PECB ISO-9001-Lead-Auditor Exam Questions Instant Access

Question 1

Which of the following is a responsibility of a guide in an audit?

AMaintaining logistics

BFilling any potential gaps in the auditor's knowledge

CWitnessing the audit process on behalf of the certification body

Answer : A

Comprehensive and Detailed In-Depth

A guide is assigned by the auditee to assist the audit team by:

Managing logistics, such as ensuring that relevant documents are available and arranging interviews.

Assisting in the coordination of meetings and access to facilities.

Helping the auditors navigate the organization during the audit.

However, the guide does not fill gaps in the auditor's knowledge or witness the audit for the certification body. Their primary function is logistical support, not providing interpretations or assessments.

ISO 19011:2018, Clause 6.4.3 (Roles and Responsibilities of Guides and Observers)

Question 2

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.

Which statement below represents the level of responsibility demonstrated by the audit team in scenario 3?

ANo negligence, the audit team has demonstrated diligence during the audit and followed the best practices.

BOrdinary negligence, the audit team has demonstrated lack of diligence.

CGross negligence, the audit team has demonstrated a total lack of diligence.

DWillful misconduct, the audit team intentionally disregarded audit procedures.

Answer : A

Comprehensive and Detailed In-Depth

ISO 19011:2018 requires auditors to conduct audits professionally and diligently.

Clause Reference:

ISO 19011:2018, Clause 4.4 -- Professional Care: Auditors must exercise due diligence in conducting audits.

ISO 9001:2015, Clause 9.2 -- Internal Audit: Requires objective and systematic audits to evaluate QMS effectiveness.

Why is the Correct Answer A?

The audit team followed best practices by gathering verifiable audit evidence through interviews, document reviews, and observations.

They ensured fair presentation of findings in the final audit report.

They complied with ISO 9001 and ISO 19011 guidelines for audit procedures.

Why are the Other Options Incorrect?

B (Ordinary negligence) No evidence of negligence; the team followed structured audit processes.

C (Gross negligence) No indication that the auditors ignored important responsibilities.

D (Willful misconduct) The auditors acted professionally and did not intentionally disregard rules.

ISO 19011:2018, Clause 4.4 -- Professional Care

ISO 9001:2015, Clause 9.2 -- Internal Audit

Question 3

The ISO 9001 clause 5.1.1 states top management shall demonstrate leadership and commitment with respect to the quality management system.

In the context of the ISO 9001 management system certification, select the one correct description of top management's responsibilities.

ADepending on the size, complexity and business context, some of the 5.1.1 requirements can be excluded.

BTop management needs only to comply with 50% of the 5.1.1 requirements.

CTop management shall ensure that all requirements are fulfilled.

DDepending on the organization's available resources, top management can comply with one or more of the 5.1.1 requirements.

Answer : C

Question 4

Scenario 3:

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 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?

AFair presentation.

BIntegrity.

CConfidentiality.

DObjectivity.

Answer : A

Comprehensive and Detailed In-Depth

Auditors must report findings truthfully and accurately to ensure an unbiased assessment of the QMS.

Clause Reference:

ISO 19011:2018, Clause 4 -- Principles of Auditing:

Fair Presentation Requires auditors to report truthfully and accurately, without bias or omission.

Integrity Ensures auditors adhere to ethical conduct.

Why is the Correct Answer A?

The audit team reported findings truthfully, based on collected evidence.

Fair presentation ensures that both positive and negative findings are included in the audit report.

Objective evidence was gathered through interviews, document reviews, and observations.

Why are the Other Options Incorrect?

B (Integrity) Related to ethics and professional conduct, but not specifically about presenting findings.

C (Confidentiality) Important, but does not apply to the principle of reporting findings accurately.

D (Objectivity) Ensures impartiality, but 'fair presentation' directly addresses accurate reporting of findings.

ISO 19011:2018, Clause 4 -- Principles of Auditing (Fair Presentation)

Question 5

You work 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', which provides packaging materials to your organisation. It is 4 p.m. 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

for 5 p.m.

