Download Quality Auditing Principles and Practices and more Exams Business Economics in PDF only on Docsity!
CQA Exam 190 Questions with Verified Answers
How should effective audit program operate as an extension of the function of management? - CORRECT ANSWER It identifies with systems, not people. Suboptimization can be defined as - CORRECT ANSWER the optimization of one process component at the expense of the performance of other components or the entire system The audit client has primary responsibility for which of the following? - CORRECT ANSWER Determining the need for an audit The following statement is true of which type of audit? audit report is generated and distributed to members of management." - CORRECT ANSWER Both internal and external audits 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 The documents of the approved product configuration identification, status of change, and the implementation status change are known as which of the following? - CORRECT ANSWER Configuration accountings At a daily audit team meeting, an important area was missed in the planning due to miscommunication with the auditee. The team needs to: - CORRECT ANSWER evaluate the importance versus the remaining scheduled items and replan, if appropriate. During a supplier audit, all of the following documentation can be reviewed EXCEPT Please choose the correct answer. - CORRECT ANSWER quality records for a product made for another customer
Which of the following best describes a frequency distribution? Please choose the correct answer. - CORRECT ANSWER A graph for presenting data along a scale of reference and the number of times each item occurs The act of quality audit planning is best described as: - CORRECT ANSWER Predetermination of quality audit related actions Which of the following is a good reason to use checklists during the course of a quality process audit? - CORRECT ANSWER To ensure thorough coverage of the subject area A customer rejected an entire lot of material for a quality defect, Which of the following corrective action steps shown below would be performed last? - CORRECT ANSWER Determine proposed permanent corrective actions A search through equipment calibration records shows a piece of test equipment is out of specification. The next record an auditor should ask for is a - CORRECT ANSWER review of the impact on the finished product In addition to establishing the scope of an internal audit, the client and lead auditor are jointly responsible for: - CORRECT ANSWER Audit purpose and criteria Team members are trusting of each other, have minimal conflicts, make decisions, and complete assignments during which phase of team development? - CORRECT ANSWER Performing Which of the following is an example of an international standard? - CORRECT ANSWER ISO 9001 the following is a good measurement of QMS compliance trend for company A? In company A, x number of internal audits will be performed and y number of CARS will be issued after internal audit. Which one of - CORRECT ANSWER Run trend analysis y/y vs. time As the leader of an audit team, you have just assembled a draft audit report. Who should be the first to review this report? - CORRECT ANSWER The members of the audit team, to check for accuracy
In an ISO 9000 quality management system audit, who makes the final decisions on which elements and processes are to be audited? - CORRECT ANSWER Lead auditor As an audit program manager, you need to evaluate the effectiveness of the audit program. One way to do this is by - CORRECT ANSWER evaluating whether the program is making value-added contributions The first step in a corrective action plan (CAP) is - CORRECT ANSWER identify the problem 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 In this stage of team maturity, members have a clear focus on the purpose of the team and a sense of satisfaction from the team's achievements. - CORRECT ANSWER Performing When an auditor is performing an onsite audit, the primary focus of the auditor is on which two stages of the PDCA cycle? - CORRECT ANSWER Check and act An audit that looks at the processes and controls across several different functional groups of an organization - CORRECT ANSWER is a horizontal audit Time-wasting issues should be identified by an experienced auditor and addressed by - CORRECT ANSWER the auditor leading the audit process and not allowing the auditee to take control. If the audit also revealed that customer-required certifications were not included with a shipment, a finding should be written against which department? - CORRECT ANSWER Shipping
What should an auditor do to persuade customers that his or 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. Which of the following is the type of quality audit used to observe an operator to ensure helshe is following a work instruction? - CORRECT ANSWER Procedure audit Most observations originate in which audit phase? - CORRECT ANSWER Performance Which function is served by an audit report? - CORRECT ANSWER It supplies information that the audit verified adherence to requirements Which of the following is used as a reference for comparing audit evidence? - CORRECT ANSWER Audit criteria container When the auditor noted the lack of label, the auditee immediately filled out a label and affixed it to the container.In this situation, the auditor should do which of the following? - CORRECT ANSWER Write a finding to encourage a root cause analysis. How will using electronic data captured to replace handwritten records help quality records? - CORRECT ANSWER Legibility of records Appropriate objectives for evaluating the effectiveness of the internal audit program include which of the following? - CORRECT ANSWER Measurement of the number of improvements and preventive actions What presentation technique(s) 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. Who is the individual most responsible to effectively assemble an audit team for an external audit? - CORRECT ANSWER Lead auditor
