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ASQ-CQA Practice Test Section II An audit for registration to ISO 9001 would be an example of what type of audit? a. second party audit b. third party audit c. first party audit d. procedural audit correct answer b. third part audit Various aspects of a business such as facilities, resources, economic stability, technical capability, personnel production capabilities, and past performance, as well as the entire quality system called: a. an ISO 9001 audit b. an internal assessment c. a first party audit d. a quality assessment correct answer d. a quality assessment Auditor independence is demonstrated by: a. the corrective action taken by the auditee b. the quality and objectivity of the audit report c. the number of findings reported d. their placement in the organization chart. correct answer b. the quality and objectivity of the audit report Audits are often conducted using a standard to ensure: a. objectivity in the evaluation of performance
b. a timely execution of the audit c. a maximum number of observations d. uniformity in both process and product observations correct answer a. objectivity in the evaluation of performance The act of quality audit planning is best described as: a. preparation of detailed operating procedures b. predetermination of quality audit related actions c. early identification of mandatory inspection points d. preliminary assignment of audit responsibilities correct answer b. predetermination of quality audit related actions The purpose of a quality auditing program is to: a. provide management with objective feedback b. establish commercial intentions c. establish written procedures d. prevent all unfit products from reaching the customer correct answer a. provide management with objective feedback Which of the following is an advantage that an internal auditor would typically have over an external auditor? a. a known level of knowledge and professional care b. a greater ability to find deficiencies c. an understanding of internal policies d. a greater knowledge of employees, thus reducing audit stress correct answer a. a known level of knowledge and professional care
a. three sigma limits b. specification limits c. variance control points d. process capability limits correct answer b. specification limits Any audit evidence can best be described as: a. the same as a finding b. any deficiency discovered by the auditor c. any item of objective evidences d. any suggestion made by the client correct answer c. any item of objective evidences Two generic quality systems audits are those inside the company and: a. process audits b. assessment audits c. external audits d. product audits correct answer c. external audits Which of the following best describes the auditees? a. the organization, individual, or firm performing the audit b. The organization, individual, or firm being audited c. the organization, individual or firm that is paying for the audit d. the organization, individual, or firm that first receives the audit report correct answer b. The organization, individual, or firm being audited
Assuming that an audit team breach of duty occurred during a third party audit, which of the following could potentially initiate liable action? a. the audit team b. the lead auditor c. the audit manager d. the auditee management correct answer d. the auditee management A conflict of interest threatens which of the following audit attributes? a. objectivity b. performance c. completion d. clarity correct answer a. objectivity The process audit may be useful in: a. examining the quality management system b. conducting external audits only c. verifying conformance to standards and procedures d. documenting the customer's use of the product correct answer c. verifying conformance to standards and procedures This failure of an auditor to use such care, that a reasonably prudent and careful person would use under similar circumstances, is called: a. fraud b. negligence
a. customers only b. FDA and EPA audits c. Marginal suppliers d. Internal audits only correct answer b. FDA and EPA audits Which of the following items is mentioned or implied at least twice is ASQ's code of ethics? a. business and technical confidentiality b. reliability and safety of products c. professional competency d. acknowledgment of the work of others correct answer c. professional competency A shipping line product audit will directly measure: a. the outgoing product quality b. the quality capabilities of production d. the adequacy of inspection methods d. the motivational level of the operators correct answer a. the outgoing product quality Which type of audit would typically require more time to plan? a. process b. procedure c. product d. quality system correct answer d. quality system
A product quality audit always requires: a. an assessment of product conformance b. the use of a scoring checklist c. an appraisal of process completeness d. an examination of processing procedures correct answer a. an assessment of product conformance The best example of a third party audit is which of the following: a. an audit team from corporate headquarters b. an outside audit team hired by a client c. any team of three auditors d. most customer audits correct answer b. an outside audit team hired by a client Objective evidence can only be expressed via: a. the lead auditor's credentials b. verifiable qualitative observations c. statements of fact d. verifiable quantitative observations correct answer c. statements of fact Your company has been advised that it will be the subject of a pre-award survey. You advise management to prepare for: a. a risk audit b. an internal audit c. a third party audit
a. internal, external, and surveillance b. product, process, and system c. assessment, appraisal and compliance d. extrinsic, intrinsic, and risk correct answer b. product, process, and system An external auditor is engaged by the company owner to conduct an organizational audit and to provide a report. The auditor should seriously consider which of the following liability issues: a. fraud, standard of care, and negligence b. standard of care, negligence, and liability damages c. negligence, liability damages, and fraud d. liability damages, negligence, and standard of care correct answer a. fraud, standard of care, and negligence Over the past several years there have been a large number of high profile corporate collapses which were due in part to bogus financial manipulation and lax external auditing. Which of the following common audit elements was at fault? a. an obligation to report results quickly b. lack of adequate resources to support the audit activity c. lack of impartial audit results d. auditing due professional care correct answer c. lack of impartial audit results An auditor's responsibilities include: a. taking action on important audit findings b. complying with audit standards and procedures
