Question 1

Which of the following methods can an audit program manager use to establish consistency among auditors?

Accepted Answer

A)  Develop performance appraisals for all auditors 
B)  Assign auditors to permanent audit teams 
C)  Require auditors to read audit journals and references 
D)  Require auditors to develop their own procedures manual 
A)  Develop performance appraisals for all auditors 
B)  Assign auditors to permanent audit teams 
C)  Require auditors to read audit journals and references 
D)  Require auditors to develop their own procedures manual

Question 2

An audit trail is necessary in order to

Accepted Answer

A)  schedule and budget for audit assignments 
B)  show how and when items were reviewed 
C)  provide management with justification for an audit 
D)  provide the audit manager with audit results 
A)  schedule and budget for audit assignments 
B)  show how and when items were reviewed 
C)  provide management with justification for an audit 
D)  provide the audit manager with audit results

Question 3

If the audit escort for one area is repeatedly late or unavailable, what is the best option open to the auditor?

Accepted Answer

A)  Notify the auditee management of the consequences created by the delays. 
B)  Narrow the scope of the audit to accommodate the delays. 
C)  Proceed without the escort. 
D)  Assess system effectiveness using objective evidence from other areas. 
A)  Notify the auditee management of the consequences created by the delays. 
B)  Narrow the scope of the audit to accommodate the delays. 
C)  Proceed without the escort. 
D)  Assess system effectiveness using objective evidence from other areas.

Question 4

An auditee responds to a corrective action request by stating that the problem has never occurred before and is "not the norm for our operation." Which of the following is the most appropriate action for the lead auditor?

Accepted Answer

A)  Note that the deficiency is the result of a random occurrence. 
B)  Draft a response explicitly requesting a more concise root-cause analysis. 
C)  Confer with the audit client to assess the appropriateness of the response. 
D)  Schedule a follow-up audit immediately. 
A)  Note that the deficiency is the result of a random occurrence. 
B)  Draft a response explicitly requesting a more concise root-cause analysis. 
C)  Confer with the audit client to assess the appropriateness of the response. 
D)  Schedule a follow-up audit immediately.

Question 5

Which of the following is the most useful graphical tool for promoting an understanding of process capability?

Accepted Answer

A)  A flowchart 
B)  A histogram 
C)  An affinity diagram 
D)  An Ishikawa diagram 
A)  A flowchart 
B)  A histogram 
C)  An affinity diagram 
D)  An Ishikawa diagram

Question 6

Sampling procedures used in audits are designed to

Accepted Answer

A)  verify the scope of an audit 
B)  corroborate audit findings 
C)  conserve time in data collection 
D)  verify that all checklist items have been completed 
A)  verify the scope of an audit 
B)  corroborate audit findings 
C)  conserve time in data collection 
D)  verify that all checklist items have been completed

Question 7

Which of the following behaviors is LEAST important for an auditor to exhibit?

Accepted Answer

A)  Remaining calm throughout the audit 
B)  Displaying honesty and forthrightness 
C)  Adhering to the original audit plan 
D)  Working in a planned and systematic manner 
A)  Remaining calm throughout the audit 
B)  Displaying honesty and forthrightness 
C)  Adhering to the original audit plan 
D)  Working in a planned and systematic manner

Question 8

The main purpose for conducting an opening meeting for an audit is to

Accepted Answer

A)  clarify the audit objectives 
B)  discuss previous audit results 
C)  develop audit criteria 
D)  establish the scope of the audit 
A)  clarify the audit objectives 
B)  discuss previous audit results 
C)  develop audit criteria 
D)  establish the scope of the audit

Question 9

For third-party audits, which two of the following factors should be considered by the auditor when agreeing to the amount of time needed to complete corrective action?

Accepted Answer

A)  The resources available to the auditor for determining when follow-up can occur II. The resources available to the auditee to enact the corrective action III. The auditee's experience in project evaluation techniques IV. The number of findings recorded during the audit 
B)  I and III 
C)  I and IV 
D)  II and III 
E)  II and IV 
A)  The resources available to the auditor for determining when follow-up can occur II. The resources available to the auditee to enact the corrective action III. The auditee's experience in project evaluation techniques IV. The number of findings recorded during the audit 
B)  I and III 
C)  I and IV 
D)  II and III 
E)  II and IV

