Certified Quality Auditor (CQA-ASQ) Interview Questions

The Certified Quality Auditor (CQA-ASQ) certification program is amongst the most trustworthy credentials in the world of management and quality control. It establishes your competency as a quality control and auditing professional so as to get yourself recognition and evaluation by the industry. Further, while preparing for the interview it is very important to showcase your knowledge and competency of quality systems and whether you have what it takes to accurately inspect, judge, and evaluate different aspects of quality systems.

Saying so, interviewing for this job is hard work. While you can’t know everything they’ll ask you, there are a few questions that are highly predictable, and knowing your responses in advance can help put your mind at ease before the interview even starts. So, below we have listed some of the top Certified Quality Auditor (CQA-ASQ) Interview Questions. Let’s have a look!

Advanced Interview Questions

Can you describe your experience in quality auditing?

As a certified quality auditor with several years of experience, I have developed a deep understanding of the principles of quality management and the auditing process. My experience has taught me the importance of thorough planning, objective observation, and impartial reporting of audit findings.

One of the most significant non-conformances I identified during an audit was related to the management of customer complaints. The process was not properly documented, and there was no evidence of follow-up or resolution of the complaints. I raised this issue with the management team and recommended that they implement a formal process for documenting and resolving customer complaints. The management team was grateful for my observations and implemented the changes I recommended, resulting in a more effective and efficient complaint-handling process.

Another important aspect of my job is keeping up-to-date with changes in regulations and industry standards related to quality management. I regularly attend workshops and conferences, and I am a member of the American Society for Quality, which provides me with access to a network of professionals and a wealth of resources.

One of the most challenging aspects of being a quality auditor is communicating the results of an audit to senior management. I approach these situations by presenting the findings objectively, highlighting the benefits of implementing recommended changes and being prepared to answer any questions they may have. I also ensure that I maintain the confidentiality of information during the audit and keep the audit findings impartial and objective.

In conclusion, my experience as a certified quality auditor has given me a solid understanding of the principles of quality management and the auditing process. I am committed to continuously improving my skills and knowledge, and I take pride in delivering high-quality audit reports that contribute to the improvement of organizations.

How have you demonstrated your understanding of the principles of quality management in your previous work experience?

I demonstrate my understanding of the principles of quality management in my work experience by taking the following steps:

I stay knowledgeable: I continuously develop my understanding of the principles and practices of quality management, including Total Quality Management (TQM), Six Sigma, and ISO 9001 standards.
I put it into practice: I apply quality management principles in my daily work tasks and actively seek opportunities to improve processes and systems.
I communicate effectively: I communicate the importance of quality management to my colleagues and stakeholders, and actively involve them in quality improvement initiatives.
I keep records: I maintain accurate and up-to-date records of quality management activities, including processes, procedures, and results.
I strive for continuous improvement: I regularly review and evaluate the effectiveness of quality management processes, and continuously seek opportunities for improvement.
I lead by example: I take a leadership role in promoting and implementing quality management within the organization and act as a champion for continuous improvement initiatives.

Through these actions, I am able to demonstrate my strong understanding of the principles of quality management and my commitment to continuous improvement, making me a valuable asset to the organization and a dedicated professional.

Can you describe a time when you identified a significant non-conformance during an audit and how you handled it?

As a certified quality auditor, I am trained to identify non-conformances and make recommendations for improvement. One instance that stands out in my mind was during an audit of a manufacturing facility. During the audit, I discovered that the process for controlling and managing raw materials was not properly documented and there were no standard operating procedures in place. This was a significant non-conformance as it could have a significant impact on the quality of the final product.

I immediately raised this issue with the management team and recommended that they implement a formal process for controlling and managing raw materials. I provided them with examples of best practices and offered to assist them in developing standard operating procedures. The management team was grateful for my observations and took my recommendations seriously.

I then followed up with the management team several weeks later to ensure that the changes were implemented and that the process was working effectively. I was pleased to see that they had taken my recommendations to heart and that the process was now well-documented and controlled.

This experience taught me the importance of impartiality and objectivity in the auditing process. It also reinforced the importance of follow-up and monitoring to ensure that recommended changes are implemented and working effectively. I am proud to have made a positive impact on this organization and to have contributed to the improvement of its processes.

How do you prioritize and plan your audit activities to ensure that they are completed within the established timeframe?

