ISO 9001:2015 Auditor

Transition Training
ASSESSMENT DAY 1

SAI GLOBAL LIMITED

Document Name: ISO 9001:2015Auditor Transition Training Assessment DAY 1
Document ID: In-Class Assessment ISO2Q-Transition-IRCA 9154 Issue 1 2015
Date of Issue: 1 August 2015

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Student Name:
Course Date:
Trainer Name:

ISO 9001:2015 AUDITOR

TRANSITION TRAINING ASSESSMENT

You may refer to your notes and a copy of the ISO 9001:2015 Standard in preparing your
answers.

DAY 1
QUESTION 1
List three benefits Annex SL offers to an organisation with a quality management system:

QUESTION 2
Annex SL introduces consistent what across ISO Management system standards:
a.

Rules for auditors

b.

Structure, Terminology and Requirements

c.

Structure and diagrams

d.

Terms to enable integration of environmental terminology into ISO 9001.

e.

A blueprint for effective quality management.

QUESTION 3
Annex SL mandates that management systems must be structured following the 1-10
Clauses identified in Annex SL.
a.

True

b.

False

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ISO 9001:2015 AUDITOR

TRANSITION TRAINING TRAINER GUIDE

QUESTION 4
External and internal issues that could impact on the ability of the management system to
meet its intended requirement need to be identified as required by:
a.

Clause 4.3 Determining the Scope of the Management System

b.

Clause 9.2 - Internal Audit

c.

Clause 4.1 Understanding the Organisation and its Context

d.

one of the above

QUESTION 5
Identify three pieces of evidence an auditor could seek in determining compliance of an
organisation with Clause 4.2 Understanding the Needs and Expectations of Interested
Parties.

QUESTION 6
Match each of the following with its definition:
a. Interested party
b. Objective
c. Risk
d. Documented Information
Definitions:
1. Effect of uncertainty on an expected result
2. Required to be controlled and maintained by an organisation and the medium on
which it is contained
3. Result to be achieved
4. Person or organisation that can affect, be affected by, or perceive themselves to be
affected by a decision or activity

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ISO 9001:2015 AUDITOR

TRANSITION TRAINING ASSESSMENT

QUESTION 7
Identify whether you believe each of the following statements are true or false in relation
to ISO 9001:2015.
a.

An organisation shall ensuring that the quality policy is

communicated, understood and applied within the organisation

b.

Results of audits are an input to management review.

c.

Documented Information is required for all processes.

d.

Documented Information shall remain legible.

e.

The organisation shall determine the boundaries and applicability of

the quality management system

QUESTION 8
Identify three Clauses of ISO 9001:2015 that reflect ISO focus on risk based thinking.

QUESTION 9
Identify three factors affecting the extent of documented information:

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ISO 9001:2015 AUDITOR

TRANSITION TRAINING TRAINER GUIDE

QUESTION 10
Documented information must be written on paper or typed up on a computer.

a.

True

b.

False

QUESTION 11
The auditor, based on their knowledge and the approval to conduct the audit, should
correct any examples of risks an organisation has assessed, where the auditor feels the
assessed level of risk is too high or too low?
a.

True

b.

False

QUESTION 12
Can a need or expectation of an interested party become a compliance obligation? If Yes
provide an example.

a.

Yes

b.

No

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ISO 9001:2015 AUDITOR

TRANSITION TRAINING ASSESSMENT

NOTES

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ISO 9001:2015
Transition Training
ASSESSMENT DAY 2

SAI GLOBAL LIMITED

Document Name: ISO 9001:2015 Auditor Transition Training Assessment DAY 2
Document ID: SAI-EDQ24AUX02.08/15 In-Class Assessment
Date of Issue: 1 August 2015

Student Name:
Course Date:
Trainer Name:

ISO 9001:2015 AUDITOR

TRANSITION TRAINING ASSESSMENT
TRAINER GUIDE

DAY 2
QUESTION 1
Identify two pieces of evidence an auditor could seek in determining compliance with the
following clauses of ISO 9001:2015.
a. 8.2 Determination of requirements for products and services

b. 10.2 Nonconformity and corrective action

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ISO 9001:2015 AUDITOR

TRANSITION TRAINING TRAINER GUIDE

c. 9.2 Internal audit

d. 8.7 Control of nonconforming process outputs, products and services

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ISO 9001:2015 AUDITOR

TRANSITION TRAINING ASSESSMENT
TRAINER GUIDE

QUESTION 2
Identify whether you believe each of the following statements are true or false in relation
to ISO 9001:2015.
a. An organisation shall ensuring that the quality policy is
communicated, understood and applied within the organisation

b. Results of audits are an input to management review.

c.

d. Documented Information shall remain legible.

e. The organisation shall determine the boundaries and applicability

of the quality management system

Documented Information is required for all processes.

QUESTION 3
Utilising a process approach assists an organisation to:
a. Understand and meet specified requirements
b. Obtain results of process performance and effectiveness
c. Continually improve processes based on objective measurement
d. All of the above

QUESTION 4
An organisations quality management system is based on:
a. Its size and organisational structure
b. The products it provides
c.

The Production Managers opinions

d. a. and b. above

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ISO 9001:2015 AUDITOR

TRANSITION TRAINING TRAINER GUIDE

QUESTION 5
In preparing the Quality policy, top management should ensure that it is:
a. Written in such a way that it cant be measured
b. Appropriate to the purpose of the organisation
c.

Not communicated to personnel below management grade

d. Used only to describe how the organisation would like to operate

QUESTION 6
When determining the internal and external communications relevant to the quality
management system the organisation decides:
a. What and when it will communicate
b. With whom to communicate
c. How to communicate
d. All the above

QUESTION 7
When assessing the competence of personnel performing work affecting quality, an
organisation should consider:
a. Education
b. Skill
c.

Experience

d. All of the above

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ISO 9001:2015 AUDITOR

TRANSITION TRAINING ASSESSMENT
TRAINER GUIDE

QUESTION 8
Match each of the terms in the table with its definition below a. through d.
a. Improvement
b. Competence
c.

Verification

d. Effectiveness
Definitions:

1. Confirmation, through the provision of objective evidence that specified requirements

have been fulfilled

2. Activity to enhance performance

3. Ability to apply knowledge and skills to achieve intended results
4. Extent to which planned activities are realised and planned results achieved

QUESTION 9
Review the following statements and determine if (for ISO 9001:2015) they are true or
false.
a. There is a need to obtain customer views and perceptions

b. Documented Information can be in any form or any type of

medium

c.

Monitoring of the performance and re-evaluations of the external

providers is not required

d. Customer and user groups should be involved in the design and

development process

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ISO 9001:2015 AUDITOR

TRANSITION TRAINING TRAINER GUIDE

QUESTION 10
List four aspects of the management system that should be evaluated as part of the inputs
to the management review.

QUESTION 11
List four pieces of evidence an auditor could seek in determining the compliance of an
organisation against clause 5.1 Leadership.

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ISO 9001:2015 AUDITOR

TRANSITION TRAINING ASSESSMENT
TRAINER GUIDE

QUESTION 12
Identify two clauses that could be used to take preventative action (eliminate the cause of
a potential non-conformance).

QUESTION 13
Identify three ways in which a lack of top management leadership could impact on the
effectiveness of the QMS.

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ISO 9001:2015 AND ISO 14001:2015 AUDITOR

TRANSITION TRAINING TRAINER GUIDE

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