2005年合订本

CONTENTS
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2005年合订本
Tai Fook Securities Group, one of Hong Kong's leading
securities houses, their data center has been awarded
the internationally recognized BS 7799 Information
Security Management System certification. It is the first
financial securities company in Mainland China and
Hong Kong to receive this certification.
While online transactions have been experiencing
exponential growth, some investors, however, remain
skeptical of the security issues associated with online
trading. As skilled hackers continue to steal or damage
important information, investor confidence is dampened.
Tai Fook saw the need to address customer concerns,
particularly regarding personal data protection and
transaction security. The Group has identified an urgency
to enhance the risk management aspects of its information
system by allocating more resources, so as to safeguard
the interests of its customers. The BS 7799 certification
is an international benchmark that serves to assure
customers of security initiatives. Tai Fook believes this
reward will further strengthen the confidence customers
place in the Group, concerning the protection of personal
data, transaction information and other contacts through
the information technology platform.
大福证券集团大福证券集团是香港知名证券商
之一,其数据中心荣获国际BS7799资讯安全管理
认证,成为中国大陆和香港地区首家获此殊荣的证
券机构.
今天网上交易以几何级数增长,但仍有不少投
资者担心其安全性.技术高超的黑客盗窃或破坏重
要数据的事件大大影响了广大投资者的信心.大福
证券洞悉客户对这些问题的关注,特别是客户对保
护个人数据和交易安全的问题.因此制定了一套应
急方案,通过分配更多的资源来提高其信息系统的
风险防范能力,籍此保护其客户的利益.BS7799
认证是主动确保客户安全的国际基准.大福相信此
举将大大提高客户对公司的信任,降低客户在信息
科技平台传递个人数据,交易信息及进行其它交流
时的风险.
1
2
SONY has started the GEMS project to consolidate
373 sites world wide by March 2006. Key to the
success of the project will be attributed to the
Regional Environmental Office (REO) function. The
REO will manage site, collect regulatory information,
conduct corporate audit and create the most effective
administration structure and system in the region.
Sony, besidesthis, has focused on product environment
and their legal compliance to protect the Sony brand
image. BVQI will visit all of the sites which have
already certified against ISO 14001 to ensure compliance
to ISO 14001 requirements and to Sony's corporate rules.
The challenge now is how to create practical objectives and
define KPIs to monitor and measureperformance at a
network company level cascaded down from the
SONY corporate objective.
BVQI as SONY's global partner for GEMS will support
SONY by pointing out opportunity for improvement
such as linkage between sites, REO and HQ. Our
partnership means that the expectations of BVQI
auditors are very high.
索尼已经启动在2006年3月之前整合其全球373
个工厂环境管理体系(GEMS)的项目.项目成功的关
键将取决于区域环境事务所(REO)的工作成效.区
域环境事务所(REO)负责管理工厂,收集法律法规,
举行公司内审,并建立区域内高效的管理结构和系
统.此外,索尼还将注意力集中在产品的环境影响
和法规的符合性以保护索尼的品牌形象.BVQI将审
核所有认证ISO14001的现场,确保它们既符合
ISO14001的要求又符合索尼集团的要求.目前所面
临的挑战是怎样根据索尼总公司的目标层层分解,
为网络中某个公司制定切实可行的目标和用于监控,
度量环境绩效的关键绩效指标.
BVQI作为索尼全球GEMS的审核伙伴,将协助
索尼找出可改进的机会如增进工厂,REO和总部间
的有效交流.索尼与BVQI在GEMS项目合作意味着
索尼对BVQI审核员的厚望.
随着BVQI在浙江地区业务的蓬勃发展,
浙江地区的客户日益增多.为了对该地区的
客户提供更便捷的服务,BVQI特在杭州成立
办事处.2005年6月23日办事处正式开张,
来自浙江地区的客户60余人来到位于西子湖
畔的新办公室参加了开业典礼.
3
广州市地下铁道总公司运营事业总部日前通过了
BVQI对其进行的OHSAS18001职业安全健康体系的认
证审核,成为中国大陆地区首家通过OHSAS18001认
证的地铁公司.
广州市地下铁道总公司成立于2000年,目前负责
广州地铁一号线和二号线的运营管理,运营设备的维
护,运营里程约37公里.近年来,广州地铁建设飞
速发展,今年底将会同时开通三,四号线试营运,至
2010年,营运里程将达到250公里,5年内将增加近
7倍.
地铁安全不仅关系到地铁员工,更涉及到成千上
万的乘客.运营总部在新线扩展任务非常繁重的情况
下,坚持"安全第一"原则,按OHSAS18001标准要
求,建立和不断完善职业安全健康体系,以消除不可
接受的风险,确保广大乘客,员工的安全健康.
港铁轨道交通(深圳)
有限公司获得由BVQI香
港颁发的ISO9001:2000
证书,证书颁发仪式在
2005年6月28日举行.
BVQI的王建飞先生,郭
子炜博士,谢俊豪先生,
梁洁仪小姐,MTR公司
Russell J.Black先生
MTR Corporation
(Shenzhen) Limited is
recently certified by BVQI
Hong Kong with ISO
9001:2000 Certification,
the ISO Certificate
Presentation Ceremony
was held on 28-June-05.
Mr. J. F. Wang, Dr.
Thomas Kwok, Mr.C. H.
Tse and Ms. Janet Leung from BVQI HKG and Mr.
Russell J. Black (Project Director of MTR Corp.), Ir.
Henry Lam (Project General Manager of MTR Corp.)
and all MTR Shenzhen team attended the ceremony.
The following photos were taking during the ceremony.
(地铁公司工程总监),Ir. Henry Lam (地铁公司工
程总经理)和港铁轨道交通(深圳)有限公司员工参加
了庆典.
4
继2003年取得BVQI的ISO9001证书后,河北
移动再次率先在同行业通过环境管理体系
ISO14001认证.2005年7月20在北戴河举行的河
北移动通信有限责任公司总经理座谈会上,BVQI中
国北区执行经理汪昭胜先生又向河北移动通信(包
含其下12个分公司)颁发了ISO14001:2004环境
体系标准认证证书.体系覆盖移动通信话音,数据,
多媒体业务服务;IP电话及互联网接入服务;通信
工程及相关管理活动.
位于中坜市中华路铁道旁的福特六和汽车公司在环
球集团的总体政策指导下,率先成为全台第一家取得国
际汽车工业行动联盟(IATF)所认可的ISO/TS16949:2002
质量管理系统验证的汽车制造厂.进行验证稽核并颁发
证书的是具有将近180年国际信誉的法国BV集团在台
湾的分支机构「台湾卫理国际品保验证公司」(BVQI
Taiwan).同为百年企业,福特汽车采用BVQI的高标
准国际验证服务这不是第一遭;在东南亚的多处福特
汽车生产基地,如泰国,越南等,也都先后取得当地
BVQI的质量系统验证,并统一在BVQI的伦敦总部
注册.ISO/TS16949:2002是取代QS9000:1998
的汽车行业专用的质量管理系统国际标准,以
ISO9001:2000为主体加入汽车行业的专属要求,适
用于汽车制造供应链中的任何层级的制造厂.福特汽
车为此国际标准的原始起草者之一,在要求其第一阶
零件供货商都必须在QS9000:1998明年底除役前取得
此新标准的第三者验证之际,也以身作则地推动全球各
地的福特生产基地接受ISO/TS16949:2002的洗礼.这
也展现出福特汽车致力于质量保证的强烈意图与宣示;
意味着它的质量管理系统并非尽是自说自话,而是经得
起专业的考验与客观检查的.
5
Hong Kong and China Gas Company Limited (Towngas)
founded in 1862 in Hong Kong and they are the first
public utility in Hong Kong. Currently, with more than
3,000 km of pipeline network and an 85% economic
reach, the Company supplies town gas to over 1.5 million
customers in the territory. Their core business comprises
production and distribution of gas, marketing of gas and
appliances, and comprehensive after-sales services. In
recent years, Towngas has diversified into various green
businesses including LPG filling stations and utilization of
landfill gas. In the past ten years, they have actively
developed city piped gas business in mainland China.
Towngas now has joint ventures in 30 cities.Joint venture
projects across Guangdong, Eastern China, Shandong,
Central China,Northern China and Northeastern China.
香港中华煤气有限公司於1862年成立,是香港第一
家公用事业机构.现时,公司在香港的输气管网超逾
3,000公里, 覆盖全港85%家庭, 为超过150万住户及工
商业客户供应煤气.该公司的核心业务是生产,输配及
销售煤气和煤气炉具,及提供全面售后服务.今年致力
发展多元化环保业务,包括开设易高石油气加气站,及
利用堆填区沼气生产煤气.为配合长远策略性开发,过
去10年,该公司积极在大陆拓展城市管道煤气业务.
现时,已在大陆30个城市成立合资项目,分布于广东,
山东,华东,华中,华北及东北等地区.
基于这两项系统验证对受证者福特汽车公司与验证
单位法国BV集团这两家百年老店的特殊意义,BVQI特
别安排敦请BV集团副总裁/亚太地区总监
Mr.PedroGuimaraes赴台代表BVQI颁发证书,随行尚
有BV大中华地区总裁Mr. Serge Antonini及BVQI台
湾地区验证代表黄灯耀.
与此ISO/TS16949:2002验证同时,福特六和也通
过了BVQI的ISO14001:2004环境管理系统的全面性稽
核,延续原有的96'版ISO14001验证,取得BVQI验证
证书.两项验证稽核实际上是在同一个时段内合并实施
的.取得ISO14001环境管理系统的第三者验证,也是
成为福特汽车的合格零件供货商的必要条件之一.福特
汽车提倡环保,在众多汽车制造同业当中可说是领先群
伦;从福特六和近年来蝉连多次国家环评奖可见一斑.
