Audit Terminology and Concepts, Exams of Advanced Education

Download Audit Terminology and Concepts and more Exams Advanced Education in PDF only on Docsity! ASQ CQA Certification Definitions Exam With 100% Correct Answers 2023 ASQ - Correct Answer-American Society for Quality ISO 19011:2011 - Correct Answer-sets out guidance on internal and external audits of quality management systems ISO 9000:2015 - Correct Answer-Describes the fundamental concepts and principles of quality management which are universal Audit - Correct Answer-Systematic, independent and documented process for obtaining evidence and evaluating it objectively to determine the extent to which the criteria are fulfilled Audit client - Correct Answer-Organization or person requesting an audit. Determines the scope of the audit. Jointly determines the purpose and criteria of an internal audit with the lead auditor. Audit conclusion - Correct Answer-Outcome of an audit, provided by the audit team after consideration of the audit objectives and all audit findings Audit criteria - Correct Answer-Set of policies, procedures or requirements Audit evidence - Correct Answer-Records, statements of fact or other info, which are relevant to the audit criteria and verifiable Audit findings - Correct Answer-Results of the evaluation of the collected evidence against criteria Audit plan - Correct Answer-Description of the activities and arrangements for an audit Audit Program - Correct Answer-Set of one or more audits planned for a specific time frame and directed towards a specific purpose Audit scope - Correct Answer-Extent and boundaries of an audit. Normally defines the organizations and time period for the audit. Can include physical locations, departments, products, processes, or systems, exclusions, timelines, relevant polices or procedures, and applicable regulations or contracts. Audit team - Correct Answer-One or more auditors conducting an audit, supported if needed by technical experts Auditee - Correct Answer-Organization being audited Auditor - Correct Answer-Person with the competence to conduct an audit Part I - Correct Answer-Auditing fundamentals Part I A - Correct Answer-Types of quality audits Part I B - Correct Answer-Purpose and scope of audits Part I C - Correct Answer-Criteria to audit against Part I D - Correct Answer-Roles and responsibilities of audit participants Part I E - Correct Answer-Professional conduct and consequences for auditors Product or Service Audit - Correct Answer-Examination of a particular item or service (hardware, processed material, software) to evaluate whether it conforms to requirements (that is, specifications, performance standards, and customer requirements). Conducted at completed stage of production and has passed final inspection. Can also measure quality of item going to customer (product quality audit). Technical exam of the form, fit and function of a completed item after final inspection. Process audit - Correct Answer-Verifies that procedures are working within established limits. It examines an activity to verify that the inputs, actions, and outputs are in accordance with defined requirements. It is very focused on a single activity. General Audit Types - Correct Answer-3 discrete types are product (which includes services), process, and system Process audit technique - Correct Answer-Audit method of following process steps System audit - Correct Answer-Exam conducted on a management system. A documented activity performed to verify, by exam and evaluation of objective evidence, that applicable elements of the system are appropriate and effective and have been developed, documented and implemented in accordance and in conjunction with specified requirements. It encompasses all the practices of a facility that assist in providing an acceptable product or service that is safe and conforms to applicable local, regional, national, and international requirements A S M E - Correct Answer-American Society of mechanical engineers Desk Audit or Document Review - Correct Answer-An audit of an organization's documents. It can be done prior to or in conjunction with other audit methods but must providing safe and reliable products to the aerospace industry and addresses civil and military aviation requirements. Audit purpose - Correct Answer-Client's responsibility to determine. And is dependent on the type of audit. Capability - Correct Answer-Ability of an organization, system or process to realize a product that will fulfill the requirements for that product Characteristic - Correct Answer-Distinguishing feature Competence - Correct Answer-Demonstrated personal attributes and demonstrated ability to apply knowledge and skills Concession - Correct Answer-Permission to use or release a product that does not conform to specified requirements Conformity - Correct Answer-Fulfillment of a requirement Continual improvement - Correct Answer-Recurring activity to increase the ability to fulfill requirements Correction - Correct Answer-Action to eliminate a detected nonconformity Corrective action - Correct Answer-Action to eliminate the cause of a detected nonconformity or other undesirable situation Customer - Correct Answer-Organization or person that receives a product Customer