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PECB Exam ISO-9001-Lead-Auditor Topic 1 Question 17 Discussion

Actual exam question for PECB's QMS ISO 9001:2015 Lead Auditor exam
Question #: 17
Topic #: 1
[All QMS ISO 9001:2015 Lead Auditor Questions]

You work as an external quality consultant for an organisation, 'A', which provides packaged food to the public. You are asked to lead a team (you as the leader and two other auditors) to audit a supplier, 'B', to ISO 9001 which provides packaging materials to your organisation. It is 4 pm and the audit is close to an end; you are having an internal meeting with the team to decide what will be presented to the auditee during the Closing meeting. The Closing meeting was scheduled at 5 pm.

You, as Audit Team Leader, audited top management. You explain to the audit team that you identified two nonconformities:

a. There is no documented information on Top Management Reviews, as required in clause 9.3 of ISO 9001:2015.

b. There is no evidence of Top Management Commitment as required in clause 5.1 of ISO 9001:2015. (e.g., not ensuring the availability of resources

to operate the QMS, not ensuring the establishment of objectives, no promotion of improvement, no promotion of the process approach).

All agreed to present these two nonconformities. They went to meet the Top Management of 'B' and noticed that the General Manager and three other managers (Production, Human Resources, and Sales) were present in the meeting room.

Considering the seriousness of the two nonconformities to Top Management, as audit team leader, from the following select the best option:

Show Suggested Answer Hide Answer
Suggested Answer: D

According to the guidance on conducting the audit closing meeting1, the audit team leader should provide a summary of the audit findings and conclusions, invite discussions, and agree on timelines for any corrective actions. The audit team leader should also be respectful, constructive, and objective when presenting the nonconformities, and avoid any personal or emotional comments. The audit team leader should also consider the impact of the disruptive event (such as the Covid-19 pandemic) on the auditee's context, interested parties, and risks2, and acknowledge any good practices or improvements observed during the audit. Therefore, option D is the best option, as it follows the best practices for the closing meeting and allows the auditee to understand the nonconformities and their implications, and to participate in the analysis and resolution of the issues. Option A is not correct, as it is not respectful, constructive, or objective, and it does not invite any discussion or feedback from the auditee. It also assumes that the audit team leader has the authority to recommend the removal of the supplier from the approved list, which may not be the case. Option B is not correct, as it does not provide enough information or explanation to the auditee, and it does not allow any discussion or feedback from the auditee. It also does not follow the best practices for the closing meeting, such as providing a summary of the audit, acknowledging any good practices, and agreeing on timelines for corrective actions. Option C is not correct, as it does not involve the other managers who are responsible for the functions or processes that were audited, and who may have valuable input or information to share. It also does not follow the best practices for the closing meeting, such as providing a summary of the audit, inviting discussions, and agreeing on timelines for corrective actions. Reference: 1: Conducting the Audit Closing Meeting: Sharing the Results2: Auditing ISO 9001:2015 in the Context of a Disruptive Event.


Contribute your Thoughts:

Lawanda
23 days ago
Ah, the joys of being an audit team leader. I'd go with option C - the General Manager needs to know the details, and it's best to keep the sensitive information under wraps. Though, I do wonder if they have any snacks in that meeting room. I could really go for a little something to keep my energy up.
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Tamekia
4 days ago
Let's go with option C and have a private conversation with the General Manager.
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Ena
28 days ago
Presenting the nonconformities to the whole group and threatening to remove them from the approved suppliers list? That's a bit heavy-handed, don't you think? I'd go with option C and have a private chat with the General Manager. Gotta keep those interpersonal skills sharp, you know?
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Raelene
1 months ago
I'm feeling a bit hungry just reading this question. I wonder if they have any of that packaged food available at the audit site. Hmm, maybe I should have brought a snack. Anyway, I'd go with option D - get the whole group involved in figuring out how to fix this. Teamwork makes the dream work!
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Douglass
14 days ago
Teamwork is key in situations like this, let's work together to address the issues.
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Raina
17 days ago
I agree, it's important to involve everyone in finding a solution.
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Omer
20 days ago
Let's present the nonconformities to the whole group and discuss how to overcome this situation together.
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Leslee
1 months ago
But maybe we should also analyze with them how to overcome this situation, to show our willingness to help.
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Bernardine
2 months ago
I agree, it's important for them to understand the seriousness of the issues.
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Johana
2 months ago
Option B seems like the best choice here. Present the nonconformities, give them the report later, and get out of there. No need to make a big scene or play favorites with the General Manager.
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Julie
2 months ago
I think we should present the nonconformities to the whole group and recommend removing them from the approved suppliers list.
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Dong
2 months ago
Wow, this is a tricky situation. I would go with option C - present the nonconformities to the General Manager privately. That way, you can address the sensitive issues discreetly and avoid any potential confrontation in front of the whole group.
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Jacquelyne
1 months ago
Yes, presenting the nonconformities privately will allow us to handle the situation discreetly.
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Joana
1 months ago
Agreed, that seems like the best approach to address the sensitive issues.
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Yolande
1 months ago
Let's go with option C and have a private conversation with the General Manager.
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