6
Exel, the global leader in supply chain management,
has been certified by Bureau Veritas Quality
International (BVQI) for the coveted BS 15000 for its
Supply Chain Integrator (SCI2) which recognises that
the Company meets quality standards in IT service
management.Announced at the 13th Annual
Conference of the IT Service Management Forum in
Brighton, UK, and officially presented by Olivier Guize,
CEO of Bureau Veritas UK & Ireland, to Nigel
Underwood, CIO, Exel, and the SCI2 team at Exel's
UK Headquarters in Bracknell, the scope of certification
encompasses the service management processes
used to support the provision of the IT Global Supply
Chain Integrator service throughout Exel.
Recently submitted for 'fast-track' adoption as an ISO
standard, BS 15000 is the first worldwide standard
Exel,作为全球供应链管理领域的领导者,已
经通过了BVQI对其供应链综合管理(SCI2)所进
行的BS15000认证,此项认证标志着该公司符合IT
服务管理方面的质量标准.在英国布赖顿举行的13
届IT服务管理论坛年会上,BV在英国及爱尔兰地区
的首席执行官Olivier Guize向Exel的首席信息主管
Nigel Underwood及Exel在英国Brancknell总部的
SCI2团队宣布了本次认证的范围,包括Exel公司支
持全球IT供应链综合管理服务规定的管理流程.
We are invited by Towngas to join their ceremony to
present the OHSAS 18001 certificate to them on 14-Jul-
05. In the ceremony, Towngas invited Senior Officers of
Hong Kong Government Departments and their top
management to attend the ceremony. From our side, Mr.
Alexandre Norre, Zone Finance Controller of Asia Pacific
Zone - I & F Division, Dr. Thomas Kwok, Ms. Kei-Shan
Sung, Ms. Janet Leung, Mr. C. H. Tse, Ms.Tracey Tsang
and Ms. Alice Lai attended the ceremony.
2005年7月14日,香港中华煤气有限公司邀请
BVQI参加庆典并颁发OHSAS18000证书.香港政
府高级官员和中华煤气公司的高层领导参加了庆
典.我公司工业和设施部亚太区财务总监Alexandre
Norre先生,郭子炜博士,宋琪珊小姐,梁洁仪小
姐,谢俊豪先生,曾瑞敏小姐和黎康怡小姐一同出
席了庆祝典礼.
7
specifically aimed at IT service management and is
aligned with, and complementary to, the process
approach defined within the IT Infrastructure Library
(ITIL) framework.
Now officially certified with the BS 15000 IT service
management standard, with more than 6,000
registered users in 25 countries, Exel's SCI2 helps to
deliver significant value to its global customers.
A core service within Exel, SCI2 provides customers
with vital supply chain information focusing on
transportation management and supply chain event
management. With part-level, end-to-end visibility
linked to automatic alerts and messages, SCI2 makes
a direct impact on customers' operations; improving
customer service through superior information,
reducing costs through supply chain optimisation and
increasing revenue through shorter lead times.
Commenting on Exel's certification, Olivier Guize,
CEO of Bureau Veritas UK & Ireland, said, "Exel is the
first non-IT organisation to be recognised for the BS
15000 standard, demonstrating its leadership position
in the provision of IT in the supply chain industry."
Nigel Underwood, CIO, Exel, added, "This is the
culmination of two years work by the SCI2 IT delivery
team and its partners who are dedicated to providing
the highest level of global IT services around-the-
clock. The certification demonstrates Exel's strong
commitment to effective service management.
Technology forms the backbone of international
supply chain management and Exel will continue to
strive to meet and exceed market standards."
近来BS15000标准因"Fast Track"理念被提
议作为ISO标准采纳,它是首个世界范围内针对IT
服务管理及流程控制的标准,它和信息系统运营与
服务管理(ITIL)中定义的流程控制方法要求一致
并作了补充.
目前官方认可的BS15000IT服务管理标准的使
用者已经遍及25个国家并超过6000个注册用户,
Exel的SCI2有助于将有价值的信息传递给他在全球
的客户.
Exel,SCI2的核心服务就是向客户提供以运输
管理和供应链事件管理为关注点的供应链信息.
SCI2通过局部层次级及端到端的可视链接提供自动
报警和通知,从而对客户的运作产生了直接的影响,它
可以提供优质的信息改善客户的满意,同时通过优
化供应链降低成本,通过缩短交付周期增加利润.
BV英国及爱尔兰地区的首席执行官Olivier
Guize先生对于Exel认证的评价是:"Exel是首个
用BS15000标准认可的非IT组织,证明其在供应链
产业中IT管理方面的领先地位."
Exel的CIO,Nigel Underwood先生补充说:"两
年以来SCI2 IT交付团队及其伙伴致力于提供最高质
量的全球IT服务而不知疲倦地工作,这是他们合作
的顶峰.这一认证证明了Exel实现提供高效服务管
理承诺的坚强决心.作为国际供应链管理技术公司
的骨干,Exel将继续努力达到并超越市场的标准."
8
What do we mean by "adding value"
We hear so much about the importance of "adding
value" during quality management systems (QMS)
audits, but what does this really mean Is it possible
to add value without compromising the integrity of the
audit or providing consultancy In principle, all audits
should add value, but this is not always the case.
This document provides guidance on how an audit
can add value for the different parties involved, and
the various situations that are likely to be encountered
in the context of second or third-party audits.
"Value-added" quality management
systems
There are several dictionary definitions of "value", but
all focus on the concept of something being useful.
"Adding value" therefore means to make something
more useful.
Some organizations have used the ISO 9000 series of
standards to develop quality management systems
that are integrated into the way they do business, and
are useful in helping them to achieve their strategic
business objectives - in other words they add value
for the organization. Conversely, other organizations
may have simply created a bureaucratic set of
procedures and records that do not reflect the reality
of the way the organization actually works, and simply
add costs, without being useful. In other words, they
do not "add value".
HOW TO ADD VALUE DURING THE AUDIT PROCESS
It is a question of approach:
A non-value-added approach asks "What procedures
do we have to write to get the ISO 9000 certification "
A "value-added" approach asks the question "How can
we use our ISO 9001:2000-based quality management
system to help us to improve our business "
How to add value during the audit
process
How can we ensure that an audit is useful to an
organization in maintaining and improving its QMS (We
should recognize, however, that there may be other
perspectives that need to be taken into consideration.)
In order to "add value", a third-party audit should be useful:
to the certified organization
by providing information to top management
regarding the organization's ability to meet strategic
objectives
by identifying problems which, if resolved,will
enhance the organization's performance.
by identifying improvement opportunities and
possible areas of risk
to the organization's customers by enhancing the
organization's ability to provide conforming product
to the certification body, by improving the credibility of
the third party certification process.
9
我们常常听说,在做质量管理体系审核的时候增值
是重要的.但是,这是什么意思呢 是否有可能,在不
违背审核正直性或者不提供咨询的情况下做到增值呢
原则上说,所有的审核都应当是增值的,但是,实际上
并不总是如此.
本文用于指导如何使一次审核能对不同的审核有关
部门增值,以及第二方或者第三方审核时有可能遇到的
各种情况的处理.
在词典中有几种不同的有关"价值value"的定义.
但是,都集中于某事物是有用的(the concept of
something being useful)这样的概念.那么,增值
"Adding value"就是使某事物更加有用了.
某些组织已经采用ISO9000系列标准开发了他们
的质量管理体系,这些体系和他们所从事的某一行业是
结合的,从而感到这些体系帮助他们实现了他们的战略
目标,是有用的.换句话说,这些体系给他们的组织增
值了.反过来说,也许有些组织只是简单的创建了一
套官僚层级式的工作程序和记录,这些程序和记录并
没有真实反映组织实际工作的途径.那么,这样的体系
纯粹是增加各种费用,没有什么用途,换句话说,也就
没有增值.



实际上这是如何处理问题的方法问题:
不增值方法提出的问题是:"为了通过ISO9000认
证,我们不得不编写哪些程序 "
增值方法提出的问题是:"我们如何利用按照
ISO9000:2000标准所建立的质量管理体系来帮助我
们改进我们的工作 "
我们如何能确保某一次审核对某一组织在维持和改
进其质量管理体系来说是有用的 (当然,也许我们
应当认识到,还有其他有关方面的感知也必须加以考
虑的.)
为了做到"增值",第三方审核应当对以下各个方
面是有用的:
对已经取得独立第三方认证的组织来说,
向组织的最高管理者提供有关组织是否有能力
达到组织战略目标的信息;
通过识别组织存在的问题,如果把这些问题决,
就能提高组织的性能;
通过识别改进的机会或者有可能存在风险的地方.
对组织的顾客来说,通过提高组织的能力以便提供
符合要求的产品.
对认证机构来说,可以提高第三方认证过程信誉.
10
The approach to "adding value" is likely to be a
function of the level of maturity of the organization's
quality culture and the maturity of its QMS, with
respect to the requirements of ISO 9001:2000.
By referring to Figure 1, we can conceptually
separate organizations into four different zones, as
follows:
"Conformity to ISO 9001:2000" relates to the
maturity of the organization's QMS, and the extent to
which it meets the requirements of ISO 9001:2000. (It
is recognized that specific minor nonconformities
might be detected even in organizations that show an
overall high degree of maturity and conformity to ISO
9001:2000.)management representative).
Zone 1: (Low maturity of "quality culture";
immature QMS, not conforming to ISO 9001:2000)
For an organization that has little or no "quality culture"
and a QMS that does not conform to ISO 9001:2000, the
expectation of how an audit might add value could mean
that the organization would like to receive advice on
"how to" implement the quality management system
and/or resolve any non-conformities raised.