You, as audit team leader, audited top management, the laboratory, and the storage of raw materials.

Auditor 1 audited the two manufacturing lines and dispatch areas.

You to Auditor 1: "What findings would you report?"

Auditor 1: "When reviewing the Dispatch records, I noticed that during the morning two different trucks (Number 011 and 025) delivered the same

batch number of the product (Batch 33555). Truck 011 left the plant at 9.15 am and Truck 025 left the plant at 11.30 am. Procedure P-02 Rev.3 says

that trucks should carry a complete batch. The batch number, once on the truck, is captured using a QR device."

You: "OK, what do you think?"

Auditor 2: "I think that this is a nonconformity."

You: "OK. How would you describe the evidence on which the nonconformity will be based"?

Identify which one of the following statements best describes the identified nonconformity.

ADispatch personnel are not fully aware of the need to conform to written procedures.

BDispatch personnel do not always carry out its activities in conformance with Procedure P-02 rev 3.

CThe batch 33555 was delivered split in two different trucks (011 and 025).

DA product delivered to the client was not identified as required in P-02 Rev 3.

Answer : C

According to the definition in ISO 9000, a nonconformity is ''non-fulfillment of a requirement''. There are three parts to a well-documented nonconformity: the audit evidence to support auditor findings; a record of the requirement against which the nonconformity is detected; and the statement of nonconformity1. In this case, the audit evidence is the dispatch records that show the same batch number of the product being delivered by two different trucks at different times. The requirement is the procedure P-02 Rev.3 that says that trucks should carry a complete batch. The statement of nonconformity is that the batch 33555 was delivered split in two different trucks (011 and 025), which does not conform to the procedure. Therefore, option C best describes the identified nonconformity, as it includes all three parts of a well-documented nonconformity. Option A is not correct, as it does not state the audit evidence or the requirement. Option B is not correct, as it does not specify the audit evidence or the statement of nonconformity. Option D is not correct, as it does not match the audit evidence or the requirement. Reference: 1: ISO 9001 Auditing Practices Group Guidance on Nonconformity - Documenting.

Question 6

What is a list of actions that should be performed during the audit with their respective timeline?

AThe audit objectives.

BThe audit criteria.

CThe audit schedule.

DThe audit offer.

Answer : C

Comprehensive and Detailed In-Depth

The audit schedule provides a structured timeline of activities to be conducted during the audit.

Clause Reference:

ISO 19011:2018, Clause 6.4.2 -- Preparing the Audit Plan:

Requires the development of an audit schedule, including the sequence and timing of activities.

ISO/IEC 17021-1:2015, Clause 9.1.3 -- Audit Program:

Certification bodies must establish a schedule for conducting audits.

Why is the Correct Answer C?

The audit schedule ensures systematic execution of the audit by defining activities, responsible auditors, and timeframes.

A well-planned schedule improves efficiency and helps auditors cover all necessary areas within the given time.

Why are the Other Options Incorrect?

A (Audit objectives) Define why the audit is conducted, not the schedule.

B (Audit criteria) Define the standards and requirements to be evaluated, not the timeline.

D (Audit offer) Refers to the initial proposal sent to the auditee, not the activity timeline.

ISO 19011:2018, Clause 6.4.2 -- Preparing the Audit Plan

ISO/IEC 17021-1:2015, Clause 9.1.3 -- Audit Program

Question 7

What are the objectives of the Stage 2 audit?

ATo evaluate whether the QMS is effectively implemented

BTo review the auditee's management system documented information

CTo gather information regarding the scope of the QMS

Answer : A

Comprehensive and Detailed In-Depth

The Stage 2 audit (ISO 17021-1:2015, Clause 9.3.1.3) is conducted to:

Verify whether the QMS is effectively implemented and operational.

Ensure compliance with ISO 9001 requirements in actual practice.

Identify nonconformities that may impact certification.

Reviewing documented information (Answer B) is part of Stage 1, and gathering scope information (Answer C) is done before the certification audit.

ISO 17021-1:2015, Clause 9.3.1.3 (Stage 2 Audit)

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