Prioritizing and planning audit activities is an essential part of the auditing process, and it helps to ensure that audits are completed within the established timeframe. To prioritize and plan audit activities, follow these steps:

Define the audit scope and objectives: Clearly define the audit scope, including the areas to be audited, the type of audit (e.g. internal, external), and the objectives of the audit. This will help to prioritize audit activities based on their importance and relevance.
Schedule resources: Determine the resources required for each audit activity, including the time, personnel, and equipment needed. Schedule resources based on availability and prioritize audit activities based on resource constraints.
Develop a timeline: Create a timeline that outlines the start and end date of each audit activity, and allocate sufficient time for each activity. Consider any deadlines and constraints, such as the availability of personnel or equipment.
Review and adjust: Regularly review the timeline and adjust it as necessary to ensure that audit activities are completed within the established timeframe. Consider factors such as unexpected issues or changes in the audit scope.
Monitor progress: Monitor progress regularly and adjust the plan as needed to ensure that audit activities are completed within the established timeframe. Use tools such as progress reports, project management software, or regular status meetings to stay on track.

By following these steps, you can prioritize and plan audit activities effectively and ensure that they are completed within the established timeframe. This will help to ensure that audits are conducted efficiently, effectively, and in accordance with best practices.

Can you describe a process improvement project you have been involved in and what your role was in the project?

I was involved in a process improvement project for a customer service team in a retail company. My role in the project was to lead the process improvement initiative and ensure its successful implementation.

I started by conducting a thorough analysis of the current customer service processes and identifying areas for improvement. I worked closely with the customer service team to gather their feedback and suggestions and used this information to develop a new process that was more efficient and customer-focused.

Once the new process was developed, I was responsible for communicating the changes to the customer service team and providing training on the new procedures. I also worked with the IT department to implement the necessary technology solutions to support the new process.

Throughout the implementation phase, I monitored the progress of the project and made any necessary adjustments to ensure its success. I also conducted regular check-ins with the customer service team to gather feedback on the new process and address any concerns or challenges.

In the end, the new process resulted in significant improvements in customer satisfaction and a reduction in call times, which had a positive impact on the customer service team and the organization as a whole. I was proud to have been a part of this project and to have played a role in improving the customer experience for our clients.

How do you ensure that you remain current with changes in regulations and industry standards related to quality management?

To remain current with changes in regulations and industry standards related to quality management, you can follow these steps:

Subscribe to relevant industry organizations, newsletters, and publications to receive updates on regulatory changes and industry standards.
Attend industry conferences and events to network with experts and gain valuable insights on changes and trends.
Seek professional development opportunities such as certifications, training, and workshops to stay up-to-date with best practices and standards.
Join online forums and discussion groups to engage with peers and share knowledge on industry developments.
Develop relationships with regulatory bodies, industry associations, and subject matter experts to gain a deeper understanding of changes and how they affect your organization.
Continuously monitor internal and external processes to ensure compliance with current regulations and standards.
Have a process in place to review, evaluate and update your quality management system to reflect changes in regulations and standards.

By taking these steps, you can ensure that your organization remains current with changes in regulations and industry standards related to quality management and can continue to provide high-quality products and services.

Can you describe a situation in which you had to communicate the results of an audit to senior management and how you approached the situation?

I was asked to present the results of an internal audit to senior management in a company. The audit was focused on reviewing the company’s financial reporting processes and procedures.

I approached the situation by preparing a clear and concise presentation that summarized the findings of the audit and highlighted any areas of concern. I made sure to focus on the key points that were most relevant to senior management and to present the information in a manner that was easy to understand.

Before the presentation, I reviewed the results with the audit team to ensure that I had a complete understanding of the findings and to clarify any questions I had. This helped me to be confident and knowledgeable during the presentation.

During the presentation, I was professional and engaging, using clear language and visual aids to help illustrate my points. I also made sure to emphasize the importance of the audit results and to discuss any recommendations for improvement.

After the presentation, I was prepared to answer any questions that senior management had, and to provide additional information if necessary. I also made sure to follow up with senior management after the presentation to ensure that they had a clear understanding of the results and any actions that needed to be taken.

Overall, I approached the situation with professionalism and a focus on clear and effective communication, which helped me to effectively communicate the results of the audit to senior management.

How do you handle conflicts that may arise during an audit and ensure that the audit findings are objective and impartial?

