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4 Managing for the sustained success of an organization

4.1 General

To achieve sustained success, top management should adopt a quality management approach. Theorganization's quality management system should be based on the principles described in Annex B. Theseprinciples describe concepts that are the foundation of an effective quality management system. To achieve

sustained success, top management should apply these principles to the organization's quality managementsystem.

The organization should develop the organization's quality management system to ensure

the efficient use of resources,

decision making based on factual evidence, and

focus on customer satisfaction, as well as on the needs and expectations of other relevant interested

parties.

NOTE In this International Standard, the term “top management” refers to the highest level of decision making authority in an organization and the term “the organization” covers all people in an organization. This is consistent with the

definitions of these terms given in ISO 9000.

4 组织的持续成功管理

4.1总则

为实现持续成功最高管理者应当采纳一个质量管理方法。组织的之链管理体系应当基于附录B中所描述的原则（附录B描述了质量体系的八项原则：顾客为关注焦点、领导作用、全员参与、过程方法、管理的系统方法、基于事实的决策方法、持续改进、供方互利的原则）这些原则描述的概念是质量管理体系有效运行的基础。

为获得持续成功，最高管理者应当在组织的质量管理体系中应用这些原则。

组织应当发展其质量管理体系以确保：

资源的有效利用

决策制定依据实际

以顾客满意为关注焦点，同时关注其他利益相关方的需要和期望。

注：

在本国际标准中，最高管理者指制定决策的最高层。在组织中最具权威，“组织”的概念包括组织中的所有人。这个定义与iso9000中的有所不同

4.2 Sustained success

The organization can achieve sustained success by consistently meeting the needs and expectations of itsinterested parties, in a balanced way, over the long term.

An organization's environment is ever-changing and uncertain, and to achieve sustained success its topmanagement should

have a long-term planning perspective,

constantly monitor and regularly analyse the organization's environment,
identify all its relevant interested parties, assess their individual potential impacts on the organization's performance, as well as determining how to meet their needs and expectations in a balanced way,

continually engage interested parties and keep them informed of the organization's activities and plans,

establish mutually beneficial relationships with suppliers, partners and other interested parties,

make use of a wide variety of approaches, including negotiation and mediation, to balance the often competing needs and expectations of interested parties,

identify associated short and long-term risks and deploy an overall strategy for the organization to mitigate them,

anticipate future resource needs (including the competences required of its people),

establish processes appropriate to achieving the organization's strategy, ensuring that they are capable of responding quickly to changing circumstances,

regularly assess compliance with current plans and procedures, and take appropriate corrective andpreventive actions,

ensure that people in the organization have opportunities for learning for their own benefit, as well as for maintaining the vitality of the organization, and establish and maintain processes for innovation and continual improvement.

4.2持续成功

组织可以通过在一个较长的时间区间内，通过平衡的方式，持续实现其利益相关方的需求和期望来实现持续成功。组织的环境是多变并且不确定的，为实现持续成功，最高管理者应当：

制定长远的规划

持续监测并定期分析组织的环境

识别出所有的利益相关方，评估其个体对组织业绩的潜在影响的大小，确定如何以平衡的方式满足其要求和期望。

与利益相关方保持接触，并随时让其了解组织的活动和计划。

与供方、合作伙伴和其他利益相关方建立互利的关系。

运用广泛的手段，包括谈判和调节去平衡那些来自利益相关方的经常互相冲突的要求和期望

识别所有相关的短期和长期风险，并为组织建立全面的战略去减低风险

预测未来的资源需求（包括其所需要的权限）

确立组织实现战略所需的过程，确保其能够迅速起效去改变环境。

定期评估目前的计划和程序的情况，并采取适当的纠正和预防行动

确保组织的成员有机会为改善个人境遇和保持组织的活力而进行学习

建立和保持组织创新和持续改进的过程。
4.3 The organization's environment

An organization's environment will be undergoing change continually, regardless of its size (large or small), its

activities and products, or its type (for profit or not-for-profit); consequently this should be monitored constantly

by the organization. Such monitoring should enable the organization to identify, assess and manage the risks

related to interested parties, and their changing needs and expectations.

Top management should make decisions for organizational change and innovation in a timely manner in order

to maintain and improve the organization's performance.

NOTE For more information on risk management, see ISO 31000.

4.3 组织的环境

组织的环境将会经常经历变化，无论其规模（大或小），他的活动和产品，或其类别（营利或非营利）；因此应当持续监测组织的环境。这样的检测确保组织能够识别、评估和管理与利益相关方有关的风险，和其变化的要求和期望。最高管理者应当定期就组织的改变和创新做出决定，以保持和提升组织的业绩。

注：有关风险管理的更多信息请参阅ISO31000

4.4 Interested parties, needs and expectations

Interested parties are individuals and other entities that add value to the organization, or are otherwise interested in, or affected by, the activities of the organization. Meeting the needs and expectations of interested parties contributes to the achievement of sustained success by the organization.

