ANSI ASTM E2159-2015 Standard Guide for Selection Assignment and Monitoring of Persons To Be Utilized as Assessors Auditors or Technical Experts.pdf

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1、Designation: E2159 15 An American National StandardStandard Guide forSelection, Assignment, and Monitoring of Persons To BeUtilized as Assessors/Auditors or Technical Experts1This standard is issued under the fixed designation E2159; the number immediately following the designation indicates the yea

2、r oforiginal adoption or, in the case of revision, the year of last revision. A number in parentheses indicates the year of last reapproval. Asuperscript epsilon () indicates an editorial change since the last revision or reapproval.1. Scope1.1 This guide provides guidance to organizations that need

3、to utilize persons to perform assessments/audits (assessingbodies) of other organizations (assessed bodies) for purposes ofrecognition, accreditation or other type of approval to performa function.1.2 An assessing body should consider the contents of thisguide and apply it according to its unique si

4、tuation. Theelements of this guide should be applicable to the selection,assignment, and monitoring of assessors, auditors, and techni-cal experts whether they are contract or permanent staffmembers.2. Terminology2.1 DefinitionsThe following definitions apply to theterms used in this guide.2.1.1 ass

5、essment teama group of two or more personsconsisting of a combination of assessors, auditors and technicalexperts, as required by the specific assessment to be performed.2.1.2 assessor/auditoran individual who has the skillsnecessary to perform a comprehensive assessment of anotherbody which include

6、s assessment of the quality managementsystem, policies and procedures, etc.2.1.3 technical experta technical expert is an individualwho has extensive technical expertise in a specific area(s).3. Significance and Use3.1 In a situation where an organization is performing anevaluation of another, eithe

7、r formally or informally, the singlemost important element in the evaluation may well be theselection and assignment of a properly qualified assessor/assessment team to perform an on-site assessment. Therefore itis imperative that the person(s) performing the assessment beselected and assigned with

8、care by the assessing organization.Two basic types of individuals normally participate in anon-site assessment: assessors/auditors and technical experts;each perform separate functions (see definitions).3.2 This guide focuses on providing guidance regarding theresponsibilities and obligations of an

9、assessing body in theselection, training, assignment and monitoring of assessors/auditors and technical experts to carry out their evaluationfunctions.NOTE 1In some cases, others may also participate in an assessmentwho are beyond the control of the assessing body: for example, govern-ment regulator

10、y personnel, or other observers specified by a client. Suchparticipants are not covered by this guide.4. Management System4.1 An assessing body should have in place a documentedsystem describing how it fulfills the elements of its assessor/auditor, technical expert selection, training, assignment an

11、dmonitoring process.4.2 Assessor CriteriaAn assessing body should have writ-ten qualification criteria for the selection of required assessors/auditors, and technical experts. These criteria should addresssuch factors as the candidates education and experience,assessment/audit participation, trainin

12、g, and any examina-tion(s) passed. Requirements for qualification renewal and ifapplicable, re-qualification should be specified. Technical ex-perts should be qualified based on their previous experienceand demonstrated skill.4.2.1 An assessing body should have written evaluationcriteria for assesso

13、rs/auditors, and technical experts.4.3 Continuous Interactions with Staff-Other AssessorsAnassessing body may find it advantageous to periodically havetheir assessors/auditors and technical experts meet with othersimilar persons to discuss their experiences and developproposals to improve the assess

14、ment process.4.4 Rating/Categorization/Listing SystemsAn assessingbody should have a documented system to rate or classify, orboth, assessors according to its needs and situation.NOTE 2Categories could be based on length of experience, demon-strated capability or rating other factors. Some systems c

15、urrently use termssuch as lead assessor, assessor, and assessor trainee, whereas others mayuse designations such as senior and junior assessors.1This guide is under the jurisdiction of ASTM Committee E36 on Accreditation(2) quality assurance, quality management system auditing;and (3) the specific t

16、echnology, process, procedure, or methodrequiring assessment.5.3 ProceduresThe assessing body should have proce-dures in place to adequately determine that an assessor/auditorhas (1) met the requirements for qualification; (2) the ability towork effectively with other people; (3) communications skil

17、ls,both written and verbal; and (4) the ability to probe for neededinformation 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 tech-niques of conducting an assessment/audit to fulfil

18、l the requiredduties.5.4.2 The assessing body should provide adequate trainingto all assessors/auditors and technical experts to explain itsown specific assessment technique, in-house procedures,evaluation criteria, applicable documentation, and/or specificinstructions, operations, procedures and pr

19、ogram requirements.6. Evaluation/Monitoring6.1 Each assessor/auditor and technical expert should beevaluated initially and thereafter on a continual basis by theassessing body. Demonstration and evaluation of the compe-tence of assessors/auditors and technical experts may beperformed by an appropria

20、te combination of the followingmethods:6.1.1 InterviewsInterviews may involve one or more in-terviewers 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 EvaluationWritten ororal examination may be use

21、d to determine an assessorsknowledge and skills as appropriate to the needs of theassessing body. The assessing body staff responsible fortraining/monitoring should take care to observe and appraiseeach candidate during training. A written appraisal should beprepared and filed.6.1.2.1 The responsibl

22、e assessing body staff manager shouldbe familiar with the style, methods, personality, other traits, orcombination thereof, of each assessor/auditor and technicalexpert in their charge.6.1.3 DemonstrationPlanned and formal witnessing ofspecific assessment skill performance, such as in role-playsitua

23、tions.6.1.4 On-the-Job ObservationEach assessor/auditor andtechnical expert should be evaluated for the ability to conductan adequate assessment. This can be accomplished in severalways for example, being accompanied by an experiencedassessor or qualified assessing body staff person, through a trial

