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CQA

Certified Quality Auditor Certification

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Exam A

QUESTION 1The confidence level in a sampling plan is defined as the

A. degree of uncertainty that the selected sample contains at leastone example of any errors thatarepresent

B. degree of certainty that the selected sample contains at least one example of any errors that arepresent

C. lowest performance level that can be considered acceptable for the function being auditedD. maximum error rate that can be considered acceptable for the function being audited

Correct Answer: BSection: (none)Explanation

Explanation/Reference:answer is best.

QUESTION 2An internal audit schedule should be prioritized on the basis of all of the following criteria EXCEPT the

A. cost of the activitiesB. risk of the activitiesC. size of the auditee's departmentD. management's requests

Correct Answer: CSection: (none)Explanation

Explanation/Reference:accurate answer.

QUESTION 3The accuracy of quality audit documentation is especially important in which of the following situations?

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.


Explanation/Reference:answer is confirmed.

QUESTION 4An auditee is likely to be most threatened by an auditor's use of which of the following interviewingtechniques?

A. Paraphrasing an auditee's response while writing it downB. Being silent while waiting for an auditee to respond to a questionC. Underlining key facts when recording an auditee's responseD. Using a tape recorder to record an auditee's response

Correct Answer: D

Section: (none)Explanation

Explanation/Reference:answer is true

QUESTION 5Partitioning or segmenting an audit is a useful way to


A. understand resource flowsB. simulate operating conditionsC. determine the relationship among partsD. manage a large audit

Correct Answer: DSection: (none)Explanation

Explanation/Reference:answer is straight.

QUESTION 6Which of the following behaviors is LEAST important for an auditor to exhibit?

A. Remaining calm throughout the auditB. Displaying honesty and forthrightnessC. Adhering to the original audit planD. Working in a planned and systematic manner


Explanation/Reference:to the point answer.

QUESTION 7An auditee's procedures require that all design drawings be dated and signed. During a design review, anauditor notices that several drawings are signed, but not dated. The missing dates are examples of whatkind of data?

A. QuantitativeB. MeasuredC. VariableD. Qualitative


Explanation/Reference:

QUESTION 8"What are your defined responsibilities in the calibration laboratory?"

The question above is an example of what type of questioning technique?

A. Open-endedB. Close-endedC. LeadingD. Discovery

Correct Answer: ASection: (none)Explanation


QUESTION 9Audit team members are responsible for which two of the following?

A. Initiating the auditII. Remaining within the scope of the auditIII. Compiling and analyzing evidenceIV. Recommending specific corrective actions

B. I and IIIC. I and IVD. II and IIIE. II and IV



QUESTION 10An audit schedule is an integral part of which of the following phases of the auditing process?

A. InitiationB. PreparationC. ClosingD. Reporting



QUESTION 11As the last step before distributing an audit plan, an auditor should have the plan

A. approved by the clientB. approved by the auditeeC. reviewed by the organization to be auditedD. reviewed by auditee management


Explanation/Reference:complete answer.

QUESTION 12Who is responsible for preparing the corrective action plan?

A. The auditorB. The auditeeC. The registrarD. The audit manager



QUESTION 13An auditee has responded to all requests for corrective action in a timely manner. Which of the following isthe next step for the auditor?

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 14The best way to communicate audit results to upper management would be to

A. provide a list of findings of noncompliance andsupporting objective evidenceB. present a list of all items of nonconformance thatrequire corrective actionC. present a report of the performance against the auditstandard of all areas included in the audit scopeD. present an evaluation of overall quality performanceand provide an executive summary in the

formalreport



QUESTION 15Which of the following authorities initially determines whether a third-party audit should be conducted?

A. Client

B. Lead auditorC. AuditeeD. Audit team


Explanation/Reference:exact answer.

QUESTION 16Which of the following is the greatest benefit of an internal audit program to an organization?

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.


Explanation/Reference:superb answer.

QUESTION 17For third-party audits, which two of the following factors should be considered by the auditor when agreeingto the amount of time needed to complete corrective action?

A. The resources available to the auditor for determining when follow-up can occur II. The resourcesavailable to the auditee to enact the corrective action III. The auditee's experience in project evaluationtechniques IV. The number of findings recorded during the audit

B. I and IIIC. I and IVD. II and IIIE. II and IV



QUESTION 18Which of the following is NOT an acceptable method of verifying a corrective action?

A. Reviewing measurement records after the correction has been madeB. Contacting the individuals responsible for implementing the correctionC. Conducting another audit on the process or systemD. Collecting or observing the new results of the process


Explanation/Reference:answer is great.

QUESTION 19The authority for auditors to perform external second-party audits is provided by

A. a company's quality assurance manualB. the quality standard being audited againstC. the established audit proceduresD. the purchase contract



QUESTION 20Which of the following types of data is likely to be most reliable?


