QMS Specimen Exam Solution - Aug2021

 

 

CONFIDENTIAL APPROVED TRAINING PARTNERS CQI and IRCA Solutions to Examination Specimen Paper for Quality Management Systems Auditor Training Courses (PR328

PR345 ISO 9001) 

Note to markers Markers are expected to use their experience and judgement as professional auditors, bound by the CQI and IRCA code of conduct. Markers must give due consideration to logically argued solutions that might not conform precisely to the typical solution and other answers may be acceptable. This is especially relevant when marking sections three and four. Marker One, and Marker Two where applicable, shall annotate learners’ examination papers clearly to show where each mark is given and shall record their justification for awarding marks outside of the typical solution. Markers should use the margins provided for this, ensuring that marks and justifications given by each marker are clearly discernible for review by the CQI and IRCA Technical Assessor. Assessor.

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Section one

Five questions worth two marks each

maximum 10 marks

Statements in italics are for reference only and are not part of the expected answer. 1.1 

ISO 9001:2015 requires that internal audits are objective and impartial. Describe  the difference between objectivity and impartiality in this context. (2 marks)

Typical solution

Objectivity: Auditors should gather fact-based evidence that can be verified. (1 mark) Impartiality: Auditors should act without bias, including in the gathering of and analysis of evidence. (1 mark) Note to marker: Similar answers using different words are acceptable.

1.2 

Explain, in the context of auditing, the difference between being argumentative and being

assertive.

(2 marks)

Typical solution

Argumentative: Often means an emotional reaction. It is often aggressive, and you can take an entrenched position without consideration for other people’s opinions. opinions . (1 mark) Assertive: Getting ones’ ones’ position  position understood in a confident and authoritative manner based on using solid facts and audit evidence. It means delivering information without undue emotion. (1 mark) Note to marker: Similar answers using different words are acceptable.

1.3

The organisation needs to monitor customer satisfaction. List List   two methods an organisation can use to determine the degree of customer satisfaction. (2 marks)

Typical solution  

By carrying out customer surveys.

 

By reviewing customer feedback on delivered products or services.

 

By reviewing products returns from customers.

 

By holding meetings with customers or customer representatives.

 

By carrying out market-share analysis.

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By reviewing warranty claims. By reviewing dealer reports.

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Note to marker: Award 1 mark each for any two of the above or for alternative valid answers up to a maximum of 2 marks overall.

1.4 

Clause 8.3.4 of ISO 9001:2015 requires design and development verification to be carried out.  List two  verification activities that may be used by the design function of an organisation. (2 marks)

Typical solution  

Inspection of prototypes.

 

Review of documented information.

 

Alternative calculations.

 

Laboratory tests.

 

Use of models.

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Note to marker: Award 1 mark each for any of the above or for alternative valid answers to a maximum of 2 marks overall.

1.5 

Identify two ways in which an auditor can verify that agreed corrective actions have been

effectively implemented. (2 marks) Typical solution  

Acceptance of a written response.

 

Evaluation of submitted evidence.

 

Verification of corrective action at the audit location.

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•

•

All of which must demonstrate that the corrective action has worked as opposed to simply being introduced. Note to marker: Award 1 mark for any two of the above given up to a maximum of 2 marks overall.

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Section two

four questions worth five marks each

maximum 20 marks

Statements in italics are for reference only and are not part of the expected answer. 2.1 

ISO 9000:2015 identifies ‘evidence ‘evidence-based -based decision making’ making’  as one of the 7 Quality Management Principles that facilitate achievement of Quality Objectives. a)  Explain Explain  your understanding of what is meant by ‘evidence ‘evidence-based -based decision making’ making’. (2 marks)

Typical solution

Factual approach: decisions are taken based on the objective analysis of data and information. Note to marker: Award a maximum of 2 marks for this or similar answers which link decisions to an objective examination of evidence, data, and facts.

b) Identify Identify  six ISO 9001:2015 clauses that support ‘evidence ‘evidence--based decision making’. making’. (3 marks) Typical solution

Clauses:  

4.4.1 g) Evaluate QMS processes.

 

4.4.1 g)  Implement any changes needed to ensure that these processes achieve their

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•

intended results.  

4.4.1 h) improve the processes and the QMS.

