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GENERAL OPERATIONS MANUAL FOR ASTM

PRODUCT CERTIFICATION PROGRAM

INTERNATIONAL

Standards Worldwide

Issued September 25, 2012 Version 5.0

© BY AMERICAN SOCIETY FOR TESTING AND MATERIALS INTERNATIONAL

ASTM International

100 Barr Harbor Drive, West Conshohocken, PA 19428

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CONTENTS

1. Preface.................................................................................................................................................. 4 1.1 Purpose ............................................................................................................................................ 4 1.2 Authority .......................................................................................................................................... 4 1.3 Committee on Certification Programs ................................................................................................. 4 1.4 Maintenance of General Operations Manual ....................................................................................... 4

2. ASTM Product Certification Program .................................................................................................. 4 2.1 Introduction ...................................................................................................................................... 4 2.2 Benefits ............................................................................................................................................ 4

3. References ............................................................................................................................................ 5 4. Initiation of a Program ......................................................................................................................... 5

4.1 Request for a Program ...................................................................................................................... 5 4.2 Determination of Need ....................................................................................................................... 5

5. Committee on Certification Programs (CCP) ........................................................................................ 5 5.1 Scope ........................................................................................................................................ 5 5.2 Bylaws ............................................................................................................................................. 5

6. ASTM Staff .......................................................................................................................................... 5 6.1 Department on Certification Programs ............................................................................................... 5 6.2 ASTM Headquarters Staff Support ...................................................................................................... 6

7. Technical Advisory Committee (TAC) for Specific Product Certification Program ............................... 6 7.1 Membership ...................................................................................................................................... 6 7.2 Officers ............................................................................................................................................ 6 7.3 Development of a Product-Specific Operations Manual ........................................................................ 7 7.4 Meetings........................................................................................................................................... 7 7.5 Minutes ............................................................................................................................................ 7

8. Subcontracting of Product Sampling, Testing, and Inspection ............................................................... 7 8.1 Third-Party Laboratory ..................................................................................................................... 7 8.2 Product Selection and Testing ............................................................................................................ 7

9. Governing Documents of the ASTM Product Certification Program ..................................................... 7 9.1 General ............................................................................................................................................ 7 9.2 License Agreement ............................................................................................................................ 7 9.3 Contract with Third-Party Laboratory(s) ............................................................................................ 8 9.4 General Operations Manual for ASTM Product Certification Programs ................................................ 8 9.5 Operations Manual for Product Specific Programs .............................................................................. 8 9.6 ASTM Directory of Certified Products ................................................................................................ 8

10. Participant Contacts ........................................................................................................................... 8 10.1 Responsibilities of Compliance Officer Contact ................................................................................. 8 10.2 Responsibilities of the Billing Contact ............................................................................................... 8 10.3 Updating Contacts .......................................................................................................................... 9

11. Certification Process ........................................................................................................................... 9 11.1 Information Concerning a Specific Certification Program .................................................................. 9 11.2 Application ..................................................................................................................................... 9 11.3 Application Evaluation .................................................................................................................... 9 11.4 Evaluation by Third-Party Laboratory .............................................................................................. 9 11.5 Decision on Granting Certification ................................................................................................... 9 11.6 Surveillance .................................................................................................................................. 10 11.7 Changes in the Certification Requirements ...................................................................................... 10 11.8 Changes in a Participant’s Product ................................................................................................ 10 11.9 Reduction, Suspension, or Termination of Certification .................................................................... 10 11.10 Records Retention ....................................................................................................................... 10

12. Certification Fees .............................................................................................................................. 10 12.1 Explanation of Licensing Fee ......................................................................................................... 10 12.2 Explanation of Testing Fee ............................................................................................................. 11 12.3 Travel-Related Expenses ................................................................................................................ 11 12.4 Shipping Costs .............................................................................................................................. 11 12.5 Schedule of Certification Fees ........................................................................................................ 11

