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ISO 9001:2015 - Lead Auditor > QUIZ > Flashcards

QUIZ Flashcards

1
Q

Which three statements describe the purpose of conducting an ISO 9001:2015 Stage 1 Audit?

a. Determine if the key documentation requirement of ISO 9001:2015 have been met

b. Determine if the organization’s Quality Manual contains the required content.

c. Assist with developing an audit plan with a logical sequence of processes to verify during the Stage 2 audit

d. Evaluate the organization’s readiness for the Stage 2 audit.

e. Determine if the organization fully conforms to ISO 19011:2018

A

a. Determine if the key documentation requirement of ISO 9001:2015 have been met

c. Assist with developing an audit plan with a logical sequence of processes to verify during the Stage 2 audit

d. Evaluate the organization’s readiness for the Stage 2 audit.

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2
Q

Which activities are NOT part of the Stage 2 audit execution?

a. Opening Meeting
b. Preparing Audit Plan
c. Verifying objective evidence
d. Preparing Audit Conclusion
e. Interviewing the customer

A

b. Preparing Audit Plan
e. Interviewing the customer

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3
Q

All of the following are key reasons to perform Stage 1 Audit EXCEPT:

a. To review thedocumented informationof the management system

b.To identify the competency required to perform the audit

c.To evaluate the conditions at the audit site

d. To compare the auditee organization with the industry leaders

A

d. To compare the auditee organization with the industry leaders

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4
Q

Who has the responsibility for assigning work to the audit team?

a.the audit team leader

b.the auditee organization

c.the audit team member

d.the certification body

A

a.the audit team leader

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5
Q

Which two of the following roles do not contribute to the audit outcomes?

a.Technical expert

b.Customer

c.Auditee

d.Observer

e.Guide

A

d.Observer

e.Guide

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6
Q

Which of the following is the responsibility of the auditee organization?

a.Conduct documentation Review.

b.Select the Audit Team Leader.

c.Conduct audits according to the audit plan.

d.Provide resources, facilities, and guides.

A

d.Provide resources, facilities, and guides.

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7
Q

Identify the two activities which pertain to First-Party Audit (FPA))

A.

An auditing firm is hired to audit an organization’s different sites.

B.

ABC organization outsourced their internal audits and sent their QMS Manager to evaluate the auditing firm to verify if it will meet their requirements.

C.

Certification body auditing an organization for its conformance to ISO 9001.

D.

An organization was audited by its local authority for its ability to comply with statutory requirements for its office extension.

E. An auditing firm was hired by ABC organization to audit a warehouse facility that will supply storage services to ABC.

F. An organization was implementing a quality management system and decided to qualify their external providers, so they audited them.

G. An organization audited its management system’s

A

A. An auditing firm is hired to audit an organization’s different sites.
G. An organization audited its management system’s

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8
Q

Which of the following determines the extent and boundaries of the audit?

A.

Audit Objectives

B.

Audit Criteria

C.

Audit Scope

D.

Audit Evidence

A

C. Audit Scope

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9
Q

Which of the following two principles are critical while gathering audit evidence?

A.

Objective and Verifiable

B.

Hardcopy and Legible

C.

Softcopy and Accessible

D.

Video and Audio Recordings

A

A. Objective and Verifiable

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10
Q

Which of the following are classified as Maintained documented information? Choose two

A. Scope of the QMS

B. Competency Record

C. Communication Matrix

D. Quality Policy

E. Quality Records

F. Key Performance Results

A

A. Scope of the QMS
B. Quality Policy

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11
Q

Read the below scenario to identify the type of audit.

ABC corporation has hired Quality Metrics Auditing firm to audit their suppliers to verify if they can supply products and services per their Quality requirements.

A.

First Party Audit

B.

Second Party Audit

C.

Third-Party Audit

D.

Compliance Audit

A

B. Second Party Audit

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12
Q

All of the following are benefits of third-party certification, EXCEPT:

A.

Increased Sales and Profitability

B.

Fulfilling standard requirements of ISO 9001:2015

C.

Fulfilling statutory and regulatory requirements

D.

An unbiased review of the organizational Quality Management System

A

A. Increased Sales and Profitability

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13
Q

In which of the following stage an Audit Plan is prepared?

A.

Conducting Stage 1 Audit

B.

Preparing for Stage 2 Audit

C.

Conducting Stage 2 Audit

D.

Reporting after Stage 2 Audit

A

B. Preparing for Stage 2 Audit

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14
Q

Quality Metrics Auditing Firm is in preparation to conduct a third-party audit. However, none of the team members has the required technical expertise in the specific industry. Which of the following is a recommended action?

A.

Cancel the audit

B.