Question 10

The following portion of the test includes several Case Studies. Each Case Study includes introductory information about a specific company or audit situation, followed immediately by a set of questions related to the situation described and various audit-related documents, identified by company name. All of the audit-related documents for these Case Studies are presented in a separate booklet labeled: CONFIDENTIAL Audit Documents These documents were drawn from actual companies and are designed to be examples of genuine audit materials. Their format and contents have not been altered, and they are intended to represent working documents from everyday situations. Although the documents for the Case Studies are presented separately, the test will be scored as a whole, on a total of 150 questions. You may go back and check your work on any part of the examination until time is called at the end of the testing period. Two auditors are conducting an internal audit of the Quality Electronics and Elements Co. (QEE) system procedures. During the first day of the audit, the following observations were made. An outbound carton with obvious damage was examined by the auditor on the shipping dock. A shipment of six (6) boxes to Allied Supply was returned because the customer-required certifications did not accompany the product. Unsigned product verification documents were found on stored products. Of three (3) cartons found in the accepted materials station, only two of the cartons had labels indicating their contents. When the auditor pointed this out, a customer service representative immediately affixed the proper label to the one unlabeled carton. The auditor also found that "Accepted Material Traveler Cards" were not attached to any of the cartons in the accepted materials station. The auditor's finding on products without "Accepted Material Traveler Cards" should be written against which of the following departments?

Accepted Answer

A)  Production Control 
B)  Quality Assurance 
C)  Shipping 
D)  Engineering 
A)  Production Control 
B)  Quality Assurance 
C)  Shipping 
D)  Engineering

Question 11

An auditee who objects to any part of an audit plan should first make those objections known to the

Accepted Answer

A)  lead auditor 
B)  audit team members 
C)  audit program manager 
D)  client 
A)  lead auditor 
B)  audit team members 
C)  audit program manager 
D)  client

Question 12

Who is responsible for preparing the corrective action plan?

Accepted Answer

A)  The auditor 
B)  The auditee 
C)  The registrar 
D)  The audit manager 
A)  The auditor 
B)  The auditee 
C)  The registrar 
D)  The audit manager

Question 13

Which of the following is the best method for determining the retention policy of the audit documents?

Accepted Answer

A)  Agreement between the client, the auditing organization, and the auditee 
B)  The status of corrective action for the findings written in the audit report 
C)  Distribution of the final audit report 
D)  Significance of the audit findings written in the final audit report 
A)  Agreement between the client, the auditing organization, and the auditee 
B)  The status of corrective action for the findings written in the audit report 
C)  Distribution of the final audit report 
D)  Significance of the audit findings written in the final audit report

Question 14

An auditee has responded to all requests for corrective action in a timely manner. Which of the following is the next step for the auditor?

Accepted Answer

A)  Close all those findings in which the response is accompanied by adequate objective evidence. 
B)  Evaluate the adequacy of the responses. 
C)  Schedule a follow-up audit to verify corrective action. 
D)  Schedule a follow-up audit for critical items and schedule verification for other routine items at the next scheduled audit. 
A)  Close all those findings in which the response is accompanied by adequate objective evidence. 
B)  Evaluate the adequacy of the responses. 
C)  Schedule a follow-up audit to verify corrective action. 
D)  Schedule a follow-up audit for critical items and schedule verification for other routine items at the next scheduled audit.

Question 15

Which of the following is the most fundamental role of the audit function?

Accepted Answer

A)  Reporting identified problems to the supervisor of the audited area 
B)  Monitoring performance of the organization and determining corrective action for substandard performance 
C)  Reporting findings to upper management to ensure that proper corrective action is taken 
D)  Verifying the effectiveness of the organization's quality system in preventing substandard performance 
A)  Reporting identified problems to the supervisor of the audited area 
B)  Monitoring performance of the organization and determining corrective action for substandard performance 
C)  Reporting findings to upper management to ensure that proper corrective action is taken 
D)  Verifying the effectiveness of the organization's quality system in preventing substandard performance

Question 16

The authority for auditors to perform external second-party audits is provided by

Accepted Answer

A)  a company's quality assurance manual 
B)  the quality standard being audited against 
C)  the established audit procedures 
D)  the purchase contract 
A)  a company's quality assurance manual 
B)  the quality standard being audited against 
C)  the established audit procedures 
D)  the purchase contract

Question 17

After an external audit, the auditee may be asked to evaluate which of the following auditor skills or elements of the audit?

