Understanding ASQ-CQA -Knowing The Ways

Knowing ASQ CQA 

The Quality Auditor Certification 

My Pre-exam Self Study Notes 

4 th September 2018 

Charlie Chong/ Fion Zhang

Aeronautical Quality Assurance 


Aeronautical Quality Assurance 


SR-71 


SR-71 


SR-71 


SR-71A 


闭门练功 


http://independent.academia.edu/CharlieChong1 

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

http://issuu.com/charlieccchong 


Charlie Chong/ Fion Zhang 

http://greekhouseoffonts.com/

The Magical Book of Tank Inspection ICP 



闭门练功 


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Fion Zhang at Shanghai 

4 th September 2018

Content: 

1. ASQ BOK 

2. Pre-read: Six Sigma 6σ-The Wikipedia 


ASQ Mission: 

The American Society for Quality advances 

individual, organizational, and community 

excellence worldwide through learning, quality 

improvement, and knowledge exchange. 


ASQ Mission: 

The American Society for Quality advances individual, organizational, and 

community excellence worldwide through learning, quality improvement, and 

knowledge exchange. 

• learning 

• knowledge 

exchange 

excellence 


https://asq.org/about-asq/asq-awards/deming

The Certified Quality Auditor (CQA) is a professional who understands: 

• the standards and 

• the 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. 


• the auditing techniques of ; 

examining, 

questioning, 

evaluating, and 

reporting 

…appropriate techniques to 

gather, identify, and classify 

objective evidence. 


The Auditing Techniques: Examining 


The Auditing Techniques: Questioning 


The Auditing Techniques: Evaluating & Reporting 


CQA 

Computer Delivered – The CQA examination is a one-part,165-multiplechoice-question,five-and-a-half-hour 

exam and is offered in English only. 

One hundred and fifty questions are scored and 15 are unscored. Paper and 

Pencil – The CQA 

examination is a one-part,150-multiple-choice-question,five-hour exam and 

is offered in English only. 

165 – 15 Questions 

minus 

5 hours. 


Minimum Expectations 

• Must possess the knowledge and ability to 

effectively conduct different types of audits, as 

appropriate for the method, relationship, or 

purpose of the audit, and must recognize the 

effect those audit types will have on the audit 

scope and outcomes. 

• Must be able to audit in a professional, ethical, 

and objective manner using and interpreting 

applicable standards or requirements, with an 

awareness of potential legal and financial 

ramifications 财务影响 . 

• Must be able to effectively plan, communicate, 

and execute an audit within its defined scope, 

including scheduling resources, conducting 

necessary meetings in performance of the audit, 

and using appropriate techniques to gather, 

identify, and classify objective evidence. 

• Must be able to verify, document, and communicate 

audit results, develop an audit report, and evaluate the 

effectiveness of corrective action and follow up. 

• Must possess interpersonal skills to resolve conflict, 

conduct interviews, and make presentations while 

participating as an audit team member, and must 

possess knowledge of the unique responsibilities of 

the lead auditor and team facilitator. 

• Must understand the value that quality auditing adds 

to the organization and how auditing can reveal 

interrelationships between business processes that 

can influence outcomes and organizational risk. 

• Must be able to select appropriate quality and auditing 

tools and techniques, and use them effectively in a 

variety of practical applications. 


Must possess interpersonal skills to resolve conflict. 


BOK 

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, each case 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 accompanying documents, memos, etc. 


BOK 

Knowledge 

Percentage Score 

I. Auditing Fundamentals (27 Questions) 18% 

II. Audit Process (42 Questions) 28% 

III. Auditor Competencies (25 Questions) 17% 

IV. Audit Program Management and Business Applications 

(30 Questions) 

20% 

V. Quality Tools and Techniques (26 Questions) 17% 

150 Questions 100% 


BOK 

Approximately 15-20 percent (25-30 questions) of the test will be devoted to 

these case studies. 


BOK 

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 


types by auditor-auditee relationship: first-party, 

second-party, third-party, internal and external. 

(Analyze) 

3. Purpose 


types by purpose: verification of corrective 

action (follow-up) audits, risk audits, 

accreditation (registration) and compliance 

audits, surveillance and for-cause audits. 

(Analyze) 

4. Common elements with other audits 

Identify elements such as audit purpose, data 

gathering techniques, tracing, etc., that quality 

audits have in common with environmental, 

safety, financial, and other types of audits. 

(Apply) 

B. Purpose and Scope of Audits 

1. Elements of purpose and scope 

Describe and determine how the purpose of an 

audit can affect its scope. (Apply) 

2. Benefits of audits 

Analyze how audits can be used to provide an 

independent assessment of system 

effectiveness and efficiency, risks to the bottom 

line, and other organizational measures. 

(Analyze) 


I. Auditing Fundamentals (27 Questions) 

C. Criteria to Audit Against 

Define and distinguish between various audit 

criteria, such as external (industry, national, 

international) standards, contracts, specifications, 

quality awards, policies, internal quality 

management system (QMS), sustainability, social 

responsibility, etc. (Analyze) 

D. 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) 

2. Legal consequences 

Identify potential legal and financial 

ramifications of improper auditor actions 

(carelessness, negligence, etc.) in various 

situations, and anticipate the effect that certain 

audit results can have on an auditee‘s liability. 

(Apply) 

3. Audit credibility 

Identify and apply various factors that influence 

audit credibility, such as auditor independence, 

objectivity, and qualifications. (Apply) 

E. Professional Conduct and Consequences for 

Auditors 

1. Professional conduct and responsibilities 

Define and apply the ASQ Code of Conduct, 

concepts of due diligence and due care with 

respect to confidentiality and conflict of interest, 

and appropriate actions in response to the 

discovery of illegal activities or unsafe 

conditions. (Apply) 


II. Audit Process (42 Questions) 

A. Audit Preparation and Planning 

1. Elements of the audit planning process 

Evaluate and implement the basic steps in audit 

preparation and planning: 

• verify audit authority; (?) 

Who? 

• determine the (1) purpose, (2) scope, and (3) 

type of audit; 

• identify the requirements to audit against and 

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 or technical 

expertise. (Analyze) 

3. Audit-related documentation 

Identify the sources of pre-audit information and 

examine audit related documentation, such as 

audit criteria references and results from prior 

audits. (Analyze) 

4. Logistics 

Identify and organize audit-related logistics, 

including travel, safety and security 

considerations, the need for escorts, translators, 

confidentiality agreements, clear right of access, 

etc. (Analyze) 

5. Auditing tools and working papers 

Identify the sampling plan or method and 

procedural guidelines to be used for the specific 

audit. Select and prepare working papers 

(checklists, log sheets, etc.) to document the 

audit. (Create) 

6. Auditing strategies 

Identify and use various tactical methods for 

conducting an audit, such as forward and 

backward tracing (?), discovery, etc. (Apply) 

I found a good explanation of the difference between forward and backward 

traceability here: 

• Checking forward traceability: taking a batch of materials/components and tracing 

them through the process, including work in process, all the way to the finished 

products that were made with those materials/components. 

• Checking backward traceability – this is taking a finished product batch and tracing it, 

starting from the customer, back through the process including work in process, all the 

way to the batches of materials/components received from suppliers. 

https://qualityinspection.org/forward-backward-traceability/ 



B. Audit Performance 

1. On-site audit management Interpret situations 

throughout the performance of the audit to determine 

whether time is being managed well and when changes 

need to be made, such 

as revising planned audit team activities, reallocating 

resources, adjusting the audit plan, etc., and 

communicate with the auditee 

about any changes or other events related to the audit. 

(Analyze) 

2. Opening meeting 

Manage the opening meeting of an audit by identifying 

the audit‘s purpose and scope, describing any scoring 

or rating criteria that will be used during the audit, 

creating a record of the attendees, reviewing the audit 

schedule, and answering questions as needed. (Apply) 

Risk= Probability x Consequences 

(Risk= frequency x severity?) 

(Risk ≡ Significant?) 

3. Audit data collection and analysis 

Use various data collection methods to capture 

information: 

• Conducting interviews, 

• observing work activities, 

methods 

• taking physical measurements, 

• examining documents, etc. 

Evaluate the results to determine their importance for 

providing audit evidence. (Evaluate) 

4. Establishment of objective evidence 

Identify and differentiate characteristics of objective 

evidence, such as observed, measured, confirmed or 

corroborated (Confirm/ 证实 ), and documented. 

(Analyze) 

5. Organization of objective evidence 

Classify evidence in terms of significance, severity, 

frequency, and level of risk. Evaluate the evidence 

for its potential impact on product, process, system, 

cost of quality, etc., and determine whether additional 

investigation is required to meet the scope of the audit. 

(Evaluate) 



Classify evidence in terms of : 

• significance, 

Severity x frequency 

• severity, 

level of risk 

• frequency, and 

• level of risk. 

