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QMS ISO 9001:2015 Lead Auditor Exam Questions and Answers

Question 5

You are conducting an ISO 9001 audit of a Materials Recycling Facility (MRF). The organisation processes

waste plastics into raw materials for plastic bottle manufacturers. You reach the manual picking line where operators are removing contaminant materials from incoming products, such as plastic bags, plastic film and badly contaminated items that would compromise the recycling process. You interview the line supervisor.

You: "Why are these plastic items being rejected at this stage?"

Auditee: "They do not meet our processing standards."

You: "What is the reason for that?"

Auditee: "These items are likely to damage the machinery down the line. They can also compromise our

quality standards. We need to protect our reputation for good quality output materials."

You: "What happens to the rejected items?"

Auditee: "Some get melted down in another process later on and some are disposed of as waste products that cannot be recycled."

You: "What happens to the waste products?"

Auditee: "I'm not sure. I suppose they go to landfill."

Which two. of the following actions would you take to investigate further?

Options:

A.

Check the process for handling nonconforming items.

B.

Ask to review the percentage of waste materials.

C.

Find out if operators have regular hearing tests.

D.

Determine what happens to the waste products.

E.

Ask about operator PPE (Personal Protective Equipment).

F.

Determine whether there are quality objectives for reducing rejected material.

Question 6

What is an advantage of group interviews?

Options:

A.

Auditors pay more attention to each interviewee

B.

Equal duration of time for each interviewee to answer questions

C.

Less time-consuming

Question 7

ABC is a fast food shop that receives orders by phone or the internet. The normal menu includes 15 different types of hamburgers; however, in the

last two days, due to a shortage of a special type of meat, they can only prepare six of the 15 varieties.

You are performing a third-party audit of ABC; you observed that the menu offering food on the website is still the normal one, with 15 different

hamburgers. During a 30-minute period, you observed several customers reluctantly accepting other than the hamburger they preferred. You decided

to raise the following nonconformity as follows:

"There is evidence that ABC has not reviewed the ability to provide customers the offered products".

The restaurant manager does not accept the nonconformity. She says that ABC had an extensive training programme for all personnel, which you have already seen when auditing Human Resources. This shortage of some hamburgers cannot be considered a management system failure.

Which one would be your answer from the following options?

Options:

A.

I will maintain it open, and I will see what the Certification Body thinks about it.

B.

I will raise it as a major nonconformity and, therefore, cannot recommend certification of the quality management system.

C.

I will raise it as a minor nonconformity; you have the option to appeal to our Certification Body.

D.

You are right, it is not a system failure. I will change the nonconformity to a recommendation, but it will be audited carefully next time.

Question 8

ABC is a worldwide fast-food organisation. One of the branches, in downtown Cape Town, decided to

implement an ISO 9001 quality management system and you are the audit team leader (with two other

auditors) that will carry out the certification audits, Stage 2.

ABC receive the orders by phone or internet; some of the employees deliver the ordered food to indicated

addresses. The normal menu includes 15 different types of hamburgers; however, in the last two weeks,

due to a shortage of a special type of meat, they can only prepare six of the 15 varieties.

During the internal meeting of the audit team, you ask one of the auditors to describe what she has

observed. She audited the reception of orders from customers (via phone or internet) and the

communication of the orders to the kitchen. She noticed that the menu offering food on the website is still

the normal one, with 15 different hamburgers, and during a 30-minute period, she observed many

customers reluctantly accepting something other than the hamburger they preferred.

You, as audit team leader, inform the Quality Manager of your concern about the major nonconformity,

since you consider this a serious breach of the basic principles of quality that lasted two weeks without

action being taken.

Right at the beginning of the Closing meeting, you discuss the nonconformity with the General Manager.

She got quite upset and said she was going to make a complaint to the certification body and left the

room; the Quality Manager was the only member of ABC left with the audit team. The Quality Manager said the General Manager would not come back to the meeting.

What would you do? Choose the best from the following options:

Options:

A.

Ask the Quality Manager for a break to discuss the issue with the members of the audit team.

B.

Ask the Quality Manager to listen to the nonconformity the auditor will present and continue with the meeting until its closure.

C.

Inform the Quality Manager that the certification process is put on hold and leave the room.

D.

Inform the Quality Manager that you consider the meeting closed, and that you will report to the Certification Body for instructions.