QUESTION: 9

An auditee responds to a corrective action request by stating that the problem has never occurred before and is “not the norm for our operation.” Which of the following is the most appropriate action for the lead auditor?

Note that the deficiency is the result of a random occurrence.
Draft a response explicitly requesting a more concise root-cause analysis.
Confer with the audit client to assess the appropriateness of the response.
Schedule a follow-up audit immediately.

Answer(s): B

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QUESTION: 10

Which of the following is an audit reporting technique for prioritizing audit findings?

Weibull distribution
Risk-benefit ratio
Cognitive dissonance
Ishikawa diagram

Answer(s): B

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QUESTION: 11

Which of the following is most important for an auditor to convey at an initial audit interview?

A give-and-take atmosphere that focuses on compromise
A formal approach that is guided by specific roles for each participant
An interest in cooperation and open dialogue
A personal approach to information gathering

Answer(s): C

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QUESTION: 12

If the audit escort for one area is repeatedly late or unavailable, what is the best option open to the auditor?

Notify the auditee management of the consequences created by the delays.
Narrow the scope of the audit to accommodate the delays.
Proceed without the escort.
Assess system effectiveness using objective evidence from other areas.

Answer(s): A

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