PECB QMS ISO 9001:2015 Lead Auditor (ISO-9001-Lead-Auditor) Free Practice Test
Question 1
Scenario 2:
Bell is a Canadian food manufacturing company that operates globally. Their main products include nuts, dried fruits, and confections. Bell has always prioritized product quality and has maintained a good reputation for many years. However, the company ' s production error rate increased significantly, leading to more customer complaints.
To increase efficiency and customer satisfaction, Bell implemented a Quality Management System (QMS) based on ISO 9001. The top management established a QMS implementation team comprising five middle managers from various departments, including Leslie, the quality manager.
Leslie was responsible for assigning responsibilities and authorities for QMS-related roles. He also suggested including a top management representative in the QMS team, but top management declined due to other priorities.
The team defined the QMS scope as:
" The scope of the QMS includes all activities related to food processing. " Leslie established a quality policy and presented it to the team for review before top management approval.
Top management also proposed a new strategy for handling customer complaints, requiring biweekly customer surveys to monitor customer perceptions.
Which situation presented in scenario 2 is NOT compliant with ISO 9001?
Bell is a Canadian food manufacturing company that operates globally. Their main products include nuts, dried fruits, and confections. Bell has always prioritized product quality and has maintained a good reputation for many years. However, the company ' s production error rate increased significantly, leading to more customer complaints.
To increase efficiency and customer satisfaction, Bell implemented a Quality Management System (QMS) based on ISO 9001. The top management established a QMS implementation team comprising five middle managers from various departments, including Leslie, the quality manager.
Leslie was responsible for assigning responsibilities and authorities for QMS-related roles. He also suggested including a top management representative in the QMS team, but top management declined due to other priorities.
The team defined the QMS scope as:
" The scope of the QMS includes all activities related to food processing. " Leslie established a quality policy and presented it to the team for review before top management approval.
Top management also proposed a new strategy for handling customer complaints, requiring biweekly customer surveys to monitor customer perceptions.
Which situation presented in scenario 2 is NOT compliant with ISO 9001?
Correct Answer: C
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Question 2
You are the supervisor in Production of a medium size manufacturing organisation. You are qualified as an internal auditor. The Quality Manager asks you to lead the next internal audit of Production and Logistics Dispatch. The audit team includes two other internal auditors.
Correct Answer:
Explanation:
Here is the correct matching of actions to the statements in the context of leading the internal audit:
If practicablecarry out a formal opening meeting
You should notaudit production (as you are a supervisor in that area, and this would compromise audit objectivity) You need notchange the audit team (unless there is a specific reason, such as conflict of interest) You mustraise audit findings if necessary (this is a key responsibility of an auditor when nonconformities are found) You must notsend the audit report to the Quality Manager (the audit report must be reviewed first; it is typically part of the internal audit process to go through necessary channels before final submission) You shouldsend the audit report to the Quality Manager (after appropriate reviews and approvals) This reflects key principles of conducting an internal audit according to ISO 9001:2015, ensuring objectivity, proper documentation, and clear reporting procedures.
Question 3
ABC is a worldwide fast-food organisation. One of the branches, in downtown Cape Town, decided to implement an ISO 9001 quality management system and you are the audit team leader (with two other auditors) that will carry out the certification audits, Stage 2.
ABC receive the orders by phone or internet; some of the employees deliver the ordered food to indicated addresses. The normal menu includes 15 different types of hamburgers; however, in the last two weeks, due to a shortage of a special type of meat, they can only prepare six of the 15 varieties.
During the internal meeting of the audit team, you ask one of the auditors to describe what she has observed. She audited the reception of orders from customers (via phone or internet) and the communication of the orders to the kitchen. She noticed that the menu offering food on the website is still the normal one, with 15 different hamburgers, and during a 30-minute period, she observed many customers reluctantly accepting something other than the hamburger they preferred.
You, as audit team leader, inform the Quality Manager of your concern about the major nonconformity, since you consider this a serious breach of the basic principles of quality that lasted two weeks without action being taken.
Right at the beginning of the Closing meeting, you discuss the nonconformity with the General Manager.
She got quite upset and said she was going to make a complaint to the certification body and left the room; the Quality Manager was the only member of ABC left with the audit team. The Quality Manager said the General Manager would not come back to the meeting.
What would you do? Choose the best from the following options:
ABC receive the orders by phone or internet; some of the employees deliver the ordered food to indicated addresses. The normal menu includes 15 different types of hamburgers; however, in the last two weeks, due to a shortage of a special type of meat, they can only prepare six of the 15 varieties.
During the internal meeting of the audit team, you ask one of the auditors to describe what she has observed. She audited the reception of orders from customers (via phone or internet) and the communication of the orders to the kitchen. She noticed that the menu offering food on the website is still the normal one, with 15 different hamburgers, and during a 30-minute period, she observed many customers reluctantly accepting something other than the hamburger they preferred.
You, as audit team leader, inform the Quality Manager of your concern about the major nonconformity, since you consider this a serious breach of the basic principles of quality that lasted two weeks without action being taken.
Right at the beginning of the Closing meeting, you discuss the nonconformity with the General Manager.
