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CQA 2
a root cause of a nonconformance is defined as a problem that correct answer must be corrected in order to prevent recurrence when lower tier documents are compared to higher tier documents before the fieldwork starts, the comparison is called a correct answer desk audit an audit trail is necessary in order to correct answer show how and when items were reviewed 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? correct answer element method 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? -commitment of mgmt to quality is strong -processes are being improved continually -shop floor staff have been fully trained -SPC charts are available correct answer SPC charts are available 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 the fraction of nonconforming products is plotted on which type of control chart? correct answer p chart auditors can use flowcharts in their work in order to correct answer understand the overall process or system being audited
a quality audit contributes to improvement of the quality of a company's products and services by correct answer identifying the need for corrective action which of the following would NOT normally be used as a major category in a cause and effect diagram? correct answer modifications 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 is the most fundamental role of the audit function? correct answer verifying the effectiveness of the organization's quality system in preventing substandard performance in quality auditing, a finding is defined as correct answer a conclusion of importance based on evidence an auditee is likely to be most threatened by an auditor's use of which of the following interviewing techniques? correct answer using a tape recorder to record an auditee's response which of the following authorities initially determines whether a 3rd party audit should be conducted correct answer client which of the following is the greatest benefit of an internal audit program to an organization? correct answer it provides feedback for continuous improvement for 3rd 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?
- the resources available to the auditor for determining when follow up can occur
- the resources available to the auditee to enact the corrective action
- the auditee's experience in project evaluation techniques
mgmt can best ensure support for the audit function from other depts by correct answer emphasizing the importance and usefulness of audits to the organization which of the following methods can an audit program manager use to establish consistency among auditors? correct answer observe auditor performance during audits when an internal audit program is being formulated, the auditee's anxiety about the audit process is most likely to be reduced by which of the following? correct answer ensuring that members of the organization have a general understanding of the audit procedures mgmt of an internal audit program should consider all of the following EXCEPT:
- taking ownership of the quality assurance program
- supporting company objectives, goals, strategies
- assuring that audits are a means to evaluate company performance
- weighing costs vs. benefits of conducting an audit correct answer # when the audit manager schedules an audit of a single dept she is scheduling a correct answer vertical audit why should auditors be involved in auditing for risk mgmt when auditing the organization's business processes? correct answer they are familiar with the rules and regulation surrounding risk and familiar with conditions present in the organization which of the following tasks is NOT part of configuration mgmt?
- planninig
- auditing
- change control
- testing correct answer 4 testing
when calculating the cost savings of the audit program be sure to substract correct answer audit program costs audit program objectives generally include all of the following EXCEPT:
- supporting the objectives of the organization
- ensuring audits are performed in a timely manner
- presenting meaningful results to those who will act upon them
- making the best use of hte organization's resources by selecting auditors that have time to audit correct answer # 4 when performing long term planning for the audit program it is most important to correct answer identify that which may impact the future direction of the audit program the BEST way to enhance the credibility of the audit function is to correct answer use capable, well trained, experienced auditors which of the following statistics would best describe the central tendency of a sample of data? correct answer mean if the upper control limit matches the upper spec limit and the lower control limit matches the lower spec limit correct answer the Cp for the process is 1 which of the following types of tools or techniques is considered qualitative?
