Lesson 2: Audit Initiation Flashcards Preview

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Flashcards in Lesson 2: Audit Initiation Deck (28)
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1
Q

Audit preparation ranges from when to when?

A

Audit prep begins when the client decides there needs to be an audit and ends with audit performance initiation.

2
Q

Prior to when an auditor starts planning, certain management actions to initialize the audit are known as the __________ ___________.

A

initiation phase

3
Q

What are the two keys to a professional and efficient audit?

A

Good planning and preparation

4
Q

T or F

The Preparation Phase has not been specifically quantified by any standards organization or professional society.

A

T

5
Q

The Preparation Phase, according to ASQ, is based on whose process, and made up of how many steps?

A

Dennis Arter’s (Quality Audits for Improved Performance) defines 9 steps, plus 1 additional ASQ step.

10 Prep Steps

6
Q

What are the first three preparation steps?

A
  1. Define the Purpose
  2. Define the Scope
  3. Define Resources Required
7
Q

Step 1, Defining the Purpose is the “why” of the audit, thus determining if the controls are:

  1. ____________
  2. ____________ and ____________
  3. ____________ and ____________
A
  1. adequate
  2. implemented and maintained
  3. effective and efficient

AIMEE

8
Q

Within “Define the Purpose”, adequate controls means what?

A

The designed controls are adequate to meet higher level standard requirements of ISO 9001, FAA, etc.

9
Q

When are management systems audited for conformity with standards and what are the consequences of non-conformity?

A

Regulated Industries

Suspension of registration, supplier disapproval, or product rejection

10
Q

____________ auditing techniques should be used when auditing a group of processes with a singular, overall objective or function.

A

Process

11
Q

T or F

Processes, when grouped together, form a system.

A

T

12
Q

T or F

When audits discover problems beyond their scope, the auditor need not be concerned with those particular findings.

A

F

13
Q

What is determined by the size (scope) of an audit?

A

of auditors req’d.

14
Q

Audits of an entire management system are common for _________ ________ _________.

A

3rd party audits

15
Q

T or F

One of the main differences between process and system audits is scope definition and expansion.

A

T

16
Q

Who normally selects audit team members?

A

Auditing Org.

17
Q

Who is responsible for ensuring adequate audit team resources?

A

Audit Team Leader

18
Q

T or F

The number of audit days for 3rd party audits are always estimated by the lead auditor or audit program manager.

A

F - Some 3rd Party Audit days are specified or suggested by an Authority.

Example: QS9000 or TL9000 Audit day guidelines are based on the standard being audit against and the number of employees.

19
Q

Process auditors must be knowledgeable of both the _________ process and the __________ being audited

A

audit, process

20
Q

For all audits, the Lead Auditor (aka: Audit Process Mgr.) is responsible for what four steps?

A
  1. Preparing the audit plan
  2. Conducting the opening and closing meetings
  3. Analyzing findings to be reported
  4. Preparing and submitting the final report
21
Q

T or F

System audits are less labor intensive than process or product audits.

A

F

System audits have two to six members, whereas product or process audits may only have one auditor.

22
Q

Which Standard provides guidance on auditor competency and team member selection?

A

ISO 19011

23
Q

When conducting system audits of process based quality management systems, the audit team should be comprised of auditors that have _________ and __________ system knowledge.

A

technical, management

24
Q

What is the main purpose of an audit checklist?

A

Gather information

25
Q

T or F

A collection plan may be a list of items that will be required to be seen during an audit.

A

T

26
Q

Document reviews (desk audits) are acceptable as part of on-site activities unless ________ to audit effectiveness.

A

detrimental

27
Q

Are specialists (SMEs) required when conducting highly technical audits?

A

Yes

28
Q

Auditors with both technical and management system knowledge are required for ________ audits of a ________ based ________ system

A

system / process / management