CQI IRCA ISO 9001 Lead Auditor Sample Exam Questions and Answers (2023)

CQI IRCA Certified ISO 9001 Lead Auditor Sample Exam Questions and Answers

To successfully complete CQI IRCA Certified ISO 9001 QMS Lead Auditor course, learners must pass both the continuous evaluation and the final examination.

1. Continuous Evaluation

It is a formative assessment that will be held throughout the 5 days course. You will undergo audit activities, and be provided daily feedback on your progress which will help you increase your knowledge in performing audits. The activities of each delegate are graded by the tutor. You need to successfully complete all the activities and score a minimum passing grade in the continuous evaluation.

2. Final Examination

Here are some of the key details you need to know before appearing for the final examination.

1. The duration of the exam is 120 Minutes, however, if you are a non-native speaker you will be given an extra 24 Minutes in addition to the 120 Minutes.

2. The exam is conducted both in class or online depending on the mode of your training. (3FOLD Education Centre conducts the entire training and the final exam online)

3. The only resource that you can use during the exam is the relevant ISO Scheme standard ISO 9001:2015. It is not permissible to use ISO 19011 standard.

4. English dictionary is allowed, however, it is not found useful by many of the participants.

ISO 9001 Lead Auditor Sample Exam Questions and Answers:

There are 4 sections in the ISO 9001 QMS Lead Auditor examination as illustrated in table 1 below. In this ISO 9001 lead auditor sample exam questions and answer article, we will examine one question per section and provide their answers.

In table 1 you can find the question break-ups and the passing scores.

Table 1: ISO 9001 Exam Section and Question break-up

SectionNo of QuestionsMinimum Pass MarkMaximum Pass Mark

Table 1 shows us the total available and minimum marks to pass each section. It is mandatory to pass each section. For example: if you have scored 6 marks on section 1, 18 marks on section 2, 10 marks on section 3 & 30 marks on section 4, your subtotal would be 64 marks. Though you have scored a total of 64 marks, since you haven’t scored the minimum passing marks on section 3, it will still be considered a failure.

Now let’s look at a few sample exam questions in each section.

Section 1:
This section has 5 questions and each carries 2 marks, minimum passing score on section 1 would be 4.5 marks out of 10 marks.

Sample Question: Define Process & Process Mapping. (2 marks)

(Video) ISO 9001 : 2015 Lead Auditor Training Course, Exam Tips "Part 9 - Mock Exam, Question & Answers"

Sample Answer:

Process: A set of interrelated or interacting activities which transforms inputs into outputs

Process Mapping: The purpose of process mapping is for organizations and businesses to improve efficiency

Note: CQI IRCA provides ATP a grading scheme. However, while grading the paper it is not necessary that your answer must match exactly as per the grading scheme. Trainers will use their discretion while grading the paper according to the answer you have provided. Questions that relate to identifying the clause numbers are objective in nature and should match the grading scheme.

Section 2:
This section has 4 questions and each carries 5 marks, minimum passing score on section 2 would be 9.5 marks out of 20 marks.

Sample Question: Provide any five risk factors that are associated with a poorly designed audit program. (5 marks)

Sample Answer:

    • Planning, e.g. failure to set relevant audit objectives;
    • Resources, e.g. allowing insufficient time;
    • Selection of the audit team, e.g. the team does not have the collective competence to conduct audits effectively;
    • Implementation, e.g. ineffective communication of the audit program;
    • Records and their controls, e.g. failure to adequately protect audit records to demonstrate audit program effectiveness;
    • Monitoring, reviewing, and improving the audit program

Section 3:
This section has 3 questions and each carries 10 marks, minimum passing score on section 3 would be 14.5 marks out of 30 marks.

Sample Question:

Take any organization of your choice and answer the following two questions (10 Marks)

1. Write Five Quality Objectives for an Organization (5 marks)

2. Write Five agenda items for a Management Review Meeting (5 marks)

Sample Answer A:

Note: Depending on the organization the quality objectives are set. However, there are certain basic requirements in setting up the quality objectives that will be taught in the training. Here are a few examples of the Quality Objectives of a Construction Organization mentioned in table 2 please refer.

Table 2: Quality Objectives for an Organization

(Video) How to answer Lead Auditor ISO 45001 exam (English)

1Reduction of In house rejection (PPM)10000500015.6.21
2Improving customer satisfaction %859031.8.21
3Improving external providers performance %809025.7.21
4Training Plan Vs Actual %909531.12.21
5Reducing customer rejection PPM120050031.12.21

Sample Answer B:

Note: Depending on the organization the meeting agenda is set. Here are a few examples of management review meeting agenda items.

a) The status of actions from previous management reviews;

b) Changes in external and Internal Issues that are relevant to the quality management system;

c) Information on the performance and effectiveness of the quality management system, including trends in:

1) customer satisfaction and feedback from relevant interested parties;

2) the extent to which quality objectives have been met;

3) process performance and conformity of products and services;

4) nonconformities and corrective action;

5) monitoring and measurement results;

6) audit results;

7) the performance of external providers;

8) the adequacy of resources;

9) the effectiveness of action taken to address risk and opportunities ;

(Video) 20 QA on ISO 9001:2015 Latest Quality Management System| MockTest/Exam_ link in Description|Part1

10) opportunities for improvement.

