HKICA-CC02 Examination Syllabus CERTIFICATION SCHEME OF QUALITY MANAGEMENT SYSTEM AUDITOR (CSQMSA)

Transcription

1 HKICA-CC02 Examination Syllabus 1 CERTIFICATION SCHEME OF QUALITY MANAGEMENT SYSTEM AUDITOR (CSQMSA)

2 Basic Knowledge Certified as Assistant Auditor satisfactory results in the Basic Auditing Knowledge examination organized by HKICA within 3 years before application. 2 Scope of examination Weighing (%) Quality management system standard 50 Quality management system professional knowledge 25 Quality Management system audit 20 Personal attributes, code of conduct 5

3 Basic Knowledge Duration: 1 hour. Total mark: 120 Passing mark: 84 3 Types of questions Marks for each question Sub-total marks Multiple choice 30 x 3 90 True or False 15 x 2 30

4 Basic Knowledge Quality Management System Standard Development of the ISO 9000 series 4 understand terms e.g. quality, requirements, quality management, products, quality planning, quality policy, quality objectives, processes, procedures, nonconformity, correction, corrective action and preventive action, continual improvement, documentation, customer, customer satisfaction Interrelationship of ISO 9000 standards

5 Basic Knowledge Quality Management System Standard understand the 12 basic principle of quality management system understand the eight quality management principles. understand the concept of quality and process approach. understand the requirements of the ISO 9001 standard. understand the structure and scope of ISO 9004 standard and relation with the ISO 9001 standards. understand the ISO 9000 standards 5

6 Basic Knowledge 12 fundamentals of quality management system Rationale for quality management systems Requirements for quality management systems and requirements for products Quality management systems approach The process approach Quality policy and quality objectives Role of top management within the quality management system Documentation Value of documentation Types of document used in quality management systems 6

7 Basic Knowledge 12 basic principle of quality management system Evaluating quality management Evaluating processes within the quality management system Auditing the quality management system Reviewing the quality management system Self-assessment Continual improvement Role of statistical techniques Quality management systems and other management system focuses 7 Relationship between quality management systems and excellence models

8 Basic Knowledge 8 quality management principles Customer focus Leadership Involvement of people Process approach System approach to management Continual improvement Factual approach to decision making Mutually beneficial supplier relationships 8

9 Basic Knowledge Quality Management System Audit Content of ISO19011 Clause 3, 4, 6.3 and Requirements of ISO / IEC17021: 2011 Conformity assessment General requirements for bodies providing audit and certification of management systems clause 9.1.2, 9.1.3, in relation to audit and certification.

10 Basic Knowledge Content of ISO19011 Clause 3 Terms and definitions 10 Audit, audit criteria, audit evidence, audit findings and conclusion Audit team, technical expert Audit scope, plan and programme Non-conformity and competence

11 Basic Knowledge Content of ISO19011 Clause 4 6 principles of auditing (personal behaviour) Integrity: the foundation of professionalism Fair presentation: the obligation to report truthfully and accurately Due professional care: the application of diligence and judgement in auditing 11 Confidentiality: security of information Independence: the basis for the impartiality of the audit and objectivity of the audit conclusions Evidence-based approach: the rational method for reaching reliable and reproducible audit conclusions in a systematic audit process

12 Basic Knowledge Content of ISO19011 Clause 6.3 Preparing audit activities Performing document review in preparation for the audit Preparing the audit plan 12 Assigning work to the audit team Preparing work documents e.g. checklists, forms and sampling plan

13 Basic Knowledge Content of ISO19011 Clause 6.4 A 13 Conducting the audit activities Conducting the opening meeting Performing document review while conducting the audit Communicating during the audit Assigning roles and responsibilities of guides and observers Collecting and verifying information Generating audit findings Preparing audit conclusions Conducting the closing meeting

14 Basic Knowledge ISO / IEC17021: 2011 clause and 3 Audit programme two-stage initial audit, surveillance audits in the first and second years, and a recertification audit in the third year prior to expiration of certification Determining audit time 14 Aspects to be considered for determination of audit time Time spent by non-auditors

15 Basic Knowledge ISO / IEC17021: 2011 clause 9.2 to 9.6 Initial Certification Planning Audits Conducting Audits Certification Decision Maintaining Certification 15

16 Basic Knowledge Understand the application of the principles, procedures and techniques of auditing; relate the auditee management system to the audit criteria; understand how to implement effective audit in the auditee organization's environment; understand the suitability and consequences of application of sampling technique during audit; 16 maintain confidentiality and security of information; Practice personal attributes necessary for the effective and efficient conduct of a management system audit.

