Quality Auditor Certification Audit Execution 2 — Questions and Answers
Question 1: During an audit, an auditor discovers that a corrective action from a previous audit was implemented but is no longer effective. What is the most appropriate action?
- Close the finding since the action was implemented
- Document it as a new nonconformity and record it in the audit report (Correct answer)
- Ignore it because it falls outside the current audit scope
- Ask management to re-implement the same corrective action
Correct answer: Document it as a new nonconformity and record it in the audit report
If a previously closed corrective action is no longer effective, it constitutes a new nonconformity that must be documented and reported.
Question 2: Which technique is BEST suited for verifying that documented procedures are being followed in practice?
- Document review
- Observation of work activities (Correct answer)
- Management interviews
- Statistical sampling of records
Correct answer: Observation of work activities
Direct observation of work activities provides real-time evidence of whether employees are actually following documented procedures.
Question 3: An auditor notices that a process owner seems nervous and guarded during questioning. What is the BEST approach?
- End the interview immediately
- Rephrase questions to be less threatening and use open-ended inquiries (Correct answer)
- Report the behavior as suspicious in the audit findings
- Switch to a different interviewee only
Correct answer: Rephrase questions to be less threatening and use open-ended inquiries
Using open-ended, non-threatening questions helps put auditees at ease and encourages more candid, accurate responses.
Question 4: What does 'audit trail' refer to in the context of quality auditing?
- The physical path an auditor walks through a facility
- A documented chain of evidence linking records to activities and decisions (Correct answer)
- The sequence of audit reports filed over time
- A map of all processes audited in one cycle
Correct answer: A documented chain of evidence linking records to activities and decisions
An audit trail is a series of linked records that provide documentary evidence tracing the history of a process or transaction.
Question 5: When is it appropriate for an auditor to provide consulting advice during an audit?
- Whenever the auditee asks for it
- Only during the closing meeting
- Generally not appropriate, as it compromises auditor independence (Correct answer)
- Only when the lead auditor approves
Correct answer: Generally not appropriate, as it compromises auditor independence
Providing consulting advice during an audit compromises auditor objectivity and independence, which are fundamental audit principles.
Question 6: A process produces 5% defective output, which meets the customer's contractually specified tolerance of 7%. How should the auditor classify this situation?
- Major nonconformity
- Minor nonconformity
- Observation or opportunity for improvement
- Conformity — no finding needed (Correct answer)
Correct answer: Conformity — no finding needed
If the process meets all specified requirements, the auditor must record it as conforming even if there is room for improvement beyond requirements.
Question 7: Which of the following BEST describes the purpose of sampling during audit execution?
- To reduce audit cost by checking fewer records
- To provide statistically representative evidence about a population's conformity (Correct answer)
- To focus only on the most critical process steps
- To satisfy the minimum regulatory requirement for audits
Correct answer: To provide statistically representative evidence about a population's conformity
Sampling provides evidence about the conformity of a population when it is impractical to examine every item, and the sample must be representative.
Quality Auditor Certification Audit Execution 2
During an audit, an auditor discovers that a corrective action from a previous audit was implemented but is no longer effective.
What is the most appropriate action?