ISO 9001 Lead Auditor (Mock Exam)

ISO 9001 Lead Auditor
Multiple Choice Questions:
1. Which of the following is the second step to implement the Quality

Management?
a. Documentation Development
b. Implementation Team & Management Representative
c. Perform a Gap Assessment
d. Review and Release Document
2. Which of the following is the Statistical Sampling Technique?

a. Judgement-Based Sampling
b. Quota Sampling
c. Attribute-Based Sampling
d. Simple Random Sampling
3. Is the following statement true or false?

Assessment Techniques are designed to ensure that the internal control
procedure is understood fully by the internal auditors and determine
whether workers are complying with internal control devices.
a. True
b. False
4. As per QMS Tools, which of the following tool is used by organisations to

determine the connection between ideas or issues and use the table?
a. Relations Diagram
b. Matrix Diagram
c. Fault Tree Analysis
d. Arrow Diagram
5. Arrange the steps of the Audit Process in the correct order.
I. Report the results
II. Prepare for the audit
III. Perform the audit
IV. Perform corrective action
a. I, II, III, and IV
b. III, I, II, and IV
c. II, III, IV, and I
d. IV, III, I, and II
6. Which of the following refers to an isolated or random lapse in the content

or implementation of procedures or records that could lead to the failure of
the system if it is not addressed and corrected?
a. Major Non-Conformity
b. Minor Non-Conformity
c. Normative Reference
d. None of the above
7. The final step in the ISO 9001 audit process is ______________.

a. Recertification
b. Surveillance Audit
c. Readiness Review
d. Training
8. As per Opening Meetings, which of the following is/are the topic(s) on the
agenda should be considered where relevant?
a. Introduction of participants of a meeting
b. Reporting method
c. Risk management
d. All of the above
9. Which of the following is the preventive measure that could be taken for
errors?
a. Summarising data and organising the presentation.
b. Implementation and strengthen physical controls in an organisation.
c. List the evidence of the non-compliance.
d. Discuss all the observations, including non-conformance.
10. Which of the following states that once the audit strategy has been
established, an audit plan can be developed to address various matters
identified in the audit strategy?
a. ISO 10012
b. ISO 19011
c. ISA 300
d. ISA 315
11. Which of the following thing is not covered in the auditor’s checklist for the
Closing Meeting?
a. The executive summary page.
b. Leave a mutually signed copy of the executive summary page with
the auditee.
c. The appeals process and complaints procedure.
d. List the evidence of the non-compliance.
12. As per the Visual Observation, which of the following is the strong piece of
audit evidence?
a. Documentation Status
b. Product Categorisation
c. Performance Measure
d. Agenda Plan
13. Which of the following is included in the Certification Body Evaluation
Factor?
a. Accreditation
b. Review
c. Implementation
d. Scope
14. ____________ during a multiple-day audit are usually held at the end of
the day with management and the individuals audited during the day.
a. Opening Meeting
b. Closing Meeting
c. Daily Discussion Meeting
d. Interactive Meeting
15. Is the following statement true or false?

An Internal Audit Report is developed by the Lead Auditor at the start of an
Audit.
a. True
b. False
16. Which of the following is the first stage in the Certification Audit Process?
a. Certification Audit
b. Re-certification Audit
c. Readiness Review
d. None of the above
17. Which of the following are included in the Stage 2 Audit?
I. Report how well the quality management system complies with the
organisation’s quality manual and procedures.
II. Evaluation of internal audits, management review, and management
responsibility for the organisation’s policies.
III. Report all nonconformances so that they can be assessed further.
IV. Create the surveillance plan for the organisation and choose dates
for the first surveillance visit in the following months.
a. I, II, and III only
b. II, III, and IV only
c. I, II, and IV only
d. I, II, III, and IV
18. Which of the following will set the forthcoming audit plan for the next
three years?
a. Surveillance Audit
b. Recertification Audit
c. Compliance Audit
d. Operational Audit
19. Which of the following is the first step involved in the process approach of
ISO 9001:2015?
a. Define the interfaces, risks, and activities within the process.
b. Define the resources needed.
c. Define the context of the organisation.
d. Implement.
20. Which of the following is the Auditing Technique?

a. Control Chart
b. Sampling
c. Quality Costing
d. Scoring Checklist

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ISO 9001 Lead Auditor

Multiple Choice Questions:

1. Which of the following is the second step to implement the Quality

2. Which of the following is the Statistical Sampling Technique?

3. Is the following statement true or false?

4. As per QMS Tools, which of the following tool is used by organisations to

6. Which of the following refers to an isolated or random lapse in the content

7. The final step in the ISO 9001 audit process is ______________.

15. Is the following statement true or false?

20. Which of the following is the Auditing Technique?

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