International Register of Certificated Auditors
International Register of Certificated Auditors
INTERNATIONAL REGISTER
OF CERTIFICATED AUDITORS
Note to markers.
Markers are expected to use their experience and judgement as certificated auditors, bound
by the IRCA code of conduct. Markers must give due consideration to logically argued
solutions that might not conform precisely to the typical solution and other answers may be
acceptable. This is especially relevant when marking section 4. A record of this
discretionary judgement must be made on the examination script of the delegate so that it
can be brought to the attention of the IRCA Reviewing Officer during the annual
surveillance visit.
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Examination for Auditors of Quality Management Systems
These multi-choice questions are to be marked either correct for one mark or incorrect for zero marks.
If it is at all unclear which is the answer you are intended to mark, then zero marks must be awarded.
Fractional marks (¼, ½, ¾ etc.) must not be awarded unless specified in the typical solution.
Statements in Italics are for reference only and are not part of the expected answer.
a. an internal audit.
b. an audit by the customer or client.
c. an audit by an independent organization.
d. all of the above.
e. none of the above.
1.04 Which of the following activities must be carried out by someone who does not
perform the activity being evaluated?
a. a contract review.
b. an inspection of product.
c. a quality system audit.
d. all of the above.
e. none of the above.
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Examination for Auditors of Quality Management Systems
a. objective evidence.
b. a deficiency.
c. a nonconformity report.
d. all of the above.
e. none of the above.
1.07 What information is being sought during a third party audit of a quality system?
1.09 The process approach to a quality management system seeks to help organizations:
1.10 The extent of documentation of the quality system should be determined by:
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Examination for Auditors of Quality Management Systems
2.01 There are three types of quality system audit based on a first, second and third
party involvement. Explain the specific features that distinguish each of them.
• Second party audit is typically where an organization (as a customer) audits a SUPPLIER.
Audits are usually requested by the customer and the purpose of the
audit is usually to award a contract to supply or for the rating of an
existing supplier.
2 marks
• Third party audit is an EXTERNAL audit (term EXTRINSIC audit is allowable but not
preferable) in which auditors have no commercial interests in the
organization being audited nor its customers. The purpose of a third
party audit is usually certification. 2 marks
Maximum of 5 marks
Objective of a documented system; to ensure the effective planning, operation and control of the
organization’s processes. 2 marks
Benefits:
• Communicates the same message to many people simultaneously
• Saves time – methods and processes do not need to be re-invented each time
• Can be used as a training aid to induct people into new roles or activities
• Documenting processes can help to ensure there are no gaps, and that the interfaces have
been properly considered
• Record and reminder of what has been agreed.
• Acts as a reference so that people can work independently
• Help to ensure consistency of output
• Provides a mechanism to communicate and implement changes.
0.5 marks each to a maximum of 3 marks
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Examination for Auditors of Quality Management Systems
2.03 ISO 9000 identifies a “process approach” as one of the 8 quality principles that
support the achievement of quality objectives.
b. Identify at least 4 ISO 9001 clauses that support such an approach (4 marks).
• Process approach: A desired result is achieved more efficiently when related resources
and activities are managed as a process. 1 mark
4.1a: identify
processes
8.2.3:
4.1f: implement actions to monitor and
achieve planned results and measure
continual improvement of processes
processes
2.04 An auditor is conducting a third party audit. The guide, who has been appointed to
accompany the auditor around the various departments, is called away by a senior
manager. After five minutes the guide has not returned.
• continue without a guide unless it is possible to do so without violating any security or safety
requirements
• do not panic
• do not get angry Maximum 2 marks
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Examination for Auditors of Quality Management Systems
In this section reasonable coverage is expected of the points listed. Marks should be given for
alternative answers that are logically presented and comply with the requirements of ISO 9001.
3.01 You are planning a process audit of an organization that consists of the following
departments:
The top management team consists of the Managing Director and departmental
managers from each of the above areas.
Note: this is a broad question, and there may be considerable variation in delegates’ answers,
and judgement should be exercised in awarding marks. Key points to look for are highlighted
in bold.
• Sales/purchasing/packing:
- what is the purpose of the activity?
- what objectives are relevant?
- how are processes and products measured?
- what are the results?
- what corrective action is taken?
- how is data analysed and fed into management review?
- what preventive actions are taken?
- does customer satisfaction data indicate an increase in satisfaction?
Maximum 6 marks
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Examination for Auditors of Quality Management Systems
3.02 You are conducting an audit of a medium sized organization. During the document
review you have raised a concern about the organization’s system for ensuring the
competence of staff.