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12.6 Termination from the Program ....................................................................................................... 11 13. Proper Use of the ASTM Certification Mark and Claims to Certification ......................................... 11

13.1 Displaying the ASTM Certification Mark on Products ...................................................................... 11 13.2 Displaying ASTM Certification Marks in Advertisements, Product Packaging, Brochures, Fliers,

Catalogs, News Releases, Websites, and Any Other Promotional Communication ...................................... 12 13.3 Obtaining Certification Marks ........................................................................................................ 13 13.4 Issuing Corrections to Publications ................................................................................................ 13 13.5 Unauthorized Claims to ASTM Certification .................................................................................... 13

14. Comments and Complaints, Violations, Suspension, or Termination of Certification ........................ 13 14.1 Registering Comments and Complaints ........................................................................................... 13 14.2 Program Violation ........................................................................................................................ 13 14.3 Appealing a Program Violation ...................................................................................................... 14 14.4 Suspension of Certification............................................................................................................. 14 14.5 Termination of Certification ........................................................................................................... 14 14.6 Notification of Program Suspension or Termination of Certification .................................................. 14 14.7 Termination for Nonpayment of Fees .............................................................................................. 14 14.8 Reinstatement ............................................................................................................................... 14

15. Appeals Process ................................................................................................................................ 14 15.1 Appealing a Program Violation ...................................................................................................... 14

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GENERAL OPERATIONS MANUAL FOR ASTM PRODUCT CERTIFICATION

PROGRAMS

1. Preface

1.1 Purpose—The purpose of the General Operations Manual for ASTM Product

Certification Programs is to provide procedures and policies that are common to all ASTM

product certification programs. This manual is to be used in conjunction with the product-

specific operations manual issued for each individual certification program. The product-

specific operations manual contains additional procedures and policies relevant to the subject

product.

1.2 Authority—The General Operations Manual for ASTM Product Certification

Programs is by the authority of the ASTM International charter, bylaws, and the ASTM

Board of Directors.

1.3 Committee on Certification Programs—The Committee on Certification Programs

(CCP) is a standing committee of the Society and has the following responsibility as stated in

its scope: “CCP develops, maintains, interprets, and enforces the General Operations Manual

for ASTM Certification Programs and acts upon recommended changes.”

1.4 Maintenance of General Operations Manual—This manual is prepared, maintained,

and revised by CCP, subject to approval of the ASTM Board of Directors.

2. ASTM Product Certification Program

2.1 Introduction—The ASTM Product Certification Program is sponsored and

administered by ASTM International. All programs are developed to meet the requirements of

ISO/IEC Guide 65 General Requirements for Bodies Operating Product Certification

Systems. A product receiving certification through the program receives evaluation services

(sampling, testing, and/or inspection) by a third-party laboratory, selected by ASTM, to

determine the product’s ability to meet or conform to one or more ASTM standards or a part

of a standard. Any manufacturer, distributor, or private brand marketer of a product that falls

within the scope of an ASTM certification program, whether domestic or international, is

eligible to have its product(s) apply for ASTM certification.

2.2 Benefits—The ASTM Product Certification Program is beneficial to manufacturers,

the industry as a whole, and its consumers because it:

2.2.1 Increases consumer confidence through independent testing that verifies that the

product tested meets the parameters covered by the certification program,

2.2.2 Provides a level playing field for manufacturers as competing products are tested to

the same standard,

2.2.3 Addresses regulatory pressure, and

2.2.4 Includes listing in the ASTM Directory of Certified Products.

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3. References

ISO/IEC Guide 28 Conformity Assessment-Guidance on Third-Party Certification for

Products

ISO/IEC Guide 65 General Requirements for Bodies Operating Product Certification

Systems

ISO/IEC 17020 General Requirements for Inspection Bodies

ISO/IEC 17025 General Requirements for the Competence of Calibration and Testing

Laboratories

4. Initiation of a Program

4.1 Request for a Program— Requests to create a specific product certification program

can come from ASTM technical committees or industry—usually manufacturers, purchasers,

or government. A request form is available on the ASTM website.

