内审员管理评价程序

1、1。 Purpose目的ThisprocedureisaboutthemanagementoftheinternalauditorsofQMS,HSEmanagementsystemandsoon.Itdefinesthecompetencerequirementsoftheinternalauditorsandtheevaluationcriteriaofthecompetence,inordertoenhancethemanagementoftheinternalauditors,andimprovethecompetenceoftheauditteam.本文件对公司质量管理体系、HSE管

2、理体系等所覆盖的内部审核员进行规定，明确内审员的能力要求，并制定了相应的人员的评定标准，从而加强对内部审核员的管理，提高整体团队素质。2。 Scope范围Theprocedureisapplicabletomanagetheinternalauditorsofallthemanagementsystemsinthecompany。本文件适用于公司内所有管理体系所覆盖范围内的内部审核员管理3。 DefinitionsandAbbreviations定义和缩略词3.1 Audit:systematic,independentanddocumentedprocessforobtainingaudit

3、evidenceandevaluatingitobjectivelytodeterminetheextenttowhichtheauditcriteriaarefulfilled。审核：为获得审核证据，并对其进行客观的评价，以确定满足审核准则的程度所进行的系统的独立的并形成文件的过程。3.2 Auditor:personwhoconductsanaudit.审核员：有能力实施审核的人员.3。3Auditevidence:records,statementsoffactorotherinformationwhicharerelevanttotheauditcriteriaandverifiabl

4、e.审核证据：与审核准则有关的并且能够证明的记录、事实陈述或其他信息。3。4Auditfindings:resultsoftheevaluationofthecollectedauditevidenceagainstauditcriteria.审核发现：将收集到的审核依据对照审核准则进行评价的结果。3。5Auditplan:descriptionoftheactivitiesandarrangementsforanaudit.审核计划：对一次审核的活动和安排的描述。3。6Auditprogramme:arrangementsforasetofoneormoreauditsplannedfora

5、specifictimeframeanddirectedtowardsaspecificpurpose.审核方案：针对特定时间段所策划并具有特定目的的一组（一次或多次）审核安排。3。7CCAA:ChinaCertificationandAccreditationAssociation中国认证认可协会1.1 8Externalaudits:includesecondandthirdpartyaudits。Secondpartyauditsareconductedbypartieshavinganinterestintheorganization,suchascustomerorbyotherpe

6、rsonsontheirbehalf.Thirdpartyauditsareconductedbyindependentauditingorganizations,suchasregulatororthoseprovidingcertification外部审核：包括通常所说的第二方审核”和第三方审核"。第二方审核由组织的相关方（如：顾客）或由其他人员以相关方的名义进行。第三方审核由外部独立的审核组织进行3.9 FormalInternalauditors:Practiceauditorspasstheformalevaluationandareappointedbymanagemen

7、tthequalitysystemmanagementrepresentative.正式内审员：预备内审员转正评定合格后，并被质量体系管理者代表任命为正式内审员。3.10 HSE:Health,Safety&Environmental健康、安全及环境3.111 nternalauditssometimescalledfirstpartyaudits,areconductedbytheorganizationitself,oronitsbehalf,formanagementreviewandotherinternalpurposes。Internalauditscanformtheba

8、sisforanorganization'sselfdeclarationofconformity。内部审核：有时称第一方审核，由组织自己或以组织的名义进行，用于管理评审或其他内部目的。内部审核可作为组织自我合格声明的基础。3.112 reparativeInternalAuditor:personshallgetinternalauditorcertificatewithoutanyauditexperienceandpractiseforoneyearbeforebecominganInternalAuditor.预备内审员：取得内审员证书，但无审核经验，需在成为内审员前练习一年的

9、人员，称为预备内审员。3。13QA：QualityAssurance质量保证3。14QMS:QualityManagementSystem质量管理体系3.113 Stateregisteredauditors:auditortrainedbytheinstitutionsapprovedbyCCAAtoperformtrainingandqualificationofcertificationmanagementsystemandawardedacertificateoftraining。国家注册审核员：由CCAA批准的具有认证管理体系培训资质的培训机构正规培训后，颁发培训合格证书。3.114

