The following information is provided by the American Society for Quality (ASQ):

• CQA Certification Requirements

• CQA Exam Body of Knowledge

• CQA Sample Questions

Certification Requirements

Education and/or Experience

You must have eight years of on-the-job experience in one or more of the areas of the Certified Quality Auditor Body of Knowledge. A minimum of three years of this experience must be in a decision-making position. "Decision-making" is defined as the authority to define, execute, or control projects/processes and to be responsible for the outcome. This may or may not include management or supervisory positions. If you are now or were previously certified by ASQ as a Quality Auditor, Reliability Engineer, Software Quality Engineer, or Quality Manager, experience used to qualify for certification in these fields applies to certification as a Quality Auditor. If you have completed a degree* from a college, university, or technical school with accreditation accepted by ASQ, part of the eight-year experience requirement will be waived, as follows (only one of these waivers may be claimed): * Diploma from a technical or trade school-one year will be waived * Associate degree-two years waived * Bachelor's degree-four years waived * Master's or doctorate-five years waived *Degrees/diplomas from foreign educational institutions must be equivalent to degrees from U.S. educational institutions.

Proof of Professionalism

Proof of professionalism may be demonstrated in one of three ways:

1. Membership in ASQ, a foreign affiliate society of ASQ, or another society that is a member of the American Association of Engineering Societies or the Accreditation Board for Engineering and Technology
2. Registration as a Professional Engineer
3. The signatures of two persons-ASQ members, members of a foreign affiliate society, or members of another recognized professional society-verifying that you are a qualified practitioner of the quality sciences

Examination

Each certification candidate is required to pass a written examination that consists of multiple choice questions that measure comprehension of the Body of Knowledge. The Quality Auditor examination is a one-part, 150-question, five-hour exam and is offered in the English language only. Effective for the June 2004 test (and later) about 15-20% of exam questions will be case studies. Sample examination questions are included in the Study Guide. Examinations are conducted twice a year, in early June and early December, by local ASQ sections and foreign international organizations. All examinations are open-book. Each participant must bring his or her own reference materials. Use of reference materials and calculators is explained in the seating letter provided to applicants. Please Note: The Body of Knowledge for certification is affected by new technologies, policies, and the changing dynamics of manufacturing and service industries. Changed versions of the examination based on the current Body of Knowledge are used at each offering. Minimum Expectations for a Certified Quality Auditor

• Must possess the knowledge to effectively conduct different types of objective, ethically based audits using and interpreting applicable standards/requirements.
• Must be able to develop and communicate an audit plan within a defined scope that identifies applicable standards, necessary personnel, required documents and tools, and an audit agenda.
• Must be able to effectively execute an audit plan, including the opening meeting, performing the audit, and the closing meeting using generally accepted auditing techniques and verifying, documenting, and communicating findings as appropriate for the audit.
• Must be able to objectively present verified nonconformances to the audited standard and evaluate the effectiveness of the resultant follow-up/corrective action activities in an ethical and timely manner.
• Must know and be able to apply basic auditing tools and techniques, such as flowcharting, the concept of variation, observation techniques, and physical examination techniques. The CQA must also demonstrate a general knowledge of quality control tools, descriptive statistics, and applicable sampling theories.

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Body of Knowledge

The topics in this new BOK include additional detail in the form of subtext explanations and cognitive level. These details will be used by the Exam Development Committee as guidelines for writing test questions, and are designed to help candidates prepare for the exam by identifying specific content within each topic that may be tested. The subtext is not intended to limit the subject matter or be all-inclusive of what might be covered in an exam but is intended to clarify how the topics relate to a Quality Auditor's role. The descriptor in parentheses at the end of each entry refers to the maximum cognitive level at which the topic will be tested. A more complete description of cognitive levels is provided at the end of this document.

