ISO9001:2008认证有效性的探讨:有效性是ISO认证的生命线
ISO9001: 2008 certification effectiveness study : effectiveness is the lifeline of ISO certification
认证有效性是保证认证工作质量的关键，是认证的生命。国家认监委在2006年认证机构工作会议上也特别提出“规范工作，提高认证有效性”的工作要求，并出台多项措施加强监督管理以提高认证有效性。笔者认为，要从根本上保证和实现认证有效性，关键在于不断提高审核员综合素质、规范审核员的认证实施活动。
The effectiveness of certification is to ensure the quality of the key certification, certification of life. CNCA certification body in 2006 work conference also proposed" standard work, to improve the effectiveness of certification " working requirement, and introduced a number of measures to strengthen supervision and management to improve the effectiveness of certification. The author thinks, should from go up at all to ensure and realize the effectiveness of certification, it is vital to improve the comprehensive quality of auditors, auditors for certification of the implementation of activities.
　　充分的审核准备是确保认证实施活动有效性的前提
Full audit preparation is to ensure that the Certification Implementation prerequisite of effectiveness
　　审核员接受认证机构委派的审核任务后，在进入现场审核前，做好充分的审核准备，是确保认证实施活动有效性的前提，而在审核准备阶段，下述几个环节尤为重要。
Auditors accept certification body accreditation review task, in enter the scene before the examination, make full preparation of auditing, is to ensure that the certification of the implementation of the activities of the effectiveness of the premise, in the audit preparation phase, the following link is particularly important.
　　首先，识别并熟悉相关法律法规
First, identify and be familiar with relevant laws and regulations
　　识别法律法规，不仅是各个管理体系标准的要求，也是审核员现场审核时对受审核方的守法情况作出判断的先决条件。审核员必须识别和熟悉与受审核方、受审核产品最密切相关的法律法规、部门规章和行业要求等，这对于陌生行业的审核尤其必要。识别法律法规的途径很多，可以查阅认证机构的审核作业指导书，请教专家，也可以直接在网上进行搜索查询并下载。
Identification of legal laws and regulations, is not only the management system standard requirements, but also the auditor audit to the auditee 's law to judge prerequisite. The auditor must identify and familiar with the auditee, audited product most closely related laws and regulations, departmental rules and requirements of the industry, this new industry particularly necessary for audit. Identification of legal pathways for many, can refer to the certification audit work instruction book, ask the expert, can also be directly in the web search query and download.
　　第二，文件审核要认真
Second, document review carefully
　　随着审核阅历的增加，审核员往往疏于对文件的认真审核。常常是在现场审核的同时完成文件审核，无形中缩短了现场查阅、验证、沟通的时间。因此，在现场审核前，必须对体系文件中的关键章节、组织特有的部分，认真仔细地审核，以便合理安排审核计划，这样也可使审核员提前获得对受审核方的理性认识。
With audit experience increases, the auditor is often fail to file check. Often in the audit file audit completed at the same time, virtually shortening site inspection, verification, communication time. Therefore, in the scene before the examination, must the system documentation of the key sections, the organization unique part, carefully check, so that reasonable arrangements for the audit plan, which also can enable the auditor to obtain advance to the auditee 's rational knowledge.
　　第三，合理安排审核计划
Third, reasonable arrangements for the audit plan
　　一份合理而详尽的审核计划，犹如现场审核的作业指导书。因此，审核计划不能过于简单，而应该为现场审核提供必须的信息和提示。审核组长应根据文件审核获得的信息和审核组的成员组成，合理安排审核计划，既充分发挥专业审核员的特长，又兼顾审核组内的分工和整体目标的实现。
A reasonable and detailed audit plan, like the on-site audit work instruction. Therefore, the audit plan cannot be too simple, and should be on site audit provides the necessary information and tips. The leader of the audit team should be based on document audit information obtained and audit team members, reasonable arrangements for the audit plan, can give full play to the professional auditors expertise, but also take into account the audit group within the division of labor and the realization of the overall target.
　　第四，审核前的专业培训
In fourth, before the audit professional training
　　审核员并非都对受审核方的产品特点、工艺流程、关键过程等非常熟悉。因此，在现场审核前，审核组需要完成与受审核方产品和过程相关的专业培训，确保审核员具备与审核相关产品和过程的基本知识。
The auditor is not always to the auditee product characteristics, process flow, key processes are very familiar with. Therefore, in the scene before the audit, audit team auditee need complete with product and process related to the professional training, to ensure that the auditor with the audit related product and process knowledge.
　　现场审核的控制是确保认证实施活动有效性的关键
On site audit control is to ensure that the certification of the implementation of the activities of the effectiveness of key
　　认证实施有效性集中体现在现场审核阶段，审核员应重点把握两个环节。
Certified Implementation Effectiveness is embodied in the on-site audit phase, auditors should grasp the two key links.
　　一是要灵活运用各种审核方法和现场审核技巧。审核员应在深刻理解标准内涵的基础上，紧紧围绕审核目的，综合运用各种审核方法和技巧，全面、准确、客观地寻求审核证据。对于标准中的策划部分，应关注管理者的管理思路是否顺畅；对于标准中实施的部分，应关注生产现场实施的效果，抓住重点，有的放矢。另外，审核员应时刻保持对体系的整体性认识，关注接口活动的审核。就某一质量活动或事实，善于运用正向、反向的追踪方法，发现体系接口方面存在的不足。
One is to make use of various audit methods and audit skills. The auditor should be in a deep understanding of the connotation of standard basis, closely around the audit objective, comprehensive use of various examination methods and techniques, comprehensive, accurate, objective for the audit evidence. In the standard plan, should pay attention to the management train of thought is smooth; in the standard implementation part, should pay attention to the production site implementation effect, hold a key, have a definite object in view. In addition, the auditor should maintain the system integrity awareness, attention interface activity audit. A quality activity or fact, good at using the forward, reverse tracing method, found the deficiencies of the system interface.
