Understanding asq cqa -body of knowledge

BoK ASQ CQA Body of Knowledge My Pre-exam Self Study Notes 9th September 2018

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Chinese Submarine.

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Chinese Submarine.

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UK Submarine.

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闭门练功

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http://independent.academia.edu/CharlieChong1 http://www.yumpu.com/zh/browse/user/charliechong http://issuu.com/charlieccchong

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The Magical Book of Tank Inspection ICP

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闭门练功

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闭门练功

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Fion Zhang at Xiandu 仙都 9th September 2018

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Content: 1.

ASQ Official BOK

https://asq.org/cert/resource/docs/cqa_bok.pdf

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ASQ Mission: The American Society for Quality advances individual, organizational, and community excellence worldwide through learning, quality improvement, and knowledge exchange.

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BOK Knowledge

Percentage Score

I. Auditing Fundamentals (30 Questions)

20%

II. Audit Process (60 Questions)

40%

III. Auditor Competencies (23 Questions)

15.3%

IV. Audit Program Management and Business Applications (15 Questions)

10%

V. Quality Tools and Techniques (22 Questions)

14.7%

150 Questions

100%

https://asq.org/cert/resource/docs/cqa_bok.pdf

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BOK- CERTIFIED QUALITY AUDITOR BODY OF KNOWLEDGE The topics in this new BOK include additional detail in the form of subtext explanations and cognitive (aware, perceptive, 认识的) 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.

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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, communiquĂŠs, 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.

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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) [NOTE: The application of these audit terms during the performance of an audit is covered in greater detail in II. B.]

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, thirdparty, internal, external, desk, department, and function. (Analyze)

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IB. Purpose of Audits IB Business Performance

Organizational Effectiveness

Risk Management

System Efficiency Process Effectiveness

Conformance To Requirements

Product Conformance

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Types of Quality Audits IC Business Performance Audit

Management Audit Risk Management Audit

System Audit Compliance Audit

Process Audit Product Audit

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Types of Quality Audits IC

External

Client Secondparty on you

Desk

Audits

Secondparty audit on Supplier First-party

Department

Functional

Internal

Third-party audit for certification

desk audit or document Review A desk audit or document review is an audit of an organization‘s documents. It can be conducted at a desk since (1) people are not interviewed and (2) activities are not observed.

If auditing a new area, function, or organization, a desk audit must be conducted prior to a process or system audit to verify that documents meet requirements specified in the audit criteria or standards. The document review verifies that there is an adequately defined process or system prior to the full process or system audit.

Findings from a desk audit or document review help ensure that audit program resources are used efficiently. It would be very costly if an audit team arrived to do a system audit, only to find out that the established system was not adequate. Also, a desk audit or document review may be conducted periodically or when documents (processes) are changed to verify the adequacy of the changes.

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IC. A Desk Audit or Document Review is an audit of an organization‘s documents. It can be conducted at a desk since (1) people are not interviewed and (2) activities are not observed. 台面审核或文件审核的量大特点是不牵涉被考核者和被考核活动不被观察.

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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) 2. Liability issues Identify potential legal and financial ramifications (consequence, outcome of another event; branch, bough; act of branching out) 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) 3. 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)

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ID. The Malcolm Baldrige National Quality Award recognizes U.S. organizations in the business, health care, education, and nonprofit sectors for performance excellence. The Baldrige Award is the only formal recognition of the performance excellence of both public and private U.S. organizations given by the President of the United States. It is administered by the Baldrige Performance Excellence Program, which is based at and managed by the National Institute of Standards and Technology (NIST), an agency of the U.S. Department of Commerce.

(October 4, 1922 – July 25, 1987)

Up to 18 awards may be given annually across six eligibility categories—manufacturing, service, small business, education, health care, and nonprofit. As of 2016, 113 awards have been presented to 106 organizations (including seven repeat winners).

The Baldrige Performance Excellence Program and the associated award were established by the Malcolm Baldrige National Quality Improvement Act of 1987 (Public Law 100–107). The program and award were named for Malcolm Baldrige, who served as United States Secretary of Commerce during the Reagan administration, from 1981 until Baldrige‘s 1987 death in a rodeo accident. In 2010, the program's name was changed to the Baldrige Performance Excellence Program.

