如何審核質(zhì)量方針、目標(biāo)和管理評(píng)審如何審核質(zhì)量方針、目標(biāo)和管理評(píng)審以下是國(guó)際標(biāo)準(zhǔn)化組織審核實(shí)踐小組關(guān)于如何審核質(zhì)量方針、目標(biāo)和管理評(píng)審的指導(dǎo)文件。翻譯出來(lái)供大家參考。Date: 12December2005ISO9001AuditingPracticesGuidanceon:AuditingQualityPolicy,QualityObjectivesandManagement如何審核質(zhì)量方針、質(zhì)量目標(biāo)和管理評(píng)審Auditingquality對(duì)質(zhì)量方針的審核Thequalitypolicyanditseffectivedeploymentcanonlybetrulyassessedbasedtheoverallresultsoftheaudit.只能等到整個(gè)審核有了結(jié)果以后才能對(duì)質(zhì)量方針及其展開(kāi)加以評(píng)估Auditmethodsshouldinclude:審核的方法應(yīng)當(dāng)包括：InterviewingTopManagementtounderstandtheirapproachandcommitmenttoquality;(clickheretolinktotheguidancepaperontheauditingofTopManagementprocesses)如何對(duì)最高管理者進(jìn)行審核，另外有單獨(dú)的指導(dǎo)文件。Evaluating,throughtherecordsofmanagementreview,thecommitmentandinvolvementofTopManagementintheestablishment,implementation,monitoringupdatingofthequalitypolicy;情況。AssessingwhetherManagementhaseffectively“translated”thequalitypolicyintounderstandablewordsandguidelinesatalllevelsoftheorganization,withcorrespondingobjectivesateachapplicablefunction/level;而且和每個(gè)應(yīng)當(dāng)建立質(zhì)量目標(biāo)的職能/層次的地方都建立了質(zhì)量目標(biāo)。Conductinginterviewswithpersonneltoverifyiftheyhavetherequiredawareness,understandingandknowledgeofthewaytheorganization’squalitypolicyrelatestotheirownactivity,regardlessofthetermsusedbysuchpeopletoexpresstheirunderstanding;作聯(lián)系起來(lái)了。不要計(jì)較這些員工使用什么術(shù)語(yǔ)來(lái)描述他們對(duì)質(zhì)量方針的理解。Seekingevidenceofeffectivedisseminationofthequalitypolicyappropriatecommunication.通過(guò)適當(dāng)?shù)臏贤ǚ绞絹?lái)尋求傳布質(zhì)量方針的客觀證據(jù)。Auditingqualityobjectives對(duì)質(zhì)量目標(biāo)的審核Auditorsneedtoverifythattheorganization’soverallqualityobjectiveshavedefined,thattheyreflectthequalitypolicy,aresubstantiallycoherent,alignedandcompatiblewiththeoverallbusinessobjectives,includingcustomerexpectations.Ifthisisnotthecase,theauditorsshouldfurtherevaluateTopManagementcommitmenttoquality.進(jìn)一步評(píng)估最高管理者對(duì)質(zhì)量所做的承諾。Thefulfilmentofqualityobjectivesneedstobemeasurableanddocumented.質(zhì)量目標(biāo)的達(dá)成必須可加以測(cè)量的而且必須形成文件。Thereisnospecifiedwayofidentifyingordocumentingqualityobjectives,asthesemayappearthroughbusinessplans,managementreviewoutputs,annualbudgets,etc.isuptotheauditorstosatisfythemselvesthattheobjectivesareadequatelydocumented.沒(méi)有規(guī)定用什么方法來(lái)標(biāo)識(shí)或者把質(zhì)量目標(biāo)形成什么樣的文件，這些可以通過(guò)商務(wù)規(guī)劃、管理文件化了。Theauditorsshouldobtainevidenceofthewaythequalityobjectivesaresuitablycascadedthroughouttheorganization’sandprocesses,linkingthegeneralstrategicobjectivestomanagementobjectivesanddowntospecificoperationalactivities.特定的運(yùn)營(yíng)作業(yè)中去了。Itisrecommendedthatthedocumentedqualityobjectivesshouldbeexaminedatdocumentationreviewstageoftheaudit.推薦在審核第一階段做文件評(píng)審的時(shí)候就檢查形成文件的質(zhì)量目標(biāo)。Beforetheendoftheaudit,theauditorshavetosatisfythemselvesthatthequalityobjectivesarerealisticandrelevant,andthattheorganizationhasassignedtoresponsiblepersonneltheresourcesneededtomeettheirobjectives.Evidenceofshouldbeobtainedatalllevelsoftheorganization.應(yīng)當(dāng)在組織的各個(gè)層次都能得到。Qualityobjectivesarenotstaticandneedtobeupdatedinthelightofthecurrentbusinessclimateandthequestforcontinualimprovement. Auditorsshouldverifythattheoverallperformanceoftheorganizationreflectstheaimsofthequalitypolicyandreasonablymeetsthequalityobjectives.目標(biāo)。