Understanding ASQ-CQA - Body of Knowledge

BoK ASQ CQA
Body of Knowledge
My Pre-exam Self Study Notes
9th September 2018
Charlie Chong/ Fion Zhang

Chinese Submarine.

Chinese Submarine.

UK Submarine.

闭门练功

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The Magical Book of Tank Inspection ICP

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Fion Zhang at Xiandu 仙都
9th September 2018

Content:
1. ASQ Official BOK
https://asq.org/cert/resource/docs/cqa_bok.pdf Charlie Chong/ Fion Zhang

ASQ Mission:
The American Society for Quality advances
individual, organizational, and community
excellence worldwide through learning, quality
improvement, and knowledge exchange.

BOK
Knowledge Percentage Score
I. Auditing Fundamentals (30 Questions) 20%
II. Audit Process (60 Questions) 40%
III. Auditor Competencies (23 Questions) 15.3%
IV. Audit Program Management and Business Applications 10%

(15 Questions)
V. Quality Tools and Techniques (22 Questions) 14.7%
150 Questions 100%
https://asq.org/cert/resource/docs/cqa_bok.pdf

BOK- CERTIFIED QUALITY AUDITOR
BODY OF KNOWLEDGE
The topics in this new BOK include additional
detail in the form of subtext explanations and
cognitive (aware, perceptive, 认识的) 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
comprehensive description of cognitive levels is
provided at the end of this document.

FORMAT CHANGE FOR CQA EXAM
Examinations based on the 2004 BOK will contain a number of case studies.
Each case study will include a brief scenario outlining critical details about an
audit situation. In addition, each case study will be supported by related audit
documents. Approximately 15-20% (25-30 questions) of the test will be
devoted to these case studies. Although the questions related to these cases
will use the same four-choice answer format as the rest of the test, the use of
scenario details and sample documents will allow the candidates to apply their
critical thinking skills in evaluating realistic situations and accompanying
documents, communiqués, etc. Additional time will be needed to process all
elements of the case studies, and, therefore, the length of examination time
will be increased from four hours to five hours.

I. AUDITING FUNDAMENTALS (30 QUESTIONS)
A. 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
of an audit is covered in greater detail in II. B.]
B. 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)
C. Types of quality audits
Define and differentiate various audit types, such as product, process,
system, management, compliance, first-party, second-party, third-
party, internal, external, desk, department, and function. (Analyze)

IB. Purpose of Audits IB
Business Performance
Organizational
Effectiveness
Risk Management
System Efficiency
Conformance To
Requirements
Process Effectiveness
Product Conformance

Types of Quality Audits IC
Business Performance
Audit
Management Audit
Risk Management Audit
System Audit
Compliance Audit
Process Audit
Product Audit

Types of Quality Audits IC
External
Client
Second-
party on
Second-
you Desk
party audit
on
Audits
Supplier
First-party Department
Internal Functional
Third-party
audit for
certification
desk audit or document Review

A desk audit or document review is an audit of an organization‘s documents. It can be
conducted at a desk since (1) people are not interviewed and (2) activities are not observed.
If auditing a new area, function, or organization, a desk audit must be conducted
prior to a process or system audit to verify that documents meet requirements specified
in the audit criteria or standards. The document review verifies that there is
an adequately defined process or system prior to the full process or system audit.
Findings from a desk audit or document review help ensure that audit program
resources are used efficiently. It would be very costly if an audit team arrived to do a
system audit, only to find out that the established system was not adequate. Also, a
desk audit or document review may be conducted periodically or when documents
(processes) are changed to verify the adequacy of the changes.
IC. A Desk Audit or Document Review is an audit of an organization‘s documents. It can be
conducted at a desk since (1) people are not interviewed and (2) activities are not observed.
台面审核或文件审核的量大特点是不牵涉被考核者和被考核活动不被观察.