4.2 Determination of Need—The ASTM Department on Certification Programs, with

input from the appropriate ASTM technical committee and key stakeholders, will determine

whether there is sufficient interest from industry to initiate a new program. If a need appears

to exist, ASTM will seek approval from the CCP, establish a technical advisory committee

(TAC) for the specific product certification program, and coordinate the development of the

new program.

5. Committee on Certification Programs (CCP)

5.1 Scope—CCP is a standing committee of the ASTM Board of Directors that is

responsible for: development and interpretation of policies, the approval and dissolution of all

certification programs, and handling appeals of program violations and complaints. CCP

develops, maintains, and interprets the general operations manual for ASTM certification

programs and provides final approval for the product/personnel-specific operation manuals.

5.2 Bylaws—The CCP bylaws contain details on the functions, responsibilities,

membership, officers, meetings, and other duties.

6. ASTM Staff

6.1 Department on Certification Programs—The department shall have overall

administrative and management responsibility for the certification program and will be

responsible for the following functions:

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6.1.1 Third-Party Laboratories—Contracting with and monitoring the third-party

laboratory(s) performance of sampling, testing, and inspection.

6.1.2 Technical Advisory Committees (TACs)—Establish and provide administrative

support to the TAC established for each specific certification program including the

development and maintenance of a product-specific operations manual for each program.

6.1.3 Application Forms—Develop application forms for all programs including

instructions and fee schedules.

6.1.4 License Agreements—Responsible for development and execution of license

agreements with participants that covers the granting, extending, reducing, suspending, or

withdrawing certification; use of the ASTM certification mark; payment of fees;

confidentiality; and other matters.

6.1.5 Budgets and Finances—Development and supervision of the budgets and financial

matters of the specific programs. The ASTM Board of Directors approves the certification

program budgets.

6.1.6 Records Management and Retention—Maintain a records retention program that

insures the integrity of the process and the confidentiality of the information. Records include

items such as: application forms; evaluation reports; surveillance activities; documents

pertaining to the granting, maintaining, extending, reducing, suspending, or withdrawing

certification; and appeals and complaints.

6.1.7 Policies and Procedures—Provides supervision of the implementation of all policies

and procedures including responsiveness to complaints and ensuring impartiality.

6.1.8 Issuance of Certification—Coordinates the receipt of all certification information

and issues the approval or disapproval to the participant with appropriate information.

6.2 ASTM Headquarters Staff Support—The ASTM Department on Certification

Programs will have resources available from the ASTM staff including the following areas:

Technical Committee Operations, Legal, Accounting and Financial Services, Human

Resources, Information Technology, and Publications and Marketing.

7. Technical Advisory Committee (TAC) for Specific Product Certification Program

7.1 Membership—The TAC will be made up, when possible, of representatives from

among the following groups to insure a balance of interests: manufacturers, suppliers, users,

consumers, government agencies, third-party laboratory(s), and representatives of the ASTM

technical committee. Membership should be reviewed annually for balance of interests and

continued interest in participation. A roster of the TAC members will be developed and

maintained by the ASM staff.

7.2 Officers—A chairman shall be elected by the TAC members to serve for a three-year

term and can be re-elected for a second three-year term. A member of the ASTM staff will

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serve as the Secretary for the TAC providing needed administrative support.

7.3 Development of a Product-Specific Operations Manual—The TAC will have

responsibility, along with the ASTM staff, to draft a product-specific operations manual. The

manual will contain detailed information for the program including: the relevant standards or

parts thereof with which to be certified; requirements for sampling, testing, and inspection;

requirements and listing of third-party laboratories; and other functions as needed.

