Lesson 5a: Auditor Cmptnces II Flashcards
T or F
Pauses by the Auditor may be used as a technique to elicit more elaborate answers fro the Auditee.
T - Auditee may feel uncomfortable with the silence and elaborate to fill the void.
Translators should be advised that asking for _________ is encouraged and expected.
clarification
T or F
Auditors should meet with translators prior to Auditee interviews. This allows protocols to be agreed to and ensure that the Auditor leads off interviews.
F - It may be appropriate that the translator makes opening statements with introductions and explanations of their role.
T or F
Take threats or perceptions of prejudice very seriously.
T - Consider postponing or cancelling audits because of threats or possible prejudice
Pauses by an interviewee, besides reflecting the ability to share info or respond to a question, may also stem from _________ _________.
cultural differences
Most audit teams are ad-hoc and _________, with the leader chosen by the _________ or audit program manager.
normal / client
The normal characteristic of audit teams is that they are ________ _______
task driven
T or F
Because audit teams are task driven, there is no need to ensure team cohesiveness or effectiveness.
F - Even though most audit teams are of short duration, leadership skills are must and team building techniques may be necessary.
The classic evolutionary stages of a team are:
1.
2.
3.
4.
- Forming - organize/cautious/consider task
- Storming - test authority and promote own views
- Norming - accepting of team
- Performing - mature/cohesive/achieve objectives
Audit teams are made up of a leader, member, and on occasion for larger teams, a _________.
facilitator
What position on large audit teams has the responsibility of enhancing the teams effectiveness?
Facilitator
T or F
Regardless of a large team’s training, experience, and history together, Facilitators serve as a beneficial addition to the team.
F
According to ANSI/ISO/ASQ QE 19011 an audit is a _______, _______, and ________ procedure for obtaining audit evidence and evaluating it objectively to determine the extent to which audit criteria are fulfilled.
systematic, independent / documented
Auditors may verify and/or validate requirements (audit criteria) are being met. What is synonymous with the individual terms of verification and validate?
Verification = Checking or Testing
Validation = Actual Performance
T or F
Verification is the authentication of truth or accuracy of facts,measurements, statements, or citations, all of which are confirmation by evidence.
T
What are the two most common methods of verification?
Examination of records followed by interviewing
__________ is the demonstration of the ability of the system-processes to achieve planned results.
Validation
Note: Observation or use of the process can be real or simulated.
T or F
Sometimes audit through verification is the only alternative as validation may be impractical, dangerous, or expensive.
T
Measuring, corroborating, or evaluating processes is an example of __________.
verification
T or F
An Auditor that needs more time to collect data during an interview should stick to the interview schedule and reschedule an additional session later
F - Change interview time as needed and notify the Auditee organization.
T or F
Facilitators, besides being beneficial to large audit teams, can also be helpful if members have never worked together or been trained in team tasks
T
The primary methods used by a team to first generate ideas, then pare the list to a manageable level are ______ and ______.
brainstorming / multivoting
What is the key to sampling a homogenous population?
Randomness
T or F
Auditors are observant, perceptive and, for those with the strongest problem solving skills, able to understand complex problems from a broad perspective.
T
