Advanced Internal Audit Quiz

You find a process that deviates from documented procedures, yet consistently delivers compliant results. What should you do as an auditor?

• Ignore it since the output is acceptable

• Praise the team for innovation

• Report it as a nonconformity

• Raise an observation and evaluate the need for formal change control

Which ISO 9001 clause prohibits auditors from auditing their own work?

• Clause 4.1 - Understanding the organization

• Clause 5.1.1 - Leadership and commitment

• Clause 7.5 - Documented information

• Clause 9.2.2 - Internal audit

You observe a process that has no defined KPI or measurable target, even though it impacts product quality. What is the correct audit response?

• Suggest a KPI in the audit report

• Ignore it since output is acceptable

• Raise a nonconformity against Clause 6.2 or 9.1

• Document it as a best practice

During layered audits, one team found compliance while another found discrepancies in the same area. What does this likely indicate?

• The second team over-audited

• The first team did a shallow audit

• The system is compliant

• Discrepancies are irrelevant

Which of the following best differentiates a nonconformity from an opportunity for improvement (OFI)?

• OFIs are always related to people; NCs are process-related

• NCs require action; OFIs do not

• OFIs are opinions; NCs are facts

• OFIs are raised by managers; NCs by auditors

A supplier uses a different method for document control that isn't in your contract. What should you do?

• Accept it if it seems better

• Raise a finding only if you don't understand the method

• Evaluate it against contract and standards

• Automatically issue a major nonconformance

What audit sampling method is most suitable for high-risk processes with unpredictable outcomes?

• Random sampling

• Stratified sampling

• Risk-based (judgmental) sampling

• Systematic sampling

Management review minutes are vague and lack follow-up actions. Which clause may be nonconforming?

• Clause 5.3 - Organizational roles

• Clause 6.1 - Risks and opportunities

• Clause 8.5.1 - Control of production

• Clause 9.3.2 - Management review inputs/outputs

An auditee denies you access to internal records, citing confidentiality. What is the best response?

• Accept it without question

• Demand access or raise a nonconformance

• Escalate to audit sponsor and note it in report

• Cancel the rest of the audit

Top management disagrees with your audit findings, citing clean external audit results. How should you respond?

• Withdraw your finding

• Ask them to challenge it in writing

• Stick to your objective evidence

• Let the certifying body handle it