17 Basic Knowledge Quality management professional knowledge understand the quality management tools, methods and techniques: common statistical techniques and methods; measurement and monitoring techniques, measurement processes and measuring equipment; root Cause Analysis; monitoring and measuring customer satisfaction, complaint handling, code of conduct, dispute resolution; 17

18 References Basic Knowledge ISO 10001:2007, Quality management Customer satisfaction Guidelines for codes of conduct for organizations ISO 10002:2004, Quality management Customer satisfaction Guidelines tor complaints handling in organizations ISO 10003:2007, Quality management Customer satisfaction Guidelines for dispute resolution external to organizations ISO 10005:2005, Quality management systems Guidelines for quality plans ISO 10012, Measurement management systems Requirements for measurement processes and measuring equipment 18

19 References Basic Knowledge ISO 10014:2006, Quality management Guidelines for realizing financial and economic benefits lso/tr 10013, Guidelines for quality management system documentation lso/lec 17000, Conformity assessment Vocabulary and general principles lso/tr 13425, Guidelines for the selection of statistic/ methods in standardization and specification Quality management principles, ISO, 2001 ISO 9000 Selection and use, ISO,

20 References Basic Knowledge ISO 10014:2006, Quality management Guidelines for realizing financial and economic benefits lso/tr 10013, Guidelines for quality management system documentation lso/lec 17000, Conformity assessment Vocabulary and general principles lso/tr 13425, Guidelines for the selection of statistic/ methods in standardization and specification Quality management principles, ISO, 2001 ISO 9000 Selection and use, ISO,

21 Basic Knowledge Personal attributes and behavior ethical, i.e. fair, truthful, sincere, honest and discreet; open-minded, i.e. willing to consider alternative ideas or points of view; diplomatic, i.e. tactful in dealing with people; observant, i.e. actively observing physical surroundings and activities; perceptive, i.e. aware of and able to understand situations; versatile, i.e. able to readily adapt to different situations; 21

22 Basic Knowledge Personal attributes and behavior tenacious, i.e. persistent and focused on achieving objectives; decisive, i.e. able to reach timely conclusions based on logical reasoning and analysis; self-reliant, i.e. able to act and function independently whilst interacting effectively with others; acting with fortitude, i.e. able to act responsibly and ethically, even though these actions may not always be popular and may sometimes result in disagreement or confrontation; stay healthy. 22

23 Basic Knowledge understand HKICA01 "Regulations for Certification Scheme of Quality Management System Auditors" Section 5 Obligations of Certified persons Section 8 Use of HKICA Certificate and Logo 23 Knowledge in Prevention of Bribery Ordinance, Cap. 201 Chapter 9 particularly in corruption, acceptance of advantages and entertainment.

24 Auditing Knowledge and Techniques Certified as Auditor 24 satisfactory results in the Auditing Knowledge and Techniques examination organized by HKICA within 3 years before application. Scope of examination Weighing (%) Quality management system standards and normative documents, professional knowledge and related application 35 Quality management system professional knowledge 15 Management system audit 45 Personal attributes, code of conduct 5

25 Auditing Knowledge and Techniques Auditing Knowledge and Techniques examination Types of questions Marks for each question Sub-total marks 25 Multiple choice (single answer) Multiple choice (multiple answers) 11 x x 3 18 True or False 5 x 2 10 Case study 5 x 6 30 Elaborate question 2 x Duration 1.5 hrs Total mark: 100 Passing mark: 70

26 Auditing Knowledge and Techniques Quality management system standards and normative documents, professional knowledge and related application Understand the quality management system standards and other documents used and its application in conducting audits Understand Quality management system standards and their interrelationship 26 Understand terms and definition of ISO9000 and basic principle of quality management system.

27 Auditing Knowledge and Techniques Quality management professional knowledge The same requirements as Assistant Auditor Personal attributes and behavior The same requirements as Assistant Auditor 27

28 Auditing Knowledge and Techniques Quality Management System Audit Master and apply the requirements of ISO19011 Sections 3, 4 and 6 and clause and to audits. Master and apply the requirements of ISO19011 appendix B to audits. Understand customers' products, processes, organization type, size, legal requirements, structure and outsourcing. Master and apply the requirements of ISO / IEC17021: 2011 Section 9 to audits. Business management practices basic concept of business management, and relationship between policy, objectives and outcomes; 28 management processes and related terms.

29 Auditing Knowledge and Techniques Content of ISO19011 Clause to 4 Defining the objectives, scope and criteria for an individual audit 29 Selecting the audit methods Selecting the audit team members

30 Auditing Knowledge and Techniques Content of ISO19011 Clause 6 Clause 6.2 Initiating the audit Clause 6.3 Preparing audit activities Clause 6.4 Conducting the audit activities Clause 6.5 Preparing and distributing the audit report Clause 6.6 Completing the audit Clause 6.7Conducting audit follow-up Annex B Additional guidance for auditors for planning and conducting audits Applying audit methods 30

31 Auditing Knowledge and Techniques Audit methods (ref. ISO19011 Annex B) 31

32 Auditing Knowledge and Techniques Annex B Additional guidance for auditors for planning and conducting audits Conducting document review Sampling sampling plan and method Judgement-based sampling Statistical sampling Preparing work documents Selecting sources of information Guidance on visiting the auditee s location Conducting interviews 32

