Understanding ASQ-CQA -Body of Knowledge
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BoK <strong>ASQ</strong> <strong>CQA</strong><br />
<strong>Body</strong> <strong>of</strong> <strong>Knowledge</strong><br />
My Pre-exam Self Study Notes<br />
9 th September 2018<br />
Charlie Chong/ Fion Zhang
Chinese Submarine.<br />
Charlie Chong/ Fion Zhang
Chinese Submarine.<br />
Charlie Chong/ Fion Zhang
UK Submarine.<br />
Charlie Chong/ Fion Zhang
闭 门 练 功<br />
Charlie Chong/ Fion Zhang
http://independent.academia.edu/CharlieChong1<br />
http://www.yumpu.com/zh/browse/user/charliechong<br />
http://issuu.com/charlieccchong<br />
Charlie Chong/ Fion Zhang
The Magical Book <strong>of</strong> Tank Inspection ICP<br />
Charlie Chong/ Fion Zhang
Charlie Chong/ Fion Zhang
闭 门 练 功<br />
Charlie Chong/ Fion Zhang
闭 门 练 功<br />
Charlie Chong/ Fion Zhang
Charlie Chong/ Fion Zhang<br />
Fion Zhang at Xiandu 仙 都<br />
9 th September 2018
Content:<br />
1. <strong>ASQ</strong> Official BOK<br />
https://asq.org/cert/resource/docs/cqa_bok.pdf<br />
Charlie Chong/ Fion Zhang
<strong>ASQ</strong> Mission:<br />
The American Society for Quality advances<br />
individual, organizational, and community<br />
excellence worldwide through learning, quality<br />
improvement, and knowledge exchange.<br />
Charlie Chong/ Fion Zhang
BOK<br />
<strong>Knowledge</strong><br />
Percentage Score<br />
I. Auditing Fundamentals (30 Questions) 20%<br />
II. Audit Process (60 Questions) 40%<br />
III. Auditor Competencies (23 Questions) 15.3%<br />
IV. Audit Program Management and Business Applications<br />
(15 Questions)<br />
10%<br />
V. Quality Tools and Techniques (22 Questions) 14.7%<br />
150 Questions 100%<br />
https://asq.org/cert/resource/docs/cqa_bok.pdf<br />
Charlie Chong/ Fion Zhang
BOK- CERTIFIED QUALITY AUDITOR<br />
BODY OF KNOWLEDGE<br />
The topics in this new BOK include additional<br />
detail in the form <strong>of</strong> subtext explanations and<br />
cognitive (aware, perceptive, 认 识 的 ) level.<br />
These details will be used by the Exam<br />
Development Committee as guidelines for<br />
writing test questions, and are designed to help<br />
candidates prepare for the exam by identifying<br />
specific content within each topic that may be<br />
tested. The subtext is not intended to limit the<br />
subject-matter or be all-inclusive <strong>of</strong> what might<br />
be covered in an exam, but is intended to clarify<br />
how the topics relate to a Quality Auditor‘s role.<br />
The descriptor in parentheses at the end <strong>of</strong> each<br />
entry refers to the maximum cognitive level at<br />
which the topic will be tested. A more<br />
comprehensive description <strong>of</strong> cognitive levels is<br />
provided at the end <strong>of</strong> this document.<br />
Charlie Chong/ Fion Zhang
FORMAT CHANGE FOR <strong>CQA</strong> EXAM<br />
Examinations based on the 2004 BOK will contain a number <strong>of</strong> case studies.<br />
Each case study will include a brief scenario outlining critical details about an<br />
audit situation. In addition, each case study will be supported by related audit<br />
documents. Approximately 15-20% (25-30 questions) <strong>of</strong> the test will be<br />
devoted to these case studies. Although the questions related to these cases<br />
will use the same four-choice answer format as the rest <strong>of</strong> the test, the use <strong>of</strong><br />
scenario details and sample documents will allow the candidates to apply their<br />
critical thinking skills in evaluating realistic situations and accompanying<br />
documents, communiqués, etc. Additional time will be needed to process all<br />
elements <strong>of</strong> the case studies, and, therefore, the length <strong>of</strong> examination time<br />
will be increased from four hours to five hours.<br />
Charlie Chong/ Fion Zhang
I. AUDITING FUNDAMENTALS (30 QUESTIONS)<br />
A. Basic terms and concepts<br />
Define and differentiate basic quality- and audit-related terms, such as<br />
quality, quality assurance, quality control, evidence, finding,<br />
observation, noncompliance, and nonconformance. (Apply)<br />
[NOTE: The application <strong>of</strong> these audit terms during the performance<br />
<strong>of</strong> an audit is covered in greater detail in II. B.]<br />
B. Purpose <strong>of</strong> audits<br />
Describe and examine how audits are used to assess organizational<br />
effectiveness, system efficiency, process effectiveness, business<br />
performance, risk management, and conformance to requirements.<br />
(Analyze)<br />
C. Types <strong>of</strong> quality audits<br />
Define and differentiate various audit types, such as product, process,<br />
system, management, compliance, first-party, second-party, thirdparty,<br />
internal, external, desk, department, and function. (Analyze)<br />
Charlie Chong/ Fion Zhang
IB. Purpose <strong>of</strong> Audits IB<br />
Organizational<br />
Effectiveness<br />
System Efficiency<br />
Process Effectiveness<br />
Business Performance<br />
Risk Management<br />
Conformance To<br />
Requirements<br />
Product Conformance<br />
Charlie Chong/ Fion Zhang
Types <strong>of</strong> Quality Audits IC<br />
Management Audit<br />
Business Performance<br />
Audit<br />
Risk Management Audit<br />
System Audit<br />
Process Audit<br />
Compliance Audit<br />
Product Audit<br />
Charlie Chong/ Fion Zhang
Audits<br />
Types <strong>of</strong> Quality Audits IC<br />
External<br />
Secondparty<br />
audit<br />
on<br />
Supplier<br />
First-party<br />
Client<br />
Secondparty<br />
on<br />
you<br />
Desk<br />
Department<br />
Internal<br />
Functional<br />
Third-party<br />
audit for<br />
certification<br />
desk audit or document Review<br />
A desk audit or document review is an audit <strong>of</strong> an organization‘s documents. It can be<br />
conducted at a desk since (1) people are not interviewed and (2) activities are not observed.<br />
If auditing a new area, function, or organization, a desk audit must be conducted<br />
prior to a process or system audit to verify that documents meet requirements specified<br />
in the audit criteria or standards. The document review verifies that there is<br />
an adequately defined process or system prior to the full process or system audit.<br />
Findings from a desk audit or document review help ensure that audit program<br />
resources are used efficiently. It would be very costly if an audit team arrived to do a<br />
system audit, only to find out that the established system was not adequate. Also, a<br />
desk audit or document review may be conducted periodically or when documents<br />
(processes) are changed to verify the adequacy <strong>of</strong> the changes.<br />
Charlie Chong/ Fion Zhang
IC. A Desk Audit or Document Review is an audit <strong>of</strong> an organization‘s documents. It can be<br />
conducted at a desk since (1) people are not interviewed and (2) activities are not observed.<br />
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 .<br />
Charlie Chong/ Fion Zhang
D. Audit criteria<br />
Define and distinguish between various audit criteria, such as standards, contracts,<br />
specifications, policies, and quality awards. (Analyze)<br />
E. Roles and responsibilities <strong>of</strong> audit participants<br />
Define and describe the functions and responsibilities <strong>of</strong> various audit participants,<br />
including audit team members, lead auditor, client, auditee, etc. (Apply)<br />
F. Ethical, legal, and pr<strong>of</strong>essional Issues<br />