Here the auditor has to take great care, because in a
third party audit such advice would certainly generate a
conflict of interest, and would contravene the ISO/IEC
Guide 62 requirements for the accreditation of certification
bodies. What the auditor can do, however, is ensure that
whenever non-conformities are encountered, the auditee
has a clear understanding of what the standard requires,
and why the non-conformity is being raised. If the
organization can recognize that resolving these non-
conformities, will lead to improved performance, then it is
more likely to believe in and commit to the certification
process. It is important, however, that all identified
non-conformities are reported, so that the organization
clearly understands what needs to be done in order to
meet the requirements of ISO 9001:2000.
Low High
Maturity of "Quality culture"
"No conforming" "Conforming"
Maturity of QMS
Zone 3
Zone 1 Zone 2
Zone 4
11
这里要说明一下,什么叫:
"质量文化(Quality culture)" 是指整个组织质
量意识的程度,对质量的承诺,组织集体对待质量的态
度和行为.
"符合ISO9001:2000标准"是指组织的质量管理
体系的成熟程度,以及满足ISO9001:2000标准规定要
求的程度(应当认识到,即使一个很成熟的组织,整体
上高度符合ISO9001:2000标准要求,也有可能在某些
特定的地方发现一些次要的不符合.)
对于"质量文化"差的,或者没有"质量文化",
体系又不符合ISO9001:2000标准的组织,也许对
某一次审核增值的期望是,组织应该接受如何贯彻
质量管理体系和或者如何解决已经开出不符合问题
的忠告.
这里,审核员必须特别注意,由于这是独立第三
方认证审核,以上这样的忠告肯定会引起利益冲突,
有可能违反ISO/IEC Guide62指导文件对认证机构认
可的要求.但是,审核员可以做的是,当发现了任何
不符合问题时,确保让被审核方充分理解标准的要求
是什么,什么地方不符合,为什么要开不符合报告.当
组织认识到这一点,解决了这些不符合问题以后,就
能提高质量管理体系的性能.于是,更加相信认证过
程对他们有好处,更愿意接受认证过程了.但是,有
一点很重要,一定要把所有发现的不符合都报告出来,
以便被审核方认识到什么地方必须加以改进,才能符
合ISO9001:2000标准.
"增值"的做法好比起到了以下的功能,就是提高
组织"质量文化"的成熟程度,以及提高质量管理体系
符合ISO9001:2000标准要求成熟程度的功能.
参考图1,我们可以从概念上确定某个组织处于四
个区域中哪一个区域.(译者注――图1的纵轴是质量
管理体系符合ISO9001:2000标准的成熟程度.中线向
上符合标准的程度越来越高;中线向下不符合的程度越
来越大.横轴是组织"质量文化"的成熟程度.从左向
右越来越成熟.中线左面是"质量文化"低的;右面是
高的.)
图1:组织质量体系符合标准和"质量文化"成熟
区域3
区域1
低高
高
组织"质量文化"的成熟程度
区域2
区域4
质量管理体系符合
ISO9001标准的成熟程度
In order to be able to add value, the auditor has to
understand the way in which the organization's existing
practices meet the requirements of ISO 9001:2000. In
other words, understand the organization's processes in
the context of ISO 9001:2000, and not, for example,
insist that the organization redefine its processes and
documentation to align to the clause structure of the
standard.
The organization might, for example, base its
management system on business excellence models,
or total quality management tools such as Hoshin
Kanri (Management by Policy), Quality Function
Deployment, Failure Mode and Effect Analysis, "Six-
sigma" methodology, 5S programmes, Systematic
Problem Solving, Quality Circles and others. In order
to add value during the audit process, the auditor
should, at a minimum, be aware of the organization's
methodologies, and be able to see to what extent they
are effective in meeting the requirements of ISO
9001:2000 for that particular organization.
12
While some organizations might not be totally satisfied
with an audit outcome that does not result in certification,
the organization's customers (who receive the
organization's products) will certainly consider this to
have been a "valuable" audit from their perspective.
From the perspective of the certification body, failing to
report all detected non-conformities and/or providing
guidance on how to implement the quality management
system, adds no value to the credibility of the auditing
profession or the certification process.
We must recognize that the above discussion relates
mainly to third party (certification) audits. There is no
reason why a second party (supplier evaluation)
audit should not "add value" by providing guidance to
the organization on how to implement its quality
management system.Indeed, under these circumstances,
such guidance (if it is well-founded), would undoubtedly
be useful for both the organization and its customer.
For an organization that has a mature "quality culture",
but an immature QMS that does not conform to the ISO
9001:2000 requirements, the basic expectation of how
an audit might add value will probably be similar to that of
Zone 1. In addition, however, the organization is likely to
have a much higher expectation of the auditor.
对"质量文化"成熟的,但是,质量管理体系不成
熟,不符合ISO9001:2000标准的组织,对审核增值的
基本期望也许和区域1的组织相类似,另外,这类组织
对审核员的期望恐怕要高得多.
为了能够增值,审核员不得不理解组织现有的已经
满足ISO9001:2000标准要求的一些做法.换句话说,
要按照ISO9001:2000标准内容去理解组织实际在做的过
程,而不是,譬如说,坚持要求组织重新定义他们的各
种过程,也不要坚持要求他们为了和标准条款结构相对
应,重新定义他们的过程,改写各种文件.
譬如说,也许有的组织的管理体系是根据最优化商
务模式,或者采用全面质量管理工具,譬如,按照方针
管理,质量功能展开法,失效模式和后果分析,"六西
格玛"技术,5S管理,系统解决问题方法,质量圈或
其他方式为基础建立的.为了通过审核而增值,审核员
至少应该知道组织所采用的这些质量管理方法,能够看
得出该组织有效地符合ISO9001:2000标准要求所达到
的程度.
13
这样做,有些组织对这样的结果-没有马上通过认
证,可能会不很高兴.但是,从这些组织所生产产品的
接受者,也就是他们的顾客角度来看,这样的审核对他
们来说是增值的.对认证机构来说,不把所有发现的不
符合都报告出来,和/或者向被审核方指导如何贯彻标
准才能达到标准要求的做法,对审核专业的信誉或者认
证过程的信任度来说不是增值的.
我们必须认识到,以上讨论主要是针对第三方(认
证)所作的审核.对第二方审核(对供方的评估)来说,
向对方建议如何贯彻质量管理体系的做法,没有理由说
"不是增值"的.实际上,在这种情况下,这样种指导,
如果建议是切合实际的话,毫无疑问对组织和其顾客都
是有益的.
It is also important that the auditor not be "intimidated" by
the organization's apparent high degree of sophistication.
While the organization may be using these tools as part
of an overall total quality philosophy, there might still be
gaps in the way the tools are being employed. Therefore,
the auditor must be able to identify any systematic
problems and raise the appropriate non-conformities. In
these situations, the auditor might be accused of being
pedantic or even bureaucratic, so it is important to be
able to demonstrate the relevance of the non-conformities
that are being raised.
Zone 3: (Low maturity of "quality culture"; mature
QMS, conforming to ISO 9001:2000)
An organization that has been certified to one of the
ISO 9000 series of standards for a significant period
of time might be able to demonstrate a high level of
conformity to ISO 9001:2000, but at the same time not
have truly implemented a "quality culture" throughout
the organization. Typically, the QMS might have been
implemented under pressure from customers, and
built around the requirements of the standard, rather
than on the organization's own needs and expectations.
As a result, the QMS, may be operating in parallel
with the way the organization carries out its routine
operations, generating redundancy and inefficiency.
In order to add value in these circumstances, the
primary objective of the auditor should be to act as a
catalyst for the organization to build on its ISO 9000-
based quality management system, and to integrate
the system into its day-to-day operations. While the
third party certification auditor cannot provide
It is also important that the auditor not be "intimidated" by
the organization's apparent high degree of sophistication.
While the organization may be using these tools as part
of an overall total quality philosophy, there might still be
gaps in the way the tools are being employed. Therefore,
the auditor must be able to identify any systematic
problems and raise the appropriate non-conformities. In
these situations, the auditor might be accused of being
pedantic or even bureaucratic, so it is important to be
able to demonstrate the relevance of the non-conformities
that are being raised.
An organization that has been certified to one of the
ISO 9000 series of standards for a significant period
of time might be able to demonstrate a high level of
conformity to ISO 9001:2000, but at the same time not
have truly implemented a "quality culture" throughout
the organization. Typically, the QMS might have been
implemented under pressure from customers, and
built around the requirements of the standard, rather
than on the organization's own needs and expectations.
As a result, the QMS, may be operating in parallel
with the way the organization carries out its routine
operations, generating redundancy and inefficiency.
In order to add value in these circumstances, the
primary objective of the auditor should be to act as a
catalyst for the organization to build on its ISO 9000-
based quality management system, and to integrate
the system into its day-to-day operations. While the
third party certification auditor cannot provide
recommendations on how to meet the requirements of
ISO 9001:2000, it is acceptable and indeed good
practice to encourage and stimulate (but not require!)
the organization to go beyond the requirements of the
standard. The questions the auditor asks (and the way
he or she asks those questions) can provide valuable
insights for the organization into how the QMS could
become more efficient and useful. Identification of
"Opportunities for Improvement" by the auditor should
include ways in which the effectiveness of the QMS
might be enhanced, but could also address
opportunities for improved efficiency.
