ASTM E2936-20
(Guide)Standard Guide for Contractor Self-Assessment for U.S. Government Asset Management Systems
Standard Guide for Contractor Self-Assessment for U.S. Government Asset Management Systems
SIGNIFICANCE AND USE
4.1 The intent of this guide is to provide a foundation for the minimum effective internal assessment of a contractor’s government asset management system. A contractor may incorporate all or part of this guide in accordance with its established procedures and operating environment. Self-assessment should be used to identify deficiencies, related increases to risk, and to serve as a method for obtaining correction to those deficiencies, independent of, and often in advance of, a government audit, review or assessment. It should also be used to assist in determining the effective assignment of asset management resources; and to serve as a method for promoting continuous improvement in asset management practices. Self-assessments, in and of themselves may not be sufficiently independent to address external or government review, assessment, or audit requirements.
4.2 To the extent possible, a Contractor Self-Assessment (CSA) program should provide a level of objectivity like that of an asset management system analysis performed by a government or other external auditor. Individuals who perform assessments should not be the same individuals who perform the functions being tested when enough resources are available. The contractor’s official written procedures should identify functional positions responsible for performing the self-assessment and address management controls used to maintain independence and prevent conflicts of interest whenever individuals who perform property functions also participate in CSA activities.
4.3 The results of the CSA alone do not determine adequacy or inadequacy of the contractor’s government asset management system but should identify the level of risk presented by the contractor’s business practices. The results of the CSA should be made available to external auditors or reviewers for potential inclusion in their audits or reports in accordance with contractual requirements and the contractor’s procedures.
SCOPE
1.1 This guide is intended to be used by entities engaged in contracts with the Government of the United States of America.
1.2 This guide applies to the current version of the FAR Government Property clause 52.245-1 dated January 2017. Entities with earlier or subsequently dated requirements/contracts should address any contractual difference when applying this guide.
1.3 This standard does not purport to address all of the safety concerns, if any, associated with its use. It is the responsibility of the user of this standard to establish appropriate safety, health, and environmental practices and determine the applicability of regulatory limitations prior to use.
1.4 This international standard was developed in accordance with internationally recognized principles on standardization established in the Decision on Principles for the Development of International Standards, Guides and Recommendations issued by the World Trade Organization Technical Barriers to Trade (TBT) Committee.
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Standards Content (Sample)
This international standard was developed in accordance with internationally recognized principles on standardization established in the Decision on Principles for the
Development of International Standards, Guides and Recommendations issued by the World Trade Organization Technical Barriers to Trade (TBT) Committee.
Designation: E2936 − 20
Standard Guide for
Contractor Self-Assessment for U.S. Government Asset
1
Management Systems
This standard is issued under the fixed designation E2936; the number immediately following the designation indicates the year of
original adoption or, in the case of revision, the year of last revision. A number in parentheses indicates the year of last reapproval. A
superscript epsilon (´) indicates an editorial change since the last revision or reapproval.
INTRODUCTION
The purpose of this standard is to provide guidance for a Contractor Self-Assessment (CSA)
program that addresses the requirement of Federal Acquisition Regulation (FAR) 52.245-1 (Govern-
ment Property) that contractors perform periodic reviews, surveillances, self-assessments or audits.
This guide is intended to assist contractors in developing a CSA program that provides reasonable
assuranceoftheeffectivenessofthecontractor’sgovernmentassetmanagementsystemtointernaland
external stakeholders. Use of this guide should enable contractors to objectively evaluate government
asset management system risks, discover deficiencies, identify the root causes, and implement
corrective actions.
1. Scope 2. Referenced Documents
2
2.1 ASTM Standards:
1.1 This guide is intended to be used by entities engaged in
E2135 Terminology for Property and Asset Management
contracts with the Government of the United States of
E2279 Practice for Establishing the Guiding Principles of
America.
Property Asset Management
1.2 This guide applies to the current version of the FAR
E2452 Practice for Equipment Management Process Matu-
Government Property clause 52.245-1 dated January 2017.
rity (EMPM) Model
Entities with earlier or subsequently dated requirements/
E2234 Practice for Sampling a Stream of Product by Attri-
contracts should address any contractual difference when
butes Indexed by AQL
applying this guide.
E2811 Practice for Management of Low Risk Property
(LRP)
1.3 This standard does not purport to address all of the
3
2.2 Federal Acquisition Regulation (FAR):
safety concerns, if any, associated with its use. It is the
52.245–1 Government Property (current version)
responsibility of the user of this standard to establish appro-
4
2.3 GAO Standards:
priate safety, health, and environmental practices and deter-
GAGAS Generally Accepted Government Auditing Stan-
mine the applicability of regulatory limitations prior to use.
dards (current version)
1.4 This international standard was developed in accor-
dance with internationally recognized principles on standard-
3. Terminology
ization established in the Decision on Principles for the
3.1 Definitions—For definitions of additional terms, refer to
Development of International Standards, Guides and Recom-
Terminology E2135.
mendations issued by the World Trade Organization Technical
Barriers to Trade (TBT) Committee.
2
For referenced ASTM standards, visit the ASTM website, www.astm.org, or
contact ASTM Customer Service at service@astm.org. For Annual Book of ASTM
Standards volume information, refer to the standard’s Document Summary page on
1
This guide is under the jurisdiction of ASTM Committee E53 on Asset the ASTM website.