1. Audit credibility<br />
Identify and apply ethical factors that influence audit credibility, such as auditor<br />
independence, objectivity, and qualifications. (Apply)<br />
2. Liability issues<br />
Identify potential legal and financial ramifications (consequence, outcome <strong>of</strong> another event; branch,<br />
bough; act <strong>of</strong> branching out) <strong>of</strong> improper auditor actions, such as carelessness and negligence,<br />
in various situations, and anticipate the effect that certain audit results can have on an<br />
auditee‘s liability. (Apply)<br />
3. Pr<strong>of</strong>essional conduct and responsibilities<br />
Define and apply the concepts <strong>of</strong> due diligence and due care, with respect to<br />
confidentiality, conflict <strong>of</strong> interest, the discovery <strong>of</strong> illegal activities or unsafe<br />
conditions. (Apply)<br />
Charlie Chong/ Fion Zhang
ID. The Malcolm<br />
Baldrige National Quality<br />
Award recognizes U.S. organizations in the<br />
business, health care, education, and nonpr<strong>of</strong>it<br />
sectors for performance excellence. The Baldrige<br />
Award is the only formal recognition <strong>of</strong> the<br />
performance excellence <strong>of</strong> both public and private<br />
U.S. organizations given by the President <strong>of</strong> the<br />
United States. It is administered by the Baldrige<br />
Performance Excellence Program, which is based<br />
at and managed by the National Institute <strong>of</strong><br />
Standards and Technology (NIST), an agency <strong>of</strong><br />
the U.S. Department <strong>of</strong> Commerce.<br />
(October 4, 1922 – July 25, 1987)<br />
Up to 18 awards may be given annually across six<br />
eligibility categories—manufacturing, service,<br />
small business, education, health care, and<br />
nonpr<strong>of</strong>it. As <strong>of</strong> 2016, 113 awards have been<br />
presented to 106 organizations (including seven<br />
repeat winners).<br />
The Baldrige Performance Excellence Program<br />
and the associated award were established by the<br />
Malcolm Baldrige National Quality Improvement<br />
Act <strong>of</strong> 1987 (Public Law 100–107). The program<br />
and award were named for Malcolm Baldrige, who<br />
served as United States Secretary <strong>of</strong> Commerce<br />
during the Reagan administration, from 1981 until<br />
Baldrige‘s 1987 death in a rodeo accident. In 2010,<br />
the program's name was changed to the Baldrige<br />
Performance Excellence Program.<br />
https://en.wikipedia.org/wiki/Malcolm_Baldrige_National_Quality_Award<br />
Charlie Chong/ Fion Zhang
ID. The Malcolm<br />
Baldrige National<br />
Quality Award<br />
Death and legacy<br />
Secretary <strong>of</strong> Commerce Baldrige died in Northern<br />
California on July 25, 1987, after sustaining internal<br />
injuries from a rodeo accident while participating in a<br />
calf-roping competition when the horse he was riding<br />
fell on him at the Jack Roddy Ranch in Brentwood in<br />
east Contra Costa County, 45 miles (70 km) east <strong>of</strong><br />
San Francisco. Following the accident, Baldrige was<br />
flown by helicopter to John Muir Hospital in Walnut<br />
Creek, California, but his internal injuries were too<br />
severe. Baldrige was buried in North Cemetery in<br />
Woodbury, Connecticut.<br />
His service as Secretary <strong>of</strong> Commerce was one <strong>of</strong> the<br />
longest in history. Baldrige is said to have been<br />
possibly the most colorful Secretary <strong>of</strong> Commerce and<br />
one <strong>of</strong> the most beloved.<br />
Baldrige was a proponent <strong>of</strong> quality management as a<br />
key to his country's prosperity and long-term strength.<br />
He took a personal interest in the legislation that<br />
became the Quality Improvement Act <strong>of</strong> 1987 and<br />
helped draft one <strong>of</strong> the early versions. In recognition <strong>of</strong><br />
his contributions, Congress named the annual award<br />
(see Malcolm Baldrige National Quality Award) for<br />
product quality in his honor.<br />
Charlie Chong/ Fion Zhang
IF2. Liability issues<br />
Identify potential legal and financial ramifications (consequence, outcome <strong>of</strong> another event; branch, bough; act <strong>of</strong> branching out) <strong>of</strong><br />
improper auditor actions, such as carelessness and negligence, in various situations, and anticipate the effect<br />
that certain audit results can have on an auditee‘s liability.<br />
Charlie Chong/ Fion Zhang
IF2. Liability issues<br />
Identify potential legal and financial<br />
ramifications (consequence, outcome <strong>of</strong><br />
another event; branch, bough; act <strong>of</strong> branching<br />
out) <strong>of</strong> improper auditor actions, such<br />
as carelessness and negligence, in<br />
various situations, and anticipate the<br />
effect that certain audit results can<br />
have on an auditee‘s liability.<br />
Charlie Chong/ Fion Zhang
IF3. Pr<strong>of</strong>essional conduct and responsibilities<br />
Define and apply the concepts <strong>of</strong> due diligence and due care, with respect to confidentiality, conflict <strong>of</strong> interest,<br />
the discovery <strong>of</strong> illegal activities or unsafe conditions.<br />
Charlie Chong/ Fion Zhang
IF3. Pr<strong>of</strong>essional conduct and responsibilities<br />
Define and apply the concepts <strong>of</strong> due diligence and due care, with respect to confidentiality, conflict <strong>of</strong> interest,<br />
the discovery <strong>of</strong> illegal activities or unsafe conditions.<br />
https://www.independent.co.uk/news/world/americas/cuba-admits-obsolete-weapons-were-on-board-north-korean-ship-seized-in-panama-8711748.html<br />
Charlie Chong/ Fion Zhang
IF3. Pr<strong>of</strong>essional conduct and responsibilities<br />
Define and apply the concepts <strong>of</strong> due diligence and due care, with<br />
respect to confidentiality, conflict <strong>of</strong> interest, the discovery <strong>of</strong> illegal<br />
activities or unsafe conditions.<br />
https://www.independent.co.uk/news/world/americas/cuba-admits-obsolete-weapons-were-on-board-north-korean-ship-seized-in-panama-8711748.html<br />
Charlie Chong/ Fion Zhang
IF3. Pr<strong>of</strong>essional Conduct<br />
And Responsibilities<br />
Define and apply the concepts <strong>of</strong> due<br />
diligence and due care, with respect to<br />
confidentiality, conflict <strong>of</strong> interest, the<br />
discovery <strong>of</strong> illegal activities or unsafe<br />
conditions.<br />
Charlie Chong/ Fion Zhang
II. AUDIT PROCESS (60 QUESTIONS)<br />
A. Audit preparation and planning<br />
1. Elements <strong>of</strong> the audit planning process<br />
The Audit Authority must be higher in the organizational structure than<br />
the functions being audited. For example, it would be extremely difficult<br />
for a division or department <strong>of</strong> a company to commission an audit <strong>of</strong><br />
corporate headquarters. But the vice president <strong>of</strong> operations might<br />
request a quality or environmental audit <strong>of</strong> department operations. (HB)<br />
Identify and implement steps in audit preparation and planning, such as verifying audit authority, determining<br />
the purpose, scope, type, requirements to audit against, and identifying the resources necessary, including the<br />
size and number <strong>of</strong> audit teams. (Evaluate)<br />