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

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ID. The Malcolm Baldrige National Quality Award Death and legacy Secretary of Commerce Baldrige died in Northern California on July 25, 1987, after sustaining internal injuries from a rodeo accident while participating in a calf-roping competition when the horse he was riding fell on him at the Jack Roddy Ranch in Brentwood in east Contra Costa County, 45 miles (70 km) east of San Francisco. Following the accident, Baldrige was flown by helicopter to John Muir Hospital in Walnut Creek, California, but his internal injuries were too severe. Baldrige was buried in North Cemetery in Woodbury, Connecticut.

His service as Secretary of Commerce was one of the longest in history. Baldrige is said to have been possibly the most colorful Secretary of Commerce and one of the most beloved.

Baldrige was a proponent of quality management as a key to his country's prosperity and long-term strength.

He took a personal interest in the legislation that became the Quality Improvement Act of 1987 and helped draft one of the early versions. In recognition of his contributions, Congress named the annual award (see Malcolm Baldrige National Quality Award) for product quality in his honor.

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IF2. Liability issues Identify potential legal and financial ramifications (consequence, outcome of another event; branch, bough; act of branching out) 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.

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IF2. Liability issues Identify potential legal and financial ramifications (consequence, outcome of another event; branch, bough; act of branching

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. out)

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IF3. 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.

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IF3. 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.

https://www.independent.co.uk/news/world/americas/cuba-admits-obsolete-weapons-were-on-board-north-korean-ship-seized-in-panama-8711748.html

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IF3. 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.

https://www.independent.co.uk/news/world/americas/cuba-admits-obsolete-weapons-were-on-board-north-korean-ship-seized-in-panama-8711748.html

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IF3. 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.

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II. AUDIT PROCESS (60 QUESTIONS)

The Audit Authority must be higher in the organizational structure than the functions being audited. For example, it would be extremely difficult for a division or department of a company to commission an audit of corporate headquarters. But the vice president of operations might request a quality or environmental audit of department operations. (HB)

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) 2. Auditor selection Identify and examine various auditor selection criteria, such as education, experience, industry background, and subject-matter expertise. (Analyze) 3. Audit-related documentation Identify the sources of pre-audit information and examine audit-related documentation, such as reference materials and prior audits. (Analyze) 4. Logistics Identify and organize various audit-related logistics, such as travel, security considerations, and escorts.

(Analyze) 5. Auditing tools Select, prepare, and use checklists, log sheets, sampling plans, and procedural guidelines in various audit situations. (Create) [NOTE: Checklists as working papers are covered in II. B. 3] 6. Auditing strategies Identify and use various tactical methods for conducting an audit, such as forward and backward tracing and discovery. (Apply) Discovery Method The discovery method is sometimes called random auditing. This method investigates what is currently taking place and therefore reflects prevailing work procedures. However, the discovery method offers no discernible pattern to an audit, and an auditor can become disoriented or spend too much time in the facility.

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II. AUDIT PROCESS (60 QUESTIONS)

The Audit Authority must be higher in the organizational structure than the functions being audited. For example, it would be extremely difficult for a division or department of a company to commission an audit of corporate headquarters. But the vice president of operations might request a quality or environmental audit of department operations. (HB)

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) a. Auditor selection Identify and examine various auditor selection criteria, such as education, experience, industry background, and subject-matter expertise. (Analyze) b. Audit-related documentation Identify the sources of pre-audit information and examine audit-related documentation, such as reference materials and prior audits. (Analyze) c. Logistics Identify and organize various audit-related logistics, such as travel, security considerations, and escorts. (Analyze) d. Auditing tools Select, prepare, and use checklists, log sheets, sampling plans, and procedural guidelines in various audit situations. (Create) [NOTE: Checklists as working papers are covered in II. B. 3] e. Auditing strategies Identify and use various tactical methods for conducting an audit, such as forward and backward tracing and discovery. (Apply)

Discovery Method The discovery method is sometimes called random auditing. This method investigates what is currently taking place and therefore reflects prevailing work procedures. However, the discovery method offers no discernible pattern to an audit, and an auditor can become disoriented or spend too much time in the facility.

