Quality Auditor Certification Quality Auditor Certification Audit Evidence and Verification 1 — Questions and Answers
Question 1: According to ISO 19011, which of the following is a primary category of audit evidence?
- Auditor opinion
- Records, statements of fact, and other verifiable information (Correct answer)
- Unverified verbal claims from employees
- Preliminary audit findings only
Correct answer: Records, statements of fact, and other verifiable information
ISO 19011 defines audit evidence as records, statements of fact, or other verifiable information relevant to the audit criteria.
Question 2: Which evidence collection technique involves physically watching a process being performed?
- Interview
- Document review
- Observation (Correct answer)
- Survey
Correct answer: Observation
Observation involves directly watching a process or activity to verify that it is being performed as documented.
Question 3: What makes audit evidence 'sufficient' under auditing standards?
- It comes from a single authoritative source
- It is adequate in quantity to support the audit conclusion (Correct answer)
- It was collected more than six months ago
- It is provided by top management only
Correct answer: It is adequate in quantity to support the audit conclusion
Sufficiency refers to the quantity of evidence needed to reasonably support an audit finding or conclusion.
Question 4: An auditor finds conflicting evidence from two sources. What is the correct response?
- Rely on the more favorable evidence
- Seek additional evidence to resolve the conflict before drawing conclusions (Correct answer)
- Discard both pieces of evidence
- Report the conflict as a major nonconformance immediately
Correct answer: Seek additional evidence to resolve the conflict before drawing conclusions
Conflicting evidence requires further investigation to determine which source is reliable before the auditor can reach a valid conclusion.
Question 5: Which of the following is an example of objective evidence in a quality audit?
- An employee's opinion that the process usually works correctly
- A signed calibration record showing instrument was calibrated on schedule (Correct answer)
- The auditor's impression that the area appears well-organized
- Management's verbal commitment to improve
Correct answer: A signed calibration record showing instrument was calibrated on schedule
Objective evidence is factual, verifiable data such as a dated, signed calibration record that can be independently confirmed.
Question 6: During an audit, an employee provides verbal information that contradicts a written procedure. The auditor should:
- Accept the verbal statement as more current than the written procedure
- Document both and seek corroborating physical evidence to determine the actual practice (Correct answer)
- Immediately issue a major nonconformance
- Ignore the discrepancy and move on
Correct answer: Document both and seek corroborating physical evidence to determine the actual practice
Discrepancies between verbal information and written procedures require corroborating evidence to determine which reflects actual practice.
Quality Auditor Certification Quality Auditor Certification Audit Evidence and Verification 1
According to ISO 19011, which of the following is a primary category of audit evidence?