Understanding ASQ-CQA -Body of Knowledge

BoK ASQ CQA 

Body of Knowledge 

My Pre-exam Self Study Notes 

9 th September 2018 

Charlie Chong/ Fion Zhang

Chinese Submarine. 


Chinese Submarine. 


UK Submarine. 


闭门练功 


http://independent.academia.edu/CharlieChong1 

http://www.yumpu.com/zh/browse/user/charliechong 

http://issuu.com/charlieccchong 


The Magical Book of Tank Inspection ICP 



闭门练功 


闭门练功 


Charlie Chong/ Fion Zhang 

Fion Zhang at Xiandu 仙都 

9 th September 2018

Content: 

1. ASQ Official BOK 

https://asq.org/cert/resource/docs/cqa_bok.pdf 


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 

(15 Questions) 

10% 

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, thirdparty, 

internal, external, desk, department, and function. (Analyze) 


IB. Purpose of Audits IB 

Organizational 

Effectiveness 

System Efficiency 

Process Effectiveness 

Business Performance 

Risk Management 

Conformance To 

Requirements 

Product Conformance 


Types of Quality Audits IC 

Management Audit 

Business Performance 

Audit 

Risk Management Audit 

System Audit 

Process Audit 

Compliance Audit 

Product Audit 


Audits 

Types of Quality Audits IC 

External 

Secondparty 

audit 

on 

Supplier 

First-party 

Client 

Secondparty 

on 

you 

Desk 

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 

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. 

(October 4, 1922 – July 25, 1987) 

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 


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 



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 


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. 


II. AUDIT PROCESS (60 QUESTIONS) 

A. Audit preparation and planning 

1. Elements of the audit planning process 

The Audit Authority must be higher in the organizational structure than 

the functions being audited. For example, it would be extremely difficult 

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) 

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 

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 

1 

a 

b 

c 

d 

e 

• Audit Planning Elements 

•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. 

• Auditor selection 

• Audit-related documentation 

• Logistics 

• Auditing tools 

• Auditing strategies 


IIA. Audit preparation and planning 

Audit Authority 

1 

VP 

Purpose 

2 

Compliance 

3 

Scope Production Line # 

Type 

4 

Process Audit (internal) 

Audit Against: 

5 

Specific Company Procedures 

6 

Identifying Resources 

Auditor selection size/ numbers and qualification of 

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) 


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 postaudit 

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 





(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 




(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 


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) 

'Risk-return 

Tradeoff‗: 

The risk-return tradeoff states 

that the potential return rises 

with an increase in risk. Using 

this principle, individuals 

associate low levels of 

uncertainty with low potential 

returns, and high levels of 

uncertainty or risk with high 

potential returns. According to 

the risk-return tradeoff, invested 

money can render higher profits 

only if the investor will accept a 

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 






(Analyze) 


IVB6. Auditing as a management tool 






(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) 



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 jobrelated 

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 


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 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) 

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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) 




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) 



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.] 


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) 


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, reissuing 

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 auditrelated 

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) 

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 


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) 


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 C p and C pk . 

(Understand) 

F. Qualitative and quantitative analysis 

Describe and distinguish between qualitative and quantitative analyses, and attributes 

and variables data. (Analyze) 


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.) 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.

Understanding ASQ-CQA -Body of Knowledge

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