PECB QMS ISO 9001:2015 Lead Auditor : ISO-9001-Lead-Auditor Exam

An audit team of three people is conducting a Stage 2 audit to ISO 9001 of an engineering organisation which manufactures sacrificial anodes for the oil and gas industry in marine environments. These are aluminium products designed to prevent corrosion of submerged steel structures. As one of the auditors, you find that the organisation has shipped anodes for Project DK in the Gulf of Mexico before the galvanic efficiency test results for the anodes have been fully analysed and reported as required by the customer. The Quality Manager explains that the Managing Director authorised the release of the anodes to avoid late delivery as penalties would be imposed. The customer was not informed since the tests rarely fall below the required efficiency. You raise a nonconformity against clause 8.6 of ISO 9001.
During the audit team meeting in preparation for the Closing meeting, the second auditor disagreed with the clause of ISO 9001 selected for the above nonconformity. He thinks it should be clause 9.1.1.
Choose three options for how the audit team leader should best respond to the situation:

• A. Advise that he will think about the clause and announce his decision during the Closing meeting.
• B. Immediately overule the objection of the second auditor with no discussion of the clause.
• C. Suggest that neither clause is accurate and instead propose clause 9.1.3 as the best one for the nonconformity.
• D. Review the evidence with you and the second auditor, and then decide which clause of ISO 9001 would best apply.
• E. Immediately agree with the second auditor that clause 9.1.1 would be better.
• F. The audit team leader will refer to the quality manager to determine which clause they agree with.
• G. Try to obtain a consensus between you and the second auditor after a discussion of the different opinions.
• H. Invite you and the second auditor to fully explain your point of view and then decide which clause to select.

Which two of the following statements related to Stage 1 of an initial certification audit against ISO 9001:
2015 are true?

• A. Verifies the degrees of customer satisfaction
• B. During the Stage 1 audit, the audit team:
• C. Evaluates the conditions of all sites
• D. Evaluates the results of the last management review
• E. Reviews the client ' s management system documented information
• F. Verifies the compliance with legal requirements
• G. Reviews the processes with high level of risk

What type of audit evidence are policies and guidelines?

• A. Confirmative evidence.
• B. Documentary evidence.
• C. Technical evidence.

Scenario 3:
Fin-Pro is a financial institution in Austria offering commercial banking, wealth management, and investment services. The company faced a significant loss of customers due to failing to improve service quality as they expanded.
To regain customer confidence, top management implemented a QMS based on ISO 9001. After a year, they contacted ACB, a local certification body, to pursue ISO 9001 certification.
The audit team was led by Emilia, an experienced lead auditor, and included three auditors. After an agreement was reached, ACB sent the audit objectives to the audit team.
The audit team began by gathering information about Fin-Pro's understanding of ISO 9001 requirements.
While reviewing documented information, they noticed missing records of training and awareness sessions.
They conducted employee interviews to verify attendance.
The team also reviewed the organizational chart and job descriptions to confirm employee competence. They observed the company's working environment (social, psychological, and physical conditions).
The audit team analyzed the evidence and prepared an audit report with findings and conclusions.
Based on the last paragraph of scenario 3, which audit principle did the audit team follow?

• A. Integrity.
• B. Fair presentation.
• C. Objectivity.
• D. Confidentiality.

Which action indicates that an organization is meeting the requirements of ISO 9001 regarding nonconforming outputs?

• A. Allowing employees to handle nonconformities based on their own judgment without structured procedures.
• B. Verifying conformity to the applicable requirements prior to correction of the nonconforming outputs.
• C. Taking appropriate action to nonconforming products and services detected after the delivery of products, during or after the provision of services.
• D. Retaining documented information only on the actions taken.