ISO Audit Execution & Evidence Gathering Flashcards
7 cards from real ISO AUDITOR practice questions. Tap to flip, then mark Knew It or Still Learning — missed cards come back until you master them.
Read the first 7 ISO Audit Execution & Evidence Gathering flashcards as text
During an audit, an auditee refuses to provide a requested document, claiming it is confidential. What is the auditor's best course of action?
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.
Which technique is MOST effective for verifying that a corrective action from a previous audit has been fully implemented?
Answer: Sampling records, observing processes, and interviewing personnel involved
Triangulating evidence through records, observation, and interviews provides the strongest verification of corrective action effectiveness.
An auditor notices a discrepancy between a procedure and how the process is actually performed. Which type of audit finding does this represent?
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.
What does 'audit trail' mean in the context of ISO 9001 auditing?
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.
During a process audit at a manufacturing site, which sequence best represents the flow of an audit interview?
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.
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?
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.
Which ISO 19011 principle requires an auditor to report truthfully even when findings are unwelcome to the auditee?
Answer: Fair presentation
The 'fair presentation' principle obligates auditors to report findings accurately and completely, regardless of auditee preference.