Undertaking Effective Audits - Exide Technologies

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Question 1 of 28

1. Part 1To become an auditor which of the following are correct:

You must have an engineering degree or equivalent

You must have a minimum of 5 years work experience

You must meet the auditor competency requirements defined in the relevant standard, in customer specific requirements, or in the organizations own internal audit process

You must, at minimum, attend a two-day internal audit training course

Question 1 of 28

Question 2 of 28

2. To be a good auditor what personnel attributes are required?

Have the ability to argue

To be observant and actively aware of physical surroundings and activities

Have fixed views

Be indecisive

Question 2 of 28

Question 3 of 28

3. Inputs to developing an audit programme can include:

Internal performance data

Customer complaint data

Previous audit results

All the above are correct

Question 3 of 28

Question 4 of 28

4. When preparing the internal audit programme, internal audits shall be based on:

The organization chart

The organizations management system processes

The clauses of the relevant standard

Predetermined checklists that cannot be changed

Question 4 of 28

Question 5 of 28

5. After an audit programme is developed it:

Can never be changed

Must be reviewed monthly

Should be reviewed and updated as necessary considering concerns, changes and previous audit results

Shall be provided to the certification body for approval

Question 5 of 28

Question 6 of 28

6. When preparing an audit scope, it is important to understand:

All the documents and records needed to control the process

The relevant clauses of the standard

Details of the product specifications

The process input and output

Question 6 of 28

Question 7 of 28

7. The audit scope:

Shall be finalized after any audit

Can be at process or sub-process level

Must include all the processes in the management system

Must include all clauses of the relevant standard

Question 7 of 28

Question 8 of 28

8. The audit criteria is:

The process inputs and outputs

What the audit will verify compliance against

Determined by the auditee

The specific audit questions to be asked during the audit

Question 8 of 28

Question 9 of 28

9. The audit objective is:

To trick the process owner

The standard to be audited against

To find as many nonconformities as possible

The purpose of doing the audit

Question 9 of 28

Question 10 of 28

10. When preparing for an audit it is important to:

Review the relevant performance data

Understand the process by preparing a turtle diagram

Communicate the scope, criteria and objective of the audit to the auditee

All the above are correct

Question 10 of 28

Question 11 of 28

11. When preparing audit questions which are the best type of questions to gather objective evidence are?

Closed audit questions

Trick questions

Open audit questions

Leading questions

Question 11 of 28

Question 12 of 28

12. Following an opening meeting which is the best way to start any process-based audit:

By reviewing the relevant procedures with the process owner

By interviewing the operators working in the process

By reviewing the relevant internal and external performance data

By checking the condition of any equipment used in the process

Question 12 of 28

Question 13 of 28

13. When undertaking an audit which is the best approach to take:

Plan, do, check act

Act, plan, check do

Check, act, plan, do

Do, act, check, plan

Question 13 of 28

Question 14 of 28

14. When undertaking any audit:

Only evidence of any nonconformities must be recorded

Both evidence of compliance and noncompliance must be recorded

The auditor must collect a copy of all the documents reviewed

A nonconformity is must be written up immediately it is found

Question 14 of 28

Question 15 of 28

15. When undertaking any audit, the auditor should:

Keep the auditee up to date with the progress of the audit

Verbally inform the auditee when any nonconformities are found

Give feedback to the auditee prior to preparing the audit report

All the above are correct

Question 15 of 28

Question 16 of 28

16. When writing an audit finding:

It should contain a statement of nonconformity, the requirement and the objective evidence

It should contain the persons name who is responsible for the causing the nonconformity

It should be communicated to the auditee within 5 day

All the above are correct

Question 16 of 28

Question 17 of 28

17. Audit findings are:

Only the negative findings found during the audit

The results of the evaluation of the collected audit evidence against the audit criteria

To be communicated to the relevant certification body after each internal audit

To be written up within 5 days from the end of the audit

Question 17 of 28

Question 18 of 28

18. A major nonconformity:

Is where the process is compliant but can be undertaken more effectively

A minor lapse in the process

The absence of or total breakdown of a system to meet a requirement

Is only allowed to be written in third party audits

Question 18 of 28

Question 19 of 28

19. Opportunity for improvements:

Cannot be identified in audits as the purpose of an audit is to determine compliance or noncompliance

Are situations where the evidence presented indicates a requirement has been effectively implemented but, based on auditor experience and knowledge, additional effectiveness or robustness might be possible with a modified approach

Can be written when a system breakdown has been identified

Are situations where the evidence presented indicates a requirement has not been effectively implemented but, based on auditor experience and knowledge it is not a big problem

Question 19 of 28

Question 20 of 28

20. If a follow up audit is undertaken:

It should always be done within 30 days from the end of the audit

It should verify containment; root cause analysis and systemic corrective action has been implemented effectively to address any nonconformity

It must be undertaken by a different auditor to the one who undertook the original audit

All the activities in the process must be audited again

Question 20 of 28

Question 21 of 28

21.

Part 2

Situation 1

You are responsible for preparing an audit programme, in the first month in a new year, for a manufacturing organization who has an integrated management system covering ISO9001: 2015, ISO14001: 2015 and ISO45001: 2018.

The organization has three customers, namely Alliance, ADG and Peach.

Manufacturing is undertaken in 3 customer cells, with Alliance and Peach working two shifts (6am to 2pm and 2pm to 10pm), and Peach 1 shift (8am to 4pm).

Review the following data and then answer the questions below.

- The organization process description, defining the sequence and interaction of the management system processes
- Process performance data for the current year and objectives for the coming year
- Previous audit findings

Based on your review of the information, if you could undertake 5 audits in the three months of the programme, which of the following processes would you select to audit?

