ASTM E2159-23
(Guide)Standard Guide for Selection, Assignment, and Monitoring of Persons To Be Utilized as Assessors/Auditors or Technical Experts
Standard Guide for Selection, Assignment, and Monitoring of Persons To Be Utilized as Assessors/Auditors or Technical Experts
SIGNIFICANCE AND USE
3.1 In a situation where an organization is performing an evaluation of another, either formally or informally, the single most important element in the evaluation may well be the selection and assignment of a properly qualified assessor/assessment team to perform an on-site assessment. Therefore it is imperative that the person(s) performing the assessment be selected and assigned with care by the assessing organization. Two basic types of individuals normally participate in an on-site assessment: assessors/auditors and technical experts; each perform separate functions (see definitions).
3.2 This guide focuses on providing guidance regarding the responsibilities and obligations of an assessing body in the selection, training, assignment and monitoring of assessors/auditors and technical experts to carry out their evaluation functions.
Note 1: In some cases, others may also participate in an assessment who are beyond the control of the assessing body: for example, government regulatory personnel, or other observers specified by a client. Such participants are not covered by this guide.
SCOPE
1.1 This guide provides guidance to organizations that need to utilize persons to perform assessments/audits (assessing bodies) of other organizations (assessed bodies) for purposes of recognition, accreditation or other type of approval to perform a function.
1.2 An assessing body should consider the contents of this guide and apply it according to its unique situation. The elements of this guide should be applicable to the selection, assignment, and monitoring of assessors, auditors, and technical experts whether they are contract or permanent staff members.
1.3 The text of this standard refers to notes and footnotes that provide explanatory material. These notes and footnotes (excluding those in tables and figures) shall not be considered as requirements of this standard.
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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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: E2159 − 23 An American National Standard
Standard Guide for
Selection, Assignment, and Monitoring of Persons To Be
1
Utilized as Assessors/Auditors or Technical Experts
This standard is issued under the fixed designation E2159; 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.
1. Scope* 3. Significance and Use
1.1 This guide provides guidance to organizations that need 3.1 In a situation where an organization is performing an
to utilize persons to perform assessments/audits (assessing evaluation of another, either formally or informally, the single
bodies) of other organizations (assessed bodies) for purposes of most important element in the evaluation may well be the
recognition, accreditation or other type of approval to perform selection and assignment of a properly qualified assessor/
a function. assessment team to perform an on-site assessment. Therefore it
is imperative that the person(s) performing the assessment be
1.2 An assessing body should consider the contents of this
selected and assigned with care by the assessing organization.
guide and apply it according to its unique situation. The
Two basic types of individuals normally participate in an
elements of this guide should be applicable to the selection,
on-site assessment: assessors/auditors and technical experts;
assignment, and monitoring of assessors, auditors, and techni-
each perform separate functions (see definitions).
cal experts whether they are contract or permanent staff
members. 3.2 This guide focuses on providing guidance regarding the
responsibilities and obligations of an assessing body in the
1.3 The text of this standard refers to notes and footnotes
selection, training, assignment and monitoring of assessors/
that provide explanatory material. These notes and footnotes
auditors and technical experts to carry out their evaluation
(excluding those in tables and figures) shall not be considered
functions.
as requirements of this standard.
NOTE 1—In some cases, others may also participate in an assessment
1.4 This international standard was developed in accor-
who are beyond the control of the assessing body: for example, govern-
dance with internationally recognized principles on standard-
ment regulatory personnel, or other observers specified by a client. Such
ization established in the Decision on Principles for the
participants are not covered by this guide.
Development of International Standards, Guides and Recom-
4. Management System
mendations issued by the World Trade Organization Technical
Barriers to Trade (TBT) Committee.
4.1 An assessing body should have in place a documented
system describing how it fulfills the elements of its assessor/
2. Terminology
auditor, technical expert selection, training, assignment and
2.1 Definitions—The following definitions apply to the
monitoring process.
terms used in this guide.
