Exam ISO-9001-Lead-Auditor Topic 2 Question 116 Discussion
Actual exam question for PECB's ISO-9001-Lead-Auditor exam
Question #: 116
Topic #: 2
Question #: 116
Topic #: 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?
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?
Suggested Answer: A Vote an answer
Comprehensive and Detailed In-Depth Explanation:
ISO 19011:2018 requires auditors to conduct audits professionally and diligently.
Clause References:
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.
Reference:
ISO 19011:2018, Clause 4.4 - Professional Care
ISO 9001:2015, Clause 9.2 - Internal Audit
ISO 19011:2018 requires auditors to conduct audits professionally and diligently.
Clause References:
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.
Reference:
ISO 19011:2018, Clause 4.4 - Professional Care
ISO 9001:2015, Clause 9.2 - Internal Audit
by Sherry at Sep 17, 2026, 02:48 PM
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