国家通用内审员考试题.doc

质量管理体系内部评审员考试ISO 9001：2008 Internal Auditor course Examination试卷Examination Paper请在下面空白处写上姓名，职位、所属部门及日期Please write your, position and department in the space.姓名name 职位position 部门：department 节 数section最 高 分Maximum115225330430 共100 总 分：第一节 占15分题号1.01-1.13，考生只需在答案a、b、c、d或e当中一项划上圆圈，以示考生认为最合适之答案；题号1.14-1.15，请考生写出“标准”内“条款”的数字号码，每题占一分。Thirteen questions which require you to place a circle around the letter (a,b,c,d or e) to indicate which you judge to be the best answer and two questions which require you to state the number of a clause form the standard. Each question is worth 1 mark.1.01 内部评审是？what is internal audit a 评估产品的检验是否正确。Evaluate the accuracy of product inspectionb 评估现场实施与质量管理系统要求的差距程度。Evaluate the gap between implementation and quality system requirements.c 产品检查由工作完成人员担任。Product inspection is carried by those who product itd 以上a、b及c均为正确答案。a,b,c are correct answerse 以上a、b及c均非适合之答案。a,b,c are all incorrect answers1.02 确定质量方针、目标和职责并在质量体系中通过诸如质量策划、质量控制、质量保证和质量管理体系改进使其实施的全部管理职能的所有活动，在质量体系来说，是：confirm quality policy, objectives and responsibilities and through quality planning, quality control, quality assurance and quality improvement to ensure the effectiveness of quality management is:a 管理评审。Management reviewb 质量管理。Quality managementc 质量控制。Quality control d 以上a、b及c均为正确答案。a,b,c are correct answerse 以上a、b及c均非适合之答案。a,b,c are all incorrect answers1.03 没有满足某个规定的要求，称之为does not fulfill a defined requirement is :a 让步。Concession b 不合格（不符合）。Non-conformancec 纠正行动。Corrective actiond 以上a、b及c均为正确答案。a,b,c are correct answerse 以上a、b及c均非适合之答案。a,b,c are all incorrect answers1.04 完成纠正行动后，评审员如何确认纠正措施效果。After corrective action, how the auditor should follow-up the effectiveness of the corrective action?a 书面接受其不符合项报告之内容。Accept the non-conformance report on paper onlyb 评估呈交的客观证据。Evaluate the submitted objective evidencec 再次现场审核。Go to the site and re-auditd 以上a、b及c均为正确答案。a,b,c are correct answersf 以上a、b及c均非适合之答案。a,b,c are all incorrect answers1.05 在何种情况下，需要进行内部评审Under what condition the internal audit be carried out again:a 质量体系，有重大改变，如组织结构重组或重要程序修改。When the quality system gone through major changes, such as re-organization and major changes in functional procedures.b 质量体系出现缺陷。When the system exists serious deficienciesc 定期的监查活动。Periodic monitoring activitiesd 以上a、b及c均为正确答案。a,b,c are correct answerse 以上a、b及c均非适合之答案。a,b,c are all incorrect answers1.06 当第一方评审，谁应预备评审计划及安排评审事宜，联络及领导组员During first party audit, who should arrange audit plan and make audit arrangements, lilies and lead the team members.a评审团随从。The audit guideb 质量保证经理。The QA managerc 内审组长。The internal audit team leaderd 以上a、b及c均为正确答案。a,b,c are correct answerse 以上a、b及c均非适合之答案。a,b,c are all incorrect answers1.07 内审的特性要求是：the features of internal audit is:a 挑选的内审员对评审的事项一定要有独立性。The selected internal auditors must be independentb 只挑选质保部人员。Only select the QA department staffc 保证评审小组中最少有一位是经理级的人员。Ensure that there is al least one manger in the audit teakd 以上a、b及c均为正确答案。 a,b,c are correct answerse 以上a、b及c均非适合之答案。a,b,c are all incorrect answers 1.08 内审的目的是：the objective of internal audit:a 帮助各部门不断改善。Assist all departments to improveb 证明合同所订要求能切实执行。Prove contracted terms can be fulfilled c 评估质量管理体系的有效性。