Evaluate the evidence for its potential impact on 

• product, 

• process, 

• system, 

• cost of quality, etc., 

and determine whether additional 

investigation is required to meet 

the scope of the audit. (Evaluate) 



• product, 

• process, 

• system, 


The etc.; 

• Tarnishing the Company Image. 

• Others? 



• product, 

• process, 

• system, 



• Tarnishing the Company Image. 

• Others? 



• product, 

• process, 

• system, 



• Tarnishing the Company Image, 

• Environmental, 

• Others? 



6. Exit and closing meetings 

Formally manage these meetings: 

reiterate the audit‘s purpose, scope, and scoring 

or rating criteria, and create a record of the 

attendees. Present the audit results and obtain 

concurrence on evidence that could lead to an 

adverse conclusion. Discuss the next steps in 

the process (follow-up audit, additional 

evidence-gathering, etc.), and clarify who is 

responsible for performing those steps. (Apply) 

C. Audit Reporting 

1. Report development and content 

Group observations into actionable findings of 

significance, and identify the severity and risk to 

the client and the auditee. Use appropriate steps 

to generate the audit report: organize and 

summarize details, review and finalize results, 

emphasize critical issues, establish unique 

identifiers or codes for critical issues to facilitate 

tracking and monitoring, etc. (Create) 

2. Effective reports 

Develop and evaluate components of effective 

audit reports, including background information, 

executive summary, prioritized results 

(observations, findings, opportunities for 

improvement, etc.). Use graphical tools or other 

means of emphasizing conclusions, and develop 

a timeline for auditee response and/or 

corrections. (Create) 

3. Final audit report steps 

Obtain necessary approvals for the audit report 

and distribute it according to established 

procedures. Identify the contents of the audit file 

and retain the file in accordance with 

established policies and procedures. (Apply) 



D. Audit Follow-Up and Closure 

1. Elements of the corrective action process 

Identify and evaluate various elements: 

assignment of responsibility for problem 

identification; the performance of root cause 

analysis and recurrence prevention. (Evaluate) 

2. Review of corrective action plan 

Evaluate the acceptability of proposed corrective 

actions and schedule for completion. Identify 

and apply strategies for negotiating changes to 

unacceptable plans. (Evaluate) 

4. Follow-up on ineffective corrective action 

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 

request, and re-auditing. (Create) 

5. Audit closure 

Identify and apply various elements of, and 

criteria for, audit closure (Apply) 

3. Verification of corrective action 

Determine the adequacy of corrective actions 

taken by verifying and evaluating new or 

updated procedures, observing revised 

processes, conducting follow-up audits, etc. 

(Evaluate) 




Identify and evaluate various elements: 

• assignment of responsibility for problem identification; 

• the performance of root cause analysis and 

• recurrence prevention. (Evaluate) 

RCA 

Kaoru Ishikawa Diagram 




Identify and evaluate various elements: assignment of responsibility for problem identification; the performance of root cause analysis and 

recurrence prevention. (Evaluate) 


Evaluate the acceptability of proposed corrective actions and schedule for completion. Identify and apply strategies for negotiating changes to 


Assignment of responsibility 

for problem identification- 

Aeronautical‘s SME in turbine. 


Recurrence Prevention & RCA 



Identify and evaluate various elements: assignment of responsibility for problem identification; the performance of root cause analysis and 

recurrence prevention. (Evaluate) 


III. Auditor Competencies (25 Questions) 

A. Auditor Characteristics 

Identify characteristics that make auditors effective: 

interpersonal skills, problem-solving skills, attention to 

detail, cultural awareness and sensitivity, ability to work 

independently as well as in a group or on a team, etc. 

(Apply) 

B. On-Site Audit 

Resource Management 

Identify and apply techniques for managing audit teams, 

scheduling audit meetings and activities, making 

logistical adjustments, etc. (Apply) 

C. Conflict Resolution 

Identify typical conflict situations (mild to vehement 

(intense) disagreements, auditee 

delaying tactics, interruptions, etc.) and determine 

appropriate techniques for resolving them: 

• clarifying the question or request, 

• reiterating ground rules, 

• intervention by another authority, 

• cool-down periods, etc. 

(Analyze) 

D. Communication and Presentation Techniques 

Select and use written, oral, and electronic 

communication techniques for presentations made 

during audits for opening, closing, ad-hoc meetings, 

etc. Use technical and managerial reporting techniques, 

including graphs, charts, diagrams, multimedia aids, 

etc., in various situations: domestic, global, 

in-person, virtual (e-audits), multiple sites 

simultaneously, etc. (Evaluate) 

E. Interviewing Techniques 

Select and use appropriate interviewing techniques and 

methodologies. (Apply) 

1. Use open-ended or closed question types 

2. Use active listening, paraphrasing ( 另种表达方式 ), 

empathy ( 同情 ), etc. 

3. Recognize and respond to non-verbal cues ( 提示 , 

暗示 , 表示 ): body language, the significance of 

pauses and their length, etc. 

4. Determine when and how to prompt ( 促使 ) a 

response: when supervisors are present, when 

interviewing a group of workers, when using a 

translator, etc. 

Paraphrasing Tool to paraphrase or rewrite full length essays and 

articles or to find new ways to express simple phrases, sentences or 

single words. 

Empathy: the ability to understand and share the feelings of another. 


III. Auditor Competencies (25 Questions) 

F. Team Dynamics 

Define, describe, and apply various 

aspects of team dynamics. (Apply) 

1. Team-building: clarifying roles and responsibilities 

for participants and leaders to ensure equitable 

treatment for all team members, providing clear 

direction for deliverables, identifying necessary 

resources and ensuring their availability, etc. 

Tuckman's stages of group development 

2. Team facilitation: providing coaching and guidance, 

defusing clashes between members, eliciting (bring 

out) input from all, cultivating objectivity, 

overseeing progress, encouraging diverse views 

and consensus, etc. 

3. Stages of team development: forming, storming, 

norming, and performing 

(further reading) 

https://en.wikipedia.org/wiki/Tuckman%27s_stages_of_group_de 

velopment 


IV. Audit Program Management and Business Applications (30 Questions) 

A. Audit Program Management 

1. Senior management support 

Identify and explain management‘s 

role in creating and supporting the audit function. 

(Understand) 

2. Staffing and resource management 

Develop staffing budgets that provide adequate 

time for auditors to plan, conduct, and respond 

to scheduled audits, including time and 

resources that internal auditees need to 

participate. Identify any special equipment 

resources needed and ensure their adequacy 

and availability. Consider the use of and 

requirements for special audits (outsourced or 

contracted audits, virtual or e-audits, shared 

audits, etc.) as driven by costs, geography, etc. 

Evaluate results and adjust resources as 

needed on a regular basis. (Evaluate) 

3. Auditor training and development 

Identify minimum audit knowledge 

and skill requirements for auditors. 

Provide training on various aspects 

of the audit process such as relevant 

standards, regulatory influences, 

facilitation techniques, etc. Provide 

training on diversity and cultural 

influences (ethnicity, gender, age, 

organized labor, etc.) and how such 

factors can affect communications 

and other interactions among audit 

participants. (Create) 

4. Audit program evaluation 

Select the correct metric to evaluate 

the audit program, including tracking 

its effect on the bottom line and the 

risk to the organization. (Evaluate) 


Special audits: 

• outsourced or contracted audits, 

• virtual or e-audits, 

• Shared audits, etc. 






virtual or e-audits 

Virtual Auditing With states facing 

more and more budget restrictions 

and travel being one area that is being 

cut from their budgets, state auditing 

departments need to come up with 

innovative constructive ways of 

continue to perform audits on Motor 

Fuel Accounts without the cost 

associated of traveling to the 

Taxpayers location. What are Virtual 

Audits? Virtual audits are paperless, 

electronic audits that are conducted 

without face to face interaction 

between government and industry. All 

data is exchanged in electronic 

formats such as MS Word, Excel, PDF 

files, text files and EDI files. 

https://old.taxadmin.org/fta/mf/unif_docs/ 

white/virtualaudits.pdf 








5. Internal audit program management 

Develop procedures, policies, 

and schedules to support the 

organization‘s objectives. Review 

internal audit results to identify 

systemic trends. (Create) 

7. Best practices 

Analyze audit results to: 

• Standardize best practices and 

• Lessons learned, 

across the organization. (Analyze) 

6. External audit program management 

Develop procedures, policies, and 

schedules in support of the supplier 

management program, including: 

• supplier qualification surveys, 

• surveillance audits, 

• supplier improvement, etc. 

(Create) 

There will be audit report to the 

Auditee and report to the management 

(as management review). 

So there will be 2 minimum reports? 

