SGS flashcards

32 cards. Read the term and the definition here. The deck at the top of this page is optional.

ISO 19011

International guidance standard giving recommendations for auditing management systems: managing an audit programme, conducting audits, and evaluating the competence of auditors.

Annex SL

Harmonized high-level structure for management system standards: clause 4 context, 5 leadership, 6 planning, 7 support, 8 operation, 9 performance evaluation, 10 improvement.

Documented information

ISO 9001:2015 term covering both documents that must be maintained and records that must be retained; it replaces the earlier terms documented procedure and record.

Shall versus should

In ISO standards 'shall' indicates a requirement, 'should' a recommendation, 'may' a permission, and 'can' a possibility or capability.

Two-stage initial audit

ISO/IEC 17021-1 requires initial certification to start with a stage 1 readiness review, followed by a stage 2 audit verifying implementation and effectiveness.

Integrity (audit principle)

Foundation audit principle requiring auditors to be honest, truthful and discreet, and to act professionally in all dealings with auditees, clients and colleagues.

Fair presentation

Audit principle requiring findings, conclusions and reports to reflect truthfully and accurately the audit activities, including significant obstacles encountered and diverging opinions.

Evidence-based approach

Audit principle that findings and conclusions are reached only from verifiable information that is relevant to the audit criteria and traceable back to it.

Impartiality threat categories

Recognized threats include self-interest, self-review, familiarity, intimidation, financial interest and advocacy; certification bodies must identify and mitigate each of them.

Independence of auditors

Auditors shall not audit their own work or an activity for which they hold responsibility; independence underpins the impartiality of the audit conclusion.

Process approach

Managing activities as interrelated processes with defined inputs, outputs, sequence and interaction, criteria, resources and owners, so intended results are achieved consistently.

Risk-based thinking

Considering uncertainty and its potential effects when establishing and operating a management system and when planning audits, so effort is directed to the most significant matters.

Risk definition (ISO 31000)

Risk is the effect of uncertainty on objectives; it is usually expressed as a combination of the consequences of an event and the likelihood of its occurrence.

Turtle diagram

Process analysis tool mapping inputs, outputs, resources and equipment, personnel competence, methods and performance indicators to understand a process and its interactions.

Audit criteria

The set of requirements such as standards, regulations, procedures and contracts, against which audit evidence is compared to determine conformity.

Audit programme versus plan

An audit programme arranges a set of audits over a time frame; an audit plan describes the activities and arrangements for one specific audit within that programme.

Audit plan content

Should state objectives, scope, criteria, dates and sites, expected durations, team roles, auditees, audit methods, sampling approach and logistics arrangements.

Stage 1 audit

Reviews documented information, evaluates site-specific conditions and readiness, and focuses planning for stage 2; it does not itself produce a certification decision.

Effective number of personnel

Basis for calculating audit duration; counts everyone within scope, including part-time, shift-working and non-permanent personnel, expressed as full-time equivalents.

Audit evidence

Records, statements of fact or other verifiable information relevant to the audit criteria, obtained through interviews, observation, document review and data analysis.

Judgmental sampling

Selecting a sample using auditor judgement and knowledge of the process rather than probability methods; the sample size and rationale must be justifiable.

Statistical sampling

Selecting a sample by probability methods so results can be extrapolated with a quantifiable confidence level; a sample never demonstrates full conformity.

Open versus closed questions

Open questions invite explanation and are used to gather evidence; closed questions confirm specific facts and are avoided when they suggest the expected answer.

Opening meeting purpose

Confirms with the auditee the plan, scope, criteria, methods, communication channels, resource availability, confidentiality, safety and closing arrangements before evidence collection begins.

Major nonconformity

A nonconformity that affects the capability of the management system to achieve intended results, or that represents a significant risk, legal breach or absent required element.

Minor nonconformity

An isolated lapse that does not indicate a systemic failure and does not significantly affect the capability of the management system to achieve its intended results.

Correction versus corrective action

A correction eliminates the detected nonconformity itself; a corrective action eliminates its root cause so that the nonconformity does not recur.

Audit conclusion

The auditor's professional judgement on the conformity and effectiveness of the management system, based on the findings and the agreed audit objectives.

Follow-up verification

Confirmation that corrections and corrective actions are implemented and effective, performed by written evidence or on-site verification depending on the level of risk.

Competence definition

The ability to apply knowledge and skills to achieve intended results, demonstrated through education, training, experience and relevant personal attributes.

Auditor personal attributes

Expected behaviours include ethical conduct, open-mindedness, diplomacy, perceptiveness, versatility, tenacity, decisiveness and self-reliance, applied with professional judgement.

Continuing professional development

Ongoing maintenance and improvement of an auditor's knowledge and skills through training, additional audits, sector updates and periodic evaluation of performance.