Audit Examination Topics
Certification Examination Topics Covered
Click below for lists of examination topics for the certification of interest.
Certified Audit Practitioner (CAP®)
Examinees should ensure they are thoroughly familiar with the following topics:
Process Safety Auditing
- Compliance auditing
- Purpose
- Scope
- Key terms
- Types of audits
- Selecting facilities and processes
- Audit frequency
- Audit criteria
- Audit protocols
- Quality control in auditing
- Competency of auditors
- Selection criteria for auditors
- Audit team competency
- Preparation for an audit
- Steps in audit preparation
- Purpose, scope and objectives
- Audit fact sheet
- Audit staffing
- Team size and composition
- Responsibilities of lead auditor
- Responsibilities of auditors
- Background information needed
- Allocation of resources
- Contents of audit plan
- Conducting an audit
- Opening meeting
- Understanding process safety programs
- Appraisal of process safety programs
- Collecting information
- Sources of information
- Records review
- Interviewing
- Informal meetings
- Observation
- Inspection
- Demonstrations / drills
- Veracity of information
- Sampling information
- Evaluation of audit information
- Developing findings, conclusions and recommendations
- Closing meeting
- Recording audits
- Form of records
- Documenting findings and recommendations
- Reporting on audits
- Need for audit report
- Categorizing findings and recommendations
- Prioritizing findings and recommendations
- Report distribution
- Report retention
Process Safety Elements
- General requirements
- Employee participation
- Process safety information
- Process hazard analysis (PHA)
- Operating procedures
- Training
- Contractors
- Pre-startup safety review
- Mechanical integrity
- Hot work permit
- Management of change (MOC)
- Incident investigation
- Emergency planning and response
- Compliance audits
- Trade secrets
- Management systems
Certified Audit Specialist (CAS®)
Examinees should ensure they possess an in-depth knowledge of the following examination topics:
Process Safety Auditing
- Compliance auditing
- Purpose
- Scope
- Key terms
- Types of audits
- Selecting facilities and processes
- Audit frequency
- Audit criteria
- Audit protocols
- Quality control in auditing
- Competency of auditors
- Selection criteria for auditors
- Audit team competency
- Preparation for an audit
- Steps in audit preparation
- Purpose, scope and objectives
- Audit fact sheet
- Audit staffing
- Team size and composition
- Responsibilities of lead auditor
- Responsibilities of auditors
- Background information needed
- Allocation of resources
- Contents of audit plan
- Conducting an audit
- Opening meeting
- Understanding process safety programs
- Appraisal of process safety programs
- Collecting information
- Sources of information
- Records review
- Interviewing
- Informal meetings
- Observation
- Inspection
- Demonstrations / drills
- Veracity of information
- Sampling information
- Evaluation of audit information
- Developing findings, conclusions and recommendations
- Closing meeting
- Recording audits
- Form of records
- Documenting findings and recommendations
- Reporting on audits
- Need for audit report
- Categorizing findings and recommendations
- Prioritizing findings and recommendations
- Report distribution
- Report retention
Process Safety Elements
- Compliance with standards
- Personnel involvement
- Stakeholder outreach
- Personnel competency
- Process information and knowledge
- Performance indicators
- Process safety culture
- Human factors
- Facility and stationary source siting
- Hazard identification and risk analysis (HIRA)
- Procedures
- Training
- Safe work practices
- Operational readiness
- Operational discipline
- Management of change (MOC)
- Asset integrity
- Contractor management
- Emergency management
- Incident investigation
- Auditing
- Management review
Certified Audit Expert (CAE℠)
Examinees should ensure they possess an advanced knowledge of the following examination topics:
Process Safety Auditing
- Compliance auditing
- Purpose
- Scope
- Key terms
- Types of audits
- Selecting facilities and processes
- Audit frequency
- Audit criteria
- Audit protocols
- Quality control in auditing
- Competency of auditors
- Selection criteria for auditors
- Audit team competency
- Preparation for an audit
- Steps in audit preparation
- Purpose, scope and objectives
- Audit fact sheet
- Audit staffing
- Team size and composition
- Responsibilities of lead auditor
- Responsibilities of auditors
- Background information needed
- Allocation of resources
- Contents of audit plan
- Conducting an audit
- Opening meeting
- Understanding process safety programs
- Appraisal of process safety programs
- Collecting information
- Sources of information
- Records review
- Interviewing
- Informal meetings
- Observation
- Inspection
- Demonstrations / drills
- Veracity of information
- Sampling information
- Evaluation of audit information
- Developing findings, conclusions and recommendations
- Closing meeting
- Recording audits
- Form of records
- Documenting findings and recommendations
- Reporting on audits
- Need for audit report
- Categorizing findings and recommendations
- Prioritizing findings and recommendations
- Report distribution
- Report retention
Process Safety Elements
- Compliance with standards
- Personnel involvement
- Stakeholder outreach
- Personnel competency
- Process information and knowledge
- Performance indicators
- Process safety culture
- Human factors
- Facility and stationary source siting
- Hazard identification and risk analysis (HIRA)
- Procedures
- Training
- Safe work practices
- Operational readiness
- Operational discipline
- Management of change (MOC)
- Asset integrity
- Contractor management
- Emergency management
- Incident investigation
- Auditing
- Management review