FINAL EXAM OF INTERNAL AUDITOR
Instructions
1. Each participant should answer of multiple-choice question and analytical question.
2. Participants are suggested to write an original paper. They should not copy from each
other’s papers or from any available sources. Evidence of cheating will be penalized
3. Each student should write their name, email number and date of exam/submission.
4. The paper should be written in Calibri 12 point Font.
5. Question & answer instruction
Type Quantity Time Marks
Multiple Choice Question, 20 20 Minutes 20
true/false questions
Analytical question 3 30 Minutes 30
Class Presentation, participation, - - 50
attendance, excise
Total 180 minutes/3 hours 100
6. Please note that, during exam, if any question will be arisen, kindly write on chat box
in google meet.
7. The total duration to completion of exam is 50 minutes long
8. Total marks are 100 and qualify marks is 70.
9. Late submissions will be penalized.
FINAL EXAM OF INTERNAL AUDITOR
Please write participant name, email and date correctly
Name of Student Nadia Naureen Kabir
Email [email protected]
Date of Submission 11-May- 2024
Disclaimer:
I write to confirm that there are no plagiarized contents in this paper.
Nadia Naureen Kabir
………………………………………..
Signature of the Student
To be completed by the Instructor
Marks Obtained
Total Marks
Signature of Instructor
FINAL EXAM OF INTERNAL AUDITOR
PART: 01
Multiple Choice Questions and True/false (Total Marks: 20)
Instruction to choose answer: Please press double click on box then select checked and press on
OK.
Sr.N. Question Answer
1 Combination of internal and external issues Environment of the organization
that can have an effect on an organization’s Context of the organization
approach to developing and achieving its External provider
objectives" is called Quality management systems
realization
2 Context of the organization need to be True
maintained as documented information False
3 ISO 9001:2015 provides a number of Correction
examples of improvement. Which of the Corrective action
following is NOT listed as an example of Breakthrough change, innovation
improvement? and re-organization
Preventive action
4 The Annex SL Framework is designed to make it harder for organizations to
understand ISO management systems
make things more complex so that
Quality Managers have higher salaries
make it easier for everyone to
understand management systems and
implement multiple ISO standards
all of the above
none of the above
5 Action to eliminate the cause of a Nonconformity
nonconformity and to prevent recurrence" is Preventive action
called a Corrective action
Correction
6 The scope of the quality management True
system needs to be available and be False
maintained as documented information"
7 What must be considered when determining Requirements of the relevant
the scope of the management system, interested parties
according to ISO 9001:2015? Internal and external issues
Products and services of the
FINAL EXAM OF INTERNAL AUDITOR
organization
all of the above
none of the above
8 The needs and expectations of interested True
parties need to be maintained as False
documented information
9 The organization needs to retain True
documented information to have the False
confidence that the processes are being
carried out as planned"
10 Where are the terms and definitions for ISO Wikipedia
9001:2015 located? ISO 9000:2015
ISO 9004:2004
all of the above
none of the above
11 The word "ISO" derived from the Greek Quality
word "isos" meaning as in isonomy (equality Improve
of people before law) Equal
Standard
12 What is the latest version of the ISO 9001 2016
Standard that defines the requirements for 2011
Quality Management System? 2015
2020
13 It is a set of interrelated activities that Activity
transform input into output Process
Instruction
Planning
14 Which is not part of the Quality Safety and Quality
Management System Principles? Customer Focus
Improvement
Process Approach
15 What ISO 9001:2015 Clause is 4.1
"Understanding the Organization and its 5.1
context" under? 6.1
4.3
16 What is ISO stands for International subject of organization
Internal Organization for
FINAL EXAM OF INTERNAL AUDITOR
standardization
Indian Organization for
standardization
International Organization for
standardization
17 What is the full form of QMS? Quality management system
Quality maintain system
Quality memorable system
Quantity management system
18 How many principles are there in QMS? 4
5
6
7
19 What is the full form of PDCA? Post-Do-Check-Act
Plan-Delete-Check-Act
Prepare-Do-Check-Access
Plan-Do-Check-Act
20 ISO 9001:2015 requires that the quality Must be reviewed for continuing
policy suitability
Must be communicated and
understood within the organization
Must provide a framework for
establishing and reviewing quality
objectives
All of the above
None of the above
PART:02
FINAL EXAM OF INTERNAL AUDITOR
Analytical question (Total Marks: 50)
1. Write down the mandatory and non-mandatory documents and records of required by
ISO 9001:2015
Ans: Mandatory requirements need to be complied with, while non-mandatory requirements
may be submitted for documentation purposes. To be certified compliant with ISO 9001:2015,
the following documents must be submitted.