Auditorsshouldkeepinmindthatthefulfilmentofobjectivescanbemeasuredinaquantitativeorqualitativemanner. Theyshouldalsorememberthatthereisalinkbetweenthedynamicaspectsofrevisingthequalitypolicyandthequalityobjectivesandthecommitmentoftheorganizationtocontinualimprovement.審核員應(yīng)當(dāng)記住，目標(biāo)的達(dá)成是可以定量或者定型測(cè)量的。審核員還應(yīng)當(dāng)記住，在質(zhì)量方針和質(zhì)量目標(biāo)以及組織決定持續(xù)改進(jìn)承諾之間應(yīng)當(dāng)有清楚的動(dòng)態(tài)修訂的聯(lián)系環(huán)節(jié)的。AuditingManagement對(duì)管理評(píng)審的審核ISO9001:2000requirestopmanagementtoreviewtheorganization'squalitymanagementsystem,atplannedintervals,toensureitscontinuingsuitability,adequacyandeffectiveness. Thereviewcouldbecarriedoutataseparatemeetingbutthisisnotarequirementofthestandard. Therearemanywaysinwhichtopmanagementcanreviewthequalitymanagementsystemsuchasreceivingandreviewingareportgeneratedbythemanagementrepresentativeorotherpersonnel,electroniccommunicationoraspartofregularmanagementmeetingswhereissuessuchasbudgetsandtargetsarediscussed.是為了確保該體系的持續(xù)適宜、充分和有效。這個(gè)管理評(píng)審有可能分開(kāi)開(kāi)會(huì)來(lái)執(zhí)行，但是，標(biāo)準(zhǔn)對(duì)這一點(diǎn)沒(méi)有規(guī)定要求。最高管理者可以采用很多方式來(lái)評(píng)審質(zhì)量管理體系，諸如對(duì)管理者代表，或者其他人的評(píng)審報(bào)告加以評(píng)審，也可以通過(guò)電子通訊方式或者作為日常的管理者會(huì)議ISO9001：2000Themanagementreviewisaprocessthatshouldbeconductedandauditedutilizingtheprocessapproach.管理評(píng)審是一個(gè)過(guò)程，應(yīng)當(dāng)按照過(guò)程的模式來(lái)加以審核。ISO9001clause5.6.2specifiestheinputstothemanagementreviewprocessandtopicsshallbeincluded. However,thesearenottheonlysubjectsthatcanbeincludedinareview.Theymightnotbeaddressedindividuallyorsimultaneouslybutaspartofanoverallreviewofthebusiness. Auditorsshouldbeawarethatinputscouldbeinmanyformssuchasreports,trendchartsandsoon.5.6.2審時(shí)有可能不僅僅這些唯一的主題，也許還有其他的主題作為整個(gè)商務(wù)活動(dòng)同時(shí)加以評(píng)審的。審核員應(yīng)當(dāng)懂得管理評(píng)審的輸入有可能有很多形式，諸如用報(bào)告、趨勢(shì)分析圖表以及其他各種形式。Asoutputfromthemanagementreviewprocess,thereshouldbeevidenceofdecisionsregarding:-作為管理評(píng)審的輸出，應(yīng)當(dāng)有證據(jù)來(lái)證明對(duì)以下內(nèi)容已經(jīng)做了決定：changeofqualitypolicyandobjectives,plansandpossibleactionsfor改進(jìn)計(jì)劃和可能的措施 changeofresources,資源的變更 revisedbusiness商務(wù)規(guī)劃的修訂budgets.各種預(yù)算Outputisnotonlyrelatedtoimprovementsorchangesbutcouldincludedecisionsotherimportantissuessuchasplanstointroducenewproducts.的產(chǎn)品等。Recordsofmanagementreviewsarerequiredbuttheformatoftheseisnotspecified.Minutesofmeetingsarethemostcommontypeofrecord,butelectronicrecords,statisticalcharts,presentationsetc.couldbeacceptabletypesofrecords.式，但是，電子記錄，統(tǒng)計(jì)圖表、報(bào)告等其他記錄形式也是可以的。Themanagementreviewprocessmightalsoincludeelementsofqualitymanagementsystemplanningwherechangestoprocessesandsystemsarebeingconsidered. Wherethisisthecase,theauditorsshouldreviewwhetherornotthefollowingpointshaveconsidered:-如果遇到這樣的情況的話(huà)，審核員應(yīng)當(dāng)注意評(píng)審以下內(nèi)容是否加以考慮了：Willchangestothemanagementsystemorbusinessasawholehaveimpactonotherpartsofthesystemorbusiness?如果對(duì)整個(gè)質(zhì)量管理體系或者商務(wù)做變更是否會(huì)影響到體系或者商務(wù)的其他部分？Areproposedchangesevaluatedbefore建議所做的變更在執(zhí)行之前是否加以評(píng)估？Inpreparingstrategicplans,areissuessuchasthosein4.1ofstandardconsidered?在編制戰(zhàn)略規(guī)劃的時(shí)候，是否考慮到ISO9001：2000標(biāo)準(zhǔn)第4.1條要求？Arethecontrolsneededidentifiedbeforetheoutsourcingofaprocessisbegun?當(dāng)有過(guò)程外包出去之前是否識(shí)別了各種必要的控制措施？Themanagementreviewprocessshouldnotbeanexercisecarriedoutsolelytosatisfytherequirementsofthestandardandtheauditors;itshouldbeanintegralpartoftheorganization’sbusinessmanagementprocess. Theoverallmanagementreviewiscomplexprocesscarriedoutatvariouslev