7.4 Meetings—The TAC will conduct meetings as needed to address program

requirements and technical issues that arise during administration of the program. Meetings

will be conducted electronically (using web tools) when possible. Meetings will be organized

by the ASTM staff.

7.5 Minutes—The ASTM staff will prepare, distribute, and store minutes of all meetings.

8. Subcontracting of Product Sampling, Testing, and Inspection

8.1 Third-Party Laboratory—For each program, a third-party laboratory(s) is contracted

by ASTM to provide sampling, testing, inspection, and/or other services as detailed in the

product-specific operations manual. The contractual agreement will include details to cover

confidentiality, conflicts of interest, impartiality, and competency. ASTM will maintain

responsibility for maintaining, extending, reducing, suspending, or withdrawing certification

as detailed in Sections 10 and 14. Evaluation of the third-party laboratory’s report and the

decision on certification shall be made by ASTM.

8.1.1 Evaluation services shall be done by third-party laboratories that have demonstrated

compliance with the requirements of ISO/IEC Guide 17025 and ISO/IEC Guide 17020.

ASTM shall obtain documentation to show that it has checked the status of their accreditation

and maintain such records.

8.1.2 If a specific certification program permits the use of corporate/government testing

facilities, the necessary requirements for such testing facilities shall be included in the

product-specific operations manual. ASTM shall obtain documentation that ensures that the

testing facility is fully competent and meets all requirements.

8.2 Product Selection and Testing—Refer to the product-specific operations manual for

sampling, testing, inspection, and surveillance requirements.

9. Governing Documents of the ASTM Product Certification Program

9.1 General—Participants are required to abide by the provisions of all the governing

documents, including any legal and accounting requirements. Failure to do so will result in

program violations and/or termination from the certification program or ineligibility to

participate. All documents are stored on secure servers at ASTM Headquarters.

9.2 License Agreement—The contractual agreement between the participant and ASTM

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obligates the participant to have its product tested in accordance with program rules. The

agreement grants the participant a nonexclusive license to claim ASTM certification and use

the ASTM certification mark in accordance with program rules. ASTM or the participant may

nullify the agreement according to the terms of the license agreement. ASTM may terminate

the participant’s use of the ASTM certification mark and participation for violation of

program rules or requirements. This document is developed and maintained by the

certification program staff and ASTM legal counsel. The current version is available to the

public on the ASTM website.

9.3 Contract with Third-Party Laboratory(s)—The contractual agreement between ASTM

and a third-party laboratory that provides evaluation services. It shall include rules defining

confidentiality and independence from commercial and other interests. This document is

developed and maintained by the certification program staff and ASTM legal counsel.

9.4 General Operations Manual for ASTM Product Certification Programs—The General

Operations Manual for ASTM Product Certification Programs outlines the procedures and

policies that are common to all ASTM product certification programs. The current manual is

available on the ASTM website. Participants will be notified when substantive changes are

made to the manual. This manual is under the responsibility of the CCP. The current version

is available to the public on the ASTM website.

9.5 Operations Manual for Product Specific Programs—The product-specific operations

manual contains additional procedures and policies that are relevant to the specific product.

When the General Operations Manual and the Product-Specific Operations Manual differ,

the Product-Specific Operations Manual shall prevail. This manual is developed and

maintained by the TAC for a specific program. The current manual is available on the ASTM

website. Participants will be notified if substantive changes are made to the manual that

impact their participation in the program.

9.6 ASTM Directory of Certified Products—The directory contains the names of

manufacturers and their products that are currently certified. The directory is developed and

maintained by the Certification Program staff. The directory is available to the public on the

ASTM website.

10. Participant Contacts

10.1 Responsibilities of Compliance Officer Contact—Each participant is to designate an

ASTM Certification Program compliance officer. This person is responsible for overseeing

and ensuring the participant’s compliance with the ASTM Certification Program

requirements. This person will serve as the primary point of contact for issues relating to

license agreements, all aspects of ASTM certification testing, certified directory listings,

program violations or terminations or both, and any questions of a technical nature.