Hire an independent technical expert as part of the audit team

C.

Request client to provide technical expert

D.

Train the team members on the client’s technical domain

A

B. Hire an independent technical expert as part of the audit team

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15
Q

Who is responsible for preparing the audit plan?

A. Lead Auditor

B. Auditee

C. Observer

D. Guide

A

A. Lead Audito

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16
Q

In the context of a third-party certification audit, it is very important to have effective communication. Which is not the responsibility of the audit team leader?

A. Planning formal communication arrangements, so an auditee can communicate with the auditor any time during the audit.

B. Confirming formal communication channels between the audit team and the auditee during the opening meeting.

C. If audit objectives are unattainable, reporting the reasons to the accreditation body.

D. Communicating the progress, any significant findings and any concerns to the auditee and audit client, as appropriate.

A

C. If audit objectives are unattainable, reporting the reasons to the accreditation body.

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17
Q

The adoption of a quality management system is a _________________ decision for an organization that can help to improve its overall performance and provide a sound basis for __________________ development initiatives.

A. management and quality

B. one-time and continuous

C. specific and definable

D. strategic and sustainable

A

D. strategic and sustainable

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18
Q

Risk‐based thinking enables an organization to ________________the factors that could cause its processes and its quality management system to deviate from the planned results, to put in place __________________ controls to minimize negative effects and to make maximum use of opportunities as they arise.

A. enable and corrective

B. identify and accurate

C. determine and preventive

D. specify and proper

A

C.determine and preventive

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19
Q

Which of the following are quality management principles:

A.

Material Focus, Management Approach, and Investment

B.

Customer Focus, Process Approach, and Improvement

C.

Friendship, Connection of People, and Relative Management

D.

Fraternity, Continuance of People, and Professional management

A

B. Customer Focus, Process Approach, and Improvement

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20
Q

An audit is a:

A.

systematic, independent, and documented process for obtaining objective evidence

B.

strict, keen, and neutral process for deciding management outcome

C.

honest, friendly, and thorough process for getting conformities

D.

applied, helpful and usual process for helping organisations

A

A. systematic, independent, and documented process for obtaining objective evidence

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21
Q

Audit evidence should be ____________

A.

versatile

B.

venerable

C.

verifiable

D.

visible

A

C. verifiable

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22
Q

Choose four auditing principles listed below:

A.

Incidence

B.

Independence

C.

Fair Presentation

D.

Fraternity

E.

Integrity

F.

Applicability

G.

Accessibility

H.

Confidentiality

A

B. Independence
C. Fair Presentation
E. Integrity
H. Confidentiality

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23
Q

Only a risk-based approach in planning, conducting and reporting of the audit can help achieve the _________________________

A.

Auditing Standard

B.

Audit Plan

C.

Audit Findings

D.

Auditor Timelines

E.

Audit Objectives

A

E. Audit Objectives

24
Q

Evidence-based auditing is a:

A.

Optional means of performing an acceptable audit

B.

Optimal method of asking questions and taking audit notes

C.

Rational method to reach a reliable audit conclusion

D.

Nominal means of meeting the auditee and handing over the audit report

A

c. Rational method to reach a reliable audit conclusion

25
Q

Impartiality helps in conducting an ___________________ auditing and an _________________ reporting

A.

impartial, objective

B.

lateral, nominal

C.

rational, acceptable

D.

jovial, subjective

A

a. impartial, objective

26
Q

Which of the following role should contact the auditee to make arrangements for the audit including the schedule?

Question 1Answer

a.

Auditor

b.

Client Manager

c.

Accreditation Body

d.

Audit Team Leader

A

d. Audit Team Leader

27
Q

Which of the following is the key reason to determine the feasibility of an audit?

Question 2Answer

a.

To ensure the return on investment for the Client is positive

b.

To provide reasonable confidence that the auditobjectives can be achieved.

c.

To ensure the auditing firm is reasonably paid

d.

To gain management approval to conduct the audit

A

b. To provide reasonable confidence that the auditobjectives can be achieved.

28
Q

Audit planning address or reference all of the following EXCEPT?

Question 3Answer

a.

the locations

b.

the audit objectives

c.

the audit criteria

d.

Content of audit conclusions

A

d. Content of audit conclusions

29
Q

Which of the following role is responsible for conducting the audit until it is completed?

Question 4Answer

a.

Audit Manager

b.

Auditor

c.

Audit Team Leader

d.

