Document Number: Q-0000-3 / Issued: 8/29/00
Subject: Definition Document / Revised: 9/10/07
Definitions
AAQG American Aerospace Quality Group – A collection of prime aerospace Original Equipment Manufacturers (OEMs) under the sponsorship of the SAE. This group is chartered to develop common requirements for use by all OEMs for flow down to the supplier community.
Action Request (AR) - An Action Request is a statement requesting resolution of a nonconformance for which A) the documented management system does not comply with the reference Standard (e.g. ISO 9000, etc.); B) evidence indicates that the documented management system has not been implemented; or C) evidence indicates that the implemented management system is not effective. AR's require investigation or action from the client, accompanied by objective evidence to support resolution of the nonconformance.
Affected Customer – OEM that the ISO/TS 16949 Registered Firm supplies to.
Aerospace Product - “Aerospace Product” shall mean an aircraft, rotorcraft, guided weapon, spacecraft, other product designed to travel through the air, inside or outside the ground effort, or to travel outside the influence of the earth’s atmosphere or major components of these products such as engines or major sub-systems.
Appeal - Appeals are generally not complaints. An appeal is made when there is a disagreement with a UL decision to not grant, or withdraw registration. An appeal can also be made when UL does not accept an application for Registration.
AR Analyst - The individual designated to analyze and disposition client responses to Action Requests (ARs).
Assembly - Combines, interconnects, and/or joins off-the-shelf components or products having an identifiable end use into an overall end product. An assembly operation does not change the form or function of the original component.
Auditor - An individual who is qualified to perform assessments under the guidance of a lead auditor. Continuous Assessments may be conducted by this individual without lead auditor support.
Auditor-In-Training (AIT) Form - A two-part form used to track the progress of a Candidate Auditor or Candidate Lead Auditor aspiring to become an Auditor or Lead Auditor, respectively, for a specific program. Part 1 lists technical areas covered during the audit and Part 2 is a form for the Evaluator to comment and encourage the Candidate Auditor toward improvements.
Cancellation - Request from a currently scheduled client to be removed from the schedule permanently or for an indefinite time period.
Candidate Auditor [T] - An individual beyond the observer stage who is being trained but has not met the auditor qualification requirements. This individual, under observation by a qualified auditor, is limited to auditing specified elements of a management system. A Candidate Auditor progressively assumes additional responsibilities of the audit process with guidance from a qualified auditor.
Candidate Lead [ C ] - An individual who is undergoing the prescribed number of qualification audits to become a Lead Auditor as detailed in the program specific Auditor Qualification Procedure (AQP). A Candidate Lead will function as a Lead Auditor while under the observation of a qualified Lead Auditor.
Central Document Control (CDC) - The facilitator over all document control system functions involving QRS controlled documents.
Central Office – A location with responsibility and authority for establishment, oversight and control of the management system for a Corporate Registration. The Central office will also be a Site or Offsite depending on whether they perform production or services processes to be included within the Registration or not.
Certificate of Registration - A document issued by UL to Registered Firms to demonstrate that the Firm's Management System is in compliance with a specific Standard.
Competency Verifier – An experienced Lead Auditor with regional responsibility and authority to review and approve or disapprove auditor qualifications.
Complaint - An expressed feeling of dissatisfaction about UL's services.
Complainant - The company or person who has lodged a complaint. The complainant may be a customer or subscriber.
Concurrent audits - A pair of audits performed at a site at the same time to the ISO 14001 and ISO 9000 and/or ISO/TS 16949 standards by two audit teams. To be considered concurrent, the time frames for the two audits shall overlap, but do not need to be identical.
Continuous Assessment - A periodic re-assessment visit, assuring continued compliance of the facility's Registered Management System. The visits are planned in a manner that ensures the re-assessment of each Management System element, at a specific frequency in each cycle
Contract Auditor - An auditor who is not an employee of Underwriters Laboratories Inc. and whose auditing services are subcontracted by UL under the direction of the QRS department. This auditor is used on a part-time basis. A contract auditor can also be referred to as subcontracted auditor, external auditor or designated auditor (DA).
Controlled Document - A reviewed and approved document issued by CDC for which distribution records are maintained to assure a uniform, effective implementation of concepts, methods, and/or tasks within Quality Registration Services .
Controlled Document List - A list of controlled documents being maintained by the Document Control System.
Converting - Changes product, not yet useable in present form, into a finished size or state
Corporate Registration – A Registration of two or more sites at which production or service processes associated with the scope of Registration occurs. Note: A Corporate Registration may or may not include offsite functions associated with the sites but offsite functions associated with a single primary site do not constitute a Corporate Registration.
Corrective/Preventive Action (CA) - Action taken to eliminate a defect and prevent its recurrence, or an action taken to prevent a defect from occurring.
Country of Audit Skill - Qualifying environmental experience and/or knowledge of the legal requirements in the country of a particular assessment. Their experience and/or skill has qualified them to audit the “Legal and other requirements” clause of the ISO 14001 Standard in the country for a particular Registration or Continuous Assessment location. Technical Advisors, Candidate Auditors, or observers meeting this requirement may accompany an Auditor to meet the team requirement.