2. Auditor selection<br />
Identify and examine various auditor selection criteria, such as education, experience, industry background,<br />
and subject-matter expertise. (Analyze)<br />
3. Audit-related documentation<br />
Identify the sources <strong>of</strong> pre-audit information and examine audit-related documentation, such as reference<br />
materials and prior audits. (Analyze)<br />
4. Logistics<br />
Identify and organize various audit-related logistics, such as travel, security considerations, and escorts.<br />
(Analyze)<br />
5. Auditing tools<br />
Select, prepare, and use checklists, log sheets, sampling plans, and procedural guidelines in various audit<br />
situations. (Create)<br />
[NOTE: Checklists as working papers are covered in II. B. 3]<br />
6. Auditing strategies<br />
Identify and use various tactical methods for conducting an audit, such as forward and backward tracing and<br />
discovery. (Apply)<br />
Discovery Method<br />
The discovery method is sometimes called random auditing. This method investigates what is currently taking place and therefore<br />
reflects prevailing work procedures. However, the discovery method <strong>of</strong>fers no discernible pattern to an audit, and an auditor can<br />
become disoriented or spend too much time in the facility.<br />
Charlie Chong/ Fion Zhang
The Audit Authority must be higher in the organizational structure than<br />
the functions being audited. For example, it would be extremely difficult<br />
for a division or department <strong>of</strong> a company to commission an audit <strong>of</strong><br />
corporate headquarters. But the vice president <strong>of</strong> operations might<br />
request a quality or environmental audit <strong>of</strong> department operations. (HB)<br />
II. AUDIT PROCESS (60 QUESTIONS)<br />
A. Audit preparation and planning<br />
1. Elements <strong>of</strong> the audit planning process<br />
Identify and implement steps in audit preparation and planning, such as verifying audit authority,<br />
determining the purpose, scope, type, requirements to audit against, and identifying the resources<br />
necessary, including the size and number <strong>of</strong> audit teams. (Evaluate)<br />
a. Auditor selection<br />
Identify and examine various auditor selection criteria, such as education, experience,<br />
industry background, and subject-matter expertise. (Analyze)<br />
b. Audit-related documentation<br />
Identify the sources <strong>of</strong> pre-audit information and examine audit-related documentation, such<br />
as reference materials and prior audits. (Analyze)<br />
c. Logistics<br />
Identify and organize various audit-related logistics, such as travel, security considerations,<br />
and escorts. (Analyze)<br />
d. Auditing tools<br />
Select, prepare, and use checklists, log sheets, sampling plans, and procedural guidelines in<br />
various audit situations. (Create)<br />
[NOTE: Checklists as working papers are covered in II. B. 3]<br />
e. Auditing strategies<br />
Identify and use various tactical methods for conducting an audit, such as forward and<br />
backward tracing and discovery. (Apply)<br />
Discovery Method<br />
The discovery method is sometimes called random auditing. This method investigates what is currently taking place and therefore<br />
reflects prevailing work procedures. However, the discovery method <strong>of</strong>fers no discernible pattern to an audit, and an auditor can<br />
become disoriented or spend too much time in the facility.<br />
Charlie Chong/ Fion Zhang
IIA. Audit preparation and planning<br />
1<br />
a<br />
b<br />
c<br />
d<br />
e<br />
• Audit Planning Elements<br />
•such as verifying audit authority, determining the purpose, scope, type, requirements to audit against,<br />
and identifying the resources necessary, including the size and number <strong>of</strong> audit teams.<br />
• Auditor selection<br />
• Audit-related documentation<br />
• Logistics<br />
• Auditing tools<br />
• Auditing strategies<br />
Charlie Chong/ Fion Zhang
IIA. Audit preparation and planning<br />
Audit Authority<br />
1<br />
VP<br />
Purpose<br />
2<br />
Compliance<br />
3<br />
Scope Production Line #<br />
Type<br />
4<br />
Process Audit (internal)<br />
Audit Against:<br />
5<br />
Specific Company Procedures<br />
6<br />
Identifying Resources<br />
Auditor selection size/ numbers and qualification <strong>of</strong><br />
auditors, documentation, logistic, tools, strategies.<br />
Charlie Chong/ Fion Zhang
B. Audit performance<br />
1. Opening meeting<br />
Describe its purpose, scope, and elements and conduct an opening meeting.<br />
(Apply)<br />
2. Data collection and analysis<br />
Select and apply various data collection methods, such as interviewing people,<br />
observing work activities, taking physical measurements, and examining paper and<br />
electronic documents; perform analysis. (Create)<br />
3. Working papers<br />
Identify types <strong>of</strong> working papers, such as checklists, auditor notes, and attendance<br />
rosters, and determine their importance in providing evidence for an audit trail.<br />
(Evaluate) [NOTE: Checklists as auditing tools are covered in II. A. 5.]<br />
4. Objective evidence<br />
Identify and differentiate various characteristics <strong>of</strong> objective evidence, such as<br />
observed, measured, verified, and documented. (Analyze)<br />
[NOTE: The definition <strong>of</strong> evidence is covered in I. A.]<br />
5. Observations<br />
Evaluate the significance <strong>of</strong> observations in terms <strong>of</strong> positive, negative, chronic ( 长 期<br />
的 , 慢 性 的 ), isolated, and systemic. (Evaluate)<br />
[NOTE: The definition <strong>of</strong> observation is covered in I. A.]<br />
Charlie Chong/ Fion Zhang
6. Nonconformances<br />
Classify nonconformances in terms <strong>of</strong> significance, severity, frequency, and level<br />
<strong>of</strong> risk. (Evaluate) (Finding: Strength, Observation, Preventive Action, Corrective Action)<br />
[NOTE: The definition <strong>of</strong> nonconformance is covered in I. A.]<br />
7. Audit process management<br />
Define (?) and apply elements <strong>of</strong> managing an audit, including coordinating team<br />
activities, reallocating resources, adjusting audit plan, and communicating with the<br />
auditee. (Analyze)<br />
8. Exit meeting<br />
Describe its purpose, scope, and elements, and conduct an exit meeting, including<br />
determining post-audit activities and who is responsible for performing them.<br />
(Apply)<br />
6. Nonconformances<br />
Classify nonconformances in<br />
terms <strong>of</strong> significance, severity,<br />
frequency, and level<br />
<strong>of</strong> risk. (Evaluate)<br />
Charlie Chong/ Fion Zhang
IIB1. Opening meeting<br />
Describe its:<br />
1. purpose,<br />
2. scope, and<br />
3. elements and<br />
4. conduct an opening<br />
meeting.<br />
(Apply)<br />
Charlie Chong/ Fion Zhang
IIB8. Exit meeting<br />
Describe its:<br />
1. purpose,<br />
2. scope, and<br />
3. elements, and<br />
4. conduct an exit meeting,<br />
Including determining postaudit<br />
activities and who is<br />
responsible for performing<br />
them.<br />
Charlie Chong/ Fion Zhang
C. Audit reporting<br />
1. Basic steps<br />
Define, plan, and implement the steps in generating an audit report, including<br />
reviewing and finalizing results, organizing and summarizing details, obtaining<br />
necessary approvals, and distributing the report. (Create)<br />
2. Effective audit reports<br />
Identify what makes an audit report effective, and develop and evaluate<br />