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IIA. Audit preparation and planning • Audit Planning Elements 1

a

b

c

d

e

•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.

• Auditor selection • Audit-related documentation

• Logistics • Auditing tools • Auditing strategies

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IIA. Audit preparation and planning 1 Audit Authority

VP 2

Purpose

Compliance 3

Scope

Production Line # 4

Type

Process Audit (internal) 5

Audit Against:

Specific Company Procedures 6

Identifying Resources

Auditor selection size/ numbers and qualification of auditors, documentation, logistic, tools, strategies.

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B. Audit performance 1. Opening meeting Describe its purpose, scope, and elements and conduct an opening meeting.

(Apply) 2. 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) 3. 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) [NOTE: Checklists as auditing tools are covered in II. A. 5.]

4. Objective evidence Identify and differentiate various characteristics of objective evidence, such as observed, measured, verified, and documented. (Analyze) [NOTE: The definition of evidence is covered in I. A.] 5. Observations Evaluate the significance of observations in terms of positive, negative, chronic (长期 的,慢性的), isolated, and systemic. (Evaluate) [NOTE: The definition of observation is covered in I. A.]

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6. Nonconformances Classify nonconformances in terms of significance, severity, frequency, and level of risk. (Evaluate) (Finding: Strength, Observation, Preventive Action, Corrective Action) [NOTE: The definition of nonconformance is covered in I. A.] 7. Audit process management Define (?) and apply elements of managing an audit, including coordinating team activities, reallocating resources, adjusting audit plan, and communicating with the auditee. (Analyze) 8. Exit meeting Describe its purpose, scope, and elements, and conduct an exit meeting, including determining post-audit activities and who is responsible for performing them.

(Apply) 6. Nonconformances Classify nonconformances in terms of significance, severity, frequency, and level of risk. (Evaluate)

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IIB1. Opening meeting Describe its: 1. purpose, 2. scope, and 3. elements and 4. conduct an opening meeting.

(Apply)

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IIB8. Exit meeting Describe its: 1. purpose, 2. scope, and 3. elements, and 4. conduct an exit meeting, Including determining postaudit activities and who is responsible for performing them.

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C. Audit reporting 1. Basic steps Define, plan, and implement the steps in generating an audit report, including reviewing and finalizing results, organizing and summarizing details, obtaining necessary approvals, and distributing the report. (Create) 2. Effective audit reports Identify what makes an audit report effective, and develop and evaluate various components, such as executive summaries, prioritized data, graphic presentation, and the impact of conclusions. (Create) 3. Records retention Identify and apply record retention requirements, such as: a) type of documents, b) length of time, and c) storage considerations, for various audits. (Apply)

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D. Audit follow-up and closure 1. Elements of the corrective and preventive action processes Identify and apply the elements of these processes, including problem identification, assignment of responsibility, root cause analysis, and recurrence prevention. (Apply) (Who?- Auditor or Auditee scopes? Example who to perform RCA?) 2. Review of corrective action plan Use various criteria to evaluate the acceptability of corrective action plans, and identify and apply strategies for negotiating changes to unacceptable plans.

(Evaluate) 3. Verification of corrective action Use various methods to verify and evaluate the adequacy of corrective actions taken, such as re-examining procedures, observing revised processes (?) , and conducting follow-up audits. (Evaluate) 4. Follow up on ineffective corrective action Identify and 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, and re-auditing. (Create) 5. Audit closure Identify and apply various elements of, and criteria for, audit closure. (Evaluate)

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IID1. Elements of the corrective and preventive action processes Identify and apply the elements of these processes, including problem identification, assignment of responsibility, root cause analysis, and recurrence prevention. (Apply)

2. Review of corrective action plan Use various criteria to evaluate the acceptability of corrective action plans, and identify and apply strategies for negotiating changes to unacceptable plans.