8. Organizational risk management 

Analyze how the audit program 

affects an organization‘s risk level 

and how the risk level can influence 

the number and frequency of audits 

performed. (Analyze) 

[Note: Tools and techniques for managing 

risk are covered in BoK area V.H. (?) ] 

9. Management review input 

Examine and summarize audit 

program results, trends, and 

changes in risk to provide input to 

management reviews. (Evaluate) 



Examine and summarize: 

• audit program results, 

• trends, and 

• changes in risk 

to provide input to management reviews. (Evaluate) 















KPI 

KPI 









https://www.japantimes.co.jp/news/2016/05/10/business/five-million-new-takata-recalls-ordered-japan/#.W488FNwzaUk








https://www.theatlantic.com/photo/2011/07/the-history-of-the-space-shuttle/100097/


B. Business and Financial Impact 

1. Auditing as a management tool 

Use audit results to monitor: 

• continuous improvement, 

• Supplier management, 

• customer satisfaction, etc., and 

• to provide management with an independent 

view of the strategic plan‘s effectiveness and 

how well it is deployed. 

(Analyze) 

2. Interrelationships of business processes 

Identify how business units (receiving, product 

and process design, production, engineering, 

sales, marketing, field support, etc.) and multiple 

sites are interrelated, and recognize how their 

unique metrics and goals can be in conflict 

with one another. (Understand) 

3. Cost of quality (COQ) principles 

Identify, describe, and analyze 

the audit program‘s effect on the 

four COQ categories: 

• prevention, 

• Appraisal (assessment, 评估 - 检验 ?), 

• internal failure, 

• External failure. 

(Analyze) 

4. Emerging roles of the auditor 

Recognize new roles and responsibilities for 

auditors, such as being process consultants 

and facilitators who can help resolve internal 

issues, improve processes, and add value to 

the organization. (Understand) 



Recognize new roles and responsibilities for auditors, such as being: 

• process consultants and 

• facilitators 

who can help resolve internal issues, improve processes, and add value to the organization. 

(Understand) 



Recognize new roles and responsibilities for 

auditors, such as being: 

• process consultants and 

• facilitators 

who can help resolve internal issues, improve 

processes, and add value to the organization. 

(Understand) 

Auditor 

as well 

as SME 


V. Quality Tools and Techniques (26 Questions) 

A. Basic Quality and Problem-solving Tools 

Identify, interpret, and analyze: 

1) Pareto charts, 2) cause and effect 

diagrams, 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 use standard deviation 

and frequency distribution. (Apply) 

3. Qualitative and quantitative analysis 

Describe qualitative data in terms of the nature, 

type, or attribute of an observation or condition. 

Describe how quantitative data is used to detect 

patterns or trends and how such analysis can 

indicate whether a problem is systemic or 

isolated. (Understand) 



D. Process Variation 

1. Common and special cause Identify and 

distinguish between common and special cause 

variation. (Apply) 

2. Process performance metrics 

Describe elements of Cp and Cpk process 

capability studies (process centering and 

stability, specification limits, underlying 

distribution, etc.), and how these studies and 

other performance metrics are used in relation 

to established goals. (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 

• cluster sampling, 

and identify the uses and potential problems of 

non-statistical sampling. (Understand) 

3. Outliers 

Describe their significance and impact. 

(Understand) 

3. Sampling terms 

Define related terms including consumer and 

producer risk, confidence level, etc. (Understand) 



F. Change Control and Configuration 

Management 

Identify the principles of change 

control and configuration management 

systems as used in various applications: 

hardware, 

software (including security considerations), 

product, 

process, and 

service. (Understand) 

G. Verification and Validation 

Define, distinguish between, and use various 

methods of verifying and 

validating processes. (Analyze) 

H. Risk Management Tools 

Identify methods for managing risk, including: 

• risk avoidance, 

• mitigation, 

• tradeoffs, etc., 

and describe tools and methods for estimating 

and controlling risk: 

• failure mode and effects analysis (FMEA), 

• hazard analysis and critical control points 

(HACCP), 

• critical to quality (CTQ) analysis, 

• health hazard analysis (HHA), etc. 

(Understand) 

[Note: Organizational risk management 

is covered in BoK area IV.A.8.] 


LEVELS OF COGNITION (awareness) 

Based on Bloom‘s Taxonomy—Revised (2001) 

In addition to content specifics, the subtext for each topic in this BoK also indicates the intended 

complexity level of the test questions for that topic. These levels are based on ―Levels of Cognition‖ 

(from Bloom‘s Taxonomy- Revised, 2001) and are presented below in rank order, from least 

complex to most complex. 

REMEMBER | Recall or recognize terms, 

definitions, facts, ideas, materials, patterns, 

sequences, methods, principles, etc. 

UNDERSTAND | Read and understand 

descriptions, communications, reports, 

tables, diagrams, directions, regulations, etc. 

APPLY | Know when and how to use 

ideas, procedures, methods, formulas, 

principles, theories, etc. 

ANALYZE | Break down information into 

its constituent parts and recognize their 

relationship to one another and how they 

are organized; identify sublevel factors or 

salient (conspicuous/prominent) data from a 

complex scenario. 

EVALUATE | Make judgments about the value of 

proposed ideas, solutions, etc., by comparing 

the proposal to specific criteria or standards. 

CREATE | Put parts or elements together in 

such a way as to reveal a pattern or structure 

not clearly there before; identify which data or 

information from a complex set is appropriate to 

examine further or from which supported 

conclusions can be drawn. 


CQA- Open Book Exam! 

FREQUENTLY ASKED QUESTIONS 

Is the exam open-book? 

With the exception of the constructed-response portion of the Manager of Quality/Organizational 

Excellence exam, exams are open-book. 

All reference materials (i.e. including all forms of notes) must be bound and remain bound 

during the exam. Bound refers to material permanently bound by stitching or glue and materials 

fastened securely in its cover by fasteners, which penetrate all papers (i.e. ring binders, spiral 

binders, plastic snap binders, brads, or screw posts). Manually or hand stapled documents that 

are not securely fastened in their covers are not allowed. The size of workspace area at Prometric 

test centers is limited. The approximate desk dimensions are 48" in length and 24" in width. 

Before you enter the exam room, the Test Center Administrator (TCA) will inspect all references. 

"Post-Its" will be permitted as book tabs only (must be attached prior to entering the test center). 

Items strictly prohibited in the exam area: hand stapled or paper-clipped materials, blank writing 

tablets or tablets containing blank pages, unbound tablets, unbound notes, slide charts and/or 

wheel charts (hand-held cardboard or plastic calculating devices with rotating or sliding pieces). 

Absolutely no collections of questions and answers or weekly refresher-course quizzes are 

permitted. Reference sources that contain such copy are not allowed unless the questions are 

removed. 

Examinees are responsible for abiding by applicable copyright laws. 

https://asq.org/cert/faq/open-book-exam 



More to read 

• Six Sigma DMAIC phases: define, measure, analyze, improve, control. 

• Process capability Cp and Cpk 

• Lean Tools (?) : 5S, standard operations, kanban (pull), error-proofing, value stream mapping, 

etc. 

• Risk Management Tools 

• failure mode and effects analysis (FMEA), 

• hazard analysis and critical control points (HACCP), 

• critical to quality (CTQ) analysis, 

• health hazard analysis (HHA), etc. 

• Sampling methods 



Star War Dead Star 


CQA- Reading II 

Pre-Handbook Reading, the WIKI ways. 

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

https://en.wikipedia.org/wiki/Six_Sigma 




Six Sigma (6σ) is a set of techniques and tools for process improvement. It was 

introduced by engineer Bill Smith while working at Motorola in 1986. Jack Welch made 

it central to his business strategy at General Electric in 1995. 

Six Sigma strategies seek to improve the quality of the output of a process by 

identifying and removing the causes of defects and minimizing variability in 

manufacturing and business processes. It uses a set of quality management methods, 

mainly empirical, statistical methods, and creates a special infrastructure of people 

within the organization who are experts in these methods. Each Six Sigma project 

carried out within an organization follows a defined sequence of steps and has specific 

value targets, for example: reduce process cycle time, reduce pollution, reduce costs, 

increase customer satisfaction, and increase profits. 

The term Six Sigma (capitalized because it was written that way when registered as a 

Motorola trademark on December 28, 1993) originated from terminology associated 

with statistical modeling of manufacturing processes. The maturity of a manufacturing 

process can be described by a sigma rating indicating its yield or the percentage of 

defect-free products it creates. A six sigma process is one in which 99.99966% (?) of 

all opportunities to produce some feature of a part are statistically expected to be free 

of defects (3.4 defective features per million opportunities). Motorola set a goal of "six 

sigma" for all of its manufacturing. 



Six Sigma doctrine asserts: 

Continuous efforts to achieve stable and predictable process results (e.g. by reducing 

process variation) are of vital importance to business success. 

Manufacturing and business processes have characteristics that can be DMAIC 

―defined, measured, analyzed, improved, and controlled.‖ 

Achieving sustained quality improvement requires commitment from the entire 

organization, particularly from top-level management. 