various components, such as executive summaries, prioritized data, graphic<br />
presentation, and the impact <strong>of</strong> conclusions. (Create)<br />
3. Records retention<br />
Identify and apply record retention requirements, such as:<br />
a) type <strong>of</strong> documents,<br />
b) length <strong>of</strong> time, and<br />
c) storage considerations,<br />
for various audits. (Apply)<br />
Charlie Chong/ Fion Zhang
D. Audit follow-up and closure<br />
1. Elements <strong>of</strong> the corrective and preventive action processes<br />
Identify and apply the elements <strong>of</strong> these processes, including problem<br />
identification, assignment <strong>of</strong> responsibility, root cause analysis, and recurrence<br />
prevention. (Apply) (Who?- Auditor or Auditee scopes? Example who to perform RCA?)<br />
2. Review <strong>of</strong> corrective action plan<br />
Use various criteria to evaluate the acceptability <strong>of</strong> corrective action plans, and<br />
identify and apply strategies for negotiating changes to unacceptable plans.<br />
(Evaluate)<br />
3. Verification <strong>of</strong> corrective action<br />
Use various methods to verify and evaluate the adequacy <strong>of</strong> corrective actions<br />
taken, such as re-examining procedures, observing revised processes (?) , and<br />
conducting follow-up audits. (Evaluate)<br />
4. Follow up on ineffective corrective action<br />
Identify and develop strategies to use when corrective actions are not implemented<br />
or are not effective, such as communicating to the next level <strong>of</strong> management,<br />
reissuing the corrective action, and re-auditing. (Create)<br />
5. Audit closure<br />
Identify and apply various elements <strong>of</strong>, and criteria for, audit closure. (Evaluate)<br />
Charlie Chong/ Fion Zhang
IID1. Elements <strong>of</strong><br />
the corrective and<br />
preventive action<br />
processes<br />
Identify and apply the<br />
elements <strong>of</strong> these<br />
processes, including<br />
problem identification,<br />
assignment <strong>of</strong><br />
responsibility, root cause<br />
analysis, and recurrence<br />
prevention. (Apply)<br />
2. Review <strong>of</strong> corrective action plan<br />
Use various criteria to evaluate the acceptability <strong>of</strong> corrective action plans, and<br />
identify and apply strategies for negotiating changes to unacceptable plans.<br />
(Evaluate)<br />
Charlie Chong/ Fion Zhang
IID2. Review <strong>of</strong> corrective action plan<br />
Use various criteria to evaluate the acceptability <strong>of</strong> corrective action plans, and identify and apply strategies for<br />
negotiating changes to unacceptable plans. (Evaluate)<br />
Charlie Chong/ Fion Zhang
IID3. Verification <strong>of</strong> corrective action<br />
Use various methods to verify and evaluate the adequacy <strong>of</strong> corrective actions taken, such as re-examining<br />
procedures, observing revised processes (?) , and conducting follow-up audits. (Evaluate)<br />
Charlie Chong/ Fion Zhang
IID4. Follow up on ineffective corrective action<br />
Identify and develop strategies to use when corrective actions are not<br />
implemented or are not effective, such as communicating to the next<br />
level <strong>of</strong> management, reissuing the corrective action, and re-auditing.<br />
(Create)<br />
Charlie Chong/ Fion Zhang
IID5. Audit closure<br />
Identify and apply various elements <strong>of</strong>,<br />
and criteria for, audit closure. (Evaluate)<br />
Charlie Chong/ Fion Zhang
III. AUDITOR COMPETENCIES (23 QUESTIONS)<br />
A. Auditor characteristics<br />
Identify characteristics that make auditors effective, such as interpersonal skills,<br />
problem-solving skills, close attention to detail, cultural sensitivity, ability to work<br />
independently and in a group or on a team. (Apply)<br />
B. Resource management<br />
Identify and apply techniques for scheduling people, events, logistics, and audit<br />
related activities. (Apply)<br />
C. Conflict resolution<br />
Identify typical conflict situations (disagreements, auditee delaying tactics, and<br />
interruptions) and determine the techniques for resolving them, such as negotiation<br />
and cool-down periods. (Analyze)<br />
D. Communication techniques<br />
Select and use written and oral communication techniques in various applications,<br />
such as technical reports, active listening, empathy, and paraphrasing. (Analyze)<br />
Charlie Chong/ Fion Zhang
IIIA. Auditor characteristics<br />
Identify characteristics that make auditors effective, such as interpersonal skills,<br />
problem-solving skills, close attention to detail, cultural sensitivity, ability to work<br />
independently and in a group or on a team. (Apply)<br />
Charlie Chong/ Fion Zhang
IIIC. Conflict resolution<br />
Identify typical conflict situations (disagreements, auditee delaying<br />
tactics, and interruptions) and determine the techniques for<br />
resolving them, such as negotiation and cool-down periods.<br />
(Analyze)<br />
Charlie Chong/ Fion Zhang
IIIC. Conflict resolution<br />
Identify typical conflict situations (disagreements, auditee delaying<br />
tactics, and interruptions) and determine the techniques for resolving<br />
them, such as negotiation and cool-down periods. (Analyze)<br />
Charlie Chong/ Fion Zhang
III. AUDITOR COMPETENCIES IIIC. Conflict resolution<br />
Identify typical conflict situations (disagreements, auditee delaying tactics, and interruptions) and determine the techniques for resolving the<br />
such as negotiation and cool-down periods. (Analyze)<br />
II. AUDIT PROCESS See IID4- Follow up on ineffective corrective action<br />
Identify and develop strategies to use when corrective actions are not implemented or are not effective, such as communicating to the next<br />
level <strong>of</strong> management, reissuing the corrective action, and re-auditing. (Create)<br />
Charlie Chong/ Fion Zhang
III. AUDITOR COMPETENCIES IIIC.<br />
Conflict resolution<br />
Identify typical conflict situations (disagreements,<br />
auditee delaying tactics, and interruptions) and<br />
determine the techniques for resolving them,<br />
such as negotiation and cool-down periods.<br />
(Analyze)<br />
II. AUDIT PROCESS See IID4- Follow up on<br />
ineffective corrective action<br />
Identify and develop strategies to use when<br />
corrective actions are not implemented or are not<br />
effective, such as communicating to the next<br />
level <strong>of</strong> management, reissuing the corrective<br />
action, and re-auditing. (Create)<br />
Charlie Chong/ Fion Zhang
E. Interviewing techniques<br />
Define and apply appropriate interviewing techniques (e.g., when to use open-ended<br />
and closed question types, determining the significance <strong>of</strong> pauses and their length,<br />
and when and how to prompt a response), based on various factors, such as when<br />
supervisors are present, when interviewing a group <strong>of</strong> workers, and when using a<br />
translator. (Apply)<br />
F. Team membership, leadership, and facilitation<br />
Define and use various techniques to support team-building efforts and to help<br />
maintain group focus, both as a participant and as a team leader. Recognize and<br />
apply the classic stages <strong>of</strong> team development (forming, storming, norming, and<br />
performing). Identify various team member roles and apply coaching, guidance, and<br />
other facilitation techniques necessary to effective team functioning. (Analyze)<br />