In addition, the needs and expectations of individual interested parties are different, can be in conflict with

those of other interested parties, or can change very quickly. The means by which the needs and expectations

of interested parties are expressed and met can take a wide variety of forms, including collaboration,

cooperation, negotiation, outsourcing, or by terminating an activity.

Table 1 — Examples of interested parties and their needs and expectations

Interested party Needs and expectations

Customers Quality, price and delivery performance of products

Owners/shareholders Sustained profitability

Transparency

People in the organization Good work environment

Job security

Recognition and reward

Suppliers and partners Mutual benefits and continuity

Society Environmental protection

Ethical behaviour

Compliance with statutory and regulatory requirements

NOTE Although most organizations use similar descriptions for their interested parties (e.g. customers,

owners/shareholders, suppliers and partners, people in the organization), the composition of those categories can differ

significantly over time and between organizations, industries, nations and cultures.

4．4利益相关方，需求和期望

利益相关方是为组织带来利益的一些个人或者实体，或者对组织感兴趣，或者受到组织活动的影响。满足其要求和期望有助于实现组织的持续成功

单个的利益相关方的要求和期望是不同的并可能与其他利益相关方的要求和期望相矛盾，或者迅速改变。为了使相关方的要求和期望得到表达和满足，组织可以采取非常广泛的形式包括协作，合作，谈判，外包，或终止活动。

5 Strategy and policy

5.1 General

To achieve sustained success, top management should establish and maintain a mission, a vision and values

for the organization. These should be clearly understood, accepted and supported by people in the

organization and, as appropriate, by other interested parties.

NOTE In this International Standard, a “mission” is a description of why the organization exists, and a “vision”

describes its desired state, i.e. what the organization wants to be and how it wants to be seen by its interested parties.

5 战略和方针

5.1总则

为获得持续成功，最高管理者应当为组织建立并保持一个使命、一个愿景和价值观。它们应当被清楚的理解、接受、并受到组织成员的支持。受到其他利益相关方的认可。

注：在本标准中，使命是指组织为什么存在，愿景是描述希望达到的状态，例如组织想要做什么，希望被利益相关方视作什么。

5.2 战略和方针制订

最高管理者应当清楚的展示组织的战略和方针，以确保其使命、愿景和价值观得到利益相关方的接受和支持。组织应当定期检测其环境以确定是否需要评审（适当时）修订其战略和方针。为了建立，采纳和保持一个有效的战略和方针，组织应当建立过程持续监测并定期分析组织的环境，包括其顾客的需求和期望，竞争形势，新技术，方针变化，经济前景或者社会学因素。

识别和确定其他利益相关方的需求和期望

评估当前的过程能力和资源

识别未来的资源和技术需求

更新方针和战略

识别满足利益相关方需求和期望的必要输出

这些过程应当及时建立，并附有必要的计划和资源以提供支持。

组织制订战略和方针还应当考虑诸如分析顾客或者规则的要求，其产品、其优势弱点机会威胁。应当建立过程以制订和评审组织的战略和方针。

注：战略是指实现目标，特别是长期目标所需的计划或者方法的有机结合体。

5.3 战略和方针部署

5.3.1总则

为了实施持续成功的战略和方针，组织应建立并保持过程和做法将战略和方针在组织的各个层级上转化成可度量的目标。适当时为每个目标设定时间限制、职责和权力的分配。评估战略风险建立适当的应对措施，提供部署必要活动所需的资源，执行这些实现目标所需的活动

5.3.2过程和实践
为确保过程和方法是充分的有效的，组织应执行活动以预测那些来自利益相关方的不同需求和期望带来的任何可能的冲突。评估和理解组织的当前表现和过去问题的“根本原因”，以防止再发生。确保利益相关方了解情况、获得他们的参与（原文commitment,我觉得翻译成参与比较好，或者是投入，指投入必要资源支持这个计划）,让他们了解计划的进展，获得他们的反馈和关于改进的想法。

