Question 1

Recognizing the need for a follow-up audit is the responsibility of the

Accepted Answer

A)  lead auditor 
B)  corrective action team 
C)  client 
D)  auditee

Question 2

Which of the following is the greatest benefit of an internal audit program to an organization?

Accepted Answer

A)  It fulfills most contractual quality requirements. 
B)  It provides feedback for continuous improvement. 
C)  It prepares an organization for third-party audits. 
D)  It frequently eliminates the need for external audits.

Question 3

The accuracy of quality audit documentation is especially important in which of the following situations?

Accepted Answer

A)  One of the audit team members is aware of a possible personal bias related to the audit. 
B)  The documentation is likely to be used as evidence in litigation. 
C)  An audit has yielded more documentation than expected. 
D)  The documentation supports an auditor's viewpoint.

Question 4

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. If the audit also revealed that customer-required certifications were not included with a shipment, a finding should be written against which department?

Accepted Answer

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

Question 5

As the last step before distributing an audit plan, an auditor should have the plan

Accepted Answer

A)  approved by the client 
B)  approved by the auditee 
C)  reviewed by the organization to be audited 
D)  reviewed by auditee management

Question 6

Management can best ensure support for the audit function from other departments by

Accepted Answer

A)  continually evaluating the audit results 
B)  reviewing audit follow-up activities and ensuring that corrective action requests are closed in a timely manner 
C)  hiring personnel who have knowledge of quality procedures and by providing continuing education 
D)  emphasizing the importance and usefulness of audits to the organization

Question 7

Auditor independence includes freedom from which of the following?

Accepted Answer

A)  Bias II. Conflict of interest III. External influences IV. Previous exposure to the area 
B)  I and II only 
C)  II and IV only 
D)  I, II, and III only 
E)  II, III and IV only

Question 8

Auditors who audit outside their own country should be familiar with

Accepted Answer

A)  their own biases 
B)  the auditee's attitude 
C)  industry practices at the audit site 
D)  the local customs at the audit site

Question 9

When is it acceptable to grant an extension of the time frame for a corrective action?

Accepted Answer

A)  When the auditor cannot perform the follow-up audit as scheduled 
B)  When the auditee determines that the proposed corrective action is not cost-effective 
C)  When the corrective action plan requires more time than originally anticipated 
D)  When there has been a change in operators who perform the task

Question 10

During an audit, the client learns that the auditor has recently completed a quality system audit of a major competitor. The client then questions the auditor about the competitor's audit results. The best action for the auditor to take is to

Accepted Answer

A)  discuss the results of the audit with the client, only if the competitor agrees 
B)  go offline with the client, explain that the question is unethical, and that if the client persists, additional action by the auditor will be taken 
C)  explain to the client that it would be inappropriate to discuss the results of that audit 
D)  obtain permission from the competitor to use the results of the audit as examples for future clients, provided that the examples are not specific to business affairs or technical processes

Question 11

Which of the following qualifications would contribute most to an auditor being able to function effectively in various industrial or service disciplines?

Accepted Answer

A)  Familiarity with technical standards and regulations 
B)  A college degree in a specific technical area 
C)  A working knowledge of typical corporate organizational structures 
D)  Extensive background in calibration and metrology techniques

Question 12

Which of the following conclusions can be made by an auditor who observes that statistical process control (SPC) charts posted near operator workstations are done correctly and are regularly completed throughout the plant?

Accepted Answer

A)  Commitment of management to quality is strong 
B)  Processes are being improved continually 
C)  Shop floor staff have been fully trained 
D)  SPC charts are available

Question 13

Measures of which of the following provide attributes data?

Accepted Answer

A)  Temperature in degrees 
B)  Attendance at meetings 
C)  Weight in pounds 
D)  Length in metric units

Question 14

What action should an auditor take if an auditee responds to a procedural noncompliance by stating that the procedure conflicts with a written company policy?

Accepted Answer

A)  Close out the corrective action request. 
B)  Notify the auditee to comply with the procedure. 
C)  Void the noncompliance. 
D)  Request that the auditee resolve the conflict.

Question 15

Which of the following audit strategies is a common technique to assess compliance to a specific requirement at all locations where that requirement is applicable?

Accepted Answer

A)  Discovery method 
B)  Element method 
C)  Department method 
D)  Process method

Question 16

Which of the following authorities initially determines whether a third-party audit should be conducted?

Accepted Answer

A)  Client 
B)  Lead auditor 
C)  Auditee 
D)  Audit team

Question 17

A root cause of a nonconformance is defined as a problem that

Accepted Answer

A)  is discovered by conducting designed experiments 
B)  is established through the use of fishbone diagrams 
C)  must be reviewed by the material review board 
D)  must be corrected in order to prevent a recurrence

Question 18

Which of the following factors related to scheduling would most directly affect the performance of an audit?

Accepted Answer

A)  The client's company policy 
B)  The scope of the audit 
C)  The auditee's annual business plan 
D)  The evaluation of corrective action

Question 19

The main function of an audit checklist is to

Accepted Answer

A)  identify the specific products to be examined 
B)  serve as a guide for members of the audit team 
C)  save time by auditing only the items listed 
D)  expedite the preparation of the final audit report

Question 20

Who makes the final determination regarding the distribution of the audit report?

Accepted Answer

A)  The lead auditor 
B)  The audit group manager 
C)  The auditee 
D)  The client

Exam 2: Certified Quality Auditor