For an organization that has a mature "quality culture",
and has been certified to one of the ISO 9000 series of
standards for a significant period of time, the expectation
of how an audit might add value will be the most
challenging for an auditor. A common complaint among
this kind of organization is that the "routine surveillance
visits" by the auditor may be superfluous, and do little to
add value in the organization's eyes.
In these cases, top management becomes an
important customer of the certification process. It is
therefore important for the auditor to have a clear
understanding of the organization's strategic objectives,
and to be able to put the QMS audit within that
context. The auditor needs to dedicate time for
detailed discussions with top management, to define
their expectations for the QMS, and to incorporate
these expectations into the audit criteria.
14
还有一点很重要,不要被组织所介绍的那些听上去
很复杂的名堂"吓(intimidated)"倒了.也许,组织
运用了这些质量管理工具,作为整个大质量哲理中某
一个组成部分,在具体运用这些工具的时候,还是有
可能存在一定的差距.因此,审核员必须要有能力能够
识别出任何系统性的问题,开出相应的不符合报告.
在这些情况下,有时审核员会被人家说成卖弄书本知
识,书呆子,甚至被说成是官僚.因此,审核员一定
要有能力来展示,与开出这个不符合报告有关的各方
面内容.
对某一个组织,已经通过了ISO9001:2000标准的
认证,甚至有相当长的时间了,也许还能用客观的证
据来证明符合ISO9001:2000标准要求的程度已经相当
高了.但是,在整个组织中并没有真正贯彻"质量文
化".典型的,有一些组织也许是在顾客的压力下,
质量管理体系通过了ISO9001:2000的认证,但是,这
个体系的建立是围绕着满足标准提出的要求,而不是
围绕着组织自己的需求和期望建立的.其结果是,一
面按照自己的日常操作在运作,同时,再按照标准的
要求做一些累赘的,效率不高的工作.
在种情况下,为了作到增值,审核员的主要目标
是起催化剂的作用,促使组织把根据ISO9001:2000
标准要求建立的质量管理体系和日常的工作结合起来.
15
由于作为第三方审核员,不能提供如何满足
ISO9001:2000标准要求的建议,实际上,可以做的最
好做法是,鼓励encourage和促进stimulate(而不是要
求)组织超出标准提出的要求.审核员所提出的各种问
题(以及他或者她们提问题的方式)有可能让组织看到
自己的体系内在有可能变得更加高效率和更加有用.通
过审核员来识别各种"改进机会",应该包括有可能提
高质量管理体系有效性的各种途径,而且,还要说明如
何识别提高体系效率的各种方法.
对于"质量文化"已经成熟,而且已经通过了
ISO9001:2000认证好多年的组织来说,对一个审核员
如何通过审核过程而增值的期望,将具有最大的挑战性.
通常在这类组织中发生的抱怨是,认为审核员所做的
"常规性监督审核"也许是多余的,在他们的眼里,没
有给他们增值.
在这种情况下,最高管理者就成了认证过程的重要
顾客了.于是,对审核员来说,对该组织的长期战略目
标的理解变得特别重要,而且,能够把质量管理体系的
审核和长期战略目标内容结合起来.审核员必须舍得花
时间和最高管理者一起详细探讨,定义他们的质量管理
体系所要达到的期望,把这些期望作为审核的判别准则.
a.Understand the auditee's expectations / corporate
culture
b. Any specific concerns to be addressed ( output
from previous audits )
c. Risk analysis of industry sector /
specific to organization.
d. Pre-evaluation of statutory /
regulatory requirements.
e. Appropriate audit team selection to achieve
audit objectives.
f. Adequate time allocation
a. Focus more on the process, and less on procedures.
Some documented procedures, work instructions,
check-ists etc. may be necessary in order for
the organization to plan and control its
processes, but the driving force should be
process performance.
b. Focus more on results and less on records. In a
similar fashion, some records may be necessary
in order for the organization to provide objective
evidence that its processes are effective
(generating the planned results)
but in order to add value, the auditor should be
aware of and give credit for other forms of evidence.
c.Remember the 8 Quality Management
Principles
d.Use the "Plan-Do-Check-Act" approach to
evaluate the organization's process effectiveness.
i. Has the process been planned
ii. Is it being carried out according to plan
iii. Are the planned results being achieved
iv. Are opportunities for improvement being identified
16
and implemented
- By correcting non-conformities
- By identifying root causes of problems and
implementing corrective action
- By identifying trends, and the need for preventive action
- By innovation
e. Adopt a "holistic" approach to evidence
gathering throughout the audit, instead of focusing
on individual clauses of ISO 9001:2000.
a. Put the findings into perspective
(Riskassessment / "common sense").
b.Relate findings to the effect on the
organization's ability to provide conforming
product (see ISO 9001:2000 clause 1.1).
a. Sensible reporting of audit findingsi.
i. Different
approaches may be required depending on:
the organization's maturity (Zones 1, 2, 3 and 4)
the level of confidence in the organization's QMS
the risks involved
the auditee's attitude and commitment to the
audit process
Proactive
Reactive
ii. Ensure that any cultural aspects are taken
intoconsideration
iii.Emphasize positive findings as appropriate
iv.Will the solution proposed by the organization
in response to negative findings be useful
b. Reports should be objective and focused on the
right "audience". (Top management will probably
have expectations that are different from those
of the management representative).
a.理解被审核方的期望和公司的文化.
b.需要关注哪些特别需要注意的东西(譬如过去
历次审核的结果)
c.行业中某些风险分析,或者对该组织来说特定
的风险分析.
d.对法规和或者行业条例符合程度的预先评估.
e.恰当地选择审核员组成团队,以便实现审核的目的.
f. 给予充分的时间.
a.把审核的精力更多地放在对过程的审核,少放在
对程序的审核.某些文件化的程序,作业指导书,
检查单等对某些组织来说,为了策划和控制某些
过程是必要的,但是,真正起推动作用的应该是
过程的性能.
b. 审核时更多注意实际的结果,少注意文字的记录.
同样的,某些记录对某些组织来说提供客观证据,
证明体系的各个过程有效(达到了策划所规定的
结果)是必要的,但是,为了增值,审核员应该
意识到其他形式的客观证据,及其可信程度.
c. 记住质量管理的八大原则
d. 采用PDCA循环方法来评估组织中各种过程的有
效性.
i. 该过程是否已经过了策划
ii. 该过程是否正在按照计划进行运作
iii.策划所要达到的结果是否达到了
iv.是否通过以下活动识别过程的改进机会,而且
贯彻执行 持续的改进
17


-对不合格(不符合)的纠正.
-识别各种问题的根本原因,针对根本原因采取纠
正措施.
-识别发展趋势.以及采取预防措施的必要性.
-创新.
e. 通过对整个审核过程收集到的各种审核证据进
行客观分析("holistic"approach)的方法,
而不是孤立地关注ISO9001:2000 标准个别条
款的审核.
a. 通过对所有审核发现的分析形成感知(风险评估
和"总的概念").
b. 把这些审核发现和该组织是否有能力提供符合要求
的产品联系起来(见ISO9001:2000标准第1.1条).
a. 切合实际地报告各种审核发现
i. 应该根据以下不同情况决定采用不同的报告方式:
组织的成熟程度(位于图1的哪个区域,第1,2,3
或者4区)
对组织质量管理体系的信任程度
可能包含的风险
被审核方的态度以及对审核过程所作的承诺是
积极的,还是
反应式的,被动的
ii. 确保企业文化各个有关方面都已考虑
iii.适当地强调正面的发现
iv.当发现负面问题时,被审核方提出的解决办法是
否有用(是否增值)
b. 报告应该是客观的,而且要注意正确的报告"对
象"(有可能最高管理者对报告的期望和管理者
代表的期望是不一样的).
RFI#
Ndoc. #
ISO
9001:2000
Clause(s):
Request Interpretation Rationale
RF1-011
N649R2Ye s
No
Ye s
No
4.1.a
4.2.1
4.2.2.c
and 4.1.b
RF1-029
N753
RF1-037
N778
RF1-026
N718
Do only terms and definitions of ISO 9000:2000
constitute provisions of ISO 9001:2000 through
the reference in the text of Clause 2 of ISO
9001:2000
Does the expression "needed for the QMS" in
Clause 4.1 a) require the organization to
identify the QMS processes related to product
realization only
Clause 4.2.1 states that the organization's
quality management system documentation
shall include "a quality manual" (item b) and
"documented procedures required by this
International Standard" (item c).
Is it in compliance with the standard to include
the "documented procedures required by the
standard" in the quality manual instead of
having two separate sets of documents
Background: Some advisors recommend that
organizations which are implementing their
quality management system develop one
manual, in addition to all the six documented
procedures, because of clause 4.2.1. Yet
clause 4.2.2 says: "The organization shall
establish and maintain a quality manual that
INCLUDES: b) documented procedures
established for the quality management system
or reference to them. "
Does Clause 4.2.2 c), require that the manual
include a description of the processes, in
addition to a "description of the interaction
between the processes of the QMS "
Background: Attention is also drawn to the
connection between Clause 4.2.2 c) and Clause
4.1 b), where the organization is required to
"determine the sequence and interaction" of the
processes. On this problem of interpretation
there is a divergence of opinion between an
organization and a Certification Body.
The processes needed for
the QMS include those
related to product realization
as well as the other processes
related to the implementation
of the QMS, as per the
NOTE in clause 4.1.
18
说明
ISO9001:2000《质量管理体系――要求》是国际上使用最广泛的一份国际标准.大家在使
用过程中,遇到了一些有关标准理解的问题,国际标准化组织通过一定的渠道接受问题,然
后作书面的解答.
表格中内容的说明:
"文件号"-国际标准化组织TC176委员会所作解释的文件编号.
"条款号"-ISO9001:2000标准的条款号.
