ASTM E2159-01

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An American National Standard
Designation:E2159–01
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 E 2159; 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 (e) indicates an editorial change since the last revision or reapproval.
1. Scope most important element in the evaluation may well be the
selection and assignment of a properly qualified assessor/
1.1 This document provides guidance to organizations that
assessment team to perform an on-site assessment.Therefore it
need to utilize persons to perform assessments/audits (assess-
is imperative that the person(s) performing the assessment be
ing bodies) of other organizations (assessed bodies) for pur-
selected and assigned with care by the assessing organization.
poses of recognition, accreditation or other type of approval to
Two basic types of individuals normally participate in an
perform a function.
on-site assessment: assessors/auditors and technical experts;
1.2 An assessing body should consider the contents of this
each perform separate functions (see definitions).
document and apply it according to its unique situation. The
3.2 This document focuses on providing guidance regarding
elements of this document should be applicable to the selec-
the responsibilities and obligations of an assessing body in the
tion, assignment, and monitoring of assessors whether they are
selection, training, assignment and monitoring of assessors/
contract or permanent staff members.
auditors and technical experts to carry out their evaluation
2. Terminology
functions.
2.1 Definitions—The following definitions apply to the
NOTE 1—In some cases, others may also participate in an assessment
terms used in this document.
who are beyond the control of the assessing body: e.g., government
regulatory personnel, or other observers specified by a client. Such
2.1.1 assessment team—a group of two or more persons
participants are not covered by this document.
consisting of a combination of assessors, auditors and technical
experts,asrequiredbythespecificassessmenttobeperformed.
4. Quality System
2.1.2 assessor/auditor—an individual who has the skills
4.1 An assessing body should have in place a documented
necessary to perform a comprehensive assessment of another
system describing how it fulfills the elements of its assessor/
body which includes assessment of the quality management
auditor, technical expert selection, training, assignment and
system, policies and procedures, etc. An assessor/auditor
monitoring process.
should be fully qualified in the performance of a full
4.2 Assessor Criteria—An assessing body should have
assessment/audit with the exception of evaluating specific
written qualification criteria for the selection of required
technical areas. An assessor may also be qualified as a
assessors/auditors, and technical experts. These criteria should
technical expert and bring such additional skills to the
address such factors as the candidates education and experi-
assessment/audit.
ence, assessment/audit participation, training, and any exami-
2.1.3 technical expert—a technical expert is an individual
nation(s) passed. Requirements for qualification renewal and if
who has extensive technical expertise in a specific area(s). The
applicable, re-qualification. Technical experts should be quali-
technical expert does not need to have the assessment skills of
fied based on their previous experience and demonstrated skill.
an assessor. A person designated only as a technical expert
4.2.1 An assessing body should have written evaluation
should not be deemed qualified to conduct a full assessment,
criteria for assessors/auditors, and technical experts.
but qualified merely to assist in the evaluation of technical
4.3 Continuous Interactions w/Staff-Other Assessors—An
areas within the person’s scope of expertise.
assessing body may find it advantageous to periodically have
3. Significance and Use their assessors/auditors and technical experts have the oppor-
tunity to meet with other similar persons to discuss their
3.1 In a situation where an organization is performing an
experiences and develop proposals to improve the evaluation
evaluation of another, either formally or informally, the single
process.
4.4 Rating/Categorization/Listing Systems—An assessing
This guide is under the jurisdiction of ASTM Committee E36 on Conformity
body should have a documented system to rate and/or classify
Assessment and is the direct responsibility of Subcommittee E36.50 on Support
assessors according to its needs and situation.
Operations.
Current edition approved Sept. 10, 2001. Published October 2001.
Copyright © ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959, United States.
E2159–01
NOTE 2—Categories could be based on length of experience, demon-
ment (pre-arranged conditions), or through observation by a
stratedcapabilityorratingotherfactors.Somesystemscurrentlyuseterms
person unknown to the assessor/auditor and technical expert.A
such as lead assessor, assessor, and assessor trainee, whereas others may
written appraisal should be prepared and filed with the assess-
use designations such as senior and junior assessors.
ing organization by the evaluator.
4.5 Database—An assessing body should maintain a func-
6.1.2 Staff Appraisal—The assessing body staff responsible
tional database of all assessors/auditors as an effective way to
for training/monitoring should take care to observe and ap-
easily select persons for a particular assignment.
praise each candidate during training. A written appraisal
4.6 Records—An assessing body should maintain a com-
should be prepared and filed.
plete file of all assessors/auditors and technical experts who
6.1.2.1 Theresponsibleassessingbodystaffmanagershould
perform assessments on its behalf. The file should, at a
be familiar with the style, methods, personality, and/or other
minimum, contain pertinent education and background mate-
traits of each assessor/auditor and technical expert in their
rial, dates and results of all pertinent training, appraisal reports,
charge.
specific skill categories and any areas/situations which may
6.1.3 Other Assessor Appraisal—During training or regular
cause a conflict of interest and, if available, appraisal forms
assessments, a more experienced or senior assessor(s) could be
from assessed bodies.
usedtomakecarefulobservationofthetraineeassessor/auditor
4.6.1 Assessingbodiesmayfinditadvantageoustomaintain
or technical expert and, when appropriate, prepare a written
a historical record of all assignments performed by each
report of all observations and appraisals.
assessor/auditor and technical expert.
6.1.4 Feedback from Assessed Body—An assessing body
4.6.2 The qualification record should identify the date and
should provide a rating form for each assessed body to allow
basis of initial qualification, date of last renewal or re-
feedback on each assessor/auditor and technical expert.
qualification, and expiration date.
6.1
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