Lead Auditor Development Program - 
THEORY ASSESSMENT

 

 

 

 

1.	Best-practice internal auditing
2.	Auditor competencies
3.	Initiating the audit
4.	Planning and preparing the audit
5.	Conducting the audit
6.	Generating audit findings
7.	Reporting the audit
8.	Closing out and following up the audit
9.	Team leadership
10.	Time, conflict and stress management

 

 

 

 

 

 

Audits confirm conformance / compliance with the requirements of:

 

The term 'shall' in an ISO standard means:

 

The organisation or person requesting the audit is the:

The audit _________________ includes arrangements for audits planned for a specific timeframe and directed towards a specific purpose.

Records for individual audits include:

Application of diligence and judgements during auditing describes which principle of auditing?

A lead auditor needs to be competent in:

Acting with fortitude means that an auditor:

It is typically the responsibility of the ____________ to contact the auditee during initiation of the audit.

All audits are feasible. 

Vertical audits are based on _______________ ;  horizontal audits are based on _______________ .

NATA assessment is an example of an ________________ audit.

The presence of the audit team may _________________ the risk of adversely affecting the auditee's work environment and ability to work.

A risk-based approach to audit planning should consider:

The audit plan is:

According to ISO 19011, audit preparation refers to the:

In ISO 9001 terminology, documents are _________________ and records are _________________.

Auditee documentation is usually reviewed prior to the audit date to:

Why is evidence sampled during audits?

For statistical sampling:

Virtual audits may require additional / different planning considerations.

5% sampling risk corresponds to a __________ acceptable confidence level.

Audit meetings must be formal.

The _______________ meeting is when you confirm and gain agreement on the audit plan, introduce audit team members and their roles, and ensure that planned audit activities can be completed.

The _______________ meeting is when you present the audit findings to the auditee.

According to the 4 rules of evidence, evidence needs to be:

Interviewing personnel during audit requires:

If you are observing a long and complex activity during audit you can:

Examining a facility should include:

Examining equipment should include:

Examining test or examination methods should include:

Internal auditors _______________ have a duty of care when conducting audits.

Nonconformance is:

The Problem > _____________ > Evidence model can assist in expressing nonconformance.

Grading audit findings according to the severity of the risk or consequence, facilitates effective and timely corrective action.

If you cannot express the nonconformity in the words of the documented audit criteria, then you ________________ have a nonconformity.

The audit report should provide a record of the audit that is:

The audit report should:

Closing out the audit involves:

____________ analysis enables effective corrective actions to be developed.

It is the responsibility of the ____________ to complete corrections/corrective actions identified by the internal audit.

______________ fixes the problem; ______________ fixes the system that caused the problem.

The ____________ typically assigns work for an individual audit, to audit team members.

The lead auditor provides audit team members with _____________ to help them prepare for the upcoming audit.

A newly formed audit team may need time to move through the 5 stages of team development in Bruce Tuckman's model. Which stage typically follows 'Storming'?

The lead auditor does not need to consult with the audit team while planning an individual audit as long as they provide the team with the relevant details prior to the audit.

Which of the 4 Ds of time management is missing from the diagram above? 

The 4 Ds of time management can assist with __________________ audit tasks.

Which conflict style in the Thomas-Kilmann model is missing from the diagram above?

Which of the following are possible stress management strategies?