Lesson 3: Athrty, Stds, Undrstdg, Comm.

Question 1

Requirement to conduct audits can come from what five sources?

Answer 1

1. Internal
2. External
3. Contract
4. Standard
5. Regulatory

Question 2

ISO9001 is an example of what type of audit authority?

Answer 2

Standard

Question 3

Internal audit authority comes from what two sources?

Answer 3

1. Organizational - procedure, manual, or Co. Policy

2. Hierarchical - higher level mgmt.

Question 4

Auditors do not ______ ______ rules, they audit against ______ rules.

Answer 4

make up / existing

Question 5

Who is responsible for identifying audit criteria (standards)?

Answer 5

The Customer

Question 6

T or F

Authoring conventions guarantee that auxiliary verbs such as shall and must are used consistently and appropriately.

Answer 6

F

Question 7

Good audit practice requires how many document levels be used?

Answer 7

2

Ex., manual and procedures

Question 8

Provide four examples of how to, or better understand processes to be audited.

Answer 8

1. Prior knowledge.
2. Process descriptions
3. Flow charts
4. Tour the operation

Question 9

An operation is understood if the 5 “w”s can be known, plus one more query. They are?

Answer 9

Who, what, when, where, why, and how

In addition, find out what provides value and what is the customer willing to pay for.

Question 10

Lead auditors should send out communications to the auditee regarding the audit _________ and ________.

Answer 10

schedule / plan

Question 11

Notification of internal audits is generally _______ weeks, while external audits is _______ weeks.

Answer 11

two / four

Question 12

What is necessary to be identified in order to legitimize and remove any questions about an auditor’s right to conduct an audit.

Answer 12

Authority

Question 13

When all is said and done, audit authority comes from a ________.

Answer 13

person