A. Data from an outside sourceB. Data from the audited areaC. Attributes dataD. Corroborated data


Explanation/Reference:given answer is outclass.

QUESTION 21Management can best ensure support for the audit function from other departments by

A. continually evaluating the audit resultsB. reviewing audit follow-up activities and ensuring that corrective action requests are closed in a timely

mannerC. hiring personnel who have knowledge of quality procedures and by providing continuing educationD. emphasizing the importance and usefulness of audits to the organization



QUESTION 22Managing the quality audit process includes ensuring that which of the following audit functions occur?

A. Preparing and issuing the annual audit scheduleII. Issuing audit reports in a timely manner

III. Identifying appropriate corrective actionsIV. Assessing the effectiveness of the quality audit process

B. I and II onlyC. I and III onlyD. II and IV onlyE. I, II, and IV only



QUESTION 23The main function of an audit checklist is to

A. identify the specific products to be examinedB. serve as a guide for members of the audit teamC. save time by auditing only the items listedD. expedite the preparation of the final audit report



QUESTION 24During an audit, the best way to determine whether an audited process is consistent with the requirementsof the relevant written procedure is by

A. doing a statistical analysis of historical dataB. physically observing the actual practiceC. questioning the personnel who perform the procedureD. evaluating anecdotal evidence



QUESTION 25The auditor has the most independence from the auditee in which of the following types of audits?

A. First-partyB. SupplierC. Third-partyD. Management



QUESTION 26During the closing meeting, the lead auditor should do which of the following?

A. Accept the presentation of objective evidence.B. Review the auditor's qualifications.C. Perform a causal analysis with the auditee.D. Present a summary of audit results.



QUESTION 27During an audit, the client learns that the auditor has recently completed a quality system audit of a majorcompetitor. The client then questions the auditor about the competitor's audit results. The best action forthe auditor to take is to

A. discuss the results of the audit with the client, only if the competitor agreesB. go offline with the client, explain that the question is unethical, and that if the client persists, additional

action by the auditor will be takenC. explain to the client that it would be inappropriate to discuss the results of that auditD. 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 28Quality system audits are directed at evaluating the

A. specific procedures that have special significance for a company's quality missionB. quality aspects of various segments of a company's overall approach to quality managementC. quality aspects of specific processes to measure conformance to quality standardsD. organizational units that each have specific assigned missions



QUESTION 29Which of the following represents a sound time-management technique?

A. Scheduling interviews simultaneously at two different facilitiesB. Constantly revising the audit schedule to accommodate follow-up questionsC. Anticipating needs and making them known to the auditee in advanceD. Determining the detailed audit schedule at the audit opening meeting

Correct Answer: C

Section: (none)Explanation


QUESTION 30The following portion of the test includes several Case Studies. Each Case Study includes introductoryinformation about a specific company or audit situation, followed immediately by a set of questions relatedto 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:

CONFIDENTIALAudit DocumentsThese documents were drawn from actual companies and are designed to be examples of genuine auditmaterials. Their format and contents have not been altered, and they are intended to represent workingdocuments 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 timeis called at the end of the testing period.

Two auditors are conducting an internal audit of the Quality Electronics and Elements Co. (QEE) systemprocedures. During the first day of the audit, the following observations were made.

Which department is responsible for determining whether an outbound product has been damaged inhandling or storage?

A. Inventory ControlB. Quality AssuranceC. ShippingD. Engineering


Explanation/Reference:answer is right.

QUESTION 31The following portion of the test includes several Case Studies. Each Case Study includes introductoryinformation about a specific company or audit situation, followed immediately by a set of questions relatedto 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:

CONFIDENTIALAudit DocumentsThese documents were drawn from actual companies and are designed to be examples of genuine auditmaterials. Their format and contents have not been altered, and they are intended to represent workingdocuments 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 timeis called at the end of the testing period.

Two auditors are conducting an internal audit of the Quality Electronics and Elements Co. (QEE) systemprocedures. During the first day of the audit, the following observations were made.

Who is responsible for evaluating the adequacy of QEE's handling and storage practices?

A. The shipping managerB. Individual shipping and receiving clerksC. The quality assurance managerD. The customer service department


Explanation/Reference:definite answer.

QUESTION 32Which of the following factors related to scheduling would most directly affect the performance of an audit?

A. The client's company policyB. The scope of the auditC. The auditee's annual business planD. The evaluation of corrective action



QUESTION 33Sampling procedures used in audits are designed to

A. verify the scope of an auditB. corroborate audit findingsC. conserve time in data collectionD. verify that all checklist items have been completed


Explanation/Reference:valid answer.

