ASQ ASQ Certified Quality Auditor (CQA) 2 — Questions and Answers
Question 1: What is the primary purpose of the opening meeting at the start of an audit?
- To share the audit findings with management
- To introduce the audit team, confirm scope and objectives, and establish communication protocols (Correct answer)
- To collect objective evidence from employees
- To issue nonconformance reports
Correct answer: To introduce the audit team, confirm scope and objectives, and establish communication protocols
The opening meeting introduces the auditors, confirms the audit scope, schedule, and methodology, and sets expectations for the audit process.
Question 2: What distinguishes a 'major nonconformance' from a 'minor nonconformance' in auditing?
- Major nonconformances are always reported to regulators
- A major nonconformance significantly affects the ability to meet requirements or poses a serious risk, while a minor one is an isolated lapse (Correct answer)
- Minor nonconformances require more corrective actions than major ones
- Major nonconformances only apply to product audits
Correct answer: A major nonconformance significantly affects the ability to meet requirements or poses a serious risk, while a minor one is an isolated lapse
Major nonconformances represent systemic failures or absence of required elements, while minor nonconformances are isolated incidents that don't significantly affect the system.
Question 3: Audit 'sampling' is used because:
- It is too expensive to conduct full audits
- It is impractical to examine every item, so a representative sample provides reasonable assurance about the whole population (Correct answer)
- Auditors are not allowed to review all documents
- Sampling reduces the time needed to write the audit report
Correct answer: It is impractical to examine every item, so a representative sample provides reasonable assurance about the whole population
Audit sampling allows auditors to draw conclusions about the population based on a representative subset, making audits practical and feasible.
Question 4: An 'audit trail' in quality auditing refers to:
- The physical route auditors walk during a facility tour
- A chronological sequence of records that tracks the history of a transaction or process (Correct answer)
- The list of auditors assigned to an audit
- The path from raw material to finished product
Correct answer: A chronological sequence of records that tracks the history of a transaction or process
An audit trail is a documented sequence of records or activities that allows tracing the history and status of a transaction or process.
Question 5: Which statement best describes the difference between an 'observation' and a 'finding' in an audit report?
- Observations are more severe than findings
- A finding is a nonconformance supported by objective evidence, while an observation is a potential risk or improvement opportunity (Correct answer)
- Findings require no action, while observations require corrective action
- There is no difference between the two terms
Correct answer: A finding is a nonconformance supported by objective evidence, while an observation is a potential risk or improvement opportunity
An audit finding is a documented nonconformance with objective evidence, while an observation notes a potential concern or opportunity without being a formal nonconformance.
Question 6: In a third-party audit, who typically conducts the audit?
- The organization's own internal audit team
- A customer auditing their supplier
- An independent, accredited certification or registration body (Correct answer)
- A government regulatory inspector
Correct answer: An independent, accredited certification or registration body
Third-party audits are performed by independent, accredited certification bodies to assess conformance for certification purposes such as ISO 9001 registration.
ASQ ASQ Certified Quality Auditor (CQA) 2
What is the primary purpose of the opening meeting at the start of an audit?