QUALITY MANAGEMENT

GUIDE IN BIOMEDICAL
LABORATORIES
 QUALITY MANAGEMENT GUIDE
IN BIOMEDICAL LABORATORIES

Ordre professionnel des technologistes médicaux du Québec

281 Laurier Ave. East, Montreal, Quebec H2T 1G2
Tel. 514-527-9811 – 1-800-567-7763 Fax 514-527-7314
E-mail [email protected] Web site www.optmq.org

ISBN : 978-2-9816759-3-4 (PDF version)

Legal deposit - Bibliothèque et Archives nationales du Québec, 2017
Library and Archives, Canada, 2017

This text is a translation of the Guide de gestion de la qualité dans les laboratoires de biologie médicale, translated
with the approval and permission of the Ordre professionnel des technologistes médicaux du Québec
at the request of the Biomedical technology Program of Dawson College. This project was funded by
the Canada-Québec Agreement on Minority-Language Education and Second-Language Instruction.
The original document (Quality in Biomedical Laboratories – Rules of Practice, Second Edition) was translated
by Helen D. Elliot and collaborators with formatting by the Centre collegial de développement de
materiel didactique (CCDMDM). The changes made to this new edition were translated by Anne-Marie
Martel, T.M. from the Ordre professionnel des technologistes médicaux du Québec.

Readers should consult the original French document for the official text if needed.
 Quality Management Guide in Biomedical Laboratories

FOREWORD

This document is the English translation* of the OPTMQ (Ordre professionnel des
technologistes médicaux du Québec) guide with regard to quality management in biomedical
laboratories. This guide replaces the second edition of the rules of practice of the OPTMQ
titled Quality in Biomedical Laboratories, published in 2010. This document was revised
according to the periodic document revision process of the standards of practice committee
and was adopted by the Board of Directors of the OPTMQ on October 28, 2017. Only minor
modifications were made pending a full review of this document. These modifications are
presented following this foreword.

In order to carry out its mandate of protecting the public, the OPTMQ oversees the practice
of the profession through its general oversight as well as through the education of its members.
The OPTMQ ensures that its members maintain their competencies and have access to
appropriate tools to guide them as they carry out their duties.

Medical technologists must have the necessary competencies to practice their profession.
These competencies include knowledge, know-how and knowing how to be and act. Although
his role, his involvement and his responsibility varies from among institutions, the medical
technologist must know the policies and procedures in effect in his workplace and comply
with them. The exercise of professional judgment also includes the capacity to apply
established policies and procedures with the necessary diligence and adaptability required by
the circumstances.

The document entitled Les normes de pratique du technologiste médical sets forth the general
competencies which must be mastered by medical technologists. The present guide indicates
the competencies pertaining to activities performed in the biomedical laboratory. It aims to
complete the knowledge and to improve the practice of medical technologists. Its goal is to
collect the information currently available in order to reinforce quality and safety criteria as
they apply to testing conducted in biomedical laboratories with the objective of giving priority
to the well-being of patients and to the quality of the services dispensed. This guide covers not
only the duties of medical technologists but all the tasks performed in biomedical
laboratories—tasks that require the collaboration of several types of interacting participants.
The activities of the various fields of practice vary, and although we have attempted to deal
with all areas, the requirements of an area may go beyond the recommendations of this
document.
This document does not intend to create any new obligations that are not prescribed by law.
The information it contains is not exhaustive and does not replace the regulations in effect.
Given that technology continues to evolve, it will be subject to revision, and any suggestion
likely to improve its content will be considered with interest. All OPTMQ documents
subsequently published will prevail on the requirements stated in this document.
We sincerely thank the following individuals who collaborated in the scientific review of the
previous version of this document: Louise Beauséjour, T.M., Daniel Boutin, T.M., Patrick
Cantin, T.M, Sophie Carbonneau, T.M., Julie Désautels, T.M., Marie-France Gionet, T.M.,
Maureen Jalbert, Reine McGrath, Rose-Marie Moreno, T.M., Jasmine Perron, France Pouliot,
Heidi Salib, and Regina Zver, T.M.

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We thank the following bodies and their representatives for their involvement in the scientific
review of the previous version of this document: Accreditation Canada (Lacey Phillips), the
Association des médecins biochimistes du Québec (Dr Élaine Letendre, President), the
Association des médecins hématologues et oncologues du Québec (Dr Martin A. Champagne),
the Association des médecins microbiologistes-infectiologues du Québec, and the Conseil
québécois d’agrément (Michel Fontaine).
We thank the following individuals and acknowledge their exceptional expertise in reviewing
the previous version of this document : Sergine Lapointe of the Institut national de santé
publique du Québec, Dominique Lapointe, Microbiologist, and Mireille Blouin,
Microbiologist, of the Bureau de normalisation du Québec, Dr Gaston Lalumière, Clinical
Biochemist, of the Société québécoise de biologie clinique in collaboration with Dr Marie-
Josée Champagne, Clinical Biochemist, of the Ordre des chimistes du Québec (including the
collaboration of the OCQ’s clinical biochemistry committee).
We thank the members of the Subcommittee on Quality, who prepared the previous version
of this document: Lynda Godue, T.M., Arleen Jacques and Suzanne Deschênes Dion, F.T.M.
For undated references undated and cited in this document, the references of the most recent
edition of the document apply. The hypertext Internet links in the text were operational at
publication time.
In this document, the term “laboratory” designates an entity that includes medical
technologists and laboratory managers, among others.

* In the event of any discrepancy between the English and French versions, the French version
shall prevail.

Members of the standards of practice committee:

Julie Désautels, T.M.

Suzanne Deschênes Dion, F.T.M., President
Stéphanie Lemay, T.M.
Michèle Pellerin, T.M.
Carolle Robert, T.M.
Anne-Marie Martel, T.M., Scientific Coordinator

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Modifications

The following modifications were made during the course of the review of this document:
 Modification of the title, the foreword, and all references to rules of practice.
Consequently to the new orientations of the standards of practice committee, rules of
practice are replaced by guides.
 Modification of the terms shall, should and can in clause 2.0.
 The term “standard operating procedure” is replaced by “procedure” throughout the
document.
 The term “double identification” is replaced with “presence of two identifiers”
throughout the document.
 The term “personalized identification number” is replaced by “patient-specific
identification number” throughout the document.
 The requirement for the annual revision of documents is replaced by the requirement
to revise documents according to current regulatory requirements in clause 3.6.2
 Modification of the prescription section in clause 10.1.
 Modification of the validity period for prescriptions in clause 10.1.5.
 The text concerning the sample identification is replaced by the instruction to consult
the OPTMQ document titled Prélèvement de sang par ponction veineuse pour fins d’analyse in
clause 10.7.
 The requirement for the record of the person who received the samples is replaced by
a recommendation in clause 10.9.1.
 Modification of the frequency of calibration of thermometers in clause 11.2.4.1.
 Modifications of the requirements for verification and documentation of the
temperature of refrigerators, freezers, and incubators for storage of whole blood and
labile blood components as well as for access to an emergency power source in clause
11.2.4.2.
 A requirement to advise the prescriber of the correction of errors in reports has been
added in clause 12.10.
 Modification of Appendix 10 in regards to the 2015 edition of the CAN/CSA-Z902
Standard Blood and blood components.
 The procedure for illumination adjustment in Appendix 11 was revised.
 The bibliography, the hypertext Internet links and most references were updated.

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TABLE OF CONTENTS

FOREWORD ..........................................................................................................................III
MODIFICATIONS .................................................................................................................. V
TABLE OF CONTENTS ...................................................................................................... VII
1.0 INTRODUCTION............................................................................................................ 1
2.0 DEFINITIONS ................................................................................................................. 2
PART 1 ADMINISTRATIVE REQUIREMENTS OF THE QUALITY MANAGEMENT
SYSTEM .............................................................................................................. 4
3.0 QUALITY MANAGEMENT SYSTEM............................................................................ 4
3.1 ORGANIZATION AND MANAGEMENT OF SERVICES ...................................................................6
Commitment of management of the organization ..........................................................6
Establishment of a quality policy and of the objectives of the quality management
system .....................................................................................................................................6
3.2 QUALITY MANAGEMENT SYSTEM PROCESSES .............................................................................7
Process categories .................................................................................................................7
Process mapping (flowcharts).............................................................................................8
3.3 PROCESS CONTROL ...........................................................................................................................8
Nonconformities ..................................................................................................................9
3.3.1.1 Recording nonconformities ................................................................................................ 9
3.3.1.2 Problem solving in the event of nonconformities ........................................................... 9
Incidents and accidents ........................................................................................................9
3.3.2.1 Recording an incident or an accident .............................................................................. 10
3.3.2.2 Retrospective review of an incident or an accident ....................................................... 10
3.3.2.3 Reporting incidents and accidents ................................................................................... 10
3.3.2.4 Disclosure ........................................................................................................................... 10
3.3.2.5 Reporting transfusion accidents .......................................................................................11
Corrective and preventive action .................................................................................... 11
3.3.3.1 Corrective action ................................................................................................................ 11
3.3.3.2 Preventive action ................................................................................................................ 11
Quality indicators ............................................................................................................... 11
3.3.4.1 The role of indicators ........................................................................................................ 12
3.3.4.2 Characteristics of indicators.............................................................................................. 12
3.3.4.3 Stages of implementation of indicators ........................................................................... 12
3.3.4.4 Examples of indicators ...................................................................................................... 13
Client satisfaction............................................................................................................... 13
Audits .................................................................................................................................. 14
3.3.6.1 Internal audits ..................................................................................................................... 14
3.3.6.2 External audits .................................................................................................................... 14
Management review .......................................................................................................... 14
3.3.7.1 Personnel involved in management review .................................................................... 15
3.3.7.2 Points taken into account in management review ......................................................... 15
Risk management............................................................................................................... 15
3.3.8.1 Risk management committee ...........................................................................................16
3.4 PROCUREMENT AND INVENTORY MANAGEMENT .................................................................. 16
Evaluation of suppliers ..................................................................................................... 16
3.5 DOCUMENT AND RECORD HIERARCHY ..................................................................................... 17

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Quality manual ................................................................................................................... 18

Policies ................................................................................................................................. 18
Procedures .......................................................................................................................... 18
Records ................................................................................................................................ 19
3.6 DOCUMENTATION MANAGEMENT ............................................................................................. 19
Identification of documentation ..................................................................................... 19
Revision of documentation .............................................................................................. 20
Withdrawal of documentation ......................................................................................... 20
Documentation retention schedule ................................................................................ 20
Communication and dissemination of documentation ............................................... 20
PART 2 TECHNICAL REQUIREMENTS OF THE QUALITY MANAGEMENT
SYSTEM ............................................................................................................ 21
4.0 ACCOMMODATION AND ENVIRONMENTAL CONDITIONS ............................ 21
5.0 PERSONNEL ................................................................................................................. 22
5.1 DUTIES AND RESPONSIBILITIES .................................................................................................. 22
Confidentiality .................................................................................................................... 22
Collaboration ...................................................................................................................... 22
5.2 TRAINING AND MAINTENANCE OF COMPETENCIES ............................................................... 23
Training in cardiopulmonary resuscitation .................................................................... 23
Training in pharmacology ................................................................................................ 23
Training for collecting samples via an artificial opening in the human body .......... 23
On-the-job training ........................................................................................................... 23
Continuing education ........................................................................................................ 23
Evaluation of competencies ............................................................................................. 24
6.0 TEACHING AND REFERENCE MATERIAL ............................................................ 24
7.0 INFORMATION SYSTEM MANAGEMENT .............................................................. 24
7.1 ACCESS CODE RESPONSIBILITY ................................................................................................... 25
7.2 INFORMATION SYSTEM PROCEDURES MANUAL ....................................................................... 25
8.0 PROCEDURES IN THE EVENT OF DISRUPTION OF SERVICE ......................... 26
8.1 POWER FAILURE ............................................................................................................................. 26
8.2 INFORMATION SYSTEM FAILURE ................................................................................................. 26
9.0 LABORATORY SAFETY ............................................................................................... 26
9.1 RISK CATEGORIES .......................................................................................................................... 27
9.2 LEGISLATION .................................................................................................................................. 27
9.3 GENERAL ......................................................................................................................................... 27
9.4 SAFETY MANUAL ............................................................................................................................ 28
9.5 OCCUPATIONAL HEALTH AND SAFETY TRAINING .................................................................. 30
9.6 MEDICAL MONITORING PROGRAM............................................................................................. 30
9.7 INTERNAL HEALTH AND SAFETY AUDIT ................................................................................... 30
10.0 PREANALYTICAL PHASE ........................................................................................... 31
10.1 PRESCRIPTION................................................................................................................................. 31
Test prescription ................................................................................................................ 32
Blood component prescription ....................................................................................... 32
Verbal prescription ............................................................................................................ 32
Collective prescription ...................................................................................................... 32
Validity period .................................................................................................................... 32
10.2 OUT-PATIENT WITH OR WITHOUT AN APPOINTMENT............................................................ 32
10.3 PATIENT IDENTIFICATION ........................................................................................................... 33
10.4 PATIENT CONSENT ........................................................................................................................ 33

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Consent to tests ................................................................................................................. 33

Free and informed consent to transfusion .................................................................... 33
10.5 ADMINISTRATION OF MEDICATIONS OR OTHER PRESCRIBED SUBSTANCES FOR ANALYSES
AND TESTS ....................................................................................................................................... 33
Preparation of medications for analyses and tests........................................................ 34
Storage of medications...................................................................................................... 34
Administration of medications ........................................................................................ 34
Recording in patient’s file ................................................................................................. 35
10.6 SAMPLE COLLECTION FOR ANALYSES ........................................................................................ 35
Sample collection manual ................................................................................................. 35
Sample collection procedures .......................................................................................... 36
10.7 SAMPLE IDENTIFICATION ............................................................................................................. 37
Anonymized sample .......................................................................................................... 37
Patient whose identity cannot be determined ............................................................... 37
10.8 SAMPLE STORAGE AND TRANSPORT ........................................................................................... 37
10.9 SAMPLE RECEPTION....................................................................................................................... 38
Recording sample reception............................................................................................. 38
Processing urgent tests...................................................................................................... 38
10.10 SAMPLE ACCEPTANCE AND REJECTION CRITERIA ................................................................... 38
Adequate sample identification....................................................................................... 38
Unique sample ................................................................................................................... 39
Sample quality .................................................................................................................... 39
Processing the request in the event of rejection .......................................................... 39
11.0 ANALYTICAL PHASE ................................................................................................... 40
11.1 PROCEDURES RELATED TO ANALYTICAL ACTIVITIES ............................................................. 40
Equipment procedure manuals ....................................................................................... 41
Product inserts ................................................................................................................... 41
11.2 LABORATORY EQUIPMENT ........................................................................................................... 41
Instruments ......................................................................................................................... 42
11.2.1.1 General requirements ...................................................................................................... 42
11.2.1.2 Inventory ........................................................................................................................... 42
11.2.1.3 Implementing a new instrument .................................................................................... 43
11.2.1.4 Instrument operation....................................................................................................... 43
Reagents .............................................................................................................................. 44
Water used in laboratories ................................................................................................ 44
11.2.3.1 Use of the various water types ....................................................................................... 46
11.2.3.2 Commercial laboratory water ......................................................................................... 46
11.2.3.3 Validation of criteria ........................................................................................................ 46
11.2.3.4 Validation of the water purification system.................................................................. 46
11.2.3.5 Quality control of water .................................................................................................. 47
11.2.3.6 Quality control of glassware washing ............................................................................ 47
Requirements for specific instruments........................................................................... 47
11.2.4.1 Refrigerator, freezer, water bath, and incubator .......................................................... 48
11.2.4.2 Refrigerator, freezer, incubator for storage of whole blood and labile blood
components ................................................................................................................................... 48
11.2.4.3 Autoclaves ......................................................................................................................... 48
11.2.4.4 Balances ............................................................................................................................. 49
11.2.4.5 Centrifuges and cytocentrifuges ..................................................................................... 49
11.2.4.6 Biological safety cabinets ................................................................................................ 49
11.2.4.7 Fume hoods ...................................................................................................................... 50
11.2.4.8 Microscope ....................................................................................................................... 51

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11.2.4.9 Automated pipettes and dilutors....................................................................................51

11.3 CHOICE AND VALIDATION OF AN ANALYTICAL METHOD ..................................................... 52
Correlation between a main device and a support device ........................................... 52
11.4 REFERENCE INTERVALS................................................................................................................ 52
11.5 PREVENTIVE MAINTENANCE ....................................................................................................... 53
11.6 CALIBRATION .................................................................................................................................. 53
Calibration solutions ......................................................................................................... 53
Calibration procedure ....................................................................................................... 54
11.7 QUALITY CONTROL PROGRAM .................................................................................................... 54
General criteria ................................................................................................................... 54
Internal quality control ..................................................................................................... 55
Control samples ................................................................................................................. 55
11.7.3.1 Use of commercial quality control materials ................................................................ 55
11.7.3.2 Controls prepared in-house ............................................................................................ 56
11.7.3.3 Control stability and storage ........................................................................................... 56
11.7.3.4 Control levels.................................................................................................................... 56
Frequency of quality control ............................................................................................ 56
Statistical treatment of quality control ........................................................................... 57
11.7.5.1 Target value and control limits....................................................................................... 57
11.7.5.2 Validation of new control lots........................................................................................ 57
11.7.5.3 Assessment and follow-up of control results ............................................................... 57
11.7.5.4 Reproducibility ................................................................................................................. 57
11.7.5.5 Charts ................................................................................................................................ 58
Quality control of qualitative analyses............................................................................ 58
Quality control of analyses without control materials ................................................. 58
External quality control .................................................................................................... 58
11.8 SENDING OUT ANALYSES TO REFERRAL LABORATORIES....................................................... 59
Selection and evaluation procedures .............................................................................. 59
Contract review .................................................................................................................. 60
Register for samples sent out to a referral laboratory .................................................. 60
Documentation to be provided to a referral laboratory .............................................. 60
12.0 POSTANALYTICAL PHASE ......................................................................................... 61
12.1 VERIFICATION OF THE VALIDITY OF THE ANALYSIS RESULT................................................ 61
Interventions related to alarm signals and error messages.......................................... 61
12.2 BIOLOGICAL VALIDATION OF AN ANALYSIS RESULT .............................................................. 62
12.3 MANAGEMENT OF ALERT AND CRITICAL RESULTS ................................................................. 62
12.4 AUTOMATED VALIDATION........................................................................................................... 63
12.5 REPORT SIGNATURES .................................................................................................................... 63
Electronic signature of reports ........................................................................................ 63
12.6 FORMAT OF THE ANALYSIS REPORT ........................................................................................... 64
Addition of comments to the report .............................................................................. 65
12.7 ISSUING THE TEST RESULTS REPORT .......................................................................................... 65
12.8 TRANSMISSION OF THE REPORT .................................................................................................. 65
Disclosure by telephone ................................................................................................... 66
Use of fax machines .......................................................................................................... 66
Electronic transmission of analysis reports ................................................................... 66
12.9 TEST RESULTS FOR REPORTABLE INTOXICATIONS, INFECTIONS AND DISEASES .............. 67
12.10 CORRECTION OF ERRORS IN REPORTS ....................................................................................... 67
12.11 RETENTION OF REPORTS .............................................................................................................. 67
12.12 RETENTION AND STORAGE OF SAMPLES AFTER ANALYSIS ................................................... 68
12.13 SAMPLE DISPOSAL .......................................................................................................................... 68

