 Which of the following indicates that a quality system is effective?

o A.

The required system is in place and continuous improvement is

evident

o B.

An audit was conducted and no nonconformances were found

o C.

An audit report states that the intent of the standard is being met

o D.

No corrective action requests have been issued for a specified period

of time
 Correct Answer
A. The required system is in place and continuous improvement is evident
 Explanation
This answer suggests that a quality system is effective when the required
system is in place and there is evidence of continuous improvement. This
means that the system is functioning as intended and is being actively improved
upon over time. It indicates that the organization is committed to maintaining
and enhancing the quality of its processes and products.
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 2.
In quality auditing, a finding is defined as

o A.

An observation of common behaviors

o B.
 An item of objective evidence found during an audit

o C.

A fundamental deficiency that can lead to nonconformance

o D.

A conclusion of importance based on evidence

Correct Answer
D. A conclusion of importance based on evidence
Explanation
A finding in quality auditing refers to a conclusion of importance based on
evidence. This means that during the audit process, the auditor gathers evidence
and analyzes it to reach a significant conclusion. This conclusion is considered
important as it can identify deficiencies or areas of improvement that may lead
to nonconformance or impact the overall quality of a product or process.
Therefore, a finding is not just an observation of common behaviors or an item
of objective evidence found during an audit, but rather a critical conclusion
based on evidence.
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 3.
To determine whether a finding is a minor, isolated incident or a
serious, chronic problem, an auditor should consult with the

o A.

Auditee’s quality assurance inspector

o B.

Auditee’s department manager

o C.
 Audit team

o D.

Client
Correct Answer
C. Audit team
Explanation
To determine whether a finding is a minor, isolated incident or a serious,
chronic problem, an auditor should consult with the audit team. The audit team
consists of individuals who have expertise in conducting audits and are
responsible for reviewing and analyzing the findings. They have the necessary
knowledge and experience to assess the severity and significance of the finding
in the context of the overall audit. Consulting with the audit team ensures a
comprehensive and accurate evaluation of the finding, helping the auditor make
an informed decision on its classification.
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 4.
A root cause of a nonconformance is defined as a problem that

o A.

Is discovered by conducting designed experiments

o B.

Is established through the use of fishbone diagrams

o C.

Must be reviewed by the material review board

o D.

Must be corrected in order to prevent a recurrence

 Correct Answer
D. Must be corrected in order to prevent a recurrence
Explanation
The correct answer is "must be corrected in order to prevent a recurrence." This
means that a root cause of a nonconformance is a problem that needs to be
fixed or addressed in order to prevent it from happening again in the future. By
identifying and correcting the root cause, organizations can prevent similar
issues from occurring and improve their overall quality and performance.
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 5.
Which of the following is not true about Risk-based thinking?

o A.

Carrying out preventive actions to eliminate potential

nonconformities

o B.

Addressing risk and opportunities

o C.

A risk register or other form of document for the same purpose

validates an organization’s effort on Risk Based Thinking

o D.

Risk-based thinking is not an element for the planning process along

the Plan-Do-Check-Act (P-D-C-A) cycle
Correct Answer
D. Risk-based thinking is not an element for the planning process along the
Plan-Do-Check-Act (P-D-C-A) cycle
Explanation
The given answer states that "Risk-based thinking is not an element for the
planning process along the Plan-Do-Check-Act (P-D-C-A) cycle." This means
 that risk-based thinking is not a part of the planning phase in the P-D-C-A
cycle. The P-D-C-A cycle is a continuous improvement model that includes
planning, implementing, checking, and acting on improvements. Risk-based
thinking, on the other hand, is an approach that involves identifying and
addressing potential risks and opportunities throughout the entire process.
Therefore, the statement contradicts the concept of risk-based thinking and is
not true.
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 6.
An audit trail form cross-referenced by an auditor during an audit is
necessary in order to

o A.

Schedule and budget for audit assignments

o B.

Show how and when items were reviewed

o C.

Provide management with justification for an audit

o D.

Provide the audit manager with audit results

Correct Answer
B. Show how and when items were reviewed
Explanation
An audit trail form cross-referenced by an auditor during an audit is necessary
to show how and when items were reviewed. This is important because it
provides a clear record of the auditor's actions and helps ensure that all relevant
items have been thoroughly examined. It also allows for transparency and
accountability in the auditing process, as it provides evidence of the steps taken
and the timeline followed. Additionally, the audit trail form helps in
 maintaining the integrity and accuracy of the audit, as it serves as a reference
for future reviews or investigations.
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 7.
Which of the following is most important for an auditor to convey at
an initial audit interview?

o A.

A give-and-take atmosphere that focuses on compromise

o B.

A formal approach that is guided by specific roles for each

participant

o C.

An interest in cooperation and open dialogue

o D.

A personal approach to information gathering

Correct Answer
C. An interest in cooperation and open dialogue
Explanation
An interest in cooperation and open dialogue is the most important for an
auditor to convey at an initial audit interview because it fosters a positive and
collaborative environment. This approach encourages the auditee to share
information openly and honestly, which is crucial for the auditor to gather
accurate and relevant data. It also promotes effective communication and
understanding between both parties, leading to a more productive and
successful audit process.
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 8.
 While performing an internal audit, an auditor notices that an
operator on one shift skips the effort in maintaining the documented
information for a procedure as required in the Company’s procedure
manual. In this situation, which of the following actions should the
auditor perform?

o A.

Make a note on the checklist and initial it

o B.

Report it to the operator’s supervisor or manager

o C.

Question the operator about the observation prior to making a

judgment

o D.

