Quiz - ISO 19011_2018 Auditing MS_Part 3 - Thinkerbell

In initiating the audit, the audit team leader should ensure that contact is made with the auditee. The following are considered EXCEPT:

determine any location-specific arrangements for access, health and safety, security, and confidentiality
review result of previous audits
confirm the authority to conduct the audit
provide relevant information on the audit objectives, scope, criteria, methods and audit team composition, including any technical experts

In determining the feasibility of an audit, which of the following factors is NOT considered:

Which of the following statements is FALSE in the preparation of an audit:

Audit planning should consider the risks of the audit activities on the auditee’s processes and provide the basis for the agreement among the audit client, audit team and the auditee regarding the conduct of the audit.
Planning should facilitate the efficient scheduling and coordination of the audit activities to achieve the objectives effectively.
The audit team leader should adopt an evidence-based approach to planning the audit based on the information in the audit programme and the documented information provided by the auditee.
The amount of detail provided in the audit plan should reflect the scope and complexity of the audit, as well as the risk of not achieving the audit objectives.

Audit planning should address or reference the following EXCEPT:

the audit plan should not be sufficiently flexible to permit changes which can disrupt the audit activities progress.
the audit criteria and any reference documented information
the need for the audit team to familiarize themselves with auditee’s facilities and processes
the audit scope, including identification of the organization and its functions, as well as processes to be audited

Which of the following statements is FALSE:

The audit team leader, in consultation with the audit team, should assign to each team member responsibility for auditing specific processes, activities, functions or locations and, as appropriate, authority for decision-making.
Such assignments should consider the impartiality and objectivity and competence of auditors and the effective use of resources, as well as different roles and responsibilities of auditors, auditors-in-training and technical experts.
Audit team meetings should be held, as appropriate, by the audit team leader to allocate work assignments and decide possible changes.
None of the above

Which of the following documented information for the audit is UNACCEPTED:

Which of the following statement is FALSE for an Opening meeting:

In a small organization, the opening meeting may simply consist of communicating that an audit is being conducted and explaining the nature of the audit.
The meeting can be chaired by any member of the audit team.
It should be held with the auditee’s management and, where appropriate, those responsible for the functions or processes to be audited.
During the meeting, an opportunity to ask questions should be provided.

In communicating during conduct of the audit, which of the following statement is FALSE:

Evidence collected during the audit that suggests an immediate and significant risk should be reported without delay to the auditee and, as appropriate, to the audit client.
Any concern about an issue outside the audit scope should be noted and reported to the audit team leader, for possible communication to the audit client and auditee.
Where the available audit evidence indicates that the audit objectives are unattainable, the audit team member should report the reasons to the audit client and the auditee to determine appropriate action.
The audit team should confer periodically to exchange information, assess audit progress and reassign work between the audit team members, as needed.

Which of the following statements is TRUE in audit information availability and access:

The audit can use a mixture of methods.
The audit methods chosen for an audit is independent of the defined audit objectives, scope and criteria, as well as duration and location.
Where, when, and how to access audit information is not crucial to the audit.
Also, audit circumstances may mean that the methods need to remain unchanged during the audit.

The following statements are TRUE on achieving auditor competence EXCEPT:

Experience in a relevant technical, managerial or professional position involving the exercise of judgement, decision making, problem solving and communication with managers, professionals, peers, customers and other relevant interested parties.
Audit experience cannot be acquired under the supervision of an auditor competent in the same discipline.
Successfully completing training programmes that cover generic auditor knowledge and skills.
Education/training and experience in a specific management system discipline and sector that contribute to the development of overall competence.

Quiz – ISO 19011_2018 Auditing MS_Part 3