ISO-14001-LEAD-AUDITOR practice question 6 of 10

The audit lifecycle describes the ISO 19011 process for conducting an individual audit. Which two of the following are part of conducting the audit activities?

Full set: 40 questions
Answer options
A: Hold the opening meeting Correct answer
B: Assign work to the audit team
C: Distribute the audit report
D: Verify corrective action effectiveness
E: Determine audit feasibility
F: Determine audit conclusion Correct answer
Correct Answer:
A. Hold the opening meeting; F. Determine audit conclusion
Explanation

According to ISO 19011:2018, Guidelines for auditing management systems, the process of "conducting audit activities" (Clause 6.4) includes the formal execution of the audit. This phase begins with the opening meeting to confirm the audit plan with the auditee (Clause 6.4.3). It encompasses the collection and verification of information, generating audit findings, and culminates in preparing the audit conclusions (Clause 6.4.9) before the closing meeting. These conclusions form the basis of the audit report. Therefore, holding the opening meeting and determining the audit conclusion are integral parts of this specific phase.

Why Incorrect

B. Assign work to the audit team: This is part of "Preparing audit activities" (ISO 19011:2018, Clause 6.3.3), which occurs before the on-site audit execution begins.
C. Distribute the audit report: This is a distinct, subsequent phase, "Preparing and distributing the audit report" (ISO 19011:2018, Clause 6.5), which follows the conclusion of on-site activities.
D. Verify corrective action effectiveness: This is part of "Conducting audit follow-up" (ISO 19011:2018, Clause 6.7), which may occur long after the audit itself is completed.
E. Determine audit feasibility: This is an initial step performed during the "Initiating the audit" phase (ISO 19011:2018, Clause 6.2.3) to ensure the audit can be conducted.

References

1. International Organization for Standardization (ISO). (2018). ISO 19011:2018, Guidelines for auditing management systems.

Section 6.4, "Conducting audit activities," outlines the entire phase.

Section 6.4.3, "Conducting the opening meeting," explicitly lists this as a step within conducting the audit.

Section 6.4.9, "Preparing audit conclusions," specifies this as the final step within the conducting phase, before the closing meeting.

Incorrect options are addressed in separate clauses: 6.2.3 (E), 6.3.3 (B), 6.5 (C), and 6.7 (D).

2. PECB. (2022). ISO 14001 Lead Auditor Training Course Material.

Day 3: Conducting an ISO 14001 audit. This module details the steps of audit execution as per ISO 19011, Clause 6.4, covering the opening meeting, communication, evidence collection, generating findings, and formulating conclusions. It clearly distinguishes these activities from the preparation (Day 2) and reporting/follow-up (Day 4) phases.

3. University of Strathclyde, Department of Civil & Environmental Engineering. (n.d.). CV421/CV975 Environmental Management Systems, Lecture 6: Environmental Auditing.

Slide 15, "The Audit Process," presents a flowchart based on ISO 19011. It clearly places "Opening Meeting" and "Review Findings & Prepare Conclusions" within the "On-site Audit" (Conducting) phase, while activities like "Assign Team" are in "Preparation," and "Issue Report" and "Follow-up" are subsequent stages.

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