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What is ASQ Certified Quality Auditor

Certification?
ASQ Certified Quality Auditor certification questions and exam summary helps you to get
focused on the exam. This guide also helps you to be on CQA exam track to get certified with
good score in the final exam.

The ASQ Certified Quality Auditor is a professional who knows the standards and principles
of auditing and the auditing methods of examining, questioning, evaluating and reporting to
determine a quality system's adequacy and deficiencies. The Certified Quality Auditor analyzes
all components of a quality system and judges its degree of adherence to the criteria of
industrial management and quality evaluation and control systems.

ASQ Certified Quality Auditor (CQA) Certification

Summary
● Exam Name: Certified Quality Auditor
● Exam Code: CQA
● Exam Fee: USD $498
● Retakes Fee: USD $298
● ASQ Member Fee: USD $348
● Application Fee: USD $70
● Exam Duration: 330 Minutes
● Number of Questions: 165

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● Passing Score: 550/750

● Format: Multiple Choice
● Books: Certified Quality Auditor Certification Preparation, The ASQ Auditing
Handbook, Fourth Edition
● Schedule Exam: Book Your Exam
● Sample Questions: ASQ CQA Exam Sample Questions and Answers
● Practice Exam: ASQ Certified Quality Auditor Practice Test

ASQ Certified Quality Auditor (CQA) Certification

Exam Syllabus
ASQ CQA Body of Knowledge:

I. Auditing Fundamentals (27 Questions)

A. Types of 1. Method
quality audits - 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 1. Elements of purpose and scope
scope of audits - 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 - Define and distinguish between various audit criteria, such as external
against (industry, national, international) standards, contracts, specifications, quality
awards, policies, internal quality management system (QMS), sustainability,

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social responsibility, etc. (Analyze)

D. Roles and - Define and describe the functions and responsibilities of various audit
responsibilities of participants, including audit team members, lead auditor, client, auditee,
audit participants etc. (Apply)
E. Professional 1. Professional conduct and responsibilities
conduct and - Define and apply the ASQ Code of Conduct, concepts of due diligence
consequences for and due care with respect to confidentiality and conflict of interest, and
auditors 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 (42 Questions)

A. Audit 1. Elements of the audit planning process

preparation and - Evaluate and implement the basic steps in audit preparation and planning:
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

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forward and backward tracing, discovery, etc. (Apply)

B. Audit 1. On-site audit management

performance - 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)
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)

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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

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D. Audit follow-up 1. Elements of the corrective action process

and closure - 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)
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)

III. Auditor Competencies (25 Questions)

A. Auditor - Identify characteristics that make auditors effective: interpersonal skills,

characteristics 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 - Identify and apply techniques for managing audit teams, scheduling audit
resource meetings and activities, making logistical adjustments, etc. (Apply)
management
C. Conflict - Identify typical conflict situations (mild to vehement disagreements,
resolution 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. - Select and use written, oral, and electronic communication techniques for
Communication presentations made during audits for opening, closing, ad hoc meetings,
and presentation etc. Use technical and managerial reporting techniques, including graphs,
techniques charts, diagrams, multimedia aids, etc., in various situations: domestic,
global, in-person, virtual (e-audits), multiple sites simultaneously, etc.
(Evaluate)

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E. Interviewing - Select and use appropriate interviewing techniques and methodologies.

techniques (Apply)
1. Use open-ended or closed question types
2. Use active listening, paraphrasing, empathy, etc.
3. Recognize and respond to nonverbal 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 (30 Questions)

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A. Audit program 1. Senior management support

management - 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)
9. Management review input
- Examine and summarize audit program results, trends, and changes in
risk to provide input to management reviews. (Evaluate)

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B. Business and 1. Auditing as a management tool

financial impact - 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)
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)

