Scenario 3:
Fin-Pro is a financial institution in Austria offering commercial banking, wealth management, and investment services. The company faced a significant loss of customers due to failing to improve service quality as they expanded.
To regain customer confidence, top management implemented a QMS based on ISO 9001. After a year, they contacted ACB, a local certification body, to pursue ISO 9001 certification.
The audit team was led by Emilia, an experienced lead auditor, and included three auditors. After an agreement was reached, ACB sent the audit objectives to the audit team.
The audit team began by gathering information about Fin-Pro's understanding of ISO 9001 requirements.
While reviewing documented information, they noticed missing records of training and awareness sessions.
They conducted employee interviews to verify attendance.
The team also reviewed the organizational chart and job descriptions to confirm employee competence. They observed the company's working environment (social, psychological, and physical conditions).
The audit team analyzed the evidence and prepared an audit report with findings and conclusions.
Based on the last paragraph of scenario 3, which audit principle did the audit team follow?

• A. Objectivity.
• B. Fair presentation.
• C. Integrity.
• D. Confidentiality.

You are preparing an audit plan for a third-party ISO 9001 audit of organisation ABC that extracts lithium from mines in Bolivia.
ABC's head office is in Lima, Peru, and it outsources all processes related to Production, Maintenance, Procurement and Human Resources to local Bolivian companies. ABC personnel manage in Bolivia only the Planning function.
Your plan starts in Lima, then you decide to go to Bolivia and fly back to Lima to audit the Quality Function and Top Management and conduct the closing meeting.
What would be your best decision when planning the audit in Bolivia?

• A. Proceed with the audit in Bolivia, including only ABC personnel and review, when you are back in Lima, the results of ABC's internal audits to evaluate the performance of the outsourced processes.
• B. Tell the Certification Body you work for that ABC cannot outsource all Production, Maintenance, Procurement and Human Resources processes in Bolivia.
• C. Proceed with the audit in Bolivia, including only ABC personnel of the Planning function.
• D. Proceed with the audit in Bolivia, including all ABC personnel and all outsourced processes.

In the context of a third-party audit, select the issue which is not expected to be included in the audit plan.

• A. Expectations of the organisation ' s management
• B. Scope of the audit
• C. Number of sites to be audited
• D. Risk to achieving audit objectives

XYZ Corporation is an organisation that employs 100 people. As audit team leader, you are conducting a certification audit at Stage 1. When reviewing the quality management system (QMS) documentation, you find that quality objectives have been set for every employee in the organisation except top management.
The Quality Manager complains that this has created a lot of resistance to the QMS, and the Chief Executive is asking questions about how much it will cost. He asks for your opinion on whether this is the correct method of setting objectives.
Three months after Stage 1, you return to XYZ Corporation to conduct a Stage 2 certification audit as Audit Team Leader with one other auditor. You find that the Quality Manager has cancelled the previous quality objectives for all employees and replaced them with a single objective for himself. This states that " The Quality Manager will drive multiple improvements in the QMS in the next year " . The Quality Manager indicates that this gives him the authority to issue instructions to department managers when quality improvement is needed. He says that this approach has the full backing of senior management. He shows you the latest Quality Improvement Request that was included in the last management review.

After further auditing, the issues below were found. Select three statements that apply to the term ' audit trail '

• A. Quality improvements not aligning with the quality policy.
• B. Decisions on improvement action timescales not involving departmental managers.
• C. The single quality objective set for the organisation by the Quality Manager.
• D. Evaluation of the results of the improvement action not always documented by the Quality Manager.
• E. Limited knowledge of the content of Quality Improvement Requests by departmental staff.
• F. Top management claim not to be aware of the improvement request (QI/12/20/HR-3) initiated by the Quality Manager.

You are leading a Stage 2 certification audit of a multi-site organisation and have received the audit schedule below; Head Office and Site 1 - Day 1 Site 2 (150 Km from HQ) - Days 2 and 3 During Day 1 of the audit, the dient informs you that the laboratory at Site 2 has been dosed for decontamination due to a serious outbreak of an infectious disease among workers. In Site 2, all other functions could be audited as planned.
As the audit team leader, what would you do?
Choose the best acceptable action you could take:
Ask the audit Programme Manager for direction.
Complete the audit on day 3 and report back to the certification body for a certification decision.
Continue the audit on days 2 and 3 and return later to audit the Site 2 laboratory.
Immediately cancel the audit since the audit plan cannot be completed.
Who has the responsibility for assigning work to the audit team?

• A. The auditee organisation
• B. The audit team leader
• C. The audit team member
• D. The certification body