ISO AUDITOR ISO Audit Execution & Evidence Gathering 2

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?

Accepted Answer

Record the refusal, note it in the audit findings, and inform the audit team leader

Answer

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?

Accepted Answer

Sampling records, observing processes, and interviewing personnel involved

Answer

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?

Accepted Answer

A nonconformity, because practice does not conform to the documented requirement

Answer

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?

Accepted Answer

A chronological record linking audit evidence back to its source

Answer

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?

Accepted Answer

Open with broad questions, probe with follow-up questions, then close with summary confirmation

Answer

Effective audit interviews move from open exploration to focused probing and then confirm understanding before closing.

(ISO AUDITOR) ISO 9001 Certified Auditor Practice Test