10.2 Responsibilities of the Billing Contact—Each participant is to designate a billing

contact. This person will receive all invoices related to ASTM certification and is responsible

for invoice approval and payment.

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10.3 Updating Contacts—It is the responsibility of the participant to maintain current

contacts and notify ASTM immediately of any changes.

11. Certification Process

11.1 Information Concerning a Specific Certification Program—ASTM will provide on

its website the following information for each certification program: title; fee information;

overview of the program; benefits of the program; requirements for program participation;

application form; and key documents such as the General Operations Manual for ASTM

Product Certification Programs, the product-specific operations manual, and the license

agreement between ASTM and the participant.

11.2 Application—An application for certification will be available on the ASTM website.

All applicants shall complete and return an application committing them to comply with all

requirements of the certification program and supply all information needed for completing

the evaluation of the application. Failure to complete the application fully and accurately will

void the applicant’s participation in any ASTM program.

11.3 Application Evaluation—The Department on Certification Programs will review

applications to confirm that the ASTM Product Certification Program covers the requested

certification and the applicant has provided all necessary information. ASTM will

communicate with the participant to obtain missing information or clarify any difference of

understanding.

11.4 Evaluation by Third-Party Laboratory—A third-party laboratory will provide the

evaluation services as documented in Section 11 and the product-specific operations manual.

The report shall be provided to the ASTM Department on Certification Programs and the

participant.

11.5 Decision on Granting Certification—The ASTM Department on Certification

Programs will review all information for completeness and promptly provide a decision on

whether certification is granted or not granted. The notification shall identify any

nonconformity that has to be discharged to comply with all of the certification requirements

and the extent of further evaluation or testing required. If the applicant shows that remedial

action has been taken to meet all the requirements within a specified time limit, the

participant will only repeat the necessary parts of the certification process.

11.5.1 Certification Documentation—Certified organizations will receive a letter signed

by the Director of Certification Programs containing the following information:

11.5.1.1 ASTM International with address identified as the certification body;

11.5.1.2 Reference to the standard(s) or other relevant documents, including issue date, on

which the certification is based;

11.5.1.3 Scope of the certification, including validity conditions and limitations;

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11.5.1.4 Effective date of certification and the date of expiration;

11.5.1.5 Provide license agreement, product-specific operations manual, and ASTM

certification mark and instructions; and

11.5.1.6 Provide information concerning any ongoing evaluation, inspection, or testing

requirements under the specific program.

11.6 Surveillance—The surveillance process monitors the participant’s compliance with

relevant provisions of the certification program. If surveillance is required, it will be

documented in the product-specific operations manual. The Director of Certification

Programs is responsible for overseeing the surveillance process for each certification

program.

11.7 Changes in the Certification Requirements—When there are revisions to an

applicable standard or the product-specific operations manual or both, ASTM will notify the

program participants of such changes. ASTM with input from the TAC will decide on the

precise form and the effective date of the changes.

11.8 Changes in a Participant’s Product—ASTM shall be immediately notified of any

changes to the certified product and informed whether the participant believes such changes

to their product will affect their certification. ASTM will determine whether any action is

necessary or if the certification will be withdrawn. If recertification is required, it will be done

in a timely manner. During recertification, the participant may no longer represent the

product is certified or conforms to the relevant standard(s). The recertification requirements

ensure that certified products continue to comply with the current certification requirements.

The Director of Certification Programs is responsible for executing the recertification

requirements for each certification program.

11.9 Reduction, Suspension, or Termination of Certification—Whether through

surveillance or changes affecting certification, it is determined by ASTM that there are

nonconformities with certification requirements, a decision shall be made whether to continue

(after re-inspection or recertification), reduce the scope, suspend, or terminate certification. If

it is determined that certification should be suspended or terminated, the provisions in Section

14 shall be followed.