1. AUDITING FUNDAMENTALS (30 QUESTIONS)
   1. Basic terms and concepts
      Define and differentiate basic quality- and audit-related terms, such as quality, quality assurance, quality control, evidence, finding, observation, noncompliance, and nonconformance. (Apply)
      [NOTE: The application of these audit terms during the performance an audit is covered in greater detail in II. B.]
   2. Purpose of audits
      Describe and examine how audits are used to assess organizational effectiveness, system efficiency, process effectiveness, business performance, risk management, and conformance to requirements. (Analyze)
   3. Types of quality audits
      Define and differentiate various audit types, such as product, process, system, management, compliance, 1st-party, 2nd-party, 3rd-party, internal, external, desk, department, and function. (Analyze)
   4. Audit criteria
      Define and distinguish between various audit criteria, such as standards, contracts, specifications, policies, and quality awards. (Analyze)
   5. Roles and responsibilities of audit participants
      Define and describe the functions and responsibilities of various audit participants, including audit team members, lead auditor, client, auditee, etc. (Apply)
   6. Ethical, legal, and professional Issues
      1. Audit Credibility
         Identify and apply ethical factors that influence audit credibility, such as auditor independence, objectivity, and qualifications. (Apply)
      2. Liability Issues
         Identify potential legal and financial ramifications of improper auditor actions, such as carelessness and negligence, in various situations, and anticipate the effect that certain audit results can have on an auditee's liability. (Apply)
      3. Professional Conduct and Responsibilities
         Define and apply the concepts of due diligence and due care, with respect to confidentiality, conflict of interest, the discovery of illegal activities or unsafe conditions. (Apply)
         
2. AUDIT PROCESS (60 QUESTIONS)
   1. Audit preparation and planning
      1. Elements of the audit planning process
         Identify and implement steps in audit preparation and planning, such as verifying audit authority, determining the purpose, scope, type, requirements to audit against, and identifying the resources necessary, including the size and number of audit teams. (Evaluate)
      2. Auditor selection
         Identify and examine various auditor selection criteria, such as education, experience, industry background, and subject matter expertise. (Analyze)
      3. Audit-related documentation
         Identify the sources of pre-audit information and examine audit-related documentation, such as reference materials and prior audits. (Analyze)
      4. Logistics
         Identify and organize various audit-related logistics, such as travel, security considerations, and escorts. (Analyze)
      5. Auditing tools
         Select, prepare, and use checklists, log sheets, sampling plans, and procedural guidelines in various audit situations. (Create)
         [NOTE: Checklists as working papers are covered in II. B. 3]
      6. Auditing strategies
         Identify and use various tactical methods for conducting an audit, such as forward and backward tracing and discovery. (Apply)
   2. Audit performance
      1. Opening meeting
         Describe its purpose, scope, and elements and conduct an opening meeting. (Apply)
      2. Data collection and analysis
         Select and apply various data collection methods, such as interviewing people, observing work activities, taking physical measurements, and examining paper and electronic documents; perform analysis. (Create)
      3. Working papers
         Identify types of working papers, such as checklists, auditor notes, and attendance rosters, and determine their importance in providing evidence for an audit trail. (Evaluate) [NOTE: Checklists as auditing tools are covered in II. A. 5.]
      4. Objective evidence
         Identify and differentiate various characteristics of objective evidence, such as observed, measured, verified, and documented. (Analyze)
         [NOTE: The definition of evidence is covered in I. A.]
      5. Observations
         Evaluate the significance of observations in terms of positive, negative, chronic, isolated, and systemic. (Evaluate)
         [NOTE: The definition of observation is covered in I. A.]
      6. Nonconformances
         Classify nonconformances in terms of significance, severity, frequency, and level of risk. (Evaluate)
         [NOTE: The definition of nonconformance is covered in I. A.]
      7. Audit process management
         Define and apply elements of managing an audit, including coordinating team activities, re-allocating resources, adjusting audit plan, and communicating with the auditee. (Analyze)
      8. Exit meeting
         Describe its purpose, scope, and elements, and conduct an exit meeting, including determining post-audit activities and who is responsible for performing them. (Apply)
   3. Audit reporting
      1. Basic steps
         Define, plan, and implement the steps in generating an audit report, including reviewing and finalizing results, organizing and summarizing details, obtaining necessary approvals, and distributing the report. (Create)
      2. Effective audit reports
         Identify what makes an audit report effective, and develop and evaluate various components, such as executive summaries, prioritized data, graphic presentation, and the impact of conclusions. (Create)
      3. Records retention
         Identify and apply record retention requirements, such as type of documents, length of time, and storage considerations, for various audits. (Apply)
   4. Audit follow-up and closure
      1. Elements of the corrective and preventive action processes
         Identify and apply the elements of these processes, including problem identification, assignment of responsibility, root cause analysis, and recurrence prevention. (Apply)
      2. Review of corrective action plan
         Use various criteria to evaluate the acceptability of corrective action plans, and identify and apply strategies for negotiating changes to unacceptable plans. (Evaluate)
      3. Verification of corrective action
         Use various methods to verify and evaluate the adequacy of corrective actions taken, such as re-examining procedures, observing revised processes, and conducting follow-up audits. (Evaluate)
      4. Follow up on ineffective corrective action
         Identify and develop strategies to use when corrective actions are not implemented or are not effective, such as communicating to the next level of management, re-issuing the corrective action, and re-auditing. (Create)
      5. Audit closure
         Identify and apply various elements of, and criteria for, audit closure. (Evaluate)
         
