ASTM E2159-2001(2008) Standard Guide for Selection Assignment and Monitoring of Persons To Be Utilized as Assessors Auditors or Technical Experts《评审员 审核员或技术专家的选择 委派和监控的标准指南》.pdf
《ASTM E2159-2001(2008) Standard Guide for Selection Assignment and Monitoring of Persons To Be Utilized as Assessors Auditors or Technical Experts《评审员 审核员或技术专家的选择 委派和监控的标准指南》.pdf》由会员分享,可在线阅读,更多相关《ASTM E2159-2001(2008) Standard Guide for Selection Assignment and Monitoring of Persons To Be Utilized as Assessors Auditors or Technical Experts《评审员 审核员或技术专家的选择 委派和监控的标准指南》.pdf(3页珍藏版)》请在麦多课文档分享上搜索。
1、Designation: E 2159 01(Reapproved 2008)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 E 2159; the number immediately following the designation
2、 indicates the year 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 organ
3、izations that needto 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 accordin
4、g to its unique situation. Theelements of this guide should be applicable to the selection,assignment, and monitoring of assessors whether they arecontract or permanent staff members.2. Terminology2.1 DefinitionsThe following definitions apply to theterms used in this guide.2.1.1 assessment teama gr
5、oup 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 includes assessment of
6、the quality managementsystem, policies and procedures, etc. An assessor/auditorshould be fully qualified in the performance of a fullassessment/audit with the exception of evaluating specifictechnical areas. An assessor may also be qualified as atechnical expert and bring such additional skills to t
7、heassessment/audit.2.1.3 technical experta technical expert is an individualwho has extensive technical expertise in a specific area(s). Thetechnical expert does not need to have the assessment skills ofan assessor. A person designated only as a technical expertshould not be deemed qualified to cond
8、uct a full assessment,but qualified merely to assist in the evaluation of technicalareas within the persons scope of expertise.3. Significance and Use3.1 In a situation where an organization is performing anevaluation of another, either formally or informally, the singlemost important element in the
9、 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 care by the assessing organization.Two basic types of individuals
10、 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 assessing body in theselection, training, assignment and monitori
11、ng 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: e.g., governmentregulatory personnel, or other observers specified by a client. Suchparticipants ar
12、e not covered by this guide.4. Quality 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 andmonitoring process.4.2 Assessor CriteriaAn assessing body should havewritten
13、 qualification criteria for the selection of requiredassessors/auditors, and technical experts. These criteria shouldaddress such factors as the candidates education and experi-ence, assessment/audit participation, training, and any exami-nation(s) passed. Requirements for qualification renewal and
14、ifapplicable, re-qualification. Technical experts should be quali-fied based on their previous experience and demonstrated skill.4.2.1 An assessing body should have written evaluationcriteria for assessors/auditors, and technical experts.4.3 Continuous Interactions w/Staff-Other AssessorsAnassessing
15、 body may find it advantageous to periodically havetheir assessors/auditors and technical experts have the oppor-tunity to meet with other similar persons to discuss theirexperiences and develop proposals to improve the evaluationprocess.4.4 Rating/Categorization/Listing SystemsAn assessingbody shou
16、ld have a documented system to rate and/or classifyassessors according to its needs and situation.1This guide is under the jurisdiction of ASTM Committee E36 on Laboratoryand Inspection Agency Accreditation and is the direct responsibility of Subcommit-tee E36.50 on Support Operations.Current editio
17、n approved May 1, 2008. Published October 2008. Originallyapproved in 2001. Last previous edition approved in 2001 as E 215901.1Copyright ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959, United States.NOTE 2Categories could be based on length of experience, d
18、emon-strated capability or rating other factors. Some systems currently use termssuch as lead assessor, assessor, and assessor trainee, whereas others mayuse designations such as senior and junior assessors.4.5 DatabaseAn assessing body should maintain a func-tional database of all assessors/auditor
19、s as an effective way toeasily select persons for a particular assignment.4.6 RecordsAn assessing body should maintain a com-plete file of all assessors/auditors and technical experts whoperform assessments on its behalf. The file should, at aminimum, contain pertinent education and background mate-
20、rial, dates and results of all pertinent training, appraisal reports,specific skill categories and any areas/situations which maycause a conflict of interest and, if available, appraisal formsfrom assessed bodies.4.6.1 Assessing bodies may find it advantageous to maintaina historical record of all a
21、ssignments performed by eachassessor/auditor and technical expert.4.6.2 The qualification record should identify the date andbasis of initial qualification, date of last renewal or re-qualification, and expiration date.5. Assessor Selection5.1 Sources of Potential AssessorsPotential assessors maybe
22、identified from many sources e.g., academic institutions,professional societies, industry, government, personnel certifi-cation bodies, advertisements, etc.5.2 QualificationsThe assessing body should select asses-sors based on their background and expertise in (1) theoperation of the specific type o
23、f body to be assessed, e.g.,laboratory operations, quality system auditing, manufacturingprocesses; (2) quality assurance, quality management systems;and (3) the specific technology requiring assessment.5.3 ProceduresThe assessing body should have proce-dures in place to adequately determine that an
24、 assessor/auditorhas (1) met the requirements for qualification; (2) the ability towork effectively with other people; (3) communications skills,both written and verbal; and (4) the ability to probe for neededinformation to effect an audit.5.4 Training:5.4.1 The assessing body should ensure that eac
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