InternalAuditorQuiz2012 1. Objective evidence can only be expressed via: I. The lead auditor II.

Verifiable qualitative or quantitative observations III. Statement of fact a. I only b. II only c. II and III only d. I, II and III

2. The principal participants in a quality audit are which of the following? a. Client, auditee, quality manager b. Client, auditee, auditor c. Audit manager, audit team, client d. Auditee, plant manager, auditor 3. The term quality audit can refer to the appraisal of the quality system of: I. An entire plant or company II One division of a company III. One major quality activity a. I only b. I and II only c. II and III only d. I, II and III

4. Quality System audits verify that : a. The performance and conduct of employees meet standards b. The measurements being taken on a product are valid c. The quality assurance program complies with established requirements d. Auditee, plant manager, auditor 5. An audit is an organized method of : a. Pinpointing responsibility for errors b. Writing checklists c. Assuring that personnel are adequately trained d. Finding out how business is actually being conducted 6. The audit client responsibilities include which of the following? I. Writing and issuing the final audit report II. Identifying the applicable audit standards III Defining the scope of audit a. I and III only b. II and III only c. III only d. I, II, and III

7. The audit philosophy considers all the following, EXCEPT: a. Formal documentation and impersonal reporting b. Assignment of blame c. Objective evidence d. Prior notification

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InternalAuditorQuiz2012 8. All of the following are factual good listening tips for auditors EXCEPT: a. Paraphrasing auditee comments b. Being attentive to the nonverbal messages c. Practicing active listening d. Formulating responses when someone else is speaking 9. Auditor independence is demonstrated by : I. The corrective action taken by the auditee II. The quality and objectivity of the audit report III The number of findings reported a. II only b. II only c. I and II only d. I, II and III

10.Which of the following best describes the philosophy of auditing? a. A team of police detectives looking for clues to a crime b. A team of police officers trying to arrest a fleeing suspect c. High ranking officials interrogating subordinates d. A medical team helping a patient recover from an illness 11. Which of the following is the most useful way for an auditor to ask a question? a. Does your company utilize any calibrated equipment? b. Would you please explain how the calibration system works here? c. Will I see any equipment with calibration stickers during the audit? d. Do you calibrate measuring instruments here? 12. If an auditor notices an individual is experiencing undue stress and becomes emotional during interviews, which of the following techniques would be best for an auditor to use as a way to reduce the stress and put an auditee more at ease? a. Ask the person being interviewed if it would be better to come back at a later time b. Continue with the questioning more slowly c. Switch to casual conversation for a short time d. Do more of the talking and less questioning. 13. An auditor should spend more time: a. Listening rather than talking b. Talking rather than listening c. Questioning rather than observing d. Observing rather than questioning 14. A quality manual: a. Is a static document, best used for marketing purposes b. Establishes requirements against which current practices may be audited c. Is the responsibility of all company departments d. Should be approved only by the quality department

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InternalAuditorQuiz2012 15. The authority for a quality audit program typically rests with which of the following? a. The audit team b. The auditee c. A companys top management d. The quality department 16. Audit plan normally includes all of the following items EXCEPT the: a. Specific number of auditee personnel needed b. Specific number of auditors expected c. Specific audit date d. Type of audit to be conducted 17. An annual audit schedule may be altered due to: I. An increase in customer complaints II. A decline in supplier quality III. Travel distance to the suppliers plant a. II only b. I and II only c. I and III only d. I, II and III

18. Auditors are often selected from the area being audited. This statement: a. Is true in most cases b. Is false in most cases c. Is true but should be false d. Depends upon the personal bias of the individual 19. Checklists may cover which of the following areas for a system audit? I. Design system II. Process capabilities III. Quality policies IV. Inspection procedures a. I and IV only b. I, II and III only c. I, II and IV only d. I, II, III and IV

20. Checklists are typically developed by: a. The audit team b. The auditor with some auditee input c. The auditee only d. The lead auditor and principle auditee representative 21. The audit agenda is typically prepared: a. In the opening meeting with the auditee b. With the annual audit schedule c. By the audit team d. By the audit team leader

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InternalAuditorQuiz2012 22. A well-prepared checklist for a quality audit is a vital tool to provide: I. Assurance that areas having major deficiencies during past audits are reviewed II. A training method for developing new auditors III. A means of obtaining relatively uniform audits a. I, II and III b. I and II only c. I and III only d. II and III only

23. The quality assurance manual (for SciCan QSM100) should be reviewed to determine that: a. It has adequate provision for control of calibration records b. it complies with the purchase order or contract requirements c. It includes all data called for in the purchase order d. It provides complete detail as to the responsibilities of all job functions covered 24. Which of the following are advantages of a written procedure? I. It is a permanent coordinating device II. It proves for easier training of new employees III. It can be audited for compliance IV. It provides flexibility in the handling of problems a. I, II and III only b, II, III and IV only c. II and III only d. I, II, III and IV

25. As a part of audit preparation phase, an audit team would: a. Prepare an exit meeting summary b. Review available and appropriate documentation c. Conduct interviews d. Schedule a follow-up audit, if needed 26. An Audit Plan should include which of the following? I. The results of past audits and projected levels of compliance II. The purpose of scope of each audit on the schedule III. Those individuals who will serve as auditors and lead auditors IV. A schedule of the processes and departments to be audited a. I, II and III only b. II, III and IV only c. II and III only d. I, II, III and IV

27. When a scheduled audit will require examination of areas or elements outside the knowledge of anyone on the audit team, the team leader should: a. Ask the auditee for assistance b. Find a knowledgeable specialist for the audit team c. Take a course or seminar on the subject prior to the audit d. Postpone or avoid auditing that area or element