 

6.1 Actions to address risks and opportunities.

 

6.2 Quality Objectives and planning to achieve them.

 

9.3.1 General (9.3 Management review).

 

9.2 Internal audit.

 

9.1.2 Customer satisfaction.

 

9.1.1 General (9.1 Monitoring, measurement, analysis and evaluation).

 

9.1.3 Analysis and evaluation.

 

10.1 General (10 Improvement).

 

10.2 Nonconformity and corrective action.

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Note to marker: Award 0.5 marks for each answer to a maximum of 3 marks.

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2.2 

ISO 9001:2015 requires Top Management to demonstrate leadership and commitment with respect to the QMS. a)  Briefly describe  a method you could use to evaluate Top Management leadership and commitment. (2 marks)

Typical solution

Interviews with ‘Top Management’ to Management’  to determine (for example) their:  

•

Involvement in the appointment, direction, and support of people in QMS roles with necessary responsibilities and authorities.

 

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Involvement in establishing, implementing, and maintaining the Quality Policy (not delegating).

 

Reviewing reports on the performance of the QMS and on opportunities for improvement

 

Undertaking management review at planned intervals

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•

Plus, the gathering of evidence of actions taken by Top Management as required by ISO 9001:2015 to demonstrate their involvement in the QMS. Note to marker: Reasonable alternatives are acceptable. Award 1 mark per acceptable method to a maximum of 2 marks.  

b)  Give Give  three examples of audit evidence you would gather as part of your evaluation of Top Management leadership and commitment. (3 marks) Typical solution

Examples of audit evidence include:  

Taking accountability for the effectiveness of the QMS.

 

Promoting the use of the process approach and risk-based thinking.

 

Communicating the importance of effective quality management and of conforming to the

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QMS requirements.  

Engaging, directing, and supporting persons to contribute to the effectiveness of the QMS.

 

Promoting continual improvement.

 

Supporting other relevant management roles to demonstrate their leadership as it applies

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to their areas of responsibility.  

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Involvement in ensuring that: -  the Quality Policy and Quality Objectives are established for the QMS and are compatible with the context and strategic direction of the organisation.

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-  the integration of the QMS requirements into the organisation’s organisation’s business processes. -  the resources needed for the QMS are available. -  the QMS achieves its intended results.  

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Involvement in ensuring that: -  customer and applicable statutory and regulatory requirements are determined, understood, and consistently met. -  the risks and opportunities that can affect conformity of products and services and the ability to enhance customer satisfaction are determined and addressed. -  the focus on enhancing customer satisfaction is maintained.

 

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The establishment, implementation, and maintenance of a Quality Policy that: -  is appropriate to the purpose and context of the organisation and supports its strategic direction. -  provides a framework for setting Quality Objectives. -  includes a commitment to satisfy applicable requirements. -  includes a commitment to continual improvement of the QMS.

 

•

Ensuring that the responsibilities and authorities for relevant roles are assigned, communicated, and understood within the organisation.

 

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A person is appointed with the responsibility and authority to ensure that: -  the QMS meets ISO 9001:2015. -  the processes deliver intended results. -  customer focus is promoted throughout the organisation. -  the integrity of the QMS is maintained when changes to the QMS are planned and implemented.

 

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Involvement in the management review.

Note to marker: Award 1 mark for each answer to a maximum of 3 marks. Reasonable alternatives are acceptable.

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2.3

A positive auditor professional behaviour is to be diplomatic.

a)  State  the meaning of ‘diplomatic’ and give an example to demonstrate how an auditor could be diplomatic. (3 marks) Typical solution Diplomatic is being tactful, sensitive, and discreet when dealing with people. Examples include: •

 

Not personalising any issues.

•

 

Not getting involved in company ‘politics’.  ‘politics’. 

•

 

Not making any comments about the management.

 

Not discussing findings from other areas with anyone other than the management of the

•

area or other senior management. Note to marker: Award 1 mark for an explanation of ‘diplomatic’ and  award  award 2 marks for a relevant example.

b)  Briefly describe  describe the effect that not being diplomatic could have on an audit. (2 marks) Typical solution

Auditees could feel insecure, undermined, threatened, antagonised, angry if their ability was openly challenged or dismissed and be reluctant to offer any information. Note to marker: Award 1 mark for each relevant effect identified to a maximum of 2 marks.

2.4 

At the opening meeting of an external audit, you are informed that a recent internal audit has found many nonconformities relating to the in-house purchasing department. Corrective action has already been planned. It is therefore suggested that to audit this department again would add no value and asks if you could delete this department from the audit plan and spend more time in the production area.

Outline  five issues you would include in the response you would give to this request. Outline (5 marks) Typical solution  

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An external audit needs to cover all the processes associated with the scope of the management system and the audit criteria. (2 marks)

 

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External provision (purchasing) can only be excluded if it is not within the scope of the QMS.