24、assessment (pre-arranged conditions), or through observationby a person unknown to the assessor/auditor and technicalexpert. A written appraisal should be prepared and filed withthe assessing organization by the evaluator.6.1.5 Casual ObservationUnplanned or informal witness-ing of limited assessor

25、performance. This method could takeplace in actual assessment or other situations in which assess-ment skills and personal attributes can be observed.6.1.6 DocumentationRecorded information, such asresumes, assessment logs, training certificates, transcripts,certifications, and professional licenses

26、. This could supportpreliminary conclusions of competence.6.1.7 AttestationOral or written statement; a testimonial.An attestation may give different levels of confidence depend-ing on the credibility and independence of the provider.6.1.8 VerificationIndependent check or provision of addi-tional ob

27、jective evidence obtained to support other methods ofevaluating competence such as attestation and documentation.6.1.9 Review of Previous WorkReview of assessor reports,completed checklists, assessment plans or other writing sam-plesc can contribute to determining competence.6.1.10 Other Assessor Ap

28、praisalDuring training or regu-lar assessments, a more experienced or senior assessor(s) couldbe used to make careful observation of the trainee assessor/auditor or technical expert and, when appropriate, prepare awritten report of all observations and appraisals.6.1.11 Feedback from Assessed BodyAn

29、 assessing bodyshould provide a rating form for each assessed body to allowfeedback on each assessor/auditor and technical expert.6.1.12 Skills MaintenanceAn assessing body should havean on-going system to assure that all assessors/auditors andtechnical experts are kept up-to-date with all internal

30、evalua-tion policies and procedures. The body shall encourageassessors/auditors to maintain their auditing or technical skills,or both, to the current state-of-the-art.E2159 1527. Assessor Attributes7.1 An assessor/auditor, technical expert should:7.1.1 Be open minded and mature and willing to consi

31、deralternative ideas of points of view;7.1.2 Possess sound judgment and analytical skills;7.1.3 Have the ability to perceive situations in a realisticway to understand complex operations from a broad perspec-tive and to understand the role of individual units within anorganization;7.1.4 Be able to d

32、istinguish crucial or essential points fromless important ones;7.1.5 Be ethicalfair, truthful, sincere, honest, and discreet;7.1.6 Be diplomatictactful in dealing with people;7.1.7 Be observantmaintain active awareness of physicalsurroundings, activities, and habits;7.1.8 Be tenaciouspersistent and

33、focused on achievingassessment objectives;7.1.9 Be decisivereaches timely conclusions based onlogical reasoning and analysis; and7.1.10 Be self-reliantacts and functions independentlywhile reacting effectively with others.7.2 An assessor/auditor, technical expert should be able toapply the attribute

34、s of 7.1 in order to:7.2.1 Obtain and assess objective evidence fairly;7.2.2 Remain true to the purpose of the assessment withoutfear or favor;7.2.3 Evaluate constantly the effects of assessment observa-tions and personal attributes during an assessment;7.2.4 Treat concerned personnel in a way that

35、will bestachieve the assessment objective;7.2.5 React with sensitivity to the national conventions ofthe country in which the assessment is performed;7.2.6 Perform the assessment process without deviating dueto distractions;7.2.7 Commit full attention and support to the assessmentprocess;7.2.8 React

36、 effectively in stressful situations;7.2.9 Arrive at generally acceptable conclusions based onobjective evidence collected during assessments;7.2.10 Remain true to a conclusion despite pressure tochange that is not based on objective evidence.7.3 An assessing body should have documented proceduresin

37、 place to determine and monitor the personal attributes of 7.1of all of its assessors/auditors and technical experts.7.4 Conflict-of-InterestThe assessing body should be alertto ascertain whether or not a conflict is, or appears to be,present regarding any assessor/auditor, or technical expert. Noco

38、nflict of interest should be present which could bias thepersons judgement either positively or negatively with respectto the assessment of any body.7.4.1 The point should be stressed to each assessor/auditor,and technical expert in the selection, training and evaluationprocess that any actual or po

39、tential conflict of interest shouldbe made known to the assessing body.7.5 Ethics StatementThe assessing body should require allassessors/auditors and technical experts to sign an ethicsstatement/agreement. The statement should also contain aconfidentiality clause.8. Assignment of Assessors8.1 An as

40、sessing body should have established documentedpolicies and procedures for the assignment of a specificassessor/auditor, or technical expert to specific assessments.Assignments should be made to best match the qualities of theassessor/assessment team to the body needing assessment aswell as consider

41、ation of the needs and capabilities of theassessing body.8.2 An assessing body should have documented proceduresto address the selection and assignment of assessors/auditors,and technical experts for reassessments. For example, someassessing bodies send the same assessor/team time after time,others

42、rotate assessors/teams to obtain different perspectiveswhich often is a preferable approach.8.3 Depending on the size and structure of the body to beassessed, an assessment may need to be conducted by morethan one person. The assessing body will need to name anassessment team of several persons. In

43、such a case one assessorshould be named to lead the team. The team may be comprisedof one or more assessors/auditors or technical experts, or both.9. Keywords9.1 assessors; auditors; technical expertsAPPENDIX(Nonmandatory Information)X1. REFERENCED DOCUMENTSX1.1 ISO and ILAC DocumentsX1.1.1 Standard

44、 19011-1 Guidelines for Auditing Man-agement SystemsX1.1.2 ILAC Guidelines on Qualifications and Competenceof Assessors and Technical ExpertsE2159 153ASTM International takes no position respecting the validity of any patent rights asserted in connection with any item mentionedin this standard. User

45、s of this standard are expressly advised that determination of the validity of any such patent rights, and the riskof infringement of such rights, are entirely their own responsibility.This standard is subject to revision at any time by the responsible technical committee and must be reviewed every

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