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CQA Exam 174 Questions with Verified Answers
A root cause analysis can best be described as a process that is used to - CORRECT ANSWER determine the basic reason for an undesirable condition Which of the following would NOT normally be used as a major category in a cause and effect diagram? - CORRECT ANSWER Modifications Which two of the following conditions must be met in order to infer statistical significance about the results of an audit sample? - CORRECT ANSWER I. The population must be homogeneous., III. The sample must be random The accuracy of quality audit documentation is especially important in which of the following situations? - CORRECT ANSWER The documentation is likely to be used as evidence in litigation. Which of the following is most likely to request an audit? - CORRECT ANSWER A client During the course of a 10-day system audit, when should the auditee be briefed? - CORRECT ANSWER Every day Which of the following types of data is likely to be most reliable? - CORRECT ANSWER Corroborated data 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? - CORRECT ANSWER Evaluate the adequacy of the responses. Which of the following is the best method for determining the retention policy of the audit
documents? - CORRECT ANSWER Agreement between the client, the auditing organization, and the auditee During an audit interview, the auditee is not providing needed information about the process for which the auditee has sole responsibility. In an effort to minimize any miscommunication, the auditor should - CORRECT ANSWER request that the escort clarify the questions to the auditee The accuracy of quality audit documentation is especially important in which of the following situations? - CORRECT ANSWER The documentation is likely to be used as evidence in litigation. Typically, which two of the following are more important to an auditor in maintaining his or her auditing competency? - CORRECT ANSWER I. Understanding current standards for quality systems, IV. Learning about changes to existing auditing techniques Auditors can use flowcharts in their work in order to - CORRECT ANSWER understand the overall process or system being audited Management can best ensure support for the audit function from other departments by - CORRECT ANSWER emphasizing the importance and usefulness of audits to the organization An auditor is performing an audit of a drilling machine that produces 100 pieces a day and that is showing improved quality. Which of the following rules should be used for determining the proper sample size for a fixed level of confidence? - CORRECT ANSWER The sample size should be decreased as the quality improves. Which of the following is an audit reporting technique for prioritizing audit findings? - CORRECT ANSWER Risk-benefit ratio During the closing meeting, what is the advantage of having the lead auditor be the only
The main purpose for conducting an opening meeting for an audit is to - CORRECT ANSWER clarify the audit objectives Measures of which of the following provide attributes data? - CORRECT ANSWER Attendance at meetings Who is responsible for preparing the corrective action plan? - CORRECT ANSWER The auditee Which of the following would NOT normally be used as a major category in a cause and effect diagram? - CORRECT ANSWER Modifications An audit trail is necessary in order to - CORRECT ANSWER show how and when items were reviewed The best way to communicate audit results to upper management would be to - CORRECT ANSWER present an evaluation of overall quality performance and provide an executive summary in the formal report An internal audit schedule should be prioritized on the basis of all of the following criteria EXCEPT the - CORRECT ANSWER size of the auditee's department After an external audit, the auditee may be asked to evaluate which of the following auditor skills or elements of the audit? - CORRECT ANSWER Interviewing, interaction, accuracy of the audit report Management can best ensure support for the audit function from other departments by - CORRECT ANSWER emphasizing the importance and usefulness of audits to the organization Within most organizations, the responsibility for planning and carrying out a programmed series of quality system audits rests with the - CORRECT ANSWER audit program management function
Partitioning or segmenting an audit is a useful way to - CORRECT ANSWER manage a large audit An auditor finds deficiencies in the order entry, purchasing, product test, and shipping functions of a potential supplier. Which of them should have the highest priority in the audit report? - CORRECT ANSWER Product test Audits are conducted against a performance standard to ensure which of the following? - CORRECT ANSWER I. Meaningful measurements,II. Objectively evaluated performance Which of the following is an audit reporting technique for prioritizing audit findings? - CORRECT ANSWER Risk-benefit ratio During the closing meeting, what is the advantage of having the lead auditor be the only presenter of the audit findings? - CORRECT ANSWER The auditee will have one person with whom to interact and address comments to. In quality auditing, a finding is defined as - CORRECT ANSWER a conclusion of importance based on evidence The main function of an audit checklist is to - CORRECT ANSWER serve as a guide for members of the audit team When is it acceptable to grant an extension of the time frame for a corrective action? - CORRECT ANSWER When the corrective action plan requires more time than originally anticipated What are your defined responsibilities in the calibration laboratory? The question above is an example of what type of questioning technique? - CORRECT ANSWER Open-ended