11.10 Records Retention—The ASTM Records Retention Program available from ASTM

will be used. It contains controls needed for identification, storage, protection, retrieval,

retention time, disposition, and confidentiality.

12. Certification Fees

12.1 Explanation of Licensing Fee—The licensing fee permits the participant to claim its

product meets the requirements of the product-specific certification program and use the

ASTM certification mark for its products. The licensing fee will be based on sales volume,

units, or a flat fee depending on the specific program.

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12.2 Explanation of Testing Fee—Testing fees cover the costs associated with product

testing for conformance to the appropriate standards. The testing fee will be a reflection of

the number of required annual ASTM certification program tests. No test will be conducted

without prior payment.

12.2.1 Other Testing Fees—When applicable, participants will be assessed fees for

second sample tests or replacement sample tests and any other fees required to test the

participant’s samples.

12.2.2 Exclusions—The testing fee does not cover private tests or any tests that are

requested by the participant that are beyond the requirement for ASTM certification testing or

without ASTM’s approval. The testing laboratory will invoice the participant directly for

private tests or any test-related expenses or both that is requested by the participant.

12.3 Travel-Related Expenses—For programs supporting laboratory oversight testing, the

ASTM Certification Program testing fee only covers the costs associated with product testing.

The testing laboratory will invoice the participant directly for any travel-related expenses

incurred by the laboratory representative to conduct the witness testing.

12.4 Shipping Costs—The manufacturer is responsible for sample shipping costs to and

from the test laboratory unless the product-specific operations manual specifies which party

(the participant, ASTM, or the laboratory) is responsible for payment of shipping costs for the

test sample.

12.5 Schedule of Certification Fees—The current schedule of certification charges for

each specific program can be found on the ASTM website.

12.6 Termination from the Program—Barring any outstanding payments owed to ASTM,

a participant that voluntarily withdraws or is terminated from the certification program will

receive a refund for paid testing fees that have not yet been applied towards product testing.

Licensing fees will not be refunded. ASTM will not provide refunds to participants that have

any outstanding certification fee invoices.

13. Proper Use of the ASTM Certification Mark and Claims to Certification

13.1 Displaying the ASTM Certification Mark on Products—The ASTM certification

mark shall be displayed on the product or product packaging or both.

13.1.1 The ASTM certification mark on a product means that a third-party laboratory has

tested and evaluated representative samples of that product and determined that they meet

ASTM requirements. Under some programs, products are periodically checked at the

manufacturing facility to make sure they continue to meet ASTM requirements. The ASTM

certification marks may be used only on or in connection with products certified by ASTM

and under the terms of written agreement with ASTM.

13.2 Displaying ASTM Certification Marks in Advertisements, Product Packaging,

Brochures, Fliers, Catalogs, News Releases, Websites, and Any Other Promotional

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Communication—The following guidelines and rules shall be used:

13.2.1 Any references to ASTM in promotional materials shall be complete and accurate.

13.2.2 Make sure the ASTM product-specific certification mark appropriate for the

product certified is used.

13.2.3 The ASTM certification mark should never appear more prominently in any

advertising or packaging than the name of the company manufacturing or selling the product.

13.2.4 Products certified by other organizations, tested to ASTM standards, cannot bear

any ASTM certification mark on them or in connection with their advertising unless

authorized participants.

13.2.5 Do not use any ASTM product certification mark or reference ASTM product

certification on company stationery, business cards, or signs. Use of these references on such

materials could incorrectly imply more than a third-party safety or performance verification

certification relationship between your company and ASTM or incorrectly imply that all

products you manufacture have been certified by ASTM.

13.2.6 If you use an ASTM certification mark on your website, you shall ensure that

visitors to your website are able to identify clearly which of your products have been certified

by ASTM and which have not.

13.2.7 References to ASTM can be made only once you are authorized by ASTM to use

the ASTM certification mark on your product.