D. Audit criteria
Define and distinguish between various audit criteria, such as standards, contracts,
specifications, policies, and quality awards. (Analyze)
E. 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)
F. 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 (consequence, outcome of another event; branch,
bough; act of branching out) 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)

ID. The Malcolm
Baldrige National Quality
Award recognizes U.S. organizations in the
business, health care, education, and nonprofit
sectors for performance excellence. The Baldrige
Award is the only formal recognition of the (October 4, 1922 – July 25, 1987)
performance excellence of both public and private

U.S. organizations given by the President of the
United States. It is administered by the Baldrige
Performance Excellence Program, which is based
at and managed by the National Institute of
Standards and Technology (NIST), an agency of
the U.S. Department of Commerce.
Up to 18 awards may be given annually across six

eligibility categories—manufacturing, service,
small business, education, health care, and
nonprofit. As of 2016, 113 awards have been
presented to 106 organizations (including seven
repeat winners).
The Baldrige Performance Excellence Program

and the associated award were established by the
Malcolm Baldrige National Quality Improvement
Act of 1987 (Public Law 100–107). The program
and award were named for Malcolm Baldrige, who
served as United States Secretary of Commerce
during the Reagan administration, from 1981 until
Baldrige‘s 1987 death in a rodeo accident. In 2010,
the program's name was changed to the Baldrige
Performance Excellence Program.
https://en.wikipedia.org/wiki/Malcolm_Baldrige_National_Quality_Award Charlie Chong/ Fion Zhang

ID. The Malcolm
Baldrige National
Quality Award
Death and legacy
Secretary of Commerce Baldrige died in Northern
California on July 25, 1987, after sustaining internal
injuries from a rodeo accident while participating in a
calf-roping competition when the horse he was riding
fell on him at the Jack Roddy Ranch in Brentwood in
east Contra Costa County, 45 miles (70 km) east of
San Francisco. Following the accident, Baldrige was
flown by helicopter to John Muir Hospital in Walnut
Creek, California, but his internal injuries were too
severe. Baldrige was buried in North Cemetery in
Woodbury, Connecticut.
His service as Secretary of Commerce was one of the

longest in history. Baldrige is said to have been
possibly the most colorful Secretary of Commerce and
one of the most beloved.
Baldrige was a proponent of quality management as a

key to his country's prosperity and long-term strength.
He took a personal interest in the legislation that
became the Quality Improvement Act of 1987 and
helped draft one of the early versions. In recognition of
his contributions, Congress named the annual award
(see Malcolm Baldrige National Quality Award) for
product quality in his honor.

IF2. Liability issues
Identify potential legal and financial ramifications (consequence, outcome of another event; branch, bough; act of branching out) 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.

IF2. Liability issues
Identify potential legal and financial
ramifications (consequence, outcome of
another event; branch, bough; act of branching
out)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.

IF3. 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.

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.
https://www.independent.co.uk/news/world/americas/cuba-admits-obsolete-weapons-were-on-board-north-korean-ship-seized-in-panama-8711748.html Charlie Chong/ Fion Zhang

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.
https://www.independent.co.uk/news/world/americas/cuba-admits-obsolete-weapons-were-on-board-north-korean-ship-seized-in-panama-8711748.html Charlie Chong/ Fion Zhang

IF3. 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.

The Audit Authority must be higher in the organizational structure than
the functions being audited. For example, it would be extremely difficult
II. AUDIT PROCESS (60 QUESTIONS) for a division or department of a company to commission an audit of
corporate headquarters. But the vice president of operations might
request a quality or environmental audit of department operations. (HB)
A. 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)
Discovery Method
The discovery method is sometimes called random auditing. This method investigates what is currently taking place and therefore
reflects prevailing work procedures. However, the discovery method offers no discernible pattern to an audit, and an auditor can
become disoriented or spend too much time in the facility.

The Audit Authority must be higher in the organizational structure than
the functions being audited. For example, it would be extremely difficult
II. AUDIT PROCESS (60 QUESTIONS) for a division or department of a company to commission an audit of
corporate headquarters. But the vice president of operations might
request a quality or environmental audit of department operations. (HB)
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)
a. Auditor selection
Identify and examine various auditor selection criteria, such as education, experience,
industry background, and subject-matter expertise. (Analyze)
b. Audit-related documentation
Identify the sources of pre-audit information and examine audit-related documentation, such
as reference materials and prior audits. (Analyze)
c. Logistics
Identify and organize various audit-related logistics, such as travel, security considerations,
and escorts. (Analyze)
d. Auditing tools
Select, prepare, and use checklists, log sheets, sampling plans, and procedural guidelines in
various audit situations. (Create)
e. Auditing strategies
Identify and use various tactical methods for conducting an audit, such as forward and
backward tracing and discovery. (Apply)
Discovery Method
The discovery method is sometimes called random auditing. This method investigates what is currently taking place and therefore
reflects prevailing work procedures. However, the discovery method offers no discernible pattern to an audit, and an auditor can
become disoriented or spend too much time in the facility.
IIA. Audit preparation and planning
• Audit Planning Elements

