管理体系认证审核总结报告2013.doc

Management System CertificationAudit Summary Report管理体系认证审核总结报告Organization:公司名称Shanghai Cool-Air Transport Refrigeration Equipment Co., Ltd.上海科泰运输制冷设备有限公司Address:公司地址NO.15, Plant Area, Kangqiao Urban Industrial Park, No.1258, Kangqiao Road(E), Pudong, Shanghai,P.R.China上海市浦东康桥东路1258号康桥城市工业园区15号厂区Standard(s):审核标准IRIS, ISO 9001:2008Accreditation Body(s):UKAS, UNIFE认可机构Representative:公司代表KangZhuo Yang杨 康卓Site(s) audited:审核地点NO.15, Plant Area, Kangqiao Urban Industrial Park, No.1258, Kangqiao Road(E), Pudong, Shanghai,P.R.China上海市浦东康桥东路1258号康桥城市工业园区15号厂区Date(s) of audit(s):审核日期8-9/9/2013 9:00:00 AMEAC Code:EAC代码18, 22BNACE Code:NACE代码29.23, 35.2Technical Area code:技术领域代码18.1Effective No.of Personnel:有效员工人数100No. of Shifts:班次1Audit Team Leader:审核组长Hank Wu吴 高鹏Additional team member(s):审核组其他成员Hunter Tang, Victor Ren唐业群，任涛This report is confidential and distribution is limited to the audit team, client representative and the SGS office.这份报告是保密的，派发仅限于审核组，客户代表和SGS办公室。 1. Audit objectives 审核目的The objectives of this audit were: 本次审核目的是： to confirm that the management system conforms with all the requirements of the audit standard;确认管理体系符合审核标准的所有要求； to confirm that the organization has effectively implemented the planned management system; 确认组织有效地策划并实施管理体系； to confirm that the management system is capable of achieving the organizations policy objectives. 确认管理体系能够达成组织的方针目标。2. Scope of certification 认证范围Design and manufacture of air-condition system for buses and railway transportation;Provision installation technical support services of air-condition system for buses and railway transportation;Provision after-sales services of air-condition system for buses and railway transportation客车及轨道交通用空调系统的设计、制造、安装技术支持服务和售后服务Has this scope been amended as a result of this audit? Yes 是 No 否本次审核确认范围是否更改？This is a multi-site audit and an Appendix listing all relevant sites and/or remote locations has been established (attached) and agreed with the client这是一个多现场审核，已建立一份附加的清单以列出所有相关现场和/或远程场所，并经客户确认。Yes 是No 否3. Current audit findings and conclusions 本次审核发现点及结论The audit team conducted a process-based audit focusing on significant aspects/risks/objectives required by the standard(s). The audit methods used were interviews, observation of activities and review of documentation and records. 审核组完成了基于过程的审核，关注审核标准所要求的重要因素/风险/目标。所采用的审核方法包括面谈，观察活动及评审文件和记录。The structure of the audit was in accordance with the audit plan and audit planning matrix included as annexes to this summary report. 审核的安排依据本份报告所附的审核计划及审核策划矩阵图。The audit team concludes that the organization has has not established and maintained its management system in line with the requirements of the standard and demonstrated the ability of the system to systematically achieve agreed requirements for products or services within the scope and the organizations policy and objectives.审核组结论为该组织 已 未 根据审核标准要求建立和实施管理体系，并展示了有系统地达成认证范围内产品或服务所承诺的要求和达成组织方针目标的系统能力。Number of nonconformities identified:识别的不符合项数量0Major 严重0Minor轻微Therefore the audit team recommends that, based on the results of this audit and the systems demonstrated state of development and maturity, management system certification be:根据本次审核结果和体系所展现出的发展和成熟的状态，审核组建议管理体系认证结果为： Granted 推荐发证 / Continued 证书继续有效/ Withheld 终止 / Suspended until satisfactory corrective action is completed. 暂停直至采取了有效的纠正措施4. Previous Audit Results上一次审核结果The results of the last audit of this system have been reviewed, in particular to assure appropriate correction and corrective action has been implemented to address any nonconformity identified. This review has concluded that:已对上一次审核结果进行了评审，特别是确保对所提出的不符合项已采取适当的纠正措施。