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

Select six of the activities that are specifically required by ISO 17021-1 as part third-party (Certification Body) surveillance audit processes.

• A.Handling of customer complaints since last visit.
• B.Review the calibration status of the instrumentation.
• C.Confirm effectiveness of internal audit and management review.
• D.Complete a full document review of the quality management system.
• E.Review changes to the QMS since last visit.
• F.Failing to meet financial responsibilities.
• G.Audit use of certification marks on marketing materials.
• H.Verify legal compliance.
• I.Review the status of previously raised findings and audit effectiveness of any outstanding findings.
• J.Conduct a minimum number of annual surveillance audits during the certification period.

XYZ Corporation is an organisation that employs 100 people. As audit team leader, you are conducting a certification audit at Stage 1. When reviewing the quality management system (QMS) documentation, you find that quality objectives have been set for every employee in the organisation except top management.
The Quality Manager complains that this has created a lot of resistance to the QMS, and the Chief Executive is asking questions about how much it will cost. He asks for your opinion on whether this is the correct method of setting objectives.
Three months after Stage 1, you return to XYZ Corporation to conduct a Stage 2 certification audit as Audit Team Leader with one other auditor. You find that the Quality Manager has cancelled the previous quality objectives for all employees and replaced them with a single objective for himself. This states that "The Quality Manager will drive multiple improvements in the QMS in the next year". The Quality Manager indicates that this gives him the authority to issue instructions to department managers when quality improvement is needed. He says that this approach has the full backing of senior management. He shows you the latest Quality Improvement Request that was included in the last management review.

After further auditing, the issues below were found. Select three statements that apply to the term 'audit trail'

• A.The single quality objective set for the organisation by the Quality Manager.
• B.Evaluation of the results of the improvement action not always documented by the Quality Manager.
• C.Limited knowledge of the content of Quality Improvement Requests by departmental staff.
• D.Top management claim not to be aware of the improvement request (QI/12/20/HR-3) initiated by the Quality Manager.
• E.Decisions on improvement action timescales not involving departmental managers.
• F.Quality improvements not aligning with the quality policy.

You are conducting a third-party audit to ISO 9001 and interviewing the Training Manager. She explains that training is more important than ever because the organisation has had to reduce the number of staff employed. Many of the remaining staff are now required to be 'multi-skilled'. You ask to see plans for the multi-skilling training and are shown plans that look comprehensive, and include both 'on the job" training and internal and external training courses.
The records indicate that several staff required parts of their training to be repeated one month after the first training was provided. You ask why this was needed and are told that an investigation of customer complaints identified that several staff members did not complete certain tasks in the correct manner. The extra training was therefore recommended as a corrective action.
Based on this interview, which two of the tollowing audit trails would be the most appropriate to follow?
Select the two most appropriate audit trails from the following.

• A.Determine whether management has assessed the impact of staff reduction on the organisation's ability to meet its objectives.
• B.Review records to assess if all planned training has been completed.
• C.Determine whether customers were consulted about the risks associated with the multi-skilling training.
• D.Ask if customer complaints had ceased since the multi-skilled training finished.
• E.Ask the members of staff whether they found the training received useful.
• F.Assess whether Quality objectives are being met.

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. Training courses are offered either as open courses, delivered at a public venue, or online, or as courses that are tailored to meet specific requirements.
The business operates from a single office and those who deliver the training are either full-time employees or subcontractors.
You are interviewing the Training Manager (TM).
You: "What quality objectives apply to the training process?"
TM: "One of the quality objectives we aim for is a 90% minimum exam pass rate for all open training courses." You: "How do you measure this objective?" The Training Manager shows you a record on her computer and you see the following:

Which two of the following statements are true?

• A.You would raise a nonconformity as a requirement in clause 8.7 has not been fulfilled.
• B.You would determine the relative difficulty of each training course by reviewing them.
• C.You would determine what corrective action was being taken to address the low pass rates.
• D.You would determine how the exam pass rate figures were analysed.
• E.You would raise a nonconformity as a requirement in clause 10.2 has not been fulfilled.
• F.You would check the training of personnel.

Scenario 3:
Fin-Pro is a financial institution in Austria offering commercial banking, wealth management, and investment services. The company faced a significant loss of customers due to failing to improve service quality as they expanded.
To regain customer confidence, top management implemented a QMS based on ISO 9001. After a year, they contacted ACB, a local certification body, to pursue ISO 9001 certification.
The audit team was led by Emilia, an experienced lead auditor, and included three auditors. After an agreement was reached, ACB sent the audit objectives to the audit team.
The audit team began by gathering information about Fin-Pro's understanding of ISO 9001 requirements.
While reviewing documented information, they noticed missing records of training and awareness sessions.
They conducted employee interviews to verify attendance.
The team also reviewed the organizational chart and job descriptions to confirm employee competence. They observed the company's working environment (social, psychological, and physical conditions).
The audit team analyzed the evidence and prepared an audit report with findings and conclusions.
Based on the last paragraph of scenario 3, which audit principle did the audit team follow?

• A.Confidentiality.
• B.Fair presentation.
• C.Objectivity.
• D.Integrity.