Department of Defense Index of Specifications and Standards (DODISS) - A Department of Defense flyer providing information about all new, revised, amended and canceled federal, military and industry standards and specifications used by the U.S. Armed Forces. The DODISS is indexed and distributed by the Navy Publishing and Printing Office.
Designated Audit Body - An organization that has signed a contractual agreement with UL to provide auditing services under the direction of UL.
Distribution - A firm performs distribution when the primary function of the firm is the purchase of material from another company or organization for purpose of re-sale only (SIC code 50XX or 51XX).
Document Control Station (DCS) - A designated person in each regional operation responsible for distribution of controlled internal and external documents.
Document Control System - The system, where CDC and DCSs control new and existing documents, both internal and external.
Document Distribution List - A list held by CDC and each DCS identifying to whom a document is to be distributed.
Document Reviewer –A member of QRS or Sales management who reviews documents for initiation of or revision to QRS controlled documents.
Environmentally Sensitive Clauses - Those clauses of ISO 14001 that relate to the Planning, Operational Control, Monitoring and Measuring and Emergency Preparation and Response elements of the Environmental Management System.
Environmental Effects - The major potential negative environmental impacts of a site as follows: Air Pollution, Water Pollution and Treatment, Soil Pollution and Remediation, Hazardous Waste.
Evaluatee - The individual being evaluated by the Qualifier using the Auditor Evaluation Form.
Evaluator - A qualified Lead Auditor or Auditor on an Assessment who is responsible for the completion of the Auditor-In-Training (AIT) Form. The Evaluator may also be the Qualifier on a Qualification Audit.
External Document - A document used by QRS that was developed externally to QRS.
Fabrication - An operation which uses semi-finished materials (e.g., iron, steel, wood, etc.) that cannot, on their own, perform a specific function and whose size or shape is normally modified to produce a finished/semi-finished product whose intended end use is then identifiable.
Federal Stock Code (FSC) - A standard code designation for controlled federal publications to be issued by the Navy Publishing and Printing Office.
Final Reviewer - Person who performs the final review of QRS controlled documents. This person must be at a higher level than the Document Reviewer. For all Procedures the Chief Engineer – Registration Services will have responsibility for final approval. For all Policies the Chief Engineer – Registration Services or higher shall fill this role of giving final approval.
Global Management Team (GMT) - The team that reviews the status of the operations, business objectives, and compliance with external requirements. This group is composed of the Chief Engineer – Registration Services, QRS SBU General Manager, the Regional or General Manager from each global region, and a member of Marketing and Sales management.
Integrated Audit - A single audit performed to multiple stand-alone management system standards. A single audit team conducts the audit. Note: an audit is not considered integrated if one of the standards is imbedded in the other standard. E.g. TS-16949: 2002 and ISO-9001: 2000 are not considered integrated since TS is based on ISO.
Internal Document - A controlled document developed and implemented for the purposes of the QRS Department.
International Register of Certificated Auditors (IRCA) - An organization in the United Kingdom that, among other activities, operates a Registration Program for Assessors that perform second and third party assessments of Quality Systems.
ISO 14001 Qualified Auditor - An auditor that has successfully completed the appropriate training and field auditing experience and that has been evaluated against those training requirements for ISO 14001 auditing. Auditors in this classification may participate on ISO 14001 Assessments but are restricted as to the clauses of the Standard they can audit during Registration and Continuous Assessments.
Issue Date - The date on which CDC issues a document to Local Document Control Stations.
JAB - Japan Accreditation Board
Lead Auditor - An individual qualified to perform management system assessments and to lead a team of auditors.
Major Nonconformity – is either
- The absence or total breakdown of a system to meet the applicable standard requirement. A number of minor nonconformities against one requirement which when combined can represent a total breakdown of the system and thus be considered a major nonconformity.
- Any noncompliance that would result in the probable shipment of a nonconforming product. A condition that may result in the failure or materially reduce the usability of the products or services for their intended purpose.
- A noncompliance that judgement and experience indicate is likely either to result in the failure of the quality system or to materially reduce its ability to assure controlled processes and products.
Management System - A structured plan within an organization by which procedures, processes and functions are coordinated and implemented to assure compliance and continual improvement as they relate to systems for quality and/or environmental assurance.
Management System Audit - A systematic and independent examination to determine whether management system activities and related results comply with planned arrangements and whether these arrangements are implemented effectively and are suitable to achieve objectives. This is done by means of an audit or in-depth examination of the management system to determine the effectiveness of the whole system and conformance of the system with the predetermined requirements as referenced under "Nonconformance".
Manufacture - To change form and/or function of raw materials into a useable product or assembly
Master Document - A controlled document that contains original review and approval signatures secured by CDC.
Milestone Plan - A step-by-step series of goals and associated time requirements designed to achieve a final goal.
Minor Nonconformity * – is either
- A non-systemic noncompliance within a system that is otherwise effective such that the system does not exhibit an inability or total system breakdown to meet the applicable standard requirement. A number of minor nonconformities against one requirement which when combined can represent a total breakdown of the system is a Major nonconformity.