A quality audit can contribute to business performance through: - CORRECT ANSWER Reduced risk Who is responsible for evaluating the adequacy of QEE's handling and storage practices? - CORRECT ANSWER The quality assurance manager Which of the following sampling plans rejects a lot based on the number of nonconformities of individual units? - CORRECT ANSWER Single sampling Which type of documents describe how to apply a standard's requirements to specific processes, sites, and functions? - CORRECT ANSWER Internal In a quality cost program, the total costs of required outside endorsements or certifications, such as UL, ASTM, or the U.S. government, falls under which quality cost category? - CORRECT ANSWER Appraisal costs Being sympathetic to an auditee's plight will: - CORRECT ANSWER Often be detrimental to the outcome of the audit The accuracy of quality audit documentation is especially important in which of the following situations? Please choose the correct answer. - CORRECT ANSWER The documentation is likely to be used as evidence in litigation Which of the following is an inspection of a randomly selected product that is ready to ship? - CORRECT ANSWER Dock audit Question: The final report should include all __________identified during audit performance and discussed during the closing meetings. - CORRECT ANSWER findings Which of the following is an audit reporting technique for prioritizing audit findings? Please choose the correct answer. - CORRECT ANSWER Risk-benefit ratio A program for auditing a quality management system involves the following elements: I. Report audit results, stating non-conformities and supporting evidence II. Document an audit schedule
III. Assign corrective action requests to appropriate personnel IV. Confirm auditors are independent of areas being audited V. Audit relevant processes, checking for supporting evidence Which of the following accurately reflects the correct sequencing of these activities? - CORRECT ANSWER II, IV, V, I, II When dealing with configuration identification which baseline defines the detail requirements of the system or item? - CORRECT ANSWER Product baseline BBM Automotive is auditing its long-time supplier, Halloway Engineering and Drill, Inc. who is now pursuing supplier certification. During the opening meeting, the auditee is responsible for which of the following? - CORRECT ANSWER Protect proprietary rights The effectiveness of a quality audit team is primarily determined by - CORRECT ANSWER the value addition generated by addressing its findings Which of the following requests by an auditor is likely to obtain the most objective evidence for verification? Please choose the correct answer. - CORRECT ANSWER "Show me the information you have received." Management of an internal audit program should consider all of the following EXCEPT Please choose the correct answer. - CORRECT ANSWER taking ownership of the quality assurance program The overhead involved with maintaining a supplier certification program can best be justified in a situation where - CORRECT ANSWER significant economies of scale exist in production Which of the following is one of the basic rules of quality auditing? - CORRECT ANSWER Auditors are qualified to perform their tasks. The limits that define the conformance boundaries for an individual manufacturing unit or service operation are the: - CORRECT ANSWER Specification limits
The objective evidence supporting an audit observation must be Please choose the correct answer. - CORRECT ANSWER recorded on the working papers Communication by telephone is likely to be most effective when it is used for Please choose the correct answer. - CORRECT ANSWER corroborating information Which of the following is most correct when deciding which quality audit has an objective to identify controls a supplier is implementing that may reduce or eliminate the need for purchaser receiving controls? - CORRECT ANSWER Second- party audit The best way to communicate audit results to upper management would be to Piease choose the correct answer. - CORRECT ANSWER present an evaluation of overall quality performance and provide an executive summary in the formal report Which of the following solutions is the most complete explanation of the purpose of a company's internal quality audits? - CORRECT ANSWER To ensure the company's quality program is being followed, that products and services conform to requirements, and that the program is effective. Using audits to identify and document best practices in an audit report is not sufficient. For the organization to truly benefit from best practice identification, there must also be - CORRECT ANSWER a systematic way of communicating the identified practices throughout the organization A quality management system audit takes place and involves the following steps:
- Classification of nonconformances. II. An opening meeting defining the planned audit scope and activities. III. A closing meeting describing the audit findings. IV. Observational viewings by the auditor to make findings of evidence in support of documented policies and procedures. Which of the following accurately reflects the correct sequencing of these activities? - CORRECT ANSWER I1, IV, I, II Histograms are used for the purpose of - CORRECT ANSWER graphically displaying variation in data
In quality auditing, a finding is defined as - CORRECT ANSWER a conclusion of importance based on evidence Audits are conducted against a performance standard to ensure all of the following EXCEPT - CORRECT ANSWER perceptive observations The sampling method that requires minimum sample size for a given protection is
- CORRECT ANSWER sequential sampling The audit scope defines - CORRECT ANSWER The areas and organizations that will be audited Evaluating audit program effectiveness includes which of the following? - CORRECT ANSWER Observing the audit team in action An auditor's practice of the "no secrets" interview concept does what to the auditor and interviewee relationship? - CORRECT ANSWER Leaves the door open for resolution of disagreements What method would be a verification? - CORRECT ANSWER Tracing When reporting the findings of a system audit, which of the following is an example of a statement that might be included? - CORRECT ANSWER "If the nonconformance is not corrected, the organization will be at risk for producing a defective product." Which of the following is a good reason for conducting an audit? - CORRECT ANSWER To determine effectiveness of corrective action The term 'objective evidence' can best be obtained from which of the following? - CORRECT ANSWER Controlled records The client's responsibility includes: - CORRECT ANSWER determining the purpose of the audit.