G. Presentation techniques<br />
Define and apply various tools and techniques such as graphs, charts, diagrams, and<br />
multimedia aids for written and oral presentations made at opening, closing, and other<br />
meetings. (Apply)<br />
H. Verification and validation<br />
Define, distinguish between, and apply various methods <strong>of</strong> verifying and validating<br />
processes. (Analyze)<br />
Charlie Chong/ Fion Zhang
IIIE. Interviewing techniques<br />
Define and apply appropriate interviewing techniques<br />
(e.g.,<br />
• when to use open-ended and closed question types,<br />
• determining the significance <strong>of</strong> pauses and their length, and<br />
• when and how to prompt a response),<br />
based on various factors, such as when supervisors are present,<br />
when interviewing a group <strong>of</strong> workers, and when using a<br />
translator. (Apply)<br />
Charlie Chong/ Fion Zhang
IIIE. Interviewing techniques<br />
Define and apply appropriate interviewing techniques<br />
(e.g.,<br />
• when to use open-ended and closed question types,<br />
• determining the significance <strong>of</strong> pauses and their length, and<br />
• when and how to prompt a response),<br />
based on various factors, such as when supervisors are present, when interviewing a group <strong>of</strong> workers, and when using a translator. (Apply)<br />
http://www.barubian.net/2013/04/winds-<strong>of</strong>-change.html<br />
Charlie Chong/ Fion Zhang
IIIE. Interviewing techniques<br />
Define and apply appropriate interviewing techniques<br />
(e.g.,<br />
• when to use open-ended and closed question types,<br />
• determining the significance <strong>of</strong> pauses and their length, and<br />
• when and how to prompt a response),<br />
based on various factors, such as when supervisors are present, when interviewing a group <strong>of</strong> workers, and when using a translator. (Apply)<br />
http://www.barubian.net/2013/04/winds-<strong>of</strong>-change.html<br />
Charlie Chong/ Fion Zhang
IV. AUDIT PROGRAM AND BUSINESS APPLICATIONS (15 QUESTIONS)<br />
A. Audit program management<br />
Explain the elements <strong>of</strong> audit program management, such as the development <strong>of</strong><br />
policies and procedures, strategic alignment, resource management, the evaluation <strong>of</strong><br />
program effectiveness, and auditor training. (Apply)<br />
B. Business applications<br />
1. Change control<br />
Identify the principles <strong>of</strong> change control systems and configuration management as<br />
used in various hardware, s<strong>of</strong>tware, product, process, and service applications.<br />
(Understand)<br />
2. Risk management<br />
Identify risk management concepts and strategies, such as identifying risk<br />
trade<strong>of</strong>fs, and mitigation. (Understand)<br />
3. Interrelationships between business processes<br />
Understand major business processes (sales, marketing, engineering, etc.)<br />
And their interrelationships. (Understand)<br />
'Risk-return<br />
Trade<strong>of</strong>f‗:<br />
The risk-return trade<strong>of</strong>f states<br />
that the potential return rises<br />
with an increase in risk. Using<br />
this principle, individuals<br />
associate low levels <strong>of</strong><br />
uncertainty with low potential<br />
returns, and high levels <strong>of</strong><br />
uncertainty or risk with high<br />
potential returns. According to<br />
the risk-return trade<strong>of</strong>f, invested<br />
money can render higher pr<strong>of</strong>its<br />
only if the investor will accept a<br />
higher possibility <strong>of</strong> losses.<br />
https://www.investopedia.com/terms/r/riskreturntrade<strong>of</strong>f.asp#ixzz5QgI6hXpH<br />
Charlie Chong/ Fion Zhang
4. Senior management and the audit function<br />
Identify and explain management‘s role in creating and supporting the audit<br />
function. (Understand)<br />
5. Common elements <strong>of</strong> audits<br />
Recognize the elements that quality audits have in common with other types <strong>of</strong><br />
audits, such as environmental, safety, and financial. (Understand)<br />
6. Auditing as a management tool<br />
Apply audits in support <strong>of</strong> various business objectives, such as:<br />
• Continuous improvement,<br />
• supplier management,<br />
• customer satisfaction, and<br />
• best practices.<br />
(Analyze)<br />
7. Emerging roles <strong>of</strong> the auditor<br />
Recognize new roles and responsibilities for auditors, including their role as<br />
process consultants and business analysts. (Understand)<br />
Charlie Chong/ Fion Zhang
IVB5. Common elements <strong>of</strong> audits<br />
Recognize the elements that quality audits have in common with<br />
other types <strong>of</strong> audits, such as environmental, safety, and financial.<br />
(Understand)<br />
Charlie Chong/ Fion Zhang
IVB5. Common elements <strong>of</strong> audits<br />
Recognize the elements that quality audits have in common with<br />
other types <strong>of</strong> audits, such as environmental, safety, and financial.<br />
(Understand)<br />
Charlie Chong/ Fion Zhang
IVB6. Auditing as a management tool<br />
Apply audits in support <strong>of</strong> various business objectives, such as:<br />
• Continuous improvement,<br />
• supplier management,<br />
• customer satisfaction, and<br />
• best practices.<br />
(Analyze)<br />
Charlie Chong/ Fion Zhang
IVB6. Auditing as a management tool<br />
Apply audits in support <strong>of</strong> various business objectives, such as:<br />
• Continuous improvement,<br />
• supplier management,<br />
• customer satisfaction, and<br />
• best practices.<br />
(Analyze)<br />
Till now, nothing<br />
was mentioned<br />
on state and<br />
federal<br />
regulations, CFR<br />
compliance.<br />
Charlie Chong/ Fion Zhang
IVB7. Emerging roles <strong>of</strong> the auditor<br />
Recognize new roles and responsibilities for auditors, including<br />
their role as process consultants and business analysts.<br />
(Understand)<br />
Charlie Chong/ Fion Zhang
V. QUALITY TOOLS AND TECHNIQUES (22 QUESTIONS)<br />
A. Fundamental quality control tools<br />
Identify, interpret, and apply Pareto charts, cause and effect diagrams, flowcharts,<br />
control charts, check sheets, scatter diagrams, and histograms. (Analyze)<br />
B. Quality improvement tools<br />
Identify, interpret, and apply problem-solving tools, such as root cause analysis, the<br />
six sigma model (DMAIC), lean tools, Plan-Do-Check-Act (PDCA), and corrective and<br />
preventive action (CAPA) methods. (Apply)<br />
C. Descriptive statistics<br />
Identify, interpret, and use various measures <strong>of</strong> central tendency (mean, median, and<br />
mode), and dispersion, such as standard deviation and frequency distribution. (Apply)<br />
D. Sampling methods<br />
Identify, interpret, and use various sampling methods, such as acceptance, random,<br />
and stratified, and define related concepts (e.g., consumer and producer risk, and<br />
confidence level). (Apply)<br />
Charlie Chong/ Fion Zhang
E. Process capability<br />
Identify and interpret various process capability indices, such as Cp and Cpk.<br />
(Understand)<br />
F. Qualitative and quantitative analysis<br />
Describe and distinguish between qualitative and quantitative analyses, and attributes<br />
and variables data. (Analyze)<br />
G. Cost <strong>of</strong> quality<br />
Identify the basic cost <strong>of</strong> quality (COQ) principles, and describe the four COQ<br />