10、 15Technicalexpert:personwhoprovidesspecificknowledgeorexpertisetotheauditteam.技术专家：向审核组提供特定知识或技术的人员。3.115 Referto参考文件«InternalAuditProcedure内部审核程序管理体系审核指南GB/T19011«Guidelinesforauditingmanagementsystems«TrainingManagementProcedure培训管理程序3.116 Responsibility职责5。1Internalauditors内审员的职责：

11、5.1。 1Participatethefirst,secondandthirdpartyaudits,suchasinternalauditofmanagementsystem,customeraudit，andauditofcertificationinstitution,responsibletoprepare,cooperate,andaccompanythesecondandthirdaudits,responsibletoconductthefirstaudit。参加管理体系内部审核、顾客审核、认证机构审核等第一、二、三方审核，负责为第二、三方审核的准备、配合、陪同，参与实施第一方

12、审核的。5。1。2Cooperatewiththeirowndepartmentstoanalysistherootcauseofnonconformingitems,andtakethecorrectiveandpreventativeactions.协助指导本部门对不符合项进行分析，制定纠正预防措施；5.1.3Cooperatewiththeirowndepartmenttoestablishnewprocedures,optimizecurrentprocedures,reviewnewestablishedormodifiedprocedures,identifyofexternald

13、ocuments;communicatethesystemknowledgetotheirowndepartments;conductproceduretrainingrelatedtothedepartment.协助本部门新编和改编文件的编制及部门内的文件初次审核工作；负责对本部门人员进行体系知识的宣贯；负责本部门内的程序文件的培训5.1 。4Proposeimprovementsuggestionstosystemaudit。对体系审核工作的提出改进建议.5.2 QA/HSEisresponsibletoevaluateandexaminetheinternalauditors,andpr

14、epare<AppointmentofInternalAuditor>forapprovalofthemanagementrepresentative.质量部QA或营运部HSE应负责对内审员的考核、评定；负责拟定内审员任命书报管理者代表批准5.3 HRisresponsibletoreviewandsignthetrainingrequirementfromQualitydepartment,andincludeinthenextyearstrainingplanaftertherequirementisapprovedbyGM/DGM。1. Youmustverifytherev

15、isionbeforeuse.检查当前版本是否为有效版本。2. Thisprintedcopyisuncontrolledandforreferencepurposesonly打印副本不受控，仅供参考。人力资源部协助质量部对提出的培训资源进行会签评审，并在培训资源获GM/DGM批准后，将其列入下年度培训计划中.5.4 Alldepartmentsareresponsibletoappointinternalauditorcandidates,andsupplythetechnicalexpertresource。Eachdepartmentshallhaveaninternalauditora

16、tleastinprinciple.各部门负责推荐内审员候选人；负责提供技术专家资源。每个部门原则上至少需有一名内审员。6.Workflow工作流程6.1 Appointinternalauditorcandidate指定内审员候选人6.1.1 Alldepartmentsshallappointinternalauditorcandidatesaccordingtorequirementinthefollowingtable:各部门应根据下表中的要求推荐内审员候选人。Parameters分类Requirement要求Generalforinternalauditor内审员通用Goodcomm

17、unication,strongcoordination,strongadaptability,steadfastandJudicious善于沟通观察、协调力强，适应力强、明断、坚定Masterauditprinciplesandmethods掌握审核原则、方法Masterthemanagementsystemandprocedures掌握管理体系及程序文件Familiarwithorganizationalcontext熟悉公司概况Familiarwithapplicablelegalandcontractualrequirement熟悉法律法规要求Specificationforquali

18、tyinternalauditor质量内审员特有Masterqualityrelatedmethodsandtechniques掌握质量相关的方法和技术Familiarwithbusinessprocessesandproducts熟悉公司经营管理过程及产品SpecificationforHSEinternalauditorHSE内审员特有FamiliarwithsciencemethodandtechnologyofHSE熟悉HSE科学方法和技术MasteroperationtechnicalandHSEaspects掌握运作技术和HSE因素6.1.2 QA/HSEshallconfirmw