评审管理体系及其过程，必要时更新他们

监视测量分析评审和报告

提供所需的资源，包括提高 、创新和学习（所需的）

部署、更新并实现目标，包括为其完成设立时间框架，确保结果与战略一致。

5.3.3部署

为了部署其战略和方针，组织应当识别其内部过程的关系，对内部过程的顺序和相互作用的描述可以协助对活动的评审，通过：

显示组织结构、系统和过程之间的联系

识别过程相互作用中存在的潜在问题

提供优先发展和其他改革措施的方法

为在组织各个层级上建立调整部署目标提供框架

5.4战略和方针沟通
战略和方针的有效沟通对组织的持续成功是必要的。这样的沟通应当是有意义的、及时的、持续的。沟通应当包括反馈机制、周期性的自检，与组织积极解决环境变化相结合。组织的沟通过程应当既有纵向的又有横向的，能够针对不同的需要。例如，同样的信息能够有区别的传达给组织内部的人员和顾客及其他的外部相关方
6 Resource management
6.1 General
The organization should identify the internal and external resources that are needed for the achievement of the organization's objectives in the short and long term. The organization's policies and methods for resource management should be consistent with its strategy. To ensure that resources (such as equipment, facilities, materials, energy, knowledge, finance and people) are used effectively and efficiently, it is necessary to have processes in place to provide, allocate, monitor, evaluate, optimize, maintain and protect those resources. To ensure the availability of the resources for future activities, the organization should identify and assess the risks of potential scarcity, and continually monitor current use of resources to find opportunities for improvement of their use. In parallel, research for new resources, optimized processes and new technologies
should take place. The organization should periodically review the availability and suitability of the identified resources, including outsourced resources, and take action as necessary. The results of these reviews should also be used as inputs into the organization's reviews of its strategy, objectives and plans.
6资源
6.1资源管理
组织应当识别为实现组织短期和长期目标所需的内部和外部资源。组织资源管理的方针和方法应当与战略保持一致。为确保资源（例如设备、工厂、原料、能源、知识、财力和人力）的充分和有效使用， 有必要建立过程来提供、分配、监视、评估，优化，维护和保护这些资源。为确保获得未来活动所需的资源，组织应识别和评估潜在缺乏的风险，持续监测资源当前使用的情况，寻找改进资源利用的机会。与此同时，寻找新的资源，优化过程和开发新技术。组织应当定期检查识别出的这些资源的适宜性和可获取性，包括外包的资源，必要时采取行动。这些检查得结果应当作为组织战略、目标、计划评审的输入。

6.2 Financial resources
Top management should determine the organization's financial needs and establish the necessary financial resources for current and future operations. Financial resources can take many different forms such as cash, securities, loans or other financial instruments. The organization should establish and maintain processes for monitoring, controlling and reporting the effective allocation and efficient usage of financial resources related to the organization's objectives. Reporting of such matters can also provide means for determining ineffective or inefficient activities, and initiating suitable improvement actions. Financial reporting of activities related to the performance of the management system and product conformity should be used in management reviews.
Improving the effectiveness and efficiency of the management system can positively influence the financial results of the organization in many ways. Examples include internally, by reducing process and product failures and eliminating the waste of materials or time, and externally, by reducing product failures, costs of compensation under guarantees and warranties, product
liabilities and other legal exposure, costs of lost customers and markets.
NOTE ISO 10014 provides examples of how an organization can identify and obtain financial and economic benefits from the application of the ISO 9000 quality management principles.
6.2财务资源
最高管理者应当确定组织的财务需求，确保组织当前和未来运行所需财务资源的获得。财务资源可以有多种形式，如现金、证券、贷款或其他金融工具。组织应建立并保持过程以监视、控制、报告与组织目标相关的财务资源的有效分配和有效使用。这些报告还能提供识别无效或者不充分活动的方法，启动适当的改善行动。与管理体系和产品符合性相关活动的财务报告应当被用于管理评审。可以提升管理体系的充分性和有效性，可能通过多种方式影响组织的业绩表现。内部的例子包括减少过程、减少次品、减少原料和时间的浪费。外部的例子，减少次品、减少赔偿、产品不能及时交付和其他法律风险、减少顾客或者市场的损失。
注：ISO10014为组织如何通过ISO9000基本原则来识别和获取财务和经济利益提供事例。

6.3 People in the organization

6.3.1 Management of people

People are a significant resource of an organization and their full involvement enhances their ability to create value for interested parties. Top management should, through its leadership, create and maintain a shared vision, shared values and an internal environment in which people can become fully involved in achieving the organization's objectives. As people are a most valuable and critical resource, it is necessary to ensure that their work environment encourages personal growth, learning, knowledge transfer and teamwork. People management should be

performed through a planned, transparent, ethical and socially responsible approach. The organization should ensure that the people understand the importance of their contribution and roles. The organization should establish processes that empower people to translate the organization's strategic and process objectives into individual job objectives, and to establish

plans for their achievement,

identify constraints to their performance,

take ownership and responsibility to solve problems,

assess personal performance against individual job objectives,

actively seek opportunities to enhance their competence and experience,

promote teamwork and encourage synergy between people, and

share information, knowledge and experience within the organization.

