Online Access Free ISO-9001-Lead-Auditor Exam Questions

You are preparing an audit plan for a third-party ISO 9001 audit of organisation ABC that extracts lithium from mines in Bolivia.
ABC's head office is in Lima, Peru, and it outsources all processes related to Production, Maintenance, Procurement and Human Resources to local Bolivian companies. ABC personnel manage in Bolivia only the Planning function.
Your plan starts in Lima, then you decide to go to Bolivia and fly back to Lima to audit the Quality Function and Top Management and conduct the closing meeting.
What would be your best decision when planning the audit in Bolivia?

• A.Proceed with the audit in Bolivia, including only ABC personnel and review, when you are back in Lima, the results of ABC's internal audits to evaluate the performance of the outsourced processes.
• B.Proceed with the audit in Bolivia, including only ABC personnel of the Planning function.
• C.Proceed with the audit in Bolivia, including all ABC personnel and all outsourced processes.
• D.Tell the Certification Body you work for that ABC cannot outsource all Production, Maintenance, Procurement and Human Resources processes in Bolivia.

Scenario 7: POLKA is a car manufacturing company based in Stockholm, Sweden. The company has around
14,000 employees working in different sectors which help with the design, painting, assembling, and test drives of the final product. The company is widely known for its qualitative products and affordable prices. In order to retain their reputation, POLKA implemented a quality management system (QMS) based on ISO
9001.
Before applying for certification, the company decided to conduct an internal audit to check whether there are any nonconformities in their QMS and if the requirements of ISO 9001 are being fulfilled. The top management appointed Sean, the internal auditor, as the team leader of the internal audit team. Sean required from the top management to have unrestricted access to the employees and executives of POLKA and to the documented information. Furthermore, Sean required to establish a team with a large number of auditors, considering the size and the complexity of the organization. The top management of POLKA agreed with Sean ' s requirements.
The top management, in cooperation with Sean, assigned 10 more employees to the audit team. Following that. Sean planned the audit activities and assigned the roles and responsibilities to each auditor. They began by interviewing employees of different manufacturing departments to check whether they are aware of the process of the QMS implementation. While conducting these activities, one of the auditors asked Sean for permission to audit the department in which he worked on a daily basis, as he was very familiar with the processes of the department.
Along the way, the teams findings showed that the staff were trained, documented information was updated, and the QMS fulfilled the requirements of ISO 9001. The internal audit took three weeks to complete, and on the last week the audit team held a final meeting The team shared their results and together drafted the audit report This report was submitted to the top management of the company. The report was maintained as documented information, and was available to the relevant interested parties.
Based on the scenario above, answer the following question:
Sean requested unrestricted access to the employees, executives, and documented information of POLKA. Is this in accordance with audit best practices?

• A.Yes, but the internal auditor should make such a request to the CEO directly as only the CEO of the company can approve such a request
• B.Yes, unrestricted access for the internal auditor should be provided by the company
• C.No, such requests are acceptable only if a third-party audit is being conducted

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?

• 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 mind writing to my programme manager with this request?
• D.Would you like a separate certificate for the IT packages to show your new client?

Scenario 4:
TD Advertising is a print management company based in Chicago. The company offers design services, digital printing, storage, and distribution. As TD expanded, its management recognized that success depended on adopting new technologies and improving quality.
To ensure customer satisfaction and quality improvement, the company decided to pursue ISO 9001 certification.
After implementing the QMS, TD hired a well-known certification body for an audit. Anne Key was appointed as the audit team leader. She received a document listing the audit team members, audit scope, criteria, duration, and audit engagement limits.
Anne reviewed the document and approved the audit mandate. The certification body and TD's top management signed the certification agreement.
Before contacting TD, Anne reviewed the audit scope and noticed that TD made changes to it due to the adoption of new printing equipment. However, Anne disagreed with the changes, stating they would affect the audit timeline. She considered withdrawing from the audit.
Based on scenario 4, conducting which of the activities below is NOT the responsibility of Anne?

• A.Establishing audit criteria and objectives.
• B.Signing the certification agreement.
• C.Determining the audit feasibility.
• D.Assigning responsibilities for the audit team members.

(Select two applicable benefits of third-party certification of ISO 9001 quality management systems for an organisation:)

• A.Demonstrates that the quality management system is capable of consistently achieving its stated quality policy and objectives.
• B.Demonstrates that the quality management system conforms to ISO 9001.
• C.Demonstrates that the quality management system can ensure the quality of their supplier.
• D.Demonstrates that the quality management system does not have any non-conformities.
• E.Guarantees that the organisation will not be audited by their customers.
• F.Demonstrates that the quality management system can ensure their product has also been certified.