33 Auditing Knowledge and Techniques Annex B Additional guidance for auditors for planning and conducting audits Audit findings Determining audit findings Recording conformities Recording nonconformities Dealing with findings related to multiple criteria 33

34 Management Theory and Application Certified as Lead Auditor 34 satisfactory results in the Management Theory and Application examination organized by HKICA within 3 years before application. Scope of examination Weighing (%) Integrated competence in quality management system audit Quality management system professional knowledge Personal attributes, code of conduct 45

35 Management Theory and Application Management Theory and Application examination Types of questions Marks for each question Sub-total marks Multiple choice 15 x 2 30 Case study 5 x Elaborate question Essay question type type 2 x x Duration 1.5 hrs Total mark: 100 Passing mark: 70

36 Management Theory and Application Quality Management System Audit 36 The applicants should be competence and proficient in application of the principles of quality management system audits and related techniques. Comprehensive risk control and integrated evaluation should be demonstrated in conduct of audits.

37 Management Theory and Application Quality Management System Audit Competence required to fulfil the audit planning and efficiency utilization of resources: on behalf of the audit team, to communicate with the auditee and audit client; to organize and direct audit team members; to provide direction and guidance to trainee or assistant auditors; to lead the audit team to reach audit conclusions; 37 to prevent and resolve conflicts; to prepare and complete the audit report; to conduct the opening and closing meeting

38 Management Theory and Application 38 Quality management system professional knowledge Be proficient and master quality management tools, methods, techniques, such as: business improvement tools, probability and statistics, reliability, quality improvement, root cause analysis; risk management; problem-solving techniques; measurement process. Master modern cutting-edge technology and dynamic quality management.

39 Marking system Marking System 39 Model answer shall be set for each multiple choice questions. Marks will be given for correct answers and marks will not be deducted for wrong answer. Suggested answers shall be set and marks should be allocated according to key points of answers for short questions. Marks for each key point should be pre-set. Marks would be given to answers with meanings which match the suggested answers as judged by the marker.

40 Cancellations, Rescheduling, No Shows If candidate needs to cancel or reschedule an examination, he/she must do so no later than 48 hours before the scheduled appointment. If he/she fails to notify the appropriate party within the specified time period and/or fails to meet a scheduled examination appointment, he/she forfeits the full examination fee and will have to pay the full examination fee in order to schedule another examination. 40

41 Cancellations, Rescheduling, No Shows extenuating circumstances medical emergency, death in immediate family, illness in immediate family explanations along with supporting documentation (e.g. accident report, medical documentation, death certificate). If he/she does not make contact within 72 hours following a missed appointment, fees will apply in order to schedule a new appointment. All claims will be reviewed on a case-by-case basis. The candidate is allowed a maximum of one year. 41

42 Public documents HKICA01 Regulations for CSQMSA HKICA02 Approval of Training Organization and Training Course HKICA03 Schedule of Fees for Person Certification HKICA04 Schedule of Fees for Approval of Training Organization HKICA05 Guidelines for Counting Continuing Professional Development Unit (CPDU) HKICA06 Appeal and Complaint Procedure HKICA-CC01 CSQMSA Certification Criteria HKICA-CC02 CSQMSA Written examination syllabus 42

43 Public documents HKICA01 质量管理体系认证审核师守则 HKICA02 培训机构和培训课程的审批 HKICA03 认证人员认证收费规则 HKICA04 培训机构审批收费规则 HKICA05 持绩专业发展单元(CPDU) 的指引 HKICA06 申诉和投诉程序 HKICA-CC01 质量管理体系认证审核师准则 HKICA-CC02 质量管理体系审核师笔试大纲 43

44 Public Forms HKICA-F01 CERTIFICATION SCHEME OF QUALITY MANAGEMENT SYSTEM AUDITOR APPLICATION FORM HKICA-F02 AUDIT LOG HKICA-F03 RECORD LOG OF CONTINUING PROFESSIONAL DEVELOPMENT UNITS HKICA-F04 APPEAL FORM HKICA-F05 POTENTIAL EXAMINER INFORMATION SHEET HKICA-F06 APPLICATION FORM AS APPROVED TRAINING ORGANIZATION HKICA-F07 APPLICATION FORM AS APPROVED TRAINING COURSE 44

45 Public Forms HKICA-F01 质量管理体系认证审核师申请表 HKICA-F02 审核日记 HKICA-F03 持续专业发展单元记录 HKICA-F04 申诉表格 HKICA-F05 潜在考核人员信息表 HKICA-F06 认可培训机构申请表 HKICA-F07 认可培训课程申请表 45 All documents and forms are available for download at Scheme website:

46 HKICA-CC02 46 End of the Session Thank you