6.3组织的人员

6.3.1人员的管理

人员是组织的关键资源，他们的全情投入增强他们为利益相关方创造价值的能力。最高管理者应当通过他们的领导，创造并保持共同的愿景、共同的价值观和员工能够为了组织的目标全情投入的内部环境。既然员工是最有价值的关键资源，有必要确保他们的工作环境有利于个人成长、学习、知识转化和团队协作。人的管理应当本质有计划、透明、道德和对社会负责的态度进行。组织应当确保员工都能理解他们角色和贡献的重要性。组织应当建立过程推进员工将组织的战略和目标分解成个人的目标，并制订实现的计划。识别出限制他们表现的因素，明确解决这些问题的职责和权限。

根据个人工作目标评估个人的表现

积极寻求机会，提高他们的能力和经验

提升团队合作鼓励人与人的协作

在组织内分享信息、知识和经验

6.3.2 Competence of people
In order to ensure that it has the necessary competences, the organization should establish and maintain a “people development plan” and associated processes; these should assist the organization in identifying,developing and improving the competence of its people through the following stepsidentifying the professional and personal competences the organization could need in the short and long term, in accordance with its mission, vision, strategy, policies, and objectives,
identifying the competences currently available in the organization and the gaps between what is
available and what is currently needed and could be needed in the future,
implementing actions to improve and/or acquire competences to close the gaps,
reviewing and evaluating the effectiveness of actions taken to ensure that the necessary competences have been acquired, andmaintaining competences that have been acquired.
NOTE See ISO 10015 for further guidance on competence and training.
6.3.2人员的能力
为确保人员具备足够的能力，组织应建立并保持一份“人力发展计划“和相关的过程。这些有助于组织识别、发展和提升其人员能力。通过下列步骤识别组织当前和长远发展所需的专业和个人能力，并与组织的使命、愿景、战略、方针和目标相一致。
识别组织当前具备的能力和当前能力、当前需要的能力、未来需要能力之间的差距
采取措施提升或者获取能力以弥补差距
检查和评估为确保能力获得而采取的行动的有效性，保持已经获得的能力
注：从ISO10015获得关于能力和训练的更多指导。

6.3.3 Involvement and motivation of people

The organization should motivate people to understand the significance and importance of their

responsibilities and activities in relation to the creation and provision of value for the customers and other interested parties.To enhance the involvement and motivation of its people, the organization should consider activities such as

developing a process to share knowledge and use the competence of people, e.g. a scheme for collecting ideas for improvement,

introducing an appropriate recognition and reward system, that is based on individual evaluations of the accomplishments of the people,

establishing a skills qualification system and career planning, to promote personal development,

continually reviewing the level of satisfaction and needs and expectations of people, and

providing opportunities for mentoring and coaching.

NOTE For more information about the “involvement of people”, see the related quality management principle in Annex B.

6.3.3人员的参与和积极性

组织应当鼓励员工理解他们职责和活动在为顾客和其他利益相关方创造和提供价值方面的重要性和意义。为了增加员工的投入和积极性，组织应当考虑如下的活动例如：

建立过程去分享知识和员工的能力，例如一个收集改进建议的计划。

引入适当的，基于员工个人成就的承认和奖励制度。

建立技能分级制度和职业生涯规划，促进个人发展

持续检查员工满意度水平、需求和期望。

提供指导和辅导的机会

注：关于更多的“全员参与“的信息请参阅附录B中的质量管理原则。

6.4 Suppliers and partners

6.4.1 General

Partners can be suppliers of products, service providers, technological and financial institutions, governmental and non-governmental organizations or other interested parties. Partners can contribute with any type of resource, as agreed and defined in a partnership agreement.

The organization and its partners are interdependent and a mutually beneficial relationship enhances their apabilities to create value. The organization should consider partnership as a specific form of relationship ith suppliers, where suppliers can invest in and share the profits or losses of the organization's area of activity.When an organization is developing partnerships, the organization should give consideration to issues such as

the provision of information to partners, as appropriate, to maximize their contributions,

supporting partners, in terms of providing them with resources (such as information, knowledge,

expertise, technology, processes, and shared training),

the sharing of profits and losses with partners, and

improving the performance of partners.

NOTE For more information about “mutually beneficial relationships”, see the related quality management principle inAnnex B.

6.4供方和伙伴

6.4.1总则

伙伴可能是产品的供方、服务的提供者、技术和财务机构、政府和非政府组织或其他利益相关方。伙伴可能提供各种类型的资源。组织及其伙伴是独立的互利的。组织应当伙伴关系视作一种特殊的供方关系。使供应商能够投资并在组织的活动领域内分享利润或损失。当一个组织发展伙伴关系时该组织应该考虑的问题包括：

与伙伴分享信息，适当时使其贡献最大化

支持你的伙伴为其提供资源（信息、知识、人才、技术、流程和培训）

与伙伴分享利润或者损失

提升伙伴的业绩表现

注：可从质量管理体系的“供方互利原则“获取更多信息