CQA 2013 Insert

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Quality excellence to enhance your careerand boost your organization’s bottom line

asq.org/certification

Certified QualityAuditor

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2 Certified Quality Auditor

Certification from ASQ

is considered a mark ofquality excellence in many

industries. It helps you advance your

career, and boosts your organization’s

bottom line through your mastery

of quality skills. Becoming certified

as a Quality Auditor confirms your

commitment to quality and the positive

impact it will have on your organization.

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3Certified Quality Auditor

Examination

Each certification candidate is requiredto pass a written examination thatconsists of multiple-choice questionsthat measure comprehension of the

Body of Knowledge. The Quality Auditorexamination is a one-part, 150-question,five-hour exam and is offered in English.

Education and/or Experience

You must have eight years of on-the-jobexperience in one or more of the areasof the Certified Quality Auditor Body ofKnowledge. A minimum of three yearsof this experience must be in a decision-making position. “Decision-making”is defined as the authority to define,execute, or control projects/processes andto be responsible for the outcome. Thismay or may not include management orsupervisory positions.

If you were ever certified by ASQ as aQuality Engineer, Reliability Engineer,Software Quality Engineer, or Manager,experience used to qualify for certification

in these fields applies to certification as aQuality Auditor.

If you have completed a degree* froma college, university, or technical schoolwith accreditation accepted by ASQ, partof the eight-year experience requirementwill be waived as follows (only one ofthese waivers may be claimed):

• Diploma from a technical or tradeschool—one year will be waived.

• Associate degree—two years waived. • Bachelor’s degree—four years

waived.

• Master’s or doctorate—five yearswaived.

*Degrees or diplomas from educationalinstitutions outside the United Statesmust be equivalent to degrees from U.S.educational institutions.

The Certified Quality Auditor is a professional who

understands the standards and principles of auditing

and the auditing techniques

of examining, questioning,

evaluating, and reporting to

determine a quality system’s

adequacy and deficiencies.

The Certified Quality Auditor

analyzes all elements of a

quality system and judges

its degree of adherence

to the criteria of industrial

management and quality

evaluation and

control systems.

Certified Quality Auditor

Information

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Minimum Expectations for aCertified Quality Auditor

• Must possess the knowledge andability to effectively conduct differenttypes of audits, as appropriate forthe method, relationship, or purposeof the audit, and must recognize theeffect those audit types will have onthe audit scope and outcomes.

• Must be able to audit in aprofessional, ethical, and objectivemanner using and interpretingapplicable standards or requirements,with an awareness of potential legaland financial ramifications.

• Must be able to effectively plan,communicate, and execute an auditwithin its defined scope, including

scheduling resources, conductingnecessary meetings in performanceof the audit, and using appropriatetechniques to gather, identify, andclassify objective evidence.

• Must be able to verify, document, andcommunicate audit results, developan audit report, and evaluate theeffectiveness of corrective action andfollow up.

• Must possess interpersonalskills to resolve conflict, conductinterviews, and make presentationswhile participating as an audit

team member, and must possessknowledge of the uniqueresponsibilities of the lead auditorand team facilitator.

• Must understand the value thatquality auditing adds to theorganization and how auditing canreveal interrelationships betweenbusiness processes that can influenceoutcomes and organizational risk.

• Must be able to select appropriatequality and auditing tools andtechniques, and use them effectivelyin a variety of practical applications.

For comprehensive exam information on Quality Auditorcertification, visit asq.org/certification.

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I Auditing Fundamentals(27 Questions)

A. Types of quality audits

1. Method Define, differentiate, and analyze

various audit types by method:product, process, desk, department,function, element, system,management. (Analyze)

2. Auditor-auditee relationship Define, differentiate, and analyze

various audit types by auditor-auditee relationship: first-party,second-party, third-party, internaland external. (Analyze)

3. Purpose Define, differentiate, and analyze

various audit types by purpose:verification of corrective action(follow-up) audits, risk audits,accreditation (registration) andcompliance audits, surveillance andfor-cause audits. (Analyze)

Topics in this body of knowledge (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 themaximum cognitive level at which the topic will

be tested. A more comprehensive description

of cognitive levels is provided at the end of

this document.