•such as verifying audit authority, determining the purpose, scope, type, requirements to audit against,
1 and identifying the resources necessary, including the size and number of audit teams.
• Auditor selection
a
• Audit-related documentation
b
• Logistics
c
• Auditing tools
d
• Auditing strategies
e

IIA. Audit preparation and planning
1
Audit Authority VP
2
Purpose Compliance
3
Scope Production Line #
4
Type Process Audit (internal)
5
Audit Against: Specific Company Procedures
Auditor selection size/ numbers and qualification of

Identifying Resources auditors, documentation, logistic, tools, strategies.

B. 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 (长期
的,慢性的), 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) (Finding: Strength, Observation, Preventive Action, Corrective Action)
[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, reallocating 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)
6. Nonconformances
Classify nonconformances in
terms of significance, severity,
frequency, and level
of risk. (Evaluate)

IIB1. Opening meeting
Describe its:
1. purpose,
2. scope, and
3. elements and
4. conduct an opening
meeting.
(Apply)

IIB8. Exit meeting
Describe its:
1. purpose,
2. scope, and
3. elements, and
4. conduct an exit meeting,
Including determining post-
audit activities and who is
responsible for performing
them.

C. 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:
a) type of documents,
b) length of time, and
c) storage considerations,
for various audits. (Apply)

D. 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) (Who?- Auditor or Auditee scopes? Example who to perform RCA?)
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,
reissuing the corrective action, and re-auditing. (Create)
5. Audit closure
Identify and apply various elements of, and criteria for, audit closure. (Evaluate)

IID1. 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)

(Evaluate)

IID2. 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)

IID3. 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)

IID4. 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, reissuing the corrective action, and re-auditing.
(Create)

IID5. Audit closure
Identify and apply various elements of,
and criteria for, audit closure. (Evaluate)

III. AUDITOR COMPETENCIES (23 QUESTIONS)
A. 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)
B. Resource management
Identify and apply techniques for scheduling people, events, logistics, and audit
related activities. (Apply)
C. 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)
D. Communication techniques
Select and use written and oral communication techniques in various applications,
such as technical reports, active listening, empathy, and paraphrasing. (Analyze)

IIIA. Auditor characteristics

IIIC. 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)

IIIC. 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)

III. AUDITOR COMPETENCIES IIIC. Conflict resolution
Identify typical conflict situations (disagreements, auditee delaying tactics, and interruptions) and determine the techniques for resolving the
such as negotiation and cool-down periods. (Analyze)
II. AUDIT PROCESS See IID4- 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, reissuing the corrective action, and re-auditing. (Create)

III. AUDITOR COMPETENCIES IIIC.
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)
II. AUDIT PROCESS See IID4- 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, reissuing the corrective
action, and re-auditing. (Create)

E. 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)
F. 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)
G. 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)
H. Verification and validation
Define, distinguish between, and apply various methods of verifying and validating
processes. (Analyze)

IIIE. 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)

(e.g.,
based on various factors, such as when supervisors are present, when interviewing a group of workers, and when using a translator. (Apply)
http://www.barubian.net/2013/04/winds-of-change.html Charlie Chong/ Fion Zhang

(e.g.,
based on various factors, such as when supervisors are present, when interviewing a group of workers, and when using a translator. (Apply)
http://www.barubian.net/2013/04/winds-of-change.html Charlie Chong/ Fion Zhang

IV. AUDIT PROGRAM AND BUSINESS APPLICATIONS (15 QUESTIONS)
A. 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)
B. 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
'Risk-return
Identify risk management concepts and strategies, such as identifying risk Tradeoff‗:
The risk-return tradeoff states
tradeoffs, and mitigation. (Understand) that the potential return rises

with an increase in risk. Using
this principle, individuals
associate low levels of
3. Interrelationships between business processes uncertainty with low potential

returns, and high levels of
uncertainty or risk with high
Understand major business processes (sales, marketing, engineering, etc.)

potential returns. According to
the risk-return tradeoff, invested
money can render higher profits
only if the investor will accept a
And their interrelationships. (Understand) higher possibility of losses.

https://www.investopedia.com/terms/r/riskreturntradeoff.asp#ixzz5QgI6hXpH

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)

IVB5. 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)

IVB5. 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)

IVB6. Auditing as a management tool
 best practices.
(Analyze)

IVB6. Auditing as a management tool
 best practices.
(Analyze)
Till now, nothing

was mentioned
on state and
federal
regulations, CFR
compliance.