Features that set Six Sigma apart from previous quality-improvement initiatives 

include: 

• A clear focus on achieving measurable and quantifiable financial returns from any 

Six Sigma project. 

• An increased emphasis on strong and passionate (enthusiastic) management 

leadership and support. 

• A clear commitment to making decisions on the basis of verifiable data and 

statistical methods, rather than assumptions and guesswork. 



The term ―six sigma‖ comes from statistics and is used in statistical quality control, 

which evaluates process capability. Originally, it referred to the ability of manufacturing 

processes to produce a very high proportion of output within specification. Processes 

that operate with ―six sigma quality‖ over the short term are assumed to produce longterm 

defect levels below 3.4 defects per million opportunities (DPMO). The 3.4 dpmo 

is based on a ―shift‖ of +/- 1.5 sigma created by the psychologist Dr Mikel Harry. He 

created this figure based on the tolerance in the height of a stack of discs. Six Sigma‗s 

implicit goal is to improve all processes, but not to the 3.4 DPMO level necessarily. 

Organizations need to determine an appropriate sigma level for each of their most 

important processes and strive to achieve these. As a result of this goal, it is 

incumbent ( 有义务的 ) on management of the organization to prioritize areas of 

improvement. 

"Six Sigma" was registered June 11, 1991 as U.S. Service Mark 1,647,704. In 2005 

Motorola attributed over US$17 billion in savings to Six Sigma.[5] 

Other early adopters of Six Sigma include Honeywell and General Electric, where 

Jack Welch introduced the method. By the late 1990s, about two-thirds of the Fortune 

500 organizations had begun Six Sigma initiatives with the aim of reducing costs and 

improving quality. 



In recent years, some practitioners have combined Six Sigma ideas with lean 

manufacturing to create a methodology named Lean Six Sigma. The Lean Six Sigma 

methodology views lean manufacturing, which addresses process flow and waste 

issues, and Six Sigma, with its focus on variation and design, as complementary 

disciplines aimed at promoting "business and operational excellence". Companies 

such as GE, Accenture, Verizon, GENPACT, and IBM use Lean Six Sigma to focus 

transformation efforts not just on efficiency but also on growth. It serves as a 

foundation for innovation throughout the organization, from manufacturing and 

software development to sales and service delivery functions. 

The International Organization for Standardization (ISO) has published in 2011 the 

first standard "ISO 13053:2011" defining a Six Sigma process. Other "standards" are 

created mostly by universities or companies that have so-called first-party certification 

programs for Six Sigma. 







is a set of techniques and tools for process improvement. It was introduced by 

engineer 





Six Sigma Difference from lean management 

Lean management and Six Sigma are two concepts which share similar 

methodologies and tools. Both programs are Japanese-influenced, but they are two 

different programs: 

• Lean management is focused on eliminating waste and ensuring efficiency while 

• Six Sigma's focus is on eliminating defects and reducing variability. 



Methodologies 

Six Sigma projects follow two project methodologies inspired by Deming's Plan-Do- 

Study-Act Cycle. These methodologies, composed of five phases each, bear the 

acronyms DMAIC and DMADV. 

• DMAIC is used for projects aimed at improving an existing business process. 

• DMADV is used for projects aimed at creating new product or process designs. 



DMAIC 

The DMAIC project methodology has five phases: 

1. Define the system, the voice of the customer and their requirements, and the 

project goals, specifically. 

2. Measure key aspects of the current process and collect relevant data; calculate 

the 'as-is' Process Capability. 

3. Analyze the data to investigate and verify cause-and-effect relationships. 

Determine what the relationships are, and attempt to ensure that all factors have 

been considered. Seek out root cause of the defect under investigation. 

4. Improve or optimize the current process based upon data analysis using 

techniques such as design of experiments, poka yoke or mistake proofing, and 

standard work to create a new, future state process. Set up pilot runs to establish 

process capability. 

5. Control the future state process to ensure that any deviations from the target are 

corrected before they result in defects. Implement control systems such as 

statistical process control, production boards, visual workplaces, and continuously 

monitor the process. This process is repeated until the desired quality level is 

obtained. 

Some organizations add a Recognize step at the beginning, which is to recognize the 

right problem to work on, thus yielding an RDMAIC methodology. 



Poka-yoke or Mistake Proofing 



DMADV or DFSS 

The five steps of DMADV 

The DMADV project methodology, known as DFSS ("Design For Six Sigma"), features 

five phases: 

1. Define design goals that are consistent with customer demands and the enterprise 

strategy. 

2. Measure and identify CTQs (characteristics that are Critical To Quality), measure 

product capabilities, production process capability, and measure risks. 

3. Analyze to develop and design alternatives 

4. Design an improved alternative, best suited per analysis in the previous step 

5. Verify the design, set up pilot runs, implement the production process and hand it 

over to the process owner(s). 



DMAIC- Define, Measure, Analuze, Improve, Control 



DMADV (DFSS)- Define, Measure, Analyze, Design, Verify 



Quality management tools and methods 

Within the individual phases of a DMAIC or DMADV project, Six Sigma utilizes many 

established quality-management tools that are also used outside Six Sigma. The 

following table shows an overview of the main methods used. 

• 5 Whys 

• Statistical and fitting tools 

• Analysis of variance 

• General linear model 

• ANOVA Gauge R&R 

• Regression analysis 

• Correlation 

• Scatter diagram 

• Chi-squared test 

• Axiomatic design 

• Business Process 

Mapping/Check sheet 

• Cause & effects diagram 

(also known as fishbone or 

Ishikawa diagram) 

• Control chart/Control plan 

(also known as a swimlane 

map)/Run charts 

• Cost-benefit analysis 

• CTQ tree 

• Design of 

experiments/Stratification 

• Histograms/Pareto 

analysis/Pareto chart 

• Pick chart/Process 

capability/Rolled 

throughput yield 

• Quality Function 

Deployment (QFD) 

• Quantitative marketing 

research through use of 

Enterprise Feedback 

Management (EFM) 

systems 

• Root cause analysis 

• SIPOC analysis (Suppliers, 

Inputs, Process, Outputs, 

Customers) 

• COPIS analysis (Customer 

centric version/perspective 

of SIPOC) 

• Taguchi methods/Taguchi 

Loss Function 

• Value stream mapping 



Implementation roles 

One key innovation of Six Sigma involves the absolute "professionalizing" of quality management 

functions. Prior to Six Sigma, quality management in practice was largely relegated to the 

production floor and to statisticians in a separate quality department. Formal Six Sigma programs 

adopt a kind of elite ranking terminology (similar to some martial arts systems, like judo) to define 

a hierarchy (and special career path) that includes all business functions and levels. Six Sigma 

identifies several key roles for its successful implementation. 

1. Executive Leadership includes the CEO and other members of top management. They are responsible for 

setting up a vision for Six Sigma implementation. They also empower the other role holders with the 

freedom and resources to explore new ideas for breakthrough improvements by transcending departmental 

barriers and overcoming inherent resistance to change. 

2. Champions take responsibility for Six Sigma implementation across the organization in an integrated 

manner. The Executive Leadership draws them from upper management. Champions also act as mentors 

to Black Belts. 

3. Master Black Belts, identified by Champions, act as in-house coaches on Six Sigma. They devote 100% of 

their time to Six Sigma. They assist Champions and guide Black Belts and Green Belts. Apart from 

statistical tasks, they spend their time on ensuring consistent application of Six Sigma across various 

functions and departments. 

4. Black Belts operate under Master Black Belts to apply Six Sigma methodology to specific projects. They 

devote 100% of their valued time to Six Sigma. They primarily focus on Six Sigma project execution and 

special leadership with special tasks, whereas Champions and Master Black Belts focus on identifying 

projects/functions for Six Sigma. 

5. Green Belts are the employees who take up Six Sigma implementation along with their other job 

responsibilities, operating under the guidance of Black Belts. 



According to proponents ( 建议者 ) of the system, special training is needed for all of 

these practitioners to ensure that they follow the methodology and use the data-driven 

approach correctly. Some organizations use additional belt colours, such as Yellow 

Belts, for employees that have basic training in Six Sigma tools and generally 

participate in projects and "White belts" for those locally trained in the concepts but do 

not participate in the project team. "Orange belts" are also mentioned to be used for 

special cases. 

Defining roles and responsibilities 

for: Top management, Champion, 

Master Black Belt, Black Belt and 

Green Belt. 



Formal Six Sigma programs adopt a kind of elite ranking terminology 

(Key to define each roles and responsibilities) 



Certification 

General Electric and Motorola developed certification programs as part of their Six 

Sigma implementation, verifying individuals' command of the Six Sigma methods at 

the relevant skill level (Green Belt, Black Belt etc.). Following this approach, many 

organizations in the 1990s started offering Six Sigma certifications to their employees. 

