Lesson 9: Audit Reporting

Question 1

Non-conformity written convention?

1.
2.
3.

Answer 1

1. State the non-conformity
2. State the nature of evidence
3. Reference the requirement

Question 2

T or F

Findings should be graded or ranked in order of discovery.

Answer 2

F - In order of importance

In ISO 9001, a finding can be negative or positive and simply represents the results of the eval (audit).

Question 3

What are the six “C”s of report attributes?

Answer 3

Complete 
Correct 
Concise
Clear
Categorized
Confirmable

Question 4

Almost always, report format and audit writing guidelines are provided by ________ ________.

Answer 4

Audit Management

Question 5

The audit report must be objective and impartial to maintain __________.

Answer 5

credibility

Question 6

Report Format?

1.
2.
3.
4.
5.

Answer 6

1. ID
2. Confidential Clsfctn
3. Intro or Background
4. Limitations or Qualifications
5. Summary / Conclusion

Question 7

T or F

Recommendations are always the final part of an Audit Report.

Answer 7

F - Only if required by the client; even then without details.

Question 8

T or F

Process audit reports are always shorter than system audit reports because many processes make up a system

Answer 8

T

Question 9

Audit reports should avoid:
1.
2.
3.
4.

Answer 9

1. Emotional Words
2. Biased Words
3. Minor Imperfections with no added value
4. Names unless germane to understanding or correcting problem

Question 10

T or F

Audit findings should go beyond conformity/compliance and be linked to mgmt interests when possible.

Answer 10

T

Interests will vary depending on product produced. Example: Vaccines - product safety vs Paper - production efficiencies.

Question 11

T or F

Recommendations should be an output of audits.

Answer 11

F - Implies Auditor ownership of problems or could even result in legal action unless specifically requested by auditee.

Question 12

Audit reports should be issued:

A. soon enough to ensure timely and thorough corrective action
B. within 30 days.
C. on the agreed upon date.
D. Both A and C are correct

Answer 12

D

Question 13

T or F

Process audit length depends on the situation.

Answer 13

T

Question 14

T or F

Audit report disclaimers are issued for audit practice limitations

Answer 14

F - For results based on the sample taken.

Question 15

What characteristic should audit reports be designed around?

Answer 15

Maximum Effectiveness

Question 16

By what is it known when an Auditee takes immediate action to resolve a non-conformity?

Answer 16

Remedial Action

Also known as containment action or correction of problem.

Question 17

For conciseness and clarity, what is the recommended maximum number of findings per audit report?

Answer 17

6

Question 18

Broadly, an audit report serves to provide:
1.
2.
3.

Answer 18

1. Levels of adherence to requirements
2. Guidance to Mgmt on future decisions and activities
3. Investigation and conclusions as a formal record