c. providing resources needed by the audit team d. determining the audit need, scope, and purpose correct answer b. complying with audit standards and procedures A product audit would typically: a. require more samples than an inspection of the product b. involve auditing the processes used to produce the product c. involve measuring and testing a few samples of product d. require a thorough review of the auditee's quality manual correct answer c. involve measuring and testing a few samples of product Generic standards/guidelines are designed to: a. provide guidance for specific activities b. be used for ISO audits c. establish the time frame for issuing the audit report d. guidelines standard criteria and requirements for an activity correct answer d. provide standard criteria and requirements for an activity Which of the following is part of the ASQ Code of Ethics? a. business and technical superiority b. providing superior service c. professional excellence d. acknowledgment of the work of ethics correct answer d. acknowledgment of the work of ethics
d. auditee, plant manager, auditor correct answer b. client, auditee, auditor Full examination of a small sample of finished product is an example of: a. discovery sampling b. product auditing c. process auditing d. final inspection correct answer b. product auditing An auditor's independence would be impaired by: a. audit time restrictions b. financial interests in the auditee c. prior audits of the auditee d. familiarity with an auditee's processes correct answer b. financial interests in the auditee An auditor could directly audit an organization to which of the following standards? a. ISO 9000 b. ISO 9004 c. ISO 14001 b. ISO 9004 correct answer c. ISO 14001 A new supplier assessment is most useful: a. before the purchase contract has been awarded b. soon after the purchase contract has been awarded
c. after the supplier has been in full production for a while d. when the delivery or completion date is imminent correct answer a. before the purchase contract has been awarded The classification of defects is most widely used in which of the following audits? a. external b. internal c. process d. product correct answer d. product A company is certified as meeting the requirements of ISO/TS 16949. The registrar requires surveillance audits every six months. What action should be company take? a. the company should accept this frequency b. the company should not be responsible for the additional audit costs c. deny the frequency. the ISO/TS 16949 audit requirement is annual d. the company should challenge the issue correct answer a. the company should accept this frequency Which of the following would be best describe a full scope audit? a. an internal audit of processes b. a survey c. an intrinsic audit d. an extensive quality systems audit correct answer d. an extensive quality systems audit Audit team members are responsible for:
Which of the following audits is certain to use a scoring system or checklist? a. ISO 9001 b. BNQP c. Internal d. External correct answer b. BNQP ISO 14001 as an audit criteria is a: a. quality award b. policy c. specification d. standard correct answer c. specification A consultant that works for the same registrar as you, request a copy of your audit report for company XYZ. In this situation: a. do not provide a copy b. suggest he/she obtain if from the client c. provide only the list of audit findings d. provide the copy since he/she works for the same registrar correct answer a. do not provide a copy A process audit is the evaluation of manufacturing or test operations against documented instructions and standards to measure the: a. compliance to the standards and instructions
b. results of the standards and instructions c. deviation form the standards and instructions d. fitness for use of the standards and instructions correct answer a. compliance to the standards and instructions How is a pre-audit conducted? a. by way of a telephone interview b. always at the auditee's facility c. at the auditor's facility d. by telephone interview and/or an on-site visit correct answer d. by telephone interview and/or an on-site visit A random audit is: a. scheduled and announced b. scheduled and unannounced c. unscheduled but announced d. unscheduled and unannounced correct answer d. unscheduled and unannounced Which of the following would normally be a first party audit? a. a department audit b. an ISO registration audit c. a supplier audit d. a pre-award audit correct answer a. a department audit The major sections of the ASQ Code of Ethics include which of the following:
d. a system of activities to provide quality products and services correct answer d. a system of activities to provide quality products and services Which ISO document would be an appropriate requirement on a purchase order or contract? a. ISO 9000 b. ISO 19011 c. ISO 14004 d. ISO 9001 correct answer d. ISO 9001 If an auditor perceives that he or she would have a conflict of interest in the performance of an audit, the most advisable course of action is to: a. remove himself/herself from the audit b. advise the auditee of the situation c. balance the audit team with non-involved members d. note the potential conflict in the audit report correct answer a. remove himself/herself from the audit Why would a stockholder or investor be most interested in the results of internal or external audits? a. they quite often result in significant cost savings b. they ensure that standardized practices exist c. they promote the utilization of written procedures d. they determine adherence to regulatory requirements correct answer a. they quite often result in significant cost savings Once could say that the most audit team independence would occur during:
a. third party audits b. first party audits c. supplier audits d. management audits correct answer a. third party audits During an external audit of a major, well known manufacturer, the auditor observed that returned used equipment was being repaired and placed in shipping boxes for new equipment. The auditor is reminded of this activity only after starting to prepare for the final audit report. Based on this information the auditor should: a. phone an anonymous tip to local TV b. ignore the situation unless it is an audit checklist question c. include the observation in the final report d. notify the Federal Trade Commission (FTC) correct answer b. ignore the situation unless it is an audit checklist question An audit team leader signs an audit report and takes credit for the work done by another auit team leader. Is this action a violation of the ASQ Code of Ethics? a. No, but it is not very professional b. No, not if the client agrees c. Yes, it is a violation of a peer relationship d. Yes, it is a violation ofca public responsibilities correct answer c. Yes, it is a violation of a peer relationship Which of the following audits is most commonly used as a first party audit? a. internal
