Lesson 1: Overview

Question 1

What are the five audit phases?

Answer 1

1. Preparation
2. Performance
3. Report
4. Follow-up
5. Closure

Question 2

Name types of audit assessments to determine whether agreed upon requirements are being met.

Answer 2

Quality
Environmental
Financial
Safety

Question 3

The main distinguishing factor of an auditor vs an inspector is independence, thus allowing __________ and ___________.

Answer 3

impartiality / objectivity

Stems from independence of auditors from area being inspected.

Question 4

Name and describe the levels of audit employed.

Answer 4

First Party - Internal to org.

Second Party - External suppliers or affiliates through outsource, code share, etc. May lead to certification by customer org.

Third Party - independent of customer and supplier or affiliate such as regulator. May lead to certification.

Question 5

The person doing the audit is the _________, whereas the org being audited is called the __________. The person or org requesting the audit is the __________.

Answer 5

auditor
auditee
client

Question 6

T or F

An org can be audited against any type of standard, procedure, or document.

Answer 6

F - “almost” any

Question 7

T or F

When actual practice does not agree with the rules, the auditor may report a non-conformity, non-compliance, defect, concern, etc.

Answer 7

T

Question 8

The results of an auditor’s investigation are called ___________.

Answer 8

findings

Question 9

An audit is a _________, __________ examination of a product, service, work process, department, or organization.

Answer 9

formal

Independent

Question 10

Audit-like inquiries come in two forms. ________ are fairly subjective judgments that compare current performance with potential status. ________ are more technically aligned with audit processes, and are determinations or estimates of significance, as in regulatory interpretation.

Answer 10

Evaluations

Assessments

Question 11

Who is responsible for an audit’s purpose, scope, and criteria?

Answer 11

Client primarily, though Auditor defines specifics for situation and conducts audit accordingly.

Question 12

When is it acceptable to conduct a survey?

Answer 12

2nd Party Audits and prior to a contract award to a supplier.

Question 13

What is the primary difference between different types of audits?

Answer 13

Standards audited against, such as environmental vs safety.

Question 14

Audit purpose must elaborate on what two overall reasons for an audit?

Answer 14

Compliance or Conformity