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(2 marks)  

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If external provision (purchasing) is not included, it will not be possible to make a recommendation on certification. (1 mark)

 

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An audit of external provision (purchasing) now will confirm the accuracy of the recent internal audit findings. (1 mark)

 

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An audit of external provision (purchasing) now may identify other findings that need to be addressed. (1 mark)

 

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The audit can include a review of planned corrective c orrective action. (1 mark)

Note to marker: Award marks as above to a maximum of 5 marks. An answer that states ‘delete  from the plan’ must must result in 0 marks marks unless the answer answer specifies acceptable acceptable special circumstances.

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Section three three questions worth ten marks each maximum 30 marks  Marks should be given for alternative answers that are logically presented and comply with the requirements of ISO 9001:2015.

3.1 

During a routine surveillance visit, the organisation you are auditing informs you that they no longer carry out any design and development deve lopment work. This activity is now outsourced to an external provider (contractor). Give   four examples of audit trails/audit evidence you would look for to determine the Give

conformance of the current system with ISO 9001:2015, given the information you have  just received. AND

For each  of your examples, identify  the clause(s) of ISO 9001:2015 that relate to this situation. Note to marker: Award 2 marks for each example and 0.5 mark for identifying the clause of ISO 9001:2015 relevant to each of the four examples = total of 10 marks. Typical solution  

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Evidence that the organisation has carried out the transfer to an external provider (contractor) in a planned manner [6.3].

 

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Evidence that the organisation retains, or has engaged, persons competent in design and development to the degree necessary to place adequate controls on the external provider (contractor) and to analyse and evaluate appropriate data and information arising from monitoring and measurement [7.2].

 

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Evidence that the organisation has ensured that the design and development process conforms to requirements [8.4.1].

 

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Evidence that the organisation has ensured that the design and development process is controlled [8.4.1].

 

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Evidence of the criteria for the evaluation, selection, monitoring of performance, and reevaluation of the external provider (contractor). [8.4.1].

 

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Documented information (records) addressing the evaluation, selection, monitoring of performance, and re-evaluation of the external provider (contractor) [8.4.1].

 

Evidence of controls applied to the external provider (contractor) [ 8.4.2].

 

Evidence of controls applied to the resulting design and development process output [8.4.2].

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Evidence of the verification, or other activities, necessary to ensure that the design and development process meets requirements [8.4.2].

 

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Evidence that the organisation has communicated to the external provision (contractor) the requirements for: -  design and development. -  the approval of design and development outputs (designs), as well as methods and processes. -  competence, including any required qualification of persons. -  the external providers’ interactions with the organisation. -  control and monitoring of the external providers’ performance to be applied by the organisation. -  verification or validation activities that the organisation, or its customer, intends to perform at the external providers’ premises [ 8.4.3].

 

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Evidence that the decision to externally provide (outsource) design and development was aligned to the strategic direction of the organisation [9.3.1].

 

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Evidence that trends in the performance of the external provider (contractor) have been considered in management review [9.3.2 c) 7)].

 

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Documented information (records) from management review about this change to the external and internal issues [9.3.2 b)].

Note to marker: Award 2.5 marks for each of the above (or alternative correct answers) to a maximum of 10 marks. Deduct 0.5 marks per example if a clause of ISO 900:2015 is not stated for an example. 

3.2 

Considering the requirements of clause 10.2 of ISO 9001:2015, describe describe   in terms of a sequence or illustrate using a diagram the corrective action process starting from a nonconformance being raised by an auditor through to close out of the finding. Identify who is responsible for each element of the process and   identify  where in the

corrective action process decisions need to be taken. (10 marks) Typical solution (Description)  

Raise the nonconformity – nonconformity –  Auditor (0.5 mark).

 

Review and agree the nonconformity – nonconformity –  Auditee (0.5 mark).

 

Determination of root cause(s) – cause(s) –  Auditee (0.5 mark).

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•

 

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Evaluation of the need for actions to ensure that nonconformities do not recur or occur elsewhere – elsewhere  –  Auditee (0.5 mark).

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A decision (after evaluation of the need or as part of the evaluation process) to take action or not – not –  Auditee (1 mark).

 

Determine action needed – needed –  Auditee (0.5 mark).

 

Agree proposed action; not mandatory but often part of the audit process – process  –  Auditor (0.5

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mark).  

Implement action needed – needed –  Auditee (0.5 mark).