(Evaluate)

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IID2. Review of corrective action plan Use various criteria to evaluate the acceptability of corrective action plans, and identify and apply strategies for negotiating changes to unacceptable plans. (Evaluate)

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IID3. Verification of corrective action Use various methods to verify and evaluate the adequacy of corrective actions taken, such as re-examining procedures, observing revised processes (?) , and conducting follow-up audits. (Evaluate)

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IID4. Follow up on ineffective corrective action Identify and 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, and re-auditing.

(Create)

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IID5. Audit closure Identify and apply various elements of, and criteria for, audit closure. (Evaluate)

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III. AUDITOR COMPETENCIES (23 QUESTIONS) A. Auditor characteristics Identify characteristics that make auditors effective, such as interpersonal skills, problem-solving skills, close attention to detail, cultural sensitivity, ability to work independently and in a group or on a team. (Apply) B. Resource management Identify and apply techniques for scheduling people, events, logistics, and audit related activities. (Apply) C. Conflict resolution Identify typical conflict situations (disagreements, auditee delaying tactics, and interruptions) and determine the techniques for resolving them, such as negotiation and cool-down periods. (Analyze) D. Communication techniques Select and use written and oral communication techniques in various applications, such as technical reports, active listening, empathy, and paraphrasing. (Analyze)

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IIIA. Auditor characteristics Identify characteristics that make auditors effective, such as interpersonal skills, problem-solving skills, close attention to detail, cultural sensitivity, ability to work independently and in a group or on a team. (Apply)

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IIIC. Conflict resolution Identify typical conflict situations (disagreements, auditee delaying tactics, and interruptions) and determine the techniques for resolving them, such as negotiation and cool-down periods.

(Analyze)

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IIIC. Conflict resolution Identify typical conflict situations (disagreements, auditee delaying tactics, and interruptions) and determine the techniques for resolving them, such as negotiation and cool-down periods. (Analyze)

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III. AUDITOR COMPETENCIES IIIC. Conflict resolution

Identify typical conflict situations (disagreements, auditee delaying tactics, and interruptions) and determine the techniques for resolving the such as negotiation and cool-down periods. (Analyze)

II. AUDIT PROCESS See IID4- Follow up on ineffective corrective action Identify and 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, and re-auditing. (Create)

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III. AUDITOR COMPETENCIES IIIC. Conflict resolution Identify typical conflict situations (disagreements, auditee delaying tactics, and interruptions) and determine the techniques for resolving them, such as negotiation and cool-down periods.

(Analyze) II. AUDIT PROCESS See IID4- Follow up on ineffective corrective action Identify and 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, and re-auditing. (Create)

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E. Interviewing techniques Define and apply appropriate interviewing techniques (e.g., when to use open-ended and closed question types, determining the significance of pauses and their length, and when and how to prompt a response), based on various factors, such as when supervisors are present, when interviewing a group of workers, and when using a translator. (Apply) F. Team membership, leadership, and facilitation Define and use various techniques to support team-building efforts and to help maintain group focus, both as a participant and as a team leader. Recognize and apply the classic stages of team development (forming, storming, norming, and performing). Identify various team member roles and apply coaching, guidance, and other facilitation techniques necessary to effective team functioning. (Analyze) G. Presentation techniques Define and apply various tools and techniques such as graphs, charts, diagrams, and multimedia aids for written and oral presentations made at opening, closing, and other meetings. (Apply) H. Verification and validation Define, distinguish between, and apply various methods of verifying and validating processes. (Analyze)

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IIIE. Interviewing techniques Define and apply appropriate interviewing techniques (e.g.,  when to use open-ended and closed question types,  determining the significance of pauses and their length, and  when and how to prompt a response), based on various factors, such as when supervisors are present, when interviewing a group of workers, and when using a translator. (Apply)

