ASTM E2159-23

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
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
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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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, training, and any examination(s) passed. Requirements for qualification renewal and if applicable, re-qualification
should be specified. Technical experts should be qualified based on their previous experience and demonstrated skill.
4.2.1 An assessing body should have written evaluation criteria for assessors/auditors, and technical experts.
4.3 Continuous Interactions with Staff-Other Assessors—An assessing body may find it advantageous to periodically have their
assessors/auditors and technical experts meet with other similar persons to discuss their experiences and develop proposals to
improve the assessment process.
4.4 Rating/Categorization/Listing Systems—An assessing body should have a documented system to rate or classify, or both,
assessors according to its needs and situation.
NOTE 2—Categories could be based on length of experience, demonstrated capability or rating other factors. Some systems currently use terms such as
lead assessor, assessor, and assessor trainee, whereas others may use designations such as senior and junior assessors.
4.5 Database—An assessing body should maintain a functional database of all assessors/auditors and technical experts as an
effective way to easily select persons for a particular assignment.
4.6 Records—An assessing body should maintain a complete file of all assessors/auditors and technical experts who perform
assessments on its behalf. The file should, at a minimum, contain pertinent education and background material, dates and results
of all pertinent training, appraisal reports, specific skill categories and any areas/situations which may cause a conflict of interest
and, if available, appraisal forms from assessed bodies.
4.6.1 Assessing bodies may find it advantageous to maintain a historical record of all assignments performed by each
assessor/auditor and technical expert.
4.6.2 The qualification record should identify the date and basis of initial qualification, date of last renewal or re-qualification, and
expiration date.
5. Assessor Selection
5.1 Sources of Potential Assessors—Potential assessors may be identified from many sources for example, academic institutions,
professional societies, industry, government, personnel certification bodies, advertisements, etc.
5.2 Qualifications—The assessing body should select assessors based on their background and expertise in (1) the operation of the
specific type of body to be assessed, for example, laboratory operations, and manufacturing facilities; (2) quality assurance, quality
management system auditing; and (3) the specific technology, process, procedure, or method requiring assessment.
5.3 Procedures—The assessing body should have procedures in place to adequately determine that an assessor/auditor has (1) met
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the requirements for qualification; (2) the ability to work effectively with other people; (3) communications skills, both written and
verbal; and (4) the ability to probe for needed information for an effective assessment/audit result.
5.4 Training:
5.4.1 The assessing body should ensure that each assessor/auditor has obtained adequate training in the general techniques of
conducting an assessment/audit to fulfill the required duties.
5.4.2 The assessing body should provide adequate training to all assessors/auditors and technical experts to explain its own
specific assessment technique, in-house procedures, evaluation criteria, applicable documentation, and/or specific instructions,
operations, procedures and program requirements.
6. Evaluation/Monitoring
6.1 Each assessor/auditor and technical expert should be evaluated initially and thereafter on a continual basis by the assessing
body. Demonstration and evaluation of the competence of assessors/auditors and technical experts may be performed by an
appropriate combination of the following methods:
6.1.1 Interviews—Interviews may involve one or more interviewers and the use of selection boards or evaluation panels.
Interviews may be used to verify evidence from other sources.
6.1.2 Examination/Testing/Training Evaluation—Written or oral examination may be used to determine a
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