3. AUDITOR COMPETENCIES (23 QUESTIONS)
   1. Auditor characteristics
      Identify characteristics that make auditors effective, such as interpersonal skills, problem-solving skills, close attention to detail, cultural sensitivity, ability to work independently and in a group or on a team. (Apply)
   2. Resource management
      Identify and apply techniques for scheduling people, events, logistics, and audit-related activities. (Apply)
   3. Conflict resolution
      Identify typical conflict situations (disagreements, auditee delaying tactics, and interruptions) and determine the techniques for resolving them, such as negotiation and cool-down periods. (Analyze)
   4. Communication techniques
      Select and use written and oral communication techniques in various applications, such as technical reports, active listening, empathy, and paraphrasing. (Analyze)
   5. Interviewing techniques
      Define and apply appropriate interviewing techniques (e.g., when to use open-ended and closed question types, determining the significance of pauses and their length, and when and how to prompt a response), based on various factors, such as when supervisors are present, when interviewing a group of workers, and when using a translator. (Apply)
   6. Team membership, leadership, and facilitation
      Define and use various techniques to support team-building efforts and to help maintain group focus, both as a participant and as a team leader. Recognize and apply the classic stages of team development (forming, storming, norming, and performing). Identify various team member roles and apply coaching, guidance, and other facilitation techniques necessary to effective team functioning. (Analyze)
   7. Presentation Techniques
      Define and apply various tools and techniques such as graphs, charts, diagrams, and multimedia aids for written and oral presentations made at opening, closing, and other meetings. (Apply)
   8. Verification and Validation
      Define, distinguish between, and apply various methods of verifying and validating processes. (Analyze)
      
4. AUDIT PROGRAM AND BUSINESS APPLICATIONS (15 QUESTIONS)
   1. Audit program management
      Explain the elements of audit program management, such as the development of policies and procedures, strategic alignment, resource management, the evaluation of program effectiveness, and auditor training. (Apply)
   2. Business applications
      1. Change control
         Identify the principles of change control systems and configuration management as used in various hardware, software, product, process, and service applications. (Understand)
      2. Risk management
         Identify risk management concepts and strategies, such as identifying risk tradeoffs, and mitigation. (Understand)
      3. Interrelationships between business processes
         Understand major business processes (sales, marketing, engineering, etc.) and their interrelationships. (Understand)
      4. Senior management and the audit function
         Identify and explain management's role in creating and supporting the audit function. (Understand)
      5. Common elements of audits
         Recognize the elements that quality audits have in common with other types of audits, such as environmental, safety, and financial. (Understand)
      6. Auditing as a management tool
         Apply audits in support of various business objectives, such as continuous improvement, supplier management, customer satisfaction, and best practices. (Analyze)
      7. Emerging roles of the auditor
         Recognize new roles and responsibilities for auditors, including their role as process consultants and business analysts. (Understand)
         
5. QUALITY TOOLS AND TECHNIQUES (22 QUESTIONS)
   1. Fundamental quality control tools
      Identify, interpret, and apply Pareto charts, cause and effect diagrams, flowcharts, control charts, check sheets, scatter diagrams, and histograms. (Analyze)
   2. Quality improvement tools
      Identify, interpret, and apply problem-solving tools, such as root cause analysis, the six sigma model (DMAIC), lean tools, Plan-Do-Check-Act (PDCA), and corrective and preventive action (CAPA) methods. (Apply)
   3. Descriptive statistics
      Identify, interpret, and use various measures of central tendency (mean, median, and mode), and dispersion, such as standard deviation and frequency distribution. (Apply)
   4. Sampling methods
      Identify, interpret, and use various sampling methods, such as acceptance, random, and stratified, and define related concepts (e.g., consumer and producer risk, and confidence level). (Apply)
   5. Process capability
      Identify and interpret various process capability indices, such as Cp and Cpk. (Understand)
   6. Qualitative and quantitative analysis
      Describe and distinguish between qualitative and quantitative analyses, and attributes and variables data. (Analyze)
      
   7. Cost of quality
      Identify the basic cost of quality (COQ) principles, and describe the four COQ categories: prevention, appraisal, internal failure, and external failure. (Understand)

   SIX LEVELS OF COGNITION
   BASED ON BLOOM'S TAXONOMY (REVISED)

In addition to content specifics, the subtext detail also indicates the intended complexity level of the test questions for that topic. These levels are based on the Revised "Levels of Cognition" (from Bloom's Taxonomy, 2001) and are presented below in rank order, from least complex to most complex.