 

Record the nature of the nonconformities and any subsequent action  –  –   Auditee  (0.5

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mark).  

Record results of corrective action taken – taken  –  Auditee (0.5 mark). 

 

Review   effectiveness of action taken, i.e., check if results of action taken meet

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requirements – requirements  –  Auditee (1 mark).  

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A decision is needed here on whether or not the action taken has brought about the results needed. If yes, proceed and if no, go back – back –  Auditee (1 mark).

 

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Verify  effective  effective corrective action has been taken by reviewing records and evidence of root

cause determination and that the action taken has achieved the desired results results –  –  Auditor  (1 mark).  

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A decision is needed here on whether or not the corrective action arrangements have been implemented and on whether there is evidence that the results of the action taken have been reviewed and demonstrate requirements are being met – met  –  Auditor (1 mark).

 

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Record results of the action taken and close the audit – audit – Auditor  Auditor (0.5 mark)

Typical solution (Diagram) - (see next page)

Note to marker: The fundamental requirement for this question is that delegates can demonstrate a comprehensive and accurate understanding of the corrective action arrangements described in clause 10.2 of ISO 9001:2015 and how this works within the audit process.

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Auditor raises nonconformity

Auditee reviews/agrees nonconformity

Auditee determines root cause Auditee evaluates the need for action to prevent recurrence

No action

Record facts and decision

Auditee decides whether action is needed  

Auditee determines corrective action   Auditor agrees proposal (not mandatory) 

Auditee implements CA

Auditee records results of action taken Auditee reviews effectiveness of action taken, i.e., decides

if results of action taken meet requirements

Auditee decides if corrective action has been effective  

Auditor verifies effective corrective action has been taken by

reviewing records and evidence of root cause determination and that the action taken has achieved the desired results 

Auditor decides if corrective action requirements have been met  

Auditor records results of the action taken and closes the audit  

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3.3 

You are conducting an ISO 9001:2015 audit in an injection moulding company (a process by which plastic components components are manufactured). manufactured). The next activity on your audit plan is the organisation’s organisation’s final product testing laboratory.  laboratory.  Outline   in a checklist  how you will perform this audit by developing a series of ten audit Outline

checkpoints. For each checkpoint, identify examples  of the audit evidence you would want to gather and give the appropriate ISO 9001:2015 reference. Note:  1 mark will be awarded per audit checkpoint, with 0.5 mark for the supporting

evidence and 0.5 mark for the appropriate ISO 9001:2015 reference. (10 marks) Typical solution •

 

Who is involved in the testing, and how are their responsibilities and authorities defined? [5.3]. ].  

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Evidence that infrastructure and environmental requirements have been determined, provided, and maintained, e.g., suitability of the area for measurement activities. [ 7.1.3  and 7.1.4]. ].  

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What equipment is needed to carry out the testing? [ 7.1.3]. ].  

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How is the equipment eq uipment maintained? [7.1.3]. ].  

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Is the equipment appropriately appropriately calibrated? [7.1.5.2]. ].  

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Evidence that acceptance criteria have been defined and implemented [8.3.5 c)].

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Evidence that the product to be tested is appropriately identified during the process [8.5.2]. ].  

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How are samples selected, and received in the laboratory? [8.5.2]. ].  

 

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How are samples preserved during the testing process? process? [ 8.5.4]. ].   What are the expected results of the tests? [8.5.1]. ].  

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What happens to the samples after testing? [ 8.5.2]. ].  

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What happens to any nonconforming product? [ 8.7]. ].  

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What objectives and targets apply to the process? [ 6.2.1, 8.1 and 9.1.1]. ].  

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What are the criteria / specifications for the tests? [ 8.5.1 a) and 9.1.1]. ].  

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Evidence that these criteria / specifications have been applied to the testing process and appropriate documented information (records) kept [7.5.3]. ].  

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How is the performance performance of the process process monitored? monitored? [9.1.1]. ].  

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Evidence of performance of the process compared with targets, targets, and any corrective corrective actions arising [9.1.1 and 10.2]. ].  

Note to marker: Award 1 mark for each of the above audit checkpoints (or other acceptable checkpoints) with supporting audit evidence and appropriate references to ISO 9001:2015 requirements, to a maximum of 10 marks. Deduct 0.5 marks for each checkpoint where audit evidence is not given. Deduct 0.5 marks for each instance where the appropriate reference to ISO 9001:2015 is not given or is inadequate to a maximum of 2 deducted marks (4 or more instances).