Section 4:
This section has 3 questions each carries 10 marks, minimum passing score on section 4 would be 14.5 marks out of 30 marks. (10 marks)

Questions in this section are designed to test your ability to analyze audit situations, evaluate audit evidence and apply knowledge of the audit criteria correctly.

You are required to either:

1. Complete the non-conformity report template (or)
2. Complete the audit investigation template

Depending on the case, you have to determine whether to use a non-conformity or audit investigation template.

Non-Conformity template grading rubric:

1. For correctly identifying the scenario as non-conformity (2 Marks)
Description of the nonconformity (3 Marks)
3. Relevant Evidence (3 Marks)
4. ISO 9001:2015 Clause and requirement (2 Marks)


Audit investigation template grading rubric:

1. Their reasons for why there is not yet sufficient evidence to report nonconformity. (2 marks)
2. Write four audit trails they would follow and specific examples of audit evidence. (8 marks)

Sample Question 1 – Case study

During a surveillance audit of JEB Manpower (a company that supplies manpower to shipping & logistic companies), it is observed that while verifying documented information in the customer complaint register, at varying occasions and ongoing for many years, workers were returned due to lack of experience and knowledge.

As an auditor, you interviewed the manager to know why this has been happening and he confirmed that he is well aware of the situation, and it is so because of insufficient funding and low profit margin. You inquired further to know what viable action has been taken to supply skilled manpower to the customer and to ensure their satisfaction. The manager replied that before sending workers to the customer, they conduct awareness training as it is economical.

Sample Answer:

(Video) Exemple d'examen IRCA ISO9001 version 2015 Part 1

Based on the given scenario, we will now see how to fill the non-conformity template.

1. You need to correctly identify the scenario as non-conformity. (2 Marks)

2. Description of the nonconformity (3 Marks)

The organization does not meet the requirements of its customer, even though the customer had complained several times.

3. Relevant Evidence (3 Marks)

The customer complaint register shows that the services provided to the customer are not meeting acceptance criteria.

4. ISO 9001:215 Clause and requirement (2 Marks)

8.5.1 Control of production and service provision
The organization shall implement production and service provisions under controlled conditions. Monitor & measure activities at appropriate stages to verify that criteria for control of processes or outputs, and acceptance criteria for products and services, have been met.

Note: The QMS Exam is a closed book, only the ISO 9001:2015 standard will be allowed during your exam.

As part of the ISO 9001:2015 QMS Lead Auditor training program, participants will get a full-length specimen examination with answers and grading rubrics. This will help facilitate the preparation for the final examination. 3FOLD Education Centre tutors can help you to understand each element of the final examination.

What if you don’t pass the final examination?

We have a stellar passing track record. In the unlikely event of you not passing the final exam, the second attempt is completely free of cost. However, this will likely change because CQI IRCA is planning to administer the exam through a third-party testing partner.

Hope this ISO 9001 Lead Auditor sample exam questions and answers article has helped to ease the tension that you may have regarding the ISO 9001 final exam and show you that with our guidance and hard work, you can pass the ISO 9001 final exam!

Why 3FOLD?

3FOLD provides world-class training resources, including mock and specimen exam patterns for ISO 9001 QMS Lead Auditor course, this will help you know the type of questions to expect in the final exam.

Interested in knowing more?

Enroll in 3FOLD ISO 9001:2015 QMS Lead Auditor Course to gain access to our Learning Management System (LMS) where we have more ISO 9001 Lead Auditor sample exam questions and answers to help you in your final exam.

Have questions on this topic? Contact us through the contact us form, WhatsApp, or email.

(Video) 10 QA on ISO 9001:2015 Latest Quality Management System| MockTest/Exam_ link in Description|Part-2


How do I pass the IRCA Lead Auditor exam? ›

How to Pass the IRCA ISO Lead Auditor Examination? Boost your existing auditing skills! Enhance your knowledge to conduct a full audit! Develop your confidence to guide the management team of your own organization!

What questions do ISO auditors ask? ›

ISO Auditor Questions
  • What is your quality (environmental, safety, information security) policy? ...
  • What are your objectives? ...
  • Where do you get your procedures from? ...
  • What do you do if you find a nonconformance or a potential improvement? ...
  • What are your responsibilities?
4 Mar 2013

What is CQI & IRCA? ›

CQI (Chartered Quality Institute) is known as the Institute of Quality Assurance, it is the chartered body of quality professionals. It improves the performance of the organization by developing its capability in quality management. IRCA is the gold standard for management systems.

What does IRCA stand for in auditing? ›

With 18,000 members in 100 countries, we are the partner of choice for quality management practitioners and, through our International Register of Certificated Auditors (IRCA) certification, for systems audit professionals.

