ISO 9001 Lead Auditor Sample Exam

Questions and Answers:

There are 4 sections in the ISO 9001 QMS Lead Auditor
examination as illustrated in table 1 below. In this ISO 9001
lead auditor sample exam questions and answer article, we
will examine one question per section and provide their
answers.

In table 1 you can find the question break-ups and the

passing scores.

Table 1: ISO 9001 Exam Section and Question break-up

Sectio No of Minimum Pass Maximum Pass

n Questions Mark Mark
1 5 4.5 10
2 4 9.5 20
3 3 14.5 30
4 3 14.5 30
Total 15 62.5 90

Table 1 shows us the total available and minimum marks to

pass each section. It is mandatory to pass each section. For
example: if you have scored 6 marks on section 1, 18 marks
on section 2, 10 marks on section 3 & 30 marks on section
4, your subtotal would be 64 marks. Though you have scored
a total of 64 marks, since you haven’t scored the minimum
passing marks on section 3, it will still be considered a
failure.

Now let’s look at a few sample exam questions in each

section.

Section 1:
This section has 5 questions and each carries 2 marks,
minimum passing score on section 1 would be 4.5 marks out
of 10 marks.

Sample Question: Define Process & Process Mapping. (2

marks)

Sample Answer:

Process: A set of interrelated or interacting activities which

transforms inputs into outputs

Process Mapping: The purpose of process mapping is for

organizations and businesses to improve efficiency

Note: CQI IRCA provides ATP a grading scheme. However, while

grading the paper it is not necessary that your answer must
match exactly as per the grading scheme. Trainers will use their
discretion while grading the paper according to the answer you
have provided. Questions that relate to identifying the clause
numbers are objective in nature and should match the grading
scheme.

Section 2:
This section has 4 questions and each carries 5 marks,
minimum passing score on section 2 would be 9.5 marks out
of 20 marks.

Sample Question: Provide any five risk factors that are

associated with a poorly designed audit program. (5 marks)

Sample Answer:


o Planning, e.g. failure to set relevant audit
objectives;
o Resources, e.g. allowing insufficient time;
 o Selection of the audit team, e.g. the team does
not have the collective competence to conduct
audits effectively;
o Implementation, e.g. ineffective communication of
the audit program;
o Records and their controls, e.g. failure to
adequately protect audit records to demonstrate
audit program effectiveness;
o Monitoring, reviewing, and improving the audit
program

Section 3:
This section has 3 questions and each carries 10 marks,
minimum passing score on section 3 would be 14.5 marks
out of 30 marks.

Sample Question:

Take any organization of your choice and answer the

following two questions (10 Marks)

1. Write Five Quality Objectives for an Organization (5

marks)

2. Write Five agenda items for a Management Review

Meeting (5 marks)

Sample Answer A:

Note: Depending on the organization the quality objectives are

set. However, there are certain basic requirements in setting up
the quality objectives that will be taught in the training. Here are
a few examples of the Quality Objectives of a Construction
Organization mentioned in table 2 please refer.

Table 2: Quality Objectives for an Organization

 S. FRO TARGE
DESCRIPTION OF OBJECTIVE TO
NO M T
Reduction of In house rejection 1000 500
1 15.6.21
(PPM) 0 0
2 Improving customer satisfaction % 85 90 31.8.21
Improving external providers
3 80 90 25.7.21
performance %
31.12.2
4 Training Plan Vs Actual % 90 95
1
31.12.2
5 Reducing customer rejection PPM 1200 500
1

Sample Answer B:

Note: Depending on the organization the meeting agenda is set.

Here are a few examples of management review meeting agenda
items.

a) The status of actions from previous management reviews;

b) Changes in external and Internal Issues that are relevant

to the quality management system;

c) Information on the performance and effectiveness of the

quality management system, including trends in:

1) customer satisfaction and feedback from relevant

interested parties;

2) the extent to which quality objectives have been met;

3) process performance and conformity of products and

services;

4) nonconformities and corrective action;

5) monitoring and measurement results;

6) audit results;
7) the performance of external providers;

8) the adequacy of resources;

9) the effectiveness of action taken to address risk and

opportunities ;

10) opportunities for improvement.

Section 4:
This section has 3 questions each carries 10 marks,
minimum passing score on section 4 would be 14.5 marks
out of 30 marks. (10 marks)

Questions in this section are designed to test your ability to

analyze audit situations, evaluate audit evidence and apply
knowledge of the audit criteria correctly.

You are required to either:

1. Complete the non-conformity report template (or)

2. Complete the audit investigation template

Depending on the case, you have to determine whether to

use a non-conformity or audit investigation template.

Non-Conformity template grading rubric:

1. For correctly identifying the scenario as non-conformity (2

Marks)
2. Description of the nonconformity (3 Marks)
3. Relevant Evidence (3 Marks)
4. ISO 9001:2015 Clause and requirement (2 Marks)

or

Audit investigation template grading rubric:

1. Their reasons for why there is not yet sufficient evidence
to report nonconformity. (2 marks)
2. Write four audit trails they would follow and specific
examples of audit evidence. (8 marks)

Sample Question 1 – Case study

During a surveillance audit of JEB Manpower (a company

that supplies manpower to shipping & logistic companies),
it is observed that while verifying documented information
in the customer complaint register, at varying occasions
and ongoing for many years, workers were returned due to
lack of experience and knowledge.

As an auditor, you interviewed the manager to know why

this has been happening and he confirmed that he is well
aware of the situation, and it is so because of insufficient
funding and low profit margin. You inquired further to know
what viable action has been taken to supply skilled
manpower to the customer and to ensure their satisfaction.
The manager replied that before sending workers to the
customer, they conduct awareness training as it is
economical.

Sample Answer:

Based on the given scenario, we will now see how to fill the
non-conformity template.

1. You need to correctly identify the scenario as non-

conformity. (2 Marks)

2. Description of the nonconformity (3 Marks)

The organization does not meet the requirements of its

customer, even though the customer had complained
several times.

3. Relevant Evidence (3 Marks)

The customer complaint register shows that the services
provided to the customer are not meeting acceptance
criteria.

4. ISO 9001:215 Clause and requirement (2 Marks)

8.5.1 Control of production and service provision

The organization shall implement production and service
provisions under controlled conditions. Monitor & measure
activities at appropriate stages to verify that criteria for
control of processes or outputs, and acceptance criteria for
products and services, have been met.

Note: The QMS Exam is a closed book, only the ISO 9001:2015
standard will be allowed during your exam.

As part of the ISO 9001:2015 QMS Lead Auditor training

program, participants will get a full-length specimen
examination with answers and grading rubrics. This will
help facilitate the preparation for the final examination.
3FOLD Training tutors can help you to understand each
element of the final examination.

What if you don’t pass the final examination?

We have a stellar passing track record. In the unlikely event

of you not passing the final exam, the second attempt is
completely free of cost. However, this will likely change
because CQI IRCA is planning to administer the exam
through a third-party testing partner.

Hope this ISO 9001 Lead Auditor sample exam questions

and answers article has helped to ease the tension that you
may have regarding the ISO 9001 final exam and show you
that with our guidance and hard work, you can pass the ISO
9001 final exam!

Why 3FOLD?

3FOLD provides world-class training resources, including

mock and specimen exam patterns for ISO 9001 QMS Lead
Auditor course, this will help you know the type of questions
to expect in the final exam.

Interested in knowing more?

Enroll in 3FOLD ISO 9001:2015 QMS Lead Auditor Course to

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