Examinations will continue to present a number

of case studies. Each case study will include a

brief scenario outlining critical details about an audit situation. In addition, eachcase study will be supported by related audit documents. The documents

will be contained in a separate booklet “Confidential Audit Documents –

CQA Case Studies” that will be part of the test materials distributed at the

examination. Approximately 15-20 percent (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 accompanyingdocuments, memos, etc.

Certified Quality Auditor

Body of Knowledge

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4. Common elements withother audits

Identify elements such asaudit purpose, data gatheringtechniques, tracing, etc., thatquality audits have in commonwith environmental, safety,financial, and other types of audits.(Apply)

B. Purpose and scope of audits

1. Elements of purpose and scopeDescribe and determine how thepurpose of an audit can affect itsscope. (Apply)

2. Benefits of audits

Analyze how audits can beused to provide an independentassessment of system effectivenessand efficiency, risks to the bottomline, and other organizationalmeasures. (Analyze)

C. Criteria to audit against

Define and distinguish betweenvarious audit criteria, such as external(industry, national, international)standards, contracts, specifications,quality awards, policies, internalquality management system (QMS),sustainability, social responsibility,etc. (Analyze)

D. Roles and responsibilities of auditparticipants

Define and describe the functionsand responsibilities of various auditparticipants, including audit teammembers, lead auditor, client, auditee,

etc. (Apply)E. Professional conduct and

consequences for auditors

1. Professional conduct andresponsibilitiesDefine and apply the ASQ Codeof Conduct, concepts of duediligence and due care with respectto confidentiality and conflict ofinterest, and appropriate actions in

response to the discovery of illegalactivities or unsafe conditions.(Apply)

2. Legal consequences Identify potential legal and financial

ramifications of improper auditoractions (carelessness, negligence,etc.) in various situations, andanticipate the effect that certainaudit results can have on anauditee’s liability. (Apply)

3. Audit credibility

Identify and apply various factorsthat influence audit credibility,such as auditor independence,objectivity, and qualifications.(Apply)

II Audit Process (42 Questions)

A. Audit preparation and planning

1. Elements of the audit planningprocessEvaluate and implement the basicsteps in audit preparation andplanning: verify audit authority;determine the purpose, scope,and type of audit; identify therequirements to audit against andthe resources necessary, including

the size and number of auditteams. (Evaluate)

2. Auditor selectionIdentify and examine variousauditor selection criteria, such aseducation, experience, industrybackground, and subject matter ortechnical expertise. (Analyze)

3. Audit-related documentationIdentify the sources of pre-auditinformation and examine audit-related documentation, such asaudit criteria references and resultsfrom prior audits. (Analyze)

4. Logistics Identify and organize audit-related

logistics, including travel, safetyand security considerations, theneed for escorts, translators,confidentiality agreements, clearright of access, etc. (Analyze)

5. Auditing tools and working papers Identify the sampling plan or

method and procedural guidelinesto be used for the specific audit.Select and prepare working papers(checklists, log sheets, etc.) todocument the audit. (Create)

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6. Auditing strategies Identify and use various tactical

methods for conducting an audit,such as forward and backwardtracing, discovery, etc. (Apply)

B. Audit performance

1. On-site audit management Interpret situations throughout

the performance of the auditto determine whether time isbeing managed well and whenchanges need to be made, suchas revising planned audit teamactivities, reallocating resources,adjusting the audit plan, etc., andcommunicate with the auditeeabout any changes or other events

related to the audit. (Analyze)

2. Opening meetingManage the opening meeting ofan audit by identifying the audit’spurpose and scope, describing anyscoring or rating criteria that willbe used during the audit, creating arecord of the attendees, reviewingthe audit schedule, and answeringquestions as needed. (Apply)

3. Audit data collection and analysis Use various data collection

methods to capture information:conducting interviews, observingwork activities, taking physicalmeasurements, examiningdocuments, etc. Evaluate theresults to determine theirimportance for providing auditevidence. (Evaluate)

