.
After initial purchase of the equipment, Hitachi Chemical rarely looks at the instruction manuals.
“Each piece of equipment has an equipment folder, and the equipment folder is going to have all of the
calibration certificates, all of the maintenance protocols and maintenance test results, and the user manuals or
any instructions that came with it,” Capozzio said.
She notes that equipment folders also contain new equipment forms, which are filled out when equipment is
purchased.
“The purpose for the new equipment form is to identify the equipment and its unique identification number,
and to set the calibration and maintenance frequency, as well as the methods we’ll use for the calibration and
maintenance – whether it will be sent out to a calibration house or whether it’s something that we would do
internally,” Capozzio said.
Unique identification numbers are created by NeuroWave as a way to track its equipment.
Manufacturers also may mine information from instruction manuals and incorporate that information into
calibration documentation or records.
“Maybe a particular equipment-maker is prolific, or the manual has six different languages, and the
manufacturer doesn’t want to keep an inch-thick manual,” Trautman said.
If that is the case, “then manufacturers can extract the important information from that operation manual into
some other documentation to say, ‘The original owner’s manual says this,’ so it’s clear where that information
came from,” she said.
“We have done that at our company,” Zychlinsky said. Most instruction manuals “come in 10 languages now.
So if we need to, we extract from the manual’s recommendations and put them into an SOP. But we don’t do
that for every piece of equipment. It just depends.”
Keep Sharp Eye On Calibration Test Houses – Device Manufacturers Aren’t Their Only
Customers
Calibration test houses, which are widely used by manufacturers, offer convenience when it comes to testing
equipment. However, firms must keep a sharp eye on them just as they would any other supplier.
“Most of the time manufacturers send equipment to a calibration test house or they have a calibration test
house come in. I’m not saying that a firm has to. They don’t,” FDA’s Trautman said.
“There are ways that manufacturers can calibrate their own equipment, but a lot firms, because they have to tie
[calibration] to a national or international standard, send their equipment to test houses that already have all of
those national and international standards set up,” she said.
For example, “let’s consider weights,” Trautman said. “There are weights that tell you that something is
exactly 10 grams. So instead of a manufacturer going out and buying a whole set of calibrated weights to
calibrate particular measuring equipment, they send it to a test house instead.”
Most test houses calibrate equipment for other manufacturing sectors in addition to the medical device
industry.
At RS Calibration Services, about 40 device manufacturers are clients, which accounts for about 30 percent of
the firm’s business. Other industries served by the company include biomedical, pharmaceutical and
micromachining, among others.
“We work in what we call ‘the FDA environment,’” RS Calibration VP Sweetnam said. “A very high
percentage of our customers are being monitored and controlled by the FDA, so our role is to make sure that
all of our customers’ equipment and documentation, as it pertains to calibration, is in compliance with FDA
requirements.”
Another test house, Accutek Testing Laboratory in Cincinnati, derives approximately 55 percent of its business
from device manufacturers.
However, it also services the aerospace and defense sectors, company President John McCoy told “The Silver
Sheet.”
Because they are only one client out of many, it’s important for a device manufacturer to ensure that it receives
proper equipment calibrations and documentation that meet FDA regulatory requirements.
“Calibration test houses do calibrations for a whole wide range of industry sectors, some regulated, some
clearly not,” Trautman said. “We are obviously a regulated sector, and in the Quality System Regulation there
are some very specific requirements for calibration and specific requirements for what a calibration record has
to have.
“There are some very particular requirements that every calibration test house might not put on a certificate
that goes back to the manufacturer,” she added. “So this is where, under purchasing and supplier controls,
firms need to establish quality requirements and documentation requirements up front with the supplier of this
service, since the manufacturer knows the type of information that is required in their calibration records.”
Hitachi Chemical’s Zychlinsky said her firm does some in-house calibration, but much of the work is
outsourced to test houses, including Rainin, Alpha Omega Instruments and USHIO.
All three of those companies not only calibrate instruments, but manufacture equipment as well.
Whether or not Hitachi Chemical sends equipment to test houses for calibration “depends on the capabilities
we have here,” Zychlinsky said. “If we have enough engineering capabilities to do it here, we might choose to
do that, but if not, we go to the outside. We’re a small company, so going outside a lot of times is better.”