Evaluate the effectiveness of the QMSd 以上a、b及c均为正确答案。 a,b,c are correct answerse 以上a、b及c均非适合之答案。a,b,c are all incorrect answers 1.09 评审员已检查过六种检验仪器，发觉所有仪器均已过期，不能用作检验和测量，评审员现时应该：the auditor checked 6 inspection equipment, they are all found to be out-of -date, and can not be used for inspection and measuring, now the auditor should:a 可以下结论，并准备不符合项报告。Make a decision and prepare a non-conformance reportb 加强抽查及找寻更多过期仪器。Continue to check and try to find more out-dated equipmentc 提醒被审部门应对这些仪器采取行动以解决问题。Suggest to the audited department to take action on the equipmentd 以上a、b及c均为正确答案。 a,b,c are correct answerse 以上a、b及c均非适合之答案。a,b,c are all incorrect answers 1.10 内部评审组长的责任是the responsibilities of the team leader include:a 对小组中其他评审员所提出的不符合项作出验证。Valid the non-conformances raised by the team membersb 召开首次会议。Chair the opening meetingc 召开末次会议。Chair the closing meetingd 以上a、b及c均为正确答案。 a,b,c are correct answerse 以上a、b及c均非适合之答案。a,b,c are all incorrect answers1.11 在“标准”的“条款”8.2.2项，要求：in the standard, clause 8.2.2 requiresa 所有内部评审均须由注册评审员执行。All internal auditors must be registered auditorsb 内部评审小组应向比品质经理更高层次的管理级行政人员汇报一切。The audit team must report to executives more senior than the Quality Manager.c 内部评审的先后次序应事项之重要性大小顺序安排。The sequence of internal audit must be in accordance with the importance of events.d 以上a、b及c均为正确答案。 a,b,c are correct answerse 以上a、b及c均非适合之答案。a,b,c are all incorrect answers1.12 下列那项是“标准”的要求：which of the below belongs to the standard requirementa 派任管理者代表。Nominate a quality managerb 具有品质成本计算法之步骤。Must have procedures on cost of quality c 品质方针。Quality policy d 以上a、b及c均为正确答案。 a,b,c are correct answerse 以上a、b及c均非适合之答案。a,b,c are all incorrect answers1.13 为符合“标准”之要求，下列那项需要质量记录in order to meet the standard requirements, which of the following require quality records:a 分承包方的评审。Sub-contractor reviewb 培训课程。Training coursesc 合同评审。Contract reviewsd 以上a、b及c均为正确答案。 a,b,c are correct answerse 以上a、b及c均非适合之答案。a,b,c are all incorrect answers以下条文，是属於“标准”内那个“条款”？请写出阿拉伯数字，如4.2.2之类check the following statements and write down the appropriate clauses, such as 4.2.21.14 “任何与投票不一致的合同或订单的要求已经得到解决”Any differences between the contract or order requirements and those in the tender are resolved.此情况应用“条款”为： This clause is:1.15 “供方应使用指定的储存场地或库房，以防止产品在使用或交付前受到损坏或变质。应规定授权接收和发放的管理办法”The supplier shall use designated storage areas or stock rooms to prevent damage or deterioration of product, pending use or delivery. Appropriate methods for authorizing receipt to and dispatch from such areas shall be stipulated.此情况应用“条款”为： This clause is:第二节 占25分在下列五题中，请在空白处写出简短答案，每题占五分。It comprises questions which require a brief written answer in the space provided. Each question is worth 5.2.01 内审员往供方进行质量管理系统评审工作。试列出五个步骤，以便进行评审。As an internal auditor, you are appointed to carry out a second party audit at your suppliers premise. List five preparation steps in order that you could carry out the audit. 2.02 当评审员参加末次会议时，某部门经理对他说出，所有经理均无暇参加，请问该评审员应怎样做？When the internal auditors conduct a close meeting, a department head said that all the managers are busy, as a team leader, what would you do? 2.03 员工是否按作业指导书进行操作和检验,为何重要?why it is important that operators should follow the work instruction during operation and inspection 2.04 评审员到仓库进行内部评审，他与仓务员发生激烈口角，原因是油漆罐上并没有贴上合格的标签。