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12.14 DESTRUCTION OF DOCUMENTS CONTAINING PERSONAL INFORMATION ......................... 68

13.0 POINT-OF-CARE TESTING (POCT) .......................................................................... 68
13.1 RESPONSIBILITIES .......................................................................................................................... 69
13.2 POCT SUPPLIES .............................................................................................................................. 69
13.3 TRAINING ........................................................................................................................................ 69
13.4 MAINTENANCE ............................................................................................................................... 70
13.5 RECORDS .......................................................................................................................................... 70
13.6 QUALITY CONTROL ....................................................................................................................... 70
13.7 CORRECTIVE AND PREVENTIVE ACTION .................................................................................. 70
APPENDIX 1 EXAMPLE OF A QUALITY MANAGEMENT SYSTEM ............................ 72
APPENDIX 2 EXAMPLE OF A PREANALYTICAL PROCESS FLOWCHART ............... 73
APPENDIX 3 EXAMPLE OF AN ANALYTICAL PROCESS FLOWCHART .................... 74
APPENDIX 4 EXAMPLE OF A POSTANALYTICAL PROCESS FLOWCHART ............. 75
APPENDIX 5 EXAMPLE OF A FORM FOR RECORDING AN INCIDENT,
ACCIDENT, OR NONCONFORMITY.......................................................... 76
APPENDIX 6 EXAMPLE OF A FORM FOR CORRECTIVE AND PREVENTIVE
ACTION ............................................................................................................ 77
APPENDIX 7 QUALITY MANUAL–EXAMPLE OF CONTENT ...................................... 78
APPENDIX 8 EXAMPLE OF A DOCUMENT MANAGEMENT PROCESS .................... 79
APPENDIX 9 RETENTION SCHEDULE........................................................................... 80
APPENDIX 10 SUMMARY OF MINIMAL RETENTION PERIODS ............................... 81
APPENDIX 11 ILLUMINATION ADJUSTMENT .............................................................. 84
BIBLIOGRAPHY.................................................................................................................... 86
 

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1.0 Introduction
Since the first publication of this document, the Ministère de la Santé et des Services
sociaux (MSSS) of Quebec committed to improving the quality of services provided by
health and social services institutions in Quebec. In December 2002, amendments were
made to the Act respecting health services and social services as regards the safe provision of
health services and social services.
Since 2005, the Ministère de la Santé et des Services sociaux requires all biomedical
laboratories to seek an accreditation(1) of their services by a recognized accreditation
body. The accreditation body relies on different recognized standards, such as ISO
15189: Medical laboratories — Requirements for quality and competence.
The International Organization for Standardization, designated by the initialism ISO, is
a global federation of national standards bodies whose purpose is to promote the
development of standards that ensure that a product or service meets certain
requirements. Laboratories can apply for ISO 15189 accreditation(2) as an additional
assurance of quality for their institution.
This guide presents particular requirements from the ISO 15189 standard to notify the
reader of the applicable clauses relating to quality management. However, it does not
intend to be an interpretation of this standard; to find out more, the reader must refer to
the current edition of the standard as well as to all requirements of the laboratory
accreditation(1) process. Additional requirements were added to reflect the positions
taken by the OPTMQ in order to fulfill its mandate of protecting the public.
As well, institutions operating a blood bank laboratory, an autologous blood donation
program, or an ambulatory blood donation program shall also comply with the
requirements of CAN/CSA Standard Z9023 Blood and blood components, developed by CSA
Group.
The specific requirements relating to quality in medical biology target all phases of testing
(preanalytical, analytical, and postanalytical) inside or outside a laboratory. The complete
process begins with the medical prescription for the test and ends with the sending and
archiving of the test results report. The quality system targets all stages of the process.
This guide was developed taking into account all these elements in compliance with
generally recognized laboratory standards and with standards such as those of the
Clinical and Laboratory Standards Institute (CLSI) and the International Organization
for Standardization (ISO). The objective is to offer tools for implementing procedures
that target maintaining and improving the quality of service in biomedical laboratories,
and ensuring the safety of personnel and patients.

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2.0 Definitions
Accident An action or situation where a risk event occurs which has
or could have consequences for the state of health or
welfare of the user, a personnel member, a professional
involved, or a third person. RLRQ, chapter S-4.2, section
85
Accreditation (1) Recognition by a competent external authority
(accreditation body) of the fact that an institution is
engaged in a process of continuous improvement of the
quality of its services.7
Accreditation (2) Formal recognition that an organization is competent to
carry out specific tasks.
ISO 151892
Audit Systematic, independent examination of a situation with
regard to a product, a process, or an organization in
relation to quality, conducted with the cooperation of the
interested parties so as to verify compliance of the situation
with pre-established provisions and the matching of these
provisions with the targeted objective.8
Conformity Fulfillment of all established requirements.4
Corrective action Action to eliminate the cause of a detected nonconformity
or other undesirable situation.4 This action is followed by a
process of inquiry that either leads or does not lead to the
implementation of preventive action.
Incident An action or situation that does not have consequences for
the state of health or welfare of a user, a personnel
member, a professional involved, or a third person, but the
outcome of which is unusual and could have had
consequences under different circumstances. RLRQ,
chapter S-4.2, section 183.2.5
Nonconformity Non-fulfillment of an established requirement.4
Policy A statement or written document that clearly defines the
organization’s position and values with regard to a given
topic. 9
Preventive action Action taken after an evaluation, the objective of which is
to reduce the probability of the occurrence of a potential
nonconformity or other undesirable potential situation.4

Procedure Documentation and technical instructions explaining all

the stages of a procedure.3
The expressions Standard operating procedure and
Documented procedure may also be used.

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Process Set of interrelated or interacting activities that transform

inputs into outputs.4
Process mapping Graphic representation of one or more processes of all
(flowcharts) connected and sequential stages and activities.
Quality The degree of excellence or the measurement whereby an
organization meets clients’ needs and surpasses their ex-
pectations.9
Quality assurance Part of quality management focused on providing
confidence that quality requirements will be fulfilled.
ISO 9000:2015, 3.3.64
Quality control Strategies enabling verification that a product, process, or
service meets the appropriate quality requirements.9
Quality management A management system enabling setting the direction of
system and monitoring an organization with regard to quality4.

Record Document stating results achieved or providing evidence

of activities performed.
ISO 9000:2015, 3.8.104
Traceability Ability to trace the history, application, or location of that
which is under consideration4.
Transfusion accident Any event or error (including deviation from standards)
found after the beginning of the transfusion, even if there
is no transfusion reaction or consequence on the state of
health of the recipient.6
Transfusion incident Any event or error during the process that may have had
consequences on the state of health of the user, had it not
been detected before the transfusion.6

Meaning of the terms: “shall” “should” and “can”

Shall In this document, this verb form designates the obligation
to comply with or apply the prescribed requirements, either
because they are required by the current legislation or
because they relate to a competency that the medical
technologist must have. The expression needs to has the
same meaning.
Should In this document, this verb form means that the rule
described is based on scientific facts and that compliance
with the rule or application of it is recommended.
Can In this document, this verb form means that the statement
is considered to be valid and that its application is desirable.

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Part 1 Administrative Requirements of the Quality

Management System
The first part of this document presents the general requirements of a quality
management system. It has been drafted in accordance with the generally
recognized requirements of ISO standards, CLSI publications, and the
publications of laboratory accreditation bodies in Canada.
The administrative requirements of a quality management system include the infrastructure
required for managing an organization’s operations whether the organization offers products or
services.
The administrative requirements of a quality management system include, but are not limited to,
the following elements:1
 the organization and management of services;
 quality management system processes;
 monitoring of processes;
 continuous improvement;
 purchasing and inventory management;
 documentation management;
 mechanisms for communication and the dissemination of information.

3.0 Quality Management System

The objectives of implementing a quality management system in a biomedical laboratory
are to meet the requirements of quality criteria, to ensure the monitoring of these criteria,
and to implement a continuous improvement process so as to provide services that meet
the needs of patients, professionals, physicians, and legal and regulatory authorities.
The laboratory, with the support of management of the institution, shall designate at
least one person to be in charge of quality. This person shall oversee the application,
monitoring, and updating of requirements defined in the quality management system.1,12
All personnel shall take specific quality assurance and quality management training for
the services provided.1 They should participate in all stages of developing the quality
management system.
The quality concept adapts to each situation. Appendix 1 presents, in flowchart form, an
example of a quality management system and the essential elements of its infrastructure.

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The essential elements of this system constitute the infrastructure necessary for
managing its operations.12,13 The diagram that follows illustrates these elements.

Management system requirements
ELEMENTS OF ISO 15189 PROCESSES
Resources and technical 
requirements

Organization and  Document Review of Quality and technical

QMS
management control contracts records

SUPPORT FOR TESTING PROCESSES
Preanalytical 
procedures
Accommodation
External services Laboratory
Personnel & environmental
& supplies equipment
conditions

Postanalytical
Analytical procedures
procedures

INPUT:
Samples Assuring quality of OUTPUT:
analytical Reporting of
procedures Results
Testing by
referral laboratories

MONITORING AND MEASUREMENT PROCESSES

Identification and 
Customer Corrective Preventive  Internal Mgmt
control of
service action action audits review
nonconformities

Source: Translated from a presentation given by Sergine Lapointe of the Centre de

toxicologie of the Institut national de santé publique du Québec.
Legend: QMS: Quality Management System

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3.1 Organization and management of services

Planning of services and the organizational structure shall be implemented to
ensure the satisfaction of clients (patients, professionals, physicians, clinics, and
CLSCs).

Commitment of management of the organization

As prescribed by the ISO 15189 standard: “Laboratory management shall
have responsibility for the design, implementation, maintenance, and
improvement of the quality management system.”1 This responsibility
includes the appointment of a quality manager who will ensure the
monitoring, continuous improvement, and document management of
the quality management system. It also includes the appointment of
assistants for all the key functions.
As well, in order to coordinate the quality management system,
management should form a standing committee that may, for example
include the following members:

 head of the biomedical department;

 medical specialist in the laboratory;
 manager of the quality system in the laboratory (chief technologist,
administrative laboratory coordinator, etc.);
 technical and clinical transfusion safety officer;
 quality coordinator;
 medical technologists who are responsible for writing the procedures
in each of the laboratory’s areas of activity;
 nurse;
 biomedical engineering representative;
 user.

Establishment of a quality policy and of the objectives of the

quality management system
A quality policy is a precise statement that describes the direction and the
intentions of the laboratory for meeting the needs of the population as
well as the means implemented to do so. The quality policy shall be
readily accessible to the personnel concerned.1
As prescribed by the ISO 15189standard, the policy shall include the
following fundamentals:
 the field of services the laboratory intends to offer;
 the statement by laboratory management of the level of laboratory
services provided;
 the objectives of the quality management system;

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 the requirement of all personnel involved in testing to familiarize

themselves with quality documentation and to apply the policy and
procedures at all times;
 the commitment of the laboratory to comply with good professional
practice, to conduct quality analyses, and to comply with the quality
management system;
 the commitment of laboratory management to comply with standards
required by current legislation.
The quality management system objectives should be measurable and
should be reviewed periodically and allow for continuous improvement
of the quality management system and of the quality policy.1
3.2 Quality management system processes
During the implementation of a quality management system, the processes that
represent all the activities to be carried out to produce the targeted results shall
be described. The organization shall determine the necessary processes, the
process sequence, and interaction between processes, and the criteria and
methods to ensure the effective functioning and control of all processes.

Process categories
Processes can be divided into four main categories:
 Management processes including in particular the organization’s
vision and mission, management activities, financial management,
management of resources, communication and information services,
etc.;
 Realization support processes including in particular control activities
(quality and technical records), document control, maintenance,
information systems, purchasing, infection prevention, etc.;
 Continuous improvement processes including in particular corrective
and preventive action, nonconformities, internal and external audits,
quality indicators, data analysis, client service assessment, etc.
 Realization processes including all the activities connected to
providing laboratory services, namely activities connected to the
preanalytical, analytical, and postanalytical phases. In the laboratory,
the process begins with the medical prescription and ends with the
provision of the test results report.12
The process also draws on the contribution of all those who intervene at
one stage or another. It is therefore important to ask for the suggestions
and participation of all the people involved in the various stages of the
process to properly define each activity to be carried out to produce the
targeted results.

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Process mapping (flowcharts)

Process mapping is a means of graphic presentation of processes that
provides a clear illustration of activities and the essential elements of the
quality management system and their interrelation.
In the laboratory, flowcharts of the preanalytical, analytical, and
postanalytical phases are intrinsic to the laboratory test production
system.
This mode of presentation is extensively used in quality management
because it provides a rapid visual overview of all operations to be carried
out and enables determining the procedures to be defined to ensure
quality.
Appendices 2, 3, and 4 present examples of preanalytical, analytical, and
postanalytical processes in flowchart form.

3.3 Process control

The organization shall permanently improve the effectiveness of the quality
management system by using the quality policy, the quality management system
objectives, audit results, data analysis, corrective and preventive action, and
management review.
The laboratory shall put in place and maintain a mechanism that allows anyone
participating in a process to report and record any organizational or technical
problem in a register.12 A policy and procedures shall:1,12

 establish the reporting method;

 determine the documentation to be used (for example, a form);
 designate the person or people responsible for solving the problems;
 define the measures to be taken (for example, corrective action or preventive
action);
 establish a decision-making process to interrupt noncompliant testing and to
retain reports as required and to make corrections to reports already
transmitted;
 allow for determining whether the noncompliance, the incident, or the
accident has clinical repercussions on the patient and if so, to inform the
prescriber;
 allow for follow-up to determine the cause of the problem for the purpose
of improving the quality of service.
The laboratory quality management system shall include the implementation of
control measures at every stage of the analysis process.1,12 The following
subpoints deal with control measures.

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Nonconformities
The laboratory shall define what is considered to be a nonconformity. A
nonconformity is a deviation from a particular point of a standard in the
quality management system. Some nonconformities directly affect the re-
liability of the analysis result, others indirectly affect the reliability of the
analysis result.
Laboratory personnel should receive training to help them to recognize
nonconformities and to guide them in managing nonconformities.14

3.3.1.1 Recording nonconformities

The purpose of recording nonconformities is to describe and
objectively index the problems encountered that may have an
incidence on the service provided to patients or on the safety of
the public or personnel. Its purpose is also to record the cause
and to note the immediate action taken or the corrective action
to be taken.14
Analyzing the information recorded allows for evaluating the
nature of problems and makes it possible to improve the quality
of service provided as part of a continuous improvement process
over the long term.
Appendix 5 presents an example of a form for recording
nonconformities.
3.3.1.2 Problem solving in the event of nonconformities
Problem solving requires that medical technologists use their
clinical judgment and their knowledge to ensure the quality of the
product or service they dispense when nonconformities occur.11
Action taken to correct a nonconformity shall be recorded on a
nonconforming event report form.14

Incidents and accidents

The laboratory shall define what is considered to be an incident and what
is considered to be an accident. The laboratory shall ensure that reporting
incidents and accidents is part of the institution’s risk management
process established by the risk management committee. (See point 3.3.8.)
The Act respecting health services and social services 5 defines “incident” as “an
action or situation that does not have consequences for the state of health
or welfare of a user, a personnel member, a professional involved, or a
third person, but the outcome of which is unusual and could have had
consequences under different circumstances.” The Act defines
“accident” as “an action or situation where a risk event occurs which has
or could have consequences for the state of health or welfare of the user,
a personnel member, a professional involved, or a third person.”
The medical technologist shall, without delay, take the necessary means
to rectify the situation.

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3.3.2.1 Recording an incident or an accident

The purpose of recording an incident or an accident is to
objectively describe the problems encountered that have an
impact on the service provided to patients or on the safety of the
public or personnel. Its purpose is also to record the cause and to
note the immediate correction made or the corrective action to
be taken.
A monitoring system shall be put in place and include the creation
of a local register for incidents and accidents.15 Analyzing the
information recorded allows for evaluating the nature of
problems and makes it possible to improve the quality of service
provided over the long term.
3.3.2.2 Retrospective review of an incident or an accident
A retrospective review shall be carried out to determine the cause
or causes of the incident or accident by encouraging the
cooperation of all those involved. The review may include
checking software, instrumentation, data, personnel training,
established procedures, and it may include interviews with
personnel.14

3.3.2.3 Reporting incidents and accidents

According to section 8 of the Act respecting health services and social
services5, the medical technologist shall officially report any
accident or incident that occurs when he or she is performing his
or her duties that may have consequences for a patient or a
colleague.11 This statement is mandatory whether the medical
technologist contributes to the accident or incident, witnesses it,
or whether someone brings the accident or incident to his or her
attention.
The forms used in public institutions are the incident or accident
report form (AH-223) or the transfusion incident/accident report
(RIAT AH-520).
Private institutions shall also record incidents and accidents on a
form. Appendix 5 presents an example of a record of an incident
or accident form that can be used for private institutions.
3.3.2.4 Disclosure
For any accident likely to result in consequences to the patient’s
state of safety or well-being, the medical technologist shall as
quickly as possible advise his or her superior or a physician to
enable the superior or physician to disclose the accident to the
patient in accordance with the institution’s policy in effect.

