ASTM E2159-15
(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.
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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 − 15 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 on-site assessment: assessors/auditors and technical experts;
each perform separate functions (see definitions).
1.1 This guide provides guidance to organizations that need
to utilize persons to perform assessments/audits (assessing
3.2 This guide focuses on providing guidance regarding the
bodies)ofotherorganizations(assessedbodies)forpurposesof
responsibilities and obligations of an assessing body in the
recognition, accreditation or other type of approval to perform
selection, training, assignment and monitoring of assessors/
a function.
auditors and technical experts to carry out their evaluation
functions.
1.2 An assessing body should consider the contents of this
guide and apply it according to its unique situation. The
NOTE 1—In some cases, others may also participate in an assessment
elements of this guide should be applicable to the selection,
who are beyond the control of the assessing body: for example, govern-
assignment, and monitoring of assessors, auditors, and techni-
ment regulatory personnel, or other observers specified by a client. Such
cal experts whether they are contract or permanent staff participants are not covered by this guide.
members.
4. Management System
2. Terminology
4.1 An assessing body should have in place a documented
2.1 Definitions—The following definitions apply to the
system describing how it fulfills the elements of its assessor/
terms used in this guide.
auditor, technical expert selection, training, assignment and
2.1.1 assessment team—a group of two or more persons
monitoring process.
consistingofacombinationofassessors,auditorsandtechnical
4.2 Assessor Criteria—An assessing body should have writ-
experts,asrequiredbythespecificassessmenttobeperformed.
ten qualification criteria for the selection of required assessors/
2.1.2 assessor/auditor—an individual who has the skills
auditors, and technical experts. These criteria should address
necessary to perform a comprehensive assessment of another
such factors as the candidate’s education and experience,
body which includes assessment of the quality management
assessment/audit participation, training, and any examina-
system, policies and procedures, etc.
tion(s) passed. Requirements for qualification renewal and if
2.1.3 technical expert—a technical expert is an individual
applicable, re-qualification should be specified. Technical ex-
who has extensive technical expertise in a specific area(s).
perts should be qualified based on their previous experience
and demonstrated skill.
3. Significance and Use
4.2.1 An assessing body should have written evaluation
3.1 In a situation where an organization is performing an
criteria for assessors/auditors, and technical experts.
evaluation of another, either formally or informally, the single
4.3 Continuous Interactions with Staff-OtherAssessors—An
most important element in the evaluation may well be the
assessing body may find it advantageous to periodically have
selection and assignment of a properly qualified assessor/
their assessors/auditors and technical experts meet with other
assessment team to perform an on-site assessment.Therefore it
similar persons to discuss their experiences and develop
is imperative that the person(s) performing the assessment be
proposals to improve the assessment process.
selected and assigned with care by the assessing organization.
Two basic types of individuals normally participate in an
4.4 Rating/Categorization/Listing Systems—An assessing
body should have a documented system to rate or classify, or
1 both, assessors according to its needs and situation.
This guide is under the jurisdiction ofASTM Committee E36 on Accreditation
& Certification and is the direct responsibility of Subcommittee E36.60 on
NOTE 2—Categories could be based on length of experience, demon-
Accreditation Bodies.
stratedcapabilityorratingotherfactors.Somesystemscurrentlyuseterms
Current edition approved June 15, 2015. Published July 2015. Originally
approved in 2001. Last previous edition approved in 2008 as E2159 – 01 (2008). such as lead assessor, assessor, and assessor trainee, whereas others may
DOI: 10.1520/E2159-15. use
...
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 − 01 (Reapproved 2008) E2159 − 15 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
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 assessors, auditors, and technical
experts whether they are contract or permanent staff members.
2. Terminology
2.1 Definitions:Definitions
2.1.1 The following definitions apply to the terms used in this guide.—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. An assessor/auditor should be fully
qualified in the performance of a full assessment/audit with the exception of evaluating specific technical areas. An assessor may
also be qualified as a technical expert and bring such additional skills to the assessment/audit.
2.1.3 technical expert—a technical expert is an individual who has extensive technical expertise in a specific area(s). The
technical expert does not need to have the assessment skills of an assessor. A person designated only as a technical expert should
not be deemed qualified to conduct a full assessment, but qualified merely to assist in the evaluation of technical areas within the
person’s scope of expertise.
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
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. QualityManagement 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.
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 May 1, 2008June 15, 2015. Published October 2008July 2015. Originally approved in 2001. Last previous edition approved in 20012008 as
E2159 – 01.E2159 – 01 (2008). DOI: 10.1520/E2159-01R08.10.1520/E2159-15.
Copyright © ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959. United States
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E2159 − 15
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 candida
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