IVB7. Emerging roles of the auditor
Recognize new roles and responsibilities for auditors, including
their role as process consultants and business analysts.
(Understand)

V. QUALITY TOOLS AND TECHNIQUES (22 QUESTIONS)
A. Fundamental quality control tools
Identify, interpret, and apply Pareto charts, cause and effect diagrams, flowcharts,
control charts, check sheets, scatter diagrams, and histograms. (Analyze)
B. 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)
C. 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)
D. 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)

E. Process capability
Identify and interpret various process capability indices, such as Cp and Cpk.
(Understand)
F. Qualitative and quantitative analysis
Describe and distinguish between qualitative and quantitative analyses, and attributes
and variables data. (Analyze)
G. 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)

G. 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)
prevention
appraisal
COQ external
failure
internal
failure

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.
Note: Bloom‗s Taxonomy (分类) was

created in 1956 under the leadership
of educational psychologist Dr
Benjamin Bloom in order to promote
higher forms of thinking in education,
such as analyzing and evaluating
concepts, processes, procedures, and
principles, rather than just
remembering facts (rote learning).
(February 21, 1913 – September 13, 1999)

REMEMBER
(Also commonly referred to as recognition, recall, or rote knowledge.) Be able to remember
or recognize terminology, definitions, facts, ideas, materials, patterns, sequences,
methodologies, principles, etc.
UNDERSTAND
Be able to read and understand descriptions, communications, reports, tables, diagrams,
directions, regulations, etc.
APPLY
Be able to apply ideas, procedures, methods, formulas, principles, theories, etc., in job-
related situations.
ANALYZE
Be 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
Be 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
Be 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.

BLOOM’S TAXONOMY

Bloom‗s Taxonomy (分类) was created in 1956 under the leadership of educational psychologist Dr Benjamin
Bloom in order to promote higher forms of thinking in education, such as analyzing and evaluating concepts,
processes, procedures, and principles, rather than just remembering facts (rote learning).

The Himba
are indigenous peoples with an estimated population
of about 50,000 people[1] living in northern Namibia,
in the Kunene Region (formerly Kaokoland) and on
the other side of the Kunene River in Angola.[1] There
are also a few groups left of the OvaTwa, who are also
OvaHimba, but are hunter-gatherers. The OvaHimba
are a semi-nomadic, pastoralist people, culturally
distinguishable from the Herero people in northern
Namibia and southern Angola, and speak OtjiHimba, a
variety of Herero, which belongs to the Bantu family
within Niger–Congo.
The OvaHimba are considered the last (semi-)

nomadic people of Namibia.
https://en.wikipedia.org/wiki/Himba_people
https://hiveminer.com/Tags/davestamboulis%2Ctribe/Timeline Charlie Chong/ Fion Zhang

The Kaokoland
Kaokoland was an administrative unit and a
bantustan in northern South West Africa (now
Namibia). Established during the apartheid era, it
was intended to be a self-governing homeland of
the OvaHimba, but an actual government was
never established. Like other homelands in South
West Africa, the Kaokoland bantustan was
abolished in May 1989, at the beginning of the
transition of Namibia towards independence.
"Kaokoland" remains as an informal name for the
geographic area, while the political unit of
administration since 1990 is Kunene Region. The
area is in the Kaokoveld ecoregion.
The area is one of the wildest and least populated
areas in Namibia, with a population density of one
person every 2 km²(1/4 of the national average).
The most represented ethnic group is the Himba
people, who account for about 5,000 of the
overall 16,000 inhabitants of Kaokoland. The
main settlement in Kaokoland was the city of
Opuwo.
https://www.bing.com/images/search?q=kaokolan
d+female&FORM=HDRSC2
https://hiveminer.com/Tags/davestamboulis%2Ctribe/Timeline Charlie Chong/ Fion Zhang

Charlie Chong/
Charlie Chong/ Fion
Fion Zhang
Zhang
Good Luck!

Good Luck!