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3.3.2.5 Reporting transfusion accidents

For any transfusion accident likely to result in consequences to
the patient’s state of safety or well-being, the medical technologist
shall as quickly as possible advise his or her superior or a
physician to enable the superior or physician to disclose the
transfusion accident to the patient or the patient’s family in
accordance with the institution’s policy in effect.
The transfusion accident shall also be reported to Héma-Québec
in the event of severe transfusion reactions so as to withdraw
products by the same donor before their use.

Corrective and preventive action

Corrective and preventive action are part of the quality assurance
process. They shall be reviewed when a management review is
conducted. (See point 3.3.7.)

3.3.3.1 Corrective action

Procedures for corrective action shall include an investigative
process to determine the underlying cause or causes of the
problem.1 Laboratory management shall record and monitor the
results of any corrective action taken,16 in order to ensure that
they have been effective in overcoming the identified problems.1
See the example of a corrective action form in Appendix 6.

3.3.3.2 Preventive action

The laboratory shall have procedures for preventive action that
allow for identifying needed improvements and potential sources
of nonconformities, either technical or concerning the quality
management system.1 If preventive action is required, action plans
shall be developed, implemented, and monitored to reduce the
likelihood of the occurrence of such nonconformities.1
Preventive action shall be recorded.16 See the example of a
preventive action form in Appendix 6.

Quality indicators
Quality indicators allow for systematic monitoring and assessment of the
test production process and the laboratory’s contribution to patient care.1
Quality indicators should be tied to quality management system
objectives and the laboratory’s quality policy on continuous
improvement. They allow for the identification of the areas requiring
special attention to maintain a system at the defined service levels.17

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3.3.4.1 The role of indicators18

 to follow up on quality improvement activities;

 to assess daily activities;
 to set strategic direction;
 to compare performance with an established standard
(comparative analyses, accreditation criteria);
 to reflect the implementation of measures that guarantee
favourable results.
3.3.4.2 Characteristics of indicators19
 in agreement with quality management system objectives;
 simple and relevant (indicate where action shall be taken);
 focused on high-volume or critical problems or processes;
 relatively easy to control;
 can be audited;
 sensitive (shall reflect the variabilities of the process to
examine);
 specific (shall only reflect what shall be measured);
 reproducible;
 measurable.
3.3.4.3 Stages of implementation of indicators17

 define the indicators (according to characteristics in point

3.3.4.2);
 determine the frequency of data analysis;
 prepare the benchmark or acceptable standard for the
indicator;
 perform data collection over a specific period;
 assess the indicators;
 interpret the results of the indicators and the data;
 implement an action plan.

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3.3.4.4 Examples of indicators

The table that follows gives an overview of possible indicators for
the preanalytical, analytical, and postanalytical phases.

Examples of indicators17
Preanalytical  Delay in sample transport time
phase  Number of unidentified or improperly
identified samples
 Rate of sample acceptability
 Number of errors entering computer data
 Waiting time at the sample collection centre
Analytical  Internal and external quality control results
phase
 Follow-up on quality control of point-of-care
testing (POCT)
 Downtime of information system
 Equipment breakage rate and downtime
 Number of power failures and information
system failures
 Percentage of expired reagents
 Correlation of test results, for example,
between cytology and biopsy results, frozen
section, and the final diagnosis
 Units of outdated blood
 Blood culture contamination rate
 Delay in performing the analysis
Postanalytical  Urgent or critical result turnaround time
phase  Number of times the physician could not be
reached in the event of critical/urgent results
 Delay between end of testing and
transmission of results
 Report error correction rate

Client satisfaction
The laboratory is encouraged to obtain both positive and negative
feedback on the quality of its client service by means of surveys of its
clientele.1
The laboratory shall have a policy and procedure for processing
complaints from its clientele.1 These complaints shall be processed as
quickly as possible and recorded in a register. They may lead to corrective
or preventive action.1 The complaint register and survey results shall be
part of laboratory management review.

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Audits
3.3.6.1 Internal audits
In order to verify the compliance of operations with quality
management system requirements, internal audits of all elements
of the system shall be conducted at intervals defined by the
system itself.1
The quality manager or designated qualified personnel shall
formally plan, organize, and conduct audits. Personnel shall not
audit their own activities. The laboratory shall define and
document its audit procedures and include the types of audits
conducted, frequency, methodologies, and required
documentation. When nonconformities or opportunities for
improvement are noted, the laboratory shall undertake
appropriate corrective or preventive action which shall be
documented and carried out within an agreed-upon time.1

3.3.6.2 External audits

External audits are also necessary, for example, as part of the
accreditation process or when applying for certification. Several
bodies may be called upon to act as auditor: Health Canada, the
Laboratoire de santé publique du Québec, Héma-Québec, and
other recognized bodies. As part of the laboratory accreditation
process, the audit of compliance with identified standards is
conducted by an internationally recognized accreditation body
such as Accreditation Canada or the Bureau de normalisation
Québec (mandated by the Conseil québécois d’agrément).

Management review
Laboratory management shall review the laboratory’s quality
management system and all of its medical services, including testing and
advisory activities, to ensure their continuing suitability and effectiveness
in support of patient care and to make any necessary changes or
improvements. The results of the review shall be incorporated into a plan
that includes objectives and action plans. A typical frequency for
conducting a management review is once every year, or over a shorter
period when the quality management system is being developed.1

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3.3.7.1 Personnel involved in management review

The personnel involved in management review should include,
but not be limited to:
 The biomedical department head or laboratory specialist;
 the laboratory manager;
 the technical and clinical transfusion safety coordinators;
 the designated quality coordinator;
 the risk manager;
 any other person involved connected to the laboratory, when
relevant.
3.3.7.2 Points taken into account in management review
Management review shall take into account, but not be limited to,
the following points:1
 follow-up of previous management reviews;
 quality indicators;
 nonconformities;
 the results of corrective and preventive action;
 complaints received and the appraisal of client service;
 the results of internal audits;
 reports from managerial and supervisory personnel;
 assessments conducted by external bodies (external audits or
external quality control);
 any changes in the volume or type of work undertaken;
 the evaluation of suppliers (including manufacturers and
suppliers of external services).
Findings and the actions that arise from management reviews shall be
recorded, and laboratory staff shall be informed of these findings and the
decisions made as a result of the review. Laboratory management shall
ensure that arising actions are carried out within an appropriate and
agreed-upon time.1

Risk management
Risk management is a regular, continuous process coordinated with and
integrated into all the organization’s systems and sub-systems allowing
for the identification, analysis, control, and evaluation of risks and
situations deemed to be a risk that have caused or that could have caused
damage to users, visitors, or staff, or to their property or the institution’s
property.20

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The four stages of risk management include:20

 identifying risks and situations deemed at risk;
 analyzing risks and situations deemed at risk;
 controlling risks and situations deemed at risk;
 evaluating risk management activities.
3.3.8.1 Risk management committee
The Act respecting health and social services 5 requires every institution
to form a risk management committee responsible for seeking,
developing, and promoting means to ensure the safety of users
and to reduce the incidence of adverse effects and accidents
related to the provision of health services and social services.5
The composition of the committee shall ensure a balanced
representation of the employees of the institution, of users, and
of the people practising in a centre operated by the institution.5

3.4 Procurement and inventory management

Procurement and inventory management includes, without being limited to, the
purchasing process, the selection of suppliers, contract review, the receiving and
inspection process, and the inventory management process.
The procedures and technical requirements with regard to laboratory materials
are described in the second part of this document in point 11.2

Evaluation of suppliers
The laboratory shall evaluate suppliers (of reagents, supplies, and critical
services) and shall maintain records of these evaluations. Suppliers shall
be selected and evaluated based on their ability to meet the requirements
defined by the laboratory. A list of approved suppliers shall be established
and reviewed at the time of management review.1

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3.5 Document and record hierarchy

Documentation in a quality system varies according to the needs of a particular
department. Nevertheless, generally speaking, the following hierarchy is used for
documents and records:

Quality Manual
Policies

Procedures

Records

The quality manual is at the top of the hierarchy; it presents all the policies that
establish the guidelines, and what shall be done to manage all the laboratory
production processes.
The procedures define the “Who,” “When,” “Where,” and “How” of laboratory
activities.
Records are evidence of activities performed.
A designated document coordinator should be responsible for keeping a
consultable original of all documents in a specific location.1,21
All policies, processes, and procedures shall be recorded on an appropriate
support media (paper or electronic).

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Quality manual
The quality manual includes all the points defined in the quality
management system.
It includes, among others:
 the quality policy and the objectives of the quality management
system;
 planning of services concerning client needs and satisfaction;
 the resources of the biomedical department;
 information on the laboratory’s organizational structure;
 the role and responsibilities of technical management and of the
quality coordinator;
 the overall process (preanalytical, analytical, and postanalytical);
 the documentation structure;
 the quality management system.
The quality manual shall describe or refer to the processes and to the
procedures and to the resources required for the overall implementation
of the quality management system in the laboratory including POCT
activities.1,12 It shall be kept up to date under the authority of the quality
coordinator designated by laboratory management.1
Note: Appendix 7 presents an example of a table of contents of a quality
manual.

Policies
Policies are statements or writings that clearly indicate the organization’s
position and values on a given topic.9 The policies shall be documented
and communicated to all personnel concerned.1

Procedures
The laboratory shall have procedures that describe all the activities of the
preanalytical, analytical, and postanalytical phases of the production
process. 21
Depending on the organization of laboratory documentation, procedures
may include technical instructions that describe the stages of execution
of a specific activity. The procedures can also refer to documents
containing this information.
All activities shall be recorded (paper or electronic media) and be
available at the workstation for relevant staff.1
The criteria for management of laboratory documentation are defined in
Section 3.6 of this document.

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Records
All records shall be legible and stored such that they are readily
retrievable.1 The institution shall define the length of time various records
pertaining to the quality management system and test results are to be
retained. (See point 3.6.4.)

3.6 Documentation management

A documentation management procedure shall establish a documenting
hierarchy and define the guidelines for responsibilities with regard to creating,
reviewing, and approving any document from internal or external sources.1,21
Documentation management system procedures shall be controlled to avoid
using obsolete, incomplete, or invalid documents. Appendix 8 presents an
example of the document management process.
The documentation shall be available in a language commonly understood by the
staff in the laboratory.

Identification of documentation
Standardization of the writing and presentation of laboratory
documentation is an integral part of the quality management system.
The form of presentation of laboratory documentation shall include,
without being limited to, the following information:1,3,21,22
 the title and the objective;
 the name of the institution (for example, the hospital logo);
 coding (shall be uniquely identified). All documents shall be coded in
accordance with a system eliminating any possible confusion between
two different documents;
 the effective date;
 the version number and the revision date;
 the page number and the total number of pages;
 a clear description of the steps and instructions to follow;
 clear responsibilities with regard to the measures that require
verification, examination, and approval.
 identification of sources (works cited or consulted);
 the signature of the person(s) who gave authorization and the date of
signature.
It is also useful to include the following:
 history of changes made to the procedure so as to more readily follow
how the document evolves;
 the filename and document location;
 the identity and signature of the author(s) and revisor(s).

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Revision of documentation
Each document shall be revised according to current regulatory
requirements, dated, and signed by the authorized person(s).1,2,3,21,23 The
laboratory shall determine the list of amendments that require the
creation of a new version of the document.21

Withdrawal of documentation
When a document is withdrawn, the withdrawal date shall be recorded.
All copies shall promptly be removed from all points of use. Retained or
archived superseded documents shall be appropriately identified to
prevent their inadvertent use.1 The original of obsolete documents shall
be kept for the period provided for by the institution’s retention schedule
and in accordance with legal and regulatory requirements. See appendices
9 and 10.

Documentation retention schedule

Biomedical laboratories shall have a retention schedule that defines the
length of time documents, laboratory files, and test results are to be
retained. Retention time shall be defined according to the nature of the
analysis or document and shall comply with the laws and regulations in
force.1,24
Archiving and the retention period of obsolete documents shall be
defined in accordance with legal and regulatory requirements.1,21
Appendix 9 lists in a non-exhaustive way the various documents for
which the retention period should be defined.
Appendix 10 provides the retention periods recommended by various
bodies.

Communication and dissemination of documentation

The laboratory shall establish a formal mechanism for the
communication and dissemination of documentation. A procedure shall
provide for the dissemination to all personnel involved of any
amendment to documentation.1,21 It is the medical technologist’s
responsibility to be aware of and to read updates to documentation.11
A process for confirming that all new information has been read shall be
established and followed up on.1,22 This process shall include a section for
each medical technologist concerned to confirm having read the new
information by initialling and dating the reading.11
Laboratory documentation shall be readily accessible to personnel. If
these documents are in electronic format, a method shall exist allowing
access to them at all times as well as in the event of an information system
failure.

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Part 2 Technical Requirements of the Quality Management

System
The second part of this document presents the technical requirements of a
quality management system. It has been drafted in accordance with the
principles set forth in ISO Standard 15189 (Medical laboratories–Requirements for
quality and competence1), CAN/CSA Standard Z902 (Blood and blood components3),
and in accordance with the generally recognized requirements of good
laboratory practice, CLSI publications, and the laboratory accreditation bodies
in Canada.

4.0 Accommodation and environmental conditions

With regard to environmental conditions, the work premises shall be adapted to the
activities of each laboratory area and shall comply with Health Canada guidelines
(lighting, temperature, ventilation, relative humidity, equipment, work surfaces, floors,
etc.). These requirements are described in the Canadian Biosafety Standard and the Canadian
Biosafety Guidelines at:
https://www.canada.ca/en/public-health/services/canadian-biosafety-standards-
guidelines.html
Laboratory premises shall be organized and environmental conditions designed so as
to:1,26
 protect patients, personnel, and visitors from recognized hazards;
 define the zones of confinement according to risk categories and define the people
having access to these zones;
 regarding physical areas for sample collection, provide accommodation that is
appropriate, comfortable, secure, respectful of the patient’s privacy, with optimal
conditions for collecting samples from patients experiencing loss of autonomy.
 ensure that the environmental conditions in which testing is done are appropriate and
in no way affect the quality of the analytical process;
 ensure that an effective barrier is set up between neighbouring zones where
incompatible activities take place. Measures shall be taken to avoid any cross-
contamination;
 ensure that workspaces are clean, well maintained, and ergonomic;23,27
 ensure that the facilities for storing documentation, samples, reagents, supplies, slides,
and any other item provide a suitable environment to prevent damage, deterioration,
loss, or unauthorized access.
 control room settings such as relevant humidity and temperature. A register shall be
kept to record these settings;1,28
 eliminate hazardous materials in compliance with regulations in effect. There shall be
compliance with The Regulation respecting biomedical waste.29

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Premises shall be clean and work surfaces shall be cleaned every day with a recognized
disinfectant or germicidal agent according to an established procedure. In the event of
an accidental spill, or if at any time surface contamination is visible or suspected, the
work surface shall be disinfected according to an established procedure.25,30

5.0 Personnel
Personnel are an essential element of the quality management system.31 The laboratory
shall have sufficient personnel with adequate training.1 Laboratory management shall
maintain records of the relevant educational and professional qualifications, training and
experience, and competence of all personnel.1 A register shall be kept of the signature,
identification, and initials of each employee.3
Laboratory management shall authorize personnel to perform specific tasks as stipulated
in the institution’s organization plan.32
The following information shall be readily available to all laboratory personnel:1

 a written description of the laboratory’s organizational structure;

 a description of the competencies, roles, and duties of personnel.

This information shall be included in the quality manual. (See point 3.5.1.)

5.1 Duties and responsibilities

Protection of the general public is fundamental to the professional system in
Quebec. Professional orders exercise oversight to ensure that members practise
with competence.
As members of a professional order, medical technologists have professional
duties to perform. They shall practise their profession in compliance with their
Code of Ethics10 and regulations, the Normes de pratique du technologiste médical,11 and
in accordance with guidelines and generally recognized requirements of good
laboratory practice.

Confidentiality
Medical technologists shall respect professional secrecy and shall
maintain the confidentiality of information regarding patients.1,5,11,33,34,35

Collaboration
Medical technologists will be able to instill a sense of belonging in the
team and will have the communication skills required for quality work.11,36

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5.2 Training and maintenance of competencies

The laboratory shall have a training program to ensure that medical technologists
maintain their competencies.
The laboratory shall promote the participation of medical technologists in
continuing education. Training taken by medical technologists shall be recorded.1

Training in cardiopulmonary resuscitation

Medical technologists who perform interventions on patients shall take
and maintain training in cardiopulmonary resuscitation.37

Training in pharmacology
Medical technologists who administer medications or other substances,
including intravenously from a peripheral site, for the purpose of
prescribed analyses or tests, shall hold an attestation issued by the
OPTMQ following training in pharmacology.35

Training for collecting samples via an artificial opening in the

human body
The Regulation respecting certain professional activities that may be engaged in by a
medical technologist allows medical technologists to insert a catheter into an
artificial opening in the human body:
1° via an ileal conduit stoma, except in the presence of ureters;
2° via a tracheostomy, except when the patient is under ventilator
assistance.
The regulation sets forth the specific terms and conditions that allow
medical technologists to perform these activities including holding an
attestation issued by the OPTMQ certifying that they have completed at
least four hours of theoretical and practical training, and that they have,
at least once, successfully performed the activity under the immediate
supervision of a physician, nurse, or respiratory therapist.38

On-the-job training
The on-the-job training program shall include an initial orientation
session for new employees and continuing education activities.1,31
Medical technologists shall be entitled to have a training period before a
new procedure takes effect in their field of activity.

