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

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

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

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.

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

Which of the following behaviors is LEAST important for an auditor to exhibit?

A. Remaining calm throughout the audit

B. Displaying honesty and forthrightness

C. Adhering to the original audit plan

D. Working in a planned and systematic manner

An auditee's procedures require that all design drawings be dated and signed. During a design review, an auditor notices that several drawings are signed, but not dated. The missing dates are examples of what kind of data?

A. Quantitative

B. Measured

C. Variable

D. Qualitative

An audit schedule is an integral part of which of the following phases of the auditing process?

A. Initiation

B. Preparation

C. Closing

D. Reporting

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.

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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.

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The auditor also found that "Accepted Material Traveler Cards" were not attached to any of the cartons in the accepted materials station.

If the audit also revealed that customer-required certifications were not included with a shipment, a finding should be written against which department?

A. Quality Assurance

B. Purchasing

C. Production Control

D. Shipping

During the course of a 10-day system audit, when should the auditee be briefed?

A. Every day

B. Every other day

C. As requested by the auditee

D. At the beginning and the end of the audit