REMEMBER
(Also commonly referred to as recognition, recall, or rote knowledge.) Able to remember or recognize terminology, definitions, facts, ideas, materials, patterns, sequences, methodologies, principles, etc.

UNDERSTAND
Able to read and understand descriptions, communications, reports, tables, diagrams, directions, regulations, etc.

APPLY
Able to apply ideas, procedures, methods, formulas, principles, theories, etc., in job-related situations.

ANALYZE
Able to break down information into its constituent parts and recognize the parts' relationship to one another and how they are organized; identify sublevel factors or salient data from a complex scenario.

EVALUATE
Able to make judgments regarding the value of proposed ideas, solutions, methodologies, etc., by using appropriate criteria or standards to estimate accuracy, effectiveness, economic benefits, etc.

CREATE
Able to put parts or elements together in such a way as to show a pattern or structure not clearly there before; able to identify which data or information from a complex set is appropriate to examine further or from which supported conclusions can be drawn.

Sample Questions

1. Which of the following is NOT normally a system audit?

a. A quality audit
b. A limited scope audit
c. A pre-award survey
d. A management audit

I. Internal
II. Supplier
III. Compliance
IV. Process

a. I, II and III only
b. II and III only
c. I, III and IV only
d. II, III and IV only

a. Initiating the audit and selecting the auditor
b. Keeping the audit on schedule and finishing on time
c. Approval of the general audit plan
d. A review of the audit findings to ensure a factual report

a. Fault finding
b. Non-professionalism
c. Indecision
d. Persistence

a. Empathy
b. Sympathy
c. Humility
d. Objectivity

a. Act as group leaders
b. Summarize group ideas
c. Provide feedback to the group
d. Know problem solving techniques

a. The client or audit authority
b. The audit team leader
c. The auditee
d. All audit team members

a. The efficiency of production process
b. Training program for production personnel
c. Activities of the material review board
d. Control of design documents used for procurement and production

a. The scope of the audit
b. The time offered by the auditee
c. The monetary value to the client
d. The timetable established in the entry meeting

a. Determine with reasonable assurance that sufficient quality controls exist to satisfy quality objectives
b. Determine the level of noncompliance of normal practices versus standard operating practices
c. Determine the level of compliance to documented procedures
d. Determine via objective evidence that procedures are being followed

a. Both verbal and handwritten
b. Typed and formally presented
c. In handwritten or typed format with little opportunity for auditee feedback
d. Dependent upon those in attendance

a. Every item on a particular document for correctness
b. A number of documents based on ANSI/ASQ Z1.4
c. Randomly selected samples of applicable documents for key information items
d. A fixed quantity independent of the quantity produced

15. An auditee suggests a resolution to a finding and the auditor feels there is a better alternate solution. The auditor should:

a. Audit review by the auditee
b. Corrective action
c. Follow-up on corrective action
d. Closure of the audit file

a. Auditee management is responsible for determining and taking effective corrective action
b. The auditor may be billed for unsolicited recommendations which hinder production
c. The auditor’s job is to obtain as many findings as possible, not to give advice
d. The auditor will look bad if the recommendation is wrong

a. The audit standards
b. The audit procedures
c. The audit policies
d. The audit schedules

a. Scheduling of production and profit objectives
b. Supplier and departmental objectives
c. Number of personnel and resources available
d. Industry requirements and needs of the organization

a. The lead auditor
b. The plant manager
c. The audit team
d. The client of the audit

a. A flexible audit format
b. The identification of noncritical processes
c. The effective use of time
d. The determination of corrective action steps

a. The a risk
b. The b risk
c. The confidence level
d. The AQL

a. Display the significant few
b. Eliminate the trivial many
c. Show relationships between variables
d. Highlight assignable causes

a. Control charting
b. Major sampling plans
c. Cause and effect diagrams
d. Design of experiments

Key

1.  b
2.  d
3.  d
4.  d
5.   b
6.   a
7.   a
8.   d
9.   a
10. a
11. a
12. c
13. a
14. a
15. b
16. d
17. a
18. c
19. d
20. a
21. c
22. c
23. c
24. c
 

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