Certified Quality Auditor - Process Exam
CQACertified Quality AuditorExam Summary – Syllabus – Questions
CQA Sample Questions and Exam SummaryTable of ContentsIntroduction to CQA Exam on Certified Quality Auditor . 2ASQ CQA Certification Details: . 2ASQ CQA Exam Syllabus: . 3CQA Sample Questions: . 10Answers to CQA Exam Questions:. 12CQA - Certified Quality Auditorpg. 1
CQA Sample Questions and Exam SummaryIntroduction to CQA Exam on Certified QualityAuditorTo achieve the professional designation of Certified Quality Auditor from the ASQ,candidates must clear the CQA Exam with the minimum cut-off score. For those who wishto pass the ASQ CQA certification exam with good percentage, please take a look at thefollowing reference document detailing what should be included in ASQ Quality AuditorExam preparation.The ASQ CQA Exam Summary, Body of Knowledge (BOK), Sample Question Bank andPractice Exam provide the basis for the real ASQ Certified Quality Auditor exam. We havedesigned these resources to help you get ready to take Certified Quality Auditor (CQA)exam. If you have made the decision to become a certified professional, we suggest youtake authorized training and prepare with our online premium ASQ Quality AuditorPractice Exam to achieve the best result.ASQ CQA Certification Details:Exam NameCertified Quality AuditorExam CodeCQAExam FeeUSD 498RetakesUSD 298ASQ MemberUSD 348ApplicationUSD 70Exam Duration330 MinutesNumber ofQuestions165Passing Score550/750FormatMultiple ChoiceBooksCertified Quality Auditor Certification PreparationThe ASQ Auditing Handbook, Fourth EditionSchedule ExamBook Your ExamSample Questions ASQ CQA Exam Sample Questions and AnswersPractice ExamASQ Certified Quality Auditor Practice TestCQA - Certified Quality Auditorpg. 2
CQA Sample Questions and Exam SummaryASQ CQA Exam Syllabus:I. Auditing Fundamentals (27 Questions)A. Types ofquality audits1. Method- Define, differentiate, and analyze various audit types bymethod: product, process, desk, department, function, element,system, management. (Analyze)2. Auditor-auditee relationship- Define, differentiate, and analyze various audit typesby auditorauditee relationship: first-party, second-party, thirdparty, internal and external. (Analyze)3. Purpose- Define, differentiate, and analyze various audit types bypurpose: verification of corrective action (follow-up) audits, riskaudits, accreditation (registration) and compliance audits,surveillance and for-cause audits. (Analyze)4. Common elements with other audits- Identify elements such as audit purpose, data gatheringtechniques, tracing, etc., that quality audits have in commonwith environmental, safety, financial, and other types of audits.(Apply)B. Purpose andscope of audits1. Elements of purpose and scope- Describe and determine how the purpose of an audit can affectits scope. (Apply)2. Benefits of audits- Analyze how audits can be used to provide an independentassessment of system effectiveness and efficiency, risks to thebottom line, and other organizational measures. (Analyze)C. Criteria toaudit against- Define and distinguish between various audit criteria, such asexternal (industry, national, international) standards, contracts,specifications, quality awards, policies, internal qualitymanagement system (QMS), sustainability, social responsibility,etc. (Analyze)D. Roles and- Define and describe the functions and responsibilities of variousresponsibilities of audit participants, including audit team members, lead auditor,audit participants client, auditee, etc. (Apply)1. Professional conduct and responsibilitiesE. Professional- Define and apply the ASQ Code of Conduct, concepts of dueconduct anddiligence and due care with respect to confidentiality and conflictconsequences for of interest, and appropriate actions in response to the discoveryauditorsof illegal activities or unsafe conditions. (Apply)2. Legal consequencesCQA - Certified Quality Auditorpg. 3
CQA Sample Questions and Exam Summary- Identify potential legal and financial ramifications of improperauditor actions (carelessness, negligence, etc.) in varioussituations, and anticipate the effect that certain audit results canhave on an auditee’s liability. (Apply)3. Audit credibility- Identify and apply various factors that influence auditcredibility, such as auditor independence, objectivity, andqualifications. (Apply)II. Audit Process (42 Questions)A. Auditpreparation andplanning1. Elements of the audit planning process- Evaluate and implement the basic steps in audit preparationand planning: verify audit authority; determine the purpose,scope, and type of audit; identify the requirements to auditagainst and the resources necessary, including the size andnumber of audit teams. (Evaluate)2. Auditor selection- Identify and examine various auditor selection criteria, such aseducation, experience, industry background, and subject matteror technical expertise. (Analyze)3. Audit-related documentation- Identify the sources of pre-audit information andexamine auditrelated documentation, such as audit criteriareferences 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 guidelinesto be used for the specific audit. Select and prepare workingpapers (checklists, log sheets, etc.) to document the audit.(Create)6. Auditing strategies- Identify and use various tactical methods for conducting anaudit, such as forward and backward tracing, discovery, etc.(Apply)B. Auditperformance1. On-site audit management- Interpret situations throughout the performance of the audit todetermine whether time is being managed well and whenchanges need to be made, such as revising planned audit teamactivities, reallocating resources, adjusting the audit plan, etc.,and communicate with the auditee about any changes or otherevents related to the audit. (Analyze)CQA - Certified Quality Auditorpg. 4