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IIIE. Interviewing techniques Define and apply appropriate interviewing techniques (e.g.,  when to use open-ended and closed question types,  determining the significance of pauses and their length, and  when and how to prompt a response), based on various factors, such as when supervisors are present, when interviewing a group of workers, and when using a translator. (Apply)

http://www.barubian.net/2013/04/winds-of-change.html

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IIIE. Interviewing techniques Define and apply appropriate interviewing techniques (e.g.,  when to use open-ended and closed question types,  determining the significance of pauses and their length, and  when and how to prompt a response), based on various factors, such as when supervisors are present, when interviewing a group of workers, and when using a translator. (Apply)

http://www.barubian.net/2013/04/winds-of-change.html

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IV. AUDIT PROGRAM AND BUSINESS APPLICATIONS (15 QUESTIONS) A. Audit program management Explain the elements of audit program management, such as the development of policies and procedures, strategic alignment, resource management, the evaluation of program effectiveness, and auditor training. (Apply) B. Business applications 1. Change control Identify the principles of change control systems and configuration management as used in various hardware, software, product, process, and service applications.

(Understand) 2. Risk management Identify risk management concepts and strategies, such as identifying risk tradeoffs, and mitigation. (Understand) 3. Interrelationships between business processes Understand major business processes (sales, marketing, engineering, etc.)

And their interrelationships. (Understand)

'Risk-return Tradeoff‗: The risk-return tradeoff states that the potential return rises with an increase in risk. Using this principle, individuals associate low levels of uncertainty with low potential returns, and high levels of uncertainty or risk with high potential returns. According to the risk-return tradeoff, invested money can render higher profits only if the investor will accept a higher possibility of losses. https://www.investopedia.com/terms/r/riskreturntradeoff.asp#ixzz5QgI6hXpH

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4. Senior management and the audit function Identify and explain management‘s role in creating and supporting the audit function. (Understand) 5. Common elements of audits Recognize the elements that quality audits have in common with other types of audits, such as environmental, safety, and financial. (Understand) 6. Auditing as a management tool Apply audits in support of various business objectives, such as:  Continuous improvement,  supplier management,  customer satisfaction, and  best practices.

(Analyze) 7. Emerging roles of the auditor Recognize new roles and responsibilities for auditors, including their role as process consultants and business analysts. (Understand)

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IVB5. Common elements of audits Recognize the elements that quality audits have in common with other types of audits, such as environmental, safety, and financial.

(Understand)

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IVB5. Common elements of audits Recognize the elements that quality audits have in common with other types of audits, such as environmental, safety, and financial.

(Understand)

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IVB6. Auditing as a management tool Apply audits in support of various business objectives, such as:  Continuous improvement,  supplier management,  customer satisfaction, and  best practices.

(Analyze)

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IVB6. Auditing as a management tool Apply audits in support of various business objectives, such as:  Continuous improvement,  supplier management,  customer satisfaction, and  best practices.

(Analyze)

Till now, nothing was mentioned on state and federal regulations, CFR compliance.

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IVB7. Emerging roles of the auditor Recognize new roles and responsibilities for auditors, including their role as process consultants and business analysts.

(Understand)

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V. QUALITY TOOLS AND TECHNIQUES (22 QUESTIONS) A. Fundamental quality control tools Identify, interpret, and apply Pareto charts, cause and effect diagrams, flowcharts, control charts, check sheets, scatter diagrams, and histograms. (Analyze) B. Quality improvement tools Identify, interpret, and apply problem-solving tools, such as root cause analysis, the six sigma model (DMAIC), lean tools, Plan-Do-Check-Act (PDCA), and corrective and preventive action (CAPA) methods. (Apply) C. Descriptive statistics Identify, interpret, and use various measures of central tendency (mean, median, and mode), and dispersion, such as standard deviation and frequency distribution. (Apply)

D. Sampling methods Identify, interpret, and use various sampling methods, such as acceptance, random, and stratified, and define related concepts (e.g., consumer and producer risk, and confidence level). (Apply)

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E. Process capability Identify and interpret various process capability indices, such as Cp and Cpk. (Understand) F. Qualitative and quantitative analysis Describe and distinguish between qualitative and quantitative analyses, and attributes and variables data. (Analyze) G. Cost of quality Identify the basic cost of quality (COQ) principles, and describe the four COQ categories: prevention, appraisal, internal failure, and external failure. (Understand)

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G. Cost of quality Identify the basic cost of quality (COQ) principles, and describe the four COQ categories: prevention, appraisal, internal failure, and external failure. (Understand)

prevention

appraisal

COQ

external failure

internal failure

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SIX LEVELS OF COGNITION BASED ON BLOOM’S TAXONOMY (REVISED) In addition to content specifics, the subtext detail also indicates the intended complexity level of the test questions for that topic. These levels are based on the Revised ―Levels of Cognition‖ (from Bloom‘s Taxonomy, 2001) and are presented below in rank order, from least complex to most complex.