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InternalAuditorQuiz2012 28. In the Trace Forward method of auditing, the auditor begins with sales, selects the orders of interest, and follows them through the various departments. Which of the following is NOT an advantage of Trace Forward auditing? a. It shows the processing flow through the company b. It provides a useful method for training auditors c. It is practical for partial audits (Note: partial audits narrow scoped audit which only audit certain portion of a process, department or activity) d. It permits quick detection of deficiencies at the front end 29. At the opening meeting, the auditing team normally reviews the following items: I. The audit purpose and scope II. Anticipated audit duration III. Anticipated findings and observation IV. The audit schedule a. I and II only b. II and III only c. I, II and IV only d. I, II, III and IV

30. Checklists are normally filled in by : a. The auditor(s) b. The auditee c. The auditee only after the auditor(s) approval d. The auditor and auditee 31. Audit team meetings: a. Only occur at the beginning and end of the audit b. Are communication opportunities for the audit team c. Often involve the auditee d. Always occur at the start and end of the day 32. Audit team meetings, and briefings: I. May be used to adjust schedules II. May be used to communicate status III. May be used to shift auditor priorities IV. May be used to discuss findings and observations a. I and II only b. I, II and III only c. II, III and IV only d. I, II, III and IV

33. Findings and observations are audit terms. The best relationship between these terms is which of the following? a. Observations are broader in scope than findings b. Observations are seen, findings are discovered c. Observations generally support findings d. Findings are reported in writing, observations are reported verbally

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InternalAuditorQuiz2012 34. When asked to make recommendations on how to correct any deficiencies noted in the audit report, the auditor(s) should: a. Make the best recommendation possible b. Confer with the client first c. Avoid a recommendation in writing but help the auditee, if possible d. Offer no specific advice and few suggestion 35. Consider the statement, Even if corrective action is taken immediately for a finding during the audit, all significant deficiencies should be detailed in the written report a. True, because the auditor is responsible for any accurate report of all findings b. False, because the audit report should include only unresolved deficiencies c. False, because the corrective action can be verified during the audit d. True, because a follow-up audit will need to be made on all findings 36. Auditors must keep in mind that their observations obtained in an audit exercise are the result of: a. Opinions on the part of the auditor b. Bias on the part of the auditee c. Sampling of a population d. Information from a hostile environment 37. Which of the following is the most reliable source of audit evidence? a. Physical observation of activities by at two independent sources such as two auditors or an audit team b. Physical examination of documentation and observation of corresponding activities c. A combination of written and oral responses from auditee personnel to checklist questions d. Examination of the key documents that are identified in the standard or contract being audited 38.The most important topic covered in the agenda in the closing meeting is which of the following? a. The scope and purpose for the audit b. The recommendations for specific corrective actions c. The audit report with any noted deficiencies d. The standards used during the course of the audit 39. The main purpose of measurement instrument calibration standards is which of the following? a. Ensure that the final product is properly measured b. Reduce cost from customer rejects c. Comply with many state and federal regulations d. Ensure instrument accuracy and traceability

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InternalAuditorQuiz2012 40. Document control is required to assure that: I. Documents are reviewed and approved for adequacy prior to use II. Document changes affecting quality are reviewed and approved in the same manner as the original issue III. Documents of correct revision are available for use at locations where the prescribed activity is performed 1. I only b. I and III only c. II and III only d. I, II and III 41. Which of the following statements best represents a statement of fact in the an audit finding? a. We tested 1000 invoices and found that 14 had been improperly paid b. As a result, $4,380 had been overpaid c. Accounts payable employees had not received current copies of purchase order changes d. Buyers are required to prepare change orders immediately and to send copies to accounts payable the same day 42. The audit report should avoid: I. Presenting positive system control feedback II. Presenting findings for the first time III. Subjective opinions IV. Minor corrected deficiencies a. I, II and III only b. II and III only c. II , III and IV only d. I, II, III and IV

43. The best justification for auditor NOT making a corrective action recommendation si: a. Concern over proprietary information b. Fear of being found wrong c. Concern over relationship with other parties / departments d. Shift responsibility away from the auditee 44. Which of the following elements is LEAST necessary for a good corrective action feedback report? a. What caused the failure b. What corrective action has been made c. Who caused the failure d. What system deficiency allowed the error to occur 45. Records of completed audits include: I. A formal audit report II. A record of completion of corrective action III. Responses to audit reports a. I only b. I and III only c. II and III only d. I, II and III

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InternalAuditorQuiz2012 46. When an auditee implements a short-term corrective action, which of the following is most likely to NOT be addressed? a. A discussion of the problem with employees b. An investigation of the problem c. Any disposition of defective material d. The elimination of the root cause 47. The final step necessary in any quality corrective action is to: a. Identify problem causes and possible solutions b. Assign responsibility for the corrective action c. Determine that the action taken was effective and sustained d. Follow-up to assure that corrective action was taken 48. Which best describes the purpose of a management audit of the quality system? a. A determination of how managers are performing b. A determination of how employees perform their jobs c. A determination of how product meet specification d. A determination of how quality policy and objective are met 49. Retraining of quality auditors is often: I. Not necessary once certified II. Equally important as initial training III. Needed on an annual basis IV. Necessary if skills diminish a. I and II only b. II and III only c. II and IV only d. III and IV only

50. For the audit program to be successful I. Audit requirements must be carefully planned II. Procedures and checklists must be used III. Results must be reported clearly, conclusively and promptly IV. Corrective action should be completed within a reasonable period a. II, III and IV only b. I, II, III and IV c. I, III and IV only d. I and III only

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