categories: prevention, appraisal, internal failure, and external failure. (Understand)<br />
Charlie Chong/ Fion Zhang
G. Cost <strong>of</strong> quality<br />
Identify the basic cost <strong>of</strong> quality (COQ) principles, and describe the four COQ categories: prevention, appraisal, internal failure, and external<br />
failure. (Understand)<br />
prevention<br />
appraisal<br />
COQ<br />
external<br />
failure<br />
internal<br />
failure<br />
Charlie Chong/ Fion Zhang
SIX LEVELS OF COGNITION<br />
BASED ON BLOOM’S TAXONOMY (REVISED)<br />
In addition to content specifics, the subtext detail also indicates the intended<br />
complexity level <strong>of</strong> the test questions for that topic. These levels are based on the<br />
Revised ―Levels <strong>of</strong> Cognition‖ (from Bloom‘s Taxonomy, 2001) and are presented<br />
below in rank order, from least complex to most complex.<br />
Note: Bloom‗s Taxonomy ( 分 类 ) was<br />
created in 1956 under the leadership<br />
<strong>of</strong> educational psychologist Dr<br />
Benjamin Bloom in order to promote<br />
higher forms <strong>of</strong> thinking in education,<br />
such as analyzing and evaluating<br />
concepts, processes, procedures, and<br />
principles, rather than just<br />
remembering facts (rote learning).<br />
(February 21, 1913 – September 13, 1999)<br />
Charlie Chong/ Fion Zhang
REMEMBER<br />
(Also commonly referred to as recognition, recall, or rote knowledge.) Be able to remember<br />
or recognize terminology, definitions, facts, ideas, materials, patterns, sequences,<br />
methodologies, principles, etc.<br />
UNDERSTAND<br />
Be able to read and understand descriptions, communications, reports, tables, diagrams,<br />
directions, regulations, etc.<br />
APPLY<br />
Be able to apply ideas, procedures, methods, formulas, principles, theories, etc., in jobrelated<br />
situations.<br />
ANALYZE<br />
Be able to break down information into its constituent parts and recognize the parts‘<br />
relationship to one another and how they are organized; identify sublevel factors or salient<br />
data from a complex scenario.<br />
EVALUATE<br />
Be able to make judgments regarding the value <strong>of</strong> proposed ideas, solutions,<br />
methodologies, etc., by using appropriate criteria or standards to estimate accuracy,<br />
effectiveness, economic benefits, etc.<br />
CREATE<br />
Be able to put parts or elements together in such a way as to show a pattern or structure<br />
not clearly there before; able to identify which data or information from a complex set is<br />
appropriate to examine further or from which supported conclusions can be drawn.<br />
Charlie Chong/ Fion Zhang
BLOOM’S TAXONOMY<br />
Charlie Chong/ Fion Zhang
Bloom‗s Taxonomy ( 分 类 ) was created in 1956 under the leadership <strong>of</strong> educational psychologist Dr Benjamin<br />
Bloom in order to promote higher forms <strong>of</strong> thinking in education, such as analyzing and evaluating concepts,<br />
processes, procedures, and principles, rather than just remembering facts (rote learning).<br />
Charlie Chong/ Fion Zhang
The Himba<br />
are indigenous peoples with an estimated population<br />
<strong>of</strong> about 50,000 people[1] living in northern Namibia,<br />
in the Kunene Region (formerly Kaokoland) and on<br />
the other side <strong>of</strong> the Kunene River in Angola.[1] There<br />
are also a few groups left <strong>of</strong> the OvaTwa, who are also<br />
OvaHimba, but are hunter-gatherers. The OvaHimba<br />
are a semi-nomadic, pastoralist people, culturally<br />
distinguishable from the Herero people in northern<br />
Namibia and southern Angola, and speak OtjiHimba, a<br />
variety <strong>of</strong> Herero, which belongs to the Bantu family<br />
within Niger–Congo.<br />
The OvaHimba are considered the last (semi-)<br />
nomadic people <strong>of</strong> Namibia.<br />
https://en.wikipedia.org/wiki/Himba_people<br />
https://hiveminer.com/Tags/davestamboulis%2Ctribe/Timeline<br />
Charlie Chong/ Fion Zhang
The Kaokoland<br />
Kaokoland was an administrative unit and a<br />
bantustan in northern South West Africa (now<br />
Namibia). Established during the apartheid era, it<br />
was intended to be a self-governing homeland <strong>of</strong><br />
the OvaHimba, but an actual government was<br />
never established. Like other homelands in South<br />
West Africa, the Kaokoland bantustan was<br />
abolished in May 1989, at the beginning <strong>of</strong> the<br />
transition <strong>of</strong> Namibia towards independence.<br />
"Kaokoland" remains as an informal name for the<br />
geographic area, while the political unit <strong>of</strong><br />
administration since 1990 is Kunene Region. The<br />
area is in the Kaokoveld ecoregion.<br />
The area is one <strong>of</strong> the wildest and least populated<br />
areas in Namibia, with a population density <strong>of</strong> one<br />
person every 2 km²(1/4 <strong>of</strong> the national average).<br />
The most represented ethnic group is the Himba<br />
people, who account for about 5,000 <strong>of</strong> the<br />
overall 16,000 inhabitants <strong>of</strong> Kaokoland. The<br />
main settlement in Kaokoland was the city <strong>of</strong><br />
Opuwo.<br />
https://www.bing.com/images/search?q=kaokolan<br />
d+female&FORM=HDRSC2<br />
https://hiveminer.com/Tags/davestamboulis%2Ctribe/Timeline<br />
Charlie Chong/ Fion Zhang
Charlie Chong/ Fion Fion Zhang Zhang
Good Luck!<br />
Charlie Chong/ Fion Zhang
Good Luck!<br />
Charlie Chong/ Fion Zhang
CERTIFIED QUALITY AUDITOR<br />
BODY OF KNOWLEDGE<br />
The topics in this new BOK include additional detail in the form <strong>of</strong> subtext explanations and<br />
cognitive level. These details will be used by the Exam Development Committee as<br />
guidelines for writing test questions, and are designed to help candidates prepare for the<br />
exam by identifying specific content within each topic that may be tested. The subtext is not<br />
intended to limit the subject-matter or be all-inclusive <strong>of</strong> what might be covered in an exam,<br />
but is intended to clarify how the topics relate to a Quality Auditor’s role. The descriptor in<br />
parentheses at the end <strong>of</strong> each entry refers to the maximum cognitive level at which the topic<br />
will be tested. A more comprehensive description <strong>of</strong> cognitive levels is provided at the end <strong>of</strong><br />
this document.<br />
FORMAT CHANGE FOR <strong>CQA</strong> EXAM<br />
Examinations based on the 2004 BOK will contain a number <strong>of</strong> case studies. Each case<br />
study will include a brief scenario outlining critical details about an audit situation. In addition,<br />
each case study will be supported by related audit documents. Approximately 15-20%<br />
(25-30 questions) <strong>of</strong> the test will be devoted to these case studies. Although the questions<br />
related to these cases will use the same four-choice answer format as the rest <strong>of</strong> the test, the<br />
use <strong>of</strong> scenario details and sample documents will allow the candidates to apply their critical<br />
thinking skills in evaluating realistic situations and accompanying documents, communiqués,<br />
etc. Additional time will be needed to process all elements <strong>of</strong> the case studies, and, therefore,<br />
the length <strong>of</strong> examination time will be increased from four hours to five hours.<br />
I. AUDITING FUNDAMENTALS (30 QUESTIONS)<br />
A. Basic terms and concepts<br />
