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QUESTION: 1 A root cause of a nonconformance is defined as a problem that
A. is discovered by conducting designed experiments
B. is established through the use of fishbone diagrams
C. must be reviewed by the material review board
D. must be corrected in order to prevent a recurrence
Answer: D
QUESTION: 2 When lower-tier documents are compared to higher-tier documents before the fieldwork starts, the comparison is called a
A. desk audit
B. process audit
C. conformance audit
D. management audit

Answer: A
QUESTION: 3 An audit trail is necessary in order to
A. schedule and budget for audit assignments
B. show how and when items were reviewed
C. provide management with justification for an audit
D. provide the audit manager with audit results

Answer: B
QUESTION: 4 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?
A. Discovery method
B. Element method
C. Department method
D. Process method

Answer: B
QUESTION: 5 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?
A. Commitment of management to quality is strong
B. Processes are being improved continually
C. Shop floor staff have been fully trained
D. SPC charts are available

Answer: D
QUESTION: 6 When is it acceptable to grant an extension of the time frame for a corrective action?
A. When the auditor cannot perform the follow-up audit as scheduled
B. When the auditee determines that the proposed corrective action is not cost- effective
C. When the corrective action plan requires more time than originally anticipated
D. When there has been a change in operators who perform the task

Answer: C
QUESTION: 7 The fraction of nonconforming products is plotted on which of the following types of control charts?
A. p chart
B. u chart
C. np chart
D. c chart

Answer: A
QUESTION: 8 Auditors can use flowcharts in their work in order to
A. analyze the causal factors of process dispersion
B. understand the overall process or system being audited
C. distinguish variations in a process over time
D. determine process capability and uniformity

Answer: B
QUESTION: 9 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.

Answer: B
QUESTION: 10 Which of the following is an audit reporting technique for prioritizing audit findings?
A. Weibull distribution
B. Risk-benefit ratio
C. Cognitive dissonance
D. Ishikawa diagram

Answer: B
QUESTION: 11 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

Answer: C
QUESTION: 12 If the audit escort for one area is repeatedly late or unavailable, what is the best option open to the auditor?
A. Notify the auditee management of the consequences created by the delays.
B. Narrow the scope of the audit to accommodate the delays.
C. Proceed without the escort.
D. Assess system effectiveness using objective evidence from other areas.

Answer: A
QUESTION: 13 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
Answer: B
QUESTION: 14 During the opening meeting, it is the auditee’s responsibility to
A. prepare the meeting agenda
B. set the audit schedule
C. state the audit purpose and scope
D. identify safety requirements

Answer: D
Auditor independence includes freedom from which of the following?

I. Bias
II. Conflict of interest
III. External influences
Previous exposure to the area

I and II only

II and IV only

I, II, and III only

II, III and IV only

Answer: C
QUESTION: 16 Which of the following requests by an auditor is likely to obtain the most objective evidence for verification?
A. “What kind of information do you receive?”
B. “Who provides the information to you?”
C. “Describe how you receive information.”
D. “Show me the information you have received.”
Answer: D
Audits are conducted against a performance standard to ensure which of the following?
I. Meaningful measurements
II. Objectively evaluated performance
Perceptive observations

I only

I and II only

II and III only

I, II, and III

Answer: B
QUESTION: 18 While performing an internal audit, an auditor notices that an operator on one shift skips part of the documented procedure. In this situation, the auditor should do which of the following?
A. Make a note on the checklist and initial it.
B. Report it to the operator’s supervisor or manager.
C. Question the operator about the observation.
D. Ask another operator to evaluate the situation.

Answer: C
QUESTION: 19 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?
A. The moving average should be calculated.
B. The sample size should be decreased as the quality improves.
C. The AQL of the raw material should be used.
D. A 10% sample size should be used, regardless of the change in quality.
Answer: B
An audit report should contain which of the following?

A. Audit findings
B. Root cause analysis
C. Corrective action
D. Re-audit schedule

Answer: A
QUESTION: 21 The objective evidence supporting an audit observation must be
A. recorded on the working papers
B. verified by the escort
C. mentioned to the auditee
D. written as a nonconformance

Answer: A
QUESTION: 22 Generally, which of the following is the most meaningful way to trace a finished product?
A. Forward from starting with the acquisition of raw materials
B. Forward from the first production activity
C. Backward from the start of the assembly process
D. Backward from the end point

Answer: D
QUESTION: 23 When a proposed corrective action plan is judged unacceptable, an auditor should do which of the following?
A. Revise the submitted plan on the basis of the auditor’s knowledge and technical expertise.
B. Notify the auditee and request that a new plan be submitted by the next level of management.
C. Discuss the plan’s deficiencies with the auditee and request a revised plan.
D. Suggest that the auditee benchmark the deficient area and then rewrite the plan.

Answer: C
QUESTION: 24 Who makes the final determination regarding the distribution of the audit report?
A. The lead auditor
B. The audit group manager
C. The auditee
D. The client

Answer: D
QUESTION: 25 The confidence level in a sampling plan is defined as the
A. degree of uncertainty that the selected sample contains at leastone example of any errors thatare present
B. degree of certainty that the selected sample contains at least one example of any errors that are present
C. lowest performance level that can be considered acceptable for the function being audited
D. maximum error rate that can be considered acceptable for the function being audited

Answer: B
Which of the following types of tools or techniques is considered qualitative?

A. Histograms
B. Frequency distributions
C. Pareto charts
D. Process observations

Answer: D
QUESTION: 27 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

Answer: B
QUESTION: 28 After an external audit, the auditee may be asked to evaluate which of the following auditor skills or elements of the audit?
A. Interviewing, interaction, accuracy of the audit report
B. Audit scheduling, auditor training records, observing an audit
C. Communication, listening, checklist preparation
D. Clarity of past audit reports, number of findings, lack of bias

Answer: A
QUESTION: 29 To determine whether a finding is a minor, isolated incident or a serious, chronic problem, an auditor should consult with the
A. auditee’s quality assurance inspector
B. auditee’s department manager
C. audit team
D. client

Answer: C
QUESTION: 30 Which two of the following conditions must be met in order to infer statistical significance about the results of an audit sample?
I. The population must be homogeneous.
II. The sample size must be greater than 10.
III. The sample must be random.
The sample must be taken from multiple locations.

I and II
and III

II and III

III and IV

Answer: B
QUESTION: 31 Which of the following qualifications would contribute most to an auditor being able to function effectively in various industrial or service disciplines?
A. Familiarity with technical standards and regulations
B. A college degree in a specific technical area
C. A working knowledge of typical corporate organizational structures
D. Extensive background in calibration and metrology techniques

Answer: A
QUESTION: 32 A root cause analysis can best be described as a process that is used to
A. evaluate corrective action plans
B. determine the basic reason for an undesirable condition
C. identify the symptoms of an undesirable condition practice test training resources are versatile and highly compatible with Microsoft exam formats. We provide up to date resources and comprehensive coverage on ASQ exam dumps help you to advance your skills.