Which two of the following auditors would not participate in a first-party audit?
Scenario 3:
Fin-Pro is a financial institution in Austria offering commercial banking, wealth management, and investment services. The company faced a significant loss of customers due to failing to improve service quality as they expanded.
To regain customer confidence, top management implemented a QMS based on ISO 9001. After a year, they contacted ACB, a local certification body, to pursue ISO 9001 certification.
The audit team was led by Emilia, an experienced lead auditor, and included three auditors. After an agreement was reached, ACB sent the audit objectives to the audit team.
The audit team began by gathering information about Fin-Pro’s understanding of ISO 9001 requirements. While reviewing documented information, they noticed missing records of training and awareness sessions. They conducted employee interviews to verify attendance.
The team also reviewed the organizational chart and job descriptions to confirm employee competence. They observed the company’s working environment (social, psychological, and physical conditions).
The audit team analyzed the evidence and prepared an audit report with findings and conclusions.
What type of evidence has been collected by the ACB’s audit team, as presented in scenario 3?
XYZ Corporation is an organisation that employs 100 people. As audit team leader, you are conducting a
certification audit at Stage 1. When reviewing the quality management system (QMS) documentation, you
find that quality objectives have been set for every employee in the organisation except top management.
The Quality Manager complains that this has created a lot of resistance to the QMS, and the Chief Executive
is asking questions about how much it will cost. He asks for your opinion on whether this is the correct
method of setting objectives.
Three months after Stage 1, you return to XYZ Corporation to conduct a Stage 2 certification audit as Audit
Team Leader with one other auditor. You find that the Quality Manager has cancelled the previous quality
objectives for all employees and replaced them with a single objective for himself. This states that " The
Quality Manager will drive multiple improvements in the QMS in the next year " . The Quality Manager indicates
that this gives him the authority to issue instructions to department managers when quality improvement is
needed. He says that this approach has the full backing of senior management. He shows you the latest
Quality Improvement Request that was included in the last management review.
After further auditing, the issues below were found. Select three statements that apply to the term ' audit trail '
An internal auditor of a manufacturer of polystyrene packaging products for the electronics industry raised a nonconformity against
section 10.3 of ISO 9001 in Report IA202. The nonconformity (NC 3) stated:
" The reject rate of ' finished ' product of 9.7% needs improvement as it doesn ' t meet the stated objective of top management of 5%. "
Just before the Closing meeting of a third-party audit, the audit team leader is invited to a meeting with the Quality Manager. He tells
the audit team leader that a member of the audit team was seen taking photographs of the factory on his phone during the day and
wants him suspended from the Closing meeting with any nonconformities raised by him rescinded. The issue of photographs was not
discussed during the opening meeting.
Select the three options for how the audit team leader might deal with this situation.
Which type of audit risk is the risk that a significant defect may occur in the QMS, although the organization has internal control mechanisms in place?
During a third-party audit of a pharmaceutical organisation (CD9000) site of seven COVID-19 testing laboratories in various terminals at
a major international airport, you interview the CD 9000 ' s General Manager (GM), who was accompanied by Jack, the legal compliance
expert. Jack is acting as the guide in the absence of the Technical Manager due to him contracting COVID-19.
You: " What external and internal issues have been identified that could affect CD9000 and its quality management system? "
GM: " Jack guided us on this. We identified issues like probable competition of another laboratory organisation in the airport, legal
requirements on COVID-19 continuously changing, the shortage of competent laboratory analysists, the epidemic declining soon,
shortage of chemicals for the analysis. It was quite a good experience. "
You: " Did you document these issues? "
GM: " No. Jack said that ISO 9001 does not require us to document these issues. "
You: " How did you determine the risks associated with the issues and did you plan actions to address them? "
GM: " I am not sure. The Technical Manager is responsible for this process. Jack may be able to answer this question in his absence. "
Select two options for how you would respond to the General Manager ' s suggestion:
In a third-party audit to ISO 9001, select two options of when the organisation is required to act in response to reported findings.
During a second-party audit of a fruit grower (apples, pears, peaches) by a potential customer complying with ISO 9001:2015, the auditor verifies that there is a large variability in the quality of fruit production. In the last two years, they have noticed an increasing variability in daily production quality. The auditor found a trend of delivered produce showing signs of bruising and over-ripening, which led to an increasing number of customer complaints.
This process has been in operation for decades. The business was founded by the grandfather of the current owners, who did not want to alter the established practices.
The auditor raises a non-conformity against ISO 9001.
Which one of the following options would be acceptable as corrective action by the auditee?
You have been nominated audit team leader of a third-party audit. Which of the following could be the two most relevant objectives of this audit?
During an ISO 9001 audit of an electric cable manufacturer, you are reviewing the customer file for XYZ Construction in the Sales Department. This contract specifies that the installation configuration of the cable runs should meet national fire safety standards for Category A.
You discover that the customer later agreed to the approval of a less stringent Category B configuration instead.
The organization has the following quality policy document displayed in the reception area.
" This organization is committed to providing electric cables to customers ' requirements, in accordance with statutory regulations for their use. Continual improvement is a permanent objective of the organization. This policy shall be communicated to all employees and, where required, to all interested parties. "
Referring to the scenario, select the two options for which the organization is meeting its policy commitments.
TESTED 21 Jul 2026