Free PECB ISO-9001-Lead-Auditor Exam Questions

Question 1

A small deaning services organisation is about to start work on a hospital dleaning contract for the localHealth Trust. You, as auditor, are conducting a Stage 2 audit to ISO 9001 and review the contract with theService Manager. The contract requires that a cleaning plan is produced. You: "How was the cleaning plan forthe contract developed?" Service Manager: "We have a basic template that covers the materials, labourrequirements and cleaning methods to be employed. Some of that is specified by the customer." You: "Howdoes the plan deal with locations like the intensive care wards and the operating theatres, which are includedin the contract?" Service Manager: "The basic plan covers general wards, but we will do more frequentcleaning in those areas if the hospital requests it." You: "Are you aware of the regulatory requirements for cleaning standards in hospitals?" Service Manager: "No. We depend on the hospital to look after that side ofthings in the contract." You decide to raise a non-conformity against section 8.2.2.a.1 of ISO 9001. Youdecide to raise another non-conformity against section 8.2.4 of ISO 9001 when finding that the cleaning planwas amended without the agreement of the Health Trust. A different cleaning chemical was substituted to thatspecified in the contract. At the follow- up audit, the corrective action proposed was to "obtain a concessionfrom the Health Trust for use of the new chemical." Which one of the following options is the reason why youdid not accept this action taken?

A : The substitute chemical has not been used before in the Health Trust.

B : The action assumes that the Health Trust will agree to the change.

C : Staff have not been trained in the use of the new chemical.

D : The process for making changes to the contract has not been addressed.

E : The substitute chemical may not be as effective as the original.

Answer: D

Question 2

A small deaning services organisation is about to start work on a hospital dleaning contract for the localHealth Trust. You, as auditor, are conducting a Stage 2 audit to ISO 9001 and review the contract with theService Manager. The contract requires that a cleaning plan is produced. You: "How was the cleaning plan forthe contract developed?" Service Manager: "We have a basic template that covers the materials, labourrequirements and cleaning methods to be employed. Some of that is specified by the customer." You: "Howdoes the plan deal with locations like the intensive care wards and the operating theatres, which are includedin the contract?" Service Manager: "The basic plan covers general wards, but we will do more frequentcleaning in those areas if the hospital requests it." You: "Are you aware of the regulatory requirements for cleaning standards in hospitals?" Service Manager: "No. We depend on the hospital to look after that side ofthings in the contract." You decide to raise a non-conformity against section 8.2.2.a.1 of ISO 9001. Youdecide to raise another non-conformity against section 8.2.4 of ISO 9001 when finding that the cleaning planwas amended without the agreement of the Health Trust. A different cleaning chemical was substituted to thatspecified in the contract. At the follow- up audit, the corrective action proposed was to "obtain a concessionfrom the Health Trust for use of the new chemical." Which one of the following options is the reason why youdid not accept this action taken?

A : The substitute chemical has not been used before in the Health Trust.

B : The action assumes that the Health Trust will agree to the change.

C : Staff have not been trained in the use of the new chemical.

D : The process for making changes to the contract has not been addressed.

E : The substitute chemical may not be as effective as the original.

Answer: D

Question 3

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 asopen courses, delivered at a public venue, or online, or as courses that are tailored to meet specificrequirements. The business operates from a single office and those who deliver the training areeither 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 trainingcourses."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 check the training of personnel

B : You would determine how the exam pass rate figures were analysed

C : You would determine the relative difficulty of each training course by reviewing them

D : You would determine what corrective action was being taken to address the low pass rates.

E : You would raise a nonconformity as a requirement in clause 10.2 has not been fulfilled.

F : You would raise a nonconformity as a requirement in clause 8.7 has not been fulfilled.

Answer: B,D

Question 4

In the context of a third-party certification audit, it is very important to have effective communication. Which is not the responsibility of the audit team leader?

A : If audit objectives are unattainable, reporting the reasons to the accreditation body

B : Planning formal communication arrangements, so an auditee can communicate with the auditor any time during the audit.

C : Confirming formal communication channels between the audit team and the auditee during the opening meeting.

D : Communicating the progress, any significant findings and any concerns to the auditee and audit client, as appropriate.

Answer: A

Question 5

ABC is a fast food shop that receives orders by phone or the internet. The normal menu includes 15 differenttypes of hamburgers; however, in thelast 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 isstill the normal one, with 15 differenthamburgers. During a 30-minute period, you observed several customers reluctantly accepting other than thehamburger they preferred. You decidedto 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 trainingprogramme for all personnel, which you have already seen when auditing Human Resources. This shortage ofsome hamburgers cannot be considered a management system failure.Which one would be your answer from the following 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.

Answer: C