Note: Bloom‗s Taxonomy (分类) was created in 1956 under the leadership of educational psychologist Dr Benjamin Bloom in order to promote higher forms of thinking in education, such as analyzing and evaluating concepts, processes, procedures, and principles, rather than just remembering facts (rote learning).

(February 21, 1913 – September 13, 1999)

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REMEMBER (Also commonly referred to as recognition, recall, or rote knowledge.) Be able to remember or recognize terminology, definitions, facts, ideas, materials, patterns, sequences, methodologies, principles, etc.

UNDERSTAND Be able to read and understand descriptions, communications, reports, tables, diagrams, directions, regulations, etc.

APPLY Be able to apply ideas, procedures, methods, formulas, principles, theories, etc., in jobrelated situations.

ANALYZE Be able to break down information into its constituent parts and recognize the parts‘ relationship to one another and how they are organized; identify sublevel factors or salient data from a complex scenario.

EVALUATE Be able to make judgments regarding the value of proposed ideas, solutions, methodologies, etc., by using appropriate criteria or standards to estimate accuracy, effectiveness, economic benefits, etc.

CREATE Be able to put parts or elements together in such a way as to show a pattern or structure not clearly there before; able to 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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BLOOM’S TAXONOMY

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Bloom‗s Taxonomy (分类) was created in 1956 under the leadership of educational psychologist Dr Benjamin Bloom in order to promote higher forms of thinking in education, such as analyzing and evaluating concepts, processes, procedures, and principles, rather than just remembering facts (rote learning).

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The Himba are indigenous peoples with an estimated population of about 50,000 people[1] living in northern Namibia, in the Kunene Region (formerly Kaokoland) and on the other side of the Kunene River in Angola.[1] There are also a few groups left of the OvaTwa, who are also OvaHimba, but are hunter-gatherers. The OvaHimba are a semi-nomadic, pastoralist people, culturally distinguishable from the Herero people in northern Namibia and southern Angola, and speak OtjiHimba, a variety of Herero, which belongs to the Bantu family within Niger–Congo.

The OvaHimba are considered the last (semi-) nomadic people of Namibia. https://en.wikipedia.org/wiki/Himba_people

https://hiveminer.com/Tags/davestamboulis%2Ctribe/Timeline

Charlie Chong/ Fion Zhang

The Kaokoland Kaokoland was an administrative unit and a bantustan in northern South West Africa (now Namibia). Established during the apartheid era, it was intended to be a self-governing homeland of the OvaHimba, but an actual government was never established. Like other homelands in South West Africa, the Kaokoland bantustan was abolished in May 1989, at the beginning of the transition of Namibia towards independence.

"Kaokoland" remains as an informal name for the geographic area, while the political unit of administration since 1990 is Kunene Region. The area is in the Kaokoveld ecoregion.

The area is one of the wildest and least populated areas in Namibia, with a population density of one person every 2 km²(1/4 of the national average).

The most represented ethnic group is the Himba people, who account for about 5,000 of the overall 16,000 inhabitants of Kaokoland. The main settlement in Kaokoland was the city of Opuwo. https://www.bing.com/images/search?q=kaokolan d+female&FORM=HDRSC2

https://hiveminer.com/Tags/davestamboulis%2Ctribe/Timeline

Charlie Chong/ Fion Zhang

Charlie Chong/ Fion Zhang Charlie Chong/ Fion Zhang

Good Luck!

Charlie Chong/ Fion Zhang

Good Luck!