4. Establishment of objective

evidence Identify and differentiate

characteristics of objectiveevidence, such as observed,measured, confirmed orcorroborated, and documented.(Analyze)

5. Organization of objective evidenceClassify evidence in terms ofsignificance, severity, frequency,

and level of risk. Evaluate theevidence for its potential impacton product, process, system, costof quality, etc., and determinewhether additional investigation isrequired to meet the scope of theaudit. (Evaluate)

6. Exit and closing meetingsFormally manage these meetings:reiterate the audit’s purpose, scope,and scoring or rating criteria, andcreate a record of the attendees.Present the audit results andobtain concurrence on evidencethat could lead to an adverseconclusion. Discuss the next stepsin the process (follow-up audit,additional evidence-gathering, etc.),and clarify who is responsible forperforming those steps. (Apply)

C. Audit reporting

1. Report development and content Group observations into actionable

findings of significance, and

identify the severity and risk tothe client and the auditee. Useappropriate steps to generatethe audit report: organize andsummarize details, review andfinalize results, emphasize criticalissues, establish unique identifiersor codes for critical issues tofacilitate tracking and monitoring,etc. (Create)

2. Effective reportsDevelop and evaluate componentsof effective audit reports,including background information,executive summary, prioritizedresults (observations, findings,opportunities for improvement,etc.). Use graphical tools or othermeans of emphasizing conclusions,and develop a timeline for auditeeresponse and/or corrections.

(Create) 3. Final audit report steps

Obtain necessary approvals forthe audit report and distributeit according to establishedprocedures. Identify the contentsof the audit file and retain the filein accordance with establishedpolicies and procedures. (Apply)

D. Audit follow-up and closure

1. Elements of the corrective actionprocessIdentify and evaluate variouselements: assignment ofresponsibility for problemidentification; the performance ofroot cause analysis and recurrenceprevention. (Evaluate)

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2. Review of corrective action planEvaluate the acceptability ofproposed corrective actions andschedule for completion. Identifyand apply strategies for negotiatingchanges to unacceptable plans.(Evaluate)

3. Verification of corrective actionDetermine the adequacy ofcorrective actions taken byverifying and evaluating new orupdated procedures, observingrevised processes, conductingfollow-up audits, etc. (Evaluate)

4. Follow-up on ineffective correctiveactionDevelop strategies to use

when corrective actions are notimplemented or are not effective,such as communicating to the nextlevel of management, reissuingthe corrective action request, andre-auditing. (Create)

5. Audit closure Identify and apply various elements

of, and criteria for, audit closure.(Apply)

III Auditor Competencies(25 Questions)

A. Auditor characteristics

Identify characteristics that makeauditors effective: interpersonalskills, problem-solving skills,attention to detail, cultural awarenessand sensitivity, ability to workindependently as well as in a group oron a team, etc. (Apply)

B. On-site audit resource managementIdentify and apply techniques formanaging audit teams, schedulingaudit meetings and activities, makinglogistical adjustments, etc. (Apply)

C. Conflict resolution Identify typical conflict situations (mild

to vehement disagreements, auditeedelaying tactics, interruptions, etc.)

and determine appropriate techniquesfor resolving them: clarifying thequestion or request, reiteratingground rules, intervention by anotherauthority, cool-down periods, etc.(Analyze)

D. Communication and presentationtechniquesSelect and use written, oral, andelectronic communication techniquesfor presentations made during auditsfor opening, closing, ad hoc meetings,etc. Use technical and managerialreporting techniques, includinggraphs, charts, diagrams, multimediaaids, etc., in various situations:domestic, global, in-person,virtual (e-audits), multiple sitessimultaneously, etc. (Evaluate)

E. Interviewing techniques Select and use appropriate

interviewing techniques andmethodologies. (Apply)

1. Use open-ended or closedquestion types

2. Use active listening, paraphrasing,empathy, etc.

3. Recognize and respond to non-verbal cues: body language, thesignificance of pauses and theirlength, etc.

4. Determine when and howto prompt a response: whensupervisors are present, wheninterviewing a group of workers,when using a translator, etc.

