HSB Registration Services - Definitions and Acronyms

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Definition and Acronyms

For the purposes of the HSB Registration Services quality manual, the terms and definitions given in ISO 9000, ISO/IEC 19011, ISO/IEC 17000 and the following apply:

Glossary, Terms & Definitions

Additional Sites (IAF MD 1:2007)-A new site or group of sites that will be added to an existing certified multi-site network.
Assessment  All Stage 1 and 2 audit activities related to certification of an organization to determine whether the organization meets all the requirements of the relevant clauses of the specified standard necessary for granting certification, and whether they are effectively implemented, including documentation review, audit, preparation and consideration of the audit report and other relevant activities necessary to provide sufficient information to allow a decision to be made as to whether certification shall be granted.
Audit Systematic, independent and documented process for obtaining audit evidence and evaluating it objectively to determine the extent to which the audit criteria are fulfilled.
Audit Client Organization or person requesting an audit.
Audit Conclusion Outcome of an audit, after consideration of the audit objectives and all audit findings.
Audit Criteria Set of policies, procedures or requirements used as a reference against which audit evidence is compared.
Audit Day  Per IAF MD5:2015-The duration of an audit day is normally 8 hours and may or may not include a lunch break depending upon local legislation.
Audit Evidence  Records, statements of fact or other information which are relevant to the audit criteria and are verifiable.
Audit Findings  Results of the evaluation of the collected audit evidence against audit criteria.
Audit of Integrated Management System  An audit of an organization's management System against two or more sets of audit criteria/standards conducted at the same time. (IAF MD 11;2013)
Audit Program  Arrangements for a set of one or more audits planned for a specific time frame and directed towards a specific purpose.
Audit Scope  Extent and boundaries of an audit.
Audit Team  One or more auditors conducting an audit, supported if needed by technical experts.
Audit Team Leader  One member of the audit team is appointed as the Audit Team Leader. The Audit Team Leader is responsible for, but not limited to, audit scheduling, planning, team coordination, audit documentation, review of corrective actions and any audit follow-up activities.
Audit Team Member  A member of a team of auditors used to complete an onsite audit activity.

Note 1: May include a Provisional, Auditor, or Lead Auditor

Note 2: Team may include one or more members.
Audit Time  Time needed to plan and accomplish an effective audit of the client's management system, including report writing.

(ISO IEC TS 17023)-time needed to plan and accomplish a complete and effective audit of the client organization's management system.

Note1: Audit time is regarded as those activities involved with planning, conducting and reporting of audits and is relevant for initial, surveillance, re-certification and special audits.

Note 2: ISO/IEC TS 17023 distinguishes between audit time as defined above and the part of audit time spent conducting audit activities from the opening meeting to the closing meeting as the duration of management system certification audits (see 9.4.1 to 9.4.7)

Per IAF MD5:2015-Time needed to plan and accomplish a complete and effective audit of the client organization's management system.
Auditee  Organization being audited.
Auditor  Person who conducts an audit.
Audit Plan  Description of the activities and arrangements for an audit.

ISO 9000:2005-person with the demonstrated personal attributes and competence to conduct an audit.
Campus  An organization having an identified central function (the central office, but not necessarily the headquarters of the organization) at which certain activities are planned, controlled, or managed and that has a decentralized, sequential, linked product realization process (this may also be called a value chain) in which the outputs from one site are an input to another site which ultimately results in the final product or service.
Capability  Ability of an organization, system or process to realize a product that will fulfill the requirements for that product.
Central Function  The function that is responsible for and centrally controls the single management system certification. (From IAF MD 1 definition).
Certification Audit  Audit carried out by an auditing organization independent of the client and the user, for the purpose of certifying the client's management system.

Note 1: In the definitions which follow, the term "audit" has been used for simplicity to refer to third party certification audit.

Note 2: Third-party certification audits include initial, surveillance, re-certification audits, and can also include special audits.

Note 3: Third-Party certification audits are typically conducted by audit teams of those bodies providing certification of conformity to the requirements of management system standards.

Note 4: A joint audit is when two or more auditing organizations cooperate to audit a single client.

