An auditee responds to a corrective action request by stating that the problem has never occurred before and is "not the norm for our operation." Which of the following is the most appropriate action for the lead auditor?
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.
Which 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 compromise
B. A formal approach that is guided by specific roles for each participant
C. An interest in cooperation and open dialogue
D. A personal approach to information gathering
Which of the following statistics would best describe the central tendency of a sample of data?
A. Mode
B. Mean
C. Standard deviation
D. Range
Auditor independence includes freedom from which of the following?
I. Bias
II. Conflict of interest
III. External influences
IV.
Previous exposure to the area
A.
I and II only
B.
II and IV only
C.
I, II, and III only
D.
II, III and IV only
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?
A. Order entry
B. Product test
C. Purchasing
D. Shipping
Who is responsible for preparing the corrective action plan?
A. The auditor
B. The auditee
C. The registrar D. The audit manager
Which 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 occurs
B. A time-ordered chart of subgroup averages and control limits
C. A plot of the probability of accepting a hypothesis when it is actually false
D. A graph indicating the difference between an actual value and its predicted value
The following portion of the test includes several Case Studies. Each Case Study includes introductory information about a specific company or audit situation, followed immediately by a set of questions related to 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:
CONFIDENTIAL Audit Documents
These documents were drawn from actual companies and are designed to be examples of genuine audit materials. Their format and contents have not been altered, and they are intended to represent working documents 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 time is called at the end of the testing period. Two auditors are conducting an internal audit of the Quality Electronics and Elements Co. (QEE) system procedures. During the first day of the audit, the following observations were made.
-An outbound carton with obvious damage was examined by the auditor on the shipping dock.
- A shipment of six (6) boxes to Allied Supply was returned because the customer-required certifications did not accompany the product.
-Unsigned product verification documents were found on stored products.
-
Of three (3) cartons found in the accepted materials station, only two of the cartons had labels indicating their contents. When the auditor pointed this out, a customer service representative immediately affixed the proper label to the one unlabeled carton.
-
The auditor also found that "Accepted Material Traveler Cards" were not attached to any of the cartons in the accepted materials station.
Who is responsible for evaluating the adequacy of QEE's handling and storage practices?
A. The shipping manager
B. Individual shipping and receiving clerks
C. The quality assurance manager
D. The customer service department
A quality audit observation is defined as:
A. a noted item of objective evidence found during an audit
B. an accepted level of audit findings defined as "major" and "minor"
C. an auditor's initial notice of a potential nonconformance
D. the lead auditor's perception of a potential problem
Which of the following is an example of a short-term corrective action?
A. Improving process capability
B. Analyzing a field failure
C. Obtaining missing signatures on a purchase order
D. Correcting the problem of obsolete drawings
