ISO 9001 - Exam
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- 1.
Which of the following indicates that a quality system is effective?
- A.
The required system is in place and continuous improvement is evident
- B.
An audit was conducted and no nonconformances were found
- C.
An audit report states that the intent of the standard is being met
- D.
No corrective action requests have been issued for a specified period of time
Correct Answer
A. The required system is in place and continuous improvement is evidentExplanation
This answer suggests that a quality system is effective when the required system is in place and there is evidence of continuous improvement. This means that the system is functioning as intended and is being actively improved upon over time. It indicates that the organization is committed to maintaining and enhancing the quality of its processes and products.Rate this question:
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- 2.
In quality auditing, a finding is defined as
- A.
An observation of common behaviors
- B.
An item of objective evidence found during an audit
- C.
A fundamental deficiency that can lead to nonconformance
- D.
A conclusion of importance based on evidence
Correct Answer
D. A conclusion of importance based on evidenceExplanation
A finding in quality auditing refers to a conclusion of importance based on evidence. This means that during the audit process, the auditor gathers evidence and analyzes it to reach a significant conclusion. This conclusion is considered important as it can identify deficiencies or areas of improvement that may lead to nonconformance or impact the overall quality of a product or process. Therefore, a finding is not just an observation of common behaviors or an item of objective evidence found during an audit, but rather a critical conclusion based on evidence.Rate this question:
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- 3.
To determine whether a finding is a minor, isolated incident or a serious, chronic problem, an auditor should consult with the
- A.
Auditee’s quality assurance inspector
- B.
Auditee’s department manager
- C.
Audit team
- D.
Client
Correct Answer
C. Audit teamExplanation
To determine whether a finding is a minor, isolated incident or a serious, chronic problem, an auditor should consult with the audit team. The audit team consists of individuals who have expertise in conducting audits and are responsible for reviewing and analyzing the findings. They have the necessary knowledge and experience to assess the severity and significance of the finding in the context of the overall audit. Consulting with the audit team ensures a comprehensive and accurate evaluation of the finding, helping the auditor make an informed decision on its classification.Rate this question:
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- 4.
A root cause of a nonconformance is defined as a problem that
- A.
Is discovered by conducting designed experiments
- B.
Is established through the use of fishbone diagrams
- C.
Must be reviewed by the material review board
- D.
Must be corrected in order to prevent a recurrence
Correct Answer
D. Must be corrected in order to prevent a recurrenceExplanation
The correct answer is "must be corrected in order to prevent a recurrence." This means that a root cause of a nonconformance is a problem that needs to be fixed or addressed in order to prevent it from happening again in the future. By identifying and correcting the root cause, organizations can prevent similar issues from occurring and improve their overall quality and performance.Rate this question:
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- 5.
Which of the following is not true about Risk-based thinking?
- A.
Carrying out preventive actions to eliminate potential nonconformities
- B.
Addressing risk and opportunities
- C.
A risk register or other form of document for the same purpose validates an organization’s effort on Risk Based Thinking
- D.
Risk-based thinking is not an element for the planning process along the Plan-Do-Check-Act (P-D-C-A) cycle
Correct Answer
D. Risk-based thinking is not an element for the planning process along the Plan-Do-Check-Act (P-D-C-A) cycleExplanation
The given answer states that "Risk-based thinking is not an element for the planning process along the Plan-Do-Check-Act (P-D-C-A) cycle." This means that risk-based thinking is not a part of the planning phase in the P-D-C-A cycle. The P-D-C-A cycle is a continuous improvement model that includes planning, implementing, checking, and acting on improvements. Risk-based thinking, on the other hand, is an approach that involves identifying and addressing potential risks and opportunities throughout the entire process. Therefore, the statement contradicts the concept of risk-based thinking and is not true.Rate this question:
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- 6.
An audit trail form cross-referenced by an auditor during an audit is necessary in order to
- A.
Schedule and budget for audit assignments
- B.