Criteria for Green Belt and Black Belt certification vary; some companies simply 

require participation in a course and a Six Sigma project. There is no standard 

certification body, and different certification services are offered by various quality 

associations and other providers against a fee. The American Society for Quality for 

example requires Black Belt applicants to pass a written exam and to provide a signed 

affidavit stating that they have completed two projects or one project combined with 

three years' practical experience in the body of knowledge 



Etymology*of "six sigma process" 

The term "six sigma process" comes from the notion that if one has six standard 

deviations between the process mean and the nearest specification limit, as shown in 

the graph, practically items will fail to meet specifications. This is based on the 

calculation method employed in process capability studies. 

* Etymology- a study of origin of a word 



Graph of the normal distribution, which underlies the statistical assumptions of the Six Sigma 

model. In the centre at 0, the Greek letter µ (mu) marks the mean, with the horizontal axis 

showing distance from the mean, marked in standard deviations and given the letter σ (sigma). 

The greater the standard deviation, the greater is the spread of values encountered. For the 

green curve shown above, µ = 0 and σ = 1. The upper and lower specification limits (marked USL 

and LSL) are at a distance of 6σ from the mean. Because of the properties of the normal 

distribution, values lying that far away from the mean are extremely unlikely: approximately 1 in a 

billion too low, and the same too high. Even if the mean were to move right or left by 1.5σ at 

some point in the future (1.5 sigma shift, coloured red and blue), there is still a good safety 

cushion. This is why Six Sigma aims to have processes where the mean is at least 6σ away from 

the nearest specification limit. 



Graph of the normal distribution, which underlies the statistical assumptions of the Six Sigma 

model. In the centre at 0, the Greek letter µ (mu) marks the mean, with the horizontal axis 

showing distance from the mean, marked in standard deviations and given the letter σ (sigma). 

The greater the standard deviation, the greater is the spread of values encountered. For the 

green curve shown above, µ = 0 and σ = 1. The upper and lower specification limits (marked USL 

and LSL) are at a distance of 6σ from the mean. Because of the properties of the normal 

distribution, values lying that far away from the mean are extremely unlikely: approximately 1 in a 

billion too low, and the same too high. 



Even if the mean were to move right or left by 1.5σ at some point in the future (1.5 sigma shift, 

coloured red and blue), there is still a good safety cushion. This is why Six Sigma aims to have 

processes where the mean is at least 6σ away from the nearest specification limit. 



Even if the mean were to move right or left by 1.5σ at some point in the future (1.5 sigma shift, 

coloured red and blue), there is still a good safety cushion. This is why Six Sigma aims to have 

processes where the mean is at least 6σ away from the nearest specification limit. 



Exercise: 

Calculate area under the curves: 

2σ = 0.0.4772 

±2σ = 0.9545 

3σ = 0.4987 

±3σ = 0.9973 

http://onlinestatbook.com/2/calculators/normal_dist.html 


Exercise: 

Calculate area under the normal curves 

between LSL/USL at ±3σ, for, USL-ũ= 1.5σ 

Areas under the curve = 0.933 



Exercise: 

Calculate area under the normal curves 

between LSL/USL at ±3σ, for, USL-ũ= 1.5σ 

Areas under the curve = 0.933 


3 sigma process: Note due to the limitation of online statistical calculator 3σ process was used to 

illustrate the scenario 


Knowing: Process capability index 

Definitions 

• C p = Process Capability. A simple and straightforward indicator of process capability. 

C p = USL−LSL 

6σ 

(Estimates what the process is capable of producing if the process mean were to be centered between the specification limits. Assumes process output is approximately normally 

distributed.) 

• C p, lower = ũ−LSL 

3σ 

(Estimates process capability for specifications that consist of a lower limit only (for example, concentration). Assumes process output is approximately normally distributed.) 

• C p, upper = USL−ũ 

3σ 

(Estimates process capability for specifications that consist of a upper limit only (for example, strength). Assumes process output is approximately normally distributed.) 

• C pk = Process Capability Index. Adjustment of Cp for the effect of non-centered distribution. 

C pk = min[ USL−ũ 

, ũ−LSL 

3σ 

3σ 

] 

(Estimates what the process is capable of producing, considering that the process mean may not be centered between the specification limits. (If the process mean is not centered, Cp 

overestimates process capability.) Cpk

Interpreting C p , C pk 

―C pk , C pk = min[ USL−ũ 

, ũ−LSL 

] is an index (a simple number) which measures how close a process 

3σ 3σ 

is running to its specification limits, relative to the natural variability of the process. The larger the 

index, the less likely it is that any item will be outside the specs.‖ 

https://www.isixsigma.com/tools-templates/capability-indices-process-capability/process-capability-cp-cpk-and-process-performance-pp-ppk-what-difference/#defs 


Role of the 1.5 sigma shift 

Experience has shown that processes usually do not perform as well in the long term as they do in the short term. As a result, the 

number of sigmas that will fit between the process mean and the nearest specification limit may well drop over time, compared to 

an initial short-term study. To account for this real-life increase in process variation over time, an empirically based 1.5 sigma shift 

is introduced into the calculation. According to this idea, a process that fits 6 sigma between the process mean and the nearest 

specification limit in a short-term study will in the long term fit only 4.5 sigma – either because: 

• the process mean will move over time, or 

• because the long-term standard deviation of the process will be greater than that observed in the short term, 

• or both. 

Hence the widely accepted definition of a six sigma process is a process that 

produces 3.4 defective parts per million opportunities (DPMO). This is based on the 

fact that a process that is normally distributed will have 3.4 parts per million outside 

the limits, when the limits are six sigma from the "original" mean of zero and the 

process mean is then shifted by 1.5 sigma (and therefore, the six sigma limits are no 

longer symmetrical about the mean). 

3 sigma process 

The former six sigma distribution, when under the effect of the 1.5 sigma shift, is 

commonly referred to as a 4.5 sigma process. The failure rate of a six sigma 

distribution with the mean shifted 1.5 sigma is not equivalent to the failure rate of a 

4.5 sigma process with the mean centered on zero. This allows for the fact that 

special causes may result in a deterioration in process performance over time and is 

designed to prevent underestimation of the defect levels likely to be encountered in 

real-life operation. 

0 

The role of the sigma shift is mainly academic. The purpose of six sigma is to 

generate organizational performance improvement. It is up to the organization to 

determine, based on customer expectations, what the appropriate sigma level of a 

process is. The purpose of the sigma value is as a comparative figure to determine 

whether a process is improving, deteriorating, stagnant or non-competitive with others 

in the same business. Six sigma (3.4 DPMO) is not the goal of all processes. 




The failure rate of a six sigma distribution with the mean shifted 1.5 sigma is not equivalent to the 

failure rate of a 4.5 sigma process with the mean centered on zero. This allows for the fact that 

special causes may result in a deterioration in process performance over time and is designed to 

prevent underestimation of the defect levels likely to be encountered in real-life operation. 

3 sigma process 3 sigma process 

mean shifted 

1.5 sigma 



A control chart depicting a 

process that experienced a 

1.5 sigma drift in the 

process mean toward the 

upper specification limit 

starting at midnight. Control 

charts are used to maintain 

6 sigma quality by signaling 

when quality professionals 

should investigate a process 

to find and eliminate 

special-cause variation. 

A control chart depicting a process that experienced a 

1.5 sigma drift in the process mean toward the upper 

specification limit starting at midnight. Control charts are 

used to maintain 6 sigma quality by signaling when 

quality professionals should investigate a process to find 

and eliminate special-cause variation. 



Sigma levels 

The table below gives long-term DPMO values corresponding to various short-term 

sigma levels. 

These figures assume that the process mean will shift by 1.5 sigma toward the side 

with the critical specification limit. In other words, they assume that after the initial 

study determining the short-term sigma level, the long-term C pk , C pk = min[ USL−ũ 

3σ 3σ 

or C pk = min[ USL−ũ 

, ũ−LSL 

] ? value will turn out to be 0.5 less than the short-term C 

6σ 6σ 

pk 

value. 

, ũ−LSL 

] 

So, now for example, the DPMO figure given for 1 sigma assumes that the long-term 

process mean will be 0.5 sigma beyond the specification limit 

• (Cpk = –0.17) [C pk = σ -0.5], rather than 1 sigma within it, 

3σ 

• (Cpk = 0.33) [C pk = σ ] as it was in the short-term study. 

3σ 

Sigma levels 

The table below gives long-term DPMO values corresponding to various short-term sigma levels. 

These figures assume that the process mean will shift by 1.5 sigma toward the side with the critical 

specification limit. In other words, they assume that after the initial study determining the short-term sigma 

level, the long-term C pk, C pk= min[ USL−ũ , ũ−LSL ] or C 

3σ 3σ pk= min[ USL−ũ , ũ−LSL ] ? value will turn out to be 0.5 less 

6σ 6σ 

than the short-term C pk value. 

