Exam Study Guide Prep Questions
And Revised Correct Answers
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● A root cause analysis can best be described as a process that is used to determine the
basic reason for an undesirable condition
● Which of the following would NOT normally be used as a major category in a cause and
● effect diagram? Modifications
● 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.,
III. The sample must be random
● The accuracy of quality audit documentation is especially important in which of the
● following situations? The documentation is likely to be used as evidence in litigation.
● Which of the following is most likely to request an audit? A client
● During the course of a 10-day system audit, when should the auditee be briefed? Every
day
● Which of the following types of data is likely to be most reliable? Corroborated data
● An auditee has responded to all requests for corrective action in a timely manner. Which
of
● the following is the next step for the auditor? Evaluate the adequacy of the responses.
● Which of the following is the best method for determining the retention policy of the audit
● documents? Agreement between the client, the auditing organization, and the auditee
● 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 minimize any
● miscommunication, the auditor should request that the escort clarify the questions
to the auditee
● The accuracy of quality audit documentation is especially important in which of the
● following situations? The documentation is likely to be used as evidence in litigation.
● 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, IV.
Learning about changes to existing auditing techniques
● Auditors can use flowcharts in their work in order to understand the overall process or
system being audited
● Management can best ensure support for the audit function from other departments by
emphasizing the importance and usefulness of audits to the organization
● 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?The sample size
should be decreased as the quality improves.
, ● Which of the following is an audit reporting technique for prioritizing audit findings?
Risk-benefit ratio
● During the closing meeting, what is the advantage of having the lead auditor be the only
● presenter of the audit findings? The auditee will have one person with whom to
interact and address comments to.
● Which of the following behaviors is LEAST important for an auditor to exhibit?
Adhering to the original audit plan
● The type of chart that presents the value of items in descending order is a Pareto chart
● As the last step before distributing an audit plan, an auditor should have the plan
approved by the client
● Which of the following statistics would best describe the central tendency of a sample of
● data? mean
● 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? Question the operator about the observation.
● Quality auditors help companies improve their processes, products, and services by
reporting positive as well as negative evaluation results
● The fraction of nonconforming products is plotted on which of the following types of
control
● charts? p chart
● Which of the following qualifications would contribute most to an auditor being able to
● function effectively in various industrial or service disciplines? Familiarity with
technical standards and regulations
● The authority for auditors to perform external second-party audits is provided by the
purchase contract
● The main purpose for conducting an opening meeting for an audit is to clarify the
audit objectives
● Measures of which of the following provide attributes data? Attendance at meetings
● Who is responsible for preparing the corrective action plan? The auditee
● Which of the following would NOT normally be used as a major category in a cause and
● effect diagram? Modifications
● An audit trail is necessary in order to show how and when items were reviewed
● The best way to communicate audit results to upper management would be to
present an evaluation of overall quality performance and provide an executive summary
in the formal report
● An internal audit schedule should be prioritized on the basis of all of the following criteria
● EXCEPT the size of the auditee's department
● After an external audit, the auditee may be asked to evaluate which of the following
auditor
● skills or elements of the audit? Interviewing, interaction, accuracy of the audit
report
● Management can best ensure support for the audit function from other departments by
emphasizing the importance and usefulness of audits to the organization
● Within most organizations, the responsibility for planning and carrying out a programmed