13.2.8 No degree of acceptability, level of safety, or protection should be implied in

promotional materials.

13.2.9 If ASTM product certification is withdrawn for any reason, all material that refers

to this certification shall be immediately removed from distribution and further use of any

ASTM certification marks shall be immediately discontinued.

13.2.10 If some products appearing in a website, brochure, advertisement, or catalog are

entitled to bear the ASTM certification mark but others are not, you shall ensure the wording

and placement of ASTM references make it clear which products are, in fact, certified by

ASTM and which are not. Do not use the ASTM certification mark in general advertising or

promotional material to suggest that noncertified products have, in fact, been certified.

13.2.11 The ASTM symbol and any words used to describe product certification shall be

large enough to be clearly recognized and read by customers.

13.2.12 Do not try to reproduce the ASTM certification mark. Only use an authorized

ASTM certification mark, which can be downloaded from the secure ASTM certification

webpage. Make sure to use one color for all elements of the ASTM certification mark.

13.2.13 Do not use the ASTM certification mark on packaging for products that are not

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ASTM certified.

13.2.14 ASTM may prohibit, in its sole discretion, or require modification of any

proposed use by a participant of its certification mark on any promotional materials.

13.3 Obtaining Certification Marks—The product-specific certification mark will be

made available to participants upon notification of their certification approval by the ASTM

Department on Certification Programs.

13.4 Issuing Corrections to Publications—Whenever a product is no longer certified as a

result of test failure, nonpayment of fees, other termination, or withdrawal from the program,

the participant shall immediately cease the use of the ASTM certification mark and name in

all advertisements, specifications, literature, software, websites, and so forth, including on the

product itself. The participant shall notify ASTM within 21 days of the steps being taken.

13.5 Unauthorized Claims to ASTM Certification—Unauthorized claims to ASTM

certification should be reported to ASTM. Any unauthorized manufacturer claiming ASTM

certification will be required immediately to cease use of the ASTM certification mark and

remove claims of certification from all product literature. Failure to do so will result in legal

action.

14. Comments and Complaints, Violations, Suspension, or Termination of Certification

14.1 Registering Comments and Complaints—Comments and complaints regarding the

operation of a product-specific ASTM certification program are to be submitted, in writing, to

the ASTM Department on Certification Programs. This may include claims such as: non-

impartiality, discriminatory conditions, and violations of confidentiality. They will be noted

in the certification program’s quality system documentation, and the sender will receive a

written or verbal response regarding ASTM’s intended action

14.1.1 Complaints to Participant—The participant shall keep a record of all complaints

made known to the participant related to the product’s compliance with the requirements of

the relevant standard and shall make these records available to ASTM when requested. The

participant shall take action to correct any deficiencies found that affect compliance with the

requirements for certification and document such actions.

14.2 Program Violation—When a participant breaches a term(s) of the governing

documents, they will receive a program violation letter via certified mail from the ASTM

Director of Certification Programs. The violation letter will outline what program term(s) has

been breached, request for provisions of corrective action, and instructions for appeal.

14.2.1 Corrective Action—The participant shall respond within 30 calendar days, in

writing, to the ASTM Director of Certification Programs detailing what action has been taken

to correct the violation. All corrective action is subject to review and approval by ASTM.

14.2.1.1 Program Violation Corrected—If the participant has corrected the violation, the

participant will receive acknowledgement from ASTM’s Director of Certification Programs.

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14.2.1.2 Program Violation Not Corrected—If the participant has not satisfactorily

corrected the violation, the participant will receive a second program violation letter. From

the date of the letter, the participant shall have 15 calendar days to make corrections or file an

appeal.

14.3 Appealing a Program Violation—The participant has 15 calendar days from the date

of the violation letter to file an appeal of the violation. The appeals process is documented in

Section 15 of this manual. Failure to file an appeal within 15 calendar days from the date of

the violation letter forfeits the participant’s opportunity to appeal the violation at a later date.

