ISO 9001 Internal Auditor

What is the purpose of an internal audit in the context of ISO 9001?

• To identify nonconformities in the QMS

• To assess customer satisfaction levels

• To evaluate the organisation's financial performance

• To validate the effectiveness of marketing strategies

Answer explanation

The purpose of an internal audit in ISO 9001 is to systematically examine the organisation's quality management system (QMS) to identify nonconformities and areas for improvement. It helps ensure compliance with ISO 9001 requirements and provides feedback for continual improvement.

What is the main difference between an internal audit and an external audit?

• Internal audits are conducted by external auditors, while external audits are conducted by internal auditors.

• Internal audits focus on QMS conformity, while external audits focus on financial performance.

• Internal audits are performed by organisation employees, while external audits are performed by independent third-party auditor

• Internal audits are less comprehensive than external audits.

Answer explanation

The main difference between an internal audit and an external audit is the entity performing the audit. Internal audits are conducted by employees of the organisation, whereas external audits are conducted by independent auditors who are not part of the organisation. External audits often involve certification bodies or regulatory agencies.

What is the purpose of a certification audit in ISO 9001?

• To identify nonconformities in the QMS

• To evaluate the organisation's financial performance

• To assess customer satisfaction levels

• To determine if the organisation meets the requirements of ISO 9001

Answer explanation

A certification audit in ISO 9001 is conducted to determine if the organisation meets the requirements of the ISO 9001 standard. It is typically performed by an independent certification body to assess the organisation's QMS and determine if it is eligible for ISO 9001 certification.

What is the purpose of a process audit in ISO 9001?

• To assess customer satisfaction levels

• To evaluate the organisation's financial performance

• To identify nonconformities in specific processes

• To ensure the accuracy of financial records

Answer explanation

A process audit in ISO 9001 is conducted to assess specific processes within the organisation's QMS. Its purpose is to identify nonconformities, evaluate process effectiveness, and identify opportunities for improvement. Process audits help ensure that individual processes are operating as intended and are contributing to the overall effectiveness of the QMS.

What is the first step in the planning phase of an audit?

• Identifying audit criteria

• Conducting an opening meeting

• Developing an audit schedule

• Selecting audit team members

Answer explanation

The first step in the planning phase of an audit is to identify the audit criteria. This involves determining the standards, requirements, and procedures against which the audit will be conducted. It helps establish the framework for the audit and ensures that the auditors have a clear understanding of what they need to assess.

What is the primary purpose of an audit report?

• To provide feedback on the auditee's financial performance

• To recommend actions for improving employee productivity

• To document the audit findings, conclusions, and recommendations

• To assess customer satisfaction levels

Answer explanation

The primary purpose of an audit report is to document the audit findings, conclusions, and recommendations. It serves as a formal record of the audit process, including the identified nonconformities, areas of improvement, and any actions or recommendations for corrective and preventive measures.

What is the purpose of a follow-up audit in ISO 9001?

• To evaluate the organisation's financial performance

• To monitor the implementation of corrective actions

• To assess customer satisfaction levels

• To verify the accuracy of financial records

Answer explanation

A follow-up audit in ISO 9001 is conducted to monitor the implementation of corrective actions resulting from previously identified nonconformities. Its purpose is to verify whether the organisation has effectively addressed the nonconformities and implemented the necessary corrective actions to prevent their recurrence.

What is the purpose of sampling during an audit?

• To review all available records and documents in detail

• To select a representative subset for examination and evaluation

• To randomly select auditees for interviews

• To identify potential areas of nonconformity

Answer explanation

Sampling during an audit involves selecting a representative subset of records, documents, processes, or individuals for examination and evaluation. It is not practical to review all available information in detail, so sampling allows auditors to assess the overall conformity and effectiveness of the QMS by examining a portion of the available data.

What is the purpose of document review during an audit?

• To evaluate the effectiveness of employee training programs

• To assess the organisation's financial records and transactions

• To verify the implementation and compliance with documented procedures

• To identify potential areas of nonconformity

Answer explanation

Document review during an audit involves examining records, procedures, policies, and other documented information to verify their implementation and compliance with the organisation's QMS. It helps auditors assess whether the documented processes are being followed and if they align with the requirements of ISO 9001.

What is the purpose of interviewing during an audit?

• To calculate financial ratios and performance indicators

• To review all available records and documents in detail

• To identify potential areas of nonconformity

• To gather additional information, insights, and feedback

Answer explanation

Interviewing during an audit allows auditors to gather additional information, insights, and feedback from individuals within the organisation. It provides an opportunity to understand how processes are performed, gather opinions, verify understanding, and gather first-hand information relevant to the audit objectives.