When it comes to selecting a test house to place on its approved supplier list, Hitachi Chemical “looks for
certification, and we look to make sure that they comply with the Quality System Regulation and with the
requirements of ISO 13485,” Zychlinsky said.
ISO 13485 is the international quality system standard for medical device manufacturing used in Canada,
Australia and the European Union, among others. Its requirements for device manufacturers are similar – but
not identical – to the QSR.
FDA recommends that manufacturers research test houses as part of their supplier control activities to ensure
that equipment will be properly calibrated.
“There are criteria and accreditations and so forth for test houses, so firms should ask them these questions:
Are you accredited? What standards do you use?” FDA’s Trautman said.
“That is part of the assessment of the supplier,” she said. After receiving that information, a device
manufacturer “should then be able to say, ‘OK, this test house is certified by ISO or ANSI and is traceable to
NIST, so there is some assurance.’”
Trautman notes, however, that most manufacturers don’t typically audit test houses in the way they would a
component supplier.
“But that’s not to say that they couldn’t audit them,” she said. Manufacturers “absolutely can if they want to.
However, because inspectional test houses have other governing bodies that are looking at them, most firms
rely on national and international accreditations.
“Most manufacturers will use accreditations as their assurances,” Trautman continued. “Firms are going to
want a test house that is at least tied to NIST.”
NeuroWave’s test houses are all accredited through ISO, which gives the company a higher level of confidence
that they have the quality management systems in place to ensure that equipment will be properly calibrated.
“Because they’re ISO certified it doesn’t require an onsite visit, unless our risk evaluation determines
otherwise,” Capozzio said. “But we do send out what we call a ‘request for information,’ which is very similar
to a self-assessment. It goes through and asks them a lot of the general questions we would look for during an
onsite audit.
“However, if we have not done a physical visit to the calibration house, that doesn’t mean we wouldn’t in the
future,” she added. “But at this point we haven’t.”
NxStage’s St. Onge recommends that firms evaluate a test house in the same manner that they would any
supplier that could impact the quality of finished device products. This means that test houses should be
included on a company’s approved supplier list.
“I have physically audited test houses even though they were accredited and had applicable ISO certifications,”
she said.
“However, I don’t audit the manufacturer of a piece of equipment,” St. Onge said. “If I’m going to use the
original manufacturer [of the equipment] to calibrate it, I’m going to assume that they’re going to calibrate it
correctly since they’re the manufacturer.”
“We don’t go solely by a test house’s accreditation,” Zychlinsky said. “We evaluate and monitor service
suppliers exactly the same way as we do with component suppliers.
“We qualify them first, and then we monitor them on a regular basis,” she noted. “And then we audit them
again as per our procedures.”
Used with permission. © Informa Business Intelligence, Inc., an Informa company. All rights reserved.
1987: Device Good Manufacturing Practices Manual. Fourth Edition (HHS Publication FDA 87-4179)
U.S. Department of Health and Human Services. Public Health Service. Food and Drug Administration. Center for Devices and Radiological Health. Division of
Small Manufacturers Assistance. Office of Training and Assistance. Andrew Lowery, Richard J. Rivera. November, 1987.
NOTE: Refer to Chapter 5: Equipment and Calibration
1984: Device Good Manufacturing Practices Manual. Third Edition (HHS Publication FDA 85-4179)
U.S. Department of Health and Human Services. Public Health Service. Food and Drug Administration. Center for Devices and Radiological Health. Division of
Small Manufacturers Assistance. Office of Training and Assistance. Andrew Lowery, Richard J. Rivera. November, 1984.
NOTE: Refer to Chapter 4: Buildings, Equipment and Calibration
Note: No information is readily available on the First and Second editions of the GMP Manual, which presumably preceded the
1984 Third edition. However, the following publications are available:
1979: Device Good Manufacturing Practices – A Quality Audit Program for Industry
U.S. Department of Health, Education, and Welfare. Public Health Service. Food and Drug Administration. Bureau of Medical Devices. Division of Compliance
Programs. September, 1979.