3
Management and is the direct responsibility of Subcommittee E53.20 on United Available from U.S. General ServicesAdministration (GSA), One Constitution
States Government Property Management. Square, 1275 First Street, NE, Washington, DC 20417, http://acquisition.gov/far/
Current edition approved July 1, 2020. Published July 2020. Originally approved index.html.
4
in 2013. Last previous edition approved in 2013 as E2936–13. DOI: 10.1520/ Available from U.S. Government Accountability Office (GAO), 441 G Street,
E2936-20. NW, Washington, DC 20548, http://www.gao.gov/yellowbook.
Copyright © ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959. United States
1
---------------------- Page: 1 ----------------------
E2936 − 20
3.1.1 classification of defects, n—the enumeration of pos- assessments, in and of themselves may not be sufficiently
sible defects of the assessment sample classified according to independent to address external or government review,
their seriousness, that is, critical, major or minor defect. assessment, or audit requirements.
3.1.2 confidence level, n—a statistical measure of the
4.2 To the extent possible, a Contractor Self-Assessment
amountofreliabilitythatarandomstatisticalsamplerepresents
(CSA) program should provide a level of objectivity like that
the entire population.
of an asset management system analysis performed by a
government or other external auditor. Individuals who perform
3.1.3 contractor, n—an en
...
This document is not an ASTM standard and is intended only to provide the user of an ASTM standard an indication of what changes have been made to the previous version. Because
it may not be technically possible to adequately depict all changes accurately, ASTM recommends that users consult prior editions as appropriate. In all cases only the current version
of the standard as published by ASTM is to be considered the official document.
Designation: E2936 − 13 E2936 − 20
Standard Guide for
Contractor Self Assessment Self-Assessment for U.S.
1
Government PropertyAsset Management Systems
This standard is issued under the fixed designation E2936; the number immediately following the designation indicates the year of
original adoption or, in the case of revision, the year of last revision. A number in parentheses indicates the year of last reapproval. A
superscript epsilon (´) indicates an editorial change since the last revision or reapproval.
INTRODUCTION
The purpose of this standard is to provide guidance for a Contractor Self Assessment Self-
Assessment (CSA) program that addresses the requirement of Federal Acquisition Regulation (FAR)
52.245-1 (Government Property) that contractors perform periodic reviews, surveillances, self
assessments self-assessments or audits. This guide is intended to assist contractors in developing a
CSA program that provides reasonable assurance of the effectiveness of the contractor’s government
propertyasset management system to internal and external stakeholders. Use of this guide should
enable contractors to objectively evaluate Government propertygovernment asset management system
risks, discover deficiencies, identify the root causes, and implement corrective actions.
1. Scope
1.1 This guide is intended to be used by entities engaged in contracts with the Government of the United States of America.
1.2 This guide applies to the current version of the FAR Government Property clause 52.245-1 dated April 2012.January 2017.
Entities with earlier or subsequently dated requirements/contracts should address any contractual difference when applying this
guide.
1.3 This standard does not purport to address all of the safety concerns, if any, associated with its use. It is the responsibility
of the user of this standard to establish appropriate safety safety, health, and healthenvironmental practices and determine the
applicability of regulatory limitations prior to use.
1.4 This international standard was developed in accordance with internationally recognized principles on standardization
established in the Decision on Principles for the Development of International Standards, Guides and Recommendations issued
by the World Trade Organization Technical Barriers to Trade (TBT) Committee.
2. Referenced Documents
2
2.1 ASTM Standards:
E2135 Terminology for Property and Asset Management
E2279 Practice for Establishing the Guiding Principles of Property Asset Management
E2452 Practice for Equipment Management Process Maturity (EMPM) Model
E2234 Practice for Sampling a Stream of Product by Attributes Indexed by AQL
E2811 Practice for Management of Low Risk Property (LRP)
3
2.2 Federal Acquisition Regulation (FAR):
52.245–1 Government Property (current version)
4
2.3 OtherGAO Standards:
GAGAS Generally Accepted Government Auditing Standards (current version)
1
This test method guide is under the jurisdiction of ASTM Committee E53 on Asset Management and is the direct responsibility of Subcommittee E53.20 on United States
Government Contract Property Management.
Current edition approved Nov. 1, 2013July 1, 2020. Published November 2013July 2020. Originally approved in 2013. Last previous edition approved in 2013 as
E2936–13. DOI: 10.1520/E2936–1310.1520/E2936-20.
2
For referenced ASTM standards, visit the ASTM website, www.astm.org, or contact ASTM Customer Service at service@astm.org. For Annual Book of ASTM Standards
volume information, refer to the standard’sstandard’s Document Summary page on the ASTM website.
3
Available from U.S. General Services Administration (GSA), One Constitution Square, 1275 First Street, NE, Washington, DC 20417, http://acquisition.gov/far/
index.html.
4
Available from U.S. Government Accountability Office, Office (GAO), 441 G Street, NW, Washington, DC 20548, http://www.gao.gov/yellowbook.
Copyright © ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959. United States
1
---------------------- Page: 1 ----------------------
E2936 − 20
3. Terminology
3.1 Definitions: ForDefinitions—For definitions of additional terms, refer to Terminology E2135.
3.1.1 classification of defects, n—the enumeration of possible defects of the assessment sample classified according to their
seriousness, that is, critical, major or minor defect.
3.1.2 confidence level, n—a statistical measure of the amount of reliability that a random statistical sample represents the entire
population.
3.1.3 contractor, n—an entity that has entered into a contractual
...
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