Accepted Answer

A)  Interviewing, interaction, accuracy of the audit report 
B)  Audit scheduling, auditor training records, observing an audit 
C)  Communication, listening, checklist preparation 
D)  Clarity of past audit reports, number of findings, lack of bias 
A)  Interviewing, interaction, accuracy of the audit report 
B)  Audit scheduling, auditor training records, observing an audit 
C)  Communication, listening, checklist preparation 
D)  Clarity of past audit reports, number of findings, lack of bias

Question 18

Which of the following types of tools or techniques is considered qualitative?

Accepted Answer

A)  Histograms 
B)  Frequency distributions 
C)  Pareto charts 
D)  Process observations 
A)  Histograms 
B)  Frequency distributions 
C)  Pareto charts 
D)  Process observations

Question 19

Which of the following types of data is likely to be most reliable?

Accepted Answer

A)  Data from an outside source 
B)  Data from the audited area 
C)  Attributes data 
D)  Corroborated data 
A)  Data from an outside source 
B)  Data from the audited area 
C)  Attributes data 
D)  Corroborated data

Question 20

Which of the following is most important for an auditor to convey at an initial audit interview?

Accepted Answer

A)  A give-and-take atmosphere that focuses on compromise 
B)  A formal approach that is guided by specific roles for each participant 
C)  An interest in cooperation and open dialogue 
D)  A personal approach to information gathering 
A)  A give-and-take atmosphere that focuses on compromise 
B)  A formal approach that is guided by specific roles for each participant 
C)  An interest in cooperation and open dialogue 
D)  A personal approach to information gathering

Which of the following methods can an audit program manager use to establish consistency among auditors?

An audit trail is necessary in order to

If the audit escort for one area is repeatedly late or unavailable, what is the best option open to the auditor?

An auditee responds to a corrective action request by stating that the problem has never occurred before and is "not the norm for our operation." Which of the following is the most appropriate action for the lead auditor?

Which of the following is the most useful graphical tool for promoting an understanding of process capability?

Sampling procedures used in audits are designed to

Which of the following behaviors is LEAST important for an auditor to exhibit?

The main purpose for conducting an opening meeting for an audit is to

For third-party audits, which two of the following factors should be considered by the auditor when agreeing to the amount of time needed to complete corrective action?

An auditee who objects to any part of an audit plan should first make those objections known to the

Who is responsible for preparing the corrective action plan?

Which of the following is the best method for determining the retention policy of the audit documents?

An auditee has responded to all requests for corrective action in a timely manner. Which of the following is the next step for the auditor?

Which of the following is the most fundamental role of the audit function?

The authority for auditors to perform external second-party audits is provided by

After an external audit, the auditee may be asked to evaluate which of the following auditor skills or elements of the audit?

Which of the following types of tools or techniques is considered qualitative?

Which of the following types of data is likely to be most reliable?

Which of the following is most important for an auditor to convey at an initial audit interview?

Certified Manager of Quality/Organizational Excellence

Certified Quality Engineer

Certified Quality Improvement Associate

Certified Six Sigma Black Belt

Six Sigma Green Belt

Filters

Exam 2: Certified Quality Auditor

Which of the following methods can an audit program manager use to establish consistency among auditors?

An audit trail is necessary in order to

If the audit escort for one area is repeatedly late or unavailable, what is the best option open to the auditor?

An auditee responds to a corrective action request by stating that the problem has never occurred before and is "not the norm for our operation." Which of the following is the most appropriate action for the lead auditor?

Which of the following is the most useful graphical tool for promoting an understanding of process capability?

Sampling procedures used in audits are designed to

Which of the following behaviors is LEAST important for an auditor to exhibit?

The main purpose for conducting an opening meeting for an audit is to

For third-party audits, which two of the following factors should be considered by the auditor when agreeing to the amount of time needed to complete corrective action?

An auditee who objects to any part of an audit plan should first make those objections known to the

Who is responsible for preparing the corrective action plan?

Which of the following is the best method for determining the retention policy of the audit documents?

An auditee has responded to all requests for corrective action in a timely manner. Which of the following is the next step for the auditor?

Which of the following is the most fundamental role of the audit function?

The authority for auditors to perform external second-party audits is provided by

After an external audit, the auditee may be asked to evaluate which of the following auditor skills or elements of the audit?

Which of the following types of tools or techniques is considered qualitative?

Which of the following types of data is likely to be most reliable?

Which of the following is most important for an auditor to convey at an initial audit interview?

Certified Manager of Quality/Organizational Excellence

Certified Quality Engineer

Certified Quality Improvement Associate

Certified Six Sigma Black Belt

Six Sigma Green Belt

Filters