14.4 Suspension of Certification—A participant who has filed an appeal may be

suspended from the program as detailed in the product-specific operations manual until the

appeal is held. If the appeal is upheld, the suspension will be lifted. If the appeal is denied, the

participant’s certification will be withdrawn.

14.5 Termination of Certification—A participant is subject to termination from a

certification program for having a program violation or failing to fulfill program obligations

set forth in the governing documents. Termination voids the signed license agreement and

cancels the participant’s right to claim ASTM certification. Upon termination, the

participant’s listing is immediately deleted from the ASTM Directory of Certified Products.

The participant shall discontinue claiming certification immediately. The participant shall

promptly remove ASTM certification marks from products and all known advertising

literature, specifications, software, websites, and so forth that make claims of ASTM

certification.

14.6 Notification of Program Suspension or Termination of Certification—The participant

will promptly receive from ASTM a notification confirming its suspension or termination.

14.7 Termination for Nonpayment of Fees—A participant may be terminated from the

program for nonpayment of certification fees if 30 calendar days have passed since an

invoice’s due date and ASTM has not received payment.

14.8 Reinstatement—A former participant can be reinstated to the program according to

the procedures contained in the product-specific operations manual. Before reinstatement, the

former participant is required to provide payment for any outstanding ASTM certification

invoices. Upon ASTM receiving all outstanding payments, the applicant may proceed with

the reinstatement process.

15. Appeals Process

15.1 Appealing a Program Violation—Appeals of a program violation will be conducted

at the request of the participant. To be considered, a written request for an appeal shall be sent

to the ASTM Director of Certification Programs, who will coordinate and schedule the appeal

hearing with the ASTM Committee on Certification Programs, within 15 calendar days of the

date on the violation letter. The written appeal shall be specific in stating the reason(s) the

violation is unwarranted and, if available, include supporting evidence indicating that a

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program violation was not committed. Such information should be received by ASTM at least

30 calendar days in advance of the hearing date to allow sufficient time for distribution and

review. If an appeal is not received within the time frame allotted, the violation will be

upheld. As appropriate a representative of the TAC, the third-party laboratory, or the certification

program staff shall have the opportunity to respond, in writing.

15.1.1 Conducting an Appeal—Appeals are conducted via a hearing in which the CCP

votes to uphold, modify, or overturn the subject program violation. Appeal hearings are

typically held at ASTM Headquarters in the presence of the participant. If an appeal hearing

at ASTM Headquarters will be significantly delayed because of the next meeting date of the

CCP, a virtual meeting will be scheduled. The appellant and, as appropriate, a representative

of the TAC, the third-party laboratory, or the certification program staff shall be invited to

attend. The participant shall participate in the appeal hearing or else forfeit the appeal. In such

a case, the program violation stands and no further appeal can be made.

15.1.2 Format of an Appeal Hearing—The hearing will provide an opportunity for the appellant to

present their objection orally, the certification program representative to provide orally a response,

and members of the CCP to question the representatives on the issues raised in the appeal.

15.1.3 Quorum and Voting Requirements—A quorum of at least two thirds of the

members of the CCP shall be available to hold the appeal hearing. A two-thirds vote of the

reviewing body present is required to overturn a violation. In the case of a tie, the program

violation will stand.

15.1.4 Notification—The CCP will inform the participant of its decision as soon as

possible after the hearing and follow up with written confirmation. The participant has 15

calendar days from the date of the CCP notice to take any required corrective action and

notify the Director of the Certification Program. If the violation is not corrected within the

time frame allotted, the participant’s listing(s) will be withdrawn and removed from the

ASTM Directory of Certified Products. If corrective action is taken and completed by the

participant in a reasonable period of time after the allotted time frame, the participant will be

permitted to apply for reinstatement. Information provided to the CCP by the appeal

participants is to be kept confidential.