AUSTHERM Pty Ltd
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Technical Software Auditing Services

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Contents

What is an Audit?


Austherm Pty Ltd personnel and associates have wide experience in the use and the development of technical software (see Austherm's modelling page) and property databases. They have gained much experience in and procedures for overcoming the problems that may result from its poorly managed use. Continue reading for more information regarding Austherm's concerns regarding the management of the use of technical software.

An audit is a means of quality control, that is, control of the quality of the information on which managers will make judgements about performance and prospects. The enhancement of credibility is the most important requirement of an audit. Technical software and databases produce information to be used by managers to make decisions and hence their use should be subject to quality control or audit. Austherm Pty Ltd is able to provide such audits.

A way of assimilating the cost of an audit is to consider it analogous to that of an insurance policy against the risk of loosing money and influence, the idea being on the one hand to prevent accidental losses and on the other to be a winner in the long run. There is always a risk of losing money by use of poor information and a risk of losing credibility and influence by providing poor information. The problem arises in assessing that risk.

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Technical Reporting


A technical professional must not only produce information but also prepare and make available to the potential user of that information, the proof that the information is fit for its intended use. The proof may consist of:
  1. A formal plan which spells out how fitness for use will be achieved.
  2. A system of reviews to verify that the plan, if followed, will result in fitness for use.
  3. A system of audits to verify that the plans are actually being followed.

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Quality Control


Quality assurance uses all known methods to assure that a technical report has acceptable quality standards. Quality assurance is the activity of providing the evidence needed to establish confidence that the quality function of technical reporting is being adequately performed. The confidence is derived from objective evidence. The evidence must be accessible to any inquirer or can be confirmed by independent test. Austherm Pty Ltd personnel are experienced in seeking the evidence required for technical audits.

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Quality Indicators


There are a number of indicators which may be used to describe the quality of a technical data record or technical database.
  • Data source
  • Statistical basis of the data
  • Validation status
  • Evaluation status
  • Certification status
  • Availability of the material which the data describes
  • Completeness of the information describing the material which the data describes
  • Completeness of the description of the test procedure used to obtain the data
  • Level of support of the database

Data Certification is the process of formal approval, by an authority empowered to do so, of the use of specific data or a database for a specific application.

A Data Quality Indicator is any of several descriptors characterising the quality of a data record, a database, or of the operation of a data system to enable a user to make an assessment of the data, database or data system for the intended purpose.

Data Evaluation is the process of establishing the accuracy and reliability of property data. Evaluation involves examination and appraisal of the data involved, assessment of experimental technique and associated errors, comparison with other experimental or theoretical values, adherence to known experimental or empirical laws, re- analysis and re-calculation of derived quantities as required, selection of best values, and assessment of probable error or reliability. For test-dependent properties, measured by standard tests, validation and evaluation are synonymous. For intrinsic properties, which may be measured by any of several test methods, evaluation may be necessary to provide assurance as to the accuracy and reliability of the data.

Raw Data is experimental test results, typically data which have not been analysed, evaluated, or combined, in any way, with other test results.

Data Reliability is an indication of the dependability of the technical database information in terms of accuracy and precision.

Data Security is protection of the technical database information from unauthorised access, use, modification, destruction, or disclosure.

Data Validation is the process of substantiating that test data have been generated according to standard test methods and practices, or other indices of quality, reliability, and precision.

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Independence


The concept of independence is important to auditing. Frequently 'independence' and 'independent verification' are associated more with the mental attitude, with the associations and with the practices of the people involved in the audit than with the independent corroboration of the information which has been reported and which is the actual subject of the audit. Thus the conventional notion of independence is usually confined to matters which may only be properly described as psychological and sociological. However, the grounds on which independent assessment of information is supported and propagated within an organisation are in fact technical. They pertain to the demonstration and corroboration of the technical qualities of the information.

Independent assessment should be the provision of an assurance to management that the information contained in a technical report constitutes an objective and reliable basis for decision making and subsequent action. The classification of fitness for use of information depends not only on the attributes of the person(s) signing the audit document but also on the technical properties of the information contained in the report. Any notion of independence must embrace the independence of the tests conducted by the auditor(s) and the independence of the evidence which may be adducted to support the information which has been reported, as well as the conventionally accepted independence of the auditor(s). The character of the information in the report must be such that the veracity of each component may be checked by recourse to independent or corrobative evidence of facts. If information cannot be checked in this manner, it cannot be said to have been independently verified, irrespective of the integrity, ethics or expertise of the auditor(s). Hence, a genuine audit is a check which is functionally independent of the activity being audited. Austherm Pty Ltd provides both independent auditors and the ability to assess technical information.