Business planning and review

Customer and interested party management

New product development and introduction

Purchasing and production control

Stores

Production - Alliance cell

Production ADG cell

Production Peach cell

Finished goods warehouse

Customer/interested party management complaint management

Shipping

Managing physical assets

HR and training/ internal and external communication

Management systems and regulatory compliance

Question 21 of 28

Question 22 of 28

22.

Situation 2

You are allocated to undertake an internal audit of the business planning and review process.

Considering the information provided process description, process performance data and previous audit results) which do you think would be the 5 most relevant questions to ask the organizations top management team in auditing the process?

What is your quality, environmental and safety policy?

Do you train your employees?

What are the reasons you did not meet your target of 5% net operating profit?

What were the three accidents and what actions did you take?

Have you undertaken a management review?

What were the reasons you did not meet your target for environmental improvement?

When you set the objective for the coming year, how did you take into account the performance from the current year?

Are employees motivated?

I do not think your management system is working, do you agree?

What process do you have in place to review the satisfaction of your customers and interested parties?

Question 22 of 28

Question 23 of 28

23.

Situation 3

You are auditing the process “Managing physical assets”.

You identify that a lock on a machine guard on machine number 2345, a 100 tonne press, is broken.

You see a red tag attached to it, which was raised by the operator 3 months ago. You talk to the operator, Bill Jones, and he says he has talked to the Maintenance Manager, Alex Ching, on several occasions to get them to try to fix the guard, but he stated that they are too busy to resolve. Bill states the guard is to prevent any access to the machine when it is operating and there are mechanical and electrical hazards.

The operator states that he has told his supervisor that the machine is not safe to operate but was told, because of production needs, the machine must run.

Based on the situation, which do you think would be the best statement of nonconformity for the finding (pick one)?

Alex Chong is not effectively managing the maintenance process

The machine guard on machine 2345 was broken

Maintenance has insufficient resource

The supervisor was not considering personnel safety

The process to ensure production machines are maintained in a safe condition is not effectively implemented

The machine guard to prevent access to the operating machine is not implemented effectively

The red tag raised three months ago has not been closed

Question 23 of 28

Question 24 of 28

24.

Following raising the nonconformity, the Maintenance Manager comes back to you 5 days later to say the nonconformity has been closed. He states the machine guard has been fixed, and the maintenance instruction updated to include a weekly check to verify the machine guard is secure.

Based on this, which statement do you agree with? (pick one)

You would close the nonconformity based on the information provided, there would be no need to revisit the process

You would go to the shop floor to check the machine, if the guard is fixed, and the maintenance instruction updated, you would close the nonconformity

You would tell the Maintenance Manager that the action taken is only correction and that you want to see root cause analysis and systemic corrective action

You would tell the Maintenance Manager that 5 days is too long to address the issue

Question 24 of 28

Question 25 of 28

25.

Situation 4

You are planning to audit the ADG cell. Considering the information provided process description, process performance data and previous audit results) which do you think would be the 5 most relevant questions to ask the organizations top management team in auditing the process?

What procedures/instructions do you have to control the process?

How are the objectives and targets set for the process?

Do you train the people in the process?

Is the production equipment maintained?

What action are you taking to reduce the scrap from 6.4% to 2%

What were the reasons for the two accidents in your cell and action did you take to prevent reoccurrence?

Explain your process for raising “hots” (near misses), and why the target of 8 per month is not being me?

From the audit that was undertaken in month 9, what is the status of the two open nonconformities?

Are all the nonconformities from the previous audit closed?

What objective or targets do you have related to environmental performance?

Question 25 of 28

Question 26 of 28

26. Situation 5You are auditing the production ADG cell.

You question the cell manager on the process performance. You ask why the scrap target of 2% is not being met, with a year to date performance of 6.4%. You are told that there are several temporary employees working in the process, and that there have been several instances of where batches of product had to be scrapped. You ask about the induction and training programme for temporary employees. You are told the recruitment agency gives them a basic induction and then they get on the job training by an experienced operator. However, the on the job training is not recorded.

You ask about the two accidents. You are told these involved temporary employees, both injuries involved cuts when using knives removing flash from injection moulding. You are told than the knives they were using were not the approved types, and that the temporary employees had brought these on to site. There were no checks in place to detect this, and there was nothing about this in the induction materials.

Based on the situation, which do you think would be the best statement of nonconformity for the finding (pick one)?

Temporary employees are not competent

The recruitment agency is not competent

Temporary employees were bringing their own knives on site

On the job training not recorded

The process of ensuring competence of temporary employees is not effective

No checks to find where employees are bringing their own equipment onto site

Question 26 of 28

Question 27 of 28

27. Based on the audit situation which of the following do you agree with (pick one)

I would raise a major nonconformity

I would raise an opportunity for improvement

I would raise a minor nonconformity

The situation is compliant

Question 27 of 28

Question 28 of 28

28.

Following raising the nonconformity, the Cell Manager comes back to you 10 days later to say the nonconformity has been closed. He states the containment action taken was to issue an instruction to prohibit any employee bringing on site their own equipment (including knives), and to stop any temporary worker working alone until they are signed off as being competent, and a record of this maintained.

He states the root cause was no defined process for ensuring competence of any temporary employees. A process had been developed and any new temporary employee coming onto site would go through the induction and training process before being allowed to operate the process alone.

Based on this, which statement do you agree with? (pick one)

You would close the nonconformity based on the information provided, there would be no need to revisit the process

You would revisit the cell, sample some temporary workers and verify the new process shad been implemented effectively

You would reject the corrective action proposed

You would tell the Maintenance Manager that 5 days is too long to address the issue

Question 28 of 28

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Undertaking Effective Audits – Exide Technologies