So, now for example, the DPMO figure given for 1 sigma assumes that the long-term process mean will be 0.5 

sigma beyond the specification limit 

• (Cpk = –0.17) [C σ pk= -0.5], rather than 1 sigma within it, 

3σ 

• (Cpk = 0.33) [C σ pk= ] as it was in the short-term study. 

3σ 

Note that the defect percentages indicate only defects exceeding the specification limit to which the process 

mean is nearest. Defects beyond the far specification limit are not included in the percentages. The formula 

used here to calculate the DPMO is thus: 

DPMO = 1000000 x (1-Φ(level-1.5)) 

Note that the defect percentages indicate only defects exceeding the specification limit 

to which the process mean is nearest. Defects beyond the far specification limit are 

not included in the percentages. The formula used here to calculate the DPMO is thus: 

DPMO = 1000000 x (1-Φ(level-1.5)) 



Six Sigma (6σ) is a set of techniques and tools for process improvement. It was 

introduced by engineer 

Sigma 

level 

Sigma (with 

1.5σ shift) 

DPMO 

Percent 

defective 

Percentage 

yield 

Short-term 

C pk 

Long-term 

C pk 

1 −0.5 691,462 69% 31% 0.33 −0.17 

2 0.5 308,538 31% 69% 0.67 0.17 

3 1.5 66,807 6.7% 93.3% 1.00 0.5 

4 2.5 6,210 0.62% 99.38% 1.33 0.83 

5 3.5 233 0.023% 99.977% 1.67 1.17 

6 4.5 3.4 0.00034% 99.99966% 2.00 1.5 

7 5.5 0.019 0.0000019% 99.9999981% 2.33 1.83 



Application 

Six Sigma mostly finds application in large organizations. An important factor in the 

spread of Six Sigma was GE's 1998 announcement of $350 million in savings thanks 

to Six Sigma, a figure that later grew to more than $1 billion. According to industry 

consultants like Thomas Pyzdek and John Kullmann, companies with fewer than 500 

employees are less suited to Six Sigma implementation or need to adapt the standard 

approach to make it work for them. Six Sigma however contains a large number of 

tools and techniques that work well in small to mid-size organizations. The fact that an 

organization is not big enough to be able to afford Black Belts does not diminish its 

abilities to make improvements using this set of tools and techniques. The 

infrastructure described as necessary to support Six Sigma is a result of the size of 

the organization rather than a requirement of Six Sigma itself. 

Although the scope of Six Sigma differs depending on where it is implemented, it can 

successfully deliver its benefits to different applications. 



Recommended values 

Process capability indices are constructed to express more desirable capability with increasingly higher values. 

Values near or below zero indicate processes operating off target (ũ far from T) or with high variation. 

(The target process mean is T, the estimated mean of the process is ũ and the estimated variability of the process (expressed as a standard deviation) σ. ) 

Fixing values for minimum "acceptable" process capability targets is a matter of personal opinion, and what 

consensus exists varies by industry, facility, and the process under consideration. For example, in the 

automotive industry, the Automotive Industry Action Group sets forth guidelines in the Production Part Approval 

Process, 4th edition for recommended Cpk minimum values C pk = min[ USL−ũ 

, ũ−LSL 

] for critical-to-quality CTQ 

3σ 3σ 

process characteristics. However, these criteria are debatable and several processes may not be evaluated for 

capability just because they have not properly been assessed. 

Since the process capability is a function of the specification, the Process Capability Index is only as good as 

the specification. For instance, if the specification came from an engineering guideline without considering the 

function and criticality of the part, a discussion around process capability is useless, and would have more 

benefits if focused on what are the real risks of having a part borderline out of specification. The loss function of 

Taguchi better illustrates this concept. 

At least one academic expert recommends the following: 

(cont. ………) 


At least one academic expert recommends the following: 

Situation 

Recommended minimum 

process capability for twosided 

specifications 


, ũ−LSL 

] 

3σ 3σ 

Recommended minimum 

process capability for onesided 

specification 

Existing process 1.33 1.25 

New process 1.50 1.45 

Safety or critical parameter 

for existing process 

Safety or critical parameter 

for new process 

1.50 1.45 

1.67 1.60 

Six Sigma quality process 2.00 2.00 

However where a process produces a characteristic with a capability index greater than 2.5, the unnecessary 

precision may be expensive. 


Relationship to measures of process fallout 

The mapping from process capability indices, such as Cpk, to measures of process fallout is straightforward. 

Process fallout quantifies how many defects a process produces and is measured by DPMO or PPM. Process 

yield is the complement of process fallout and is approximately equal to the area under the probability density 

function, if the process output is approximately normally distributed. 

Φ(σ) = 

1 

2π 

σ 

e −t2 /2 

−σ 

dt 

In the short term ("short sigma"), the relationships are: 

C pk 

Sigma level (σ) 

Area under the 

probability 

density curve Φ(σ) 

Process yield 

Process fallout(in 

terms of 

DPMO/PPM) 

0.33 1 0.6826894921 68.27% 317311 

0.67 2 0.9544997361 95.45% 45500 

1.00 3 0.9973002039 99.73% 2700 

1.33 4 0.9999366575 99.99% 63 

1.67 5 0.9999994267 99.9999% 1 

2.00 6 0.9999999980 99.9999998% 0.002 


C pk 

Sigma level (σ) 


probability 


Process yield 


terms of 

DPMO/PPM) 

0.33 1 0.6826894921 68.27% 317311 

0.67 2 0.9544997361 95.45% 45500 

1.00 3 0.9973002039 99.73% 2700 

1.33 4 0.9999366575 99.99% 63 

1.67 5 0.9999994267 99.9999% 1 

2.00 6 0.9999999980 99.9999998% 0.002 

4 sigma σ level 


C pk 

Adjusted Sigma 

level (σ) 


probability 


Process yield 


terms of 

DPMO/PPM) 

0.33 1 0.3085375387 30.85% 691462 

0.67 2 0.6914624613 69.15% 308538 

1.00 3 0.9331927987 93.32% 66807 

1.33 4 0.9937903347 99.38% 6209 

1.67 5 0.9997673709 99.9767% 232.6 

2.00 6 0.9999966023 99.99966% 3.40 

4 sigma σ level, 

with 1.5σ shift 

In the long term, processes can shift or drift significantly (most control 

charts are only sensitive to changes of 1.5σ or greater in process 

output). If there was a 1.5 sigma shift 1.5σ off of target in the processes 

(see Six Sigma), it would then produce the above relationships. 

Because processes can shift or drift significantly long term, each 

process would have a unique sigma shift value, thus process capability 

indices are less applicable as they require statistical control. 


Example 

Consider a quality characteristic with target of 100.00 μm and upper and lower specification limits of (±4μm) 

106.00μm and 94.00μm respectively. If, after carefully monitoring the process for a while, it appears that the 

process is in control and producing output predictably (as depicted in the run chart below), we can meaningfully 

estimate its mean and standard deviation. 

If ũ and σ are 

estimated to be 

98.94 μm and 

1.03 μm, 

respectively, 

then 


If ũ and σ are estimated to be 98.94 μm and 1.03 μm, respectively, then 

C p = USL−LSL 

6σ 

= 106.00−94.00 

6 x 1.03 

= 1.94 

Index 

C pk = min[ USL−ũ , ũ−LSL ] = min[ 106.00−98.94 , 98.94−94.00 

3σ 3σ 

] = 1.6 

3 x 1.03 3 x 1.03 

C 

C pm = 

p 

√[1+( ũ−T 

σ )2 ] = 1.94 

√[1+( 98.94−100.00 

1.03 )2 ] = 1.35 

C pkm = 

C pk 

√[1+( ũ−T 

σ )2 ] = 1.6 

√[1+( 98.94−100.00 

1.03 )2 ] = 1.11 

The fact that the process is running off-center (about 1σ below its target) is reflected in 

the markedly different values for C p , C pk , C pm , and C pkm . 


3σ , ũ−LSL 

3σ 

C pkm = 

] = min[ 106.00−98.94 

, 98.94−94.00 

3 x 1.03 3 x 1.03 

C pk 

√[1+( ũ−T 

σ )2 ] = 1.6 

√[1+( 98.94−100.00 

1.03 )2 ] = 1.11 

] = 1.6 


Charlie Chong/ Fion Fion Zhang Zhang

Good Luck! 


Good Luck! 



CERTIFIED 

QUALITY AUDITOR 

Quality excellence to enhance your career 

and boost your organization’s bottom line 

asq.org/cert

Certification from ASQ is considered a mark of quality 

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. 

Examination 

Each certification candidate 

is required to pass a written 

examination that consists of 

multiple-choice questions that 

measure comprehension of 

the body of knowledge. 

2 Certified Quality Auditor

INFORMATION 

Certified Quality Auditor 

The Certified Quality Auditor (CQA) 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. 


Computer Delivered – The CQA 

examination is a one-part, 

165-multiple-choice-question, 

five-and-a-half-hour exam and 

is offered in English only. One 

hundred and fifty questions are 

scored and 15 are unscored. 