Continuing education
Medical technologists shall keep their knowledge up to date in their field
of practice and shall regularly participate in continuous education
activities.10,31 Medical technologists shall comply with the continuous
training program of the OPTMQ in effect.

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Evaluation of competencies
The laboratory shall establish a competency evaluation program.1 This
program is part of any quality management system.31 This program shall
be designed with the objective of continuous improvement of quality. A
distinction shall be made between the evaluation of competencies and
performance review.
A competency verification process shall validate the acquisition of
knowledge subsequent to the initial orientation session of a newly hired
medical technologist, training on the coming into effect of a new
procedure, and during periodic re-assessment of competencies in a
medical technologist’s field of practice.1,31

6.0 Teaching and reference material

To perform their daily work and for orientation and continuing education sessions,
medical technologists shall have access, on the spot, to the materials required for the
performance of their functions, including:
 the most current versions of standards and guidelines;
 the good practice guides and guidelines of recognized bodies;
 recent reference volumes;
 charts, atlases, or software;
 a collection of slides for identifying cells or other elements, depending on the test;
 the sample collection manual (see point 10.6.1);
 laboratory procedures;
 any other relevant sources of information (for example, the Internet).

7.0 Information system management

When a laboratory uses an information system to collect, record, and store data, it shall
establish procedures that are recorded in the information system procedures manual.
These procedures may also be integrated into analytical procedures.
All personnel shall be trained to use the information system, and their competencies shall
be evaluated. Computer software shall be documented and suitably validated as adequate
for use in the facility. There should be provision for an uninterruptible power supply
(UPS).1

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7.1 Access code responsibility

Every user shall have their own access code.1 Each person is responsible for his
or her access code and the operations performed under that code.11
Users shall under no circumstances allow other people to access their code and
they shall end their session when they leave their workstations.39 The system
should be equipped with an automatic logoff mechanism and/or automatic
locking system.40
To ensure information system security and to protect the confidentiality of data,
a policy shall define authorized computer users and the level of data they have
access to.1

7.2 Information system procedures manual

The information system procedures manual shall include the following points
without being limited to them, or shall refer to another procedure that includes
the following:1
 technical instructions for all stages of computer processes, from data
capture of an inquiry to the archiving of results. If applicable, a directory of
the various computer codes necessary to data entry (tests, names of
physicians, etc.) should be available and kept up to date;
 the measures to be taken to protect the confidentiality of patient
information;
 the measures to be taken to protect data integrity at all times;
 the measures ensuring that the set of correction factors are correctly
updated and that calculations performed on patient data by the computer
are periodically reviewed;
 procedures allowing for periodic comparison of patient data on reports with
original input in order to ensure the integrity of data transfer at defined
intervals by detecting errors in data transmission, storage or processing;
 procedures to be followed in the event of partial or complete information
system failure (see section 8.2);
 the retention schedule and the method for storing data;
 the contact information of the designated people who must be advised in
the event the information system malfunctions.
Authorized computer users shall have access to this manual.

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8.0 Procedures in the event of disruption of service

Standard operating procedures shall establish the measures to take in the event of
disruption of service, whether due to a minor or major defect in laboratory equipment,
a power failure or an information system failure, for each laboratory service.1
When the length of a disruption of service is likely to compromise patient care, the client
shall be advised of the possible delay and the disruption of service shall also be reported
to the designated people in the institution.1
8.1 Power failure
The laboratory shall describe the procedure to follow in the event of a power
failure. This procedure should include the following information, among others:
 the presence of an emergency power system;
 record of the situation and the corrective measures taken;
 the possible use of a support device;
 sample management;
 client communication plan;
 system restart.
8.2 Information system failure
The laboratory shall describe the procedure to follow in the event of a planned
or unplanned information system stoppage.1 This procedure should include the
following information, among others:
 the description of the recovery plan (from the test requisition to result
transmission);
 record of the situation and the corrective measures taken;
 data storage;
 client communication plan;
 system restart.

9.0 Laboratory safety

This section provides a summary overview of the most important points with regard to
laboratory safety. The laboratory shall also comply with the requirements of the
following references:
Canadian Society for Medical Laboratory Science: Laboratory Safety Guidelines
The Canadian Biosafety Standard and the Canadian Biosafety Guidelines from the Public Health
Agency of Canada

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9.1 Risk categories

The existence of many risk categories forces us to develop policies and
procedures relating to occupational health and safety risks.27,30,41 These policies
and procedures shall describe the measures to take to manage:
 Chemical hazards: flammable liquids, toxic gases.
 Biological hazards: bacteria, viruses, parasites, or fungi which are capable
of causing disease in humans.
 Physical hazards: the environment, radiation, noise, thermal stress, and
mechanical hazards.
 Ergonomic hazards: elements related to the design of a workplace which
stress the human organism physically or mentally.
 Psychosocial hazards: working conditions which cause psychological
stress.
9.2 Legislation
Many laws govern occupational health and safety in our laboratories.27 Here,
without limitation to these, are some of those laws and regulations:
 Laws and regulations relating to hygiene and safety at work.
 The Act respecting industrial accidents and occupational diseases.
 Environmental legislation.
 The Workplace Hazardous Materials Information System (WHMIS).
 Regulations respecting the disposal of biomedical waste.
 Transport of Dangerous Goods regulations.
 Municipal fire prevention code.
 The Building Code.
9.3 General
The laboratory shall designate a person to be in charge of occupational health
and safety in the laboratory.13,23,25,30,41
Procedures are necessary so as to ensure a secure environment in compliance
with good practices and the regulations in force.27,30,41 Policies and procedures
should include detailed instructions concerning the potential hazards
encountered during the procedure and the means to use to minimize risks. These
potential hazards shall be recorded in a safety manual and reviewed
annually.27,28,30,41
Medical technologists shall know the occupational health and safety measures
and shall put them into practice in their work environment.11

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9.4 Safety manual

The safety manual shall in the very least address the following points:30,41,42

1) Policies and procedures on standard (universal) precautions and the

prevention of infections
The wearing of personal protective equipment (PPE) shall be established
based on established and observed risks (gloves, lab coats, aprons, protective
glasses, appropriate masks, visors, appropriate shoes).27,30,41
It is strongly recommended that gloves be worn in the laboratory for
any handling of biological specimens.13,25,43,44,45,46
For more information on requirements related to handling of samples
suspected of containing pathogens, consult the Canadian Biosafety Standard and
the Canadian Biosafety Guideline from the Public Health Agency of Canada.
2) Prevention measures to follow when handling, transporting, and storing
potentially hazardous materials.

 Biological specimens
When handling biological specimens, the practices set forth in Health
Canada’s documents Routine Practices and Additional Precautions for Preventing
the Transmission of Infection in Health Care Settings48 and with Hand Hygiene
Practices in Healthcare Settings 47 should be respected.
These documents can be consulted at:
http://publications.gc.ca/site/eng/440707/publication.html
http://publications.gc.ca/site/eng/430135/publication.html
 Chemicals
WHMIS is a pan-Canadian information system designed to reduce the
frequency of occupational illnesses and accidents due to the use of
hazardous materials. The three key elements of WHMIS are training on
the safe use of controlled hazardous materials, labelling, and material safety
data sheets.
Technologists must be able to understand the information provided by
WHMIS (or any other classification or labelling system depending on the
regulations in effect).
A reference manual with regard to WHMIS requirements pursuant to the
Hazardous Products Act49 and Controlled Products Regulations50 can be found at
this link:
https://www.canada.ca/en/health-canada/services/environmental-
workplace-health/reports-publications/occupational-health-
safety/reference-manual-whmis-requirements-hazardous-products-act-
controlled-products-regulations.html

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As well, the Commission de la santé et de la sécurité du travail (CSST) has

a Service du répertoire toxicologique accessible in French at the following
link:
http://www.reptox.csst.qc.ca/
With some English content here:
http://www.reptox.csst.qc.ca/Documents/SIMDUT/IntroAng/Htm/In
troAng.htm
Material safety data sheets (MSDS) governed by WHMIS legislation shall
be available, accessible at all times (7 days a week, 24 hours a day) and shall
be known by all laboratory personnel.
 Pathogenic agents
The MSDS are also designed to be a quick reference tool with regard to
safety from infectious microorganisms. They contain information on
health hazards such as infectious doses, dissemination, viability (including
decontamination), information on medical aspects, hazards to laboratory
personnel, recommended precautions, information with regard to
handling, and procedures to follow in case of spills.
Material Safety Data Sheets are accessible on the Website of the Public
Health Agency of Canada under Laboratory Biosafety and Biosecurity:
https://www.canada.ca/en/public-health/services/laboratory-biosafety-
biosecurity/pathogen-safety-data-sheets-risk-assessment.html
The Human Pathogens and Toxins Act aims to ensure the safe and secure
handling of human pathogens and toxins. Laboratories that handle
pathogenic agents and toxins must register with the Public Health Agency
of Canada and comply with the requirements of the Act.51
3) Measures to take in an emergency situation that endangers the health and
safety of laboratory personnel (outside disaster, laboratory accident,
explosion, fire).27,30,41
4) Procedures to follow in the event of a hazardous chemical or biological spill
in the laboratory or in an instrument, including decontamination procedures
for the environment or instruments.27,30,41
5) Regular verification schedule of equipment such as fire extinguishers,
emergency shower, eye wash, and the certification period of safety equipment
such as biological safety cabinets, and fume hoods or other equipment.27,30,41
6) Procedures describing the elimination of biological or chemical waste
pursuant to the Regulation respecting biomedical waste29 or any other laws or
regulations. The institution’s waste management policy shall comply with the
regulations in effect.
7) A management system that provides for recording and reporting laboratory
health and occupational incidents and accidents as well as the corrective
measures taken.30

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9.5 Occupational health and safety training

A health and safety program shall be established for newly hired personnel and
a continuous training for personnel on staff.13,25,30,41 The continuous training in
occupational health and safety shall be given on an annual basis.30,41,52
Training on WHMIS is mandatory for laboratory personnel.52
Training for activities linked to the transport of dangerous goods is also
mandatory. For more information, consult the OPTMQ document Transport et
conservation des échantillons dans le domaine de la biologie médicale.53
9.6 Medical monitoring program
The laboratory shall establish a monitoring program for the health of all
laboratory personnel including for vaccination and medical post-exposure
monitoring.1,30,41 This monitoring program shall be recorded.
All personnel should be strongly encouraged to receive adequate immunization
to prevent infections related to the micro-organisms to which they are
exposed.13,25,30,41
The hepatitis B vaccination must be made available to all personnel with
occupational exposure to body fluids or human tissue.30

9.7 Internal health and safety audit

The laboratory shall establish an internal occupational health and safety
inspection system (audit).30,41
This procedure makes it possible to verify compliance with all the established
health and safety measures by all laboratory personnel and to make the necessary
recommendations to improve safety in the laboratory.
The inspection shall take place and be reviewed at least annually by appropriately
trained personnel.30,41
For more information, consult the following documents:
CANADIAN SOCIETY FOR MEDICAL LABORATORY SCIENCE Laboratory
Safety Guidelines27
CANADIAN STANDARDS ASSOCIATION. A National Standard of Canada. Medical
laboratories–Requirements for safety (Laboratoires de médecine – Exigences pour la sécurité), CAN/CSA-
Z1519030
PUBLIC HEALTH AGENCY OF CANADA. Canadian Biosafety Standard and the
Canadian Biosafety Guideline

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10.0 Preanalytical phase

10.1 Prescription
Section 39.3 of the Professional Code of Quebec defines “prescription” as “a
direction given to a professional by a physician, a dentist, or another professional
authorized by law, specifying the medications, treatments, examinations, or other
forms of care to be provided to a person or a group of persons, the
circumstances in which they may be provided, and the possible
contraindications. A prescription can be individual or collective.” The Professional
Code of Quebec and other laws governing professional practice specify which
professionals are authorized to prescribe tests. Professional bodies whose
members can prescribe tests and exams have adopted regulations that specify the
elements that must be included on an individual prescription.34,54,55,56,57
The prescription starts the preanalytical process. A prescription can also be
requested after the preanalytical phase, when tests are being added or in the event
of a request for blood components for a sample already collected.
The medical technologist shall ensure that he or she properly understands the
prescription before collecting the sample. In the event of any doubt, the
prescription shall be verified with the prescriber or an authorized person.
Among others, the Regulation respecting the standards relating to prescriptions made by a
physician54 specifies the elements that must be included in an individual
prescription:
 the name of the physician, typed or printed;
 his permit number
 the name of the facility or the clinical setting , the phone number and address
of correspondence where he wants to be reached relative to this prescription;
 the patient’s name;
 the patient’s date of birth or his Régie de l’assurance maladie du Québec
number;
 the date the prescription was written;
 the prescription’s validity period, when justified by a patient’s condition;
 where appropriate, any contraindication or other information required by the
patient’s condition;
 his signature;
 if the prescription is for an examination or a laboratory test, the nature of
the examination as well as the clinical information necessary for conducting
the test or for its interpretation.
The Collège des médecins du Québec has produced an exercise guide: Les
ordonnances individuelles faites par un médecin.58 The document is available free of
charge at:
http://www.cmq.org/publications-pdf/p-1-2016-10-03-fr-ordonnances-
individuelles-faites-par-un-medecin.pdf

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Test prescription
A prescription can also be a test requisition form, the content of which
is established by the laboratory.

Blood component prescription

The blood bank and transfusion services shall ensure that the blood
component prescription complies with CAN/CSA Standard Z902 (Blood
and blood components).3

Verbal prescription
The prescription can also be transmitted verbally. The laboratory shall
define a policy1 and procedure concerning verbal test prescriptions and
shall define who can receive a verbal prescription and how the
information is to be recorded in the laboratory. The prescriber shall
provide the same elements as for a written prescription.

Collective prescription
A collective prescription can be written by one or more physicians to
prescribe laboratory tests, among others. The collective prescription
allows a skilled professional to perform certain activities without having
to obtain an individual prescription from a physician. This means that the
person for whom the prescription is made has not had a prior visit with
the physician. This type of prescription is particularly useful in emergency
or frequent, even routine situations.58 The laboratory personnel and
sample collection centre personnel shall be informed of the existence of
such a prescription. As a general rule, the test result is sent to the
physician identified as the responsible physician, based on the procedure
described in the collective prescription.

Validity period
An individual prescription’s validity period is not limited in time unless
otherwise indicated by the prescriber.60

10.2 Out-patient with or without an appointment

A patient’s waiting period from the time of arrival to the point of service and
sample collection shall comply with ministerial requirements.61 The quality
coordinator shall follow up on patient waiting times.
The response time from the time of sample collection and the prescriber’s receipt
of the result shall also be determined and verified on a continuous basis so as to
improve client service.

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10.3 Patient identification

The medical technologist shall unequivocally determine the identity of the patient
before sample collection or any other intervention.62,63
For more information on patient identification, consult the OPTMQ’s document
Prélèvement de sang par ponction veineuse pour fins d’analyse.63

10.4 Patient consent

Consent to tests
It is the medical technologist’s duty to advise the patient of his or her
rights and of ensuring the patient understands the procedures for sample
collection and consents to them.11,34 According to the Civil Code of Québec,
14 is the legal age for consenting to health care. The medical technologist
shall know the provisions of the Civil Code with regard to consent.
Consent can be implicit when a patient arrives at the sample collection
centre with a prescription and voluntarily submits to standard sample
collection procedures such as presenting his or her arm for a blood
sample to be taken.
The patient can withdraw consent at any time. A procedure shall be set
up to document patient refusal and to advise the prescriber.32,62
Consent to medical care is not required in case of emergency if the life of
the person is in danger or his or her integrity is threatened and his or her
consent cannot be obtained in due time.34
For more information, consult the OPTMQ document Prélèvement de sang
par ponction veineuse pour fins d’analyse.63

Free and informed consent to transfusion

With the medical bodies concerned, the blood bank and transfusion
services shall ensure the implementation of a procedure to obtain the free
and informed consent to blood component transfusion.3

10.5 Administration of medications or other prescribed

substances for analyses and tests
The medical technologist may administer, including intravenously from a
peripheral site, prescribed medications or other prescribed substances for
analyses and tests, provided an attestation has been issued to the member by the
OPTMQ subsequent to training in pharmacology.35
A procedure shall be established and readily available for the administration of
medications or other prescribed substances for medical biology analyses or tests,
including instructions in the event of adverse reactions.

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Medications can be administered via the following routes, among others:

 oral
 intravenous
 subcutaneous
 intramuscular
 intradermal (allergy tests)
 topical (for example, the administration of pilocarpine on the skin in a sweat
test).
 via the mucosa (anal, ocular, nasal, bucal, etc.)
The medical technologist shall apply the established procedures placing priority
on patient safety.

Preparation of medications for analyses and tests

Procedures shall be developed for the preparation of medications for
analyses and tests.

Storage of medications
In compliance with the recommendations of the manufacturer of the
medication, a procedure shall define the criteria for storing and handling
medications used to conduct analyses and tests.

Administration of medications
The administration of medications or other substances for analyses and
tests is a procedure that requires special knowledge and a set of
competencies. As part of their duties, medical technologists shall know
and verify the following criteria before administering medications:64
 The patient’s identity
Before administering a medication or other substance, the medical
technologist shall unequivocally determine the identity of the patient
and verify whether the patient has allergies.
 The required medication
Medical technologists shall ensure they are administering the
appropriate medication or substance by comparing the label of the
container with the medication or substance’s card record, and the
prescription. They shall also ensure that the label of the container
corresponds to its prewrapped packaging when it is prewrapped.
 The medication’s expiry date.
 The appropriate dose to administer.
 The recommended route of administration.
 The appropriate time of administration.

