ASQ CQA BOK

Page 1 of 7
I. AUDITING FUNDAMENTALS (30 QUESTIONS)
A. Basic terms and concepts
Define and differentiate basic quality- and audit-related terms, such as quality, quality
assurance, quality control, evidence, finding, observation, noncompliance, and
nonconformance. (Apply)

B. Purpose of audits
Describe and examine how audits are used to assess organizational effectiveness,
system efficiency, process effectiveness, business performance, risk management,
and conformance to requirements. (Analyze)
C. Types of quality audits
Define and differentiate various audit types, such as product, process, system,
management, compliance, first-party, second-party, third-party, internal, external,
desk, department, and function. (Analyze)
CERTIFIED QUALITY AUDITOR
BODY OF KNOWLEDGE
The topics in this new BOK include additional detail in the form of subtext explanations and
cognitive level. These details will be used by the Exam Development Committee as
guidelines for writing test questions, and are designed to help candidates prepare for the
exam by identifying specific content within each topic that may be tested. The subtext is not
intended to limit the subject-matter or be all-inclusive of what might be covered in an exam,
but is intended to clarify how the topics relate to a Quality Auditor’s role. The descriptor in
parentheses at the end of each entry refers to the maximum cognitive level at which the topic
will be tested. A more comprehensive description of cognitive levels is provided at the end of
this document.
FORMAT CHANGE FOR CQA EXAM
Examinations based on the 2004 BOK will contain a number of case studies. Each case
study will include a brief scenario outlining critical details about an audit situation. In addition,
each case study will be supported by related audit documents. Approximately 15-20%
(25-30 questions) of the test will be devoted to these case studies. Although the questions
related to these cases will use the same four-choice answer format as the rest of the test, the
use of scenario details and sample documents will allow the candidates to apply their critical
thinking skills in evaluating realistic situations and accompanying documents, communiqués,
etc. Additional time will be needed to process all elements of the case studies, and, therefore,
the length of examination time will be increased from four hours to five hours.
Page 2 of 7
D. Audit criteria
Define and distinguish between various audit criteria, such as standards, contracts,
specifications, policies, and quality awards. (Analyze)
E. Roles and responsibilities of audit participants
Define and describe the functions and responsibilities of various audit participants,
including audit team members, lead auditor, client, auditee, etc. (Apply)
F. Ethical, legal, and professional Issues

1. Audit credibility

Identify and apply ethical factors that influence audit credibility, such as auditor
independence, objectivity, and qualifications. (Apply)

1. Liability issues

Identify potential legal and financial ramifications of improper auditor actions, such
as carelessness and negligence, in various situations, and anticipate the effect that
certain audit results can have on an auditee’s liability. (Apply)

1. Professional conduct and responsibilities

Define and apply the concepts of due diligence and due care, with respect to
confidentiality, conflict of interest, the discovery of illegal activities or unsafe
conditions. (Apply)
II. AUDIT PROCESS (60 QUESTIONS)
A. Audit preparation and planning

1. Elements of the audit planning process

Identify and implement steps in audit preparation and planning, such as verifying
audit authority, determining the purpose, scope, type, requirements to audit
against, and identifying the resources necessary, including the size and number of
audit teams. (Evaluate)

1. Auditor selection

Identify and examine various auditor selection criteria, such as education,
experience, industry background, and subject-matter expertise. (Analyze)

1. Audit-related documentation

Identify the sources of pre-audit information and examine audit-related
documentation, such as reference materials and prior audits. (Analyze)

1. Logistics

Identify and organize various audit-related logistics, such as travel, security
considerations, and escorts. (Analyze)

1. Auditing tools

Select, prepare, and use checklists, log sheets, sampling plans, and procedural
guidelines in various audit situations. (Create)

Page 3 of 7

1. Auditing strategies

Identify and use various tactical methods for conducting an audit, such as forward
and backward tracing and discovery. (Apply)
B. Audit performance

1. Opening meeting

Describe its purpose, scope, and elements and conduct an opening meeting.
(Apply)

1. Data collection and analysis

Select and apply various data collection methods, such as interviewing people,
observing work activities, taking physical measurements, and examining paper and
electronic documents; perform analysis. (Create)

1. Working papers

Identify types of working papers, such as checklists, auditor notes, and attendance
rosters, and determine their importance in providing evidence for an audit trail.
(Evaluate)