Paper and Pencil – The CQA 

examination is a one-part, 

150-multiple-choice-question, 

five-hour exam and is offered 

in English only. 

For comprehensive exam information on Quality Auditor certification, 

visit asq.org/cert. 


3

Education and/or Experience 

You must have eight years of on-thejob 

experience in one or more of the 

areas of the Certified Quality Auditor 

Body of Knowledge. A minimum of 

three years of this experience must 

be in a decision-making position. 

“Decision-making” is defined as 

the authority to define, execute, or 

control projects/processes and to be 

responsible for the outcome. This may 

or may not include management or 

supervisory positions. 

If you were ever certified by ASQ 

as a Quality Engineer, Reliability 

Engineer, Software Quality Engineer, 

Supplier Quality Professional, or 

Manager of Quality/Organizational 

Excellence, experience used to qualify 

for certification in these fields applies 

to certification as a Quality Auditor. 

If you have completed a degree* 

from a college, university, or technical 

school with accreditation accepted 

by ASQ, part of the eight-year 

experience requirement will be 

waived as follows (only one of these 

waivers may be claimed): 

• Diploma from a technical 

or trade school–one year 

will be waived. 

• Associate’s degree– 

two years waived. 

• Bachelor’s degree– 

four years waived. 

• Master’s or doctorate– 

five years waived. 

*Degrees or diplomas from 

educational institutions outside 

the United States must be 

equivalent to degrees from 

U.S. educational institutions. 


Minimum Expectations 

• Must possess the knowledge 

and ability to effectively conduct 

different types of audits, as 

appropriate for the method, 

relationship, or purpose of the 

audit, and must recognize the 

effect those audit types will have 

on the audit scope and outcomes. 

• Must be able to audit in a 

professional, ethical, and 

objective manner using 

and interpreting applicable 

standards or requirements, with 

an awareness of potential legal 

and financial ramifications. 

• Must be able to effectively plan, 

communicate, and execute an 

audit within its defined scope, 

including scheduling resources, 

conducting necessary meetings 

in performance of the audit, and 

using appropriate techniques 

to gather, identify, and classify 

objective evidence. 

• Must be able to verify, document, 

and communicate audit results, 

develop an audit report, and 

evaluate the effectiveness of 

corrective action and follow up. 

• Must possess interpersonal skills to 

resolve conflict, conduct interviews, 

and make presentations while 

participating as an audit team 

member, and must possess knowledge 

of the unique responsibilities of the 

lead auditor and team facilitator. 

• Must understand the value that 

quality auditing adds to the 

organization and how auditing 

can reveal interrelationships 

between business processes that 

can influence outcomes and 

organizational risk. 

• Must be able to select appropriate 

quality and auditing tools and 

techniques, and use them effectively 

in a variety of practical applications. 


5

BODY OF KNOWLEDGE 

Certified Quality Auditor (CQA) 

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 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. 

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, each case 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 accompanying documents, memos, etc. 

I. Auditing Fundamentals 


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 auditorauditee 

relationship: first-party, 

second-party, third-party, internal 

and external. (Analyze) 

3. Purpose 

Define, differentiate, and analyze 

various audit types by purpose: 

verification of corrective action 

(follow-up) audits, risk audits, 

accreditation (registration) and 

compliance audits, surveillance 

and for-cause audits. (Analyze) 


4. Common elements 

with other audits 

Identify elements such as 

audit purpose, data gathering 

techniques, tracing, etc., that 

quality audits have in common with 

environmental, safety, financial, 

and other types of audits. (Apply) 

B. Purpose and Scope of Audits 

1. Elements of purpose and scope 

Describe and determine how the 

purpose of an audit can affect its 

scope. (Apply) 

2. Benefits of audits 

Analyze how audits can be 

used to provide an independent 

assessment of system effectiveness 

and efficiency, risks to the bottom 

line, and other organizational 

measures. (Analyze) 

C. Criteria to Audit Against 

Define and distinguish between 

various audit criteria, such as external 

(industry, national, international) 

standards, contracts, specifications, 

quality awards, policies, internal quality 

management system (QMS), sustainability, 

social responsibility, etc. (Analyze) 

D. 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) 

E. Professional Conduct and 

Consequences for Auditors 

1. Professional conduct 

and responsibilities 

Define and apply the ASQ 

Code of Conduct, concepts 

of due diligence and due care 

with respect to confidentiality 

and conflict of interest, and 

appropriate actions in response 

to the discovery of illegal activities 

or unsafe conditions. (Apply) 

2. Legal consequences 

Identify potential legal and financial 

ramifications of improper auditor 

actions (carelessness, negligence, 

etc.) in various situations, and 

anticipate the effect that certain 

audit results can have on an 

auditee’s liability. (Apply) 

3. Audit credibility 

Identify and apply various factors 

that influence audit credibility, such 

as auditor independence, objectivity, 

and qualifications. (Apply)

II. Audit Process 


A. Audit Preparation and Planning 

1. Elements of the 

audit planning process 

Evaluate and implement the basic 

steps in audit preparation and 

planning: verify audit authority; 

determine the purpose, scope, 

and type of audit; identify the 

requirements to audit against and 

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 

or technical expertise. (Analyze) 

3. Audit-related documentation 

Identify the sources of pre-audit 

information and examine auditrelated 

documentation, such as 

audit criteria references and results 

from prior audits. (Analyze) 

4. Logistics 

Identify and organize audit-related 

logistics, including travel, safety 

and security considerations, the 

need for escorts, translators, 

confidentiality agreements, clear 

right of access, etc. (Analyze) 

5. Auditing tools and working papers 

Identify the sampling plan or 

method and procedural guidelines 

to be used for the specific audit. 

Select and prepare working 

papers (checklists, log sheets, etc.) 

to document the audit. (Create) 

6. Auditing strategies 

Identify and use various tactical 

methods for conducting an audit, 

such as forward and backward 

tracing, discovery, etc. (Apply) 

B. Audit Performance 

1. On-site audit management 

Interpret situations throughout 

the performance of the audit 

to determine whether time is 

being managed well and when 

changes need to be made, such 

as revising planned audit team 

activities, reallocating resources, 

adjusting the audit plan, etc., and 

communicate with the auditee 

about any changes or other events 

related to the audit. (Analyze) 

2. Opening meeting 

Manage the opening meeting of 

an audit by identifying the audit’s 

purpose and scope, describing any 

scoring or rating criteria that will be 

used during the audit, creating a 

record of the attendees, reviewing 

the audit schedule, and answering 

questions as needed. (Apply) 


3. Audit data collection and analysis 

Use various data collection methods 

to capture information: conducting 

interviews, observing work activities, 

taking physical measurements, 

examining documents, etc. 

Evaluate the results to determine 

their importance for providing 

audit evidence. (Evaluate) 

4. Establishment of objective evidence 

Identify and differentiate 

characteristics of objective 

evidence, such as observed, 

measured, confirmed or 

corroborated, and documented. 

(Analyze) 


Classify evidence in terms of 

significance, severity, frequency, and 

level of risk. Evaluate the evidence 

for its potential impact on product, 

process, system, cost of quality, etc., 

and determine whether additional 

investigation is required to meet the 

scope of the audit. (Evaluate) 

6. Exit and closing meetings 

Formally manage these meetings: 

reiterate the audit’s purpose, scope, 

and scoring or rating criteria, and 

create a record of the attendees. 

Present the audit results and obtain 

concurrence on evidence that could 

lead to an adverse conclusion. 

Discuss the next steps in the 

process (follow-up audit, additional 

evidence-gathering, etc.), and 

clarify who is responsible for 

performing those steps. (Apply) 

C. Audit Reporting 

1. Report development and content 

Group observations into actionable 

findings of significance, and identify 

the severity and risk to the client and 

the auditee. Use appropriate steps to 

generate the audit report: organize 

and summarize details, review and 

finalize results, emphasize critical 

issues, establish unique identifiers or 

codes for critical issues to facilitate 

tracking and monitoring, etc. (Create) 

2. Effective reports 

Develop and evaluate components 

of effective audit reports, 

including background information, 

executive summary, prioritized 

results (observations, findings, 

opportunities for improvement, 

etc.). Use graphical tools or other 

means of emphasizing conclusions, 

and develop a timeline for auditee 

response and/or corrections. (Create) 

3. Final audit report steps 

Obtain necessary approvals for 

the audit report and distribute 

it according to established 

procedures. Identify the contents 

of the audit file and retain the file 

in accordance with established 

policies and procedures. (Apply) 


1. Elements of the 

corrective action process 

Identify and evaluate various 

elements: assignment of responsibility 

for problem identification; the 

performance of root cause analysis 

and recurrence prevention. (Evaluate) 


Evaluate the acceptability of 

proposed corrective actions 

and schedule for completion. 