As a certified quality auditor, it is my responsibility to ensure that audit findings are objective and impartial. Conflicts may arise during an audit, but it is important to handle them in a professional manner to maintain the integrity of the audit process.

When conflicts arise during an audit, I follow these steps to handle them:

Remain calm: Conflicts can be stressful and emotional, but it is important to remain calm and professional. This will help to maintain the integrity of the audit process and ensure that the audit findings are objective and impartial.
Gather information: Gather as much information as possible about the conflict, including the facts and any relevant documentation. This will help to understand the root cause of the conflict and identify potential solutions.
Listen actively: Listen actively to both sides of the conflict to understand their perspectives and concerns. Encourage open and honest communication, and avoid making assumptions or jumping to conclusions.
Seek clarification: If there is any confusion or misunderstanding, seek clarification to ensure that everyone is on the same page. This will help to resolve the conflict in a timely and effective manner.
Find a solution: Work with the parties involved to find a solution that addresses their concerns and meets the requirements of the audit. Be impartial and objective in your recommendations, and consider the impact on the audit process.
Document the conflict and resolution: Document the conflict, including the facts, perspectives, and any resolution that was reached. This documentation will serve as a record of the conflict and its resolution and will help to ensure that the audit findings are objective and impartial.

By following these steps, I am able to handle conflicts effectively during an audit and ensure that the audit findings are objective and impartial. This helps to maintain the integrity of the audit process and ensures that the audit results are reliable and trustworthy.

Can you describe how you evaluate the effectiveness of a quality management system?

When evaluating the effectiveness of a quality management system, I follow a systematic approach that includes the following steps:

Reviewing policies and procedures: I start by reviewing the policies and procedures that make up the quality management system to ensure that they are current and relevant.
Gathering data: I gather data from various sources, including customer feedback, internal audits, and performance metrics, to assess the performance of the quality management system.
Analyzing data: I analyze the data to identify any areas of weakness or improvement opportunities. I also look for trends and patterns in the data to gain a deeper understanding of the strengths and weaknesses of the quality management system.
Engaging stakeholders: I engage stakeholders, including employees and customers, to gather their feedback and insights on the effectiveness of the quality management system.
Comparing to standards: I compare the results of my evaluation to relevant industry standards, such as ISO 9001, to assess the overall effectiveness of the quality management system.
Making recommendations: Based on my analysis and evaluation, I make recommendations for improvement and provide a roadmap for implementing the necessary changes.
Monitoring progress: I monitor the progress of any improvement initiatives and track the results to ensure that the quality management system is continuously improving.

By following this systematic approach, I am able to evaluate the effectiveness of a quality management system and make informed recommendations for improvement.

How do you ensure that you are able to maintain the confidentiality of information during an audit?

As a certified quality auditor, it is crucial for me to maintain the confidentiality of information during an audit. Here are some of the steps I take to ensure this:

Sign Confidentiality Agreements: Before starting an audit, I sign a confidentiality agreement that outlines the terms and conditions of the audit, including my obligations with respect to confidentiality. This helps to establish clear expectations and reduce the risk of breaches.
Use secure storage: I take care to store audit-related documents, notes, and findings in a secure location, such as a locked filing cabinet or encrypted storage device. This helps to protect the confidentiality of sensitive information.
Limit access: I limit access to audit-related information to only those personnel who need it to perform their jobs. This helps to reduce the risk of unauthorized access to sensitive information.
Avoid sharing information: I avoid sharing audit-related information with unauthorized personnel, including co-workers, family members, or friends. This helps to maintain the confidentiality of sensitive information.
Train personnel: I ensure that all personnel involved in the audit are trained on the importance of confidentiality and the steps they need to take to maintain it. This helps to reduce the risk of breaches and ensure that all personnel is aware of their obligations.

By following these steps, I am able to maintain the confidentiality of information during an audit and ensure that sensitive information is protected. This helps to build trust with audit clients, protects the reputation of the organization, and ensures that the auditing process is conducted in a professional and ethical manner.

Basic Interview Questions

1. What does the term Audit mean to you?

An audit is an independent examination of a business’s financial information. An auditor verifies the integrity of financial transactions, records, and reports, intending to express an opinion on the fairness and reasonableness of the stated financial information

2. What are the aims of Auditing?

The main aim of the Audit is to help the administration in achieving various targets by introducing a systematic approach and evaluating the risks. Auditing helps in deciding future management policies, organizational structures, and the effectiveness of controls.