Show how and when items were reviewed
- C.
Provide management with justification for an audit
- D.
Provide the audit manager with audit results
Correct Answer
B. Show how and when items were reviewedExplanation
An audit trail form cross-referenced by an auditor during an audit is necessary to show how and when items were reviewed. This is important because it provides a clear record of the auditor's actions and helps ensure that all relevant items have been thoroughly examined. It also allows for transparency and accountability in the auditing process, as it provides evidence of the steps taken and the timeline followed. Additionally, the audit trail form helps in maintaining the integrity and accuracy of the audit, as it serves as a reference for future reviews or investigations.Rate this question:
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- 7.
Which of the following is most important for an auditor to convey at an initial audit interview?
- A.
A give-and-take atmosphere that focuses on compromise
- B.
A formal approach that is guided by specific roles for each participant
- C.
An interest in cooperation and open dialogue
- D.
A personal approach to information gathering
Correct Answer
C. An interest in cooperation and open dialogueExplanation
An interest in cooperation and open dialogue is the most important for an auditor to convey at an initial audit interview because it fosters a positive and collaborative environment. This approach encourages the auditee to share information openly and honestly, which is crucial for the auditor to gather accurate and relevant data. It also promotes effective communication and understanding between both parties, leading to a more productive and successful audit process.Rate this question:
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- 8.
While performing an internal audit, an auditor notices that an operator on one shift skips the effort in maintaining the documented information for a procedure as required in the Company’s procedure manual. In this situation, which of the following actions should the auditor perform?
- A.
Make a note on the checklist and initial it
- B.
Report it to the operator’s supervisor or manager
- C.
Question the operator about the observation prior to making a judgment
- D.
Ask another operator to evaluate the situation
Correct Answer
C. Question the operator about the observation prior to making a judgmentExplanation
The auditor should question the operator about the observation prior to making a judgment. This is the appropriate action because it allows the auditor to gather more information and understand the reasons behind the operator's behavior. By questioning the operator, the auditor can determine if there are any valid reasons for not maintaining the documented information and if there are any underlying issues that need to be addressed. This approach ensures fairness and gives the operator an opportunity to explain their actions before any further action is taken.Rate this question:
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- 9.
During an audit interview, the auditee is not providing needed information about the process for which the auditee has sole responsibility. In an effort to control the audit time within schedule, the auditor should
- A.
Complain to their immediate supervisor
- B.
Explain to the interviewee the consequences of being uncooperative
- C.
Terminate the interview and skip that section of the plan
- D.
Seek for top management’s assistance
Correct Answer
B. Explain to the interviewee the consequences of being uncooperativeExplanation
In this situation, the auditor should explain to the interviewee the consequences of being uncooperative. By doing so, the auditor can communicate the importance of obtaining the needed information and the potential negative impact of not cooperating. This approach may encourage the auditee to provide the necessary information and help ensure the audit can proceed effectively and efficiently. Complaining to their immediate supervisor or seeking top management's assistance should be considered if the issue persists or escalates, but initially addressing the issue directly with the interviewee is the appropriate first step. Terminating the interview and skipping that section of the plan would not address the problem and may compromise the audit's effectiveness.Rate this question:
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- 10.
When a proposed corrective action plan is judged unacceptable, an auditor should do which of the following?
- A.
Revise the submitted plan on the basis of the auditor’s knowledge and technical expertise
- B.
Notify the auditee and request that a new plan be submitted by the next level of management
- C.
Discuss the plan’s deficiencies with the auditee and request a revised plan
- D.
Suggest that the auditee benchmark the deficient area and then rewrite the plan
Correct Answer
C. Discuss the plan’s deficiencies with the auditee and request a revised planExplanation
When a proposed corrective action plan is judged unacceptable, the auditor should discuss the plan's deficiencies with the auditee and request a revised plan. This allows the auditor to communicate their concerns and provide feedback on why the plan is deemed unacceptable. By engaging in a discussion with the auditee, the auditor can gain a better understanding of their perspective and work collaboratively towards developing a revised plan that addresses the identified deficiencies. This approach promotes effective communication and problem-solving between the auditor and auditee to ensure that an acceptable corrective action plan is developed.Rate this question:
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- 11.