Management Representative

A

c. Audit Team Leader

30
Q

Audit planning should take into account: (Choose 3 answers)

Question 5Answer

a.

discuss audit follow-up, as applicable.

b.

the audit report topics;

c.

matters related to confidentiality and information security;

d.

identification of the auditee’s representative(s) for the audit;

A

b. the audit report topics;
c. matters related to confidentiality and information security;
d. identification of the auditee’s representative(s) for the audit;

31
Q

All of the following is the reason for the audit team leader to contact the auditee, EXCEPT:

Question 6Answer

a.

negotiate to change the onsite to an online audit

b.

make arrangements for the audit including the schedule;

c.

agree on the attendance of observers and the need for guides or interpreters for the audit team;

d.

confirm the authority to conduct the audit;

A

a. negotiate to change the onsite to an online audit

32
Q

The audit team leader should adopt a __________ approach to planning the audit.

Question 7Answer

a.

PDCA

b.

integrated

c.

risk-based approach

d.

holistic

A

c. risk-based approach

33
Q

The audit team members should collect and review the information relevant to their audit assignmentsand prepare documented information which could include: (Choose three)

Question 8Answer

a.

audit sampling details;

b.

audio visual information;

c.

physical or digital checklists;

d.

Client records

A

a. audit sampling details;

b. audio visual information;

c. physical or digital checklists;

34
Q

All of the following factors should be considered by the audit team leader while assigning work to the audit team, EXCEPT:

Question 9Answer

a.

different roles and responsibilities of auditors

b.

Auditor should have experience in the same company

c.

Objectivity and Competency

d.

Effective use of resources

A

b. Auditor should have experience in the same company

35
Q

Which of the following is one of the key stages in preparing audit activities?

Question 10Answer

a.

Establishing contact with auditee

b.

Reviewing and improving audit programme

c.

Determining feasibility of audit

d.

Performing review of documented information

A

d. Performing review of documented information

36
Q

Which of the following is the primary reason to conduct closing
meeting?

a. To present audit findings and conclusions
b. To conduct audit follow-up
c. To generate audit findings
d. To prepare audit report

A

a. To present audit findings and conclusions

37
Q

All of the following are the typical roles of a guide, EXCEPT:

a.

witnessing the audit on behalf of the auditee, when appropriate;

b.

assisting the auditors in identifying individuals to participate in interviews and confirming timingsand locations;

c.

arranging access to specific locations of the auditee;

d.

Provide justification for a potential non-conformance

A

d. Provide justification for a potential non-conformance

38
Q

Which of the following is the purpose of the opening meeting? (Choose three)

a.

introduce the audit team and their roles;

b.

confirm the agreement of all participants (e.g. auditee, audit team) to the audit plan;

c.

ensure that all planned audit activities can be performed.

d.

Confirm the purchase order and obtain invoice signature

A

a. introduce the audit team and their roles;
b. confirm the agreement of all participants (e.g. auditee, audit team) to the audit plan;
C. ensure that all planned audit activities can be performed.

39
Q

During the audit, the audit team leader should periodically communicate the progress, any significant__________, and any __________ to the auditee and audit client, as appropriate.

Question 4Answer

a.

risks, opportunities

b.

scope, opportunities

c.

findings, concerns

d.

useful and issues

A

C. findings, concerns

40
Q

The auditor finds a compelling reason to change the audit plan and make necessary changes. The revised plan is reviewed and accepted by the auditing firm and client.

What is the next step?

Question 5Answer

a.

Present the revised plan to the auditee.

b.

Once the audit starts, the audit plan can’t be changed

c.

Reschedule the audit

d.

Conduct the audit as per the revised plan

A

a. Present the revised plan to the auditee.

41
Q

__________activities are performed at any placeother than the location of the auditee, regardless of the distance.

Question 6Answer

a.

Offline

b.

Remote

c.

Face to Face

d.

On Site

A

b. Remote

42
Q

The Auditor should consider whether the information being verified provides sufficient __________evidence to demonstrate that requirements are being met.

Question 7Answer

a.

quality

b.

objective

c.

subjective

d.

real

A

b. objective

43
Q

In a typical process of collecting and verifying information to reach an audit conclusion, what is the next step after evaluating against audit criteria?

a.

Prepare audit findings

b.

Write Audit Conclusion

c.

Review Audit Findings

d.

Gather Audit Evidence

A

a. Prepare audit findings

44
Q

What is the two qualitative non-conformity grade?

Question 9Answer

a.

Minor, Severe

b.

Minor, Major

c.

Good, Bad

d.

1, 5

A

b. Minor, Major

45
Q

The audit team should confer prior to the closing meeting in order to: (Choose three)

Question 10Answer

a.

prepare recommendations, if specified by the audit plan;

b.

