The following portion of the test includes several Case Studies. Each Case Study includes introductory information about a specific company or audit situation, followed immediately by a set of questions related to the situation described and various audit-related documents, identified by company name.
All of the audit-related documents for these Case Studies are presented in a separate booklet labeled:
CONFIDENTIAL
Audit Documents
These documents were drawn from actual companies and are designed to be examples of genuine audit materials. Their format and contents have not been altered, and they are intended to represent working documents from everyday situations.
Although the documents for the Case Studies are presented separately, the test will be scored as a whole, on a total of 150 questions. You may go back and check your work on any part of the examination until time is called at the end of the testing period.
Two auditors are conducting an internal audit of the Quality Electronics and Elements Co. (QEE) system procedures. During the first day of the audit, the following observations were made.
-An outbound carton with obvious damage was examined by the auditor on the shipping dock. -A shipment of six (6) boxes to Allied Supply was returned because the customer-required
certifications did not accompany the product. -Unsigned product verification documents were found on stored products. -Of three (3) cartons found in the accepted materials station, only two of the cartons had labels
indicating their contents. When the auditor pointed this out, a customer service representative immediately affixed the proper label to the one unlabeled carton. -The auditor also found that "Accepted Material Traveler Cards" were not attached to any of the cartons in the accepted materials station.
The auditor's finding on products without "Accepted Material Traveler Cards" should be written against which of the following departments?

• A. Quality Assurance
• B. Engineering
• C. Production Control
• D. Shipping

During the closing meeting, the lead auditor should do which of the following?

• A. Perform a causal analysis with the auditee.
• B. Review the auditor's qualifications.
• C. Accept the presentation of objective evidence.
• D. Present a summary of audit results.

Typically, which two of the following are more important to an auditor in maintaining his or her auditing competency?
I. Understanding current standards for quality systems
II. Attending audit closing meetings
III. Networking with other auditors and auditing organizations
IV.
Learning about changes to existing auditing techniques

• A. III and IV
• B. I and IV
• C. I and II
• D. II and III

Which of the following is the greatest benefit of an internal audit program to an organization?

• A. It prepares an organization for third-party audits.
• B. It fulfills most contractual quality requirements.
• C. It frequently eliminates the need for external audits.
• D. It provides feedback for continuous improvement.