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【General】 ISO-9001-Lead-Auditor Top Dumps - Reliable ISO-9001-Lead-Auditor Exam Testking

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PECB ISO-9001-Lead-Auditor Exam Syllabus Topics:
TopicDetails
Topic 1
  • Fundamental principles and concepts of a quality management system: The main objective of this domain is to evaluate your skills of explaining and applying ISO 9001 principles and concepts.
Topic 2
  • Preparing an ISO 9001 audit: This topic covers sub-topics related to preparing a quality management system audit.
Topic 3
  • Fundamental audit concepts and principles: Questions about interpreting and applying the main concepts and principles related to a QMS audit appear in this topic.
Topic 4
  • Managing an ISO 9001 audit program: This topic evaluates your abilities to establish and managing a QMS audit program.

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PECB QMS ISO 9001:2015 Lead Auditor Exam Sample Questions (Q224-Q229):NEW QUESTION # 224
What should the auditor document during the Stage 1 audit?
  • A. The observations that could result in nonconformities during the on-site audit
  • B. The main processes of the auditee
  • C. The interviews with the auditee's employees
Answer: A
Explanation:
Comprehensive and Detailed In-Depth Explanation:
Stage 1 Audit (ISO 9001:2015, Clause 9.2.2) is a documentation review to assess the readiness for a Stage 2 Audit. The auditor must document:
Observations that could lead to nonconformities, ensuring they are addressed before Stage 2.
Areas needing improvement, such as missing documented information or unclear process definitions.
While understanding the auditee's main processes is important, documenting interviews is not a requirement at Stage 1.
Reference:
ISO 9001:2015, Clause 9.2.2 (Internal Audit Reporting)

NEW QUESTION # 225
An audit team leader arrives at a printing company to carry out a Stage 2 audit for a certification body. At a meeting with the Quality Manager, she is told that they have won their biggest contract from a computer manufacturer to print and compile computer documentation packages. The Quality Manager wants the ISO
9001 certificate to cover the new contract.
During the audit, a team member found that some print jobs had been rejected by several clients over some months due to spelling errors in the print run. The Print Manager blames the new employees they had to take on because of a big contract.
The auditor finds that the responsibility for checking spelling errors is placed on the printer that sets up the print run.
In line with the policy of the certification body, the audit team raise improvement opportunities in the audit report. Which three of the following options would represent acceptable opportunities for improvement in the report?
  • A. A plan to determine why the errors occur and to prevent them.
  • B. The responsibility for checking printing needs to be independent of the operators.
  • C. More process time needs to be allocated to the new employees.
  • D. An intensive training plan that involves all production personnel.
  • E. A business consultant can be recommended for advice on improving operations.
  • F. The organisation needs to delay its certification to gain more experience of the QMS.
  • G. The recruitment process to include spelling tests to filter out unsuitable candidates.
  • H. Operational planning activities may benefit from a clearer risk-based approach.
Answer: A,B,H
Explanation:
According to the ISO 9001 Auditing Practices Group Guidance on Improvement Opportunities1, an improvement opportunity is a suggestion made by the auditor for the auditee to consider that, if implemented, may enhance the performance of the QMS. Improvement opportunities are not mandatory, but they should be based on objective evidence and aligned with the audit criteria and objectives. Improvement opportunities should also be realistic, feasible, and beneficial for the auditee. In this case, the evidence statements that represent acceptable improvement opportunities in the report are A, C, and E, because they address the potential causes and effects of the spelling errors in the print run, and propose possible actions that may improve the quality of the products and services, and the effectiveness of the QMS. These options are consistent with the requirements and principles of ISO 9001, such as clause 6.1 on actions to address risks and opportunities, clause 8.1 on operational planning and control, clause 8.5.1 on control of production and service provision, and clause 10.2 on nonconformity and corrective action. The other options are not appropriate improvement opportunities, because they are either irrelevant, unrealistic, or unhelpful for the auditee. For example, option B may contradict the audit objective and scope, option D may imply a lack of auditor competence or impartiality, option F may not address the root cause of the problem, option G may not be applicable or effective, and option H may not be feasible or justified. References: ISO 9001 Auditing Practices Group Guidance on Improvement Opportunities, ISO 9001:2015, ISO 9001 Auditing Practices Group Guidance on Audit Evidence

NEW QUESTION # 226
You have been just hired as the Internal Lead Auditor of a large organisation, responsible for internal audits.
Your first job is to analyse the answers to nonconformities included in the report of a recent internal audit to Top Management.
The report contained one nonconformity as follows:
There is no evidence of Top Management ensuring the availability of resources to operate the QMS, the establishment of objectives, the promotion of continual improvement, and the promoting of the process approach.
Which four of the following Top Management actions can be considered 'corrections to the nonconformity'?
  • A. Objectives have been established
  • B. Process approach has been communicated to the personnel
  • C. Top Management review will be carried out every six months instead of annually
  • D. Resources have been provided
  • E. Top Management completed a course on ISO 9001
  • F. Top Management appoints a senior manager to oversee the quality manangement system
  • G. Improvement action has been promoted
  • H. All these actions will be reviewed during the Top Management meetings
Answer: A,B,D,G

NEW QUESTION # 227
Which one of the following is not an ISO 9000:2015 quality management principle?
  • A. Evidence-based decision-making
  • B. Risk-based approach
  • C. Process approach
  • D. Leadership
Answer: B
Explanation:
According to the ISO 9000:2015 quality management principles document1, risk-based approach is not one of the seven quality management principles that ISO 9000, ISO 9001 and other related quality management standards are based on. The seven quality management principles are:
* Customer focus
* Leadership
* Engagement of people
* Process approach
* Improvement
* Evidence-based decision making
* Relationship management
Therefore, risk-based approach is not a quality management principle under ISO 9001:2015.
References: ISO - Quality management principles

NEW QUESTION # 228
Which type of audit risk is the risk that a significant defect may occur in the QMS, although the organization has internal control mechanisms in place?
  • A. Detection risk.
  • B. Inherent risk.
  • C. Operational risk.
  • D. Control risk.
Answer: D
Explanation:
Comprehensive and Detailed In-Depth Explanation:
Audit risks are categorized into different types based on where failures may occur in the QMS audit process.
Clause References:
* ISO 19011:2018, Clause 6.3 - Managing Audit Risk: Defines different audit risks, including control risk.
Why is the Correct Answer A?
* Control risk occurs when internal controls fail to prevent or detect nonconformities.
* Even if controls exist, the risk remains if the QMS fails to identify or correct defects.
Why are the Other Options Incorrect?
* B (Inherent risk) # This refers to risks naturally present in processes, even before controls are applied.
* C (Detection risk) # This is the risk that an auditor fails to detect nonconformities.
* D (Operational risk) # This refers to risks related to day-to-day business operations, not QMS audits.
Reference:
ISO 19011:2018, Clause 6.3 - Managing Audit Risk

NEW QUESTION # 229
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