In April 18th, the second auditor Symposium in 2008 was held in Beijing. The theme of this discussion was "the issues that should be concerned in the process of audit implementation", which was told by the senior expert of the certification industry, Mr. Xu Yun, a part of the Beijing auditor and some managers.

Mr. Xu served as an executive of CNAS's accreditation and certification company. He has worked in the certification industry for many years, and has accumulated rich experience in auditing and management. In order to make this study more pertinent, we communicated with Xu in advance the problems found in the recent review, so that the discussion could be solved to improve the effectiveness of the discussion. The contents of this study include the following four aspects:

I. national laws and regulations and other requirements related to certification and Accreditation

1, in the process of certification activities, we should strengthen the sense of quality and risk, and pay attention to the relevant requirements and changes of laws and regulations.

2. Our country's certification supervision system is a regulatory system of five, including legal norms, administrative supervision, approval constraints, industry self-discipline, social supervision, and emphasizes the functions of the CNCA, the CNAS, and the Accreditation Association (CCAA).

Two. The preparation and implementation of the audit scheme

1, the audit plan should include two stages of initial audit, first year and second years of supervision and audit and third years re certification before the expiration of re certification audit;

2. The determination of the audit scheme and any subsequent adjustment should take into account the size of the auditee, the scope and complexity of its management system, product and process, and the effectiveness of the proven management system and the results of previous audits.

3. If the certification body considers the certification or other audits received by the auditee, sufficient and verifiable information should be collected to demonstrate the reasonableness of any adjustment of the audit scheme and to record it.

Three, QMS first, second stage site audit concerns

The first stage review focuses on the compliance of the auditee system; the second stage audit focuses on the effectiveness of the system on the basis of the compliance of the auditee system.

Four, a discussion on the methods and techniques of audit

1. Audit records: the audit evidence should be evaluated against the audit criteria to form the audit findings. The audit findings can show that they are consistent with or not consistent with the audit criteria. The audit team should review the findings jointly in the appropriate stages of the audit and record the findings on the audit findings.

2, information collection: to collect information according to the working process / process of the auditee, not to be collected according to the requirements of the terms, and to affect the consistency and adequacy of the information;

3. Suggestion:

1) review the combined work / production process and cover all the requirements in the standard clause.

2) identify processes / activities that have important impact on product quality;

3) understanding the relationship and role of processes and tracking them appropriately;

4) the auditor should give full play to the guiding role in the process of auditing, so that the auditee can correctly and accurately combine practice with standards.