Charlie Chong/ Fion Zhang

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, communiquĂŠs, 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.

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) [NOTE: The application of these audit terms during the performance of an audit is covered in greater detail in II. B.] 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)

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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) 2. 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) 3. 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) 2. Auditor selection Identify and examine various auditor selection criteria, such as education, experience, industry background, and subject-matter expertise. (Analyze) 3. Audit-related documentation Identify the sources of pre-audit information and examine audit-related documentation, such as reference materials and prior audits. (Analyze) 4. Logistics Identify and organize various audit-related logistics, such as travel, security considerations, and escorts. (Analyze) 5. Auditing tools Select, prepare, and use checklists, log sheets, sampling plans, and procedural guidelines in various audit situations. (Create) [NOTE: Checklists as working papers are covered in II. B. 3]

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6. 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) 2. 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) 3. 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) [NOTE: Checklists as auditing tools are covered in II. A. 5.]

4. Objective evidence Identify and differentiate various characteristics of objective evidence, such as observed, measured, verified, and documented. (Analyze) [NOTE: The definition of evidence is covered in I. A.] 5. Observations Evaluate the significance of observations in terms of positive, negative, chronic, isolated, and systemic. (Evaluate) [NOTE: The definition of observation is covered in I. A.] 6. Nonconformances Classify nonconformances in terms of significance, severity, frequency, and level of risk. (Evaluate) [NOTE: The definition of nonconformance is covered in I. A.] 7. Audit process management Define and apply elements of managing an audit, including coordinating team activities, reallocating resources, adjusting audit plan, and communicating with the auditee. (Analyze) 8. Exit meeting Describe its purpose, scope, and elements, and conduct an exit meeting, including determining post-audit activities and who is responsible for performing them.

(Apply) C. Audit reporting 1. Basic steps Define, plan, and implement the steps in generating an audit report, including reviewing and finalizing results, organizing and summarizing details, obtaining necessary approvals, and distributing the report. (Create)

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2. Effective audit reports Identify what makes an audit report effective, and develop and evaluate various components, such as executive summaries, prioritized data, graphic presentation, and the impact of conclusions. (Create) 3. Records retention Identify and apply record retention requirements, such as type of documents, length of time, and storage considerations, for various audits. (Apply) D. Audit follow-up and closure 1. Elements of the corrective and preventive action processes Identify and apply the elements of these processes, including problem identification, assignment of responsibility, root cause analysis, and recurrence prevention. (Apply) 2. Review of corrective action plan Use various criteria to evaluate the acceptability of corrective action plans, and identify and apply strategies for negotiating changes to unacceptable plans.

(Evaluate) 3. Verification of corrective action Use various methods to verify and evaluate the adequacy of corrective actions taken, such as re-examining procedures, observing revised processes, and conducting follow-up audits. (Evaluate) 4. Follow up on ineffective corrective action Identify and 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, and re-auditing. (Create) 5. Audit closure Identify and apply various elements of, and criteria for, audit closure. (Evaluate)

III. AUDITOR COMPETENCIES (23 QUESTIONS) A. Auditor characteristics Identify characteristics that make auditors effective, such as interpersonal skills, problem-solving skills, close attention to detail, cultural sensitivity, ability to work independently and in a group or on a team. (Apply) B. Resource management Identify and apply techniques for scheduling people, events, logistics, and auditrelated activities. (Apply) C. Conflict resolution Identify typical conflict situations (disagreements, auditee delaying tactics, and interruptions) and determine the techniques for resolving them, such as negotiation and cool-down periods. (Analyze)

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D. Communication techniques Select and use written and oral communication techniques in various applications, such as technical reports, active listening, empathy, and paraphrasing. (Analyze) E. Interviewing techniques Define and apply appropriate interviewing techniques (e.g., when to use open-ended and closed question types, determining the significance of pauses and their length, and when and how to prompt a response), based on various factors, such as when supervisors are present, when interviewing a group of workers, and when using a translator. (Apply) F. Team membership, leadership, and facilitation Define and use various techniques to support team-building efforts and to help maintain group focus, both as a participant and as a team leader. Recognize and apply the classic stages of team development (forming, storming, norming, and performing). Identify various team member roles and apply coaching, guidance, and other facilitation techniques necessary to effective team functioning. (Analyze) G. Presentation techniques Define and apply various tools and techniques such as graphs, charts, diagrams, and multimedia aids for written and oral presentations made at opening, closing, and other meetings. (Apply) H. Verification and validation Define, distinguish between, and apply various methods of verifying and validating processes. (Analyze)

