Master PECB ISO-9001-Lead-Auditor Exam with Reliable Practice Questions

You are conducting a Stage 1 audit at an organisation that services refrigeration equipment for a large customer base.

The scope of certification is "Provision of refrigeration equipment maintenance and repair services". You are interviewing

the Managing Director to learn more about the organisation and to explore how the requirements for policy, objectives,

and risks and opportunities in ISO 9001 are addressed.

The Managing Director explains that they only use sub-contract refrigeration engineers and do not have any full-time

refrigeration engineers, which helps to optimise overhead costs. The full-time staff employed are essentially a small team

of office staff who process customer enquiries, schedule jobs and process invoices.

The Managing Director adds that the ISO 9001 requirements for competence of personnel extends to both sub-contract

and full-time staff. He also states that the full-time staff are aware of the Quality Policy, objectives and plans to address

risk and opportunities.

You ask if the sub-contract engineers have been informed of the Quality Policy, objectives and plans to address risks and

opportunities, to which the Managing Director replies that this is not applicable as they only use sub-contractors who

operate ISO 9001 certificated quality management systems. The documented information provided to the auditor

confirms this.

Which clause in ISO 9001 is most likely not to have been fulfilled in this instance?

During the opening meeting of a third-party audit of a pharmaceutical organisation (CD9000) with seven COVID-19 testing laboratories in various terminals at a major international airport, you are asked if you could

visit all laboratories. As audit team leader you say that, based on sampling criteria, you had planned to audit only three of them as CD9000 is a multisite organisation.

They tell you that they have worked so hard to get ready for the audit that the supervisors of those laboratories that would not be visited would be quite disappointed.

The following are possible responses to the request, select the two best responses:

You, as auditor, are in dialogue with the quality lead and managing director of a small business that supplies specialist

laboratory equipment and furniture.

You: "I'd like to look at how you manage change in the organisation. What changes have you made as a business, say,

over the last 12 months?"

Auditee: "We have made some strategic changes, the main one being that we no longer manufacture our own products

in house."

You: "That sounds like quite a significant change. What has been the impact of that?"

Auditee: "We now mainly sell other manufacturers' products, under their brand names, and have outsourced

manufacture of our own brand products to one of our suppliers. Unfortunately, we had to make six members of our staff

redundant. This represents about 20% of our workforce, so this has been quite a challenging time."

This scenario presents a number of audit trails to different ISO 9001 requirements.

Which three of the following requirements would be relevant audit trails for this scenario?

An internal auditor of a manufacturer of polystyrene packaging products for the electronics industry raised a nonconformity against

section 10.3 of ISO 9001 in Report IA202. The nonconformity (NC 3) stated:

"The reject rate of 'finished' product of 9.7% needs improvement as it doesn't meet the stated objective of top management of 5%."

Just before the Closing meeting of a third-party audit, the audit team leader is invited to a meeting with the Quality Manager. He tells

the audit team leader that a member of the audit team was seen taking photographs of the factory on his phone during the day and

wants him suspended from the Closing meeting with any nonconformities raised by him rescinded. The issue of photographs was not

discussed during the opening meeting.

Select the three options for how the audit team leader might deal with this situation.

A Health Trust has contracted with Servitup, a catering services company that has been certified to ISO

9001 for one year. It provides services to 10 small rural hospitals in remote locations involving the

purchase and storage of dry goods and fresh produce, preparing meals and loading heated trolleys for

ward service by hospital staff. You, as auditor, are conducting the first surveillance audit at one site with

the Deputy Catering Manager (DCM).

DCM: "I apologise for the absence of the Catering Manager. He has called in sick today and we are really

short of staff."

You: "I see. It really shouldn't affect the QMS so the audit can progress as normal."

DCM: "The Catering Manager set up the system. I'm afraid I'm not as familiar with it as he is."

You: "OK, let's start with the Quality Policy. What are the main issues for the QMS here?"

DCM: Give me a minute. I need to look at the Quality Policy on the noticeboard in his office.

You find that two internal audits have been carried out in the first year by the Catering Manager. One of

them indicates that complaints from patients are increasing in number, mainly due to food being served

too cold. The DCM comments that the trolley thermometer is often unreliable.

Which two of the following actions would be "correction" in dealing with the complaints?