ISO AUDITOR ISO Audit Execution & Evidence Gathering 2 — Questions and Answers
Question 1: During an audit, an auditee refuses to provide a requested document, claiming it is confidential. What is the auditor's best course of action?
- Immediately raise a nonconformity for obstruction
- Record the refusal, note it in the audit findings, and inform the audit team leader (Correct answer)
- Skip that area of the audit entirely
- Demand the document be produced within 24 hours
Correct answer: Record the refusal, note it in the audit findings, and inform the audit team leader
Auditors should document refusals and report them to the audit team leader, who decides how to proceed without forcing access.
Question 2: Which technique is MOST effective for verifying that a corrective action from a previous audit has been fully implemented?
- Reviewing the corrective action request form only
- Interviewing top management about the action
- Sampling records, observing processes, and interviewing personnel involved (Correct answer)
- Accepting a written statement from the auditee
Correct answer: Sampling records, observing processes, and interviewing personnel involved
Triangulating evidence through records, observation, and interviews provides the strongest verification of corrective action effectiveness.
Question 3: An auditor notices a discrepancy between a procedure and how the process is actually performed. Which type of audit finding does this represent?
- An observation requiring no follow-up
- A nonconformity, because practice does not conform to the documented requirement (Correct answer)
- A major nonconformity automatically
- An opportunity for improvement only
Correct answer: A nonconformity, because practice does not conform to the documented requirement
When actual practice deviates from a documented requirement, it constitutes a nonconformity under ISO 9001.
Question 4: What does 'audit trail' mean in the context of ISO 9001 auditing?
- The physical path an auditor walks through a facility
- A chronological record linking audit evidence back to its source (Correct answer)
- The schedule of audits conducted over a calendar year
- A list of auditees interviewed during the audit
Correct answer: A chronological record linking audit evidence back to its source
An audit trail is a traceable, chronological chain of evidence that supports audit conclusions.
Question 5: During a process audit at a manufacturing site, which sequence best represents the flow of an audit interview?
- Confront with findings first, then ask open questions
- Open with broad questions, probe with follow-up questions, then close with summary confirmation (Correct answer)
- Ask only yes/no questions to save time
- Read the procedure aloud, then ask if the person follows it
Correct answer: Open with broad questions, probe with follow-up questions, then close with summary confirmation
Effective audit interviews move from open exploration to focused probing and then confirm understanding before closing.
Question 6: An ISO 9001 auditor samples 5 out of 200 customer complaint records and finds 2 with missing root cause analysis. How should this be classified?
- Insufficient sample to draw a conclusion — no finding issued
- A major nonconformity because root cause analysis is always mandatory
- A nonconformity supported by objective evidence from the sample (Correct answer)
- An observation, because only 1% of records were reviewed
Correct answer: A nonconformity supported by objective evidence from the sample
Even a small sample can provide sufficient objective evidence to support a nonconformity when the requirement is clear.
Question 7: Which ISO 19011 principle requires an auditor to report truthfully even when findings are unwelcome to the auditee?
- Confidentiality
- Fair presentation (Correct answer)
- Due professional care
- Independence
Correct answer: Fair presentation
The 'fair presentation' principle obligates auditors to report findings accurately and completely, regardless of auditee preference.
ISO AUDITOR ISO Audit Execution & Evidence Gathering 2
During an audit, an auditee refuses to provide a requested document, claiming it is confidential.
What is the auditor's best course of action?