Note 5: A combined audit is when a client is being audited against the requirements of two or more management systems standards together.

Note 6: An integrated audit is when a client has integrated the application of requirements of two or more management system standards into a single management system and is being audited against more than one standard.
Certification Package  All audit documents relevant to a certification audit, including but not limited to Recertification Review Report, Stage 1 Audit Report, Audit Report, Audit Plan, Audit Finding Report with Root Cause and Corrective Action, and Checklist (if applicable), Information on Complaints from users (if applicable).
Certification Scheme  Conformity assessment system related to management systems to which the same specified requirements, specific rules and procedures apply. (ISO IEC TS17023)
Certified Client  Organization whose management system has been certified.
Characteristic  Distinguishing feature.
Client  Organization whose management system is being audited for certification process.
Client Organization  Per IAF MD 5:2015-Entity or defined part of an entity operating a management system.
Combined Management System Audit  An audit of an organization's separate management systems against two or more standards conducted simultaneously.
Competence  Ability to apply knowledge and skills to achieve intended results.

ISO 9005-demonstrated ability to apply knowledge and skills. Also demonstrated personal attributes and demonstrated ability to apply knowledge and skills.
Complex Organizations  An organization having an identified central function (the central office, but not necessarily the headquarters of the organization) at which certain activities are planned, controlled, or managed and a network of locations that are any combination of multiple site, campus, several sites or more than one campus. (See EMS Table 2 in SOP#013).
Complexity Category  Per IAF MD5:2015-(For EMS only) the provisions specified in IAF MD 5 are based on five primary complexity categories of the nature, number and gravity of the environmental aspects of an organization that fundamentally affect the audit time.
Concession  Permission to use or release a product that does not conform to specified requirements.
Conformity  Fulfillment of a requirement.
Continual Improvement  Recurring activity to increase the ability to fulfill requirements.
Contract  Binding agreement.
Correction  Action to eliminate a detected nonconformity
Corrective Action Action to eliminate the cause of a detected nonconformity or other undesirable situation.
Critical Location  A remote physical location, where activities are conducted or controlled that determine or demonstrate the effectiveness of the CB performance of the accreditation.
Client Organization Organization or person that receives a product.
Client Satisfaction Client's perception of the degree to which the client's requirements have been fulfilled.
Defect  Non-fulfillment of a requirement related to an intended or specified use.
Dependability  Collective term used to describe the availability performance and its influencing factors; reliability performance, maintainability performance and maintenance support performance.
Design & Development  Set of processes that transforms requirements into specified characteristics or into the specification of a product, process or system.
Deviation Permit  Permission to depart from the originally specified requirements of a product prior to realization.
Document  Information and its supporting medium.
Duration of Management System Part of audit time spent conducting audit activities from the opening meeting to the closing meeting, inclusive

Note 1 to entry: Audit activities normally include:
— conducting the opening meeting;
— performing document review while conducting the audit;
— communicating during the audit;
— assigning roles and responsibilities of guides and observers;
— collecting and verifying information;
— generating audit findings;
— preparing audit conclusions;
— conducting the closing meeting.
Effective Number of Personnel  Per IAF MD5:2015-The effective number of personnel consists of all personnel involved within the scope of certification including those working on each shift. When included within the scope of certification, it shall also include non-permanent (e.g. contractors) and part time personnel. (See IAF MD 5:2015 paragraph 2.3 for more clarification)
Effectiveness  Extent to which planned activities are realized and planned results achieved.
Efficiency  Relationship between the result achieved and the resources used.
Eutrophication:  The process by which a body of water acquires a high concentration of nutrients, especially phosphates and nitrates. These typically promote excessive growth of algae. As the algae die and decompose, high levels of organic matter and the decomposing organisms deplete the water of available oxygen, causing the death of other organisms, such as fish. Eutrophication is a natural, slow-aging process for a water body, but human activity greatly speeds up the process."
Exemplar Global  Personnel certification and training organization.
Expected Outcomes for Accredited Certification  ISO 9001 - For the defined certification scope, an organization with a certified quality management system consistently provides products that meet client and applicable statutory and regulatory requirements, and aims to enhance client satisfaction. (IAF Communique).