3. What are the audit control procedures?

Audit control procedures are the policies and practices designed to achieve the aims of the audit. Also, it helps to exercise due care and diligence in planning, organizing, executing, and reporting the audit. Internal auditors implement audit controls to review the effectiveness of various control environments.

4. In what ways does Internal Audit contribute to an organization’s success?

Internal auditing is important to ensure that a company’s assets are not only in proper use but also spent in the best way possible. An internal audit examines a company’s processes, procedures, and records to review how the business is being conducted daily. Internal Auditors are in charge of keeping records on certain plans, as well as making sure that all procedures are followed correctly and policies and regulations are met.

5. Can you distinguish between Internal Audit and External Audit?

An internal audit is an assessment of your organization to determine whether the policies and procedures are effective, efficient, and compliant with various laws, regulations, and standards. An external audit is performed by a third party to determine the overall effectiveness in ensuring that management meets its objectives.

6. What is a Statutory Audit?

The Statutory Audit is a comprehensive audit of financial statements to ascertain and ensure that they are following the generally accepted accounting principles. It also evaluates the reliability of the accounting and internal control systems, such as book-keeping, accounting, and related financial information systems, preparing and maintaining the accounts, etc.

7. What is the Audit Evidence?

Audit evidence comprises all documents, records, and materials that may provide support to the findings of an audit of financial statements. These are gathered by the auditor during audit procedures, and at times reviewed with the management of the auditee. Everything that is seen or touched by the auditor is regarded as audit evidence.

8. What is a Partial Audit?

A partial audit is an audit that is restricted to certain areas, such as cash, inventory, fixed assets, etc. It is not a full-scale audit of the entire system and operations of the clients. It applies to companies that do not carry out large-scale business transactions. The report of a partial audit covers those points for which it has been specially undertaken. It is not like a complete and full-scale audit, nor is it applicable to private or public limited companies or cooperative societies. The authorities that decide the ratio pay particular attention to these matters while preparing the final accounts of a firm.

9. What is a Propriety Audit?

Propriety Audit is a permanent system to check and monitor the execution of the final decision of the executive, in both financial matters like expenditure, appropriation of funds, utilization of funds, recovery or settlement of claims or dues. It is related directly to the public interest and its object is to get audit satisfaction that such decision is within the framework of sanction, authority, rule, procedure, and law made by a competent authority.

10. How would you explain the term Audit Risk?

A risk that the evidence collected by an auditor could be deficient or inadequate to give him a legitimate reason to contemplate on the monetary and cost statements is commonly known as Audit Risk. To limit this danger, the examiner practices judgment on the kind and measure of proof he gains.

11. What is meant by the term Vouching?

Vouching is a process by which the standing of all or some voucher documents are tested to ensure that the same is genuine, was properly issued, and is correctly presented for payment. The vouching process enables us to verify the existence and accuracy of ledger accounts as well as vouchers themselves.

The basic purpose of vouching is to satisfy the auditor that the transaction has been correctly recorded in the books. Vouching includes examining vouchers, the reconciled statements of accounts, provisional amounts, and related documents and comparing them with entries in the ledger accounts.

12. Can you name the elements that are in the checklist for the internal audit?

Following elements are in the check-list for internal audit –

Warrants / Vouchers
Bills / Receipts
Disbursements / checks
Bank Reconciliation
Income
Treasurer’s Reports
Taxes

13. How would you describe substantive tests?

The process of examination of financial statements and supporting documents to search for any fallacy or fault is known as substantive testing. This process assists an organization in asserting that its financial documents and records are valid, authentic, and bona fide. Also, this allows the organization to earn the faith of investors and prevents fraud.

14. What should an auditor do after an audit has been completed?

On completion of an audit, there are a few steps to provide a substantial outcome. These steps include furnishing an audit report, studying the outcomes with the associates, endorsing the adoption of suggestions from the audit, and helping with the proper actions taken in dealing with the issues in the audit report. All these actions combined will help in achieving the aims of the audit and improving efficiency.

15. What items does an internal audit plan contain?

An internal audit plan is a strategic framework for providing internal audit services. It details the mission, objectives, and goals of an internal audit program. It also outlines specific performance standards and areas of risk for focus during an internal audit. The plan supports the auditor by empowering him with authority, defining his responsibilities, and providing clear lines of communication between the auditor and others in the organization. It defines the degree of independence, objectivity, authority, and accountability of the internal auditor.