"理 由"-国际标准化组织所作诠释的理由.
王宏年译
文件号条款号问题诠释理由
RF1-011
N649R
2是的不对
是符合的
不要求
4.1.a
4.2.1
4.2.2.c
和4.1.b
RF1-029
N753
RF1-037
N778
RF1-026
N718
是否仅仅ISO9000:2000标准中的那些术语和定
义通过ISO9001:2000标准第2条引用而成为
ISO9001:2000条款的组成部分
第4.1条《质量管理体系――总的要求中》第
4.1.a 款要求"识别体系必需的过程",是否理
解为只要识别与产品实现有关的过程
第4.2.1条《体系文件化总的要求》中规定,(b
款)体系文件化必须包括质量手册和(c款)
ISO9001标准要求文件化的程序.
如果在手册中包含了标准所要求的文件化程序,
而不是两套单独的文件,是否符合标准要求
背景:有些咨询师建议,根据标准第4.2.1条要求,
组织必须编制质量手册,再加六份程序文件.另
外,标准第4.2.2条也说,"组织必须建立和维
持质量手册,其内容包括: b)体系所建立的
文件化程序,或者引用这些程序."
第4.2.2.c条对质量手册的规定,要描述体系各个
过程的相互作用.除了这一点之外,是否还要描
述过程
背景:把4.2.2.c条和第4.1.b(条要求联系起来,
第4.1.b)要求确定过程的顺序和相互作用.关于
这一点的解释,标准使用的组织和认证机构之间
有不同的观点.
除了产品实现过程以外还要包
括体系贯彻执行有关的过程,
即管理活动过程,资源提供过
程与测量过程.具体见第4.1条
的"注".
19
5.4.1
RF1-035
N765
RFI#
Ndoc. #
ISO
9001:2000
Clause(s):
Request Interpretation Rationale
Ye s
Does Clause 5.4.1 of ISO 9001:2000 consider
quality objectives defined by "YES/NO" criteria
to be measurable
Background: Several companies that we audit
have established some (but not all) of their
quality objectives based on "YES/NO" criteria.
Example "Achieve product certification for
"xxxxxxx" product by November 2002"; or
"Develop a new product to meet the requirements
of the "YYYYY" market by March 2003". In
order to provide a consistent and technically
accurate audit, we would like to know if these
are considered to be "measurable objectives".
Ye s
No
4.2.3.a
4.2.3.a
RF1-004
N641R
RF1-030
N774
Do documented inspection and test procedures
that are part of the quality management system,
have to be approved according to 4.2.3 a)
Does sub-clause 4.2.3 a) require that documents
required for the QMS be reviewed as well as
approved prior to issue
Clause 4.2.3 a) is applicable
to new documents which
are being developed. Some
degree of checking,
examination or assessment
by the person or persons
approving is inherent in
"approval for adequacy".
There is no requirement for an
additional "review" (as
defined in ISO 9000:2000
clause 3.8.7).
Ye s4.2.3.aRF1-001
N638R
Does documented purchasing information that
is part of the quality management system, have
to be approved according to 4.2.3 a)
20
文件号条款号问题诠释理由
是的5.4.1
RF1-035
N765
第5.4.1条是否能把利用 "是/否"通过一类的目标
作为可测量的目标
背景:我们审核时发现,某些组织利用"是/否"
判别准则建立他们的某些(不是所有)目标.譬
如,2002年11月通过某某产品的认证;或2003年3
月开发新产品满足某某市场的需求.为了从技术
上确保审核的一致性,我们想知道这些是否可以
作为"可测量的目标".
要
不要求
4.2.3.a
4.2.3.a
RF1-004
N641R
RF1-030
N774
检验和试验程序作为质量管理体系一部份的文
件是否要按4.2.3.a条批准
第4.2.3.a条要求体系文件在发放前除了批准以外
是否还要评审
第4.2.3.a条适用于正在新开发
的文件.通过一个人或者几个
人某种程度的检查,核对,批
准本身就包含了"批准文件的充
分性"了.没有要求再增加根据
ISO9000:2000第3.8.7条定义所
说的评审了.
要4.2.3.aRF1-001
N638R
当采购信息文件是质量管理体系的一个组成部份,
要否按4.2.3.a条要求加以批准
21
RFI#
Ndoc. #
ISO
9001:2000
Clause(s):
Request Interpretation Rationale
6.2.2RF1-044
N825R
5.6.3.b
RF1-025
N757
Ye s
No
Outputs from the management review shall
include decisions and actions on the "improvement
of product related to customer requirements". If
an improvement consists in the realization of a
new product, does it respond to this specific
requirement
Background: This clause is the only place
where the improvement deals with the
"product". In all other places the improvement
concerns the "effectiveness of the QMS". But
it's not clear if the sentence "improvement of
product related to customer requirements"
intends to limit the improvement only to the
products where the requirements have been
already established (e.g. contractually). A
clarification on this point will help users and
auditors in understanding the extent of
application of this requirement.
Does Clause 6.2.2 e) require the organization
to maintain records to demonstrate "the
evaluation of the effectiveness of actions taken"
toaddress competence needs, according to
Clause 6.2.2 c)
The realization of a new
product to improve an old
one could be one of the
results of the management
review (Clause 5.6.3 b).
It is up to the organization to
decide what records should
be maintained.
5.4.2RF1-021
N708R
No
Is it a requirement of Clause 5.4.2 to have a
document that describes the objectives,
timeframe, action and responsibilities
(Note: The description of this document is
not the same as the definition of "Quality
Plan" in ISO 9000:2000, paragraph 3.7.5)
Background: Some users interpret Clause
5.4.2 of the standard to require a document
(quality plan) that describes the objectives and
the responsibilities etc. This is in addition to the
quality manual and procedures document
already established to control the relevant
processes.
5.5.2RF1-027
N752
Ye s
In our organization we have a management
representative appointed by top management,
who works for the company in a managerial
capacity. He is not a permanent member of
staff, but works full-time on a contract basis.
Is it allowable under the standard, for such a
person to act as the organization's management
representative
22
文件号条款号问题诠释理由
是的
没有要求
5.6.3.b
6.2.2
RF1-025
N757
RF1-044
N825R
管理评审的输出必须包括有关与顾客要求有关产品
改进的决定和措施.假如一个组织一直坚持在开
发新产品,是否符合这条要求
背景:标准只有在5.6.3.b)条提到有关产品的改
进,其他地方关心的,都是质量管理体系有效性
的改进.但是,在文字上有点含糊,是否是与顾
客要求有关的产品的改进只限于顾客要求已经确
定的(譬如合同规定的)要求了.搞清楚这一点
对标准使用者和审核员理解标准是有帮助的.
标准第6.2.2条要求,凡从事对产品质量有影响
的工作人员,组织必须根据教育,培训,技能和
经验来确定适当的必需胜任能力,然后,提供培
训或者采取其它措施,以满足这些必需.其中c)
款要求组织评估提供培训或者采取其他措施的有
效性.e)条又要求维持相应的记录,那么组织
是否要有记录来证明组织已经评估了培训或者采
取其他措施的有效性
为了改进老的产品而实现新产品
可能是管理评审结果(5.6.3.b)
之一.
由组织决定哪些记录应当维持.
没有要求
符合的5.5.2
5.4.2
RF1-027
N752
RF1-021
N708R
我们组织最高管理者指定一位管理者代表,他有
能力管理公司的工作.他不是固定的公司员工,
是根据合同做全天工作的.这样的人符合标准要
求吗
第5.4.2条《质量管理体系的策划》是否要求用
文件来描述目标,什么时候完成,做什么工作,
谁负责 (注:这里的所指的文件不是指
ISO9000;2000第3.7.5条的"质量计划")
背景:某些标准的使用者认为,标准第5.4.2条
要求有文件(就是质量计划),来描述各种目标
和职责等.它是为了控制有关过程,对已经建立
的质量手册和程序的补充.
23
RFI#
Ndoc. #
ISO
9001:2000
Clause(s):
Request Interpretation Rationale
No
Ye s
Does the word "specify" or "specified" quoted in
various clauses require documentation
Clauses 7.2.1 a) and b), 7.3.3 d), 7.3.6 and
others.
Are the contractual delivery dates of a product
to be always considered as being part of the
"requirements specified by the customer",
mentioned in sub-clause 7.2.1 a)
A relevant example to
support the answer is in
the definition of procedure
(ISO 9000:2000, 3.4.5),
"specified way to carry out
an activity or process(3.4.1)",
with "Note 1 Procedures
can be documented or
not".
7.2.1.aRF1-009
N647R
7.2.1.aRF1-050
N851R
7.2.1RF1-020
N743
Ye s
In some countries, in order to perform
professional work, a law requires that a
professional be a member of the appropriate
Order and that the Order prescribes its own
rules. Some of the rules have an impact on the
product. Are these rules of the professional
Order to be considered requirements related to
the product
6.3RF1-003
N640R
7.1RF1-022
N716R
No
No
Does Clause 6.3 require records of the
maintenance of infrastructures
Does the use of the word "form" in the last
sentence of this clause, mean that the output of
the planning process must be documented
Background: There has been some confusion
due to the word "form" being interpreted as
meaning "document used to record data".
The word "form" means
usual/suitable format.
24
文件号条款号问题诠释理由
没有要求7.2.1.a
RF1-009
N647R
标准7.2.1.a),b),7.3.3.d,7.3.6条,还有其
他条款中提到的"规定的(specify;specified)",
是否一定要有文件来规定
ISO9000标准第3.4.5条"程序"
的定义:"活动或过程规定的
途径".后面有个注,这个"规
定"可以是文件化的,也可非
文件化的.
