Question 1

Audit team members are responsible for which two of the following?

Accepted Answer

Audit team members are responsible for “Initiating the Audit” as well as “Compiling and analyzing evidence”. This means that they have to make sure that the audit is planned and executed in a way that it covers all the important areas and issues that require an audit. As well as collecting and analyzing evidence in a systematic way to evaluate the performance or conformance against predetermined criteria. However, they are also responsible for “Recommending specific corrective actions” based on their findings; which means that they have to provide suggestions on how to address any issues or non-compliances identified during the audit. They are also obliged to remain within the scope of the audit and should not extend their audit processes beyond it. Therefore, the correct choice would be C which includes all the appropriate responsibilities of audit team members.

Question 2

The process information shown in the graph above is indicative of a

Accepted Answer

The answer of  The process information shown in the...

Question 3

"What are your defined responsibilities in the calibration laboratory?" The question above is an example of what type of questioning technique?

Accepted Answer

This question is open-ended as it allows the respondent to provide detailed information about their responsibilities without being restricted to a yes or no answer.

Question 4

Which of the following indicates that a quality system is effective?

Accepted Answer

Option A indicates that the required quality system is in place and continuous improvement is evident. This suggests that the organization is committed to maintaining and improving the effectiveness of its quality management system. The other options (B, C, and D) only show that the organization is complying with the requirements of the quality standard, but do not necessarily demonstrate that the quality system is effective.

Question 5

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

Accepted Answer

While it is important for an auditor to follow a plan, sometimes changes to the plan may be necessary in order to effectively address any issues or concerns that arise during the audit. Therefore, it is considered less important than the other options listed. The other behaviors listed (remaining calm, displaying honesty, working systematically) are all crucial for auditors to exhibit in order to perform a successful audit.

Question 6

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

Accepted Answer

The most fundamental role of the audit function is to verify the effectiveness of the organization's quality system in preventing substandard performance. While the other choices may also be important functions of the audit function, ensuring the effectiveness of the quality system is the most basic purpose of auditing.

Question 7

During a supplier audit, all of the following documentation can be reviewed EXCEPT

Accepted Answer

The answer of During a supplier audit, all of the...

Question 8

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

The auditor should consider the resources available to the auditee to enact the corrective action and the auditee's experience in project evaluation techniques, as these factors directly impact the auditee's ability to implement corrective actions effectively and efficiently.

Question 9

An audit schedule is an integral part of which of the following phases of the auditing process?

Accepted Answer

The audit schedule is developed during the preparation phase of the auditing process.

Question 10

Which of the following best describes a frequency distribution?

Accepted Answer

A frequency distribution is a graph or table that displays the number of times (frequency) each category or value of a variable occurs in a data set. The graph or chart is typically organized into equal intervals along a scale of measurement, such as a histogram or bar chart.

Question 11

An auditee is likely to be most threatened by an auditor's use of which of the following interviewing techniques?

Accepted Answer

Using a tape recorder to record an auditee's response can be threatening to the auditee as it creates a permanent record that can be used later on in the audit process. The auditee may feel like their words are being used against them or that they are not in control of the information they are providing. This can cause the auditee to become defensive or withhold information. Other interviewing techniques listed may be more neutral or even helpful in building rapport with the auditee.

Question 12

The most important item to check when auditing against a specification is the

Accepted Answer

The most important item to check when auditing against a specification is the revision level of the specification. This ensures that the auditor is reviewing the current version of the specification and that any changes or updates have been accounted for. While the other options may be important to review, they are not as critical as ensuring the correct revision level is being audited.

Question 13

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

Accepted Answer

The lead auditor is the individual in charge of the audit and has the authority to make changes to the audit plan if necessary. By expressing their objections to the lead auditor, the auditee can work towards a resolution that satisfies both parties. It is not appropriate to go directly to the audit team members, audit program manager, or client without first discussing concerns with the lead auditor.

Question 14

Who is responsible for preparing the corrective action plan?

Accepted Answer

The auditee is responsible for preparing the corrective action plan, as they are the ones who need to take action to address any nonconformities identified during the audit. The auditor may provide guidance and recommendations, but it is ultimately up to the auditee to develop and implement the corrective actions. The registrar may review and approve the corrective action plan, and the audit manager may oversee the process, but neither are responsible for actually preparing the plan.

Question 15

The best way to communicate audit results to upper management would be to

Accepted Answer

An executive summary with an evaluation of overall quality performance is concise and provides upper management with a clear understanding of the audit results, focusing on strategic insights rather than detailed nonconformance lists.

Question 16

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

The next step for the auditor is to evaluate the adequacy of the responses to ensure they effectively address the findings before proceeding with any closure or follow-up actions.

Question 17

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

Accepted Answer

The client is the entity that determines whether a third-party audit should be conducted, as they are the ones seeking certification or verification of their systems or processes. The lead auditor, audit team, and auditee are involved in the audit process itself but do not determine whether it should be conducted.

Question 18

An auditee's procedures require that all design drawings be dated and signed. During a design review, an auditor notices that several drawings are signed, but not dated. The missing dates are examples of what kind of data?

Accepted Answer

The missing dates on the design drawings are examples of qualitative data, which are descriptive in nature and cannot be measured or quantified.

Question 19

In quality auditing, a finding is defined as

Accepted Answer

The answer of In quality auditing, a finding is defined...

Question 20

An internal audit schedule should be prioritized on the basis of all of the following criteria EXCEPT the

Accepted Answer

The size of the auditee's department is not a relevant factor in prioritizing the audit schedule. The other criteria of cost, risk, and management's requests are all important in determining the priority of audits.

Exam 2: Certified Quality Auditor