Ask another operator to evaluate the situation

Correct Answer
C. Question the operator about the observation prior to making a judgment
Explanation
The auditor should question the operator about the observation prior to making
a judgment. This is the appropriate action because it allows the auditor to
gather more information and understand the reasons behind the operator's
behavior. By questioning the operator, the auditor can determine if there are
any valid reasons for not maintaining the documented information and if there
are any underlying issues that need to be addressed. This approach ensures
fairness and gives the operator an opportunity to explain their actions before
any further action is taken.
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 9.
 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 control the audit time within schedule,
the auditor should

o A.

Complain to their immediate supervisor

o B.

Explain to the interviewee the consequences of being uncooperative

o C.

Terminate the interview and skip that section of the plan

o D.

Seek for top management’s assistance

Correct Answer
B. Explain to the interviewee the consequences of being uncooperative
Explanation
In this situation, the auditor should explain to the interviewee the consequences
of being uncooperative. By doing so, the auditor can communicate the
importance of obtaining the needed information and the potential negative
impact of not cooperating. This approach may encourage the auditee to provide
the necessary information and help ensure the audit can proceed effectively and
efficiently. Complaining to their immediate supervisor or seeking top
management's assistance should be considered if the issue persists or escalates,
but initially addressing the issue directly with the interviewee is the appropriate
first step. Terminating the interview and skipping that section of the plan would
not address the problem and may compromise the audit's effectiveness.
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 10.
 When a proposed corrective action plan is judged unacceptable, an
auditor should do which of the following?

o A.

Revise the submitted plan on the basis of the auditor’s knowledge

and technical expertise

o B.

Notify the auditee and request that a new plan be submitted by the
next level of management

o C.

Discuss the plan’s deficiencies with the auditee and request a revised
plan

o D.

Suggest that the auditee benchmark the deficient area and then
rewrite the plan
Correct Answer
C. Discuss the plan’s deficiencies with the auditee and request a revised plan
Explanation
When a proposed corrective action plan is judged unacceptable, the auditor
should discuss the plan's deficiencies with the auditee and request a revised
plan. This allows the auditor to communicate their concerns and provide
feedback on why the plan is deemed unacceptable. By engaging in a discussion
with the auditee, the auditor can gain a better understanding of their perspective
and work collaboratively towards developing a revised plan that addresses the
identified deficiencies. This approach promotes effective communication and
problem-solving between the auditor and auditee to ensure that an acceptable
corrective action plan is developed.
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 11.
 Auditor independence includes freedom from which of the
following? I. Bias II. Conflict of interestIII. External influencesIV.
Previous exposure to the area

o A.

I and II only

o B.

II and IV only

o C.

I, II, and III only

o D.

II, III and IV only

Correct Answer
C. I, II, and III only
Explanation
Auditor independence includes freedom from bias, conflict of interest, and
external influences. Bias refers to any preconceived notions or prejudices that
may influence the auditor's judgment. Conflict of interest occurs when the
auditor has a personal or financial interest that could compromise their
objectivity. External influences refer to pressures or interference from external
parties that may affect the auditor's independence. Previous exposure to the
area is not mentioned as a factor that affects auditor independence. Therefore,
the correct answer is I, II, and III only.
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 12.
Audits are conducted against a performance standard to ensure which
of the following? I. Meaningful measurements II. Objectively
evaluated performanceIII. Perceptive observations
 o A.

I only

o B.

I and II only

o C.

II and III only

o D.

I, II, and III

Correct Answer
B. I and II only
Explanation
Audits are conducted against a performance standard to ensure meaningful
measurements and objectively evaluated performance. This means that audits
are used to assess whether the measurements being taken are meaningful and
accurate, and whether the performance being evaluated is done so in an
objective and unbiased manner. Audits help to ensure that the standards set for
performance are being met and that the evaluation process is fair and reliable.
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 13.
Audit team members are responsible for which two of the
following? I. Initiating the audit II. Remaining within the scope of
the auditIII. Compiling and analyzing evidenceIV. Recommending
specific corrective actions

o A.

I and III
 o B.

I and IV

o C.

II and III

o D.

II and IV
Correct Answer
C. II and III
Explanation
Audit team members are responsible for remaining within the scope of the audit
(II) and compiling and analyzing evidence (III). Remaining within the scope of
the audit ensures that the team focuses on the agreed-upon objectives and does
not deviate from them. Compiling and analyzing evidence involves gathering
relevant information, examining it, and drawing conclusions based on the
findings. These responsibilities are crucial for conducting a thorough and
effective audit.
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 14.
Quality management system documents include:I. Work
InstructionsII. Documented ProceduresIII. Internal audit programIV.
Project master program

o A.

II and III only

o B.

I, III and IV only

 o C.

II, III and IV only

o D.

All of the above

Correct Answer
D. All of the above
Explanation
The correct answer is "All of the above". This means that quality management
system documents include all of the following: work instructions, documented
procedures, internal audit program, and project master program. These
documents are essential for ensuring that processes are followed correctly,
audits are conducted, and projects are managed effectively within the quality
management system.
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 15.
Sources of evidence during an audit include:I. Accounting recordsII.
Documented InformationIII. Quality Policy on the wallIV.
Observation of unfavorable working condition, e.g poor lighting,
blockage on fire exit

o A.

I and II only

o B.

III and IV only

o C.

II, III and IV

 o D.

All of the above

Correct Answer
C. II, III and IV
Explanation
During an audit, sources of evidence are used to support the auditor's findings
and conclusions. Accounting records (I) provide detailed financial information
and transactions, while Documented Information (II) includes policies,
procedures, and records that support the organization's operations. The Quality
Policy on the wall (III) is a documented statement of the organization's
commitment to quality. Observation of unfavorable working conditions (IV),
such as poor lighting or blockage on fire exits, provides direct evidence of non-
compliance with safety regulations. Therefore, the correct answer is II, III and
IV, as these sources of evidence are all relevant and useful during an audit.