ISO 14001 - For the defined certification scope, an organization with a certified environmental management system is managing it interactions with the environment and is demonstrating its commitment to:

a) Preventing Pollution.
b) Meeting applicable legal and other requirements.
c) Continually enhancing its environmental management system in order to achieve improvements in its overall environmental performance.

(IAF Communique).
Grade  Category or rank given to different quality requirements for products, processes, or systems having the same functional use.
Guide Person appointed by the auditee to assist the audit team.
Headquarters  The physical location where the performance of accredited QMS is controlled.
HSB CT Certification Agreement The agreement between a client and HSB RS for any/all of the elements in the certification process (from this point forward known as Agreement).
Impartiality Presence of objectivity.

Note 1: Objectivity means that conflicts of interest do not exist or are resolved so as not to adversely influence subsequent activities of the certification body.

Note 2: Other terms that are useful in conveying the element of impartiality are: independence, freedom from conflict of interests, freedom from bias, lack of prejudice, neutrality, fairness, open-mindedness, even-handedness, detachment, and balance. 
Information  Meaningful data
Infrastructure  System of facilities, equipment and services needed for the operation of an organization.
Inspection  Conformity evaluation by observation and judgment accompanied as appropriate by measurement, testing or gauging.
Integrated Management System  A single management system managing multiple aspects of organizational performance to meet the requirements of more than one management standard, at a given level of integration. A management system may range from a combined system adding separate management systems for each set of audit criteria/standard, to an Integrated Management System, sharing in single system documentation, management system elements, and responsibilities. (IAF MD 11:2013)
Integrated Management System Audit  An audit of an organization's single management system of multiple standards at a given level of integration.
Interested Parties  Those persons who are currently active and have a professional interest in an industrial segment or segment as it relates to the recognized quality management standards. Examples are manufacturers, consultants, quality personnel, and auditors.
Interested Party (ISO 9000-2005)  Person or group having an interest in the performance or success of an organization
Internal Audits  Audits / Assessments conducted on the activities of HSB RS by HSB RS auditors.
Level of Integration  The level to which an organization uses one single management system to manage integration of documentation, appropriate standard elements/clauses, and responsibilities in relation to the standards.

(IAF MD-11:2013)-The level to which an organization uses on single management system to manage multiple aspects of organizational performance to meet the requirements of more than one management system standard. Integration relates to the management system being able to integrate documentation, appropriate management system elements and responsibilities in relation to two or more sets of audit criteria/standards. Note: Audit criteria are intended to mean management system standards used as a basis for conformity assessment and certification (e.g., ISO 9001, 14000, etc.). 
Major Nonconformity That affects the capability of the management system to achieve the intended results. Note 1 to entry: Non-conformities could be classified as major in the following circumstances:

— if there is a significant doubt that effective process control is in place, or that products or services will meet specified requirements;
— a number of minor nonconformities associated with the same requirement or issue could demonstrate a systemic failure and thus constitute a major nonconformity. (e.g., 3 out of 6 documents are unsatisfactory)
— escalation of minor findings due to not meeting established Top Management mandated timelines.
Management  Coordinated activities to direct and control an organization.
Management System  System to establish policy and objectives and to achieve those objectives.
Management System Certification Scheme  Per IAF MD 5:2015-Conformity assessment system related to management systems to which the same specified requirements, specific rules and processes apply.
Management System Consultancy Participation in establishing, implementing or maintaining a management system.


Example 1: Preparing or producing manuals or procedures.

Example 2: Giving specific advice, instructions or solutions towards the development and implementation of a management system.