Managing the quality audit process includes ensuring that which of the following audit functions occur? - CORRECT ANSWER I. Preparing and issuing the annual audit schedule,II. Issuing audit reports in a timely manner,IV. Assessing the effectiveness of the quality audit process The authority for auditors to perform external second-party audits is provided by
- CORRECT ANSWER the purchase contract Audit team members are responsible for which two of the following? - CORRECT ANSWER II. Remaining within the scope of the audit,III. Compiling and analyzing evidence When a proposed corrective action plan is judged unacceptable, an auditor should do which of the following? - CORRECT ANSWER Discuss the plan's deficiencies with the auditee and request a revised plan. To determine whether a finding is a minor, isolated incident or a serious, chronic problem, an auditor should consult with the - CORRECT ANSWER audit team When should audit checklists be prepared? - CORRECT ANSWER Before the field work is begun Quality system audits are directed at evaluating the - CORRECT ANSWER quality aspects of various segments of a companys overall approach to quality management Which of the following best describes quality control? - CORRECT ANSWER The operational techniques and activities that are used to fulfill requirements for quality During an audit, the best way to determine whether an audited process is consistent with the requirements of the relevant written procedure is by - CORRECT ANSWER physically observing the actual practice
Which of the following best describes a frequency distribution? - CORRECT ANSWER A graph for presenting data along a scale of reference and the number of times each item occurs A root cause of a nonconformance is defined as a problem that - CORRECT ANSWER must be corrected in order to prevent a recurrence 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? - CORRECT ANSWER SPC charts are available A quality audit observation is defined as - CORRECT ANSWER a noted item of objective evidence found during an audit An auditees 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? - CORRECT ANSWER Qualitative Which of the following is NOT an acceptable method of verifying a corrective action? - CORRECT ANSWER Contacting the individuals responsible for implementing the correction Which of the following types of tools or techniques is considered qualitative? - CORRECT ANSWER Process observations An audit report should contain which of the following? - CORRECT ANSWER Audit findings A cause and effect diagram is a useful tool for doing which of the following? - CORRECT ANSWER Developing theories based on symptoms
interview? - CORRECT ANSWER An interest in cooperation and open dialogue Which of the following is the most fundamental role of the audit function? - CORRECT ANSWER Verifying the effectiveness of the organizations quality system in preventing substandard performance 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 competitors audit results. The best action for the auditor to take is to - CORRECT ANSWER explain to the client that it would be inappropriate to discuss the results of that audit The objective evidence supporting an audit observation must be - CORRECT ANSWER recorded on the working papers 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? - CORRECT ANSWER II. The resources available to the auditee to enact the corrective action, IV. The number of findings recorded during the audit An audit schedule is an integral part of which of the following phases of the auditing process? - CORRECT ANSWER Preparation The most important objective in the development of a supplier evaluation system is to reduce - CORRECT ANSWER inspection at the customer site Which of the following is a benefit of performing a systems audit of a current supplier? - CORRECT ANSWER Evaluating continuing conformance to quality standards Communication by telephone is likely to be most effective when it is used for - CORRECT ANSWER performing assessments
An auditee who objects to any part of an audit plan should first make those objections known to the - CORRECT ANSWER lead auditor Which of the following factors related to scheduling would most directly affect the performance of an audit? - CORRECT ANSWER The scope of the audit Which of the following is the most useful graphical tool for promoting an understanding of process capability? - CORRECT ANSWER A histogram During the closing meeting, the lead auditor should do which of the following? - CORRECT ANSWER Present a summary of audit results. The auditor has the most independence from the auditee in which of the following types of audits? - CORRECT ANSWER Third-party An auditee is likely to be most threatened by an auditors use of which of the following interviewing techniques? - CORRECT ANSWER Using a tape recorder to record an auditee's response Which of the following represents a sound time-management technique? - CORRECT ANSWER Anticipating needs and making them known to the auditee in advance When lower-tier documents are compared to higher-tier documents before the fieldwork starts, the comparison is called a - CORRECT ANSWER desk audit Which of the following requests by an auditor is likely to obtain the most objective evidence for verification? - CORRECT ANSWER "Show me the information you have received."