是的7.2.1.a
RF1-050
N851R
合同中规定的产品交付日期是否始终作为标准第
7.2.1.a)中"顾客规定的要求"
是的7.2.1
RF1-020
N743
在某些国家,为了执行行业内专业性工作,法律
要求该行业制定一些描述如何贯彻法规的指令,
某些指令对产品有影响的.是否应该把这些要求
作为产品的要求
没有要求
不是的
6.3
7.1
RF1-003
N640R
RF1-022
N716R
第6.3条《基础实施》有没有规定一定要有对基
础设施维护的记录
第7.1条《产品实现的策划》最后一句话"这项
策划工作的输出应采用适合组织运作方式的格式
(form)"是否意味着策划工作的输出必须形成
文件
背景:这个"格式"已引起某些误解,以为就是
记录数据用的文件.
这个"格式(form)"的含义是
通常的或者适用的方式format.
25
Failures in food supply can be dangerous and cost
plenty. ISO 22000 for food safety management systems
is intended to provide security by ensuring that there
are no weak links in the food supply chain.
ISO/22000, Food safety management systems-
Requirements throughout the food chain, is currently
at the stage of Draft International Standard (DIS). It is
expected to be available as an International Standard
in 2005. The standard can be applied on its own, or in
combination with other management system standards
such as ISO 9001:2000, with or without independent
(third party) certification of conformity.
ISO 22000 specifies requirements for a food safety
management system in the food chain where an
organization
needs to demonstrate its ability to control food
safety hazards in order to consistently provide safe
end products that meet both the requirements agreed
with the customer and those of applicable food safety
regulations, and
aims to enhance customer satisfaction through
the effective control of food safety hazards, including
processes for updating the system.
ISO 22000 may apply to all types of organizations
within the food chain ranging from feed producers,
primary producers through food manufacturers,
transport and storage operators and subcontractors to
retail and food service outlets - together with inter-
related organizations such as producers of equipment,
packaging material, cleaning agents,additives and
ingredients.
Food safety is related to the presence of and levels of
food-borne hazards in food at the point of consumption
(intake by the consumer). As food safety hazards may
be introduced at any stage of the food chain, adequate
control throughout the food chain is essential. Thus,
food safety is a joint responsibility that is principally
assured through the combined efforts of all the parties
participating in the food chain.
Organizations that produce, manufacture, handle or
supply food recognize the increasing requirement of
customers for them to demonstrate and provide adequate
evidence of their ability to identify and control food
safety hazards and the many conditions impacting
food safety.
by Jacob Faergemand and Dorte Jespersen
ISO 22000 TO ENSURE INTEGRITY
OF FOOD SUPPLY CHAIN
26
在食品供应链中某个环节的失败可能是危险的而且
要付出极高代价.而用于食品安全管理体系 ISO22000
标准正是试图通过确保食品供应链中没有薄弱环节来提
供这种安全性.
ISO2200食品安全管理体系是贯穿于整个食品供应
链上的要求,目前正处于国际标准草案(DIS)的阶段,
可望在2005年正式作为国际标准颁布. 这一标准既可
以单独使用,也可以和其他管理体系标准ISO9001:2000
整合使用, 既可作独立的第三方符合性认证之用, 也可
用于非认证用途.
ISO22000标准规定了在食品供应链中一个食品安
全管理体系的要求, 当一个组织
需要证实其自身在控制食品安全危害方面的能力
以便能持续提供既符合与顾客达成一致的要求又
符合适用的食品安全法规的终产品, 而且
有助于通过有效控制食品安全危害,包括控制加
工过程以保持系统的不断更新来提升顾客满意.
ISO22000标准适用于食品供应链范围内各种类型的
组织,从饲料生产者,农产品加工者到食品制造商,从
运输,仓储从业者到食品批发,零售商场,还有那些相
关组织如食品加工设备的生产商,包装材料生产商,清
洁药剂,食品添加剂以及食品配方制造商.
食品安全与食品本身带有的危害在其被消费(消费
者食用)的时刻存在与否以及存在的水平有关.由于
食品安全危害可能在整个食品供应链的任一阶段被导
入,所以在整个食品供应链上进行充分的控制是非常
重要的.因此食品安全是一个共同责任,它主要通过
在整个食品供应链上所有参与各方的共同努力来得以
确保.
那些生产,制造,处理或提供食品的组织认识到来
自消费者日益增长的要求,即要证实并提供充分证据
来说明组织有能力识别和控制食品安全危害以及许多
可能影响食品安全的情况.
27
ISO 9001:2000 on quality management does not deal
specifically with food safety.
As a result, many countries, such as Denmark, the
Netherlands, Ireland and Australia amongst others
developed voluntary national standards and other
documents specifying auditable requirements for food
safety management systems.
The number of national standards has led to confusion.
Consequently, there is a need to harmonize the
national standards on an international level. This was
the reason why the Danish Standards Association (DS
www.ds.dk) submitted a new work item proposal for a
food safety management sys-tems standard to the
secretariat of ISO/TC 34, Food products, in 2001.
The standard will combine generally recognized key
elements to ensure food safety along the food chain,
as follows :
Interactive communication
Communication along the food chain (see Figure 1) is
essential to ensure that all relevant food safety
hazards are identified and adequately controlled at
each step within the food chain. This implies
communication of the needs of the organization to
both organizations upstream in the food chain and
organizations downstream in the food chain.
Communication with customers and suppliers, based
on the information generated through systematic
hazard analysis, will also assist in substantiating
customer and supplier requirements with regard to
their feasibility, need and impact on the end product.
The standard will require that such communication is
planned and maintained.
System management
The most effective food safety systems are
designed, operated and updated within the
framework of a structured management system and
incorporated into the overall management activities
of the organization.This provides maximum benefit
for the organization and interested parties. ISO
22000 will take due consideration of the
requirements of ISO 9001: 2000 in order to enhance
compatibility of the two standards and to allow their
joint or integrated implementation.
Figure 1:
Example for
communication
along the food
chain.
Arrows indicate
interactive
communication.
28
Regulatory authorldes
Crop producers
Feed producers
Primary food producer
Food processors
2nd food processors
Whol esalers
Retailers
Consurner
Producers of pesticides,
fertilizers,and veterinary
drugs
Food chain for the
production of ingredients
and additives
Transport and storage
operators
Producers of equipment
Producers of cleaning
agents
Producers of packaging
materials
Service providers
Other supplying food
chains
与质量管理有关的ISO9001:2000标准并不能有
效针对食品安全.作为结果,有许多国家比如丹麦,
荷兰,爱尔兰和澳大利亚自主建立了国家标准以及其
他一些文件来规定针对食品安全管理体系的可被用来
认证的要求.
众多的国家标准已经造成了使用者的困扰,顺理
成章地需要一个国际标准来协调这些不同国家的标准.
这就是丹麦标准协会(DS-www.ds.dk)在2001年向
主管食品类产品的ISO/TC34(ISO组织第34技术委员
会)的秘书处提交新的食品安全管理体系标准工作草
案的原因.
标准将综合被普遍认同的在食品供应链中能保
证食品安全的如下关键要素:
交互沟通
在整个食品供应链上的沟通(见图一)是确保
在整个供应链上,在每个环节中所有显著的食品安
全危害能被识别和充分控制的关键.这种隐含的沟
通需求既包括某个组织与其在食品供应链中的上游
单位之间的沟通也包括与其下游单位.
在系统的危害分析所产生的信息的基础上,与顾
客和供应商之间的沟通也有助于使消费者和供应商要
求的可行性,需求以及对最终产品产生的影响更清晰
化.标准将要求对这些沟通进行策划并保持.
体系管理
最为有效的食品安全管理体系是在一个已构建
好的管理体系的框架内设计,运做和更新的,并且
能融合到组织的整个管理活动中.这将为组织和相
关利益团体提供最大效益.ISO22000标准将合理的
考虑ISO9001:2000标准的要求以提高这二者的兼容
性,以便允许这两个标准联合或整合执行.
法规部门
农作物加工者
饲料加工者
食品粗加工者
食品加工者
食品深加工者
批发零售
消费者
杀虫剂,化肥,兽药生产商
食品配,添加剂生产的供应链
运输和仓储从业者
生产设备制造商
清洁用药品生产商
包装材料制造商
服务业
其 他
图一:沿食品供应链的关联示例(箭头表示沟通方向)
29
Hazard control
Effective systems that are capable of controlling food
safety hazards to acceptable levels in end products
that are delivered to the next link in the food chain require
the balanced integration of prerequisite programmes 1)
and a detailed HACCP (Hazard Analysis and Critical
Control Point) plan.
ISO 22000 may apply to all types of
organizations within the food chain
ISO 22000 will dynamically combine the HACCP principles
and application steps with prerequisite programmes,
using the hazard analysis to determine the strategy to
be used to ensure hazard control by combining the
prerequisite programmes and the HACCP plan.
The standard will furtherclarify the concept of prerequisite
programmes. These are divided into two subcategories:
infrastructure andmaintenance programmes and
operational prerequisite programmes.
Infrastructure and maintenance programmes are used
to address basic requirements of food hygiene and
accepted good practice of a more permanent nature,
whereasoperational prerequisite programmesare used
to control or reduce the impact of identified food safety
hazards in the product or the processing environment.
The HACCP plan is used to manage the critical control
points determined to eliminate, prevent or reduce
specified food safety hazards from the product, as
determined during hazard analysis.