评审结论为： Any nonconformity identified during previous audits has been corrected and the corrective action continues to be effective. (Refer to Section 6 for details)上一次审核提出的不符合项已被纠正，并且纠正措施是持续有效的。 (详细信息参考第六部分) The management system has not adequately addressed nonconformity identified during previous audit activities and the specific issue has been re-defined in the nonconformity section of this report.管理体系对于上一次审核提出的不符合项没有充分地解决，这一问题在本次审核报告的不符合项部分已被再次提出。5. Audit Findings 审核发现点The audit team conducted a process-based audit focusing on significant aspects/risks/objectives required by the standard(s). The audit methods used were interviews, observation of activities and review of documentation and records. 审核组完成了基于过程的审核，关注审核标准所要求的重要因素/风险/目标。所采用的审核方法包括面谈，观察活动及评审文件和记录。 The management system documentation demonstrated conformity with the requirements Yes是 No否of the audit standard and provided sufficient structure to support implementation and maintenance of the management system. 管理体系文件展现出和审核标准是相符合的，并且提供了充分的架构以支持管理体系的实施和维护。The organization has demonstrated effective implementation and maintenance / Yes是 No否improvement of its management system.组织的管理体系在有效地实施、维护及改善中。The organization has demonstrated the establishment and tracking of appropriate key Yes是 No否performance objectives and targets and monitored progress towards their achievement.组织建立并跟踪适当的关键业绩目标及指标，并且对达成状况进行监控。The internal audit program has been fully implemented and demonstrates effectivenessYes是 No否as a tool for maintaining and improving the management system.内部审核被全面实施，成为维护及改善管理体系的有效工具。The management review process demonstrated capability to ensure the continuing Yes 是 No否suitability, adequacy, effectiveness of the management system.管理评审过程能够确保组织管理体系持续的适宜性、充分性和有效性。Throughout the audit process, the management system demonstrated overall Yes 是 No否conformance with the requirements of the audit standard.整个审核过程显示，组织的管理体系与审核标准的要求总体上是符合的。Certification claims are accurate and in accordance with SGS guidance N/A 不适用 Yes是 No否 认证声明是准确的并且与SGS的指南相符合。6. Significant Audit Trails Followed 主要审核思路o For product industries, identify the primary part identification and related order numberso For process industries, identify the primary products, batch or lot and related order numberso For service industries, identify the primary service type and contracts reviewedThe specific processes, activities and functions reviewed are detailed in the Audit Planning Matrix and the Audit Plan. In performing the audit, various audit trails and linkages were developed, including the following primary audit trails, followed throughout。经评审过的特定的过程、活动和功能详细记录在审核策划矩阵图和审核计划上。在本次审核中，多种的审核思路及贯穿方法被采用，包括以下所记录的主要审核点。 Relating to Previous Audit Results: 上次审核结果的跟踪，如不符合项的验证情况Total 1minor non-conformities identified during previous audit have been followed up. All identified nonconformities have been corrected and the corrective action continues to be effective. All of them were accepted & closed. Detailed information please kindly refers to CAR form. Relating to this Audit 本次审核的结果，如不符合项等。No any non-conformities identified during this audit Relating to Client Proposed Action to Address Minor Non-Conformances Raised at this Audit 针对本次审核提出的不符合项，客户建议采取的措施。Total 0 minor non-conformities identified during this audit and 0 need immediate action. Appropriate action taken immediately in response to this non-conformance as required and the corrective actionplans of these non-conformities has been detailed on an action plan and the intended action reviewed by the auditor, deemed to be satisfactory and will be followed up at the next scheduled visit. Relating to this Audit; including any significant changes (eg: to key personnel, client activities, management system, level of integration, etc.) 