The auditor's finding on products without "Accepted Material Traveler Cards" should be written against which of the following departments? - CORRECT ANSWER Shipping Which of the following best defines root cause analysis as it applies to auditing? - CORRECT ANSWER Fundamental underlying reason for multiple occurrences of an issue/problem that often leads to systemic issues Round-robin auditing consortiums provide - CORRECT ANSWER auditors with additional training and experience The lowering of total quality costs - CORRECT ANSWER requires understanding of cause-and-effect relationships The purpose of a quality auditing program is to: - CORRECT ANSWER Provide management with objective feedback Of the following, what is the most important reason for audit planning? - CORRECT ANSWER It results in maximizing use of time and resources. Which of the following is an advantage that an internal auditor would typically have over an external auditor? - CORRECT ANSWER A known level of knowledge and professional care When correctly executed, quality auditing generally provides an informative basis for - CORRECT ANSWER supporting both organization strategy as well as tactical initiatives To ensure that one process component has not been optimized at the expense of the others, the auditor should consider - CORRECT ANSWER the performance and effectiveness of the system as a whole Question: During an audit of a potential contract manufacturer, an auditee discloses nonpublic information that is material to its business. Choose the best statement that applies to the auditor's legal liability. - CORRECT ANSWER The auditor acquires legal liability regardless of whether he/she uses or shares the 'information.
Of the following, what would be the best first step for an auditor to employ when beginning an interview? - CORRECT ANSWER The auditor should explain the purpose of the interview. When writing up an ISO 9000:2008 audit report, the following statement is included: "No evidence of continuous improvement was found." How would this statement best be classified? - CORRECT ANSWER Noncompliance The quality internal audit schedule needs to define the function and frequency to be audited such that - CORRECT ANSWER audits are conducted of areas as needed by business goals at a frequency that is deemed appropriate by management Typically, which two of the following are more important to an auditor in maintaining his or her auditing competency? I Understanding current standards for quality systems II. Attending audit closing meetings III. Networking with other auditors and auditing organizations IV. Leaning about changes to existing auditing techniques - CORRECT ANSWER I and IV A mandatory requirement for each quality audit team member is - CORRECT ANSWER functional knowledge of the organization's quality management system 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 The responsibilities of an audit team leader include - CORRECT ANSWER reviewing findings and observations Two common systems used to assess the fitness of an organization's quality management system are those that refer to the ISO 9001:2008 standard and those that refer to the Malcolm Baldrige Criteria for Performance Excellence. While these reference documents may be used in many ways, in the most common use a team from either a registrar or the Baldrige program will review the organization and the organization will receive some type of documentation
Auditor independence includes freedom from which of the following? - CORRECT ANSWER I, II, and II only Which of the following is most important for an auditor to convey at an initial audit interview? Please choose the correct answer. - CORRECT ANSWER An interest in cooperation and open dialogue Which of the following would be the best method for evaluating the effectiveness of efforts to improve a process? - CORRECT ANSWER Review available process performance records and other data on completed improvement projects. In terms of system improvement, the word "proactive" is most closely associated with the wored - CORRECT ANSWER preventive When using a checklist and taking notes, some auditors read their notes aloud so the interviewee will understand what has been written. Why is this practice beneficial? - CORRECT ANSWER All of these are beneficial practices. Which of the following is an example of a short-term corrective action? Please choose the correct answer. - CORRECT ANSWER Obtaining missing signatures on a purchase order The confidence level in a sampling plan is defined as the - CORRECT ANSWER degree of certainty that the selected sample contains at least one example of any errors that are present During the course of a 10-day system audit, when should the auditee be briefedd?