ISO 9001 Mandatory Requirements —
Documents and Records
Monitoring and measuring equipment calibration records.
Records of training, skills, experience, and qualifications
Product/service requirements review records.
Record about design and development outputs review
Record about design and development inputs
Records of design and development controls
Records of design and development outputs
Design and development changes records.
Characteristics of product to be produced and service to be provided.
Records about customer property
Production/service provision change control records.
Record of conformity of product/service with acceptance criteria
Record of nonconforming outputs
Monitoring measurement results
Internal audit program
Results of internal audits
Results of the management review
Results of corrective actions
All of the ISO 9001 requirements are fully documented and explained in our Quality Manual
Template.
Non-Mandatory Requirements — But Often Included
Procedure for determining context of the organization and interested parties.
Procedure for addressing risks and opportunities.
Procedure for competence, training, and awareness
Procedure of equipment maintenance and measuring equipment
Procedure for document and record control
Sales procedure
Procedure for design and development
Procedure for production and service provision
Warehousing procedure
FINAL EXAM OF INTERNAL AUDITOR
Procedure for management of nonconformities and corrective actions
Procedure for monitoring customer satisfaction
Procedure for internal audit
Procedure for management review
2. Please prepare an Audit Checklist for clause No. 7 (From 7.1 to 7.5) and what is your
understanding about Internal Audit.
Ans:
Here is an audit checklist for clauses 7.1 to 7.5:
7.1 Resources
Are the necessary resources available to implement and maintain the QMS?
Are the resources competent and qualified?
Are the resources aware of their roles and responsibilities?
7.2 Competence
Are all personnel performing work that affects the QMS competent?
Are there procedures for identifying and providing training to personnel?
Are there records of training provided to personnel?
7.3 Awareness
Are all personnel aware of the QMS and their role in it?
Are there procedures for communicating information about the QMS to personnel?
Are there records of communication about the QMS to personnel?
7.4 Communication
Are there procedures for internal and external communication?
Are there records of internal and external communication?
Is communication effective?
7.5 Documented Information
Is there a documented QMS?
Is the documented QMS up-to-date and accurate?
Is the documented QMS accessible to personnel?
Internal Audit:
Internal audit is an independent, objective assurance and consulting activity designed to
add value and improve an organization's operations. It helps an organization accomplish its
FINAL EXAM OF INTERNAL AUDITOR
objectives by bringing a systematic, disciplined approach to evaluate and improve the
effectiveness of risk management, control, and governance processes.
Internal audit provides assurance on the effectiveness of an organization's governance, risk
management, and internal control processes. It also provides consulting services to help the
organization improve its operations.
Internal audit is an important part of any organization's governance structure. It helps to
ensure that the organization is operating effectively and efficiently, and that it is meeting its
objectives.
3. Explain the lead auditor responsibilities.
Ans:
lead auditor is responsible for leading an organization's audit team, including:
Planning: Preparing audit plans and schedules
Managing: Managing the audit team, including selecting team members
Conducting audit: on a daily basis
Reporting: Preparing and presenting audit reports to top management
Evaluating: Evaluating production processes for quality compliance
Inspecting: Inspecting and calibrating auditing tools
Identifying: Identifying opportunities for improvement
Developing: Developing action plans to improve financial reporting systems
Ensuring: Ensuring audits comply with applicable laws, standards, and guidance
End of EXAM!!!