She got quite upset and said she was going to make a complaint to the certification body and left the room; the Quality Manager was the only member of ABC left with the audit team. The Quality Manager said the General Manager would not come back to the meeting.
What would you do? Choose the best from the following options:
Correct Answer: B
Question 4
You are carrying out an audit at an organisation seeking certification to ISO 9001 for the first time. The organisation offers health and safety training to customers. Training courses are offered either as open courses, delivered at a public venue, or online, or as courses that are tailored to meet specific requirements.
The business operates from a single office and those who deliver the training are either full-time employees or subcontractors.
You have just completed the opening meeting. You are interviewing the Managing Director (MD).
You: "Good morning. I would like to gain an understanding of your business and its strategic direction." MD: "Of course. We are facing challenging times. The market is extremely competitive, and customers typically look for the least expensive option when arranging health and safety training. Our annual sales revenue has struggled to grow over the past two years. Most of our employed trainers are planning to retire over the next 12 months, and we are looking for more subcontract trainers. Achieving ISO 9001 certification will, I hope, give us the capability to improve our operational performance. Also, many of our competitors do not have any form of management system certification, so I hope it will give us that competitive edge needed to secure orders. We intend to promote our ISO 9001 certification on our website and across all other customer-facing media." Which three of the following audit trails would you take to explore the extent to which external and internal issues have been determined and used to enable the business to achieve the intended result(s) of its quality management system?
The business operates from a single office and those who deliver the training are either full-time employees or subcontractors.
You have just completed the opening meeting. You are interviewing the Managing Director (MD).
You: "Good morning. I would like to gain an understanding of your business and its strategic direction." MD: "Of course. We are facing challenging times. The market is extremely competitive, and customers typically look for the least expensive option when arranging health and safety training. Our annual sales revenue has struggled to grow over the past two years. Most of our employed trainers are planning to retire over the next 12 months, and we are looking for more subcontract trainers. Achieving ISO 9001 certification will, I hope, give us the capability to improve our operational performance. Also, many of our competitors do not have any form of management system certification, so I hope it will give us that competitive edge needed to secure orders. We intend to promote our ISO 9001 certification on our website and across all other customer-facing media." Which three of the following audit trails would you take to explore the extent to which external and internal issues have been determined and used to enable the business to achieve the intended result(s) of its quality management system?
Correct Answer: B,D,F
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Question 5
The procedures of an organisation require that all purchase orders have to be signed by the Purchasing Manager, or, in her absence, by the Production Manager. During an audit carried out in November 2020, an auditor determined that during three weeks in February 2020, the purchase orders were not signed. You raise a nonconformance under Clause 8.4.3 of ISO 9001:2015.
Which one of the following answers would you accept as a ' correction ' from the Purchasing Manager?
Which one of the following answers would you accept as a ' correction ' from the Purchasing Manager?
Correct Answer: C
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Question 6
An organisation wants to certify their ISO 9001:2015-based QMS for the first time. Arrange the activities in the correct sequence from 2 to 5.
To complete the sequence, click on the blank section you want to complete so it is highlighted in red and then click on the applicable text from the options below. Alternatively, drag and drop the options to the appropriate blank section.
To complete the sequence, click on the blank section you want to complete so it is highlighted in red and then click on the applicable text from the options below. Alternatively, drag and drop the options to the appropriate blank section.
Correct Answer:
Explanation:
To certify an organization ' s ISO 9001:2015-based Quality Management System (QMS) for the first time, the correct sequence of activities would be:
Establish the management system (already in place).
Supplier audit
Internal audit
Management review
Initial certification audit - stage 1
Initial certification audit - stage 2 (already in place).
This sequence follows the typical path for preparing and ensuring that a QMS is functioning as required, leading up to certification.
Question 7
Noitol is an organisation specialising in the design and production of e-learning training materials for the insurance market. During an ISO 9001 audit of the development department, the auditor asks the Head of Development about the process used for validation of the final course design. She states that they usually ask customers to validate the product with volunteers. She says that the feedback received often leads to key improvements.
The auditor samples the design records for a recently completed course for the 247 Insurance organisation.
Design verification was carried out but there was no validation report. The Head of Development advises that this customer required the product on an urgent basis, so the validation stage was omitted. When asked, the Head estimates that this occurs about 50% of the time. She confirms that they always ask for feedback and often make changes. There is no record of feedback in the design file for the course.
The auditor raises a nonconformity against ISO 9001. Which one of the following options is the basis for the nonconformity?
The auditor samples the design records for a recently completed course for the 247 Insurance organisation.
Design verification was carried out but there was no validation report. The Head of Development advises that this customer required the product on an urgent basis, so the validation stage was omitted. When asked, the Head estimates that this occurs about 50% of the time. She confirms that they always ask for feedback and often make changes. There is no record of feedback in the design file for the course.
The auditor raises a nonconformity against ISO 9001. Which one of the following options is the basis for the nonconformity?
Correct Answer: D
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Question 8
Scenario 2:
Bell is a Canadian food manufacturing company that operates globally. Their main products include nuts, dried fruits, and confections. Bell has always prioritized product quality and has maintained a good reputation for many years. However, the company ' s production error rate increased significantly, leading to more customer complaints.