What are the benefits for users
The benefits for organizations implementing the
standard include among others the following :
organized and targeted communication among
trade partners ;
resource optimization (internally and along the food
chain) ;
improved documentation ;
better planning, less postprocess verification ;
more efficient and dynamic food safety hazard
control ;
all control measures subjected to hazard analysis ;
systematic management of prerequisite programmes ;
widely applicable because it is focused on end
results ;
30
1) A prerequisite programme is a specified procedure(s) or instruction(s),
specific to the nature and size of the operation, that enhances and/or
maintains operational conditions to enable more effective control of food
safety hazards and/or that controls the likelihood of introducing food safety
hazards and their contamination of or proliferation in the product(s) and
product processing environment.
危害控制
一个能够控制食品安全危害,使之在提交给食品
供应链下一环节的终产品中能达到可接受的水平的
有效的系统要求在实行HACCP体系的预先要求 和一
个详尽的HACCP计划之间寻求平衡.
ISO22000标准动态地结合了HACCP原则和预
先要求的应用,利用危害分析来确定用来确保危害
被预先要求和HACCP计划共同控制的策略.
标准将进一步澄清预先要求的概念,这将被分
为两部分:基础设施及其维护程序和可操作的预先
要求程序.
基础设施和维护程序用来申明食品卫生的基本
要求和一个更强制性的,可被接受的良好操作准则,
尽管可操作的预先要求被用来控制或减少在产品或
加工环境中识别出的食品安全危害的影响.
HACCP计划用来管理确定的关键控制点,以消除,
预防或减少特定的,在危害分析中所明确的来自产
品的食品安全危害.
执行标准的组织将得到包括并不限于如下好处:
在商务伙伴中有组织的以及导向明确的沟通;
资源优化(内部地,沿食品供应链);
改善文件;
更好地进行策划,减少事后验证;
更为有效和动态的食品安全危害控制;
所有的控制措施是基于危害分析;
预先要求的系统管理;
由于它关注最终结果而使其具有广泛的适用性;
31
注: 预先要求是指一个特定的程序或指导,根据组织
的性质和规模,提升和/或维持操作条件以便能更有效
地控制食品安全危害和/或控制引入食品安全危害和它
们在食品和生产环境中污染和增殖的可能性.
注
valid basis for taking decisions;
increased due diligence ;
control focused on what is necessary, and
saves resources by reducing overlapping system audits.
What are the benefits for other
stakeholders
The benefits for other stakeholders may include
confidence that the organizations which
areimplementing the standard have the ability
to identify and control food safety hazards.
Furthermore, the standard adds value because of the
following features :
international ;
provides potential for harmonization
of national standards ;
food processors are waiting for this standard ;
provides a reference for the whole food chain ;
provides a framework for third party certification ;
fills a gap between ISO 9001:2000 and HACCP ;
contributes to a better understanding and further
development of Codex HACCP ;
auditable standard with clear requirements ;
system approach, rather than product approach,
and
suitable for regulators.
Status of the work
The Draft International Standard ISO/DIS 22000 was
issued on 3 June 2004. The deadline for comments is
3 November 2004. ISO 22000 is expected to be
available as an International Standard in 2005.
The standard is being developed by working group
WG 8, Food safety management systems, of ISO
technical committee ISO/TC 34, Food products. The
6th meeting of the working group took place on 21-22
June 2004 in Copenhagen, Denmark.
Experts from the following countries are currently
participating in the working group: Argentina,
Australia, Belgium, Canada, Denmark, France,
Germany, Greece, Hungary, Indonesia, Ireland, Italy,
Japan, Netherlands, Republic of Korea, Poland,
Republic of Korea, Sweden, Switzerland, Tanzania,
Thailand, United Kingdom, United States and
Venezuela.
The following organizations have liaison status:
Confederation of the Food and Drink Industries of
the European Union (CIAA), Codex Alimentarius
Commission, CIES/Global Food Safety Initiative,
and World Food Safety Organization (WFSO).
32
Co-author Jacob Faergemand is convener and project
leader of the ISO working group that is developing
ISO 22000. He works for BVQI Denmark.
为决策提供有效依据;
与所付出的努力成正比;
针对必须处进行控制,并且
通过减少重复的体系审核来节约资源.
其他利益相关方能从中得到的益处包括
有信心认为执行标准的组织具备能力来识别和
控制食品安全危害.
此外,标准还因具备如下特性而增值:
国际性;
提供不同国家标准之间和谐统一的可能性;
食品制造商正期待这一标准;
作为一个参考提供给整个食品供应链;
提供第三方认证的框架;
填补了在 ISO9001:2000 标准与HACCP之间的
差异;
有助于更好地理解和发展食品法典中的 HACCP
准则;
是一个有清晰要求的可认证的标准;
是系统方法,而非产品方法,并且
适宜用作比较依据.
国际标准草案 ISO/DIS 22000已于2004年6月3日发
布.意见征求的最后期限是2004年11月3日.
ISO22000标准可望于2005年正式发布.
标准是由ISO第34技术委员会(ISO/TC34,食品类产
品)下辖的第8工作组(食品安全管理体系)负责建立
的.该工作组的第6次会议在2004年6月21-22日于丹
麦的哥本哈根举行.
来自下列国家的专家参与了该工作组的工作:阿
根廷,澳大利亚,比利时,加拿大,丹麦,法国,德国,
希腊,匈牙利,印度尼西亚,爱尔兰,意大利,日本,荷
兰,韩国,波兰,瑞典,瑞士,坦桑尼亚,泰国,英
国,美国和委内瑞拉.
下列组织在联络中:
欧盟食品和饮料工业联盟(CIAA), 食品法典委员
会,全球食品安全行动(CIES),世界食品安全组织
(WFSO)
联合作者: Jacob Fargemand是开发ISO22000标准
的ISO工作组联络人和项目领导,同时是BVQI丹麦食
品部经理.
联合作者: Dorte Jespersen是ISO工作组秘书,同
时为丹麦标准协会工作.
33
2004年7月15日,欧盟饲料添加剂工业通过
FEFANA(Fédération Européenne des Producteurs
d'Additifs pour l'Alimentation Animale欧洲饲料添加剂
生产商协会)在比利时布鲁塞尔制订并颁布了饲料添加
剂和预混料行业的新标准FAMI-QS.
此标准旨在保证动物饲料的卫生安全,进而保证人
用动物性食品的安全.标准是以ISO9001:2000为框架,
结合HACCP标准的要求,并增加一些行业特殊要求.
这个标准与ISO9001:2000相比,许多条款都进行了限
制性要求.在可溯性方面也得到加强.
中国市场经济的发展,科技进步,国际交流的增加
以及中国加入世贸组织,有力的促进了企业的快速发展
和产品创新.中国的部分饲料添加剂产品在国际市场已
有较强的竞争力,也一路引发了全球同类产品价格的下
滑.如:磷酸氢钙,维生素,赖氨酸,抗氧化剂,微量
元素等.中国饲料添加剂工业的迅速发展,极大地推动
了中国饲料生产加工业的快速发展,也拉动了饲料产品
市场竞争的加剧.FAMI-QS在规范欧盟饲料加工行业
的同时也对中国相关行业企业的市场准入提高了门槛.
目前欧盟已经有数十家企业通过了该项认证,这也
加速了该市场对该标准的诉求.许多欧盟进口商已经在
向输入欧盟的中国供应商将认证期限大大提前至2006
年1月1日.因此,国内饲料添加剂生产企业已经未雨
绸缪,积极酝酿应对方法.
BVQI中国已经在国内率先推出该项认证服务,
一些中国企业经其欧盟客户推荐已经与BVQI取得联系,
认证将在今年年底之前展开,届时将诞生中国首家通过
FAMI-QS的中国饲料添加剂生产企业.
这个标准要求欧盟的饲料添加剂生产商必须于
2006年1月1日之前得到FAMI-QS认证,欧盟以外出口
到欧盟的生产商必须于2007年12月31日以前通过
FAMI-QS认证,否则不得出口到欧洲任何国家.该法
规还规定,获得认证的企业将被公布在FAMI-QS的网
站上,并可在企业的宣传册,广告和产品证书等上使用
认证标识.
中国饲料添加剂工业经过20余年的发展,为饲料
加工业的发展起到了积极的支撑作用.产品中饲用磷酸
盐类产量最大,占饲料添加剂总产量的70%左右.饲用
赖氨酸,维生素,酶制剂,饲料保藏剂(抗氧,防霉剂),
调味剂,矿物质微量元素等都具一定生产能力和产量.
34
一 关于TS16949体系的认识:
1. TS16949不是标准而是技术规范,旨在减少
汽车供应链多方认证,多方审核的困扰,由国际标
准化组织(ISO)下属组织 TC176 联合 IATF (含日本汽
车制造协会 JAMA )共同修改完成的汽车行业标准.
2. 在社内进行TS16949体系认证时,一定要将
产品最终客户是谁体现在文件中,必须要知道我们
所生产的产品在供应链中的位置;如:我们APS的
客户是CDF和DCOE,我还要关注产品提供给了哪
家汽车整车客户,雷诺 日产 关注他们对产品的附
加要求和特殊要求!
3. TS16949认证必须提供1年的运行数据,认证
范围必须涵盖所有的汽车客户和产品;证书内容包
括认证范围和客户名单.
4. TS16949鼓励采用过程方法,在体系中一定
要体现对所有过程的识别,及其相互关联,先后顺
序!即:乌龟图和章鱼图!! 运用乌龟图识别过程,运
用章鱼图识别过程与过程的相互作用.
5. TS16949管理评审,内审,外审的整体思路
――乌龟图(见左图)
6. TS16949 的认证和审核包括三个部分:体系审
核,产品审核,过程审核;其中产品和过程审核是在
TS16949 中特有的,有其审核周期,范围,方法的特
别要求!如:社内关于汽车产品的订单是在香港接收
,BVQI 也会派出当地审核员到期驻地进行评审!提供
报告.又如:社内应设立专门的产品审核员,每一个产
品每年至少审核1次,社内可采用由品质保证部担当按
产品审核的相关表单进行审核记录并存档!!
