Practice quiz · 8 questions

Audit findings and nonconformities

Recognising and writing nonconformities, corrections and corrective actions — the skills most often tested on auditor courses.

Practice questions, not official exam questions. Written by ISO Me to help you revise; real exams differ by scheme and provider.

Q1 Which is the best statement of audit evidence?

A Training is poorly managed in the workshop
B Two of five operators sampled on 2 October had no training record for work instruction WI-14
C John has not been trained
D Training records should be improved

Answer and explanation

Answer: B. Good evidence is specific, factual and traceable (sample size, date, document reference) and does not name individuals or give opinions or recommendations.

Reference: Writing findings

Q2 Can a nonconformity be raised if no requirement has been identified?

A Yes, if the auditor thinks the practice is poor
B Yes, if the auditee agrees
C No — a nonconformity is the non-fulfilment of a requirement
D Only during third-party audits

Answer and explanation

Answer: C. Without a requirement (from the standard, the organisation’s own documents, a contract or the law) there is nothing for the evidence to fail to meet. Poor practice without a requirement may be an opportunity for improvement.

Reference: Definition of nonconformity

Q3 An auditor finds an out-of-date procedure in use and the supervisor immediately replaces it with the current version. This action is:

A A correction
B A corrective action
C A preventive action
D An audit conclusion

Answer and explanation

Answer: A. A correction fixes the detected nonconformity. Corrective action addresses the cause so that it does not happen again — for example, finding out why document control failed.

Reference: Correction vs corrective action

Q4 Root cause analysis is mainly part of:

A The correction
B Corrective action
C The opening meeting
D Audit planning

Answer and explanation

Answer: B. Corrective action requires understanding why the nonconformity happened so the cause can be eliminated.

Reference: Nonconformity and corrective action (clause 10)

Q5 During audit follow-up, the auditor’s role is to:

A Carry out the corrective action
B Verify that corrective actions were taken and were effective
C Rewrite the auditee’s procedures
D Decide the auditee’s budget

Answer and explanation

Answer: B. Follow-up verifies completion and effectiveness of actions; the auditee does the work.

Reference: ISO 19011:2018 clause 6.7

Q6 An “opportunity for improvement” is:

A A minor nonconformity
B A major nonconformity
C A finding that is not a nonconformity but suggests something could be done better
D An audit conclusion

Answer and explanation

Answer: C. Opportunities for improvement do not require corrective action; whether and how they are recorded depends on the audit programme.

Reference: Audit findings

Q7 Which situation would most commonly be graded as a major rather than a minor nonconformity?

A A single missing signature on one inspection record
B No internal audits carried out for over a year in a system that requires them
C One tool overdue for calibration out of fifty
D A spelling mistake in a procedure

Answer and explanation

Answer: B. Grading definitions vary by scheme and certification body, but a complete failure to implement a requirement is typically treated as major; isolated lapses as minor.

Reference: Typical grading conventions

Q8 Audit evidence must be:

A Verifiable
B Agreed by top management
C Written by the auditor in advance
D Always photographed

Answer and explanation

Answer: A. Evidence is records, statements of fact or other information relevant to the criteria and verifiable.

Reference: ISO 19011 terms