CQA Sample Questions and Exam Summary2. Opening meeting- Manage the opening meeting of an audit by identifying theaudit’s purpose and scope, describing any scoring or ratingcriteria that will be used during the audit, creating a record ofthe attendees, reviewing the audit schedule, and answeringquestions as needed. (Apply)3. Audit data collection and analysis- Use various data collection methods to capture information:conducting interviews, observing work activities, taking physicalmeasurements, examining documents, etc. Evaluate the resultsto 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, anddocumented. (Analyze)5. Organization of objective evidence- Classify evidence in terms of significance, severity, frequency,and level of risk. Evaluate the evidence for its potential impacton product, process, system, cost of quality, etc., and determinewhether additional investigation is required to meet the scope ofthe audit. (Evaluate)6. Exit and closing meetings- Formally manage these meetings: reiterate the audit’spurpose, scope, and scoring or rating criteria, and create arecord of the attendees. Present the audit results and obtainconcurrence on evidence that could lead to an adverseconclusion. Discuss the next steps in the process (follow-upaudit, additional evidence-gathering, etc.), and clarify who isresponsible for performing those steps. (Apply)1. Report development and content- Group observations into actionable findings of significance, andidentify the severity and risk to the client and the auditee. Useappropriate steps to generate the audit report: organize andsummarize details, review and finalize results, emphasize criticalissues, establish unique identifiers or codes for critical issues tofacilitate tracking and monitoring, etc. (Create)C. Audit reporting 2. Effective reports- Develop and evaluate components of effective audit reports,including background information, executive summary,prioritized results (observations, findings, opportunities forimprovement, etc.). Use graphical tools or other means ofemphasizing conclusions, and develop a timeline for auditeeresponse and/or corrections. (Create)3. Final audit report steps- Obtain necessary approvals for the audit report and distributeCQA - Certified Quality Auditorpg. 5
CQA Sample Questions and Exam Summaryit according to established procedures. Identify the contents ofthe audit file and retain the file in accordance with establishedpolicies and procedures. (ApplyD. Audit followup and closure1. Elements of the corrective action process- Identify and evaluate various elements: assignment ofresponsibility for problem identification; the performance of rootcause analysis and recurrence prevention. (Evaluate)2. Review of corrective action plan- Evaluate the acceptability of proposed corrective actions andschedule for completion. Identify and apply strategies fornegotiating changes to unacceptable plans. (Evaluate)3. Verification of corrective action- Determine the adequacy of corrective actions taken byverifying and evaluating new or updated procedures, observingrevised processes, conducting follow-up audits, etc. (Evaluate)4. Follow-up on ineffective corrective action- Develop strategies to use when corrective actions are notimplemented or are not effective, such as communicating to thenext level of management, reissuing the corrective actionrequest, and re-auditing. (Create)5. Audit closure- Identify and apply various elements of, and criteria for, auditclosure. (Apply)III. Auditor Competencies (25 Questions)A. Auditorcharacteristics- Identify characteristics that make auditors effective:interpersonal skills, problem-solving skills, attention to detail,cultural awareness and sensitivity, ability to work independentlyas well as in a group or on a team, etc. (Apply)B. On-site auditresourcemanagement- Identify and apply techniques for managing audit teams,scheduling audit meetings and activities, making logisticaladjustments, etc. (Apply)C. Conflictresolution- Identify typical conflict situations (mild to vehementdisagreements, auditee delaying tactics, interruptions, etc.) anddetermine appropriate techniques for resolving them: clarifyingthe question or request, reiterating ground rules, intervention byanother authority, cool-down periods, etc. (Analyze)D.Communicationand presentationtechniques- Select and use written, oral, and electronic communicationtechniques for presentations made during audits for opening,closing, ad hoc meetings, etc. Use technical and managerialreporting techniques, including graphs, charts, diagrams,multimedia aids, etc., in various situations: domestic, global, inperson, virtual (e-audits), multiple sites simultaneously, etc.CQA - Certified Quality Auditorpg. 6
CQA Sample Questions and Exam Summary(Evaluate)E. Interviewingtechniques- Select and use appropriate interviewing techniques andmethodologies. (Apply)1. Use open-ended or closed question types2. Use active listening, paraphrasing, empathy, etc.3. Recognize and respond to nonverbal cues: body language, thesignificance of pauses and their length, etc.4. Determine when and how to prompt a response: whensupervisors are present, when interviewing a group of workers,when using a translator, etc.F. Teamdynamics- Define, describe, and apply various aspects of team dynamics.