7. 过程审核的大体思路:
8.社内所有审核员在进行认证审核时,不得依
TS16949技术规范的复印件进行,否则视为不合格项!
审核员在开具不合格项的依据必须是技术规范的标准条
款,不得依据手册或其它工具!! 技术规范中4.2.4.1关于
记录的保存,如超出保存期限过长也是不合格项!!
9. 此次技术规范的校准条款的学习中,庄老师特意
采取了学员编写审核问题的办法融合大家的思想,把对
条款的体会和理解提升到了务实/聚精的层面,收获很
大!目前,10余页课堂练习的原始资料已经拿回来,待
整理完全后,将配布给各内审员以帮助提高!
PFMEA控制计划客户满意度
DFMEA仪器设备作业指导书
流程图MSA分析4M+1E的确认
35
乌龟图
二 关于五大核心工具的认识:
1. 五大工具的整体认识:
APQP 一个主线
SPC
MSA 三个工具
FMEA
PPAP 一个目的
2. APQP――产品质量先期策划和控制计划
① 五个阶段(社内不涉及产品设计阶段)
② 特殊特性的来源一般包括:顾客的要求,行业
规范,法律法规,自己进行识别;特别是顾客所要求的
特殊特性,应体现在材料清单,PFMEA,控制计划,
流程图,作业技术书中,同时还要传给下一工序如:材
料供应商!
③ 明确了关于控制计划和QC工程表在APQP中的
使用原则――以顾客要求为主,如果客户要求使用QC
工程表,应尽在表中将控制计划的内容全部体现!!包括:
人,夹具,工装,子零件,预防维护,防静电,生产工
序等.
④ 关注APQP在TS16949:2002中的关联条款:
7.1.1/7.2.1.1/7.2.2.2/7.3.1.1/7.3.2.3/
7.3.3.1/7.3.3.2/7.3.6.2/7.3.6.3/8.2.3.1
⑤ APQP是一个结构化,系统化,过程的方法!!它
能引导资源,促进对所需要更改的早期识别!
36
3. PPAP ―― 生产用构件认可过程
① PPAP的提交遵守"一物一件"的原则;
②当客户没有作出要求的时候,按照第三级要求
提交资料和记录;
③零件提交保证书应由组织内负责认可现任的主
管来签署,APS由营业技术部部长签署较为合适;
④PPAP的全部档案不论提交的等级是多少,必须
保存到该产品停产后1年为止;
⑤与PPAP相关联的标准:7.3.6.3
4.FMEA――潜在失效模式与效果分析
①FMWA是逻辑思维的指导性方法,它是技术的
核心,它总结了以往的设计经验和教训,是客户要求
的汇总,并以此找出改善的机会;
②FMEA从框图开始,DFMEA以部件为主线进行
展开; PFMEA以工序为主线进行展开;将客户的要求
传达到相应的层次;
③当FMEA的P. R . D(风险指数)值偏大时,首先
应考虑降低是S(严重度),通常通过改变产品设计或重
新制定流程来实现,难度较大;其次考虑关注发生频
率,降低发生频率(O);最后,探测度(D)的改变通常是
通过工治具的防错技术或增加检察范围等来实现改善
,成本较大!!
④当发生以下情况之一时,应及时对FMEA进行变更:
A工序合并时;B搬迁,环境变更时;C人员流动
率超过15%时;
⑤FMAE的描述非常重要,在描述"潜在的失效模
式"是应用设计的专业术语;在描述"失效可能造成
的影响"时,应尽量用客户的感受去表达;
⑥FMEA是一个团队项目,必须通过组建专门的小
组来实现!它的输入必须是团队行为!
⑦ FMEA的严重度的设计可以是由小组共同制定
的等级,在制定严重度较大的级别时一定要慎重,以
避免在造成SPC和MSA的运行负担!!
⑧ 社内的模具设计,可以纳入设备的失效模式分
析,在本规范中不要求!!
5. SPC-统计过程控制
①SPC是对制造过程研究,是统计方法初步,是为
降低FMEA中的探测度,对防错技术的具体运用;是对制
程稳定性的分析方法!
②SPC是通过统计学方法,控制制程能力,通过求
得制程能力指数(CPK)来衡量制程能力;
③掌握了X-R图的运用方法,理解了CPK值的计算
原理!!
④具体运用部门为品质保证部,部品制造部工程管
理课.
6. MSA-测量系统分析
①MSA是SPC的基础,是分析制程条件与结果的
相关性的回归分析;验证测量系统的好坏!!
②对测量系统分析方法;对偏差,稳定性,线性,
重复性,再现性的求取方法有了一定的了解!
③具体运用部门为品质保证部,部品制造部工程管
理课.
通过此次外训学习,一方面:提升了各位学员对
TS16949的认识层次,同时,就社内体系推行中所遇到
的问题寻找到了合理的解决办法;树立了认证通过的信
心!!另一方面,提升了我们APS在认证公司(BVQI)的
企业形象,获得了认证老师对学员们认真,求实,积极,
负责的工作态度的良好印象!另外,就个人知识的积累
而言,通过本次学习,帮助我进一步全面掌握了TS16949
的知识体系,为后期的社内培训作好了充分准备!!
再次感谢领导的培养和提携,我将认真的把所学知
识运用到社内体系管理的实际工作中去,准确地传递给
更多的同事,为企业的发展而努力!!
(本文有所删节- 编者)
37
QS-9000:1998 证书将在2006年12月14日过期.许多按QS-9000标准认证
的公司要将其管理体系升版到 ISO/TS16949:2002.最低限度, 所有汽车行业的
供应商们都要按ISO9001:2000进行认证.
咨询您的客户.如果您是OEM轿车,卡车,公共汽车或摩托车供应链的制造商,
您很可能需按ISO/TS16949:2002标准进行认证(至少是ISO 9001:2000 标准).
证书失效期已经从 ISO 9001:1994 的到期日2003 年12 月延后至2006年12月.
因此失效期将不会再次后延.
以下是一些有用的信息:
ISO/TS16949:2002 标准和 IATF认证规则第2版规则( Rules for Achieving
IATF recognition 2nd Edition)可从AIAG获得,既有硬拷贝也有电子版.最近修
改过的"规则",适用于所有在2004年12月15日以后进行的审核.
AIAG的电话是1-248-358-3570,网站是
ISO9001:2000版标准可从ASQ获取,也有硬拷贝和电子版两种.
ASQ的电话是1-800-248-1946,网站是
请浏览IAOB (International Automotive Oversight Bureau's)的网站:
BVQI提供ISO9001:2000版标准介绍,内审员培训,TS16949:2002版内审员培
训等.若需详情,请洽BVQI 各办事处.
如果还没有计划,您需立即制定一个.最节省时间和节约费用的升版审核是和
您正常的监督审核一起进行.您可和BVQI各办事处联络以确定您的具体计划.
38
39
ANSI-ASQ国家授信委员会(ANAB)是美国管理
体系的授信机构.ANAB授信认证机构(如BVQI)从
事 ISO9001质量管理体系(QMS)和ISO14001 环境
管理体系(EMS)以及其它一系列基于行业的标准
(如AS9100,TL9000, RC14001,QS-9000等)的审核.
从2005年1月1日起,全新的ANAB授信标志代替
ANSI-RAB NAP标志出现在授信证书,宣传材料,信
纸等上.
1. ANAB的标志出现在所有2005年1月1日以后颁发
给客户的证书上.
2. 对已通过BVQI审核,证书上印ANSI-RAB标志
的客户来讲,BVQI将在重新认证后发放新证书时或换
证时发放印有ANAB标记的新证书.
3. 我们也可根据您的要求,将您证书上的标记立即
换为ANAB, 但要收费.
过渡期内,您宣传材料,信纸,名片上的标记
1. 在2005年1月1日以后印制的新材料中,应使用
ANAB标志,不能使用ANSI-RAB NAP标志.
2. 在1年的过渡期内,能使用印有ANSI - RAB
NAP老标记的材料,但在2005年12月31日后,禁止
使用.
3. BVQI将在监督审核时验证取得RAB证书的客户
是否遵守以上规定.
使用ANAB授信标记
客户必须根据BVQI的规定来使用BVQI和授信机
构(如ANAB)的标记(LOGO).这些规定对替代
ANSI-RAB NAP的ANAB标记仍然有效. 只有一点例
外,即ANAB标记必须用黑色或兰色印制(PMS2935
或等同)
1. 从2005年5月16日到2006年5月15日期间从2005
年5月16日开始,对现有客户和新客户的审核都必须用
ISO14001:2004作为审核标准.只要没有导致1996版
系统缺失的重大不符合项,根据2004版要求开出的不
符合项不影响ISO14001:1996版证书.根据
ISO14001:2004标准开的不符合项应在90天内关闭且
不能晚于2006年5月14日.
2. 2006年5月16日-过渡期结束2006年5月16日,所
有ISO14001:1996证书都将失效.根据新标准未关闭的
不符合项将影响证书/申请.如果您下次的审核是在2006
年4或5月进行,且您还未按ISO14001:2004标准进行审
核,我们建议您的升版审核安排在您正常的审核之前
(以避免可能发生的证书中断现象).必须等BVQI关闭
了所有不符合项后,才能发放ISO14001:2004版证书.
从1996版向2004版的过渡期从2004年11月15日到2006年5月14日,历时18个月.请注意以下信息:
亲爱的《法国卫理质量期刊》读者:
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