*Auditors must be free of a vested interest in the area audited to be objective and unbiased. They should understand common industry practices and should know about work papers, data collection and problem identification. What are the three levels of qualification an auditor should be able to provide document evidence of compliance to? - CORRECT ANSWER Immediate organizational level (Local); professional; conformity assessment Which of the following is not one of the basic rules for quality audits an auditor should be familiar with? -Audits provide information for decisions -Measurements are taken against defined requirements. Conclusions are based on fact. -The auditor is always right. Subjective evidence carries consideration over objective evidence. -Auditors are qualified to perform their tasks. - CORRECT ANSWER The auditor is always right. Subjective evidence carries consideration over objective evidence. You've been delegated as the auditor to conduct the daily briefing at the end of each audit day. The core topic agenda points you will present to the customer and audit teams are: - CORRECT ANSWER Checklist areas completed; checklist areas to be examined (or revisited) tomorrow; any areas of concern; problems or issues experienced. What actions, when consistently executed, establish an auditor's level of ethical and credible performance? - CORRECT ANSWER Discover evidence, compare evidence to criteria, establish conclusion on level of compliance With respect to auditors' principles of conduct, an auditor should: - CORRECT ANSWER Never withhold reporting of issues, nonconformances, or violations when sufficient evidence indicates they exist. *An auditor has the professional accountability to report facts. An auditor has an obligation not to ignore problems found outside the original audit scope. All the following are methods for handling problems outside the agreed scope of an audit, except which of the following?
-Report major problems found, although it is not necessary to put them in the audit report as nonconformities -Determine if the problem is major or minor -If the problem is major, report the problem to the lead auditor or audit manager -If the problem is minor, ignore it and move on - CORRECT ANSWER If the problem is minor, ignore it and move on The audit program manager has requested that you perform an internal audit of the company's proprietary "critical development process." Since you are unfamiliar with this process you are concerned about auditing a process for which you have no knowledge or experience. What are you obliged to do? - CORRECT ANSWER If you do not believe you are qualified to perform this audit you need to tell the audit program manager or lead auditor immediately. 'Active listening' techniques might consist of the following: - CORRECT ANSWER - Pay attention to the way things are said, as well as what is said -Listen for changes in the speaker's voice, tone, emphasis, pitch, or speed -Listen for and differentiate the differences between ideas, opinions, feelings, and facts The following is not a positive auditor trait: -Indecisive -Persistence -Punctuality -Appearance - CORRECT ANSWER Indecisive *Auditors need to be able to make clear actionable findings. What should an auditor do to persuade customers that his/her perception of facts is value-added? - CORRECT ANSWER Focus on business values with a presentation of items and facts that will satisfy the organization's needs is the best option, but should include additional elements to capture the complete effectiveness of what the auditor is attempting to accomplish. The person who has the authority to require an audit is called: - CORRECT ANSWER The client.