IV. AUDIT PROGRAM AND BUSINESS APPLICATIONS (15 QUESTIONS) A. Audit program management Explain the elements of audit program management, such as the development of policies and procedures, strategic alignment, resource management, the evaluation of program effectiveness, and auditor training. (Apply) B. Business applications 1. Change control Identify the principles of change control systems and configuration management as used in various hardware, software, product, process, and service applications.

(Understand) 2. Risk management Identify risk management concepts and strategies, such as identifying risk tradeoffs, and mitigation. (Understand) 3. Interrelationships between business processes Understand major business processes (sales, marketing, engineering, etc.) and their interrelationships. (Understand)

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4. Senior management and the audit function Identify and explain management’s role in creating and supporting the audit function. (Understand) 5. Common elements of audits Recognize the elements that quality audits have in common with other types of audits, such as environmental, safety, and financial. (Understand) 6. Auditing as a management tool Apply audits in support of various business objectives, such as continuous improvement, supplier management, customer satisfaction, and best practices.

(Analyze) 7. Emerging roles of the auditor Recognize new roles and responsibilities for auditors, including their role as process consultants and business analysts. (Understand)

V. QUALITY TOOLS AND TECHNIQUES (22 QUESTIONS) A. Fundamental quality control tools Identify, interpret, and apply Pareto charts, cause and effect diagrams, flowcharts, control charts, check sheets, scatter diagrams, and histograms. (Analyze) B. Quality improvement tools Identify, interpret, and apply problem-solving tools, such as root cause analysis, the six sigma model (DMAIC), lean tools, Plan-Do-Check-Act (PDCA), and corrective and preventive action (CAPA) methods. (Apply) C. Descriptive statistics Identify, interpret, and use various measures of central tendency (mean, median, and mode), and dispersion, such as standard deviation and frequency distribution. (Apply) D. Sampling methods Identify, interpret, and use various sampling methods, such as acceptance, random, and stratified, and define related concepts (e.g., consumer and producer risk, and confidence level). (Apply) E. Process capability Identify and interpret various process capability indices, such as Cp and Cpk. (Understand) F. Qualitative and quantitative analysis Describe and distinguish between qualitative and quantitative analyses, and attributes and variables data. (Analyze) G. Cost of quality Identify the basic cost of quality (COQ) principles, and describe the four COQ categories: prevention, appraisal, internal failure, and external failure. (Understand)

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SIX LEVELS OF COGNITION BASED ON BLOOM’S TAXONOMY (REVISED) In addition to content specifics, the subtext detail also indicates the intended complexity level of the test questions for that topic. These levels are based on the Revised “Levels of Cognition” (from Bloom’s Taxonomy, 2001) and are presented below in rank order, from least complex to most complex.

REMEMBER

(Also commonly referred to as recognition, recall, or rote knowledge.) Be able to remember or recognize terminology, definitions, facts, ideas, materials, patterns, sequences, methodologies, principles, etc.

UNDERSTAND

Be able to read and understand descriptions, communications, reports, tables, diagrams, directions, regulations, etc.

APPLY

Be able to apply ideas, procedures, methods, formulas, principles, theories, etc., in job-related situations.

ANALYZE

Be able to break down information into its constituent parts and recognize the parts’ relationship to one another and how they are organized; identify sublevel factors or salient data from a complex scenario.

EVALUATE

Be able to make judgments regarding the value of proposed ideas, solutions, methodologies, etc., by using appropriate criteria or standards to estimate accuracy, effectiveness, economic benefits, etc.

CREATE

Be able to put parts or elements together in such a way as to show a pattern or structure not clearly there before; able to 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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