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QMS ISO 9001:2015 Lead Auditor Exam Questions and Answers

Question 45

You are carrying out an audit at an organisation seeking certification to ISO 9001 for the first time. The organisation offers health and safety training to

customers.

You are interviewing the Quality Systems Manager (QSM).

You: "What risks and opportunities have the business identified?"

QSM: "I'1l show you. This was discussed with the Managing Director at the latest management review."

Narrative: The QSM shows you the latest management review record and points to the following table:

You: "How is the business planning to address these risks and opportunities?"

QSM: "The MD said that they already knew about them so it was not necessary."

Options:

Question 46

Select six tasks you would expect to be completed at the audit team meeting of a third-party audit team leader and his audit team in preparation for a Closing meeting for a four-day initial certification audit.

Options:

A.

Audit team leader informs the individual(s) managing the audit programme that the closing meeting is ready to be held.

B.

Hold daily audit team meeting to review any timetable issues and potential findings and their impact on the audit for other team members.

C.

Final audit team meeting to agree findings and categories including clarification of any uncertainties.

D.

Agree the roles of each audit team member for the closing meeting.

E.

Audit team review any points raised by the auditee nominated representative.

F.

Audit team agree final audit outcome recommendation.

G.

Audit team leader completes final report, including individual findings and certification recommendation.

Question 47

For a third-party, match the Activity with the Responsibility for conducting it.

Options:

Question 48

An audit team of three people is conducting a Stage 2 audit to ISO 9001 of an engineering organisation which manufactures sacrificial anodes for the

oil and gas industry in marine environments. These are aluminium products designed to prevent corrosion of submerged steel structures. As one of

the auditors, you find that the organisation has shipped anodes for Project DK in the Gulf of Mexico before the galvanic efficiency test results for the

anodes have been fully analysed and reported as required by the customer. The Quality Manager explains that the Managing Director authorised the

release of the anodes to avoid late delivery as penalties would be imposed. The customer was not informed since the tests rarely fall below the

required efficiency. You raise a nonconformity against clause 8.6 of ISO 9001.

During the audit team meeting in preparation for the Closing meeting, the second auditor disagreed with the clause of ISO 9001 selected for the

above nonconformity. He thinks it should be clause 9.1.1.

Choose three options for how the audit team leader should best respond to the situation:

Options:

A.

The audit team leader will refer to the quality manager to determine which clause they agree with.

B.

Advise that he will think about the clause and announce his decision during the Closing meeting.

C.

Immediately agree with the second auditor that clause 9.1.1 would be better.

D.

Immediately overule the objection of the second auditor with no discussion of the clause.

E.

Invite you and the second auditor to fully explain your point of view and then decide which clause to select.

F.

Review the evidence with you and the second auditor, and then decide which clause of ISO 9001 would best apply.

G.

Suggest that neither clause is accurate and instead propose clause 9.1.3 as the best one for the nonconformity.