Quality Auditor Certification Certified Quality Auditor 2 — Questions and Answers
Question 1: During an audit, the auditor discovers that a corrective action from a previous audit was implemented but did not prevent recurrence of the nonconformance. What should the auditor do?
- Close the finding since the action was implemented
- Document a new nonconformance and require root cause re-analysis (Correct answer)
- Accept the corrective action as sufficient effort
- Issue a major nonconformance immediately without further review
Correct answer: Document a new nonconformance and require root cause re-analysis
If a corrective action failed to prevent recurrence, the auditor must document a new nonconformance and require the auditee to perform a new root cause analysis.
Question 2: Which type of audit is conducted by an organization's own personnel to evaluate its internal processes?
- Second-party audit
- Third-party audit
- First-party audit (Correct answer)
- Surveillance audit
Correct answer: First-party audit
A first-party audit, also called an internal audit, is performed by or on behalf of the organization itself for management review purposes.
Question 3: The PRIMARY purpose of an audit checklist is to:
- Replace the need for auditor judgment
- Ensure consistent coverage of audit scope requirements (Correct answer)
- Document all nonconformances found during the audit
- Serve as the final audit report
Correct answer: Ensure consistent coverage of audit scope requirements
Checklists serve as memory aids to ensure consistent, systematic coverage of audit scope areas, not to replace auditor professional judgment.
Question 4: An auditor overhears an employee making a comment that suggests a serious safety violation may exist outside the audit scope. What is the best course of action?
- Ignore it since it is outside the audit scope
- Expand the audit scope immediately without notification
- Report the observation to the audit client for appropriate action (Correct answer)
- Confront the employee directly during the audit
Correct answer: Report the observation to the audit client for appropriate action
Observations of potential safety violations outside scope should be reported to the audit client, who decides how to address them.
Question 5: Which statistical tool is most appropriate for identifying the most significant causes of a quality problem using a ranked bar chart?
- Control chart
- Scatter diagram
- Pareto chart (Correct answer)
- Histogram
Correct answer: Pareto chart
A Pareto chart ranks causes by frequency or impact, visually identifying the vital few causes responsible for the majority of problems.
Question 6: In the context of audit evidence, which of the following is considered the MOST reliable source?
- Verbal statements from management
- Direct observation by the auditor (Correct answer)
- Employee recollections of past events
- Secondhand reports from contractors
Correct answer: Direct observation by the auditor
Direct observation by the auditor is generally the most reliable form of audit evidence because it is firsthand and objective.
Question 7: What is the correct sequence for conducting an audit?
- Opening meeting → Fieldwork → Closing meeting → Report (Correct answer)
- Report → Opening meeting → Fieldwork → Closing meeting
- Fieldwork → Opening meeting → Closing meeting → Report
- Opening meeting → Report → Fieldwork → Closing meeting
Correct answer: Opening meeting → Fieldwork → Closing meeting → Report
The standard audit sequence is: opening meeting, fieldwork (evidence collection), closing meeting, then the final audit report.
Quality Auditor Certification Certified Quality Auditor 2
During an audit, the auditor discovers that a corrective action from a previous audit was implemented but did not prevent recurrence of the nonconformance.
What should the auditor do?