Quality Auditor Certification Audit Principles 3 — Questions and Answers
Question 1: Which type of audit is conducted by a customer on its supplier?
- First-party audit
- Second-party audit (Correct answer)
- Third-party audit
- Internal audit
Correct answer: Second-party audit
Second-party audits are conducted by external parties with a direct interest, such as customers auditing their suppliers.
Question 2: What does 'audit scope' define?
- The qualifications required of audit team members
- The extent and boundaries of the audit including locations and processes covered (Correct answer)
- The corrective actions required after audit completion
- The frequency at which audits must be conducted
Correct answer: The extent and boundaries of the audit including locations and processes covered
Audit scope defines the boundaries of the audit, including the physical locations, organizational units, processes, and time period covered.
Question 3: An auditor notices a safety hazard unrelated to the audit scope. The correct action is to:
- Ignore it as it is outside scope
- Stop the audit immediately
- Report it to the appropriate authority without including it as a finding (Correct answer)
- Add it to the audit report as a major nonconformance
Correct answer: Report it to the appropriate authority without including it as a finding
Auditors should report significant safety hazards to the responsible authority even when outside scope, without formally citing them as audit findings.
Question 4: Which document formally authorizes the conduct of an audit?
- Audit checklist
- Corrective action request
- Audit plan (Correct answer)
- Audit program
Correct answer: Audit plan
The audit plan is the formal document that describes the activities, scope, objectives, timing, and responsibilities for a specific audit.
Question 5: Objective evidence in auditing is best described as:
- Information confirmed by the auditor's professional judgment
- Data supporting the existence or truth of something, based on observation or measurement (Correct answer)
- Statements from auditee management about process performance
- Historical audit reports from previous cycles
Correct answer: Data supporting the existence or truth of something, based on observation or measurement
Objective evidence is qualitative or quantitative information, records, or statements that can be verified and are based on facts.
Question 6: The closing meeting of an audit should include:
- Assignment of corrective action owners by the audit team
- Presentation of audit findings and conclusions to auditee management (Correct answer)
- Destruction of all working papers and notes
- Final sign-off of the corrective action plan
Correct answer: Presentation of audit findings and conclusions to auditee management
The closing meeting presents findings, observations, and conclusions to auditee management before the formal audit report is issued.
Question 7: Which principle ensures that audit conclusions can be reached consistently by different auditors reviewing the same evidence?
- Confidentiality
- Fair presentation
- Evidence-based approach (Correct answer)
- Professional due care
Correct answer: Evidence-based approach
The evidence-based approach ensures that findings and conclusions are reproducible and consistent because they are grounded in verifiable facts.
Quality Auditor Certification Audit Principles 3
Which type of audit is conducted by a customer on its supplier?