本次审核的结果，包括：描述任何显著变化（例如：关键人员、客户活动、管理体系、整合水平等）：Production Dept. Mr. YeManufacturing products is mainly for air-condition system of Bus and railway vehicle. Production processes include assembly, pastering, welding and connecting, check leakage, test, package. Sample, SZL-02, SHL-09; Maintenance processes include dismantling, check, repair, assembly, check, and package. Sample, CA228N, A-082. Engineering Department:The department is responsibility for product development, sample making, drawings, purchasing technical specification and processing documents establishing and controlling, etc.The audit trails: new product need and requirements submitted by customersreviewing requirementsarranging the development steps and scheduledrawing and specification draft establishingsample makingsample inspectioncustomer verification and approvalofficial drawing and specification releasingSampled: SHL-16 Project SZL-2 Project Staffs interviewed: Mr. Yang kangzhuoQuality Dept. Mr. zhao壳体清洁，打胶 壳体试水 安装过孔Internal audit and management review conducted this year is conformance and meet the requirement. (carry out in July2013)7. Nonconformities 不符合项Nothing to be reported hereNonconformities detailed here shall be addressed through the organizations corrective action process, in accordance with the relevant corrective action requirements of the audit standard, including actions to analyse the cause of the nonconformity and prevent recurrence, and complete records maintained.这里详细描述的不符合相应根据审核标准中有关纠正措施的要求通过组织的纠正措施过程解决，包括分析不符合项的原因和预防再发生的措施，并保持完整的记录。 Corrective actions to address identified major nonconformities shall be carried out immediately and SGS notified of the actions taken within 30 days. An SGS auditor will perform a follow up visit within 90 days to confirm the actions taken, evaluate their effectiveness, and determine whether certification can be granted or continued.对于识别的严重不符合项组织应立即采取纠正措施并在30天内将所采取的措施通知SGS。SGS将安排审核员在90天内进行一次跟进审核，对措施进行确认，评估措施的有效性，并确定是否推荐认证或证书是否持续有效。 Corrective actions to address identified major nonconformities shall be carried out immediately and records with supporting evidence sent to the SGS auditor for close-out within 90 days.对于识别的严重不符合项组织应立即采取纠正措施，并将措施记录下来连同支持性的证据传递给SGS审核员以便于在90天内进行关闭。 Corrective actions to address identified minor nonconformities shall be documented on an action plan and sent by the client to the auditor within 90 days for review. If the actions are deemed to be satisfactory they will be followed up at the next scheduled visit.对于识别的轻微不符合项组织应在90天内制定措施计划并传递给审核员。如果确信措施能满足要求，这些措施将在下次安排的访问中予以跟进。 Corrective actions to address identified minor nonconformities have been detailed on an action plan and the intended action reviewed by the auditor, deemed to be satisfactory and will be followed up at the next scheduled visit.对于识别的轻微不符合项所采取的措施已经详细描述在措施计划中，将要采取的措施已经被审核员评审并确信能满足要求，将在下次安排的访问中予以跟进。Appropriate immediate action taken in response to each non-conformance as required 已立即采取针对每个不符合项所要求的措施Note: - Initial, Re-certification and Extension audits recommendation for certification cannot be made unless check box 4 is completed. For re-certification audits the time scales may need to be reduced in order to ensure re-certification prior to expiry of current certification.注释：- 初次认证、重新认证和扩大范围审核- 不能做出认证推荐直到复选框4被完成。对于重新认证审核，时间框架可能需要缩短，以确保在当前证书有效期内获得新证。Note: At the next scheduled audit visit, the SGS audit team will follow up on all identified nonconformities to confirm the effectiveness of the corrective action taken.下次安排的审核访问，SGS审核组将跟进所有识别的不符合项，以确认采取的纠正措施的有效性。8. General Observations & Opportunities for Improvement 总体观察项及改善点o Include any useful comparison with the results of prior auditsProduct (project) require review should cover all the elements, such as: product features, time, cost, quality, resources, communication, risk and change产品（项目）