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Quality Assurance & Compliance Standards Flashcards

9 cards from real CFA practice questions. Tap to flip, then mark Knew It or Still Learning โ€” missed cards come back until you master them.

Read the first 9 Quality Assurance & Compliance Standards flashcards as text
  1. What is the primary purpose of a Quality Assurance (QA) program in field research?

    Answer: To ensure data accuracy and adherence to protocols

    QA programs systematically monitor processes to maintain consistent standards and identify areas for improvement.

  2. Which document outlines the mandatory compliance standards for field research?

    Answer: Approved study protocol

    The study protocol is the master document specifying all approved procedures and standards.

  3. What is the purpose of routine data audits in QA processes?

    Answer: To identify and correct deviations from standards

    Regular audits verify that data collection follows established protocols and maintains integrity.

  4. Which QA technique involves re-contacting participants to verify data?

    Answer: Participant validation calls

    Validation calls confirm the accuracy of collected information directly with participants.

  5. What should you do when identifying a compliance violation during fieldwork?

    Answer: Document it and report to supervisors immediately

    Proper documentation allows for corrective action while maintaining transparency.

  6. Which element is CRUCIAL for maintaining chain of custody in field data collection?

    Answer: Complete tracking documentation with timestamps/signatures

    Proper documentation ensures data integrity from collection through analysis.

  7. What does SOP stand for in quality assurance?

    Answer: Standard Operating Procedure

    Standard Operating Procedures ensure consistent execution of research activities.

  8. Why are corrective action plans important in QA processes?

    Answer: They systematically prevent recurrence of identified issues

    Structured plans address root causes to prevent recurrence of compliance issues.

  9. Which practice helps ensure compliance with data privacy regulations?

    Answer: Removing all personal identifiers from datasets

    Proper de-identification protects participant confidentiality per privacy laws.