F. Team dynamicsDefine, describe, and apply variousaspects of team dynamics. (Apply)

1. Team-building: clarifying roles andresponsibilities for participantsand leaders to ensure equitabletreatment for all team members,

providing clear direction fordeliverables, identifying necessaryresources and ensuring theiravailability, etc.

2. Team facilitation: providingcoaching and guidance, defusingclashes between members,eliciting input from all, cultivatingobjectivity, overseeing progress,encouraging diverse views and

consensus, etc. 3. Stages of team development:

forming, storming, norming,and performing

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IV Audit Program Managementand Business Applications(30 Questions)

A. Audit program management

1. Senior management support

Identify and explain management’srole in creating and supporting theaudit function. (Understand)

2. Staffing and resourcemanagementDevelop staffing budgets thatprovide adequate time for auditorsto plan, conduct, and respond toscheduled audits, including timeand resources that internal auditees

need to participate. Identify anyspecial equipment resourcesneeded and ensure their adequacyand availability. Consider the use ofand requirements for special audits(outsourced or contracted audits,virtual or e-audits, shared audits,etc.) as driven by costs, geography,etc. Evaluate results and adjustresources as needed on a regularbasis. (Evaluate)

3. Auditor training and developmentIdentify minimum audit knowledgeand skill requirements for auditors.Provide training on variousaspects of the audit process suchas relevant standards, regulatoryinfluences, facilitation techniques,etc. Provide training on diversityand cultural influences (ethnicity,gender, age, organized labor,etc.) and how such factors can

affect communications andother interactions among auditparticipants. (Create)

4. Audit program evaluation Select the correct metric to

evaluate the audit program,including tracking its effect on thebottom line and the risk to theorganization. (Evaluate)

5. Internal audit program

managementDevelop procedures, policies,and schedules to support theorganization’s objectives. Reviewinternal audit results to identifysystemic trends. (Create)

6. External audit programmanagement

Develop procedures, policies,and schedules in support of thesupplier management program,including supplier qualificationsurveys, surveillance audits,supplier improvement, etc. (Create)

7. Best practicesAnalyze audit results to standardizebest practices and lessons learnedacross the organization. (Analyze)

8. Organizational risk managementAnalyze how the audit programaffects an organization’s risk leveland how the risk level can influencethe number and frequency of

audits performed. (Analyze)

[Note: Tools and techniques formanaging risk are covered in BOKarea V.H.]

9. Management review input Examine and summarize audit

program results, trends, andchanges in risk to provide input tomanagement reviews. (Evaluate)

B. Business and financial impact

1. Auditing as a management tool

Use audit results to monitorcontinuous improvement,supplier management, customersatisfaction, etc., and to providemanagement with an independentview of the strategic plan’seffectiveness and how well it isdeployed. (Analyze)

2. Interrelationships ofbusiness processesIdentify how business units(receiving, product and processdesign, production, engineering,sales, marketing, field support, etc.)and multiple sites are interrelated,and recognize how their uniquemetrics and goals can be in conflictwith one another. (Understand)

3. Cost of quality (COQ) principles

Identify, describe, and analyzethe audit program’s effect on thefour COQ categories: prevention,appraisal, internal failure, externalfailure. (Analyze)

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4. Emerging roles of the auditorRecognize new roles andresponsibilities for auditors, suchas being process consultants andfacilitators who can help resolveinternal issues, improve processes,and add value to the organization.(Understand)

V Quality Tools andTechniques (26 Questions)

A. Basic quality and problem-solvingtools

Identify, interpret, and analyze: 1)Pareto charts, 2) cause and effectdiagrams, 3) flowcharts, 4) statistical

process control (SPC) charts, 5)check sheets, 6) scatter diagrams, 7)histograms, 8) root cause analysis, 9)plan-do-check-act (PDCA). (Analyze)