-revise the audit report if the objections are justified -include the concerns in the audit working papers -All of the above - CORRECT ANSWER All of the above *The audit report at this stage is a preliminary document. Which of the following is not a good listening tip for auditors? -Be alert to non-verbal body messages. -When possible, dedicate an auditor to taking notes. -Tie responses back to the checklist to make sure it's items are covered. -Confirm the auditee's response by restating it - CORRECT ANSWER Tie responses back to the checklist to make sure it's items are covered. Which of the following types of data does an auditor collect and use as objective evidence during the fact collection part of the audit? -Physical properties and information from the five senses -Documents, records and interviews -Newsletters, industry publications and internet blogs -A and B - CORRECT ANSWER A and B What is the most comprehensive form of data gathered during an audit? - CORRECT ANSWER Interview data How can an auditor corroborate information received during an audit interview? -Observe the activity discussed first hand -Find out that another member of the audit team heard the same thing from his/her interview of someone else -Observe a document or record that verifies the action -All the above - CORRECT ANSWER All of the above What are the six steps of the audit interview process? - CORRECT ANSWER (1) Put the person at ease, (2) explain your purpose, (3) find out what they're doing, (4) analyze what they are doing, (5) make a tentative conclusion, (6) explain your next step Which one(s) of the following techniques is acceptable for capturing information during an audit interview? -Use a voice recorder to capture interview responses
-Have the area supervisor along to take notes for you -Write out loud as you take interview notes -Take care to conceal your notes and not share them with those being interviewed - CORRECT ANSWER Write out loud as you take interview notes Keys to a good audit interview are: - CORRECT ANSWER Rigorous preparation with genuine desire to know and understand the other person's viewpoint Open-ended questions the following advantages: - CORRECT ANSWER Open- ended questions encourage full answers, allow the person being questioned to respond more fully, and explore a wider scope of information. The following data-gathering devices are often used when gathering data from interviewees during a quality audit: - CORRECT ANSWER I. Concentration diagram II. Workflow diagram III. Deployment flowchart IV. Top-down flowchart V. Tally sheet The question, "What is the average number of defects produced by this process on a weekly basis?" could be described as: - CORRECT ANSWER Close-ended and Objective Which of the following would be a poor reason to use checklists during the course of a quality process audit? -To limit interviewee responses to the most important subjects -To promote good use of the audit team's time -To ensure thorough coverage of the subject area -To help ensure fairness and objectivity - CORRECT ANSWER To limit interviewee responses to the most important subjects When using a checklist and taking notes, some auditors read their notes aloud so the interviewee will understand what has been written. This practice is beneficial for the following reasons: -It allows the interviewee to stay informed, therefore preventing surprises at the final meeting or in the report.
*These terms describe the fairly predictable stages that teams go through as they are maturing. When first established, team members go through a period of team growth often referred to as Forming. This stage typically includes the following behavior by team members: - CORRECT ANSWER Attempts to define the task and decide how it will be accomplished As an audit team matures, its members go through a gradual process of learning to cope with emotional and group pressures. This four-step process is: - CORRECT ANSWER Forming, Storming, Norming, Performing Which of the solutions below is the most complete explanation of the purpose of a company's internal quality audits? -Ensure the company's quality program is being followed, and that products and services conform to requirements -Ensure that employees are following policies and procedures -Ensure the company's quality program is being followed, that products and services conform to requirements, and that the program is effective -Ensure that policies and procedures are up to date, are being followed by employees, and that the procedures are effective in preventing quality defects - CORRECT ANSWER Ensure the company's quality program is being followed, that products and services conform to requirements, and that the program is effective For all supplier audits, the lead auditor is expected to accomplish the following activity as part of his major responsibilities: - CORRECT ANSWER Make inquiries as to the appropriate personal protective equipment necessary for the auditors to use while on the supplier's premises Why are independent audits (those done by personnel outside of the inspection department) usually considered to be better for critical work than audits done by production management or inspectors? - CORRECT ANSWER Independent audits are usually better planned *Independent auditors are usually less familiar with the auditee's production and quality systems, so they must plan better to accomplish a successful audit. All of the following are expected of an audit team leader except:
-Solving a problem or providing an answer -Clarifying the points of view of team members -Coaching team members -Determining which members of the team need additional training or skill building
- CORRECT ANSWER Solving a problem or providing an answer The following are recognized as 'typical' problems that are encountered by audit teams: - CORRECT ANSWER I. Facts and opinions are not distinguished II. Team members may have inadequate training for the task III. There is a failure to assign specific responsibilities to specific individuals IV. Problems found by the audit team may be viewed as threatening by mid-level management An audit team is observed to be experiencing the following behaviors: personality differences occur; cultural issues surface, members realize how much work lies ahead and feel overwhelmed, and individuals cling to their own opinions. These behaviors are most frequently associated with which of the four stages of team development? - CORRECT ANSWER Storming What presentation technique can be used to ensure that managers and leaders understand the management presentation at the end of an audit? - CORRECT ANSWER Use management summaries to capture and present the most important findings What form or chart or visual aid could be used effectively to assist management to understand the most significant opportunities for improvement uncovered by a product quality audit? - CORRECT ANSWER Pareto diagrams *They summarize the occurrences of particular types of defects within a population of defects, and are then used to compare the types in terms of frequency of occurrence. Pie charts are the most useful way to demonstrate: - CORRECT ANSWER Component comparisons A time-series comparison - CORRECT ANSWER Is the format most often used to compare values from month-to-month or from year-to-year.