QUESTION 34Management of an internal audit program should consider all of the following EXCEPT

A. taking ownership of the quality assurance programB. supporting company objectives, goals, and strategiesC. assuring that audits are a means to evaluate company performanceD. weighing costs versus benefits of conducting an audit



QUESTION 35An audit trail is necessary in order to

A. schedule and budget for audit assignmentsB. show how and when items were reviewedC. provide management with justification for an auditD. provide the audit manager with audit results



QUESTION 36Which of the following audit strategies is a common technique to assess compliance to a specificrequirement at all locations where that requirement is applicable?

A. Discovery methodB. Element methodC. Department methodD. Process method


Explanation/Reference:answer is genuine.

QUESTION 37When is it acceptable to grant an extension of the time frame for a corrective action?

A. When the auditor cannot perform the follow-up audit as scheduledB. When the auditee determines that the proposed corrective action is not cost-effectiveC. When the corrective action plan requires more time than originally anticipatedD. When there has been a change in operators who perform the task



QUESTION 38An auditee responds to a corrective action request by stating that the problem has never occurred beforeand is "not the norm for our operation." Which of the following is the most appropriate action for the leadauditor?


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 39Which of the following is most important for an auditor to convey at an initial audit interview?

A. A give-and-take atmosphere that focuses on compromiseB. A formal approach that is guided by specific roles for each participantC. An interest in cooperation and open dialogueD. A personal approach to information gathering



QUESTION 40If the audit escort for one area is repeatedly late or unavailable, what is the best option open to the auditor?

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.


Explanation/Reference:answer is rectified.

QUESTION 41During the opening meeting, it is the auditee's responsibility to

A. prepare the meeting agendaB. set the audit scheduleC. state the audit purpose and scopeD. identify safety requirements


Explanation/Reference:answer is acceptable.

QUESTION 42Audits are conducted against a performance standard to ensure which of the following?

A. Meaningful measurementsII. Objectively evaluated performance

III. Perceptive observationsB. I onlyC. I and II onlyD. II and III onlyE. I, II, and III


Explanation/Reference:proper answer.

QUESTION 43While performing an internal audit, an auditor notices that an operator on one shift skips part of thedocumented procedure. In this situation, the auditor should do which of the following?

A. Make a note on the checklist and initial it.B. Report it to the operator's supervisor or manager.C. Question the operator about the observation.D. Ask another operator to evaluate the situation.


Explanation/Reference:100% fit answer.

QUESTION 44An audit report should contain which of the following?

A. Audit findingsB. Root cause analysisC. Corrective actionD. Re-audit schedule


Explanation/Reference:appropriate answer.

QUESTION 45Generally, which of the following is the most meaningful way to trace a finished product?

A. Forward from starting with the acquisition of raw materialsB. Forward from the first production activityC. Backward from the start of the assembly processD. Backward from the end point



QUESTION 46When a proposed corrective action plan is judged unacceptable, an auditor should do which of thefollowing?

A. Revise the submitted plan on the basis of the auditor's knowledge and technical expertise.B. Notify the auditee and request that a new plan be submitted by the next level of management.C. Discuss the plan's deficiencies with the auditee and request a revised plan.D. Suggest that the auditee benchmark the deficient area and then rewrite the plan.


Explanation/Reference:Okay.

QUESTION 47Who makes the final determination regarding the distribution of the audit report?

A. The lead auditorB. The audit group managerC. The auditeeD. The client


Explanation/Reference:most sophisticated answer.

QUESTION 48A quality audit observation is defined as

A. a noted item of objective evidence found during an auditB. an accepted level of audit findings defined as "major" and "minor"C. an auditor's initial notice of a potential nonconformanceD. the lead auditor's perception of a potential problem



QUESTION 49Which of the following best describes quality control?

A. The overall intentions and directions of an organization with regard to quality, as formally expressed bytop management

B. The activities that establish the objectives and requirements for quality and for the application of qualitysystem elements

C. The organizational structure and the procedures, processes, and resources needed to implementquality management

D. The operational techniques and activities that are used to fulfill requirements for quality

Correct Answer: DSection: (none)

Explanation

Explanation/Reference:answer is absolute.

QUESTION 50Auditors who audit outside their own country should be familiar with

A. their own biasesB. the auditee's attitudeC. industry practices at the audit siteD. the local customs at the audit site



QUESTION 51Which of the following is a benefit of performing a systems audit of a current supplier?

A. Identifying the supplier's potential capabilityB. Assuring the supplier's capabilityC. Determining whether the company should do business with the supplierD. Evaluating continuing conformance to quality standards



QUESTION 52Which of the following is an example of a short-term corrective action?

A. Improving process capabilityB. Analyzing a field failureC. Obtaining missing signatures on a purchase orderD. Correcting the problem of obsolete drawings



QUESTION 53Which of the following methods can an audit program manager use to establish consistency amongauditors?