B. Process improvement techniques

1. Six Sigma Identify, interpret, and apply the

Six Sigma DMAIC phases: define,measure, analyze, improve, control.(Apply)

2. Lean Identify, interpret, and apply lean

tools: 5S, standard operations,kanban (pull), error-proofing, value-stream mapping, etc. (Apply)

C. Basic statistics

1. Measures of central tendency Identify, interpret, and use mean,

median, and mode. (Apply)

2. Measures of dispersion

Identify, interpret, and usestandard deviation and frequencydistribution. (Apply)

3. Qualitative andquantitative analysisDescribe qualitative data in termsof the nature, type, or attributeof an observation or condition.Describe how quantitative data isused to detect patterns or trendsand how such analysis can indicate

whether a problem is systemic orisolated. (Understand)

D. Process variation

1. Common and special cause Identify and distinguish between

common and special causevariation. (Apply)

2. Process performance metrics Describe elements of Cp and Cpk

process capability studies (processcentering and stability, specificationlimits, underlying distribution, etc.),and how these studies and otherperformance metrics are usedin relation to established goals.(Understand)

3. Outliers Describe their significance and

impact. (Understand)

E. Sampling methods

1. Acceptance sampling plans Identify and interpret these plans

for attributes and variables data.(Understand)

2. Types of sampling Describe and distinguish between

random, stratified, and clustersampling, and identify the usesand potential problems of non-statistical sampling. (Understand)

3. Sampling terms Define related terms including

consumer and producer risk,confidence level, etc. (Understand)

F. Change control andconfiguration management

Identify the principles of changecontrol and configurationmanagement systems as used invarious applications: hardware,software (including securityconsiderations), product, process,and service. (Understand)

G. Verification and validation

Define, distinguish between, and usevarious methods of verifying andvalidating processes. (Analyze)

H. Risk management tools Identify methods for managing risk,

including risk avoidance, mitigation,tradeoffs, etc., and describe toolsand methods for estimating andcontrolling risk: failure mode andeffects analysis (FMEA), hazardanalysis and critical control points

(HACCP), critical to quality (CTQ)analysis, health hazard analysis(HHA), etc. (Understand)

Note: Organizational risk managementis covered in BOK area IV.A.8.]

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11Certified Quality Auditor11 Certified Quality Auditor

RememberRecall or recognize terms, definitions, facts,ideas, materials, patterns, sequences,methods, principles, etc.

UnderstandRead and understand descriptions,communications, reports, tables, diagrams,directions, regulations, etc.

ApplyKnow when and how to use ideas,procedures, methods, formulas, principles,theories, etc.

AnalyzeBreak down information into its constituentparts and recognize their relationship toone another and how they are organized;identify sublevel factors or salient data froma complex scenario.

EvaluateMake judgments about the value ofproposed ideas, solutions, etc., bycomparing the proposal to specificcriteria or standards.

CreatePut parts or elements together in sucha way as to reveal a pattern or structurenot clearly there before; identify which

data or information from a complex set isappropriate to examine further or from whichsupported conclusions can be drawn.

Visit asq.org/certificationfor comprehensive exam information.

Levels of CognitionBased on Bloom’s Taxonomy—Revised (2001)In addition to content specifics, the subtext for each topic in this BOK also indicates theintended complexity level of the test questions for that topic. These levels are basedon “Levels of Cognition” (from Bloom’s Taxonomy—Revised, 2001) and are presentedbelow in rank order, from least complex to most complex.

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Enhance your career with ASQ certification today! Visit www.asq.org/certification for complete certification information including:

Applications

Available certifications and language options

Reference materials

Study guides and test-taking tips

Comprehensive exam information

ASQ Sections

International contacts

Endorsements

Enhance your careerwith ASQ certification

today!

Visit asq.org/certification for additional certificationinformation, including:

• Applications

• Available certifications andinternational language options

• Reference materials

• Study guides and test-taking tips

• Comprehensive examinformation

• ASQ sections • International contacts

• Endorsements

Item B0020

CQA 2013 Insert

Documents

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