Lesson 2: Audit Types, Criteria & Partcpnts

Question 1

Process Audits determine if _______ or _______ are being met.

Answer 1

methods / procedures

Question 2

System Audits determine if system requirements from what four sources are being met?

Answer 2

1. Manuals
2. Policies
3. Standards
4. Regulations

MSRP

Question 3

T orF

Broadly, all audits require systematic planning, documentation, independence, evidence collection, and conformance verification.

Answer 3

T

Question 4

T or F

Process auditing is evaluating the steps and activities that create an action or transform inputs into outputs.

Answer 4

T

Question 5

Auditing by element is effective for _______ requirements, but not for considering inputs, outputs, and interactive activities of other processes, so is ______ ______ overall.

Answer 5

tracing / less effective

Question 6

A benefit of process audits over element audits is better evaluation of ______ ______.

Answer 6

system controls

Question 7

Audit _______ should match audit _______.

Answer 7

type / purpose

Question 8

T or F

Audit reliability is the same between 1st, 2nd, and 3rd party audits.

Answer 8

F - Reliability increases from 1st to 3rd party audits.

Question 9

Benefits of quality system ________ by 3rd party registrar org’s include customer confidence, market barrier reduction, increased competitiveness, and ________ audit costs.

Answer 9

registration / decreased

Note: Certification and registration used interchangeably in verifying an org’s mgmt systems to a std or other reqmts.

Question 10

1. Product Audits deal with ______ ______ or ______.

Answer 10

tangible characteristics / attributes

Question 11

What is the difference between a joint audit and a combined audit?

Answer 11

Combined - When two or more systems (quality and environmental) audited at the same time.

Joint - When two or more audit org’s audit simultaneously.

Question 12

Audit criteria, used as a reference against which conformity is determined, is specified by defining _________, ________, and ________.

Answer 12

objectives, scope / criteria

Question 13

T or F

Internal audits may be conducted against any agreed upon criteria, are the most flexible, but provide limited opportunities for improving an org.

Answer 13

F - Actually provide the most opportunities for organizational improvement.

Question 14

Between an Auditee and a Client, who receives the audit report?

Answer 14

Client

Question 15

T or F

The Auditee acknowledges audit results and takes corrective action on findings

Answer 15

T

Question 16

___________ audits assess whether process meets goals.

Answer 16

Management

Question 17

________ audits are a management tool for improvement through the gathering of objective and impartial info.

Answer 17

Quality

Question 18

T or F

Product audits are an effective means to determine that all products to ship are acceptable.

Answer 18

F - Used to determine adequacy of inspection methods

Question 19

T or F

Quality assurance relates to how a product is made

Answer 19

F

Question 20

A department audit is a ________ audit.

Answer 20

system

Question 21

T or F

Process Perf Improvement Audit objectives look at business objectives, performance, process risk, and degree of compliance

Answer 21

F - All but degree of compliance