NOTE: Refer to pages 88 through 92 for calibration guidance
Note: FDA GMP/QSR guidance documents, subsequent to FDA 97-4179 (1997), do not include specific chapters on Equipment
Calibration. Such documents include:
Guide to Inspections of Quality Systems – Quality System Inspection Techniques (QSIT)
Compliance Program Guidance Manual for Inspection of Medical Device Manufacturers (CP 7382.845)
Compliance Policy Guides (CPG) for devices (Sub Chapter 300)
Note: The information contained in this Appendix is a work of the United States Government, Department of Health and Human
Service, and is therefore not subject to copyright under the provisions of Title 17 of United States Code, Chapter1, Section 105
of The Copyright Act. Appreciation is extended to those who authored the content of the work as identified above.
*Note: Sections of Chapter 7 which precede “Measuring Equipment and Calibration” have been omitted in this Appendix.
The QS regulation is intended to help assure that devices will be safe, effective, and in compliance
with the FD&C Act. To support this goal, each medical device manufacturer should develop and
implement a quality system that assures, with a high degree of confidence, that all finished devices
meet the company's device master record specifications. These specifications should, in turn, reflect
the company quality claims. Section 501(c) of the FD&C Act states a device shall be deemed to be
adulterated if its strength differs from, or its purity or quality falls below, that which it purports
(claims). Such assurance is obtained by many activities including the measurement of component,
device, and process parameters during design and production. These measurements shall be made
with appropriate and calibrated equipment as required by 820.72.
Each manufacturer should assure that production equipment and quality assurance measurement
equipment, including mechanical, electronic, automated, chemical, or other equipment, are:
• suitable for the intended use in the design, manufacture, and testing of components, in-process
devices and finished devices;
• capable of producing valid results;
• operated by trained employees; and
• properly calibrated versus a suitable standard.
To succeed, the quality system shall include a calibration program that is at least as stringent as that
required by the QS regulation (820.72). The intent of the GMP calibration requirements is to assure
adequate and continuous performance of measurement equipment with respect to accuracy, precision,
etc. The calibration program implemented by a company may be as simple or as sophisticated as
required for the measurements to be made. Some instruments need only be checked to see that their
performance is within specified limits, while others may require extensive calibration to a
specification.
Manufacturers should determine which measurements are necessary to assure that finished
devices meet approved device master record specifications, and assure these measuring instruments
are included in a calibration program. Measurement equipment should be identified by label, tag,
color code, etc., when located in the same areas as instruments that are not part of the calibration
system. Identification can assure that proper equipment is employed to verify and determine
compliance to specification of a device component, in-process device, or finished device.
Sometimes equipment used only for monitoring a parameter need not be calibrated but should be
identified (e.g., for monitoring). A monitoring function might be to indicate if a voltage or other
parameter exists, but the exact value is not important.
Calibration Requirements
The QS regulation requires in section 820.72(b) that equipment be calibrated according to written
procedures that include specific directions and limits for accuracy and precision. Figure 5.1 illustrates
bias, precision, and accuracy.
Precision has no unit of measure and only indicates a relative degree of repeatability, i.e., how
closely the values within a series of replicate measurements agree with each other. Repeatability is
the result of resolution and stability.
Bias is a measure of how closely the mean value in a series of replicate measurements approaches the
true value. The mean value is that number attained by dividing the sum of the individual values in a
series by the total number of individual values.
Accuracy is a function of precision and bias. Because different manufacturers have different
accuracy requirements, each manufacturer should decide the level of accuracy required for each
measurement and provide equipment to achieve that accuracy.
Proper and periodic calibration will assure that the selected equipment continues to have the desired
accuracy. GMP calibration requirements are:
Equipment Selection
The manufacturer should establish and maintain procedures to ensure that purchased and otherwise
received equipment and associated supplies conform to specified requirements (820.50). The
purchase of stable and accurate measuring equipment can reduce the frequency of calibration and
increase confidence in the company's metrology program. Where economically feasible, equipment
with more accuracy than needed for various measurements can be used longer without recalibration
than equipment that marginally meets the desired accuracy requirements. Delicate instruments,
however, that are "pushing the state-of-the-art" should not be used for routine measurements unless
no other approach is feasible.
Procedures
There are a number of sources of information from which calibration procedures can be developed.
Instrumentation manufacturers often include calibration instructions with their instruction manuals.
Although these instructions alone are not adequate to meet the QS requirements for a calibration
procedure, they usually can be used for the actual calibration process. In some cases, voluntary
standards exist such as those by the American Society for Testing and Materials (ASTM), the
American National Standards Institute (ANSI), and the Institute of Electrical and Electronic
Engineers (IEEE).