Define and differentiate basic quality- and audit-related terms, such as quality, quality<br />
assurance, quality control, evidence, finding, observation, noncompliance, and<br />
nonconformance. (Apply)<br />
[NOTE: The application <strong>of</strong> these audit terms during the performance <strong>of</strong> an audit is<br />
covered in greater detail in II. B.]<br />
B. Purpose <strong>of</strong> audits<br />
Describe and examine how audits are used to assess organizational effectiveness,<br />
system efficiency, process effectiveness, business performance, risk management,<br />
and conformance to requirements. (Analyze)<br />
C. Types <strong>of</strong> quality audits<br />
Define and differentiate various audit types, such as product, process, system,<br />
management, compliance, first-party, second-party, third-party, internal, external,<br />
desk, department, and function. (Analyze)<br />
Page 1 <strong>of</strong> 7
D. Audit criteria<br />
Define and distinguish between various audit criteria, such as standards, contracts,<br />
specifications, policies, and quality awards. (Analyze)<br />
E. Roles and responsibilities <strong>of</strong> audit participants<br />
Define and describe the functions and responsibilities <strong>of</strong> various audit participants,<br />
including audit team members, lead auditor, client, auditee, etc. (Apply)<br />
F. Ethical, legal, and pr<strong>of</strong>essional Issues<br />
1. Audit credibility<br />
Identify and apply ethical factors that influence audit credibility, such as auditor<br />
independence, objectivity, and qualifications. (Apply)<br />
2. Liability issues<br />
Identify potential legal and financial ramifications <strong>of</strong> improper auditor actions, such<br />
as carelessness and negligence, in various situations, and anticipate the effect that<br />
certain audit results can have on an auditee’s liability. (Apply)<br />
3. Pr<strong>of</strong>essional conduct and responsibilities<br />
Define and apply the concepts <strong>of</strong> due diligence and due care, with respect to<br />
confidentiality, conflict <strong>of</strong> interest, the discovery <strong>of</strong> illegal activities or unsafe<br />
conditions. (Apply)<br />
II. AUDIT PROCESS (60 QUESTIONS)<br />
A. Audit preparation and planning<br />
1. Elements <strong>of</strong> the audit planning process<br />
Identify and implement steps in audit preparation and planning, such as verifying<br />
audit authority, determining the purpose, scope, type, requirements to audit<br />
against, and identifying the resources necessary, including the size and number <strong>of</strong><br />
audit teams. (Evaluate)<br />
2. Auditor selection<br />
Identify and examine various auditor selection criteria, such as education,<br />
experience, industry background, and subject-matter expertise. (Analyze)<br />
3. Audit-related documentation<br />
Identify the sources <strong>of</strong> pre-audit information and examine audit-related<br />
documentation, such as reference materials and prior audits. (Analyze)<br />
4. Logistics<br />
Identify and organize various audit-related logistics, such as travel, security<br />
considerations, and escorts. (Analyze)<br />
5. Auditing tools<br />
Select, prepare, and use checklists, log sheets, sampling plans, and procedural<br />
guidelines in various audit situations. (Create)<br />
[NOTE: Checklists as working papers are covered in II. B. 3]<br />
Page 2 <strong>of</strong> 7
6. Auditing strategies<br />
Identify and use various tactical methods for conducting an audit, such as forward<br />
and backward tracing and discovery. (Apply)<br />
B. Audit performance<br />
1. Opening meeting<br />
Describe its purpose, scope, and elements and conduct an opening meeting.<br />
(Apply)<br />
2. Data collection and analysis<br />
Select and apply various data collection methods, such as interviewing people,<br />
observing work activities, taking physical measurements, and examining paper and<br />
electronic documents; perform analysis. (Create)<br />
3. Working papers<br />
Identify types <strong>of</strong> working papers, such as checklists, auditor notes, and attendance<br />
rosters, and determine their importance in providing evidence for an audit trail.<br />
(Evaluate) [NOTE: Checklists as auditing tools are covered in II. A. 5.]<br />
4. Objective evidence<br />
Identify and differentiate various characteristics <strong>of</strong> objective evidence, such as<br />
observed, measured, verified, and documented. (Analyze)<br />
[NOTE: The definition <strong>of</strong> evidence is covered in I. A.]<br />
5. Observations<br />
Evaluate the significance <strong>of</strong> observations in terms <strong>of</strong> positive, negative, chronic,<br />
isolated, and systemic. (Evaluate)<br />
[NOTE: The definition <strong>of</strong> observation is covered in I. A.]<br />
6. Nonconformances<br />
Classify nonconformances in terms <strong>of</strong> significance, severity, frequency, and level<br />
<strong>of</strong> risk. (Evaluate)<br />
[NOTE: The definition <strong>of</strong> nonconformance is covered in I. A.]<br />
7. Audit process management<br />
Define and apply elements <strong>of</strong> managing an audit, including coordinating team<br />
activities, reallocating resources, adjusting audit plan, and communicating with the<br />
auditee. (Analyze)<br />
8. Exit meeting<br />
Describe its purpose, scope, and elements, and conduct an exit meeting, including<br />
determining post-audit activities and who is responsible for performing them.<br />
(Apply)<br />
C. Audit reporting<br />
1. Basic steps<br />
Define, plan, and implement the steps in generating an audit report, including<br />
reviewing and finalizing results, organizing and summarizing details, obtaining<br />
necessary approvals, and distributing the report. (Create)<br />
Page 3 <strong>of</strong> 7
2. Effective audit reports<br />
Identify what makes an audit report effective, and develop and evaluate various<br />
components, such as executive summaries, prioritized data, graphic presentation,<br />
and the impact <strong>of</strong> conclusions. (Create)<br />
3. Records retention<br />
Identify and apply record retention requirements, such as type <strong>of</strong> documents,<br />
length <strong>of</strong> time, and storage considerations, for various audits. (Apply)<br />
D. Audit follow-up and closure<br />
1. Elements <strong>of</strong> the corrective and preventive action processes<br />
Identify and apply the elements <strong>of</strong> these processes, including problem<br />
identification, assignment <strong>of</strong> responsibility, root cause analysis, and recurrence<br />
prevention. (Apply)<br />
2. Review <strong>of</strong> corrective action plan<br />
Use various criteria to evaluate the acceptability <strong>of</strong> corrective action plans, and<br />
identify and apply strategies for negotiating changes to unacceptable plans.<br />
(Evaluate)<br />
3. Verification <strong>of</strong> corrective action<br />
Use various methods to verify and evaluate the adequacy <strong>of</strong> corrective actions<br />
taken, such as re-examining procedures, observing revised processes, and<br />
conducting follow-up audits. (Evaluate)<br />
4. Follow up on ineffective corrective action<br />
Identify and develop strategies to use when corrective actions are not implemented<br />
or are not effective, such as communicating to the next level <strong>of</strong> management, reissuing<br />
the corrective action, and re-auditing. (Create)<br />
5. Audit closure<br />