Note 1: Arranging training and participating as a trainer is not considered consultancy, provided that, where the course relates to management systems or auditing, it is confirmed to the provision of generic information; i.e., the trainer should not provide client-specific solutions.
Mark  A legally registered trade-mark or otherwise protected symbol which is issued under the rules of an accreditation body or of a registration body indicating that adequate confidence in the systems operated by a body has been demonstrated.
Measurement Management System  Set of interrelated and interacting elements necessary to achieve metrological confirmation and continual control of measurement processes.
Measuring Equipment  Measuring instrument, software, measurement standard, reference material or auxiliary apparatus or combination thereof necessary to realize a measurement process.
Metrological Characteristic  Distinguishing feature which can influence the results of measurement.
Metrological Confirmation Set of operations required to ensure that measuring equipment conforms to the requirements for its intended use.
Metrological Function Function with administrative and technical responsibility for defining and implementing the measurement management system.
Minor Nonconformity  Nonconformity that does not affect the capability of the management system to achieve the intended results. (e.g.- 1 out of 3 documents reviewed are unsatisfactory)
Monitoring & Measuring of Product / Monitoring & Measuring of Processes  As both of these terms are synonymous to the HSB RS system, one set of measureable objectives has been established to address. These objectives are stated in the HSB RS Manual and reviewed as part of the Management Review.
Multi-site Organization  (IAF MD 1:2007)-An organization covered by a single management system comprising of an identified central function (normally referred to as a central office – but not necessarily the headquarters of the organization) at which certain activities are planned, controlled or managed and a network of sites of local offices or branches (sites) at which such activities are fully or partially carried out (See eligibility requirements for Multi-site in IAF MD1).
Nonconformity  Non-fulfillment of a requirement.

(IAF-GD 2:2003-Informative-The absence of, or the failure to implement and maintain, one or more quality management system requirements, or a situation which would, on the basis of available objective evidence, raise significant doubt as to the quality of what the organization is supplying. HSB RS is free to define different grades of deficiency and areas for improvement.
Objective Evidence  Data supporting the existence or verity of something.
Observer  Person who accompanies the audit team but does not audit.
Organization  Group of people and facilities with an arrangement of responsibilities, authorities and relationships.

Organization-The term organization is used to designate any company or other organization owning a management system subject to audit and certification. (From IAF MD 1:2007 definition)
Organizational Structure  Arrangement of responsibilities, authorities and relationships between people.
Permanent Site  Per IAF MD5:2015-Location (physical or virtual) where a client organization performs work or provides a service on a continuing basis.
Preventive Action  Action to eliminate the cause of a potential nonconformity or other undesirable potential situation.
Procedure  Specified way to carry out an activity or a process.
Process  Is defined as "set of interrelated or interacting activities which transforms inputs into outputs".
Product  Is defined as "result of a process'.
Project  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 Process to demonstrate the ability to fulfill specified requirements.
Quality  Degree to which a set of inherent characteristics fulfills requirements.
Quality Assurance  Part of quality management focused on providing confidence that quality requirements will be fulfilled.
Quality Characteristic  Inherent characteristic of a product, process, or system related to a requirement.
Quality Control  Part of quality management focused on fulfilling quality requirements.
Quality Improvement  Part of quality management focused on increasing the ability to fulfill quality requirements.
Quality Management  Coordinated activities to direct and control an organization with regard to quality.
Quality Management System  Management system to direct and control an organization with regard to quality.
Quality Manual  Document specifying the quality management system of an organization.
Quality Objectives  Something sought, or aimed for related to quality.
Quality Plan  Document specifying which procedures and associated resources shall be applied by whom and when to a specific project, product, process, or contract.
Quality Planning  Part of quality management focused on setting quality objectives and specifying necessary operational processes and related resources to fulfill the quality objectives.
Quality Policy Overall intentions and direction of an organization related to quality as formally expressed by top management.
Record  Document stating results achieved or providing evidence of activities performed.
Registrant  Organization that provides products or services who has been certified to ISO 9001, ISO 14001, and OHSMS by HSB RS and is registered as such.
Registration Services  Accredited or Unaccredited Certification activity provided to an organization against a standard such as ISO 9001, ISO 14001, and OHSMS.
Regrade  Alteration of the grade of a nonconforming product in order to make it conform to requirements differing from the initial ones.
Release  Permission to proceed to the next stage of a process.
Repair  Action on a nonconforming product to make it acceptable for the intended use.
Requirement  Need or expectation that is stated, generally implied or obligatory
Review  Activity undertaken to determine the suitability, adequacy and effectiveness of the subject matter to achieve established objectives.
Rework  Action on a nonconforming product to make it conform to the requirements.
Risk  Effect of uncertainty on objectives.
Risk Category  Per IAF MD5:2015-(For QMS only)-the provisions in MD 5 are based on 3 categories, dependant on the risks posed by failure of the product or service of the client organization. These categories can be considered as high, medium or low risk.