satisfaction - Correct Answer-Customer's perception of the degree to which the customer's requirements have been fulfilled Audit scope - Correct Answer-The extent and boundaries of an audit. Normally includes a description of the physical locations, organizational units, activities and processes, and time period covered. May specify areas not to be included as well. Deming cycle - Correct Answer-A K A: P D C A, P D S A, or shewhart cycle. The plan- do-check (study)-act cycle is a 4 step model for carrying out change. Just as a circle has no end, this cycle should be repeated again and again for continuous improvement. Auditing provides the info needed for the check-study step. Audit criteria - Correct Answer-Universal term that describes the reference used by an auditor against which evidence collected during the audit can be compared. A set of policies, procedures, or requirements used as a reference against which audit evidence is compared. Requirements may be generated by various stakeholders or interested parties. Determined during the audit initiation step. Performance standards - Correct Answer-The documents that contain the norms or criteria against which an activity is measured. The 4 levels are policies, manuals, procedural documents, and detailed documents. Policies - Correct Answer-Performance standard which can include corporate policy statements, international and national quality system standards, regulatory standards, and business sector standards Manuals - Correct Answer-Performance standard which can include corporate and plant manuals. One may exist for each function, Department, or division. Procedural documents - Correct Answer-Performance standard which includes step-by- step requirements for doing a job Detailed documents - Correct Answer-Performance standard in which these documents such as drawings, purchase orders, product specifications, and inspection plans, contain specific requirements or instructions. Audit basis - Correct Answer-A K A: reference standards, audit criteria or performance standards against which an audit must be performed. These reference documents may include management system, product or process standards, contracts, specifications, organization policies and objectives, and laws and regulations. Standards - Correct Answer-Industry criteria voluntarily adopted as an audit basis or to obtain membership to industry organizations Contracts - Correct Answer-An audit basis in a second party audit which states the specified requirements that must be met between two parties Specifications - Correct Answer-An audit basis normally used when conducting product or service audits to see if they are in compliance with the specified requirements Policies and objectives - Correct Answer-An audit basis of the compliance to a company's internal standards and objectives Laws and regulations - Correct Answer-An audit basis to ensure compliance to applicable rules imposed by regulatory agencies whether general or specific. Audit participants - Correct Answer-3 key people of an audit who interrelate: the client, auditor, and auditee Client - Correct Answer-Audit participant that has requested or commissioned the audit. Auditor - Correct Answer-Audit participant who plans and carries out the audit. May be internal or independent to the organization. Auditee - Correct Answer-Audit participant to be audited. Lead auditor or audit team leader - Correct Answer-Auditor responsible for managing the audit. Jointly determines the purpose and criteria of an internal audit with the client. Escort - Correct Answer-An auditee assigned to accompany the audit team members Coordinator - Correct Answer-An auditee who is in contact with the lead auditor or audit program manager in order to arrange for the audit Audit program manager - Correct Answer-Person responsible for the audit program Ethics - Correct Answer-Basic philosophical conclusions about whether conduct and behavior are right or wrong. Moral principles by which an individual is guided. Affects professional conduct and professional conduct affects credibility. Professional conduct - Correct Answer-Manner in which auditors conduct themselves. Auditors must be objective, courteous and honest Liability - Correct Answer-The degree of legal responsibility an individual or company has in a given situation. Code of ethics - Correct Answer-Formal set of standards for conduct. A S Q's code of ethics includes fundamental principles, relations with the public, relations with employers, customers, clients and relations with peers. I I A - Correct Answer-Institute of Internal Auditors Effectiveness - Correct Answer-The degree of conformance to the stated requirements. Inspection records provide factual data on how well a product confirms to requirements. Time plots of process output - Correct Answer-Quantitative data including metrics, trend analysis, cycles, and patterns of data. Initiation Step of Audit - Correct Answer-Objectives, scope and criteria are defined at this stage of the audit process. Audit purpose - Correct Answer-Performed for two basic reasons: to determine if requirements are being met and to determine if there are opportunities for improvement Part II A - Correct Answer-Audit prep and planning Part II B - Correct