Prepare a checklist that would guide you through a process audit of competence of
staff and state the relevant ISO 9001 clauses. (10 marks)
• Ask for an overview of the process for assigning tasks/activities to people (6.2.1) 1 mark
• Are competence requirements for each role or task defined? Sample job roles. (6.2.2a) 1 mark
• How is competence measured? (6.2.2a) 1 mark
- for new staff? 1 mark
- for existing staff? 1 mark
• What records are available to demonstrate competence against requirements? (6.2.2e) 1 mark
• Where such measures identify a training need, or competence gap, is there evidence that
such needs have been met? (6.2.2b) 1 mark
- sample recruitment /performance review records 1 mark
• What is the process for evaluating training to ensure that staff are competent? (6.2.2c) 1 mark
• What is the process for inducting new employees (6.2.2)
a) into their job role? 1 mark
b) into the quality system? 1 mark
• What procedures and work instructions are available to guide staff?(4.2.1d) 1 mark
• Are there any quality objectives that relate to the training and competence? (5.4.1) 1 mark
• Look for evidence of how achievement of objectives is being measured (8.1/5.4.1) 1 mark
• Review process and product monitoring results to determine whether requirements are met
(8.2.3/8.2.4). If not, what evidence exists that this might be linked to competence issues? 1 mark
• Is there any evidence that any problems are caused by the lack of competent staff?(8.5.2)1 mark
Maximum 10 marks
NOTE:
The layout of the checklist should be consistent with approaches discussed on the course.
No more than 0.5 marks per item may be given if the relevant clause has been omitted.
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Examination for Auditors of Quality Management Systems
Section 4 is intended to test auditor judgement. A principle that can be useful is "would
this report withstand the scrutiny of a sceptical Chief Executive Officer". Another
principle is that it is better to err on the side of discretion, “if in doubt, don't raise an
NCR”. It therefore follows that to raise a nonconformity report when there is not
sufficient objective evidence should be penalised (maximum mark 4 out of 10). However
a report that states clearly the actions that an auditor should take before raising a
nonconformity report could often be supported and be given marks near to the pass
mark (7 out of 10). It could not be given full marks unless there was some obvious
ambiguity in the description of the incident or the student demonstrates logical argument,
knowledge of the subject and the answer shows an ability to make a reasoned judgement.
Reports must be complete, clear and concise and not simply a repetition of the incident.
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Examination for Auditors of Quality Management Systems
Incident Number 1
Commentary
This incident does not contain sufficient objective evidence to raise a nonconformity report at this
stage. The nonconformity report form should not be used. Below the form there should be reasonable
coverage of what the auditor should do next.
• Check any relevant procedures: do these describe the management review process, and does the
process described comply with procedures? 1 mark
• Interview the managing director (MD): what is their level of involvement in the management
review process and subsequent activities? 2 marks
• Does the summary report submitted to top management include all the inputs to the
management review (5.6.2) 1 mark
• Look for other evidence of top management commitment (5.1) 1 mark
• How do top management communicate information relating to the effectiveness of the quality
management system? (5.5.3), and how does the communication relate to the findings of the
management review? 2 marks
• Is there evidence that the action plan authorised by the MD
a) relates to the review inputs 1 mark
b) will improve the effectiveness of the QMS and product? (5.6.3) 1 mark
• How similar is the final action plan to the recommendations made by the departmental managers’
meeting? 1 mark
• If there are differences, what is the process for reconciling the differences between top
management and departmental management? 1 mark
• Have adequate resources been made available to implement the management review outcomes?
(5.6.3/6.1) 2 marks
Maximum 10 marks
Incorrect grading of incident
If the student raises a non conformity report a maximum of 4 marks may be awarded on condition
that the student clearly states the following.
Maximum 4 marks
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Examination for Auditors of Quality Management Systems
Incident number 2
Commentary
The incident contains one nonconformity. Marks for completion of the audit finding form:
Form filling: Note number, name of auditor and date 0.5 mark
Area under review: Internal audits 0.5 mark
Standard and Clause ISO 9001 (8.5.2) 1 mark
Number:
Category: Minor 1 mark
Identifying the evidence: The internal audit resulted in correction, but there is no 3 marks
evidence that the cause of the non conformity was
determined, or that action was taken to prevent its
recurrence. A review of the actions taken failed to identify
that action had not been taken to prevent recurrence of the
problem.
For identifying the The organization shall take action to eliminate the cause of 2 marks
requirement: non conformities in order to prevent recurrence, and shall
review the corrective action taken.
Clarity For producing a clear and unambiguous nonconformity note. 2 marks
Maximum 10 marks
If the student does not raise a nonconformity report, but makes a statement in the space below the
report form, a maximum of 7 marks may be awarded on condition that the student clearly states the
following:
Maximum 7 marks
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Examination for Auditors of Quality Management Systems
Incident Number 3
Commentary
The incident contains one nonconformity. Marks for completion of the audit finding form:
Form filling: Note number, name of auditor and date 0.5 mark
Area under review: Purchasing 0.5 mark
Standard and Clause ISO 9001 (7.4.1) 1 mark
Number:
Category: Minor 1 mark
Identifying the evidence: A subcontractor of TMX101 items was selected on the basis of 3 marks
price, and no further evaluation of the supplier was made.
For identifying the The organization shall evaluate and select suppliers based on 2 marks
requirement: their ability to supply product in accordance with the
organization’s requirements
Clarity For producing a clear and unambiguous nonconformity note. 2 marks
Maximum 10 marks
If the student does not raise a nonconformity report, but makes a statement in the space below the
report form, a maximum of 7 marks may be awarded on condition that the student clearly states the
following:
Maximum 7 marks
End of examination
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