ISO AUDITOR Process Audit Techniques 2 — Questions and Answers
Question 1: When using the turtle diagram technique during a process audit, what does the 'with what' axis represent?
- Human resources and competencies
- Infrastructure, equipment, and tools (Correct answer)
- Process outputs and customer requirements
- Measurement methods and KPIs
Correct answer: Infrastructure, equipment, and tools
The 'with what' axis of a turtle diagram represents the infrastructure, equipment, tools, and physical resources needed to execute the process.
Question 2: An auditor observes that a process owner cannot explain how their process output connects to the next process's input. This best indicates a weakness in:
- Document control
- Process sequence and interaction (Correct answer)
- Management review
- Internal audit scheduling
Correct answer: Process sequence and interaction
ISO 9001 clause 4.4 requires the organization to determine the sequence and interaction of processes; a process owner's inability to explain this reveals a gap there.
Question 3: Which sampling strategy is most appropriate when an auditor suspects a sporadic nonconformity that appears only on night shifts?
- Random sampling across all shifts
- Stratified sampling targeting night-shift output (Correct answer)
- Systematic sampling of every tenth unit
- Convenience sampling from the nearest bin
Correct answer: Stratified sampling targeting night-shift output
Stratified sampling isolates the suspected sub-population (night shift) to maximize the chance of detecting the suspected nonconformity.
Question 4: During a process audit, an auditor asks an operator to demonstrate a task rather than just describe it. This technique is called:
- Document review
- Process simulation
- Observation (Correct answer)
- Benchmarking
Correct answer: Observation
Observation is the audit technique of watching a process or activity being performed to verify actual practice against requirements.
Question 5: A process audit finds that risk-based thinking has not been applied to a critical process. Under ISO 9001:2015, this most directly violates:
- Clause 6.1 — Actions to address risks and opportunities (Correct answer)
- Clause 8.1 — Operational planning and control
- Clause 9.1 — Monitoring, measurement, analysis and evaluation
- Clause 10.2 — Nonconformity and corrective action
Correct answer: Clause 6.1 — Actions to address risks and opportunities
Clause 6.1 explicitly requires the organization to determine risks and opportunities and plan actions to address them.
Question 6: What is the primary purpose of a process audit trail (audit thread)?
- To document every question asked during the audit
- To trace a product or service from input through process steps to output (Correct answer)
- To record the auditor's travel itinerary
- To list all corrective actions from previous audits
Correct answer: To trace a product or service from input through process steps to output
An audit trail follows a product or transaction through the process sequence, linking inputs, activities, controls, and outputs to verify end-to-end conformity.
Question 7: When evaluating process effectiveness during an audit, which evidence is most objective?
- The process owner's verbal assurance that targets are met
- Trend charts of process KPIs compared against defined objectives (Correct answer)
- A policy statement declaring commitment to quality
- Completed training attendance sheets
Correct answer: Trend charts of process KPIs compared against defined objectives
Trend charts of KPIs against defined objectives provide objective, verifiable evidence of whether the process is consistently achieving its intended results.
ISO AUDITOR Process Audit Techniques 2
When using the turtle diagram technique during a process audit, what does the 'with what' axis represent?