Lesson 7: Audit Analysis

Question 1

Audit evidence must be ________ and _______.

Answer 1

relevant / true

Question 2

For audit evidence to be true, it must be _________ and _________.

Answer 2

verifiable (traceable) / reproducible

Question 3

T or F

Audit data is sorted according to importance and relevance

Answer 3

T

Question 4

There should be ________ ________ found to fulfill the purpose and scope of the audit.

Answer 4

sufficient evidence

Question 5

T or F

Observations, due to only being a potential developing problem, may be subjective in nature in a final report.

Answer 5

F - Subjectivity should always be avoided

Question 6

Audit reports always include an audit conclusion that, at a minimum, is _______ and _______ with factual observations.

Answer 6

relevant / consistent

Question 7

If sufficient evidence is unavailable, the two options are:

1.
2.

Answer 7

1. Continue to audit

2. Report any limitations or contingencies at exit meeting and in report.

Question 7

Some Auditees request to be immediately informed of a non-conformance so it can be corrected right away. This is called ______ ______. What is the likely drawback to this?

Answer 7

remedial action

Likely only addresses symptom and not underlying or root cause as a corrective action would.

Notes:

• Remedial also known as correction or containment
• Ethically, the non-conformity must still be reported.

Question 9

A well documented non-conformity must include what three parts?

Answer 9

1. Audit Evidence
2. Requirement
3. Statement of Non-conformity