Discuss a mandatory audit follow-ups

c.

review the audit findings and any other appropriate information collected during the audit, againstthe audit objectives;

d.

agree on the audit conclusions, taking into account the uncertainty inherent in the audit process;

A

a. prepare recommendations, if specified by the audit plan;
c. review the audit findings and any other appropriate information collected during the audit, againstthe audit objectives;
d. agree on the audit conclusions, taking into account the uncertainty inherent in the audit process;

46
Q

When distributing the audit report, appropriate measures to ensure __________ should beconsidered.

a.

ethics

b.

collegiality

c.

fairness

d.

confidentiality

A

d. confidentiality

47
Q

Which of the following three items can be part of the audit report?

a.

audit findings and related evidence;

b.

Certification Confirmation Letter

c.

audit conclusions;

d.

a statement on the degree to which the audit criteria have been fulfilled;

A

a. audit findings and related evidence;
b. audit conclusions;
c. a statement on the degree to which the audit criteria have been fulfilled;

48
Q

An audit report can include all of the following EXCEPT:

a.

a statement of the confidential nature of the contents;

b.

Opening Meeting Agenda

c.

good practices identified;

d.

agreed action plan follow-up, if any;

A

b. Opening Meeting Agenda

49
Q

The auditor has completed the audit report. What is the next step?

a.

Make sure the report is dated, reviewed and accepted.

b.

The audit report is not required for organizations that have successfully met all the requirements.

c.

Issue the report with an agreed period of time to the interested parties

d.

Request client to not share the report with any other parties.

A

a. Make sure the report is dated, reviewed and accepted.

50
Q

Which of the following condition has to be met to complete the audit?

a.

When the service delivery note is signed by the client.

b.

When the payment is made by the client.

c.

When the auditee completes the satisfaction survey.

d.

The audit is completed when all planned audit activities have been carried out, or as otherwiseagreed with the audit client.

A

d. The audit is completed when all planned audit activities have been carried out, or as otherwiseagreed with the audit client.

51
Q

__________ from the audit can identify risks and opportunities for the audit programme and theauditee.

a.

Risk Register

b.

Issue log

c.

Stakeholder register

d.

Lessons learned

A

d. Lessons learned

52
Q

A recently completed audit has two major non-conformances. The auditee has agreed to rectify the NC in 15 days.

What is the next step of action for the auditor?

a.

Review the corrective action items in the next annual surveillance audit.

b.

Make a phone call to the auditee organization for clarification and close the NCs.

c.

The completion and effectiveness of these actions should be verified.

d.

Request auditee to submit the corrective action plan and close the NCs.

A

c. The completion and effectiveness of these actions should be verified.

53
Q

After completing the audit follow-up:

a.

Outcomes should be reported only if the auditee successfully meet the requirements to the individual managing the audit programme andreported to the audit client for management review.

b.

Outcomes should be reported to the individual managing the audit programme andreported to the audit client for management review.

c.

Follow-up audit outcomes doesn’t need to be reported.

d.

Outcomes should be reported only if the auditee did not successfully meet the requirements to the individual managing the audit program andreported to the audit client for management review.

A

b. Outcomes should be reported to the individual managing the audit programme andreported to the audit client for management review.

54
Q

Which of the following should be considered for determining audit findings? (Choose two)

a.

risks associated with virtual or remote audits;

b.

requirements of the audit client;

c.

conducting technical checks ahead of the audit to resolve technical issues;

d.

findings exceeding normal practice, or opportunities for improvement;

A

b. requirements of the audit client;
d. findings exceeding normal practice, or opportunities for improvement;

55
Q

Which of the following should be considered while recording conformities (Choose two)?

a.

description of or reference to audit criteria against which conformity is shown;

b.

requirements of the audit client;

c.

declaration of conformity, if applicable.

d.

sample size;

A

a. description of or reference to audit criteria against which conformity is shown;
c. declaration of conformity, if applicable.

56
Q

Audit concepts and auditor responsibilities

Considering the audit process for first-party, second-party, and third-party certification audits, selectTHREEof the following statements that correctly describe the audit objectives: (2 Marks).

A.

First-party audits primarily focus on external supplier evaluations.

B.

Third-party audits aim to provide an independent assessment for external stakeholders.

C.

Second-party audits are conducted by external organizations to assess conformity.

D.

First-party audits are internal audits conducted by the organization for self-assessment.

E.

Third-party audits are internal audits conducted by the organization for self-assessment.

F.

Second-party audits focus on evaluating a supplier’s performance against contractual obligations.

A

B.

Third-party audits aim to provide an independent assessment for external stakeholders.

C.

Second-party audits are conducted by external organizations to assess conformity.

D.

First-party audits are internal audits conducted by the organization for self-assessment.

ISO 9001:2015 - Lead Auditor (6 decks)

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