Identify and apply strategies 

for negotiating changes to 


3. Verification of corrective action 

Determine the adequacy of 

corrective actions taken by 

verifying and evaluating new or 

updated procedures, observing 

revised processes, conducting 

follow-up audits, etc. (Evaluate) 

4. Follow-up on 

ineffective corrective action 

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 

request, and re-auditing. (Create) 

5. Audit closure 

Identify and apply various elements 

of, and criteria for, audit closure 

(Apply) 


9

III. Auditor Competencies 


A. Auditor Characteristics 

Identify characteristics that make 

auditors effective: interpersonal skills, 

problem-solving skills, attention to detail, 

cultural awareness and sensitivity, ability 

to work independently as well as in a 

group or on a team, etc. (Apply) 

B. On-Site Audit 

Resource Management 

Identify and apply techniques for 

managing audit teams, scheduling 

audit meetings and activities, making 

logistical adjustments, etc. (Apply) 

C. Conflict Resolution 

Identify typical conflict situations (mild 

to vehement disagreements, auditee 

delaying tactics, interruptions, etc.) 

and determine appropriate techniques 

for resolving them: clarifying the 

question or request, reiterating ground 

rules, intervention by another authority, 

cool-down periods, etc. (Analyze) 

D. Communication and 

Presentation Techniques 

Select and use written, oral, and 

electronic communication techniques 

for presentations made during audits 

for opening, closing, ad-hoc meetings, 

etc. Use technical and managerial 

reporting techniques, including graphs, 

charts, diagrams, multimedia aids, etc., 

in various situations: domestic, global, 

in-person, virtual (e-audits), multiple sites 

simultaneously, etc. (Evaluate) 

E. Interviewing Techniques 

Select and use appropriate interviewing 

techniques and methodologies. (Apply) 

1. Use open-ended 

or closed question types 

2. Use active listening, 

paraphrasing, empathy, etc. 

3. Recognize and respond to 

non-verbal cues: body language, 

the significance of pauses and 

their length, etc. 

4. Determine when and how 

to prompt a response: when 

supervisors are present, when 

interviewing a group of workers, 

when using a translator, etc. 

F. Team Dynamics 

Define, describe, and apply various 

aspects of team dynamics. (Apply) 

1. Team-building: clarifying roles 

and responsibilities for participants 

and leaders to ensure equitable 

treatment for all team members, 

providing clear direction for 

deliverables, identifying necessary 

resources and ensuring their 

availability, etc. 

2. Team facilitation: providing 

coaching and guidance, defusing 

clashes between members, eliciting 

input from all, cultivating objectivity, 

overseeing progress, encouraging 

diverse views and consensus, etc. 

3. Stages of team development: 

forming, storming, norming, 

and performing 

IV. Audit Program Management 

and Business Applications 


A. Audit Program Management 

1. Senior management support 

Identify and explain management’s 

role in creating and supporting the 

audit function. (Understand) 

2. Staffing and resource management 

Develop staffing budgets that 

provide adequate time for auditors 

to plan, conduct, and respond to 

scheduled audits, including time 

and resources that internal auditees 

need to participate. Identify any 

special equipment resources 

needed and ensure their adequacy 

and availability. Consider the use 

of and requirements for special 

audits (outsourced or contracted 

audits, virtual or e-audits, shared 

audits, etc.) as driven by costs, 

geography, etc. Evaluate results 

and adjust resources as needed 

on a regular basis. (Evaluate) 


3. Auditor training and development 

Identify minimum audit knowledge 

and skill requirements for auditors. 

Provide training on various aspects 

of the audit process such as relevant 

standards, regulatory influences, 

facilitation techniques, etc. Provide 

training on diversity and cultural 

influences (ethnicity, gender, age, 

organized labor, etc.) and how such 

factors can affect communications 

and other interactions among audit 

participants. (Create) 

4. Audit program evaluation 

Select the correct metric to evaluate 

the audit program, including tracking 

its effect on the bottom line and the 

risk to the organization. (Evaluate) 

5. Internal audit 

program management 

Develop procedures, policies, 

and schedules to support the 

organization’s objectives. Review 

internal audit results to identify 

systemic trends. (Create) 

6. External audit 

program management 

Develop procedures, policies, and 

schedules in support of the supplier 

management program, including 

supplier qualification surveys, 

surveillance audits, supplier 

improvement, etc. (Create) 

7. Best practices 

Analyze audit results to standardize 

best practices and lessons learned 

across the organization. (Analyze) 

8. Organizational risk management 

Analyze how the audit program 

affects an organization’s risk level 

and how the risk level can influence 

the number and frequency of audits 

performed. (Analyze) [Note: Tools 

and techniques for managing risk 

are covered in BoK area V.H.] 


Examine and summarize audit 

program results, trends, and 

changes in risk to provide input to 

management reviews. (Evaluate) 

B. Business and Financial Impact 

1. Auditing as a management tool 

Use audit results to monitor 

continuous improvement, supplier 

management, customer satisfaction, 

etc., and to provide management 

with an independent view of the 

strategic plan’s effectiveness and 

how well it is deployed. (Analyze) 


2. Interrelationships of 

business processes 

Identify how business units 

(receiving, product and process 

design, production, engineering, 

sales, marketing, field support, etc.) 

and multiple sites are interrelated, 

and recognize how their unique 

metrics and goals can be in conflict 

with one another. (Understand) 

3. Cost of quality (COQ) principles 

Identify, describe, and analyze 

the audit program’s effect on the 

four COQ categories: prevention, 

appraisal, internal failure, external 

failure. (Analyze) 


Recognize new roles and 

responsibilities for auditors, 

such as being process consultants 

and facilitators who can help 

resolve internal issues, improve 

processes, and add value to 

the organization. (Understand) 

V. Quality Tools and Techniques 


A. Basic Quality and 

Problem-solving Tools 

Identify, interpret, and analyze: 

1) Pareto charts, 2) cause and effect 

diagrams, 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, valuestream 

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 use standard 

deviation and frequency distribution. 

(Apply) 

3. Qualitative and 

quantitative analysis 

Describe qualitative data in terms 

of the nature, type, or attribute 

of an observation or condition. 

Describe how quantitative data 

is used to detect patterns or trends 

and how such analysis can indicate 

whether a problem is systemic or 

isolated. (Understand) 

D. Process Variation 

1. Common and special cause 

Identify and distinguish between 

common and special cause 

variation. (Apply) 

2. Process performance metrics 

Describe elements of Cp and 

Cpk process capability studies 

(process centering and stability, 

specification limits, underlying 

distribution, etc.), and how these 

studies and other performance 

metrics are used in 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 cluster 

sampling, and identify the uses 

and potential problems of nonstatistical 

sampling. (Understand) 

3. Sampling terms 

Define related terms including 

consumer and producer risk, 

confidence level, etc. (Understand) 


13

F. Change Control and 

Configuration Management 

Identify the principles of change 

control and configuration management 

systems as used in various applications: 

hardware, software (including security 

considerations), product, process, and 

service. (Understand) 

G. Verification and Validation 

Define, distinguish between, and 

use various methods of verifying and 

validating processes. (Analyze) 

H. Risk Management Tools 

Identify methods for managing risk, 

including risk avoidance, mitigation, 

tradeoffs, etc., and describe tools 

and methods for estimating and 

controlling risk: failure mode and 

effects analysis (FMEA), hazard 

analysis and critical control points 

(HACCP), critical to quality (CTQ) 

analysis, health hazard analysis 

(HHA), etc. (Understand) [Note: 

Organizational risk management 

is covered in BoK area IV.A.8.] 


LEVELS OF COGNITION 

Based on Bloom’s Taxonomy—Revised (2001) 

In addition to content specifics, the subtext for each topic in this BoK also 

indicates the intended complexity level of the test questions for that topic. 

These levels are based on “Levels of Cognition” (from Bloom’s Taxonomy— 

Revised, 2001) and are presented below in rank order, from least complex 

to most complex. 

REMEMBER | Recall or recognize terms, 

definitions, facts, ideas, materials, patterns, 

sequences, methods, principles, etc. 

UNDERSTAND | Read and understand 

descriptions, communications, reports, 

tables, diagrams, directions, regulations, etc. 

APPLY | Know when and how to use 

ideas, procedures, methods, formulas, 

principles, theories, etc. 

ANALYZE | Break down information into 

its constituent parts and recognize their 

relationship to one another and how they 

are organized; identify sublevel factors or 

salient data from a complex scenario. 

EVALUATE | Make judgments about the 

value of proposed ideas, solutions, etc., 

by comparing the proposal to specific 

criteria or standards. 

CREATE | Put parts or elements together 

in such a way as to reveal a pattern or 

structure not clearly there before; identify 

which data or information from a complex 

set is appropriate to examine further or 

from which supported conclusions can 

be drawn. 

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Item B0020

Understanding ASQ-CQA -Knowing The Ways

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