Lesson 5a: Auditor Cmptnces II

Question 1

T or F

Pauses by the Auditor may be used as a technique to elicit more elaborate answers fro the Auditee.

Answer 1

T - Auditee may feel uncomfortable with the silence and elaborate to fill the void.

Question 2

Translators should be advised that asking for _________ is encouraged and expected.

Answer 2

clarification

Question 3

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.

Answer 3

F - It may be appropriate that the translator makes opening statements with introductions and explanations of their role.

Question 4

T or F

Take threats or perceptions of prejudice very seriously.

Answer 4

T - Consider postponing or cancelling audits because of threats or possible prejudice

Question 5

Pauses by an interviewee, besides reflecting the ability to share info or respond to a question, may also stem from _________ _________.

Answer 5

cultural differences

Question 6

Most audit teams are ad-hoc and _________, with the leader chosen by the _________ or audit program manager.

Answer 6

normal / client

Question 7

The normal characteristic of audit teams is that they are ________ _______

Answer 7

task driven

Question 8

T or F

Because audit teams are task driven, there is no need to ensure team cohesiveness or effectiveness.

Answer 8

F - Even though most audit teams are of short duration, leadership skills are must and team building techniques may be necessary.

Question 9

The classic evolutionary stages of a team are:

1.
2.
3.
4.

Answer 9

1. Forming - organize/cautious/consider task
2. Storming - test authority and promote own views
3. Norming - accepting of team
4. Performing - mature/cohesive/achieve objectives

Question 10

Audit teams are made up of a leader, member, and on occasion for larger teams, a _________.

Answer 10

facilitator

Question 11

What position on large audit teams has the responsibility of enhancing the teams effectiveness?

Answer 11

Facilitator

Question 12

T or F

Regardless of a large team’s training, experience, and history together, Facilitators serve as a beneficial addition to the team.

Answer 12

F

Question 13

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.

Answer 13

systematic, independent / documented

Question 14

Auditors may verify and/or validate requirements (audit criteria) are being met. What is synonymous with the individual terms of verification and validate?

Answer 14

Verification = Checking or Testing

Validation = Actual Performance

Question 15

T or F

Verification is the authentication of truth or accuracy of facts,measurements, statements, or citations, all of which are confirmation by evidence.

Answer 15

T

Question 16

What are the two most common methods of verification?

Answer 16

Examination of records followed by interviewing

Question 17

__________ is the demonstration of the ability of the system-processes to achieve planned results.

Answer 17

Validation

Note: Observation or use of the process can be real or simulated.

Question 18

T or F

Sometimes audit through verification is the only alternative as validation may be impractical, dangerous, or expensive.

Answer 18

T

Question 19

Measuring, corroborating, or evaluating processes is an example of __________.

Answer 19

verification

Question 20

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

Answer 20

F - Change interview time as needed and notify the Auditee organization.

Question 21

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

Answer 21

T

Question 22

The primary methods used by a team to first generate ideas, then pare the list to a manageable level are ______ and ______.

Answer 22

brainstorming / multivoting

Question 23

What is the key to sampling a homogenous population?

Answer 23

Randomness

Question 24

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.

Answer 24

T