A practical example is property data from handbooks and compilations. Frequently data quoted in a number of compilations comes from a single original measurement. The reliability of the data should not come from the fact that each compilation selected the same value, it should be related to the reliability of the measurement.

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Division of Information


Reported information may be divided in a number of ways. One useful division of technical information is its separation into data, the procedures to use the data and the manner by which procedures are used to manipulate the data.

An audit should be concerned with the division of the information in a technical report. It should be possible to audit the technical data in computer data banks, to audit the programs which are used to manipulate the data and to audit the methods used within an organisation to use the programs which use the data.

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Qualification and Professionalism of Auditors


The object of a technical audit is to ensure the functional fitness for use of the information which has been reported. It follows that the auditor(s) have expertise in the area is which the information is to be used as well as in assessing the quality of the information.

Ideally an audit should compare actual service performance with the user's service needs. This ideal is usually so difficult and costly to administer that most auditing consists of an approximation. In practical audits, it is important that the auditor(s) formally identify which information has been independently verified and which information has been accepted on face value. Austherm Pty Ltd personnel are able to make these separations.

The essential features of a profession are:

  1. A profession involves a skill based on theoretical knowledge
  2. The professional's skill requires training and education
  3. The professional must demonstrate competence by passing a test
  4. Integrity is maintained by adherence to a code of conduct
  5. The service is for the public good
  6. The profession is organised

Three tests of professionalism are:

  1. the exercise of professional skill
  2. the stipulation of the function to be served by professional activities
  3. the pursuit of reliable knowledge by engaging in the process of continual research and self-correction

Professionalism entails a theoretical understanding of the matters in respect of which skills and judgements are to be exercised. The distinguishing feature of a profession is the continual pursuit of reliable knowledge about the nature of the things to which the skills are to be applied.

The distinction between knowledge and skill is critical, for skill may be claimed even when it is not based on knowledge. Skill may be based on a knowledge of how to manipulate information. It does not presuppose a knowledge of the character, meaning or function fitness of the information. Technical software is usually very different to general commercial software, such as spreadsheets. Technical software is usually not an expert system where information is entered and meaningful results obtained with no decision making required by the user. With most technical software, the user is required to make many critical decisions based on their knowledge and experience. To uncritically accept a technical program's default data values and methodology is an often unrecognised important decision.

The function of information, in the context of decision making, is to increase the effectiveness of choice by increasing factual knowledge or by reducing doubt. Uncritical acceptance of information generates a sense of false security i.e. "The computer makes this prediction so it must be correct."

Measurable properties are specifiable, quantifiable and independently testable. Judgements made in respect of measurable properties are non-personal, are open to critical scrutiny by any inquirer and may be agreed upon by many inquirers. Austherm personnel are familiar with the experimental techniques used to obtain the measurable properties contained in technical software and hence are able to assess that information.

Information may or may not degenerate with time. Technical information obtained in a completely characterised environment, which can be reproduced at will, does not degenerate. Technical information of this quality is usually produced in a laboratory. Information obtained in a situation which cannot be returned to has a functional fitness which degenerates with time. Process plant information is often of this quality as plant configurations and feed stock usually change frequently. Technical information of this quality has maximum value when used soon after measurement.

Professionalism entails the stipulation of the function to be served by the exercise of professional skills. It is an understanding of the function to be served by the activities that directs the analysis within a field of inquiry. If the function to be served by the activities is unclear or in doubt, the existence of the required body of knowledge is uncertain and the basis of professionalism remains to be established. Practice cannot be disjoined from theoretical understanding and vice versa.

The object of quality assurance is consumer confidence. In respect of much technical information, many managers are generally unable to appraise for themselves the technical qualities of that information. The managers may lack either the required technical knowledge and expertise, and/or the time and facilities to make a full technical appraisal. Consequently, the managers are dependent upon the producers of the information to ensure the fitness of that information to perform its specified function in a reliable manner. The intended function must be accurately understood and/or specified by the information producer. There is danger in applying information to unintended uses. Quality assurance is predicated on the function of quality control, that is, the process of independent testing whereby the producers of technical information ensure the technical serviceability of their merchandise. Austherm Pty Ltd personnel are experienced in the practical application of technical software to industrial and environmental problems.