19、hethertheinternalauditorcandidatehasobtainedInternalAuditorCertificate,andsubmitthetrainingapplicationtoHRfortheinternalauditorcandidatewithoutcertification.HRshallarrangethetrainingaccordingtoTrainingManagementProcedure>。QA/HSE应确认内审员候选人是否具有内审员证书，若没有需向HR提出培训申请，由HR按照培训管理程序进行安排。6.1。3QA/HSEshallorga

20、nizetheinternalauditorstojoinindailyauditactivity.QA/HSE组织所有内审员参与日常体系审核活动.6.1 。4Preparativeinternalauditorsshallauditundertheguidanceofformalinternalauditorsforoneyearandshallbenominatedasformalinternalauditorsafterpassingthequalificationassessment。预备内审员必须在正式内审员指导下进行审核，为期一年。在通过资格评定转正后被任命为正式内审员。6.2 E

21、valuation人员评定1. Youmustverifytherevisionbeforeuse.检查当前版本是否为有效版本。2. Thisprintedcopyisuncontrolledandforreferencepurposesonly打印副本不受控，仅供参考。3. 2.1QAorHSEshallusethecriteriainDailyBehaviorEvaluationStandardofInternalAuditor>tofairlyevaluatetheinternalauditorperformanceonceayearanddetermineevaluationsc

22、oresaccordingtothestandard.QA/HSE应制定内审员日常表现评价标准，每年针对内审员的符合程度，根据标准进行打分评定，以保证公正公平的原则。6。2。2EvaluationParameter评定项目ParameterEvaluationnameEvaluationmethodEvaluationcriterianonconformityActionsPreparativeInternalAuditor预备内审员Qualificationassessment转正评定Dailybehavior日常表现近0:formalauditor.正式内审员Once:evaluation

23、forthenextyear；一次：延期一年转正；Twice:cancel。两次：取消资格。FormalInternalAuditor正式内审员Competenceevaluation能力评价Dailybehavior日常表现近0:qualified合格；淘0:excellent优秀。Cancelanddemotetopreparativeinternalauditor,andproposeimprovementactions。取消内审员资格，并降级为预备内审员，同时提出改善措施。AuditorteamLeader内审组长Competenceevaluation能力评价Dailybehavio

24、r日常表现近0:qualified合格；淘0:excellent优秀。Proposeimprovementactions.提出改善措施。6。2.3Theproceduredoesnotcoverthestateregisteredauditors,buttheycouldbeevaluatedaccordingtothecriteriaforformalauditorsifparticipatingininternalaudits。国家注册审核员的评价不在本文件范围内；若参与内部审核，则其评定方法参考内审员要求进行。6.3 Annualreview年度总结6.3.1 QAorHSEshalls

25、ummarizetheresultsofevaluations,analyzethedeficienciesandproposetheimprovementactionswhichshallbeincludedinAnnualReportofInternalAuditorandDocumentAdministratorEvaluation>。Thereportshallbechecked/approvedbyamanagementrepresentative;iftheimprovementactionsrefertothetrainingresource,theHRdirectorsh

26、allreviewthereport,andGM/DGMshallapprovethereport。QA/HSE应针对评价结果进行总结，对能力评定不足的应进行分析，制定提升方案，形成年度内审员评价报告，提交管理者代表批准，若涉及培训资源需求时，应交HR总监会签，并由GM/DGM批准。6。 3.4Forapprovalandnominationoftheinternalauditorsforthenextyear,QAorHSEshallprepare<AppointmentofInternalAuditor>,andsubmittotheQMS/HSEmanagementrepre

27、sentative。QA/HSE应根据评定结果，将合格内审员汇总形成内审员任命书中，报管理者代表批准，任命为下年度公司内审员。7。 RecordorAppendix相关记录或附件7.1 Record记录ItemNoo记/编pTitle记录名称CustodialCustodial1.Youmustverifytherevisionbeforeuse.检查当前版本是否为有效版本。2.Thisprintedcopyisuncontrolledandforreferencepurposesonly打印副本不受控，仅供参考。序号Dept保存部门Period保存期1DailyBehaviorEvaluationRecord日常表现评价表Quality5years2AnnualReportofI