A. Develop performance appraisals for all auditors


B. Assign auditors to permanent audit teamsC. Require auditors to read audit journals and referencesD. Require auditors to develop their own procedures manual



QUESTION 54When should audit checklists be prepared?

A. At the time the audit is requestedB. When the lead auditor is appointedC. During the opening meetingD. Before the field work is begun



QUESTION 55Quality auditors help companies improve their processes, products, and services by

A. developing more comprehensive checklistsB. guaranteeing product qualityC. recommending better techniques for motivating employeesD. reporting positive as well as negative evaluation results


Explanation/Reference:Explanation:

QUESTION 56

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

A. cycleB. runC. trendD. shift



QUESTION 57The most important item to check when auditing against a specification is the

A. list of documents within the specificationB. copy of the previous revision of the specificationC. document control procedureD. revision level of the specification



QUESTION 58Which of the following indicates that a quality system is effective?

A. The required system is in place and continuousimprovement is evident.B. An audit was conducted and no non-conformances werefound.C. An audit report states that the intent of the standard isbeing met.D. No corrective action requests have been issued for aspecified period of time.



QUESTION 59Which of the following is the best method for determining the retention policy of the audit documents?

A. Agreement between the client, the auditing organization, and the auditee

B. The status of corrective action for the findings written in the audit reportC. Distribution of the final audit reportD. Significance of the audit findings written in the final audit report



QUESTION 60During a supplier audit, all of the following documentation can be reviewed EXCEPT

A. reports of internal audits performed by the supplierB. information concerning the company's parts inventoryC. quality records for a product made for another customerD. operating or working instructions



QUESTION 61Which of the following best describes a frequency distribution?

A. A graph for presenting data along a scale of reference and the number of times each item occursB. A time-ordered chart of subgroup averages and control limitsC. A plot of the probability of accepting a hypothesis when it is actually falseD. A graph indicating the difference between an actual value and its predicted value


Explanation/Reference:All right.

QUESTION 62During an audit interview, the auditee is not providing needed information about the process for which theauditee has sole responsibility. In an effort to minimize any miscommunication, the auditor should

A. continue to repeat the questions until the auditee answersB. explain to the interviewee the consequences of being uncooperativeC. terminate the interview and skip that section of the planD. request that the escort clarify the questions to the auditee



QUESTION 63During the closing meeting, what is the advantage of having the lead auditor be the only presenter of theaudit findings?

A. The auditee will have one person with whom to interact and address comments to.B. The lead auditor may be the only team member who has verified each finding personally.C. The lead auditor has the most experience in dealing with the auditee's management.D. The lead auditor makes the auditee feel more responsible for corrective action of the findings

presented.



QUESTION 64Within most organizations, the responsibility for planning and carrying out a programmed series of qualitysystem audits rests with the

A. quality systems engineering functionB. audit program management functionC. financial audits departmentD. planning and scheduling department


Explanation/Reference:finest answer.

QUESTION 65An auditor finds deficiencies in the order entry, purchasing, product test, and shipping functions of apotential supplier. Which of them should have the highest priority in the audit report?

A. Order entryB. Product testC. PurchasingD. Shipping



QUESTION 66After an external audit, the auditee may be asked to evaluate which of the following auditor skills orelements of the audit?

A. Interviewing, interaction, accuracy of the audit reportB. Audit scheduling, auditor training records, observing an auditC. Communication, listening, checklist preparationD. Clarity of past audit reports, number of findings, lack of bias


Explanation/Reference:real answer.

QUESTION 67To determine whether a finding is a minor, isolated incident or a serious, chronic problem, an auditorshould consult with the

A. auditee's quality assurance inspectorB. auditee's department managerC. audit teamD. client


Explanation/Reference:nice.

QUESTION 68Which two of the following conditions must be met in order to infer statistical significance about the resultsof an audit sample?

A. The population must be homogeneous.II. The sample size must be greater than 10.III. The sample must be random.IV. The sample must be taken from multiple locations.

B. I and IIC. I and IIID. II and IIIE. III and IV



QUESTION 69A root cause analysis can best be described as a process that is used to

A. evaluate corrective action plansB. determine the basic reason for an undesirable conditionC. identify the symptoms of an undesirable conditionD. differentiate between major and minor problems



QUESTION 70Which of the following would NOT normally be used as a major category in a cause and effect diagram?

A. ModificationsB. Methods

C. MaterialsD. Machines


Explanation/Reference:genuine answer.

QUESTION 71What action should an auditor take if an auditee responds to a procedural noncompliance by stating thatthe procedure conflicts with a written company policy?

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.


Explanation/Reference:applicable answer.

QUESTION 72In quality auditing, a finding is defined as

A. an observation of common behaviorsB. an item of objective evidence found during an auditC. a fundamental deficiency that can lead to nonconformanceD. a conclusion of importance based on evidence


Explanation/Reference:answer is accepted.