V. Quality Tools and Techniques (26 Questions)

A. Basic quality - Identify, interpret, and analyze: 1) Pareto charts, 2) cause and effect
and problem- diagrams, 3) flowcharts, 4) statistical process control (SPC) charts, 5) check
solving tools sheets, 6) scatter diagrams, 7) histograms, 8) root cause analysis, 9) plan-
do-check-act (PDCA). (Analyze)
B. Process 1. Six Sigma
improvement - Identify, interpret, and apply the Six Sigma DMAIC phases: define,
techniques 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)

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D. Process 1. Common and special cause

variation - 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 1. Acceptance sampling plans
methods - 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)
F. Change control - Identify the principles of change control and configuration management
and configuration systems as used in various applications: hardware, software (including
management security considerations), product, process, and service. (Understand)
G. Verification - Define, distinguish between, and use various methods of verifying and
and validation validating processes. (Analyze)
H. Risk - Identify methods for managing risk, including risk avoidance, mitigation,
management tradeoffs, etc., and describe tools and methods for estimating and
tools 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)

ASQ Certified Quality Auditor (CQA) Certification Questions

ASQ Quality Auditor Sample Questions:

Que.:01. An audit schedule is an integral part of which of the following phases of the
auditing process?

Please choose the correct answer.

Options:

a) Initiation

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b) Preparation

c) Closing

d) Reporting

Que.:02. An internal audit schedule should be prioritized on the basis of all of the
following criteria EXCEPT.

Please choose the correct answer.

Options:

a) cost of the activities

b) risk of the activities

c) size of the auditee’s department

d) management’s requests

Que.:03. Who makes the final determination regarding the distribution of the audit
report?

Please choose the correct answer.

Options:

a) The lead auditor

b) The audit group manager

c) The auditee

d) The client

Que.:04. Which of the following best describes a frequency distribution?

Please choose the correct answer.

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Options:

a) A graph for presenting data along a scale of reference and the number of times each item
occurs

b) A time-ordered chart of subgroup averages and control limits

c) A plot of the probability of accepting a hypothesis when it is actually false

d) A graph indicating the difference between an actual value and its predicted value

Que.:05. The fraction of nonconforming products is plotted on which of the following

types of control charts?

Please choose the correct answer.

Options:

a) p chart

b) u chart

c) np chart

d) c chart

Que.:06. Which of the following represents a sound time-management technique?

Please choose the correct answer.

Options:

a) Scheduling interviews simultaneously at two different facilities

b) Constantly revising the audit schedule to accommodate follow-up questions

c) Anticipating needs and making them known to the auditee in advance

d) Determining the detailed audit schedule at the audit opening meeting

Que.:07. During the closing meeting, the lead auditor should do which of the following?

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Please choose the correct answer.

Options:

a) Accept the presentation of objective evidence.

b) Review the auditor’s qualifications.

c) Perform a causal analysis with the auditee.

d) Present a summary of audit results.

Que.:08. An auditee is likely to be most threatened by an auditor’s use of which of the

following interviewing techniques?

Please choose the correct answer.

Options:

a) Paraphrasing an auditee’s response while writing it down

b) Being silent while waiting for an auditee to respond to a question

c) Underlining key facts when recording an auditee’s response

d) Using a tape recorder to record an auditee’s response

Que.:09. Which of the following types of tools or techniques is considered qualitative?

Please choose the correct answer.

Options:

a) Histograms

b) Frequency distributions

c) Pareto charts

d) Process observations

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Que.:10. The accuracy of quality audit documentation is especially important in which of

the following situations?

Please choose the correct answer.

Options:

a) One of the audit team members is aware of a possible personal bias related to the audit.

b) The documentation is likely to be used as evidence in litigation.

c) An audit has yielded more documentation than expected.

d) The documentation supports an auditor’s viewpoint.

Answers:

Question: 01 Answer: b
Question: 02 Answer: c
Question: 03 Answer: d
Question: 04 Answer: a
Question: 05 Answer: a
Question: 06 Answer: c
Question: 07 Answer: d
Question: 08 Answer: d
Question: 09 Answer: d
Question: 10 Answer: b

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Exam Registration:

● Visit site for Register ASQ Certified Quality Auditor Certification Exam.

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