ISO-9001-Lead-Auditor Exam Dumps : QMS ISO 9001:2015 Lead Auditor Exam

 First-party Management System audit → All members of an audited organisation

 Second-party Management System audit → Interested parties of an organisation

According to ISO 19011:2018 (Guidelines for Auditing Management Systems) and as reinforced in ISO 9001 Lead Auditor training materials, audit types are defined as:

First-party audit – conducted by the organization itself, or on its behalf (internal audit).✅ The audit client is all members of the audited organisation, because the audit is internal, involving all functional areas under the organization’s control.

Second-party audit – conducted by a customer or other person on behalf of a customer (external but not by a certification body).✅ The audit client includes interested parties of an organisation, such as customers who want to verify if their suppliers meet contractual or regulatory requirements.

These definitions are directly aligned with ISO 19011:2018, Clause 3.13 – Types of audits.

Why Other Options Are Incorrect:

Certification body / Accreditation body → These relate to third-party audits, not first or second.

Top management / Functions of an audited organisation → Refer to auditees or audit participants, not the audit client itself.

In ISO 9001:2015, the responsibility for managing the audit program lies with those overseeing the entire audit process rather than the Audit Team Leader. During the planning stage, before involving the Audit Team Leader, key actions for managing the audit program include:

1. Providing the Resources Needed: According to clause 7.1 (Resources), the audit program manager must ensure that the necessary resources are in place to conduct the audit effectively. This encompasses logistical support, personnel, and other required resources for the audit to proceed smoothly.

2. Reviewing Reports of Previous Audits: As per clause 9.2.2 (Internal Audit), it is essential to consider the results of previous audits to plan effectively for the upcoming audit. This helps identify areas that require particular attention, ensuring continuity and focusing on recurring issues or improvements since the last audit.

These actions ensure that the audit is thoroughly prepared and that there is continuity and focus on any areas that might need closer inspection. The other options, such as preparing the audit plan, assigning responsibilities, preparing checklists, and selecting the audit team members, generally fall under the duties of the Audit Team Leader once they are appointed and engaged in the planning process.

Comprehensive and Detailed Explanation From Exact Extract:

✅ Correct Option D – “I will sign all the purchase orders now.”

This response represents an immediate correction in accordance with ISO 9001:2015 Clause 8.4.3 – Information for external providers, which requires control over procurement documentation. The absence of required authorisation (signature) is a nonconformity in executing the organization’s purchasing procedure.

Clause 8.4.3 specifically mandates that the organization:

“Shall communicate to external providers its requirements for:

a) the processes, products and services to be provided;

b) the approval of:

products and services;

methods, processes, and equipment;

the release of products and services.”

The purchase order process includes documented approval, which in this case was defined internally as a signature by the Purchasing or Production Manager. Signing the documents retroactively, while not ideal, is a correction to bring the documentation back into compliance and resolve the immediate issue.

❌ Why Other Options Are Incorrect:

A. "No correction needed": Dismissing the nonconformity based on product performance fails to address the lack of documented control, violating Clause 8.4.3 and internal procedures.

B. "I will ask the Production Manager to sign them now": This option shows intention but lacks immediacy and ownership. Also, backdating signatures without traceability can be ethically questionable.

C. "I do not accept the nonconformity": This reflects noncompliance and a poor quality culture, contradicting ISO 9001’s Clause 5.1.1 (Leadership commitment).