如何对最高管理层进行审核
如何对最高管理层进行审核?
How to audit top management processes?
如何对最高管理层进行审核?
Recognizing that the auditing of top management is a sensitive issue, this document provides guidance for this category of auditing.
虽然审核最高管理层是一个很敏感的话题,但本文件为此类审核提供了指南。
Auditors should involve top management in the audit, i.e. invite them to opening and closing meetings, allow sufficient time in the audit plan for interviewing top managers, discuss audit findings directly with them, seek evidence of their commitment etc. It is important to change the focus of attention from just the quality manager to the top management of the organization. The auditor should consider top management activities to be processes, and should audit them accordingly.
审核员在审核过程中会涉及最高管理层,譬如邀请他们参加首、末次会议,在审核计划中留出充分的时间与最高管理人员面谈,与他们直接商讨审核发现以及根据他们的承诺去寻找审核证据等。关注焦点从质量经理到组织的最高管理层的转变是十分重要的。审核员应该多关注最高管理者各项活动的进程并给予对应的审核。
Planning stage
策划阶段
The auditor needs to identify top management processes and:
审核员需要识别最高管理层的有关过程以及:
• understand the organization and its management structure by reviewing information such as organization charts, annual reports, business plans, company profiles, press releases, websites
通过例如组织结构图、年度报告、商业计划、公司简介、媒体宣传以及网站等评价信息了解组织以及其管理架构。
• make provision on the audit plan for gathering relevant information regarding top management commitment, directly from and by interviewing top management
审核计划中要考虑到直接从与最高管理层的面谈中收集到与最高管理层承诺有关的信息。 • understand the culture of the organization and its top management, in order to determine
its impact on the audit plan – and make appropriate adjustments
了解组织文化以及最高管理层以确定这些对审核计划的影响(并对审核计划做适当的调整)。 • take a professional approach to the auditor's own appearance by determining the dress code of the organization
根据不同组织特点,通过专业的方法确定组织所需的审核员。
• plan the timing of the top management interview to ensure convenience and punctuality. 确保在最高管理层方便时与其会见并保证准时。
An auditor with limited auditing experience should not be assigned to interview top management.
缺少审核经验的审核员不应被指定与最高管理层面谈。
Conducting the audit
实施审核
Common methods of evaluating top management commitment are:
评价最高管理层承诺的通常方法主要有:
Interviews with top management - the auditor can, by utilizing business terminology appropriate for the top management, ask relevant questions that:
与最高管理层面谈—审核员应采用合适的商业术语与最高管理者交流并询问以下问题:
• Seek to obtain evidence of top management’s awareness of and commitment to quality and its relevance to the organization's overall objectives and management system
寻求最高管理层在意识和质量承诺以及与组织相关的整体目标和管理体系等方面的可获得证据
• establish evidence of conformity to the ISO 9001 requirements for management responsibility
因管理职责而建立的符合ISO 9001要求的证据。
Collecting and corroborating evidence - the auditor/audit team should be constantly looking for opportunities to corroborate the answers received from top management when interviewed. This includes:
收集并证实证据—审核员或审核组应该不断地寻找机会去证明与最高管理层面谈后所获取的答案。这包括:
• the availability and relevance of policies and objectives.
方针和目标的有效性和相关性。
• the establishment of linkage between the policies and objectives.
方针和目标间关联性的建立。
• obtaining the evidence that these policies and objectives are effective and understood throughout the organization.
所获证据表明这些方针和目标是有效的并且能够在整个组织中被理解。
• determining if the policies and objectives are appropriate for continual improvement of the quality management system and for the achievement of customer satisfaction.
确定方针和目标对组织的质量管理体系的持续改进以及顾客满意的成果是否适宜。 • determining if top management are involved in management reviews.
确定最高管理者是否进行管理评审。
Additional interviewing and gathering of evidence may be needed to provide the necessary corroboration. The audit team should ensure that any additional evidence of top management commitment is also collected. They should review the collected evidence to ensure the completeness and accuracy of the information, and to provide confidence in the conclusions drawn.
额外的面谈和收集到的证据需要提供必要的证明。审核组需确保任何附加与最高管理者承诺有关的证据也需收集。他们在评审所收集的证据时应确保信息的完整性和准确性,以保证推断出的结论是可信赖的。
Audit reporting
审核报告
Auditors should prepare their audit reports in order to make them appropriate for presentation to the top management of organizations. It may be appropriate to present an executive summary of the audit report, suitable for presentation to the top management and key interested parties of the organization. The executive summary should highlight the key findings, both positive and negative, and identify opportunities for improvement.
审核员应该准备审核报告以便于其对组织的最高管理层进行适当的说明。就审核报告进行摘要性介绍是合适的;适宜时,可以向最高管理者和组织关键利益方进行说明。摘要的主要内
容应阐述审核发现(既包括积极的方面也包括消极的方面)和对改进机会的识别。
This article is an edited version of 'How to audit top management processes' from the website of the ISO 9001 Auditing Practices Group, and is reproduced courtesy of ISO and the IAF . These papers were developed on current best practice and therefore have not been formally endorsed as International Accreditation Forum (IAF) guidance or ISO TC176 interpretations. For further information about the Auditing Practices Group
http://isotc.iso.org/livelink/livelink/fetch/2000/2122/138402/138403/%203541460/customview.html?func=ll&objId=3541460&objAction=browse&sort=name.
这篇名为―针对最高管理者的审核流程‖是从ISO 9001审核实践小组的网站上下载,并获得了ISO 组织和IAF 论坛的转载。这些文章是当前实践发展的前沿之作,因此尚未被纳入到IAF 指南和ISO TC176解释当中。如想获得更多关于审核实践小组的信息,请点击:
http://isotc.iso.org/livelink/livelink/fetch/2000/2122/138402/138403/%203541460/customview.html?func=ll&objId=3541460&objAction=browse&sort=name.
The ISO 9001 Auditing Practices Group is an informal group of QMS experts, auditors and practitioners drawn from the ISO Technical Committee 176 Quality Management and Quality Assurance (ISO/TC 176) and the IAF. It has developed a number of guidance papers and presentations that contain explanations about the auditing of QMSs. These reflect the process-based approach that is essential for auditing the requirements of ISO 9001.
ISO 9001审核实践小组是由QMS 专家、审核员以及相关从业人员组成的非正式团体,这些人主要来自ISO TC176和IAF 。这个小组在QMS 审核领域进行大量的探索并形成众多的指南性文件和说明。这些反映以过程为基础的方法是ISO 9001审核要求中最不可或缺的。