Management of Metrology
Managers and administrators should understand the scope, significance, and complexity of a
metrology program in order to effectively administer it.
Calibration Records
Calibration of each piece of equipment shall be documented to include:
• equipment identification,
• the calibration date,
• the calibrator, and
• the date the next calibration is due.
Many manufacturers use a system where each device has a decal or tag which contains the date of
calibration, by whom calibrated, and date the next calibration is due. Examples of such decals are
shown on the next page.
These decals are examples of the types commonly used to identify the status of measuring
instruments and tools. They are available as catalog items or a manufacturer may use its own artwork
to purchase decals with specialized wording.
A decal to be applied to
measurement or monitoring
instruments not intended for use in
determining conformance to device
master record specifications with
respect to testing, manufacturing,
environmental control, etc.
Calibration information is entered onto cards or forms, one for each piece of equipment, or entered
into a computerized data system. Most data systems include the calibration date, by whom calibrated,
date recalibration is due, the reason for the calibration, comments, address of the manufacturer and
calibration laboratory, equipment specifications, serial number, use, etc. An example of a typical card
used to record calibration information follows.
Schedules
Measuring instruments should be calibrated at periodic intervals established on the basis of stability,
purpose, and degree of usage of the equipment. Intervals between calibrations should be shortened as
required to assure prescribed accuracy as evidenced by the results of preceding calibrations. Intervals
should be lengthened only when the results of previous calibrations indicate that such action will not
adversely affect the accuracy of the system, i.e., the quality of the finished product.
A manufacturer should use a suitable method to remind employees that recalibration is due. For
small manufacturers, calibration decals on the measuring equipment may be sufficient because
recalibration can be tracked by scanning the decals for the recalibration date. For other
manufacturers, a computerized system, calibration cycle cards, tickler file, or the like may be used.
Calibration cycle cards are maintained in a 12-month (12-section) tickler file. There is one card per
item of measuring equipment. The cards in the section of the file for the current month are pulled and
all of the equipment listed is calibrated. For example, in a 6-month calibration cycle, when an
instrument is calibrated in May, the card is moved from the May section to the November section of
the file. When the file is checked in November, the cycle card will be there to remind the
manufacturer that calibration is due. The process is repeated until an event such as instrument wear-
out occurs and the respective cycle card is removed from the file.
Cycle cards are used where a manufacturer has many instruments to be calibrated. It would be rather
difficult to keep track of the calibration of a large number of instruments by reviewing calibration
record cards or scanning the decal on each instrument. It is easier to use a cycle card file. A cycle
card file or equivalent also should be used if the calibration records are filed by type of instrument or
manufacturer rather than due date. A typical cycle card follows. The "calibration card number" blank
refers to the calibration record card for the same item of equipment.
Standards
Where practical, the QS regulation requires that standards used to calibrate equipment be
traceable to the National Institute of Standards and Technology (NIST), or other recognized national
or international standards. Traceability also can be achieved through a contract calibration laboratory
which in turn uses NIST services.
The meaning of traceability to NIST is not always self-evident. Two general methods commonly
used to establish and maintain traceability to NIST are:
• NIST calibration of standards or instruments: When this method is used, private standards are
physically sent to NIST for calibration and returned.
• Standard Reference Materials (SRM's): NIST provides reference materials to be used in a user's
calibration program. These SRM's are widely used in the chemical, biological, medical, and
environmental fields.
Information can be obtained from the "Catalog of NIST Standard Reference Materials,” available
free from the National Institute of Standards and Technology, Office of Standard Reference
Materials, Gaithersburg, MD 20899, phone: (301)975-2016.
When in-house standards are used, they should be fully described in the device master record or
quality system record. Independent or in-house standards should be given appropriate care and
maintenance and should be used according to a written procedure as is required for other calibration
activities. FDA recommends that at least two in-house standards be maintained – one for routine use
and one for a back-up.
Calibration Environment
As appropriate, environmental controls should be established and monitored to assure that measuring
instruments are calibrated and used in an environment that will not adversely effect [sic] the accuracy
required. Consideration should be given to the effects of temperature, humidity, vibration, and
cleanliness when purchasing, using, calibrating, and storing instruments.