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Recording in patient’s file

The medical technologist shall record on the appropriate form in the
medical file:65
 the name of the medication administered;
 the lot number of the medication administered;
 the dose administered;
 the date and time of administration;
 the administration route;
 the duration of administration;
 the adverse effects, if applicable;
 the signature of the medical technologist.
10.6 Sample collection for analyses
Obtaining a quality sample is fundamental to any reliable analysis result. All
inadequate procedures relating to sample collection, from identification, to
handling, to sample transport, may result in erroneous results. Sample collection
tasks are not exclusive to medical technologists. The tasks can be shared with
several healthcare professionals, for whom collection is part of their reserved
activities.

Sample collection manual

As prescribed by the ISO 15189 standard, specific instructions for the
proper collection and handling of samples shall be documented and
implemented by laboratory management and made available to those
responsible for sample collection. These instructions shall be contained
in a sample collection manual.1
These instructions should in addition include the following elements:
 the test’s IT code (mnemonic);
 eating restrictions (if applicable);
 possible interference;
 whether or not the patient must take his or her medication before the
test;
 testing time interval;
 tests that can be requested on an urgent basis;12
 routine tests and tests conducted upon special request;
 the criteria for accepting or rejecting samples;
 any other information or directive relevant to the test or sample
collection.
The sample collection manual shall be part of the document control
system.1
The laboratory shall provide these written directives to any person or
institution submitting samples for testing.1.12

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Sample collection procedures

The standard operating procedures relating to samples and sample
collection shall comply with recognized standards. These procedures
shall be available at the sample collection centre.1,28
 Venous sample: the procedures for venous blood collection shall be
documented and shall be carried out in compliance with the OPTMQ
document Prélèvement de sang par ponction veineuse pour fins d’analyse63
 Capillary sample: the procedures for capillary blood collection shall
be documented and carried out in compliance with the OPTMQ
document Prélèvement de sang par ponction capillaire aux fins d’analyse.66
 Cytology sample: the procedures for cytology sample collection
shall be documented and carried out in compliance with the Guidelines
for Practice and Quality Assurance in Cytopathology of the Canadian Society
of Cytology.67
 Histopathology sample: the procedures for histopathology sample
collection shall be documented and carried out in compliance with
the OPTMQ document Guide d’anatomopathologie.68
 Microbiology sample: the procedures for microbiological sample
collection shall be documented and carried out in compliance with
the OPTMQ document Microbiologie.69
 Other samples for biomedical testing: The procedures for sample
collection for all other types of testing shall be documented and
carried out in accordance with recognized standards.
 Tests for point-of-care testing (POCT): See point 13.0
A procedure shall define the means to take when a sample could not be
taken. This procedure shall provide for recording the reason for not
obtaining the sample and the process for advising the prescriber and for
ensuring traceability.

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10.7 Sample identification

Sample identification is an important step in the preanalytical phase. The
requirements in the OPTMQ document Prélèvement de sang par ponction veineuse pour
fins d’analyse must be respected.63

Anonymized sample
In some specific cases, when confidential clinical studies or tests require
patient anonymity, a sample can be submitted with an anonymized
identification. In this case, the prescriber shall assign a code to the sample
and shall keep in his or her files the identity of the patient corresponding
to this code. Information allowing for biological validation of the results
(sex and date of birth) shall be available.
The data required in the event of a notifiable disease shall be available
upon request.
The identifiers required on a sample consists of the code assigned by the
prescriber and the date of birth (or other identifier).

Patient whose identity cannot be determined

A procedure shall be implemented for the temporary identification of a
patient whose identity cannot be determined. For more information,
consult the OPTMQ document Prélèvement de sang par ponction veineuse pour
fins d’analyse.63

10.8 Sample storage and transport

The laboratory shall ensure that samples:1
 are transported within an appropriate timeframe;
 are kept at the recommended temperature interval and with the designated
preservatives to ensure their integrity;
 are transported in a manner that ensures safety for the carrier and the
receiving laboratory.
The procedures shall be documented and established in accordance with the
regulations in force and with recognized laboratory practices.
For more information, consult the OPTMQ document Transport et conservation des
spécimens dans le domaine de la biologie médicale53 and the Transportation of Dangerous
Goods Regulations.75

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10.9 Sample reception

Recording sample reception

The receipt of a sample in the laboratory shall be recorded either on a
paper or electronic medium before testing.1
This record, which can take the form of a copy of the test requisition,
shall contain all the information with regard to the identity of the patient,
of the prescriber, of the prescribed tests, of the time and date the sample
was collected, of the person who collected the sample, of the nature of
the sample, and of the time and date of receipt at the laboratory. The
record should also mention the name of the person who received the
samples.1 The record shall be kept in compliance with the institution’s
documentation retention schedule.

Processing urgent tests

The laboratory should determine, in collaboration with the medical
bodies in charge of the institution, the list of analyses and tests that can
be subject to an urgent request. These analyses and tests require priority
processing.
The laboratory shall draft a procedure for the receipt, labelling,
processing method, and transmission of the results report for these
urgent analyses and tests.1

10.10 Sample acceptance and rejection criteria

The medical technologist shall ensure that the sample received complies with the
quality criteria determined for the test before carrying out the test.11
Sample acceptance and rejection criteria shall be established in each laboratory,
working closely with the laboratory specialists. A procedure shall be established
to describe the means of rejection and shall include a derogation process if the
patient’s clinical condition requires it (e.g., life threatening).
This procedure shall also take into account the following conditions:53,63,76

Adequate sample identification

There shall be compliance with adequate sample identification and the
presence of two identifiers (family name, first name, and patient-specific
identification number).63 If patient identification is not in compliance, the
sample shall be rejected.

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Unique sample
If on exceptional grounds connected to the patient’s well-being a unique
sample is not in compliance (CSF, surgical parts, etc.), this sample may
nevertheless be tested. The test report shall note the noncompliance of
the sample and the fact that the result has not been validated. If
applicable, it shall include an addendum containing all the information
likely to influence clinical interpretation of the results by a physician.1
The report shall not be issued until confirmation is obtained from the
prescriber or the person in charge of the sample that he or she assumes
responsibility for identification and will provide the necessary
information. The signature of the person confirming the identification
shall be recorded on the requisition or be appended. If, for some reason,
this requirement is not respected, the name of the person in charge shall
be written in the test results report.1
While sample acceptance criteria shall be established to this effect,
medical technologists shall use their clinical judgment in applying these
criteria and shall do everything possible to avoid refusing the unique
sample, the objective being the patient’s safety.

Sample quality
There shall be compliance with the requirements of the sample collection
method, the stabilizing conditions, and the transportation timeframe for
the test requested.
The integrity of the sample (hemolysis, lipemia, fill volume, etc.) shall be
in compliance with the test method requirements. If the quality of the
sample is not acceptable, the sample shall be rejected.1

Processing the request in the event of rejection

When a noncompliant sample is rejected, a report indicating that the test
was not conducted due to sample noncompliance shall be drafted and
the person who applied for the test advised.
Traceability shall be maintained at all times: the request must never be
cancelled, whether electronically or by paper. (See point 12.10.) If there
was a mix-up between two patients, new samples shall be obtained and
processed based on a new requisition.
The laboratory shall record in a (paper or electronic) register, the origin
and the reason for noncompliance of the rejected sample. This data
should be periodically analyzed to detect the causes of errors and to
recommend corrective action and to thus improve service. (See points
3.3.1 and 3.3.3.)

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11.0 Analytical phase

11.1 Procedures related to analytical activities
The procedures related to analytical activities shall clearly define the steps
involved in all testing techniques used in the laboratory.
The procedures shall be accessible to all personnel. They should include the
following or refer to another procedure that includes the following, as required:
 The principle, the purpose, and the clinical relevance of the test.
 The policies and processes that govern the procedure.
 The scope of the document.
 The particular sampling requirements (examples: patient preparation, special
diet, conditions for storage and transport, conditions for rejection,
procedures for preparing samples to be sent out for analysis in another
centre).
 Mode of preparation of samples for analysis. Each step in the mode of
preparation shall be described. Manufacturer’s recommendations shall be
taken into considerations at all times.
 Technical instructions for the analysis.
 The nature, mode of preparation, and the storage time of reagents used.
 Equipment or materials to be used.
 Special safety precautions involved in performing the procedure.
 Calibration.
 Preventive maintenance.
 Quality control.
 Calculations.
 Interpretation of results.
 Reference intervals and clinical values.
 Critical values and reference to the procedure to be followed in these cases.
 Performance specifications (for example, linearity, precision, accuracy
expressed in terms of measurement uncertainty, detection limit, extent of
measurement, trueness of measurement, analytical sensitivity, and analytical
specificity).
 Interferences and cross reactions. Possible interferences shall be identified
and described. It is important to evaluate these in all categories, for example,
interference related to sample collection, medications, and the patient’s
clinical state.
 Bibliographical references.
 Effective date and review date.
 Identity of the author, revisor, and the person authorizing the procedure.
 Reference to the document detailing the procedure to follow for entering
and transmitting results along with the steps to follow when there is a power
failure or information system failure.

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Adapted from Clinical Laboratory Standards Institute: QMS02, Quality

Management Systems: Development and Management of Laboratory Documents; Approved
Guideline.21

Equipment procedure manuals

All laboratory instruments and equipment shall be accompanied by an
operating procedure manual.
The manufacturer’s procedure manual, which gives specific information
for the equipment, can also serve as the operation procedure if it contains
all the points listed above, if it describes laboratory procedures that are
in use, and if its language is easily understood by all medical technologists.
Equipment operation procedures can also be integrated into the
analytical procedures.

Product inserts
Requirements as specified in product inserts for commercial kits,
reagents, specimen collection tubes, and any other element shall be
checked with each lot change.1 The product insert shall be read, dated,
signed and retained. As well, relevant changes shall be integrated into the
procedure.

11.2 Laboratory equipment

Laboratory equipment includes instruments, equipment, reagents, reference
materials, and consumables, without being limited to these.
The laboratory shall be furnished with all items of equipment required for the
provision of services.1 The laboratory shall define and document its policies and
procedures for the selection and use of purchased external services, equipment,
and consumable supplies that are likely to affect the quality of its service.
Purchased items shall consistently meet the laboratory’s quality requirements.
Any laboratory equipment that affects the quality of the services shall not be used
until it has been verified as complying with standard specifications or
requirements defined for the procedures concerned.1
There shall be an inventory control system for the supplies in place. Each item
of material shall be uniquely labelled, marked, or otherwise identified.1

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Instruments
11.2.1.1 General requirements
Instrumentation is an important component of the analytical
process. Despite the improved performance of instruments, the
medical technologist must understand how they function and
remain vigilant when using them.11
Instrument management includes the processes of selection,
inventory, installation, calibration, maintenance, annual
certification, and the withdrawal of the instrument.
The laboratory shall have measures in place in order to verify
that instruments in use comply with their specifications, that
they are kept in good condition, that they are operated safely,
that they respect the environment, and that there are a sufficient
number of them. Compliance verification will be carried out
before purchase, during set-up, and during normal operation.1,22
All instrument parts directly or indirectly involved in analytical
processes shall have associated with them an identification
number, an operation procedure, and a schedule of preventive
maintenance and function checks. (See points 11.1 and 11.5.)22,77
Records shall be retained for the time specified by the
laboratory, while respecting legal and administrative
requirements. (See point 3.5.4 and Appendix 10.)
11.2.1.2 Inventory
A complete inventory of instruments shall be established and
updated with each instrument purchase or withdrawal. The
inventory shall include the following information:1,77
 a unique inventory number for each component of the
instrument;
 the location;
 the manufacturer’s name, model number, and serial number;
 the date of receipt as well as condition upon receipt (for
example, new, used, or reconditioned);
 the implementation date;
 the list of manufacturer’s manuals and their location;
 the list of all versions of software.
Each instrument shall be identified with a label that includes its
inventory number, calibration schedule, date of its latest
operational verification, and the date of the next planned
verification. Labels used shall be water resistant, humidity
resistant, and heat resistant; and they shall be placed on the
instrument so as to be clearly visible.77

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An instrument inventory coordinator should be named to keep

the instrument inventory up to date.77

11.2.1.3 Implementing a new instrument

The laboratory shall establish a protocol for implementing a
new instrument.78 The protocol should include:
 comparative study of new reagents in routine use;
 establishing reference intervals as well as disseminating any
changes to the various health professionals;
 establishing new calibration curves, linearity curves, and
detection limits;
 establishing or verifying target values and limits for quality
control;
 evaluating sample precision, accuracy and remanence, and
reagent cross-contamination;
 connecting the interface with the information system in
place;
 personnel training;
 establishing maintenance procedures.

The manufacturer’s manual can be used if it contains all

elements necessary to instrument implementation.

Instrument records shall be stored for the retention period

determined by the laboratory, while respecting legal and
administrative requirements.79
11.2.1.4 Instrument operation
The medical technologist shall have knowledge of the following
elements:11
 unique identifier of each instrument and its software (if
applicable);
 manufacturer identification, supplier contact person and
telephone number;
 implementation date;
 materials required;
 principle;
 linearity;
 limits of the instrument;
 interferences;
 corrective measures;
 applicable calibration and quality control and the intrinsic
records (results, interpretation, calculations, etc.);
 preventive maintenance and intrinsic records;

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 error sources;
 troubleshooting guide;
 biological, chemical, and physical risks associated with
handling as well as the precautions to be taken to avoid these
risks;
 decontamination procedure.

Reagents
Reagents include all products used during an analysis, for example,
colorants, chemical products, commercial kits, control solutions, etc.
A reagent management process shall be established and should
include:22,80
 An inventory of reagents used.
 Manufacturer’s storage instructions.
 Preparation, verification, and storage conditions of reagents.
 Recording of expiry dates and lot numbers of commercial solutions.
 Appropriate labelling of reagents that includes:
 date of receipt (if applicable);
 date opened (if applicable);
 date prepared (if applicable);
 expiry date;
 concentration;
 storage conditions;
 initials of the medical technologist who did the preparation;
 the relevant WHMIS labels.
 A product description that meets the requirements of WHMIS. A
material safety data sheet or a health and safety technical specifications
sheet shall accompany each product. The sheet shall include the name
of the person who has prepared the product as well as the preparation
date.27
 Modes of preparation of laboratory reagents, which shall be described
in the analytical techniques and procedures manual.

Water used in laboratories

Water is the most commonly used laboratory reagent. The laboratory
shall ensure that the water used in its activities meets the intended quality
criteria or specifications. These criteria are chosen mainly in terms of the
specificities of various instrument applications and specifications. Water
quality is crucial and can influence tests in various ways, for example:
 preparation of culture media;
 preparation of reagents;
 reconstitution of lyophilized matter.

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The 4th edition of Preparation and Testing of Reagent Water in the Clinical
Laboratory (GP40-A4), 2006, Clinical and Laboratory Standards Institute
(CLSI)81 gives six categories of purified water:
 clinical laboratory reagent water (CLRW);
 special reagent water (SRW);
 instrument feed water;
 water supplied by a method manufacturer;
 autoclave and wash water;
 commercially bottled, purified water.
For its part, the Laboratoire de santé publique du Québec (LSPQ)
provides a water quality analysis service for Quebec biomedical
laboratories. Based on the CLSI GP40 standard, it has established
specifications for microbiological and physical–chemical parameters as
presented in the table below. 82
Comparative characteristics of parameters analyzed by the LSPQ in
relation to the CLSI:
Parameter LSPQ LSPQ LSPQ CLSI
Type I Type II Type III CLRW
Microorganism count
< 10 < 100 N/A < 10
(CFU/mL) (1)
Endotoxins (EU/mL) < 0.25 < 1,0 N/A N/A

Resistivity (MΩ.cm) (2) > 10 > 1.0 > 0.1 > 10 (2)

Conductivity (μS/cm) (2) < 0.1 < 1.0 < 10.0 < 0.1 (2)
pH N/A N/A 5.0–8.0 N/A
Silicates (mg/L) < 0.05 < 0.1 < 1.0 N/A
Total organic carbon
< 100 < 500 N/A < 500
(μg/L)
Particulates (end-of-line
filter blocking
Yes Yes N/A Yes
particulates ≥ 0.22 μm)
(3)

(1)
filtering membrane technique with a 0.45 μm filter
(2)
obtained with a closed circuit
(3)
non-analyzed parameter

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The new CLSI standard (GP40-A4) replaces the categories commonly

referred to as Type I, Type II, and Type III, under the designation Clinical
Laboratory Reagent Water (CLRW). A CLRW purified water has essentially
the same properties as Type I water under the previous standard. LSPQ
results for external requests for water analysis will be reported with
mention of conformity under the new CLRW designation. However,
upon client request, water quality for the former CLSI categories Type I,
II, and III, will from now on be reported with the LSPQ designation
Type I, II, or III depending on the parameters to be analyzed.82
11.2.3.1 Use of the various water types
Water that meets specifications under the new CLRW
designation is pure enough for most of the tests carried out in a
biomedical laboratory and possesses essentially the same
properties as Type I water under the former standard. Some
analyses, like nucleic acid (DNA, RNA) analyses and analyses
for traces of metal require special reagent water (designated
SRW by CLSI). In such cases, additional parameters and limits
different from CLRW criteria are established by the
laboratory.81

11.2.3.2 Commercial laboratory water

Values for resistivity, microbial content, and total organic
carbon shall be determined by the manufacturer at the time of
production. These values will appear on the manufacturer’s
label with the lot number and the expiry date. It is
recommended that each new lot be verified in order to ensure
the desired quality.83

11.2.3.3 Validation of criteria

A laboratory that establishes specific quality criteria for water to
be used shall verify that the criteria meet expectations.81 Various
methods of validation can be used (e.g., use of water as a blank
sample, evaluation of quality control elements, comparison with
a water that has an established purity, etc.).