To increase efficiency and customer satisfaction, Bell implemented a Quality Management System (QMS) based on ISO 9001. The top management established a QMS implementation team comprising five middle managers from various departments, including Leslie, the quality manager.
Leslie was responsible for assigning responsibilities and authorities for QMS-related roles. He also suggested including a top management representative in the QMS team, but top management declined due to other priorities.
The team defined the QMS scope as:
" The scope of the QMS includes all activities related to food processing. " Leslie established a quality policy and presented it to the team for review before top management approval.
Top management also proposed a new strategy for handling customer complaints, requiring biweekly customer surveys to monitor customer perceptions.
Which statement related to the last paragraph of scenario 2 is correct?
Bell is a Canadian food manufacturing company that operates globally. Their main products include nuts, dried fruits, and confections. Bell has always prioritized product quality and has maintained a good reputation for many years. However, the company ' s production error rate increased significantly, leading to more customer complaints.
To increase efficiency and customer satisfaction, Bell implemented a Quality Management System (QMS) based on ISO 9001. The top management established a QMS implementation team comprising five middle managers from various departments, including Leslie, the quality manager.
Leslie was responsible for assigning responsibilities and authorities for QMS-related roles. He also suggested including a top management representative in the QMS team, but top management declined due to other priorities.
The team defined the QMS scope as:
" The scope of the QMS includes all activities related to food processing. " Leslie established a quality policy and presented it to the team for review before top management approval.
Top management also proposed a new strategy for handling customer complaints, requiring biweekly customer surveys to monitor customer perceptions.
Which statement related to the last paragraph of scenario 2 is correct?
Correct Answer: D
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Question 9
(From the following, select six tasks you would expect to be completed during the audit team meeting of a second-party audit in preparation for the closing meeting of a four-day audit being performed by organisation ABC to an external provider.)
Correct Answer: B,C,F,H,I,J
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Question 10
(A third-party audit has been planned at a single-site organisation. The audit team comprises one audit team leader, one auditor and one auditor who is undertaking his first third-party audit.
During the on-site audit, the auditor who is undertaking his first third-party audit shall...)
During the on-site audit, the auditor who is undertaking his first third-party audit shall...)
Correct Answer: B,D
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Question 11
You will lead a third-party audit next Monday on ABC, an organisation that provides services for cleaning windows from the outside of tall buildings. They work on demand, and usually have 4-5 orders per week. All documented information on these activities is kept at the central office.
On Friday evening, before the audit, you are informed by mail that customers cancelled all orders for the next week; therefore, the auditors will not have the chance to see them working at the customer ' s premises, but the field supervisors will be available at the ABC offices.
You have prepared the audit plan and the checklist. Choose the best action you would take:
On Friday evening, before the audit, you are informed by mail that customers cancelled all orders for the next week; therefore, the auditors will not have the chance to see them working at the customer ' s premises, but the field supervisors will be available at the ABC offices.
You have prepared the audit plan and the checklist. Choose the best action you would take:
Correct Answer: B
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Question 12
Scenario 2:
Bell is a Canadian food manufacturing company that operates globally. Their main products include nuts, dried fruits, and confections. Bell has always prioritized product quality and has maintained a good reputation for many years. However, the company ' s production error rate increased significantly, leading to more customer complaints.
To increase efficiency and customer satisfaction, Bell implemented a Quality Management System (QMS) based on ISO 9001. The top management established a QMS implementation team comprising five middle managers from various departments, including Leslie, the quality manager.
Leslie was responsible for assigning responsibilities and authorities for QMS-related roles. He also suggested including a top management representative in the QMS team, but top management declined due to other priorities.
The team defined the QMS scope as:
" The scope of the QMS includes all activities related to food processing. " Leslie established a quality policy and presented it to the team for review before top management approval.
Top management also proposed a new strategy for handling customer complaints, requiring biweekly customer surveys to monitor customer perceptions.
The quality policy was established by Leslie and approved by top management. Is this acceptable? Please refer to scenario 2.
Bell is a Canadian food manufacturing company that operates globally. Their main products include nuts, dried fruits, and confections. Bell has always prioritized product quality and has maintained a good reputation for many years. However, the company ' s production error rate increased significantly, leading to more customer complaints.
To increase efficiency and customer satisfaction, Bell implemented a Quality Management System (QMS) based on ISO 9001. The top management established a QMS implementation team comprising five middle managers from various departments, including Leslie, the quality manager.
Leslie was responsible for assigning responsibilities and authorities for QMS-related roles. He also suggested including a top management representative in the QMS team, but top management declined due to other priorities.
The team defined the QMS scope as:
" The scope of the QMS includes all activities related to food processing. " Leslie established a quality policy and presented it to the team for review before top management approval.
Top management also proposed a new strategy for handling customer complaints, requiring biweekly customer surveys to monitor customer perceptions.
The quality policy was established by Leslie and approved by top management. Is this acceptable? Please refer to scenario 2.
Correct Answer: B
Explanation: Only visible for TestSimulate members. You can sign-up / login (it's free).