- High risk activities (e.g. nuclear, medical, pharmaceutical, food, construction) normally require more audit time.

- Medium risk activities (e.g., simple manufacturing) are likely to require the average time to carry out an effective audit.

- Low risk activities are less time from the Medium category.
Scheme Owner Person or organization responsible for developing and maintaining a specific certification scheme. (ISO IESD TS 17023)
Scrap  Action on a nonconforming product to preclude its originally intended use.
Several Sites An organization having an identified central function (the central office, but not necessarily the headquarters of the organization) at which the certain activities are planned, controlled, or managed and a network of sites that do not meet the criteria for either a multiple site or a campus organization.
Site  A site is a permanent location where a organization carries out work or a service. (From IAF MD 1:2007 definition and 2.1)
Specification Document stating requirements
Supplier  Organization or person that provides a product.
System  Set of interrelated or interacting elements.
Technical Area  Area characterized by commonalities of processes relevant to a specific type of management system and its intended results.
Technical Expert  Person who provides specific knowledge or expertise to the audit team.
Temporary Site  Per IAF MD5:2015-Location (physical or virtual) where a client organization performs specific work or provides a service for a finite period of time and which is not intended to become a permanent site.

(IAF MD 1:2007-A temporary site is one set up by an organization in order to perform specific work or a service for a finite period of time and which will not become a permanent site (e.g., construction site).
Test  Determination of one or more characteristics according to a procedure.
Top Management  Person or group of people who directs and controls an organization at the highest level.
Top Management Team  Headquarters staff consisting of Managing Director, Technical Manager(s), Operations Manager & Certification Manager.
Traceability  Ability to trace the history, application or location of that which is consideration.
Transfer of Certification  Per (IAF MD 2-2007)-The transfer of certification is defined as the recognition of an existing and valid management system certification, granted by one accredited certification body, (hereinafter referred to as the "issuing certification body"), by another accredited certification body, (hereinafter referred to as the "accepting certification body") for the purpose of issuing its own certification.

Note: Multiple certification, (concurrent certification by more than one certification body), does not fall under the definition above, and is not encouraged by IAF.
Validation  Confirmation, through the provision of objective evidence, that the requirements for a specific intended use or application have been fulfilled.
Value Stream  A value stream is an end-to-end business process which delivers a product or service to a client. The process steps along the way both use and produce intermediate goods, services and information to reach that primary end.
Verification The degree needed to substantiate the acceptance of corrective action to a finding.

ISO 9000:2005-confirmation, through the provision of objective evidence, that specified requirements have been fulfilled.
Virtual Site  Per IAF MD5:2015-Virtual location where a client organization performs work or provides a service using an on-line environment allowing persons irrespective of physical location to execute processes.

Note 1: A virtual site cannot be considered where the processes must be executed in a physical environment, e.g., warehousing, manufacturing, physical testing laboratories, installation or repairs to physical products.

Note 2: A virtual site (e.g. company intranet) is considered a single site for the calculation of audit time
Work Environment  Set of conditions under which work is performed.

Abbreviations

AB Accreditation Body 
ADW Audit Duration Worksheet 
ANAB ANSI-ASQ-National Accreditation Board
ASME The American Society of Mechanical Engineers
ASQ American Society for Quality 
CAB Conformity Assessment Bodies (CAB's)
CAR Corrective Action Report
CB Certification Body
CCR Certification Committee Review 
CL Critical Location
EAC European Accreditation of Certification Industry Classification
HQ Headquarters
HSB CT The Hartford Steam Boiler Inspection and Insurance Company of Connecticut
HSB RS HSB Registration Services
IAF International Accreditation Forum
IMS  Integrated Management Systems
IRCA  International Register of Certified Auditors
ISO International Organization for Standardization
MLA Multilateral Recognition Arrangement 
NCR Nonconformity Report
PRSIR Pre-recertification/Surveillance inquiry report


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