　　二是恰当作出现场审核结论，突出体系有效性的评价。现场审核完毕，审核组在对体系的符合性做出结论的同时，更应对受审核方体系的有效性做出恰当的评价，重点评价体系实施后对受审核方的内部管理、作业现场、产品质量、顾客关系、自我完善机制等方面的影响，并就如何进一步增加有效性为受审核方提出体系改进和努力的方向。
Two is the appropriate make on-site audit conclusion, outstanding system effectiveness evaluation. On site audit is completed, the audit team on system conformity concluded at the same time, deal with the auditee system effective make a proper evaluation, focusing on evaluation system after the implementation of the auditee 's internal management, site operations, product quality, customer relationship, improvement the respect such as the mechanism of the effects, and how to to further increase the validity for the auditee presents system improvement and the direction of our efforts.
　　不断提高审核员素质和能力是确保认证实施活动有效性的根本
Continuously improve the auditor quality and ability is to ensure that the certification of the implementation effectiveness of root activity
　　审核员的素质和能力是决定认证有效性的根本条件，认证的效果需要通过审核员的具体工作来表达和转换。一个合格的审核员需要具备必要的专业知识以及应用知识与技术的能力。在ISO19011标准中，审核员能力中的“技术”部分已有明确要求。但是，如何成为“好”的审核员，与审核员个人综合素质直接相关，而恰恰是这些“软条件”，应成为认证机构必须关注的一个重点。笔者认为，以下几方面是审核员必须具备并应不断加强和提高的。
The auditor 's quality and ability is to determine the effectiveness of attestation of fundamental condition, the effect of auditor certification through the specific work to the expression and conversion. A qualified auditors need to have the necessary professional knowledge and application of knowledge and technical ability. In the ISO19011 standard, the auditor competence in the" technology" has been part of explicit requirements. However, how to be" good" auditor and auditor, individual is integrated quality is directly related to, and just is these" soft", should become the certification body must pay close attention to a focus. The author thinks, the following is the auditor must have and should continue to strengthen and improve.
　　一是职业道德。作为一个审核员，公正、诚实、谨慎是最基本的道德要求，没有这些必须做到的为人处世的基本道德行为，就不可能有效地完成任何承担的任务，更谈不到“以事实为依据、以标准为准绳”的第三方认证工作了。
One is the occupation moral. As an auditor, justice, honesty, prudence is the most basic moral requirements, without these must do Weirenchushi basic moral behavior, can not be effectively to accomplish any task, more do not talk to" take the fact as the basis, to the standard as the criterion of" third party certification work.
　　二是职业精神。审核是一项高强度的劳动，因此需要审核员有较强的毅力，坚持不懈地实现审核目的，而这种毅力便来自于审核员的职业精神和责任感。审核员应充分认识认证的意义，这将有利于增强审核员的服务意识和职业精神，而此种精神会在审核过程中自然而然地体现出来。
Two is the occupation spirit. Audit is a high intensity of labor, therefore requires auditors have strong willpower, unremittingly to achieve audit purpose, and this will come from the auditor's occupation spirit and sense of responsibility. The auditor should be fully aware of the significance of certification, which will be helpful to enhance the service consciousness and the occupation spirit, and the spirit will come very naturally embodied during the audit process.
　　三是能力要求。随着认证行业的快速发展，对审核员的能力要求越来越高。“活到老、学到老”的终生学习观是这一行业从业人员应该树立的，这也是不断掌握新知识、适应行业发展的惟一法宝。除了必须的知识技能外，在审核过程中，审核员要能够快速适应各种不同的环境，要善于观察、判断和分析受审核方的活动，还需要具有较强的沟通能力，能够有效引导受审核方向利于体系自我完善的方向不断发展。
Three is the capability requirements. With the rapid development of the industry certification, the auditor 's ability to request more and more high. "Live, learn" lifelong learning concept is the industry practitioners should be established, which is constantly acquire new knowledge, to adapt to development of the industry the only a magic weapon. In addition to the knowledge and skills, in the review process, the auditor must be able to quickly adapt to different environments, should be good at observation, judgment and analysis the auditee 's activity, but also need to have the strong communication ability, can guide effectively by audit direction for self-perfection continuously in the direction of development.
　　提高认证实施活动的有效性，是每个认证机构和每位审核员时刻需要关注的问题，审核员只有在审核过程中不断提炼和总结，并注重个人综合素质和能力的提高，才能在审核过程中真正做到游刃有余、教学互长，积累起宝贵经验，认证机构才能实现对企业提供增值服务的承诺，我国的认证事业才能健康蓬勃发展。
Improve the effectiveness of the activities of certification, certification bodies are each and every auditor time concerns, the auditor only in the audit process continuously refined and summarized, and the importance of personal quality and comprehensive ability, can be in the audit process truly, do a job with skill and ease teaching each other long, accumulated valuable experience, certification bodies can be achieved for enterprises to provide value-added service commitment, the attestation of our country enterprise talent developing.