Many manufacturers use contract calibration laboratories to calibrate their measurement and test
equipment. If this is the case, FDA views the contract laboratory as an extension of the
manufacturer's GMP program or quality system. Normally FDA does not inspect contract laboratory
facilities, but it does expect the manufacturer to assess the contract lab to verify that proper
procedures are being used. Generally, the manufacturer of the finished device is responsible for
assuring the device is manufactured under an acceptable quality system.
When a medical device manufacturer uses a contract calibration laboratory, FDA expects the
manufacturer to have evidence that the equipment was calibrated according to the GMP
requirements. The device manufacturer can do this by:
• requiring and receiving certification that the equipment was calibrated under controlled conditions
using traceable standards;
• maintaining an adequate calibration schedule;
• maintaining records of calibration; or
• periodically auditing the contractor to assure appropriate and adequate GMP procedures are being
followed. For example, the contractor should have:
• written calibration procedures;
• records of calibration;
• trained calibration personnel; and
• standards traceable to NIST or other independent reproducible standards.
Certification notes and data should include accuracy of equipment when received by the lab to
facilitate remedial action by the finished device manufacturer, if necessary. Certification should also
include accuracy after calibration, standards used, and environmental conditions under which the
equipment was calibrated. The certification should be signed and dated by a responsible employee of
the contract lab.
If in-house standards are used by a contractor to calibrate device-related measuring equipment, these
standards shall be documented, used, and maintained the same as other standards.
A good quality system shall include calibration activities. However, proper calibration will be of
little use unless the applications of the measurement equipment are properly developed and qualified
during the preproduction development of inspection test methods and procedures. As stated,
effectiveness depends on the participation and influence of QA and production management at the
preproduction stage. Calibration of equipment cannot correct poor design of products nor can it
compensate for poor applications of equipment and techniques. It is the continued use of a complete,
integrated quality system, which assures that safe and effective devices are produced.
EXHIBITS
Examples of calibration cards, decals, and cycle cards were presented above in the text. Examples of
a device cleaning procedure and a calibration procedure follow. Manufacturers may use these as
presented if they match the manufacturers operations; or may modify them to meet specific
requirements.
This is a calibration procedure for mechanical measuring tools. In actual use, the initial accuracy of
each tool is checked using the procedure and is recorded. Thereafter, each tool is recalibrated
(checked) versus the initial accuracy. Of course, the initial accuracy should meet or exceed the
requirements of the measurements to be made with the tool. Precision is checked by making several
measurements at various points on the tool's measuring face (surface).
Sheet 1 of 1
Drafted by______________________________App.________________Date____________
PURPOSE:
This procedure establishes a standard method for the calibration and maintenance of mechanical
measuring tools such as micrometers, calipers, etc.
SCOPE:
All measuring tools used to set specifications or measure conformance to specifications, such as
micrometers, calipers, etc., will be included in the calibration program. Each tool will be assigned a
number and checked every six months for accuracy. If you suspect a tool is damaged or out of calibration,
it should be removed from service and brought to the Quality Control Lab (QC) for checking. To enter a
tool in the program, take it to QC where a number will be assigned and initial accuracy checked and
recorded.
PROCEDURE:
1. Each measuring tool shall be kept clean and maintained in a protective container. As needed, all
threads and slides shall be lubricated with a fine tool oil to assure free movement.
2. The calibration shall be done by a comparison to standard gage blocks traceable to the National
Institute of Standards and Technology standard with an accuracy 3 to 10 times greater than that of the
measuring tool.
3. The comparisons shall be made at different points along the measuring range of the tool. The gage
blocks used shall be picked at random to assure that the measuring tool is not checked at the same points
on each calibration cycle. When a measurement is made, move the gage blocks from one side of the tool's
measuring face to the other on an X/Y axis to assure no wear or taper exists on the measuring faces.
4. Measurement tools not intended for testing or manufacturing do not require calibration in accordance
with the QS regulation. These tools should be kept out of manufacturing or labeled to avoid inadvertent
use. Otherwise, they should be entered in this calibration program.
5. After calibration, the date of calibration and the next due date of calibration shall be recorded on the
Calibration Form No._______. Any adjustments and/or repairs to be recorded. The form is placed in the
tickler file according to the next calibration date.
6. If a tool is found to be out of calibration, the QC lab will immediately pass the out-of-calibration
information to the appropriate supervisor in the department where the tool is used. The Department and
QC management will take appropriate remedial action for affected in-process or finished devices.