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Section four

three questions worth 10 marks each

maximum 30 marks

Questions in this section are designed to test the learner’s ability to analyse audit situations, evaluate audit evidence and apply knowledge of the audit criteria correctly. Learners are required to either:  

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Complete the nonconformity report template.

Marking scheme for a nonconformity:  

For correctly identifying the scenario as a nonconformity

(2 marks)

 

For a clear description of the nonconformity

(3 marks)

 

For correctly quoting relevant evidence

(3 marks)

 

For correctly identifying the relevant ISO 9001 requirement

(1 mark)

 

Overall clarity of the nonconformity report

(1 mark)

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Note to marker: if learners raise a nonconformity report when there is no nonconformity, 0 (zero) marks will be awarded. OR  

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Complete the audit investigation template, clearly stating:   

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Their reason(s) for thinking there is not yet sufficient evidence to report their findings as a nonconformity (2 marks)

 

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How they would investigate to determine conformity or nonconformity, including audit trails they would follow and specific examples of audit evidence they would seek and for what purpose. (8 marks)

Note to marker: If learners complete the audit investigation template for a situation where there is evidence that a nonconformity exists, a maximum of 7 marks may be awarded as follows:    

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Providing a valid reason why there is insufficient evidence for a nonconformity (2 marks)

 

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Providing relevant audit trails as above. (5 marks)

Note to marker: Marks should only be awarded where the audit investigation trails are relevant to the situation and would provide further evidence of conformance or non-conformance. 

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4.1

Audit situation one:

In the final inspection and despatch area you are examining the inspection and despatch records for order number 1234. This relates to product XYZ that is due to be sent out to a customer. You note that in the final inspection section of the th e records the word ‘OK’ is written with the initials JW alongside it. The Despatch Supervisor tells you that JW is one of the junior inspectors. You ask the supervisor: ‘Who has authorised the release of the product?’ The supervisor replies that authorisation is not necessary for this type of routine product, and it is clear from the records that the inspection was satisfactory. He says: ‘If there has been any problem we get a signature from David Manvers, the Chief Inspector, but only if they had to do some rework to the product.’  product.’  You check the organisation’s documented organisation’s documented information for the product release re lease process and find it states that the Chief Inspector is responsible for authorising final release of all products. 

Solution

No Nonconformity QMS AUDIT

NONCONFORMITY NONCONFORM ITY REPORT 1 

Nonconformity (2 marks for identifying the scenario as a nonconformity)  Description of the nonconformity (3 marks for identifying the failure)  The organisation is not releasing product to customers in accordance with its planned arrangements or ISO 9001:2015 clause 8.6.

Evidence (3 marks for identifying the evidence)  The documented information (records) of inspection for order number 1234 relating to product XYZ did not contain the signature of the Chief Inspector, confirming product conformity with the acceptance criteria, as required by the product release process. 

ISO 9001:2015 clause and requirement: 8.6 – The  – The release of products and services to the customer shall not proceed until the planned

arrangements have been satisfactorily completed, unless otherwise approved by a relevant authority. Note to marker: Award 1 mark for clause and requirement plus 1 mark for clarity of answer.  

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4.2

Audit situation two:

You are auditing the design and development process in an organisation that designs and manufactures industrial equipment. They are currently dealing with 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 find a recent note on file that states that the engineers are currently having difficulty in repairing the equipment. equipment. They have been issued with the latest latest drawings for the the equipment (serial number X134, revision 3). The drawings do not contain a modification to the safety mechanism that was made prior to delivery and installation of the equipment. You confirm with the Design Manager that revision 3 is the current version of the drawings and that revision 3 does not include the change to the safety mechanism. You ask the Design Manager why the modification to safety mechanism was not made to the drawing and he replies that the change was reviewed and considered to be minor with no impact on the equipment and it didn’t affect the customer’s contract specification.  specification. 

Solution

Nonconformity

Note to markers: The audit situation contains three nonconformitie nonconformities. s. Learners may report r eport any one of the three.

QMS AUDIT - NONCONFORMITY REPORT 2  Nonconformity (2 marks for identifying the scenario as nonconformity) Description of the nonconformity (3 marks for identifying the failure)  The organisation has not adequately conducted a review before committing to supply products to a customer, to include requirements not stated by the customer, but necessary for the specified or intended use, when known.

Evidence (3 marks for identifying the evidence)  Drawings, X 134 revision 3, supplied with contract A123 and found to the final version, do not show changes to the electronic safety mechanisms made prior to delivery and installation of o f the equipment.