- A non-systemic noncompliance to procedures that would not result in the probable shipment of a nonconforming product. A condition that may result in the failure or materially reduce the usability of the products or services for their intended purpose is a Major nonconformity.
- A non-systemic noncompliance that judgment and experience indicate is not likely either to result in the failure of the management system; to materially reduce its ability to assure controlled processes and products or to raise significant doubt as to the capability of the management system to achieve the policy and objectives of the organization.
* - A minor nonconformity in UL’s Management System Program does not refer to the definition of nonconformity as defined within ISO/IEC 17021. Minor nonconformities may not require corrective action to be submitted to UL. UL client’s may be allowed to place these findings into their corrective action system and UL will verify the effectiveness of the actions taken during the next scheduled assessment, this approach is dependent upon Program Requirements and audit outcome (as defined in Q0900-5). Where programs do not allow this approach, Program Procedures will take precedence over this definition.
Multi-Site Registration – A Registration covering two or more locations and/or two or more business units at the same location (if the business units are separate entities to be shown as distinct on the certificate.) Note: Multi-site Registrations are a general classification that may involve offsite functions or multiple sites or both. Multiple buildings of a single business unit at a single site location (such as a campus) constitutes a single site Registration and not a Multi-site Registration.
Nonconformance A nonconformance may be either, (A) a non-fulfillment of specified requirements, as defined in either the contract, reference Standard, Company Quality Manual, Procedures, Work Instructions or UL Program requirements; or (B) a condition adverse to quality. Nonconformances that are significant enough to warrant action and resolution in order for the management system to comply with the requirements of the applicable document are entered on Action Request forms during an assessment. Nonconformities can fall into the following categories, "major", "minor" or “observations”. (See related definitions)
Observation - An isolated or nonsystemic finding detected during an audit that does not require action to bring the system or any clause into compliance with the applicable Standard. If action is required to achieve compliance, whether the finding is systemic or not, an Action Request is written. A trend of observations identified under an element of the Standard and/or area may be indicative of ineffectivity or noncompliance that would lead to the writing of an Action Request. Note - For TS 16949, all noncompliances, regardless of severity, are written as Action Requests.
Observer - An individual who is a non participating member of an audit team. The role of this individual is to observe the audit process or auditor with respect to audit techniques and the requirements of the specific program.
Offsite - A remote location at which production or service processes associated with the scope of registration do not occur but which does provide some support function. Typical examples: Remote locations for Engineering (design), sales offices, purchasing, warehouses, storage locations, or management review (unless these include production or service processes to be included within the scope of Registration.)
Opportunity For Improvement - For TS 16949audits, auditors are required to identify opportunities for quality and productivity improvement which become evident during the audit and which are not being addressed by the client in a continuous improvement action plan.
Originator - The individual responsible for writing the proposal for a new document, an existing document, or completing the periodical review of a document.
Part-Time Auditor - An auditor outside of Quality Registration Services providing audit services under the direction of Quality Registration Services. A Part-Time Auditor may be internal or external to UL, but is required to qualify under the same requirements as Full-Time Auditors.
Personnel Training/Qualification File - Personnel files containing training and qualification information (such as records of education, experience, certifications, training classes, Auditor-In-Training Forms, Auditor Evaluation Forms, etc.), which are maintained by RTS for the period prescribed in Doc. No. Q-1800.
Postponement - Request from a currently scheduled client to be rescheduled until a later date.
Preassessment Meeting - A preparatory meeting designed to enhance an auditee's understanding of UL QMS or EMS programs and approach. The meeting may also include a cursory review of the client's quality manual.
Preliminary Evaluation - The evaluation, more commonly referred to as a "Mock Audit", is used for client information only. Since the client determines the scope and depth of the evaluation, conclusions will not be drawn as to the facilities eligibility for registration to the applicable standard.
Primary Registrar - The Primary Registrar is the registrar who has the initial contact with an Applicant and issues the registration that results in the issuance of all other registrations. The Primary Registrar will usually perform the assessment activity.
Probation - UL written notice given to a QS-9000 or TS 16949 Registered Firm that failure to take corrective action to eliminate major or minor nonconformance(s), or Ford "Q-1 Revocation", DaimlerChrysler "Needs Improvement", or General Motors "New Business Hold - Quality" will result in the registration certificate being withdrawn.
Process Audit - An audit or in-depth examination to verify that inputs, processing and outputs are in accordance with defined requirements.
Program Leader - Person responsible for ensuring technical program development and continued maintenance.
Qualification Audit - The audit(s) on which a candidate auditor's or candidate Lead Auditor's performance is evaluated in accordance with program specific requirements by utilizing the Auditor Evaluation Form. By means of this audit, auditing personnel can advance to the next level.
Qualifier [ Q ] - A Qualifier is an experienced Lead Auditor who is approved to perform the qualification evaluation for Lead Auditor status or for Auditor status via training path reduced to one audit or without on-site audit.