Question 1

The fraction of nonconforming products is plotted on which of the following types of control charts?

Accepted Answer

The p chart is used to plot the fraction of nonconforming products, so it is the best choice for this scenario. The u chart measures the number of defects per unit, the np chart graphs the number of nonconforming units, and the c chart counts the number of defects per sample.

Question 2

During the opening meeting, it is the auditee's responsibility to

Accepted Answer

The auditee is responsible for identifying safety requirements to ensure a safe environment during the audit process.

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

The auditor should notify the auditee management of the consequences created by the delays to ensure that the audit process is not compromised and to seek a resolution.

Question 4

Auditors can use flowcharts in their work in order to

Accepted Answer

Flowcharts are a visual representation of a process or system that can help auditors understand how it works and identify areas where there may be potential risks or inefficiencies. While flowcharts can be used to analyze process dispersion, distinguish variations, and determine process capability and uniformity, the primary purpose is to provide an overview of the process or system being audited.

Question 5

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

Accepted Answer

It is acceptable to grant an extension of the time frame for a corrective action if the corrective action plan requires more time than originally anticipated. However, any extension should be reasonable and justified, and the auditee should provide a clear explanation for the delay. In general, extensions should be granted sparingly and only in cases where there is a legitimate reason for the delay.

Question 6

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

The auditee's response is not sufficient as it does not provide a root cause analysis or a proposed corrective action. The lead auditor should draft a response requesting a more concise root-cause analysis to better understand why the non-conformance occurred and how to prevent it in the future.

Question 7

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

Accepted Answer

A root cause of a nonconformance is a fundamental reason why the problem occurred. It is important to address the root cause in order to prevent similar problems from occurring in the future. Therefore, the correct answer is D, since root causes must be corrected to prevent recurrence. Options A, B, and C are tools or methods used to identify or analyze potential causes, but not necessarily root causes.

Question 8

Which of the following is an audit reporting technique for prioritizing audit findings?

Accepted Answer

The risk-benefit ratio is a common audit reporting technique for prioritizing audit findings. This technique involves weighing the risks associated with a finding against the potential benefits of addressing it. By using this approach, auditors can identify which findings require immediate attention and which can be addressed later. The other options (A, C, and D) are not relevant audit reporting techniques for prioritizing audit findings.

Question 9

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

Accepted Answer

An interest in cooperation and open dialogue is essential as it conveys the auditor's willingness to work with the auditee and promotes a positive relationship. It also encourages the auditee to share information freely, which is crucial for an effective audit. A give-and-take atmosphere may be important, but compromise should not be the primary focus of the initial interview. A formal approach with specific roles may be necessary for the audit process, but it may not be the most important thing to convey during the initial interview. A personal approach to information gathering may be useful, but it should not take precedence over cooperation and open dialogue.

Question 10

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

Accepted Answer

When documentation is likely to be used as evidence in litigation, accuracy becomes incredibly important. Incorrect or incomplete documentation could potentially harm the legal case and cause the company to lose the lawsuit. Therefore, it is crucial to accurately document all findings and ensure that the documentation is thorough and complete.

Question 11

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

The answer of Which of the following conclusions can be...

Question 12

Partitioning or segmenting an audit is a useful way to

Accepted Answer

Partitioning or segmenting an audit is primarily used to manage a large audit. By breaking the audit into smaller segments, it becomes easier to allocate resources, assign tasks, and ensure completeness of coverage. While understanding resource flows, simulating operating conditions, and determining relationships among parts may be beneficial outcomes of partitioning, they are not the primary reasons for using this approach.

Question 13

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

The auditor should request that the auditee resolve the conflict between the procedure and the company policy. It is important to ensure that all procedures are being followed correctly and that any conflicts are resolved to minimize risks and maintain compliance. Closing out the corrective action request or voiding the noncompliance would not address the underlying issue and could lead to continued noncompliance. Simply notifying the auditee to comply with the procedure without addressing the conflict would also not resolve the issue.

Question 14

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

The element method is a common technique used in audits to assess compliance to a specific requirement at all locations where that requirement is applicable. This involves evaluating individual elements or components of the requirement across all relevant locations, rather than focusing on specific processes or departments. The discovery method involves randomly selecting areas for review, the department method focuses on evaluating specific departments, and the process method evaluates specific processes.

Question 15

When lower-tier documents are compared to higher-tier documents before the fieldwork starts, the comparison is called a

Accepted Answer

A desk audit is a type of audit that involves reviewing lower-tier documents such as policies and procedures to ensure they align with higher-tier documents such as standards and regulations before fieldwork begins. This helps to ensure that the audit will be focused on areas where there may be gaps or non-conformances. Process audit, conformance audit, and management audit are all types of audits, but not specifically related to the comparison of lower and higher-tier documents.

Question 16

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

Accepted Answer

The greatest benefit of an internal audit program is that it provides feedback for continuous improvement. While fulfilling contractual quality requirements, preparing for third-party audits, and potentially eliminating the need for external audits are important benefits, they are not as significant as the opportunity for continuous improvement that an internal audit program provides.

Question 17

An audit trail is necessary in order to

Accepted Answer

An audit trail is a record of how and when items were reviewed, providing evidence of the audit process, and a trail of decision-making. It ensures that audit findings and conclusions are based on sufficient evidence and supports accountability and transparency.

Question 18

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

Accepted Answer

The auditor should have the audit plan approved by the client before distributing it. This ensures that the client understands the scope, objectives, and methodology of the audit and agrees to provide the necessary access to information and personnel. It also helps to establish a good working relationship between the auditor and the client. Approval by the auditee or auditee management may not be necessary or appropriate, as they may not have sufficient knowledge of audit standards and practices to evaluate the plan. Review by the organization to be audited may be helpful in some cases, but it is not essential to the audit process.

Question 19

Which of the following statistics would best describe the central tendency of a sample of data?

Accepted Answer

The mean is the most appropriate measure of central tendency, as it takes into account all the data points in the sample and provides an average value. The mode represents the most frequently occurring value, which may not accurately represent the overall distribution of the data. Standard deviation is a measure of variability, and range is simply the difference between the highest and lowest values in the sample.

Question 20

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

Accepted Answer

Developing performance appraisals for all auditors helps establish consistency by setting standardized expectations and criteria for evaluating auditor performance.

Exam 2: Certified Quality Auditor