ISO 9001:2015 clause and requirement: 8.2.3.1  – The – The organization shall ensure that it has the ability to meet the requirements for products and

services to be offered to customers. The organisation shall conduct a review before committing to supply products and services to a customer, to include: b) requirements not stated by the customer, but necessary for the specified or intended use, when known; Note to marker: Award 1 mark for clause and requirement plus 1 mark for clarity of answer.  

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OR

QMS AUDIT - NONCONFORMITY REPORT 2  Nonconformity  (2 marks for identifying the scenario as nonconformity) Description of the nonconformity (3 marks for identifying the failure)

 

The organisation has not ensured that design and development outputs (the design) specify the characteristics of the products that are essential for their intended purpose and their safe and proper provision.

Evidence (3 marks for identifying the evidence)  Drawings, X 134 revision 3, supplied with contract A123 and found to the final version, do not show changes to the electronic safety mechanisms made prior to delivery and installation of the equipment. 

ISO 9001:2015 clause and requirement: 8.3.5 –  – The organization shall ensure that design and development outputs: d) specify the characteristics of the products and services that are essential for their intended purpose and their safe and proper provision.  Note to marker: Award 1 mark for clause and requirement plus 1 mark for clarity of answer  

OR

QMS AUDIT - NONCONFORMITY REPORT 2  Nonconformity  (2 marks for identifying the scenario as nonconformity) Description of the nonconformity (3 marks for identifying the failure)  The organisation has not retained documented information (records) on a) design and development change.

Evidence (3 marks for identifying the evidence) Drawings, X 134 revision 3, supplied with contract A123 and found to the final version, do not show change to the electronic safety mechanisms made prior to delivery and installation of the equipment.

ISO 9001:2015 clause and requirement: 8.3.6 – 8.3.6  – The  The organization shall retain documented information on a) design and development changes. Note to marker: Award 1 mark for clause and requirement plus 1 mark for clarity of answer  

Note to marker: The learner may alternatively raise a nonconformity against ISO 9001:2015 requirement: 6.1 Actions to address risks and opportunities   (6.1.1) as the organisation has not determined the risks to  prevent,  preven t, or or reduce, reduce, unde undesired sired effe effects. cts.

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R

8.1 Operational planning and control  as  as the organisation has not planned, implemented and controlled the

 processes  proce sses need needed ed to meet the requi requiremen rements ts for the provi provision sion of produ products cts by deter determining mining and keep keeping ing documented information (records) to the extent necessary to demonstrate the conformity of products and services to their requirements. This answer should be accepted and marked according to the schema above, to a maximum of 10 marks.

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4.3

Audit situation three:

During an audit of an insurance company, you ask the Training 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 Training Manager how they evaluated the training and are told “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. All three awarded high marks on how enjoyable they found the course and the usefulness of the course. All three also awarded a satisfactory score for the tutor.  

Solution

No nonconformity QMS AUDIT

INVESTIGATION 3 

There is no nonconformity and further investigation is needed to determine how the organisation evaluates the effectiveness of training. (2 marks)  Points of investigation and evidence sought:

-  Has the Training Manager been assigned the responsibility and authority for evaluating the competence of Claims Department staff? [ 5.3].

-  If not, who has been assigned the responsibility and authority for evaluating the competence of Claims Department staff? [5.3].

-  Has the organisation considered the risk of Claims department staff not being competent in customer care? [6.1.1 a)].

-  Are there measurable Quality Objectives for customer care in the Claims Department? [ 6.2.1 b)] and are they being met? [9.3.2 c) 2)].

-  Find out if the Claims Department Manager (or some other appropriate responsible authority) has determined the necessary competence of the staff in the Claims Department [ 7.2 a)].

-  Find out if the Claims Department Manager (or some other appropriate responsible authority) has determined these persons are competent on the basis of appropriate education, training, or experience [7.2 b)].

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-  Find out if attending the customer care course had been determined to be the necessary n ecessary action to address the competence deficiency [7.2 c)].

-  Find out if the Claims Department Manager (or some other appropriate responsible authority) has an alternative method for evaluating the effectiveness of the training [ 7.2 c)].

-  Have there been any customer complaints due to the staff in the Claims Department? [ 10.2.1]. Note to marker: Award 2 marks for each point of investigation and the evidence sought up to a maximum of 8 marks. Other relevant points of investigation along with stated evidence may be accepted. 

THIS IS THE END OF THE EXAMINATIO EXAMINATION N PAPER

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