11.2.3.4 Validation of the water purification system

The water purification system shall also be checked so as to
demonstrate that it is able to provide water in accordance with
the expected criteria. Validation should include installation
qualification, operational qualification, and performance
qualification. Any existing water purification system can be
subjected to a retrospective validation based on historical data.81

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11.2.3.5 Quality control of water

Once validation has been completed, the water purification
system shall be verified periodically. A record of operations and
maintenance enables documentation of the various functional
checks. Analyses of targeted parameters shall be carried out
according to an established schedule so as to assure water
quality. In addition, these analyses make it possible to detect
deviations from specifications or trends alerting the user to plan
equipment maintenance.81

11.2.3.6 Quality control of glassware washing

Glassware washing with quality water can prevent a number of
testing problems. A process shall be established so as to ensure
that glassware and non-disposable plastic instruments are
cleaned and sterilized in a manner that eliminates all traces of
metals, residues, detergents, or other contaminants.23
A visual spot check of washed glassware is recommended as
well as a chemical pH check adding 0.04% bromothymol blue
to a glassware item that has gone through all washing and
rinsing cycles. A change of colour to yellow or dark blue
indicates the possible presence of, respectively, acidic or alkaline
residues.83

Requirements for specific instruments

It is recommended that some instruments (among others, thermometers,
refrigerators, balances, centrifuges) be calibrated by an organization
accredited by the Standards Council of Canada in partnership with the
Calibration Laboratory Assessment Service (CLAS).
Other instruments not mentioned in this section shall also be checked if
they affect the quality of results. The electrical cord of each device should
be inspected annually.84

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11.2.4.1 Refrigerator, freezer, water bath, and incubator

The medical technologist should verify temperature during each
use. Temperature recording frequency shall be noted, in
compliance with the standards for that area of activity. If the
instrument is equipped with a device for continuous recording
of temperature, the laboratory shall have a procedure defining
the monitoring mode, including frequency of graph changes,
according to instrument specifications. At least once a day but
ideally during each work shift, the medical technologist shall
record, date, and initial the temperature of each of these
instruments.85-87 Accuracy of thermometers in use shall be
performed regularly, in accordance with the manufacturer’s
instructions.3
Tolerance limits shall be determined for each instrument based
on its methodology. For some instruments, tolerance limits are
provided by the manufacturer.
11.2.4.2 Refrigerator, freezer, incubator for storage of whole blood
and labile blood components
This equipment shall have a validated continuous system for
monitoring temperature and with an alarm system with signals
that are audible. The alarm warning shall signal in a location that
is continually monitored or staffed.88 A regular temperature
verification procedure (for example, every eight hours) should
be in place to prevent loss of blood.3
If these devices do not have a continuous temperature-
monitoring system, the temperature shall be checked and
documented every four hours.3
There shall be access to an emergency power source for critical
equipment in the event of a power failure.3

11.2.4.3 Autoclaves
The effectiveness of decontamination by steam autoclaving
depends upon various loading factors that influence the
temperature to which the material is subjected and the contact
time.13,25,89
Record of a cycle as well as the use of a sterilization indicator
tape shall be included in each use. Effectiveness shall be
checked weekly with a biological indicator (or each time it is
used, when used less than once a week).13,22,25,89,90

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11.2.4.4 Balances
Balances are sensitive instruments and should be installed in a
location where factors of influence as specified by the
manufacturer are controlled.
An analytical balance should be installed in an area free of
vibrations and air currents.22,90 The balance must be clean and
perfectly levelled. Should it be necessary to move a balance, it
should be recalibrated.
The balance shall be calibrated with traceable weights.22,90 These
weights shall be accessible, well maintained (no corrosion), and
calibrated regularly.22 Calibration results shall be recorded,
dated, and initialled.22
11.2.4.5 Centrifuges and cytocentrifuges
At the minimum, the laboratory shall include the manufacturer’s
specifications when it establishes a preventive maintenance
procedure for centrifuges and cytocentrifuges, one that includes
a schedule of maintenance operations.
Maintenance shall include, among other aspects, an annual
verification (or more often if necessary) of centrifugation speed,
usually with a tachometer, as well as annual verification of the
temperature of refrigerated centrifuges.84,90
Maintenance operations can be carried out with participation of
the medical engineering department or of another qualified
person, provided that operating specifications are supplied by
the laboratory. All interventions shall be recorded, dated, and
initialled.22
11.2.4.6 Biological safety cabinets

 Installation and certification of biological safety cabinets

Selection of the proper class of biological safety cabinet shall
be in compliance with the level of confinement related to the
risk group of the microorganisms being handled. Biological
safety cabinets should be installed in compliance with the
requirements stated in the Canadian Biosafety Standard and the
Canadian Biosafety Guidelines from the Public Health Agency
of Canada.
Among others, these requirements include:
 A biological safety cabinet should be located away from
high traffic areas, doors, and air supply/exhaust vents that
could interrupt air flow patterns.

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 A minimum unobstructed distance of 40 cm should be

provided between the exhaust outlet on top of the cabinet
and any overhead obstructions. Whenever possible, a 30
cm clearance should be provided on each side of the
cabinet to allow for maintenance access.13,25
 The provision of natural gas to biological safety cabinets
for purposes of sterilizing inoculation instruments is not
recommended. Micro-incinerators must be used.13,25
 Correct operation of biological safety cabinets shall be
verified by an accredited organization before they are
used, and then annually, and after any repairs or
relocation.25,27 A copy of the certification report shall be
provided to the user, who shall keep it on file.25 A label
shall be affixed to the cabinet exterior indicating the date
of certification and the date of the next certification.25
 Use of the biological safety cabinet
The procedure for the use of biological safety cabinets shall
be in compliance with the procedures described in the
Canadian Biosafety Standard and the Canadian Biosafety Guidelines
from the Public Health Agency of Canada.
Verify inward airflow with a strip of paper (e.g., paper
towelling) attached to the base of the protective viewing
panel of the cabinet.25 This verification shall be carried out
daily before use and recorded.13,25
It is recommended to avoid moving around behind someone
using the cabinet.
 Decontamination.
Use a non-corrosive disinfectant to disinfect the interior
surfaces of the cabinet.
11.2.4.7 Fume hoods
A fume hood shall be equipped with a visual and audible alarm
system that signals when frontal air velocity has passed below a
pre-established point.
A fume hood should be located away from high traffic areas,
doors, and general ventilation devices that could interfere with
air flow patterns.
The unobstructed work area in front of the fume hood should
extend at least 1.5 m.91

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A preventive maintenance program shall be established. Daily

maintenance should include cleaning the work surfaces and
checking the sashes and the alarm. Fume hood operation shall
be verified by a qualified organization before commissioning,
after each repair or relocation, and annually.
Calibration, inspection, and preventive maintenance reports
shall be on file in compliance with the established retention
schedule.91 (See point 3.6.4.)
For more information, consult the CSA Group Standard
Z316.5, Fume hoods and associated exhaust systems.91

11.2.4.8 Microscope
An adjusted and optimally maintained microscope is an element
essential to the precision and accuracy of any microscopic
examination.
The medical technologist must have a basic knowledge of the
principles and components of the microscope.11
The microscope operating procedure should:
 describe adjustment and daily maintenance;90
 establish a preventive maintenance schedule;
 provide for annual inspection by a specialist;
 provide for the obligation to record, date, and initial
preventive maintenance operations.
The lighting adjustment procedure, in accordance with the
Köhler method, shall be described and performed by the
medical technologist before using the microscope.92,93 (See
Appendix 11)
The Köhler lighting adjustment enables a total and uniform
illumination of the microscopic field, thereby presenting a clear
and precise image of the object observed.94
11.2.4.9 Automated pipettes and dilutors
The medical technologist shall verify the accuracy and precision
of each new automated pipette and each new dilutor before first
use, after each preventive or corrective maintenance in
compliance with user-defined run lengths, and minimally once
a year.103 The laboratory shall establish a calibration verification
procedure that includes a schedule of maintenance procedures
in compliance with the manufacturer’s recommendations or
with any other recognized standard. The medical technologist
shall record, date, and initial all interventions.

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11.3 Choice and validation of an analytical method

An analytical method shall be selected in terms of the needs of laboratory
clientele and type of analysis.1 Any change of analytical method (or in the method
itself) that might cause a significant change in results or in the interpretation of
results shall be communicated in writing to users of laboratory services before
making the changes.1
It is advisable to opt for analytical methods featured in publications recognized
by experts in the area or for methods recommended in regional, national, or
international directives.
Any other analytical method shall be supported by complete documentation and
validated as being in compliance with its intended use.1 Evaluation results shall
be compiled and found to be satisfactory for the targeted medical test.
Furthermore, results shall meet clinical requirements and be approved by the
laboratory specialist.1,95 When possible, method validation will include a
comparison of results with a recognized reference method.96
The validation procedure as well as its results shall be recorded and kept on file
in compliance with the period determined by the institution’s retention schedule
and by applicable regulations.1
Note: Reference intervals shall be re-established when there has been any change
in a method or a change of method. See point 11.4.

Correlation between a main device and a support device

Correlation between a main device and a support device shall be carried
out according to an established frequency, as part of a continual process
of quality control, and during installation, repair, or calibration.1
Every intervention shall be recorded, dated, and initialled.
The difference between results obtained on the main device and those
obtained on the support device shall not be clinically significant.96
Reference intervals should be the same for both devices.
External quality control makes it possible to monitor the trends of each
device and to verify the correlation between the two systems.
11.4 Reference intervals
A reference interval is defined as the interval between and including two
numbers, an upper and lower reference limit, which are estimated to enclose a
specified percentage (usually 95%) of the values for a given population. The
lower limit and upper limit are estimated as the 2.5th and 97.5th percentiles of the
distribution of reference values, respectively.97
Reference intervals are calculated from reference values obtained in a reference
population study for a particular analysis. Reference values should be obtained
locally in each laboratory. The laboratory can also decide to validate reference
intervals established by manufacturers or those found in the literature.97

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The population of individuals whose values serve to establish reference intervals

shall be representative of the population to be analyzed.97 In some cases,
reference values typical of a pediatric population, for example, shall be obtained.
Reference intervals shall be reviewed periodically. A review shall also be carried
out with any change in a preanalytical or analytical procedure. 1
The elements that are most important in determining a reliable reference interval
are the following:97
 appropriate selection of reference individuals;
 analysis of a sufficient number of reference individuals;
 elimination of preanalytical and analytical error sources.
Written consent shall be obtained from reference individuals.34
Establishing reference intervals requires additional knowledge, not dealt with
here. Please consult the reference literature and laboratory specialists.
More information on reference intervals is provided by the CLSI document
EP28 Defining, Establishing, and Verifying Reference Intervals in the Clinical Laboratory;
Approved Guideline.97
11.5 Preventive maintenance
A laboratory shall develop and implement a regular monitoring program that will
ensure the proper functioning of all laboratory instruments, materials, reagents,
and analytical systems.1
The preventive maintenance program shall be documented and recorded, and
shall at least minimally comply with manufacturers’ recommendations or any
other recognized standard.1 The medical technologist records, dates, and initials
all preventive maintenance interventions.
Records related to a preventive maintenance program should be kept for the
useful life of the equipment, plus three years.79

11.6 Calibration
Calibration is defined as a set of operations that establish the mathematical
relationship between values of quantities indicated by a measuring instrument or
measuring system and the corresponding values realized by standards. This
mathematical relationship is then used to determine the concentration of the
analyte in the test sample.78 Calibration must not be confused with quality
control.

Calibration solutions
Calibration solutions shall be used and stored in rigorous compliance
with the manufacturer’s recommendations.

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Calibration procedure
A calibration procedure specific to each analytical system used by a la-
boratory shall be described in the operational procedure manual or in the
analytical procedure of this system. Calibration results shall be recorded,
dated, and initialled.
Written procedures and technical instructions should specify what
follows, or refer to another procedure or to other technical instructions
that specify the following:
 requisite calibration frequency and situations that require calibration;
 maintenance or updating of the analytical system before calibration,
if required;
 verification of the validity of calibration of the analytical system at
the end of the procedure;
 measures to be taken in the event of calibration nonconformity.
11.7 Quality control program
The quality control program encompasses measures taken to assure the accuracy
and precision of the result of each analysis performed. The ultimate goal is to
provide high-quality analyses, and consequently, to support physicians in the care
of their patients.
The laboratory specialist shall ensure that each analysis method is accompanied
by a recognized and adequate quality control system.1 The vigilance, expertise,
and judgment of the medical technologist are essential to the application of any
quality control approach to analytical systems.
The laboratory should designate a quality control coordinator to process data, to
document sources of errors, to ensure recording and follow-up of data, and to
suggest corrective measures.22,80
The following section places special emphasis on quality control of blood tests.
For more information on quality control for other areas of activity in medical
biology, consult the following documents:
 CSA Group, CAN/CSA Z902: Blood and blood components3
 OPTMQ, Anatomopathologie68
 OPTMQ, Hématologie99
 OPTMQ, Hémostase100
 OPTMQ, Microbiologie69

General criteria
The laboratory shall implement and maintain a quality control system for
analytical procedures in accordance with the following requirements:
 The quality control program shall be adapted to the complexity of
each analytical system, complying with manufacturer’s requirements
and recognized standards.

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 An internal quality control system shall assure the precision of results

obtained.1
 An external quality control system and interlaboratory comparison
scheme or a conformity assessment procedure shall be implemented.1
(See point 11.7.8.)
 Verification of quality control results shall be recorded, dated, and
initialled.
 Preparation of control materials and reagents used to perform
controls shall be documented. Internal and external control results
shall be recorded, dated, and initialled. They shall be subject to
assessment and periodic follow-up by the coordinator. This
information shall be conveyed to personnel.23
 When the quality control result is noncompliant, corrective action
shall be taken, documented, and reviewed.1

Internal quality control

Internal quality control shall ensure that analytical phase processes are in
compliance with the quality criteria established for each analysis carried
out in the laboratory.
There shall be a process in place to standardize microscopic observations
between users.101
Daily control includes regular use of materials and control methods, as
well as continual statistical analysis of them.
Statistical analysis of controls shall enable identification and
differentiation of a random error from a systematic error throughout the
analytical process.

Control samples
Control samples shall be selected according to the characteristics of the
measurement method and the patient sample. The laboratory should
obtain stable control materials (appropriate expiry date) in a quantity
sufficient to ensure long-term use of a single lot (for at least one year).102
There are two kinds of control materials: commercial control solutions
and control solutions prepared in-house.
11.7.3.1 Use of commercial quality control materials
The primary function of commercial control solutions is daily
monitoring, continually and more-or-less long term, of the
performance and level of precision of an analytical procedure.
The laboratory shall note and record all lot numbers
corresponding to each commercial solution being used, and it
shall retain these records in compliance with the institution’s
retention schedule.

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Modes of reconstituting commercial lyophilized controls as well

as defrosting frozen commercial controls shall rigorously
comply with manufacturer’s instructions. Commercial quality
control solutions for a device shall not be identical to the
calibration solutions for that device.80
11.7.3.2 Controls prepared in-house
For control materials prepared internally, the laboratory shall
have a procedure for verifying stability, establishing an expiry
date, and defining storage condtions.102 This procedure shall
also ensure compliance with the additional security measures
required by the internal preparation of such control materials.
11.7.3.3 Control stability and storage
The medical technologist shall respect manufacturer’s
instructions with regard to the stability period, expiry date, and
storage conditions of commercial quality control materials.
Once reconstituted or defrosted, control solutions shall not be
refrozen, unless there is notice to the contrary by the
manufacturer.
11.7.3.4 Control levels
The number of levels or concentrations of quality control
materials shall be sufficient to verify the analytical performance
over the measuring range of the technique.102
Controls for normal and abnormal levels shall be used for each
analysis carried out, and concentrations shall correspond to
clinically significant values.102
Control levels shall be representative of the clientele being
served.
Commercial control solutions shall be treated in the same way
as patient samples.

Frequency of quality control

The frequency of quality control measurement shall be established by the
laboratory specialist based on the laboratory testing conditions and
manufacturer’s recommendations. Quality control samples shall be
analyzed at least once during each analytical run length. An analytical run
is the time or number of measurements for which the measurement
procedure is stable.102
Quality control shall also be conducted after a calibration and after a
preventive maintenance or a repair.
A normal control concentration and an abnormal concentration shall be
included in each analytical run for semi-automated devices, for manual
methods, and for specialty tests.

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Statistical treatment of quality control

11.7.5.1 Target value and control limits
Each laboratory shall establish a target value and control limits
for each control level. Ideally, the target value and the limits
correspond to the observed mean value and to plus or minus
three times the observed standard deviations of a distribution
made up of a minimum of 20 readings over a period of 20
days.102
11.7.5.2 Validation of new control lots
A procedure shall be implemented that will compare the values
of a new control lot to the former lot so as to establish the target
value and limit values of each new lot.
11.7.5.3 Assessment and follow-up of control results
If technical conditions are respected and remain unchanged,
control results shall respect the limits defined by the laboratory
specialists. The Westgard rules of 13s (a result of plus or minus
three standard deviations from the mean) or 22s (two
consecutive results of plus or minus two standard deviations
from the mean) can be used to determine control acceptability.
If these rules are followed, results of patient analyses will be
acceptable and validated. Other Westgard rules can apply. A
result of plus or minus two standard deviations from the mean
(12s) is generally considered as a warning.102,103
If control results are beyond acceptable ranges, the laboratory
shall implement a procedure that defines corrective action to be
taken in order to solve the problem before producing an
analytical result for a patient.
11.7.5.4 Reproducibility
Reproducibility is the measurement of imprecision; it expresses
the degree of variation (dispersion) of results with multiple
analyses of control materials of the same value carried out
according to a method of analysis.
Reproducibility is expressed by the coefficient of variation (CV),
which is calculated by dividing the standard deviation by the
mean and multiplying it by 100; it thus defines the imprecision
of a method.
The intra-assay CV (CV calculated over a period of 20–30 days)
shall not exceed the imprecision limits specified by the
manufacturer.

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11.7.5.5 Charts
Automated instruments as well as laboratory information
systems are usually equipped with an integrated system for
processing quality control values, which allows for control
interpretation and follow-up.
The quality control coordinator shall use the quality control
charts to interpret the results and closely monitor quality
control.
Levey-Jennings charts and Westgard multiple rules are most
commonly used in biomedical laboratories, but these are not the
only ones that are scientifically valid.
The laboratory shall be able to trace the identity of the medical
technologist who verified quality control compliance and
corrective action, where applicable.