Identify and apply various elements <strong>of</strong>, and criteria for, audit closure. (Evaluate)<br />
III. AUDITOR COMPETENCIES (23 QUESTIONS)<br />
A. Auditor characteristics<br />
Identify characteristics that make auditors effective, such as interpersonal skills,<br />
problem-solving skills, close attention to detail, cultural sensitivity, ability to work<br />
independently and in a group or on a team. (Apply)<br />
B. Resource management<br />
Identify and apply techniques for scheduling people, events, logistics, and auditrelated<br />
activities. (Apply)<br />
C. Conflict resolution<br />
Identify typical conflict situations (disagreements, auditee delaying tactics, and<br />
interruptions) and determine the techniques for resolving them, such as negotiation<br />
and cool-down periods. (Analyze)<br />
Page 4 <strong>of</strong> 7
D. Communication techniques<br />
Select and use written and oral communication techniques in various applications,<br />
such as technical reports, active listening, empathy, and paraphrasing. (Analyze)<br />
E. Interviewing techniques<br />
Define and apply appropriate interviewing techniques (e.g., when to use open-ended<br />
and closed question types, determining the significance <strong>of</strong> pauses and their length,<br />
and when and how to prompt a response), based on various factors, such as when<br />
supervisors are present, when interviewing a group <strong>of</strong> workers, and when using a<br />
translator. (Apply)<br />
F. Team membership, leadership, and facilitation<br />
Define and use various techniques to support team-building efforts and to help<br />
maintain group focus, both as a participant and as a team leader. Recognize and<br />
apply the classic stages <strong>of</strong> team development (forming, storming, norming, and<br />
performing). Identify various team member roles and apply coaching, guidance, and<br />
other facilitation techniques necessary to effective team functioning. (Analyze)<br />
G. Presentation techniques<br />
Define and apply various tools and techniques such as graphs, charts, diagrams, and<br />
multimedia aids for written and oral presentations made at opening, closing, and other<br />
meetings. (Apply)<br />
H. Verification and validation<br />
Define, distinguish between, and apply various methods <strong>of</strong> verifying and validating<br />
processes. (Analyze)<br />
IV. AUDIT PROGRAM AND BUSINESS APPLICATIONS (15 QUESTIONS)<br />
A. Audit program management<br />
Explain the elements <strong>of</strong> audit program management, such as the development <strong>of</strong><br />
policies and procedures, strategic alignment, resource management, the evaluation <strong>of</strong><br />
program effectiveness, and auditor training. (Apply)<br />
B. Business applications<br />
1. Change control<br />
Identify the principles <strong>of</strong> change control systems and configuration management as<br />
used in various hardware, s<strong>of</strong>tware, product, process, and service applications.<br />
(Understand)<br />
2. Risk management<br />
Identify risk management concepts and strategies, such as identifying risk<br />
trade<strong>of</strong>fs, and mitigation. (Understand)<br />
3. Interrelationships between business processes<br />
Understand major business processes (sales, marketing, engineering, etc.) and<br />
their interrelationships. (Understand)<br />
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4. Senior management and the audit function<br />
Identify and explain management’s role in creating and supporting the audit<br />
function. (Understand)<br />
5. Common elements <strong>of</strong> audits<br />
Recognize the elements that quality audits have in common with other types <strong>of</strong><br />
audits, such as environmental, safety, and financial. (Understand)<br />
6. Auditing as a management tool<br />
Apply audits in support <strong>of</strong> various business objectives, such as continuous<br />
improvement, supplier management, customer satisfaction, and best practices.<br />
(Analyze)<br />
7. Emerging roles <strong>of</strong> the auditor<br />
Recognize new roles and responsibilities for auditors, including their role as<br />
process consultants and business analysts. (Understand)<br />
V. QUALITY TOOLS AND TECHNIQUES (22 QUESTIONS)<br />
A. Fundamental quality control tools<br />
Identify, interpret, and apply Pareto charts, cause and effect diagrams, flowcharts,<br />
control charts, check sheets, scatter diagrams, and histograms. (Analyze)<br />
B. Quality improvement tools<br />
Identify, interpret, and apply problem-solving tools, such as root cause analysis, the<br />
six sigma model (DMAIC), lean tools, Plan-Do-Check-Act (PDCA), and corrective and<br />
preventive action (CAPA) methods. (Apply)<br />
C. Descriptive statistics<br />
Identify, interpret, and use various measures <strong>of</strong> central tendency (mean, median, and<br />
mode), and dispersion, such as standard deviation and frequency distribution. (Apply)<br />
D. Sampling methods<br />
Identify, interpret, and use various sampling methods, such as acceptance, random,<br />
and stratified, and define related concepts (e.g., consumer and producer risk, and<br />
confidence level). (Apply)<br />
E. Process capability<br />
Identify and interpret various process capability indices, such as C p and C pk .<br />
(Understand)<br />
F. Qualitative and quantitative analysis<br />
Describe and distinguish between qualitative and quantitative analyses, and attributes<br />
and variables data. (Analyze)<br />
G. Cost <strong>of</strong> quality<br />
Identify the basic cost <strong>of</strong> quality (COQ) principles, and describe the four COQ<br />
categories: prevention, appraisal, internal failure, and external failure. (Understand)<br />
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SIX LEVELS OF COGNITION<br />
BASED ON BLOOM’S TAXONOMY (REVISED)<br />
In addition to content specifics, the subtext detail also indicates the intended complexity level<br />
<strong>of</strong> the test questions for that topic. These levels are based on the Revised “Levels <strong>of</strong><br />
Cognition” (from Bloom’s Taxonomy, 2001) and are presented below in rank order, from least<br />
complex to most complex.<br />
REMEMBER<br />
(Also commonly referred to as recognition, recall, or rote knowledge.) Be able to remember or<br />
recognize terminology, definitions, facts, ideas, materials, patterns, sequences, methodologies,<br />
principles, etc.<br />
UNDERSTAND<br />
Be able to read and understand descriptions, communications, reports, tables, diagrams,<br />
directions, regulations, etc.<br />
APPLY<br />
Be able to apply ideas, procedures, methods, formulas, principles, theories, etc., in job-related<br />
situations.<br />
ANALYZE<br />
Be able to break down information into its constituent parts and recognize the parts’<br />
relationship to one another and how they are organized; identify sublevel factors or salient data<br />
from a complex scenario.<br />
EVALUATE<br />
Be able to make judgments regarding the value <strong>of</strong> proposed ideas, solutions, methodologies,<br />
etc., by using appropriate criteria or standards to estimate accuracy, effectiveness, economic<br />
benefits, etc.<br />
CREATE<br />
Be able to put parts or elements together in such a way as to show a pattern or structure not<br />
clearly there before; able to identify which data or information from a complex set is<br />
appropriate to examine further or from which supported conclusions can be drawn.<br />
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