(Apply)1. Team-building: clarifying roles and responsibilities forparticipants and leaders to ensure equitable treatment for allteam members, providing clear direction for deliverables,identifying necessary resources and ensuring their availability,etc.2. Team facilitation: providing coaching and guidance, defusingclashes between members, eliciting input from all, cultivatingobjectivity, overseeing progress, encouraging diverse views andconsensus, etc.3. Stages of team development: forming, storming, norming,and performingIV. Audit Program Management and Business Applications(30 Questions)1. Senior management support- Identify and explain management’s role in creating andsupporting the audit function. (Understand)2. Staffing and resource management- Develop staffing budgets that provide adequate time forauditors to plan, conduct, and respond to scheduled audits,including time and resources that internal auditees need toparticipate. Identify any special equipment resources needed andA. Audit program ensure their adequacy and availability. Consider the use of andmanagementrequirements 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 neededon a regular basis. (Evaluate)3. Auditor training and development- Identify minimum audit knowledge and skill requirements forauditors. Provide training on various aspects of the audit processsuch as relevant standards, regulatory influences, facilitationtechniques, etc. Provide training on diversity and culturalCQA - Certified Quality Auditorpg. 7
CQA Sample Questions and Exam Summaryinfluences (ethnicity, gender, age, organized labor, etc.) andhow such factors can affect communications and otherinteractions 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 theorganization. (Evaluate)5. Internal audit program management- Develop procedures, policies, and schedules to support theorganization’s objectives. Review internal audit results to identifysystemic trends. (Create)6. External audit program management- Develop procedures, policies, and schedules in support of thesupplier management program, including supplier qualificationsurveys, surveillance audits, supplier improvement, etc. (Create)7. Best practices- Analyze audit results to standardize best practices and lessonslearned across the organization. (Analyze)8. Organizational risk management- Analyze how the audit program affects an organization’s risklevel and how the risk level can influence the number andfrequency of audits performed. (Analyze)9. Management review input- Examine and summarize audit program results, trends, andchanges in risk to provide input to management reviews.(Evaluate)B. Business andfinancial impact1. Auditing as a management tool- Use audit results to monitor continuous improvement, suppliermanagement, customer satisfaction, etc., and to providemanagement with an independent view of the strategic plan’seffectiveness and how well it is deployed. (Analyze)2. Interrelationships of business processes- Identify how business units (receiving, product and processdesign, production, engineering, sales, marketing, field support,etc.) and multiple sites are interrelated, and recognize how theirunique 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 onthe four COQ categories: prevention, appraisal, internal failure,external failure. (Analyze)4. Emerging roles of the auditor- Recognize new roles and responsibilities for auditors, such asbeing process consultants and facilitators who can help resolveinternal issues, improve processes, and add value to theorganization. (Understand)CQA - Certified Quality Auditorpg. 8
CQA Sample Questions and Exam SummaryV. Quality Tools and Techniques (26 Questions)A. Basic qualityand problemsolving tools- Identify, interpret, and analyze: 1) Pareto charts, 2) cause andeffect 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. Processimprovementtechniques1. 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, standardoperations, kanban (pull), error-proofing, valuestream mapping,etc. (Apply)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 frequencydistribution. (Apply)C. Basic statistics 3. Qualitative and quantitative analysis- Describe qualitative data in terms of the nature, type, orattribute of an observation or condition. Describe howquantitative data is used to detect patterns or trends and howsuch analysis can indicate whether a problem is systemic orisolated. (Understand)D. Processvariation1. Common and special cause- Identify and distinguish between common and special causevariation. (Apply)2. Process performance metrics- Describe elements of Cp and Cpk process capability studies(process centering and stability, specification limits, underlyingdistribution, etc.), and how these studies and other performancemetrics are used in relation to established goals. (Understand)3. Outliers- Describe their significance and impact. (Understand)E. Samplingmethods1. Acceptance sampling plans- Identify and interpret these plans for attributes and variablesdata. (Understand)2. Types of sampling- Describe and distinguish between random, stratified, andcluster sampling, and identify the uses and potential problems ofnonstatistical sampling. (Understand)3. Sampling terms- Define related terms including consumer and producer risk,CQA - Certified Quality Auditorpg. 9
CQA Sample Questions and Exam Summaryconfidence level, etc. (Understand)- Identify the principles of change control and configurationF. Change controlmanagement systems as used in various applications: hardware,and configurationsoftware (including security considerations), product, process,managementand service. (Understand)G. Verificationand validation- Define, distinguish
Exam Name Certified Quality Auditor Exam Code CQA Exam Fee USD 498 Retakes USD 298 ASQ Member USD 348 Application USD 70 Exam Duration 330 Minutes Number of Questions 165 Passing Score 550/750 Format Multiple Choice Books Certified Quality Auditor Certification Preparation The ASQ Auditing Handbook, Fourth Edition Schedule Exam Book Your Exam
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