Auditor independence includes freedom from which of the following? I. Bias II. Conflict of interestIII. External influencesIV. Previous exposure to the area
- A.
I and II only
- B.
II and IV only
- C.
I, II, and III only
- D.
II, III and IV only
Correct Answer
C. I, II, and III onlyExplanation
Auditor independence includes freedom from bias, conflict of interest, and external influences. Bias refers to any preconceived notions or prejudices that may influence the auditor's judgment. Conflict of interest occurs when the auditor has a personal or financial interest that could compromise their objectivity. External influences refer to pressures or interference from external parties that may affect the auditor's independence. Previous exposure to the area is not mentioned as a factor that affects auditor independence. Therefore, the correct answer is I, II, and III only.Rate this question:
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- 12.
Audits are conducted against a performance standard to ensure which of the following? I. Meaningful measurements II. Objectively evaluated performanceIII. Perceptive observations
- A.
I only
- B.
I and II only
- C.
II and III only
- D.
I, II, and III
Correct Answer
B. I and II onlyExplanation
Audits are conducted against a performance standard to ensure meaningful measurements and objectively evaluated performance. This means that audits are used to assess whether the measurements being taken are meaningful and accurate, and whether the performance being evaluated is done so in an objective and unbiased manner. Audits help to ensure that the standards set for performance are being met and that the evaluation process is fair and reliable.Rate this question:
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- 13.
Audit team members are responsible for which two of the following? I. Initiating the audit II. Remaining within the scope of the auditIII. Compiling and analyzing evidenceIV. Recommending specific corrective actions
- A.
I and III
- B.
I and IV
- C.
II and III
- D.
II and IV
Correct Answer
C. II and IIIExplanation
Audit team members are responsible for remaining within the scope of the audit (II) and compiling and analyzing evidence (III). Remaining within the scope of the audit ensures that the team focuses on the agreed-upon objectives and does not deviate from them. Compiling and analyzing evidence involves gathering relevant information, examining it, and drawing conclusions based on the findings. These responsibilities are crucial for conducting a thorough and effective audit.Rate this question:
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- 14.
Quality management system documents include:I. Work InstructionsII. Documented ProceduresIII. Internal audit programIV. Project master program
- A.
II and III only
- B.
I, III and IV only
- C.
II, III and IV only
- D.
All of the above
Correct Answer
D. All of the aboveExplanation
The correct answer is "All of the above". This means that quality management system documents include all of the following: work instructions, documented procedures, internal audit program, and project master program. These documents are essential for ensuring that processes are followed correctly, audits are conducted, and projects are managed effectively within the quality management system.Rate this question:
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- 15.
Sources of evidence during an audit include:I. Accounting recordsII. Documented InformationIII. Quality Policy on the wallIV. Observation of unfavorable working condition, e.g poor lighting, blockage on fire exit
- A.
I and II only
- B.
III and IV only
- C.
II, III and IV
- D.
All of the above
Correct Answer
C. II, III and IVExplanation
During an audit, sources of evidence are used to support the auditor's findings and conclusions. Accounting records (I) provide detailed financial information and transactions, while Documented Information (II) includes policies, procedures, and records that support the organization's operations. The Quality Policy on the wall (III) is a documented statement of the organization's commitment to quality. Observation of unfavorable working conditions (IV), such as poor lighting or blockage on fire exits, provides direct evidence of non-compliance with safety regulations. Therefore, the correct answer is II, III and IV, as these sources of evidence are all relevant and useful during an audit.Rate this question:
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Current Version
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Jun 14, 2023Quiz Edited by
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Jun 05, 2016Quiz Created by
ISO9001
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