Answer-Auditbperformance Part II C - Correct Answer-Audit reporting Part V A - Correct Answer-Basic quality and problem solving tools Part V B - Correct Answer-Process improvement techniques Part V C - Correct Answer-Basic statistics Part V D - Correct Answer-Process variation Part V E - Correct Answer-Sampling methods Part V F - Correct Answer-Change control and configuration management Part V G - Correct Answer-Verification and validation Part V H - Correct Answer-Risk management tools Preventative action - Correct Answer-Action to eliminate the cause of a potential nonconformity or other undesirable potential situation Procedure - Correct Answer-Specified way to carry out an activity or a process Process - Correct Answer-Set of interrelated or interacting activities which transforms inputs into outputs Product - Correct Answer-Result of a process Project - Correct Answer-Unique process consisting of a set of coordinated and controlled activities with start and finish dates, undertaken to achieve an objective conforming to specific requirements, including the constraints of time, cost and resources Qualification process - Correct Answer-Process to demonstrate the ability to fulfill specified requirements Quality - Correct Answer-Degree to which a set of inherent characteristics fulfills requirements Quality assurance - Correct Answer-Part of quality management focused on providing confidence that quality requirements will be fulfilled Quality characteristic - Correct Answer-Inherent characteristic of a product, process or system related to a requirement Quality control - Correct Answer-Part of quality management focused on fulfilling quality requirements Quality function deployment - Correct Answer-A customer driven product or service planning process. It is a methodology for translating customer requirements into company requirements at each stage, from concept definition to process engineering and production and into the marketplace Quality improvement - Correct Answer-Part of quality management focused on increasing the ability to fulfill quality requirements Quality management - Correct Answer-Coordinated activities to direct and control an organization with regard to quality Quality management system - Correct Answer-Management system to direct and control an organization with regard to quality Quality manual - Correct Answer-Document specifying the quality management system of an organization Quality objective - Correct Answer-Something sought, or aimed for, related to quality Quality plan - Correct Answer-Document specifying which procedures and associated resources shall be applied by whom and when to a specific project, product, process or contract Quality planning - Correct Answer-Part of quality management focused on setting quality objectives and specifying necessary operational processes and related resources to fulfill the quality objectives Quality policy - Correct Answer-Overall intentions and direction of an organization related to quality as formally expressed by top management Record - Correct Answer-Document stating results achieved or providing evidence of activities performed Regrade - Correct Answer-Alteration of grade of a non-conforming product in order to make it conform to requirements differing from the initial ones Release - Correct Answer-Permission to proceed to the next stage of a process Repair - Correct Answer-Action on a nonconforming product to make it acceptable for the intended use Requirement - Correct Answer-Need or expectation that is stated, generally implied or obligatory Review - Correct Answer-Activity undertaken to determine the suitability, adequacy and effectiveness of the subject matter to achieve established objectives Rework - Correct Answer-Action on a nonconforming product to make it conform to the requirements Scrap - Correct Answer-Action on a nonconforming product to preclude its originally intended use Specification - Correct Answer-Document stating requirement Supplier - Correct Answer-Organization or person that provides a product System - Correct Answer-Set of interrelated or interacting elements Technical expert - Correct Answer-Person who provides specific knowledge or expertise to the audit team Test - Correct Answer-Determination of one or more characteristics according to a procedure Top management - Correct Answer-Person or group of people who directs and controls an organization at the highest level Traceability - Correct Answer-Ability to trace the history, application or location of that which is under consideration Validation - Correct Answer-Confirmation, through the provision of objective evidence, that the requirements for a specific intended use or application have been fulfilled; reproducibly Verification - Correct Answer-Confirmation, through provision of objective evidence, that specified requirements have been fulfilled Work environment - Correct Answer-Set of conditions under which work is performed Reproducibility - Correct Answer-The variability due to different operators using the same instrument Observation - Correct Answer-An isolated discrepancy in an insignificant part of the quality system. An isolated event in an unimportant area Minor nonconformity - Correct Answer-Occasional, insignificant lapses