仓务员认为此标签是不需要的，因为运入的罐子是存放在指定地区。如果你作为评审组长应该怎样办？an auditor go the store for the internal audit, he argued with the store keeper fiercely, because there is no pass label on the paint-cans. The stormed considers that the label is not needed, as the cans are stored at designated area. If you is the team leader, what would you do? 2.05 有甚么客观证据可以确认其体系是符合“标准”的第4.1“条款”？what are the objective evidences that the system is in compliance with clause 4.1 of the standard 第三节 占30分在下列四题中选择任何三题作答，每题占十分。请将详尽答案写在空白处，如有需要，请在答案旁附上“标准”内“条款”的编号。It comprises questions who require a detailed written answer which will normally fill the space provided. You are required to attempt any THREE of the four questions. Each question is worth 10. If necessary, please write the clause number.3.01 写出公司内部五种质量记录，并在记录名称后写出“标准”的条款编号。Write down 5 quality records, and the relevant clauses of the standard 3.02 试预备一张符合“标准”条款5.5.3的内部质量管理评审的检查表(check list)。Try to prepare a check list for 5.5.3 internal audit of the standard. 请做一份 “ 内部质量审核记能表” 3.03 试列出内审首次会议的目的?Try to list out the purpose of the opening meeting. 3.04 试述纠正措施和预防措施及其区别？What is the difference of corrective and preventive action? 第四节 占三十分请详细回答下列三题题目，每题各占10分。下列三个案例是发生在XYZ有限公司，在第一方评审期间，其中有些情况可能导致不符合项报告，请细心研究每种情况后，采取以下两种行动之一。a) 如果你相信有足够客观证据认为案例有不符合项,请提出不符合项报告,并判定重大或轻微。b) 如果你认为未有足够客观证据提出不符合项报告，则提出观察报告。在内容栏内描述情况并建议下一步行动。案例一（占10分）在模具工场车间内，评审员发现十名工作人员其中三名未配戴公司规定之白色尼龙头盔，这是违反公司作业指导书CRP第10项的第3条，该条例已清楚张贴在车间入口处。Inside the diecast shopfloor, the auditor discovered 3 of the 10 technicians do not wear white nylon helmet as specified. This violates statement 3 of paragraph 10 of the work instruction CRP. This work instruction is clearly posted at the entrance of the workshop.不 符 合 项 报 告 / 观 察 报 告*non-conformance report / observation report*删去不适用者delete as appropriate 受评审部门： audited departmentISO 9001: 2000条款： Clause:判定 重大* 轻微* 观察*judgment major minor observation*删去不适用者delete as appropriate内容：description 评审员：Auditor 日期：Date案例二（占10分）查采购部时，内审员了解采购过程，向分供方订货时采购员是透过电话订货而将资料直接输入公司之电脑系统内，当内审员查阅有关采购员时，得到的回覆是：由於输入资料的采购员接受过有关的培训，而资料库亦贮存了向合格分供方采购的条件（条件内容已通过正式审核及批准），所以对个别订单，无需另行评审。At the purchasing department, the internal auditor try to understand the process of purchasing. When ordering from the supplier, the merchandiser order goods through the telephone, and then directly input the information into the computer system. The auditor asked the merchandiser for more details, and the reply was: as the merchandiser who input the data are well trained, and the data bank also stored detailed information about the supplier requirements (details of requirements are being properly reviewed and approved). Thus for individual orders, there is no need to review separately.不符合项报告/观察报告*non-conformance report / observation report*删去不适用者delete as appropriate受评审部门： audited departmentISO 9001: 2000条款：Clause:判定 重大* 轻微* 观察*judgment major minor observation*删去不适用者delete as appropriate内容：description评审员：Auditor 日期：Date案例三（占10分）在质保经理的办公室内，评审员要求查看内部评审的时间表。表上显示十个部门是每隔六个月评审一次，评审员查阅质保经理评审次数是怎样鉴定的？质保经理透露，当这个体系在三年前成立时，质量手册规定每六个月评审一次，而公司亦沿用至今。评审员要求查看全部有关不符合项报告的档案，发现有一百个不符合项，但都是在最近的内审中提出的，其中有七十五项属於营业部（营业部独立处理所有合同评审），其余廿五项平均属於其他五个部门，有两个部门