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Helping Hand Questions for ISO-9001-Lead-Auditor

QMS ISO 9001:2015 Lead Auditor Exam Questions and Answers

Question 37

An audit team leader arrives at a printing organisation to carry out a Stage 2 audit for a certification body. At a meeting with the Quality Manager, she is told that they have won their biggest contract from a computer

manufacturer to print and compile computer documentation packages. They have leased the unit next door for space reasons but have never worked in this sector before. The Quality Manager wants the ISO 9001

certificate to cover the new contract.

Which one of the options is the correct response by the auditor?

Options:

A.

Do you realise that this involves an extension to the scope of the audit and will require an application process?

B.

How can we audit this area when we do not have an IT specialist in the team?

C.

Would you like a separate certificate for the IT packages to show your new client?

D.

Would you mind writing to my programme manager with this request?

Question 38

You have been just hired as the Internal Lead Auditor of a large organisation, responsible for internal audits. Your first job is to analyse the answers to nonconformities included in the report of a recent internal audit to Top Management.

The report contained one nonconformity as follows:

There is no evidence of Top Management ensuring the availability of resources to operate the QMS, the establishment of objectives, the promotion of continual improvement, and the promoting of the process approach.

Which four of the following Top Management actions can be considered 'corrections to the nonconformity'?

Options:

A.

Top Management appoints a senior manager to oversee the quality manangement system

B.

Top Management completed a course on ISO 9001

C.

All these actions will be reviewed during the Top Management meetings

D.

Improvement action has been promoted

E.

Objectives have been established

F.

Process approach has been communicated to the personnel

G.

Resources have been provided

Question 39

How much time is usually spent on the Stage 1 audit?

Options:

A.

20% of the total audit time

B.

30% of the total audit time

C.

40% of the total audit time

Question 40

An audit team of three people is conducting a Stage 2 audit to ISO 9001 of an engineering organisation that manufactures sacrificial anodes for the oil and gas industry in marine environments. These are aluminium products designed to prevent corrosion of submerged steel structures. You, as one of the auditors, 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 very rarely fall below the required efficiency. You raise a nonconformity against clause 8.6 of ISO 9001.

At the Closing meeting, the audit team leader presents the findings of the audit and comes to the above

nonconformity. The Quality Manager produces the test report for Project DK, which shows an acceptable galvanic efficiency, and presents an email from the customer confirming acceptance of the anodes. He asks that the nonconformity be withdrawn.

Which two of the following responses by the audit team leader would be acceptable?

Options:

A.

Accept the Quality Manager's request without reviewing the documentation.

B.

Advise management that the information provided will be reviewed at the audit follow-up stage.

C.

Ask the auditor (you) who raised the issue, to state what you think should happen

D.

Indicate that the nonconformity is evidence of a system failure that needs to be rectified.

E.

Refuse to accept the documentation produced and maintain the nonconformity.

F.

Thank the Quality Manager for his contribution but dismiss the information as irrelevant after a quick review.