PECB ISO-9001-Lead-Auditor valid exam dumps : QMS ISO 9001:2015 Lead Auditor Exam

Scenario 5: Mechanical-Electro (ME) Audit Stages
Mechanical-Electro, better known as ME, is an American company that provides mechanical and electrical services in China. Their services range from air-conditioning systems, ventilation systems, plumbing, to installation of electrical equipment in automobile plants, electronic manufacturing facilities, and food processing plants.
Due to the fierce competition from local Chinese companies and failing to meet customer requirements, ME ' s revenue dropped significantly. In addition, customers ' trust and confidence in the company decreased, and the reputation of the company was damaged.
In light of these developments, the top management of ME decided to implement a quality management system (QMS) based on ISO 9001. After having an effective QMS in place for over a year, they applied for a certification audit.
A team of four auditors was appointed for the audit, including Li Na as the audit team leader. Initially, the audit team conducted a general review of ME ' s documents, including the quality policy, operational procedures, inventory lists, QMS scope, process documentation, training records, and previous audit reports.
Li Na stated that this would allow the team to maintain a systematic and structured approach to gathering documents for all audit stages. While reviewing the documented information, the team observed some minor issues but did not identify any major nonconformities. Therefore, Li Na claimed that it was not necessary to prepare a report or conduct a meeting with ME ' s representatives at that stage of the audit. She stated that all areas of concern would be discussed in the next phase of the audit.
Following the on-site activities and the opening meeting with ME ' s top management, the audit team structured an audit test plan to verify whether ME's QMS conformed to Clause 8.2.1 (Customer Communication) of ISO 9001.
To do so, they gathered information through group interviews and sampling. Li Na conducted interviews with departmental managers in the first group and then with top management. In addition, she chose a sampling method that sufficiently represented customer complaints from both areas of ME ' s operations.
The team members were responsible for the sampling procedure. They selected a sample size of 4 out of 45 customer complaints received weekly for electrical services and 2 out of 10 complaints for mechanical services.
Afterward, the audit team evaluated the evidence against the audit criteria and generated the audit findings.
Which stages of the audit were performed?

• A. Stage 1 and stage 2 audit.
• B. Stage 2 audit and surveillance audit.
• C. Audit follow-up and stage 1 audit.

Select the term which best describes the quality management system process of modifying a non-conforming product to bring it within acceptance criteria.

• A. Corrective action
• B. Concession
• C. Preventive action
• D. Correction

Match the following potential audit client options to the type of audit.

A Health Trust has contracted with Servitup, a catering services organisation that has been certified to ISO
9001 for one year. It provides services to
10 small rural hospitals in remote locations involving the purchase and storage of dry goods and fresh produce, preparing meals, and loading heated trolleys for Ward Service by hospital staff. You, as auditor, are conducting the first surveillance audit at one site with the Deputy Catering Manager (DCM).
DCM: " I apologise for the absence of the Catering Manager. He has called in sick today and we are really short of staff. " You: " I see. It really shouldn ' t affect the QMS so the audit can progress as normal. " DCM: " The Catering Manager set up the system. I ' m afraid I ' m not as familiar with it as he is. " You: " OK, let ' s start with the Quality Policy. What are the main issues for the QMS here? " DCM: " Give me a minute. I need to look at the Quality Policy on the noticeboard in his office. " As the audit progresses, it is clear that the DCM has a very low knowledge of the QMS. He continually has to look up the answers to your questions or ask staff members about their processes. You decide to raise a nonconformity.
Select one of the following options that best describes the nonconformity.

• A. The Quality Policy only exists as a document in the Catering Manager ' s office.
• B. The effectiveness of the QMS depends on the Catering Manager being present on site.
• C. As a member of the management team, the Deputy Catering Manager is not sufficiently aware of the QMS.
• D. The Deputy Catering Manager is not competent to manage the QMS.

(Select the six statements that are required as part of a second-party audit to ISO 9001 carried out by an organisation to a key supplier (ABC), taking into account recommendations from ISO 19011.)

• A. Consider the concerns of ABC's interested parties.
• B. Confirm the effectiveness of ABC's internal audit and management review processes.
• C. Review the results of previous audits to ABC, if appropriate.
• D. Check for any failure to meet ABC's financial responsibilities.
• E. Audit an external provider to which ABC has outsourced a process.
• F. Audit the use of certification marks on ABC's marketing materials.
• G. Evaluate the suitability and adequacy of ABC's management system concerning its context and strategic direction.
• H. Review the handling of ABC's customer complaints since the last visit.
• I. ISO 9001 audit of ABC's external providers at least once per year.
• J. Review changes to the ABC's context and operations since the last visit.