Quality control of qualitative analyses

Quality control materials shall be used to ensure the quality of qualitative
tests. Commercial solutions provided by a manufacturer should be used
in compliance with requirements involving storage, reconstitution (if
applicable), and expiry date.
The procedure shall provide for the use of a positive control and a
negative control for each qualitative analyses run, when controls are
available. On the condition that manufacturer’s instructions are followed,
some tests can be controlled by the daily use of a positive control and a
negative control.104
The laboratory should have confirmatory testing to confirm positive
screening results.104

Quality control of analyses without control materials

For some analyses, there are no appropriate or readily accessible control
materials. In such cases, the laboratory shall prepare its own controls by
referring to established and recognized standards. (See point 11.7.3.2.)
If preparation of these controls is impossible, accuracy and precision shall
be assured by establishing procedures, method validation, reproducibility,
and continuing education of medical technologists.1,92

External quality control

The laboratory shall participate in an external quality assessment program
that addresses all types of analyses it performs.1 The main purpose of an
external quality control program is to detect systematic errors (bias). Such
a program thus makes it possible to perform an accuracy check of the
analysis method and to compare laboratory accuracy performance with
that of other laboratories.105

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For those analyses performed at different sites, there shall be a defined

mechanism for verifying the comparability of results for the range of
observed values in clinical practice.1
Where there is no external quality assessment program in place for one
type or several types of analysis, the laboratory shall establish a
conformity (accuracy) assessment procedure.1 In such a case, the
laboratory can send an aliquot of a sample of a known patient to another
laboratory or assess a sample from a former clinically known patient so
as to assess conformity of analytical procedures.106
For more information on quality assessment where there is no external
quality assessment program in place, consult Clinical and Laboratory
Standards Institute (CLSI) document GP29—Assessment of Laboratory
Tests When Proficiency Testing is not Available.106
Samples provided by an external quality assessment program shall be
analyzed and processed in the same way as patient samples.1
The external quality control and interlaboratory comparison scheme are
useful tools for continuing education of personnel. Personnel from the
various work shifts should participate in such training.
The laboratory should adopt a written procedure for handling and
processing control materials as well as for recording and follow-up of
results. Analysis and follow-up of external quality control results shall
allow for detecting current or potential problems and to take the
necessary corrective action when results are not acceptable.105 Records of
external quality control shall be retained in compliance with the
institution’s retention schedule.1
The Clinical and Laboratory Standards Institute document GP27— Using
Proficiency Testing to Improve the Clinical Laboratory explains in detail how to
use external assessment to improve analysis quality.105

11.8 Sending out analyses to referral laboratories

Selection and evaluation procedures

The referring laboratory is responsible for assuring the quality of analyses
sent to the referral laboratory. It shall thus have available a procedure for
selecting and evaluating the referral laboratory.1
This procedure should allow for verification of the following points:1
 Is the analysis method chosen by the referral laboratory appropriate
for the intended use?
 Do turnaround times meet the needs of the referring laboratory and
its users?
 Are the required preanalytical and postanalytical conditions clearly
defined and documented?

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Contract review
If the laboratory offers client services in medical biology (referring
laboratory, pharmaceutical company, and medical clinic, etc.), it shall
establish and maintain contract review procedures. Such reviews shall
ensure that requirements, including the methods to be used, are
adequately defined and documented and that the laboratory has the
capability and resources to meet the requirements. Clients shall be
informed of any deviation from the established contract.1

Register for samples sent out to a referral laboratory

When samples are sent out to a referral laboratory for analysis, the
referring laboratory shall keep a record in a register, with information
related to each sample, and it is responsible for following up on the
results.1
Whether paper or electronic, this register should include as a minimum
the following information: 22
 name of the analysis;
 patient’s first and last name;
 patient-specific identification number;
 date and time of collection;
 name of referral laboratory;
 name or initials of person preparing the referral;
 date referral was sent;
 date result was received.

The referring laboratory shall maintain a register of all referral

laboratories that it uses.1

Documentation to be provided to a referral laboratory

The requisition form shall provide enough space to enter the following
minimal elements:1
 unique identification of the patient (first and last name, personalized
ID number, sex, date of birth);
 identification of the referring laboratory as well as its address or name
of clinician if the report is to be sent directly to him or her;
 type of sample and anatomic site, where applicable;
 clinical information relevant to the patient and the sample;
 date and time of sample collection.
This documentation can be a copy of the original request, a form
provided by the referral laboratory, or a request form prepared by the
referring laboratory.

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Packaging of samples shall be in compliance with regulations in force. Conditions

of transport shall maintain the appropriate constant temperature interval until
the sample is processed by the referral laboratory. For further information,
consult the OPTMQ reference Transport et conservation des échantillons dans le domaine
de la biologie médicale.53
The name and address of the laboratory that performed the analyses shall be
supplied by the referring laboratory to the users of its services. The referring
laboratory is responsible for conveying the analysis results to the prescriber. If
the referring laboratory prepares the report of the analysis results, it shall include
the essential elements of the result reported by the referral laboratory, without
any changes that might affect clinical interpretation.1
The laboratory shall establish a procedure that checks the accuracy of
transcription of analysis results.1

12.0 Postanalytical phase

Competence and judgment are called upon when ensuring that the transmitted analysis
result reflects the clinical state of the patient whose sample was provided. Furthermore,
care shall be taken to communicate the result in a timely fashion and by an appropriate
mode of transmission that respects the legislation and regulations with regard to
confidentiality.

12.1 Verification of the validity of the analysis result

Before accepting the result, the medical technologist shall:
 ensure that preventive maintenance has been performed, if applicable;
 ensure that quality control results are in conformity;
 check alarm signals and error messages generated by the instruments.

Interventions related to alarm signals and error messages

Many analytical systems are equipped with two criteria systems to alert
the medical technologist to a potential problem. One of these alarm
systems is set by the manufacturer while the other, usually quantitative, is
determined by the laboratory.
Each laboratory shall:
 determine interventions, corrections, or corrective action by which
to verify or validate a result identified by an error code before issuing
the final result;
 together with the laboratory specialist, establish a procedure for
determining situations (error message or client type) where a medical
specialist shall check results.

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Each laboratory should:

 in the section of the device instruction manual dealing with quality
control, note and describe the various alarm signals and error
messages emitted by the analyzer;
 with the laboratory specialist, define the clinically significant values
in relation to the parameters analyzed and establish the
corresponding error messages.

12.2 Biological validation of an analysis result

Biological validation of a result guarantees the reliability of a patient’s analysis
result in a given clinical context. It ensures the compatibility of a set of analyses
performed for the same patient at different times, taking into account the
variations in the patient’s clinical state, the treatment received, and previous
results.107
Before reporting a result, the medical technologist shall:1,11,12
 check the priority of requests;
 check the validity of each result located outside of the reference interval or
any result attaining critical values;
 where available, check the correlation between the current result and the
preceding result (delta check), clinical information, diagnosis, and the
patient’s treatment;
 where applicable, check the correlation between the result and other
laboratory analyses;
 look for the cause of an unlikely result (preanalytical errors: hemolysis,
lactescence, contamination by a solute, presence of clots, etc.).
Some analyses involve numerous parameters of which some are counted while
others are measured or calculated. The medical technologist shall understand the
nature of these parameters in order to be able to interpret and validate the results.

12.3 Management of alert and critical results

The laboratory, in agreement with clinicians working with the laboratory, shall
determine a list of the critical properties and their alert/critical intervals well as
their limits, which indicate a clinical state that puts the patient’s life in danger.1
A procedure shall define the measures to be taken for processing and forwarding
an alert or critical result. It shall include the following elements:1
 list of critical results requiring rapid intervention with the patient;
 a check of result validity;
 the professional who is responsible for transmitting a critical result;
 the professional who is authorized to receive a critical result;

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 the mode of transmission for sending the result (e.g., telephone);

 information to be transmitted along with the critical result (e.g., name and
file number of the patient);
 person to advise who is available after regular hours and on weekends or
holidays;
 the specific procedure to follow when it is not possible to reach the
professional in charge of patient care;
 a record of measures taken to transmit the critical result or, where applicable,
a record of any difficulties encountered during transmission;
 record retention period.
The process shall provide for a record of the name of the person who transmitted
the result as well as the name of the person who received, it shall record the date
and time, and it shall initial the steps taken up to the final transmission of the
result to the physician or health professional responsible for medical follow-up
with the patient, or, where applicable, it shall record any difficulties encountered
in meeting the transmission requirements.1 The medical technologist is
responsible for the transmission of results that he or she has issued.11
12.4 Automated validation
In an automated validation process, the results that are within the parameters
established by the laboratory specialist are validated electronically and
transmitted electronically without further action.
There must be continuous follow-up of quality control when results within the
parameters established by the laboratory specialist have only been validated
electronically.
Safety precautions shall be part of the analysis procedure, for example:
 validation of any one sample cannot be performed automatically more than
once on the same day so as to prevent any accidental change in a result
already validated or issued;
 a delta check of the patient result shall be integrated into quality control
where the information system allows it.
12.5 Report signatures
The Regulation respecting the keeping of records by medical technologists65 and Normes de
pratique du technologiste médical11 make it mandatory for the medical technologist to
sign all reports he or she issues.11

Electronic signature of reports

The first source of information a patient will use with regard to laboratory
analysis results is his or her medical file. It is thus essential that the patient
be able to identify the professional who issued the results.

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Section 2.07 of the Regulation respecting the keeping of records by medical

technologists65 stipulates that “The medical technologist must sign or initial
each entry or report that he puts in a record of his partnership or
employer.”
Traceability of the medical technologist in the laboratory information
system (LIS) must not be confused with the obligation of the medical
technologist to identify himself or herself on each report placed in a
patient’s file.
The official position of the OPTMQ is as follows:
“Therefore, the Order considers that the signature of the medical
technologist must appear on all results and reports that he or she issues,
including those validated electronically. This signature can be
handwritten, in the form of an initial, or it can be an electronic
signature.”108
This position includes those results issued by automated validation.108
12.6 Format of the analysis report
The test results report is the ultimate outcome of the analysis process. The report
shall be legible and without transcription mistakes.1 The laboratory shall
standardize the terminology and format of reports.
The report shall include, but not be limited to the following:1
 the patient’s first and last name and patient-specific identification number;
 the name or other unique identifier of the prescriber and the prescriber’s
address;
 the date and time of sample collection;
 sample origin or type, as well as comments on characteristics of the sample
that may have compromised the result;
 clear, unambiguous identification of the analysis;
 identification and address of the laboratory issuing the report along with the
identification and address of the referral laboratory, if applicable;
 test results, including measurement units and reference intervals, if
applicable;
 interpretation of results, where appropriate;
 date and time of release of the report;
 any other comments (e.g., results or interpretations from referral
laboratories, use of a developmental procedure, etc.);
 signature or initials, which can be electronic, of the person or persons
validating the results or releasing the report.
In addition, date and time of laboratory receipt shall appear in the report.12

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Addition of comments to the report

Any information that may have an influence on the result shall appear in
the test results report. For example:
 The report of a test performed despite noncompliance with a
preanalytical condition shall include detailed comments when issuing
the result subject to reservations (e.g., hemolysis, icteric aspect,
hyperlipemia, tube fill volume, etc.);10
 Any patient’s clinical state, if available, that may interfere with the
result shall be in the report.
All comments shall be signed or initialled.65

12.7 Issuing the test results report

The medical technologist shall use his or her competence and judgment in order
to produce quality results.
Policies and procedures related to issuing the results report shall contain, without
being limited to, the following elements:1,13
 timeliness of sample receipt and the release of the result in relation to the
urgency of the analysis;1
 steps to follow to inform the prescriber in case of a delay in issuing the report
that may have an impact on the care provided to the patient;1
 directives relating to amending reports (paper or electronic format).
The laboratory information system shall be able to reproduce the archived
analysis results, including the reference interval that was first linked with this
analysis, along with the footnotes or interpretative comments associated with the
results.1,28

For provisional results, the final report shall always be forwarded to the
prescriber.1
12.8 Transmission of the report
The laboratory shall determine, in agreement with the users of its services, the
persons authorized to receive a result, the format of the analysis report (paper or
electronic) as well as the specific means by which the report will be
communicated.1
In addition, it shall ensure that the analysis report is transmitted to the client by
appropriate means and within a time period respecting established directives.11
Several laws and regulations govern the mode of transmission of analysis reports,
access to information, and confidentiality of information,5,10,34,35 among others,
the Act to establish a legal framework for information technology39 and the Personal
Information Protection and Electronic Documents Act.33
A procedure for disclosing results, including mode of transmission, shall be
established by the laboratory in compliance with the Act respecting health services and
social services.5

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Depending on the procedures used in disclosing results, the medical technologist

shall guarantee protection of confidentiality of information by an appropriate
means of transmission.39,109
The medical technologist shall respect the Code of Ethics as well as the laws and
regulations governing his or her profession.

Disclosure by telephone
The laboratory shall have a policy and a procedure for transmission of
results by telephone. Telephone transmission shall be followed by
sending the analysis report in compliance with established conditions.

Use of fax machines

The laboratory shall protect the confidentiality of all personal
information that it collects, holds, uses or communicates, pursuant to the
laws and regulations in force.109
According to the Commission d’accès à l’information du Québec:109
 The fax machine shall be installed in a monitored area with no public
access, and it shall be used only by authorized persons.109
 At all times, when transmitting personal information, the user
shall:109
 complete a transmission form indicating the telephone number
of the sender as well as the name, address, and telephone number
of the recipient, along with the confidential nature of the
information;
 inform the recipient of the time of the transmission and make
sure that he or she is present at the time of receipt;
 check the fax machine window to make sure that the number
dialled is that of the recipient;
 check the fax transmission report at the end of the transmission;
 obtain a confirmation of receipt from the recipient who is
authorized to receive the transmission.
Note: It is recommended that the fax transmission report be retained as
the record of transmissions.

Electronic transmission of analysis reports

Some information systems permit delivery of reports by computer
transmission as well as remote access to laboratory results. Measures shall
be taken to ensure the protection of confidential information.110 Some
examples:40,42
 use an up-to-date antivirus software;
 use an encryption software;
 change the password regularly;
 ensure that the password is known only by personnel with
authorized access to confidential information.

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12.9 Test results for reportable intoxications, infections and

diseases
According to section 82 of the Public Health Act,111 a written report shall be made
by “any chief executive officer of a private or public laboratory or of a biomedical
department, where a laboratory analysis conducted in the laboratory or
department under his or her authority shows the presence of any reportable
intoxications, infections, or diseases,”111 as established by the Ministère de la
Santé et des Services sociaux du Québec.
This written report shall be submitted to the appropriate regional public health
director and, in certain cases provided for in the regulation, to the national public
health director, or to both.111
Available only in French at the following Web site is an information document
for laboratories, containing the list of reportable intoxications, infections and
diseases, transmission deadlines, as well as information required by the Direction
de la santé publique:
http://publications.msss.gouv.qc.ca/acrobat/f/documentation/preventioncont
role/03-268-02.pdf.

12.10 Correction of errors in reports

A policy and a procedure for correcting errors in reports shall be established by
the laboratory and followed by the medical technologist whenever an error in a
transmitted result is found.
This procedure shall make provision for all steps necessary for the final
correction in the patient’s file and shall respect the following points:
 The prescriber is advised of the correction.1
 A report that has been signed and placed in the patient’s file cannot, under
any circumstances, be withdrawn from the file.112
 When a new report is written, an initialled and dated note mentioning the
correction shall be entered in the first report.112
 Errors shall not in any way be erased or hidden. Whenever a correction must
be made to a report already transmitted (paper format), the error should be
lightly crossed out yet remain legible, and the new information should be
added, dated, and initialed.1,112 Whenever a correction is made to an already
transmitted electronic report, a corrected report with special mention to that
effect shall be transmitted.
12.11 Retention of reports
The laboratory shall establish a retention schedule for its documentation. (See
3.6.4 and Appendices 9 and 10.)
According to ISO 15189, the laboratory shall have a policy that defines the length
of time various records pertaining to the quality management system and
examination results are to be retained. Retention time shall be defined by the
nature of the examination or specifically for each record.

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The laboratory shall keep documents according to a retention schedule and

established policies.24

12.12 Retention and storage of samples after analysis

Samples shall be stored in a way that maintains their integrity in case of additional
analysis later or for future consultation.1 Procedures shall be established
specifying the duration and conservation temperature required, among others.
Appendix 10 as well as the OPTMQ document Transport et conservation des
échantillons dans le domaine de la biologie médicale53 can be consulted for
recommendations regarding specific storage periods.

12.13 Sample disposal

Once an analysis ends or the storage period has expired (in accordance with the
established procedure), the samples shall be disposed of in compliance with the
regulation in force, the Regulation respecting biomedical waste.29
Sharps or breakable objects having been in contact with blood or with a
biological fluid or tissue, blood containers, or materials that have been
impregnated with blood are included in biological waste that shall be disposed of
in approved containers that are rigid and airtight and that can be sealed and
identified as biomedical waste.29

12.14 Destruction of documents containing personal information

The Act respecting access to documents held by public bodies and the protection of personal
information113 and the Act respecting the protection of personal information in the private
sector110 require every public or private enterprise that collects, holds, uses or
communicates personal information to implement security measures to protect
data confidentiality.
The Commission d’accès à l’information recommends that:114
 Each employee shall take responsibility for protecting personal information
he or she deals with. When disposing of documents, diskettes, cartouches, or
tapes, the employee shall ensure that their confidential content cannot be
reconstituted.
 A policy on destroying documents containing personal information shall be
established, and a coordinator should be designated for implementing,
monitoring, and applying it.
 Shredding is considered to be the method of choice for destroying
confidential documents.