- histogram
- frequency distributions
- pareto charts
- process observations correct answer process observations
a cause and effect diagram is a useful tool for doing which of the following? correct answer developing theories based on symptoms sampling procedures used in audits are designed to correct answer conserve time in data collection which stmt best defines the relationship between Cp and Cpk when used in determining process capability? correct answer Cp and Cpk should be used together b/c Cp measures the ability of the process to stay on target and Cpk measures the ability of a process to stay within specs the cost of quality categories that make up the price of conformance are correct answer cost of prevention and cost of appraisal process capability mesaures the ability of a process to produce product correct answer meets design specs standard deviation measures correct answer variation in the following set of numbers 6, 7, 8, 9 10, the number 8 is the
- mean
- median
- mode
- mean and median correct answer mean and median which of the following is most important for an auditor to convey at an initial interview? correct answer an interest in cooperation and open dialogue if an audit escort for one area is repeatedly late or unavailable, what is the best option to the auditor? correct answer notify the auditee mgmt of the consequences created by the delays
which of the following requests by an auditor is likely to obtain the most objective evidence for verification? correct answer show me the info you have received which of the following qualifications would contribute most to an auditor being able to function effectively in various industrial or service disciplines? correct answer familiarity with technical standards and regs which of the following is LEAST important for an auditor to exhibit?
- remaining calm throughout audit
- displaying honesty and forthrightness
- adhering to the original audit plan
- working in a planned and systemic manner correct answer # what are your defined responsibilities in the cal lab? this question is an example of what type of questioning technique? correct answer open ended 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 which of the following represents a sound time mgmt technique? correct answer anticipating needs and making them known to the auditee in advance auditors who audit outside their own country should be familiar with correct answer the local customs at the audit site typically, which two of the following are more important to an auditor in maintaining his auditing competence?
- understanding current standards for quality systems
the difference between a product audit and the inspection process is correct answer inspections generally make pass/fail decisions while product audits include a broader scope which of the following indicates that a quality system is effective? correct answer the required system is in place and continuous improvement is evident the auditor has the most independence from the auditee in which of the following types of audits correct answer third party 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 competitor's audit results. the best action for the auditor to take is correct answer explain to the client that it would be inappropriate to discuss the results of that audit quality system audits are directed at evaluating correct answer the quality aspects of various segments of a company's overall approach to quality mgmt a quality audit observation is defined as correct answer a noted item of objective evidence found during an audit the reason an auditor may accept a gift from one auditee and not another is b/c correct answer he understands cultural differences which of the following best describes quality control? correct answer the operational techniques and activities that are used to fulfill requirements for quality which of the following is a benefit of performing a system audit of a current supplier? correct answer evaluating continuing conformance to quality standards which of the following is most likely to request an audit? correct answer client
national and international standards are examples of correct answer requirements what should an auditor NOT do if he discovers an illegal activity at the auditee's site during an audit? correct answer audit around the illegal activity if it is not part of the scope of the audit when an organization sends its own auditor to another country to perform an audit of its subsidiaries, this is considered correct answer an internal first party audit if an auditor shows professionalism, trust integrity, confidentiality and discretion he is considered to be correct answer ethical in order to ensure that proprietary info remains proprietary an auditor can correct answer verify the inputs and outputs of an undisclosed process without actually auditing the process an auditee responds to a corrective action request by stating that the problem has never occurred before and is "not the norm for the operation." which of the following is the most appropriate action for the lead auditor? -note that the deficiency is the result of a random experience
- contact the auditee to discuss his response
- tell the auditee that his plan is unacceptable -schedule a follow up audit immediately correct answer contact the auditee to discuss his response durin ghte conduct of an audit, who is responsible for supplying the auditor with objective evidence? correct answer auditee during the opening meeting, it is the auditee's responsibility to correct answer identify safety requirements
which of the following is an example of a short term corrective action? correct answer obtaining missing signatures on a purchase order what is a limitation of a canned checklist correct answer it may be too inflexible quality auditors help companies improve their processes, products, and services by correct answer reporting positive as well as negative evaluation results recognizing the need for a follow up audit is the responsibility of the correct answer lead auditor the main purpose for conducting an opening meeting for an audit is to correct answer clarify the audit objectives the lead auditor may stop an introductory tour if correct answer it begins to take too much time during a second party audit an auditor observes a procedure that is relevant to the audit but has not been included on the checklist. the auditor should correct answer review the procedure just like any other on the checklist the reason an auditor may choose to use the discovery method during an audit is b/c she correct answer knows there is a problem but is not sure where it is