4.2 Assessor Criteria—An assessing body should have writ-
2.1.1 assessment team—a group of two or more persons
ten qualification criteria for the selection of required assessors/
consisting of a combination of assessors, auditors and technical
auditors, and technical experts. These criteria should address
experts, as required by the specific assessment to be performed.
such factors as the candidate’s education and experience,
2.1.2 assessor/auditor—an individual who has the skills
assessment/audit participation, training, and any examina-
necessary to perform a comprehensive assessment of another
tion(s) passed. Requirements for qualification renewal and if
body which includes assessment of the quality management
applicable, re-qualification should be specified. Technical ex-
system, policies and procedures, etc.
perts should be qualified based on their previous experience
and demonstrated skill.
2.1.3 technical expert—a technical expert is an individual
4.2.1 An assessing body should have written evaluation
who has extensive technical expertise in a specific area(s).
criteria for assessors/auditors, and technical experts.
1
4.3 Continuous Interactions with Staff-Other Assessors—An
This guide is under the jurisdiction of ASTM Committee E36 on Accreditation
& Certification and is the direct responsibility of Subcommittee E36.60 on
assessing body may find it advantageous to periodically have
Accreditation Bodies.
their assessors/auditors and technical experts meet with other
Current edition approved Nov. 1, 2023. Published December 2023. Originally
simi
...
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: E2159 − 15 E2159 − 23 An American National Standard
Standard Guide for
Selection, Assignment, and Monitoring of Persons To Be
1
Utilized as Assessors/Auditors or Technical Experts
This standard is issued under the fixed designation E2159; 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.
1. Scope Scope*
1.1 This guide provides guidance to organizations that need to utilize persons to perform assessments/audits (assessing bodies) of
other organizations (assessed bodies) for purposes of recognition, accreditation or other type of approval to perform a function.
1.2 An assessing body should consider the contents of this guide and apply it according to its unique situation. The elements of
this guide should be applicable to the selection, assignment, and monitoring of assessors, auditors, and technical experts whether
they are contract or permanent staff members.
1.3 The text of this standard refers to notes and footnotes that provide explanatory material. These notes and footnotes (excluding
those in tables and figures) shall not be considered as requirements of this standard.
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. Terminology
2.1 Definitions—The following definitions apply to the terms used in this guide.
2.1.1 assessment team—a group of two or more persons consisting of a combination of assessors, auditors and technical experts,
as required by the specific assessment to be performed.
2.1.2 assessor/auditor—an individual who has the skills necessary to perform a comprehensive assessment of another body which
includes assessment of the quality management system, policies and procedures, etc.
2.1.3 technical expert—a technical expert is an individual who has extensive technical expertise in a specific area(s).
3. Significance and Use
3.1 In a situation where an organization is performing an evaluation of another, either formally or informally, the single most
important element in the evaluation may well be the selection and assignment of a properly qualified assessor/assessment team to
perform an on-site assessment. Therefore it is imperative that the person(s) performing the assessment be selected and assigned
1
This guide is under the jurisdiction of ASTM Committee E36 on Accreditation & Certification and is the direct responsibility of Subcommittee E36.60 on Accreditation
Bodies.
Current edition approved June 15, 2015Nov. 1, 2023. Published July 2015December 2023. Originally approved in 2001. Last previous edition approved in 20082015 as
E2159 – 01 (2008).E2159 – 15. DOI: 10.1520/E2159-15.10.1520/E2159-23.
*A Summary of Changes section appears at the end of this standard
Copyright © ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959. United States
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E2159 − 23
with care by the assessing organization. Two basic types of individuals normally participate in an on-site assessment:
assessors/auditors and technical experts; each perform separate functions (see definitions).
3.2 This guide focuses on providing guidance regarding the responsibilities and obligations of an assessing body in the selection,
training, assignment and monitoring of assessors/auditors and technical experts to carry out their evaluation functions.
NOTE 1—In some cases, others may also participate in an assessment who are beyond the control of the assessing body: for example, government
regulatory personnel, or other observers specified by a client. Such participants are not covered by this guide.
4. Management System
4.1 An assessing body should have in place a documented system describing how it fulfills the elements of its assessor/auditor,
technical expert selection, training, assignment and monitoring process.
4.2 Assessor Criteria—An assessing body should have written qualification criteria for the selection of required assessors/auditors,
and technical experts. These criteria should address such factors as the candidate’s education and experience, assessment/audit
participation
...
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