QCS MANAGEMENT PVT LTD

AS 9100 LEAD AUDITOR EXAMINATION PAPER

CONFIDENTIAL
Examination Paper
Please write your name and the date in the space below.

NAME
DATE

Section Max marks Pass mark Achieved

1 10 8
2 20 15
3 30 20
4 30 20
Total 90 63

1
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Lead Auditor Examination

Aerospace Management System

Section one – Five questions worth two marks each

1. a) State who uses ISO 9001 and for what purpose.

(1 mark)

b) Identify the most significant difference between

ISO 9001 and ISO 19011. (1
mark)

2. Explain, in the context of auditing, the difference

between being argumentative and being assertive. (2
marks)
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AS 9100 LEAD AUDITOR EXAMINATION PAPER

3. List two ISO 9001 clauses (number and title) that support the
quality management principle of a „systems approach‟.
(2 marks)

4. Clause 8.3.5 of ISO 9001 requires design verification to be

carried out. List two verification activities that may be used
by the design function of an organization. (2 marks)

5. Identify two ways in which an auditor can verify that agreed

corrective actions have been effectively implemented.
(2 marks)
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Lead Auditor Examination

Aerospace Management System

Section two – Four questions worth five marks each

1. In your own words, briefly explain the plan, do, check, act
cycle in the context of an ISO9001 quality management
system. State one relevant clause of ISO 9001 for each
part of the cycle. (5 marks)

2. a) Describe briefly a method you could use to evaluate

top management commitment. (2 marks)

b) Give three examples of audit evidence you would

gather as part of your evaluation. (3 marks)

3. A positive auditor attribute is to be diplomatic.

a) State the meaning of „diplomatic‟ and give an example to

demonstrate how an auditor could be diplomatic.
(3 marks)

b) Describe briefly the effect that not being

diplomatic could have on an audit. (2
marks)
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AS 9100 LEAD AUDITOR EXAMINATION PAPER

4. At the opening meeting of a Stage Two certification audit,

the management representative of the auditee organization
informs the auditor that a recent customer (second-party)
audit has found many nonconformities related to the
purchasing department.

Corrective action has been planned. The management

representative suggests that to audit this department again
would add no value and asks if you could delete this from the
plan and spend more time in the production area.

Outline the issues you would include in the response

you would give to this request. (5
marks)
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Lead Auditor Examination

Aerospace Management System

Section three – Three questions worth ten marks each

1. Give four examples each of internal issues, external

issues and interested parties for any general
Organization

2. List down all the clauses and sub clauses of ISO

9001:2015 and state how many documented
information are required to be maintained as per
requirements of the standard (10
marks)

3. You are planning to audit the testing laboratory of an

Organization. Describe how you would apply a process
approach to auditing the laboratory.

Your answer should identify four distinct areas of

investigation. (2
marks)

For each distinct area of investigation, outline the

associated audit evidence you would expect to find to
demonstrate that the activities of the testing laboratory
are conforming to the relevant clauses of ISO 9001 and
state the applicable clause(s) of ISO 9001. (8 marks)

You may use text and/or diagrams to explain your approach.

Section four – Three questions worth ten marks each

Instructions to students:
Questions in this section are designed to test your ability to analyse audit
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AS 9100 LEAD AUDITOR EXAMINATION PAPER

situations, evaluate audit evidence and apply knowledge of the audit criteria
correctly.
You are also required to demonstrate your ability to write a well constructed
nonconformity statement that clearly describes the weakness or failure of the
management system, the audit evidence and the requirement(s) of the standard.
Three audit situations are described. For each, you are required to determine if
there is sufficient evidence to report your findings as a nonconformity with the
audit criteria, ISO 9001 (current issue).
 Where you determine there is sufficient evidence you should complete
the nonconformity report.
To gain full marks you must write a well constructed nonconformity
statement that describes clearly the weakness or failure of the management
system, the audit evidence and the requirement(s) of the standard.
OR
 Give your reason(s) for thinking there is not yet sufficient evidence
to report your findings as a nonconformity and describe the
investigation you would follow to determine conformity or
nonconformity. Give details of audit trails you would follow, state
what audit evidence you would seek and for what purpose, quoting
relevant ISO 9001 clause numbers.
To gain full marks you must demonstrate understanding of the issue(s)
in the audit situation and your ability to investigate and collect relevant
audit evidence. Audit trails and audit evidence must relate clearly to the
audit situation and be sufficiently comprehensive to enable conformity or
nonconformity to be determined.

Audit situation one:

In the final inspection and despatch area, you are interviewing the
Packing and Despatch Supervisor and examining the inspection and
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Lead Auditor Examination

Aerospace Management System

despatch records for order number 1234, relating to product XYZ that is
due to be despatched to a customer.
You note that in the final inspection section of the records the word „OK‟ is
written with the initials JW alongside it. The supervisor tells you that JW is
one of the inspectors.
You ask the supervisor: „Who has authorized the release of the product?‟ The
supervisor replies that this is not necessary for this type of routine product and
it is clear from the records that the inspection was satisfactory. He says: „We
only get a signature from the Chief Inspector if there has been a problem
during production and they had to do some rectification to the product.‟
You check the organization‟s documented procedures and find they state
that the Chief Inspector is responsible for the final release of all products.

If you think there is sufficient evidence to report your findings as a

nonconformity:

 Complete the nonconformity report in a NC report format to be

designed by you.

OR
 Complete your answer on the following page.

Audit situation two:

You are auditing the design process in an organization that designs and
manufactures industrial equipment. You find that they are currently
addressing a serious customer complaint relating to faulty safety
mechanisms. They have sent engineers to this customer to repair some
equipment they designed, manufactured and supplied two years earlier for
contract number A123. You decide to use this contract to assess the
effective implementation of the design process.
You find a recent note on file that states that the engineers are currently
having difficulty in repairing the equipment because the design drawings they
are using (serial number X134, revision 3), which were issued with the
equipment, do not show changes to the electronic safety mechanisms that
were made prior to delivery and installation of the equipment.
You review the design records with the Design Manager and confirm that
revision 3 is the final version of the drawings and it does not include the
changes to the safety mechanisms. You ask the Design Manager why they
were not recorded and he replies that it was not really necessary as the
changes were minor and it didn‟t affect the customer‟s contract specification.

Complete the nonconformity report in a NC report format to be

designed by you.

OR
 Complete your answer on the following page.
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AS 9100 LEAD AUDITOR EXAMINATION PAPER

Audit situation three:

During an audit of an insurance company, you ask the Personnel Manager to
show you the training records for three people who work in the Claims
Department. You see from the training records that each has attended a
course on customer care.
You ask the Personnel Manager how they evaluate the training. The Personnel
Manager replies, “We ask every person who attends a training course to
complete a questionnaire on whether they enjoyed the course, how useful they
found the training and how good the tutor was. This information helps us decide
whether to send other staff on the course”.
You examine the questionnaires completed by the three people who attended
the customer care course and note that all three awarded high marks on how
enjoyable they found the course, the usefulness of the course and a satisfactory
score for the tutor.

Complete the nonconformity report in a NC report format to be

designed by you.

OR
 Complete your answer on the following page.