Professions provide services, the technical quality of which usually cannot be judged by many managers. The managers generally have no option but to trust. A service provided by a professional may be technically defective. But even in these cases the managers who are affected by the defective judgement generally will not understand the technical explanation of it.

The services provided by a profession should be judged by persons who possess specialised knowledge of the matters which fall into the ambit of the profession's activities, that is, by members of the profession. As many managers have no option but to place a great deal of trust in professionals, the professionals must take steps to ensure that the services they offer are under continual review and self-correction. Austherm Pty Ltd personnel have been involved data assessment, teaching and in the production and use of technical software for over 20 years.

Technical software has to be marketed similarly to other products. In this area, more income is derived from new customers than from old clients. Consequently, there is a trend to develop user interfaces for technical software which enable new and/or inexperienced users to rapidly obtain output numbers. To achieve this the software relies on simplification and the use of default input, that is, the user has to enter less information in order to model a system. To a manager, this trend may appear to be more productive. However, there is a minimum quantity of information which is required to produce an adequate model of any system. Easy to use software does not always equate with effective software in technical areas. Austherm Pty Ltd is experienced in evaluating the amount of information required to model a particular system and hence whether particular technical software is appropriate.

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Benchmarking Technical Software


Benchmarks are one method of differentiating performance. Technical software benchmarks enable differentiation between the various products and services available in the market. Austherm Pty Ltd is experienced in generating the benchmarks which are most appropriate to your business.

Austherm Pty Ltd has produced a number of bench marks which may be applied to technical software. These include combustion calculations and calculations concerning systems involving molten slags, salts, metals and natural gas.

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Technical Data Assessment


Points which should be considered when assessing raw technical data include the following:
  • Was the experimental or test method sufficiently sensitive and reliable?
  • Were all necessary corrections made to the raw data?
  • Have the measurements been reported in sufficient detail to permit checking of the calculational procedures?
  • Have appropriate physical constants and auxiliary data been used?
  • Was the chemical purity of the material well established?
  • Was the physical state of the material well characterised?
  • Was the equipment reliably calibrated?
  • Was the performance of the equipment or operator tested in some way?
  • Were sufficient replications performed both in calibration and in the experiments or tests?
  • Was there proper consideration of both random and systematic uncertainties?

As it is rare for technical information to satisfy all the above criteria, an experienced auditor such as Austherm Pty Ltd is required assess technical data. ASTM E 1407 - 91 states that "it is essential to have experienced and knowledgeable personnel involved in the process of locating, assembling, evaluating and inputting data, as well as in the operation of a well-supported data source.".

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Austherm and Auditing


Austherm Pty Ltd personnel have had over 25 years experience in the production and use of technical software and the selection of physical property data for use in technical software. Austherm personnel have been involved in teaching undergraduates and in training postgraduates and industry professionals. Austherm personnel have been involved with using a large number of technical software packages. They are able to assess whether your organisation is obtaining full value from its use of technical software.

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Bibliography


ASTM E 1407 - 91 "Standard Guide for Materials Database Management", ASTM, Philadelphia

ASTM E 1443 - 93d "Standard Terminology Relating to Building and Accessing Material and Chemical Databases", ASTM, Philadelphia

ASTM E 1484 - 92 "Standard Guide for Formatting and Use of Material and Chemical Property Data and Database Quality Indicators", ASTM, Philadelphia

ASTM E 1485 - 92 "Standard Guide for Development of Material and Chemical Property Data and Database Descriptions", ASTM, Philadelphia

J.D.Cox, D.D.Wagman & V.A.Medvedev, 1989. "CODATA Key Values for Thermodynamics", Hemisphere, New York

P.M.Gy, 1979. "Sampling of Particulate Materials Theory and Practice", Elsevier, Amsterdam

S.Watanasiri, S.Anavi and M.W.Wadsley "Modeling Metallurgical Processes using a Chemical-Engineering Simulator", Fluid Phase Equilibria, Vol.82, pp.55-62, 1993

M.W.Wadsley "Reconciliation of Chemical Engineering and Metallurgical Process Simulation Techniques", Plenary Lecture delivered to the 4th Biennial Conference and Workshop on Computer Software for Chemical and Extractive Metallurgy, University of Missouri-Rolla, June 8-10, 1992

M.W.Wadsley "Expert Systems in Thermochemical Modelling of Extractive Metallurgical Processes" pp. 239-244 in Extractive Metallurgy Conference 2-4 October, 1991, Perth, Australia, The AusIMM, Melbourne, 1991

P.W.Wolnizer, 1987. "Auditing as Independent Authentication", Sydney University Press.

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