CERTIFIED QUALITY AUDITOR
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 comprehensive description of cognitive levels is provided at the end of
this document.
FORMAT CHANGE FOR CQA EXAM

Examinations based on the 2004 BOK will contain a number of case studies. Each case
study will include a brief scenario outlining critical details about an audit situation. In addition,
each case study will be supported by related audit documents. Approximately 15-20%
(25-30 questions) of the test will be devoted to these case studies. Although the questions
related to these cases will use the same four-choice answer format as the rest of the test, the
use of scenario details and sample documents will allow the candidates to apply their critical
thinking skills in evaluating realistic situations and accompanying documents, communiqués,
etc. Additional time will be needed to process all elements of the case studies, and, therefore,
the length of examination time will be increased from four hours to five hours.
I. AUDITING FUNDAMENTALS (30 QUESTIONS)

A. 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 of an audit is
covered in greater detail in II. B.]
B. 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)
C. Types of quality audits
Define and differentiate various audit types, such as product, process, system,
management, compliance, first-party, second-party, third-party, internal, external,
desk, department, and function. (Analyze)
Page 1 of 7
D. Audit criteria
Define and distinguish between various audit criteria, such as standards, contracts,
specifications, policies, and quality awards. (Analyze)
E. 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)
F. 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)
II. AUDIT PROCESS (60 QUESTIONS)

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)
Page 2 of 7
6. Auditing strategies
Identify and use various tactical methods for conducting an audit, such as forward
and backward tracing and discovery. (Apply)
B. 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, reallocating 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)
C. 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)
Page 3 of 7
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)
D. 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)
(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)
III. AUDITOR COMPETENCIES (23 QUESTIONS)

A. Auditor characteristics
B. Resource management
Identify and apply techniques for scheduling people, events, logistics, and audit-
related activities. (Apply)
C. 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)
Page 4 of 7
D. Communication techniques
Select and use written and oral communication techniques in various applications,
such as technical reports, active listening, empathy, and paraphrasing. (Analyze)
E. 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)
F. 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)
G. 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)
H. Verification and validation
Define, distinguish between, and apply various methods of verifying and validating
processes. (Analyze)
IV. AUDIT PROGRAM AND BUSINESS APPLICATIONS (15 QUESTIONS)

A. 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)
B. 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)
Page 5 of 7
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)
V. QUALITY TOOLS AND TECHNIQUES (22 QUESTIONS)

A. Fundamental quality control tools
Identify, interpret, and apply Pareto charts, cause and effect diagrams, flowcharts,
control charts, check sheets, scatter diagrams, and histograms. (Analyze)
B. 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)
C. 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)
D. 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)
E. Process capability
Identify and interpret various process capability indices, such as Cp and Cpk.
(Understand)
F. Qualitative and quantitative analysis
Describe and distinguish between qualitative and quantitative analyses, and attributes
and variables data. (Analyze)
G. 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)
Page 6 of 7
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.) Be able to remember or
recognize terminology, definitions, facts, ideas, materials, patterns, sequences, methodologies,
principles, etc.
UNDERSTAND
Be able to read and understand descriptions, communications, reports, tables, diagrams,
directions, regulations, etc.
APPLY
Be able to apply ideas, procedures, methods, formulas, principles, theories, etc., in job-related
situations.
ANALYZE
Be 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
Be 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
Be 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.
Page 7 of 7

Understanding ASQ-CQA - Body of Knowledge

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BoK ASQ CQA

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II. Audit Process (60 Questions) 40%

III. Auditor Competencies (23 Questions) 15.3%

IV. Audit Program Management and Business Applications 10%

V. Quality Tools and Techniques (22 Questions) 14.7%

150 Questions 100%

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desk audit or document Review

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performance excellence of both public and private

Up to 18 awards may be given annually across six

The Baldrige Performance Excellence Program

https://en.wikipedia.org/wiki/Malcolm_Baldrige_National_Quality_Award Charlie Chong/ Fion Zhang

His service as Secretary of Commerce was one of the

Baldrige was a proponent of quality management as a

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https://www.independent.co.uk/news/world/americas/cuba-admits-obsolete-weapons-were-on-board-north-korean-ship-seized-in-panama-8711748.html Charlie Chong/ Fion Zhang

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• Audit Planning Elements

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Auditor selection size/ numbers and qualification of

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2. Review of corrective action plan

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II. AUDIT PROCESS See IID4- Follow up on ineffective corrective action

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