- CORRECT ANSWER Every day Which of the following types of quality audits is also referred to as an internal audit? - CORRECT ANSWER First-party Audit "Copies of the final report are a matter of public record and may be requested by potential customers of the organization to verify the adequacy of the organization's quality systems." - CORRECT ANSWER This is not true in either program.
When lower-tier documents are compared to higher-tier documents before the fieldwork starts, the comparison is called a Please choose the correct answer. - CORRECT ANSWER desk audit A good cause and effect diagram will display a known problem or desired outcome with categories branching off of it. Each branch represents - CORRECT ANSWER A cause In an operating characteristic (oc) curve, if the lot fraction defective (p) is x-axis and probability of acceptance (Pa) is y-axis. Where will the new OCc curve be when the new sample size (n) is larger while the accept number (c) is held constant? - CORRECT ANSWER New curve will be under the previous one Attribute data are also referred to as - CORRECT ANSWER discrete Audit findings are always based on: - CORRECT ANSWER Objective evidence The term 'audit criteria' refers to - CORRECT ANSWER The referenced sources that the auditor will use to determine conformance to requirements Under ISO 9001:2000, the follow statement is true of which type of audit? "The audit team may extend the period covered by the ISO certificate." - CORRECT ANSWER External audits only Your organization typically sub-contracts the internal audit process to a local consulting firm. Which of the following best describes what your organization should do prior to the next internal audit? - CORRECT ANSWER Since your organization is using an external auditor, your organization should identify an organizational escort to assist the auditor in moving within the organization and between departments. The quality records that are maintained within the scope of an audit should be reviewed - CORRECT ANSWER during both audit planning and audit performance stages
The activity of cleaning, organizing, and maintaining a manufacturing work area is part of the philosophy of Response: - CORRECT ANSWER 5S Which of the following requests by an auditor is likely to obtain the most objective evidence for verification? Please choose the correct answer. - CORRECT ANSWER "Show me the information you have received." A quality audit contributes to improvement of the quality of a company's products and services by Please choose the correct answer. - CORRECT ANSWER identifying the need for corrective action Question: The first step in a corrective action plan (CAP) is - CORRECT ANSWER identify the problem Question: Auditors cause great financial loss to a business and destroy the integrity of the audit function ty Response: - CORRECT ANSWER discussing or divulging proprietary information to others Part of managing an audit team effectively is to understand how teams work. What is the normal progression of team development? - CORRECT ANSWER Forming, storming, norming, performing Measures of which of the following provide attributes data? Please choose the correct answer. - CORRECT ANSWER Altendance at meetings Which of the following options accurately identifies steps of the audit process? Response: - CORRECT ANSWER Identity audit team, identity authonty to perform audit, report results, address corrective actions detailed in the An audit's boundaries are established in specific terms, identifying the exact items, groups, and activities to be examined. This is - CORRECT ANSWER audit scope The sales department has beaten its sales quotas for the manufacturing cannot keep up with promised delivery third quarter in a row and the sales materials schedules and development has not yet designed are top notch. However. into
the product. all of the promised features This is an example of which of the following? - CORRECT ANSWER Lack of systems focus in the management system The sales department has beaten its sales quotas for the third quarter in a row manufacturing cannot keep up with promised delivery schedules and development has not yet designed all of the promised features and the sales materials are top notch. However, into the product. - CORRECT ANSWER Lack of systems focus in the management system Why are independent audits (those done by personnel critical work than audits done by production management or inspectors? outside of the inspection department) usually considered to be better for - CORRECT ANSWER Independent audits are usually better planned. Attribute data are also referred to as - CORRECT ANSWER discrete Regarding ISO 9000:2008 intemal audits, which of the following statements is true? - CORRECT ANSWER Internal audits must be scheduled and must be carried out by independent personnel. The following is a scope statement for which type of audit? "Auit the design and manütacture of gaskets, seals and other Plant Number 1, 123 Main Street, Anytown for the purpose of registration compounded elastomer products for commercial and automotive applications at - CORRECT ANSWER Third-party Question: Regulatory requirements are considered in which of the following components of the audit process? - CORRECT ANSWER Audit Criterla Regulatory requirements are considered in which of the following components of the audit process? - CORRECT ANSWER Audit Criteria Question: Which of the following would be the best method for evaluating the effectiveness of efforts to improve a process? - CORRECT ANSWER Review available process performance records and other data on completed improvement projects