Which is the best lead auditor course? ›

7 Best Lead Auditor Certifications
  • Lead Auditor. ...
  • Certified Quality Auditor (CQA) ...
  • Certified Information Systems Auditor (CISA) ...
  • Certified Internal Auditor (CIA) ...
  • Project Management Professional (PMP) ...
  • Six Sigma Green Belt. ...
  • Certified Quality Management System Lead Auditor.
9 Sept 2021

What are the basic qualifications needed for a lead auditor? ›

There is not specific experience requirement for attending lead auditor training, therefore any one may attend the training which is for 5 days and need to pass the exam with 70% marks to become qualified lead auditor. Normally training have 2 parameter either to become ISO 45001 Lead Auditor and Lead Implementer.

How do I pass an ISO 9001 audit? ›

6 tips to ace your ISO audit
  1. Be well-prepared. The ISO certification should be a living management process that is constantly updated and optimized. ...
  2. Take internal audits seriously. ...
  3. Implement corrective actions. ...
  4. Don't forget your management review. ...
  5. Correctly monitor objectives. ...
  6. Ensure that everything is clean.

What type of questions do auditors ask? ›

What your auditor should ask
  • What is the evidence to support that? Your auditor will want to see documentary evidence of selected transactions to ensure their validity.
  • Can you explain that to me? ...
  • Who else performs this function? ...
  • Are there any management incentive plans? ...
  • What's it like to work here?
25 Jul 2018

Which is better CQI or IRCA? ›

While CQI members deliver excellence in business, IRCA members are recognised as the gold standard in management systems auditing.

Does lead auditor Certificate expire? ›

Certificates usually don't have any "expiry". Being a "lead auditor" is not a matter of attending a training course and passing an exam.

How do I get an IRCA certificate? ›

In order to become an IRCA Certificated Auditor you must have successfully completed an IRCA Certified Training course in the past five years. The training course must be relevant to your grade and scheme.

What are CQI methods? ›

Continuous Quality Improvement (CQI) is a progressive incremental improvement of processes, safety, and patient care. The goal of CQI may include improvement of operations, outcomes, systems processes, improved work environment, or regulatory compliance. Process improvement may be "gradual" or "breakthrough" in nature.

Why is CQI important? ›

Continuous Quality Improvement is important because it provides: Delivery of high-quality of service to the customer. High performance through process efficiency. Fostering a cohesive team.

What is IRCA certified lead auditor? ›

IRCA International Register of Certificated Auditors is the world's original and largest international certification body for auditors of management systems. IRCA promotes best practice in global auditor training.

What is QMS lead auditor? ›

about the ISO 9001:2015 Quality Management System (QMS) Lead auditor course. The objective of ISO 9001:2015 Quality Management System (QMS) Lead Auditor course is to provide requisite knowledge and skills to plan, conduct and report a QMS audit according to the applicable audit principles, procedures and techniques.

What is an ISO 9001 Lead Auditor? ›

The ISO 9001 Lead Auditor training course is designed to: provide delegates with essential knowledge and skills needed for auditing Quality Management Systems in relation to ISO 9001:2015. explain the fundamentals of auditing practice. provide practical experience in planning, performing and reporting the audit.

What is the role of lead auditor? ›

A lead auditor is the one who is responsible for leading the audit team in an organization. He or she prepares the audit plan, delivers meetings and submits audit report at the end of quarter or year. Conducting audits is the main responsibility of a lead auditor and that needs to be done on a daily basis.

Who conducts ISO audit? ›

1. Internal Audits. An internal ISO audit can be conducted by a designated auditor within your company — if ISO compliance is your goal, an internal audit may be satisfactory for ensuring your company is adopting ISO standards as a model for best practices.

How do I get ISO certified as an auditor? ›

The certification process contains five stages:
  1. Stage one: gap analysis.
  2. Stage two: certification documentation.
  3. Stage three: developing a management system.
  4. Stage four: implementation.
  5. Stage five: auditing and ongoing improvements.

What are the questions asked in ISO 14001 audit? ›

Top ISO 14001:2015 Audit Questions

What Is your Environmental Management System policy? What are your Environmental Management System objectives? How do you control and maintain documentation? What is your internal audit schedule and how do you manage findings from those audits?

What is ISO audit checklist? ›

An ISO 9001 audit checklist helps the auditor to gather documentation and information about quality objectives, corrective action, internal issues, and customer satisfaction.

What are audit questions? ›

Audit questions can be divided into four main categories: preliminary, process-based, validation and risk. The primary purpose of an audit is to review the level of compliance with an organization's policies and any legal obligations.

What are the key process based questions that auditors should be asking? ›

Today, we're examining 7 types of questions to consider for your process audit checklists, including:
  • Safety.
  • Materials.
  • Motions.
  • Workstation design.
  • Process for reporting issues.
  • Documentation.
  • Follow-up.


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