16. Define intangible assets?

The assets which are not physical in nature are intangible assets. These assets provide brand recognition to the company. For example, Patents, trademarks, franchises, etc. Intangible assets make buyers attractive to buy the company.

17. Do you know what tangible assets are?

Tangible assets are physical assets such as buildings, land, equipment, and machinery. Further, Tangible assets refer to those assets which we can see or touch in their original form.

18. What is Decommission Liability?

Decommission Liability is a term for the costs that a company expects to incur in the future when the plant is shut down. It does not include expenses for labor wages and benefits, decommissioning of equipment, or disposal of wastes from the plant.

19. What is a non-statutory audit?

A non-statutory audit is a financial statement audit that is not necessary by law. In a non-statutory audit, the auditor chooses which information to examine and what procedures to follow, so long as they don’t interfere with the client’s ability to carry out its normal business.

20. What does an Internal Audit charter contain?

An internal audit charter is a powerful tool to compel departments to provide the auditor with the information required for the audit. This paper will illustrate the purpose, contents, and structure of an internal audit charter. An internal audit charter must contain language that puts a department on notice of its obligation to respond to an auditor’s requests for information.

21. What is Decommission Liability?

Decommission Liability is a term for the costs that a company expects to incur in the future when the plant is shut down. However, it does not include expenses for labor wages and benefits, decommissioning of equipment, or disposal of wastes from the plant.

22. What is a non-statutory audit?

23. Can you define the term Performance Audit?

A performance audit is an independent assessment of an institution’s programs and functions to determine if the organization is meeting its goals. A performance audit resembles an internal financial audit in that it assures that the system of controls used by the institution is operating following government objectives and applicable laws and regulations.

24. What does an Internal Audit charter contain?

An internal audit charter is a powerful tool to compel departments to provide the auditor with the information required for the audit. Further, this will illustrate the purpose, contents, and structure of an internal audit charter. An internal audit charter must contain language that puts a department on notice of its obligation to respond to an auditor’s requests for information.

25. Can you explain the purpose of meeting in an Audit?

The purpose of meeting in an Audit is to provide a key description of the type of audit that has to conduct. Also, duties should analyze during the fieldwork. This is because the clients must get inform about the procedures that will follow the fieldwork.

26. How would you explain the term External Audit?

An external audit offers a company a third-party verification of its accuracy and reliability, which is why businesses turn to an external audit yearly. A certified public account (CPA), an independent examiner who serves as an auditor, reviews and verifies General Ledger, which is the financial record of all inflows of money, including sales and purchases, as well as outflows of money, payments, and transfers.

27. Who can audit an auditing firm?

Any auditing firm, other than the firm itself, can audit the auditing firm.

28. Can you elucidate how involving others in an audit can be a good idea?

During audits, it’s a good idea to involve the auditee and their student workers in this process. For example, ask for volunteers from each group at an audit to walk through the audit process with you as an assistant. However, this will give a better understanding of what audits are. Also, inviting all auditees to the closing meeting can be very beneficial. It allows everyone to hear audit findings firsthand – both positive and negative.

29. What are the merits of an Internal Audit?

The merits of an internal audit are:

Firstly, Internal audit is cost-efficient.
Also, an organization doesn’t need a Charted Accountant to conduct an internal audit.
Further, correct discrepancies before finalizing the financial statements.
Finally, the organization’s goodwill is not at risk. This is because the discrepancies will remove without others even getting to know about them.

30. What are some of the limitations of an Internal Audit?

There are basically two major disadvantages:

Firstly, a shareholder will not accept the internal audit
Moreover, the probabilities of an internal audit having discrepancies are more since it is not finalized by an independent and neutral auditor

Expert’s Corner

Once you’ve passed the Certified Quality Auditor (CQA-ASQ) interview, chances will rise high for higher growth in terms of both incomes as well as job satisfaction! Hope the above-listed questions turn out to be fruitful for you.

Apart from these interview questions, we’ve compiled an exhaustive list of practice tests that mimics the actual Certified Quality Auditor (CQA-ASQ) exam. Furthermore, with our free practice tests and wealth of knowledge, we’re sure you’ll be more than prepared when faced with the actual exam. Enhance your expertise with the Certified Quality Auditor (CQA-ASQ) free practice tests Now!!

Certified Quality Auditor (CQA - ASQ) Free practice tests