13.0 Point-of-care testing (POCT)

Advances in technology have made it possible to design compact and easy-to-use in vitro
diagnostic medical devices that make it possible to do some near-patient testing.115

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These tests shall meet the standards for quality and efficiency similar to those of tests
performed in laboratories. They shall meet a medical need and provide a demonstrable
added value in the quality of patient care.116

ISO has published a standard that deals with this topic: ISO 22870 Point-of-care testing
(POCT)—Requirements for quality and competence.115
The information that follows sums up the main points to be considered. Please consult
the document cited above for further information.

13.1 Responsibilities
The head of the biomedical department shall establish a multidisciplinary
committee on POCT. This committee has the following mandate:116
 to determine the analyses that could be performed at point of care;
 to define the context and use of POCT and to determine the services that
could make use of this type of testing;
 to ensure the proper use of POCT;
 to periodically reassess the practices associated with POCT testing in the
institution;
Healthcare institutions without a laboratory shall establish a relationship with a
centre that has a biomedical laboratory so as to obtain professional and technical
support.116 The multidisciplinary committee, in agreement with the head of the
biomedical department, shall designate a person with the required training and
experience to be responsible for POCT quality.115,116
The POCT quality coordinator shall continually assume responsibility for
logistical support, monitoring of the quality assurance program, and
implementation of POCT guidelines.116

13.2 POCT supplies

Choosing POCT devices shall take into consideration their precision, accuracy,
detection limits, use limits, interferences, and robustness. Practicality should also
be considered.
An inventory of all POCT equipment shall be maintained, including serial
number, name of manufacturer, location, date purchased, service history,
including dates out-of-service.115

13.3 Training
A program of theoretical and practical training appropriate for all personnel
involved in POCT shall be developed and kept up to date. Only those personnel
who have completed their training can perform POCT. Records shall be kept of
training or certification as well as of retraining and recertification.115

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The training program shall include the following, among others:115

 sample collection
 proper use of devices;
 theory of measurement systems;
 reagent storage;
 quality control and quality assurance (including frequency of internal quality
control);
 technical limitations of the device;
 response to results that fall outside of predefined limits;
 infection control practices;
 documentation of results.
13.4 Maintenance
There shall be procedures for the maintenance and use of POCT equipment.
Maintenance activities shall be controlled and documented.
The POCT quality coordinator shall ensure that a POCT device not in
compliance with requirements is identified and withdrawn from service so as to
prevent its accidental use. 115

13.5 Records
A procedure shall be established to define the controls necessary for
identification, storage, protection, retrieval, retention schedule, and disposal of
records.
POCT results shall be permanently entered in the patient’s medical file in such a
way as to prevent any confusion with results produced by the laboratory. Date
and time of the analysis as well as the name of the person who performed the
analysis shall be recorded.1,115

13.6 Quality control

POCT shall be subjected to internal and external quality control assessments. If
such programs are not available, an internal quality assurance program shall be
implemented, using a replica of the assay in the laboratory.115
The relationship between values obtained in the laboratory and those obtained
by POCT devices shall be established and published or be available upon
request.115

13.7 Corrective and preventive action

Corrective action shall be adapted to the effects of the nonconformities
identified. Preventive action shall be adapted to the effects of potential
problems.115 (See point 3.3.3.)

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APPENDICES
Note: The appendices are not part of this guide but are
added here as complementary information.

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Appendix 1
EXAMPLE OF A QUALITY MANAGEMENT SYSTEM

This flowchart was developed by France Pouliot, TM, a consultant specialized in laboratory quality
control, Direction des services hospitaliers, CHUM Saint-Luc. Reproduced with permission of the
Direction des services hospitaliers du Centre hospitalier de l’Université de Montréal.

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Appendix 2
Example of a Preanalytical Process Flowchart

Prescription

Without appointment
With appointment

Appointment Greet and identify the patient

made

Obtain the patient’s consent

Receive the prescription and enter the

requisition

Verify the requested tests and the

required collection conditions

Take or collect the required samples

Label the samples

Send the samples to the laboratory

Receive and process the samples, as

required

Validate sample quality

Analytical phase

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Appendix 3
Example of an Analytical Process Flowchart

Sample to be analyzed

Control the environment

Manage materials

Choose and validate the

analytical procedure

Perform preventive maintenance

Perform calibration

Apply quality control program

Perform the analysis

Validate result of analysis

Postanalytical Phase

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Appendix 4
Example of a Postanalytical Process Flowchart

Analyses validated

Validate patient results

Process critical results

Apply automated validation

Approve and sign reports

Issue and transmit reports

according to client needs

Correct reports when required

Archive reports

Destroy reports in accordance

with the retention schedule

Continuous improvement

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Appendix 5
Example of a Form for Recording an Incident, Accident, or Nonconformity

Hospital XYZ RECORD NUMBER QC-ENR-001 VERSION :

1
EFFECTIVE DATE: APPROVED BY:
Incident, accident, or nonconformity record No
Section 1
Date of the occurrence: Location: Time:

Date discovered: Location: Reported by:

Describe the incident, accident, or nonconformity

Completed by:

Describe the immediate corrective action or actions

Completed by:

Responsible department or service:

Data entry Purchase, supplier Quality control Administration
Collection Computer Equipment, material Accommodation,
Client complaint Other centres Analysis report environment
Personnel complaint Transport
Other
Section 2 Supervisor review of the incident, accident, or nonconformity
Reviewed by: Date:
Follow-up necessary: Yes No If yes, forward to:
Section 3
Outcomes of the incident, accident, or nonconformity
Documentation corrected Equipment repaired Other (specify)
Collection–repeated Report corrected
Causes of the incident, accident, or nonconformity
Procedure deficient Training Inadequate Other
Collection—inadequate Reagent accommodation (specify)
Accident
Corrective action: Yes No
If yes, describe action(s) taken and refer to related documentation
Reviewed by: Date:
Preventive action: Yes No
If yes, describe action(s) taken and refer to related documentation
Reviewed by: Date :
Adapted from CLINICAL AND LABORATORY STANDARDS INSTITUTE: QMS01, Quality Management
System: Model for Laboratory Services; Approved Gudeline.117

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Appendix 6

Example of a Form for Corrective and Preventive Action

Institution name: Document: ENR-QAC-002 Version: 1 Number:

TITLE Managing Corrective and Preventive Action

1. Description

Corrective Action Preventive Action NC number, if applicable: _______________

Description of the problem:

Probable causes:

Person in charge / Date:

2. Suggested actions

1st action:

Person in charge / Date:

Effective Yes No Go on to next action Person in charge / Date: ________________________

2nd action:

Person in charge / Date :

Effective: Yes No Go on to next action Person in charge: _________________________

3. Closing the file

Long-term effectiveness: Yes No Person in charge / Date: ___________________________

Comments:

Closed by: ___________________________________ Date: _______________________________________

This form was developed by Séverine Labrude, MSc, DEA, QualiSciences Inc. Reproduced with her permission.
.

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Appendix 7
Quality Manual–Example of Content
Introduction
Section 1.Mission and ethics
Section 2 Activity area
2.1 Laboratory Description
2.2.Legal Name
2.3 Resources
2.4 Main activities
Section 3 Quality policy
3.1 Quality goals and objectives
Section 4 Quality management requirements
4.1 Staff competence and training
4.2 Quality assurance
4.3 Research and development, if applicable
4.4 Document control
4.5.Records, storage, and archiving
4.6 Laboratory physical environment
4.7 Environmental aspects
4.8 Safety
4.9 List of analytical procedures and methods
4.10 Prescription procedures, sample collection, and laboratory sample processing
4.11 Management of instruments, reagents and consumables
4.12 Verification of analytical procedures
4.13 Quality management, including interlaboratory comparisons
4.14 Validation of results
4.15 Test reports
4.16 Corrective action and complaint resolution
4.17 Communication and other relationships with patients, health professionals, and suppliers
4.18 Audits
Section 5 Laboratory information system
Adapted from ISO 15189. Medical laboratories–Requirements for quality and competence.1
An example of a quality manual is available in a tool kit related to the Z316.7 Standard from CSA Group at
the following address: http://shop.csa.ca/en/canada/medical-laboratory-systems/z3167-
12/invt/27034862012.

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Appendix 8
Example of a Document Management Process

This sample process was written by France Pouliot, TM, consultant specializing in laboratory quality,
Direction des services hospitaliers, CHUM St. Luc. Reproduced with the permission of the Direction des
services hospitaliers du Centre hospitalier de l’Université de Montréal.

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Appendix 9
Retention Schedule
Pursuant to section 7 of the Archives Act24, health and social services institutions are required to establish a
retention schedule and to keep it up to date.79 The ISO standard 15189 states the same requirement, specifying
that the retention period shall be defined in terms of the nature of the analysis, the report made, or in some
cases, legal requirments.1
Below is a non-exhaustive list of records subject to a retention schedule.1

Type of record or document

1. Request forms or prescriptions.

2. Patient analysis results and reports.
3. Instrument printouts.
4. Analytical procedures.
5. Laboratory workbooks or worksheets.
6. Accession records.
7. Calibration functions and conversion factors.
8. Quality control records.
9. Complaints and actions taken.
10. Records of internal and external audits.
11. Records of management reviews.
12. External quality assessment records and interlaboratory comparisons.
13. Quality improvement records.
14. Instrument identification and maintenance records, including all internal and external
calibration records.
15. Lot documentation, certificate of supplies, package inserts.
16. All records of incidents, accidents, or nonconformities and actions taken.
17. Staff training and competency records.

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Appendix 10
Summary of Minimal Retention Periods
According to the Recommendations of Various Organizations

Note: Retention periods given in the OPTMQ, LPSP, and Z902 columns are prescribed by current regulations. The other references are
for information purposes only.
Note: Refer to the documents cited, notably to CAN/CSA Standard Z902 Blood and blood components, given that not all requirements for
donors and recipients have been listed here.

ORGANIZATION OPTMQI* LPSP II Z902III OAMLIV OLAV CLIAVI CAPVII BAnQVIII CSCIX
C-26, .175 P-35, r.1
SPECIMEN TYPES
Cytology, negative or 5 years 5 years 5 years 5 years
unsatisfactory slides
Cytology, positive or 20 years 5 years 5 years 20 years
suspicious slides
Bone marrow slides 10 years 10 years 10 years
Paraffin blocks 10 years 20 years 2 years 10 years 10 years
Pathology slides 10 years 10 years 10 years 10 years 10 years

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ORGANIZATION OPTMQI* LPSP II Z902III OAMLIV OLAV CLIAVI CAPVII BAnQVIII CSCIX
C-26, .175 P-35, r.1
DOCUMENTS
Prescriptions and test 2 years 2 years
5 years (10 years for 7 years 2 years 2 years (10 years for
reports
pathology) pathology)
Cytology reports, normal 5 years 5 years 10 years Indefinitely
diagnosis
Cytology reports, abnormal 5 years 20 years 10 years Indefinitely
diagnosis
Pathology reports 5 years 10 years 20 years 10 years 10 years 10 years
Analysis results not related
5 years 2 years 7 years 2 years 2 years 2 years
to transfusions
Bone marrow results 5 years 10 years 10 years

Staff records containing 10 years after 10 years

an employee’s 10 years (Blood
signature, initials, and ID
departure bank)
Blood donation records
(donor and recipient) as
well as worksheets, results
of serological testing, and 50 years 5 years
transfusion labels

 According to the Regulation respecting the keeping of records by medical technologists,65 a medical technologist who is practicing in the public sector and
who is authorized to enter client data in the institution records or to have such data entered in these records, is not required to be in conformance
with the five-year retention period. However, he or she shall respect the retention periods provided for by the institution’s retention schedule.

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ORGANIZATION OPTMQI* LPSP II Z902III OAMLIV OLAV CLIAVI CAPVII BAnQVIII CSCIX
C-26, .175 P-35, r.1
DOCUMENTS AND QUALITY ASSURANCE RECORDS
Obsolete or archived Archive date
procedures 10 years
+ 2 years
Printed lists (worksheets, lists,
etc.) 2 years 2 years

Quality control and quality 2 years 2 years

assurance records 5 years 5 years 5 years
2 years
(Blood (Blood
bank) bank)
Equipment maintenance As long as As long as
records used 2 years used
+ 2 years + 3 years
Employee training records 10 years after
the
employee’s
departure

I OPTMQ: Regulation respecting the keeping of records by medical technologists (RLRQ, c. C-26, r.254).65
II LPSP: Règlement d’application de la Loi sur les laboratoires médicaux, la conservation des organes et des tissus, et la disposition des cadavres. RLRQ, c. L-0.2, r.1, art. 138.26
Note: This regulation does not apply to public sector biomedical laboratories.
III Z902:CAN/CSA Z902 Blood and blood components, Canadian Standards Association, 2015.3
IV OAML: Ontario Association of Medical Laboratories, Guidelines for the Retention of Laboratory Records & Materials, CPL020-001, revised June 2006.118

V OLA: Ontario Laboratory Accreditation, Quality Management Program–Laboratory Services, version 3.119

VI CLIA: Clinical Laboratory Improvement Amendments, 1988. Subpart J-Facility Administration for Nonwaived Testing, Section 493.1105: Retention requirements.120

VII CAP: College of American Pathologists, Retention of laboratory records and materials, revised March 2010.121

VIII AQESSS: Bibliothèque et Archives nationales du Québec, Recueil de règles de conservation des documents des établissements de santé et de services sociaux du Québec, Édition

2017.79
IX CSC: Canadian Society of Cytology, Guidelines for Practice and Quality Assurance in Cytopathology. 3rd revision, 2005.67

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Appendix 11
Illumination Adjustment
Numerous adjustments are necessary for obtaining an optimal image for microscopic
analysis.
To obtain an optimal image, the following adjustments must be carried out:
 The light path must be centered to ensure a straight optimal axis.
 The beam of light must be centered in the field. Iris diaphragm
 The field aperture must be opened slightly larger than the field. Field diaphragm
 The condenser must be adjusted to the correct position.
 The iris diaphragm must be adjusted to correspond to 75% of the numerical
aperture of the objective.

Once these adjustments are complete, the intensity of the light source is decreased or
increased uniquely with the lamp rheostat.
Classic Illumination Adjustments
These instructions apply to microscopes without a field diaphragm whose light source is a
simple lamp filament.
1. Remove the filter filament from the light path.
2. Place a slide with a sample on the stage of the microscope and bring into focus.
3. Open the iris diaphragm and adjust the intensity of the light using the rheostat.
4. Lower or raise the condenser to bring the lamp filament into focus.
5. Center the light in the field using the centering screws of the condenser.
6. Open the iris diaphragm to 75 % of the objective numerical aperture (see
adjustment below).
7. Place the diffuser filter back in position.

Iris Diaphragm Adjustment

The amount of light passing through the condenser lens is optimal when the iris
diaphragm corresponds to 70 to 80 % of the numerical aperture indicated on the
objective. To perform this adjustment, remove an ocular and look into the tube to
verify the field diameter that is illuminated.
When carrying out wet mount observations, this adjustment often has to be performed with
each objective change to optimise the image contrast, while remembering that the closing of
the iris diaphragm increases contrast, but decreases resolution.

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Appendix 11
Illumination adjustment (continued)
Köhler Illumination

Adjusting for Köhler illumination ensures a total and uniform illumination of the
microscope’s field of view and gives a clear and precise specimen image definition.

The zone illuminated by the field diaphragm must correspond to the field observed. If the
illuminated zone is larger than the observed field, the contrast will be diminished.

Steps of the adjustment:

1. Turn on the light and adjust the light intensity with the rheostat.
2. Switch to the 10x objective, place a slide with a sample on the stage and focus using the
focus control knobs. If the condenser has a retractable front lens, swing it out when
using objectives 10x and lower and swing it in when using objectives higher than 10x.
3. Completely open the iris diaphragm.
4. Raise the condenser to its highest position.
5. Close the field diaphragm.
6. Lower the height of the condenser until the image of the field diaphragm is in
sharp focus.
7. Align the condenser to ensure a straight optical axis (light path) by adjusting
the centering screws until the image is centered in the field (if this applies to
the microscope model).
8. Enlarge the field diaphragm until the light beam illuminates the
entire observation area without overflow.
9. Remove one eyepiece, adjust the iris diaphragm until the light beam
illuminates approximately 75% of the field. Replace the eyepiece.
10. The Köhler illumination is complete. After this, to adjust light intensity, use
only the rheostat.

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A—Provider-Performed Microscopy Testing; Approved Guideline. Wayne, Pennsylvania,
NCCLS, 2003.

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102. CLINICAL AND LABORATORY STANDARDS INSTITUTE. C24-A3—Statistical

Quality Control for Quantitative Measurement Procedures: Principles and Definitions;
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103. James O. WESTGARD. Internal quality control: planning and implementation strategies.
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104. CLINICAL AND LABORATORY STANDARDS INSTITUTE. EP12-A2—User
Protocol for Evaluation of Qualitative Test Performance; Approved Guideline—Second
Edition. Wayne, Pennsylvania, CLSI, 2008.
105. CLINICAL AND LABORATORY STANDARDS INSTITUTE. GP27-A2—Using
Proficiency Testing to Improve the Clinical Laboratory; Approved Guideline—Second Edition.
Wayne, Pennsylvania, CLSI, 2007.
106. CLINICAL AND LABORATORY STANDARDS INSTITUTE. GP29-A2—
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QUÉBEC. Position officielle de l’OPTMQ sur la signature électronique. April 4, 2005,
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39.1).
111. Public Health Act (RLRQ, chapter S-2.2).
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115. INTERNATIONAL ORGANIZATION FOR STANDARDIZATION . ISO 22870:2016

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117. CLINICAL AND LABORATORY STANDARDS INSTITUTE. Quality Management
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Laboratory Services. Version 3.

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120. CLINICAL LABORATORY IMPROVEMENT AMENDMENTS, 2008. Subpart J—

Facility Administration for Nonwaived Testing. Section 493.1105: Standard: Retention
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121. COLLEGE OF AMERICAN PATHOLOGISTS. Retention of Laboratory Records and
Materials. revised March 2010.

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