内部审核控制程序(中英文)

1、内部审核控制程序Internal Audit Control Procedure目的 Purpose ：建立并保持程序，按策划的时间间隔进行内部审核，验证管理体系是否符合标准要求及组织所制定的管理体系要求；体系运行是否得到有效实施和保持；体系是否持续改进。To establishand maintain a procedure， according to the planing time intervalsof internalaudit,to verifywhether the management system conforms to the standardrequirements an

2、d the management system requirements formulated by organization;whether the system effectively implement and maintain; whether the system is continual improvement.范围 Scope ：内部审核适用于质量管理体系、HSE 体系所覆盖的所有条款和所有与质量、环境、安全管理有关的过程、活动和班次。此步骤和方法同样适用于制造过程审核及产品审核。制造过程审核及产品审核的实施详见过程审核指南及产品审核指南。Internal audit appli

3、es to all terms of the quality & HSE management system covered andall related process, activities and shifts of quality & HSE management. The steps and methods also apply to manufacturing process audit and product audit. the implement of manufacturing process audit and product audit sees “ProcessGua

4、iudeit” and “Product audit Guide”.术语 Terms ：严重不符合项： Serious non-conformity:该体系缺项或完全不满足 ISO/TS 16949 、ISO 14001 、 OHSAS 18001的要求； The system misses a term or can not completely satisfy the requirement of ISO/TS 16949、 ISO 14001 & OHSAS 18001;在一项要求中发现多个一般不符合，可能意味着该管理体系的失效； To find moregeneral non-conf

5、ormity in one term requirement, itmaybemeans failure of this management system;任何可能导致不合格产品出货，任何可能导致产品或服务失效或预期的使用性能严重降低的不符合；Thenon-conformity that Anymaybelead tononconforming product shipment, any maybe cause that product or servicelose efficacy or that intended usability is reduced severely.审核员根据判断

6、和经验上表明，很可能导致管理体系失效，或严重降低控制过程能力和产品的保证能力的不符合。Thenon-conformity,that auditor, according to judgement and experience, believes that itmaybe causemanagement system failure, or that it severely reduces controlling processcapability and assurance capability of product.任何导致重大环境污染事件、严重的职业健康及安全事件的不符合。The non-

7、conformity that cause by any accident in HSE.违反HSE 法律法规的不符合事项。The non-conformity that any maybe lead toagainst HSE legal.一般不符合项： General non-conformity:指发现不符合，但基于判断和经验，其不太可能导致体系失效，或导致降低保证过程或产品受控的能力；Itmeansthat the non-conformity has been founded, but based on judgement and experience, itis unlikelyt

8、o causesystem failure, or ctaouse the capabilityreduced of protectingprocess orproduct controlled.在组织相关的体系文件中发现一项不符合ISO/TS16949& ISO14001& OHSAS 18001要求的证据，或公司体系审核观察到一次失效； A proof that do not conform the requirement of ISO/TS 16949 & ISO 14001 & OHSAS18001 has been found in related system document f

9、or the organization, or afailure has been found in company system au；dit组织管理体系审核中发现到某项条款的一个失效或多个轻微错误。A failure or several small mistakes in oneterm hasbeenfound at organization management system audit.观察项： Observation item：证据稍不足，但存在问题，需要提醒的事项；The proof is not enough, but there is a problem, that nee

10、d to be reminded;已发现问题，但尚不能构成不符合，如发展下去就有可能构成不符合的事项；The problem has been found, but it dosenot turnintonon-conformity,ifitgoes on development, it maybe turn into a non-conformity; 其它需要提醒的事项。 Other items need to be remained.过程分析 Process analysis：输入 Input内部审核输入应包括但不限于以下方面：Internal输出 Output审核组长对所涉及的评审内容

11、作出评审结论，包括以audit input shall include but not limit the following下: 方面有关的决定和措施：Theleader of audit groupISO/TS16949 、ISO14001 、OHSAS18001标准、体系文件、适用的法律法规和其他要求（包含合同、技术标准takes out thereview conclusion forthe involvedreview content, includingthe followingrelateddecisions and等要求）； ISO/TS16949 、ISO14001 、OHS

12、AS18001actions:standard, systemdocument ，applicable laws andA.内部审核报告，提出审核综述及结论性意见，评价质量regulations andother requirement ( including the体系的适宜性、充分性和有效性；Theinternalaudit requirement of contract, technical standard, etc.)report, takes out summary and conclusive opinion of the最近一个审核周期内的审核情况，包括：管理评审报告、 aud

13、it,evaluatesthesuitability,adequacyand内部审核报告、产品审核报告、过程审核报、第二方审核、 effectiveness of the quality management system; 第三方审核及整改证据； The audit situation of the receBn.t审核组对审核发现的问题开出不符合，制作不符合分布audit cycle, including: managementreviewreport, 表、汇总不符合及问题，提出纠正要求； The audit group internal audit report, product au

14、dit report, paruodcietss writes down the non-conformity with the problems found report, the corrective action proof of second party abuydiatudit， makes non-conformity distribution tables, and third party audit;summarizes the non-conformities and problems, and上次审核不符合及问题项整改报告及证据；Themakes corrective re

15、quiremen；tcorrective action report and proof of non-conformity Ca.n上d 次审核不符合及问题项的整改完成情况总结；Toproblem of the last audit;summarize the corrective actions completion situation of D 、内部审核实施计划； The implement plan of internalthe non-conformities and problems in last audit;audit;D.审核检查表； Audit check list;E

16、、 顾客特殊要求及顾客抱怨。CustomerspecialE.审核记录； Audit records; requirements and customer complaints.F 、相关方的反馈及投诉 Complaint from interested parties G 、HSE监测的结果 Performance from HSE monitoring过程指标 Process measurement indicator：项目Item监视方法和频次Monitor method & frequency测量部门Departmentresponsible for measurement按时关闭的不

17、合格项个数不合格项个数*100%不合格项关闭准时率Number of non-conformance closed in timeNonconformanceclosing punctualityCTONumber of non-conformance *100%rate每年Annually职责 Responsibility:管理者代表：负责组织公司内部管理体系审核工作，任命审核组长，审批年度审核方案、审核计划及内部审核报告,等。Managementrepresentative:to be responsiblefor the organizationof the companysintern

18、al management system audit, to appoint the leader of audit group, to approve the Annual Audit Project, Audit Plan and Internal Audit，Retpco.rtCTO：负责编制管理体系年度工作计划，负责编制内部审核实施计划并组织实施， 协调年度内部审核活动的展开及不符合项纠正措施的验证，负责内审员的管理。CTO ： to be responsiblefor establishingthe Annual work plan of the management system,

19、 to be responsible for establishing“tihneternal audit implementation p”laannd organizingthe implementation of the plan, to coordinate the development of Annualinternal audit action and the verification of the non-conformity corrective actions, toresponsible for the management of auditors.内部审核组长：编制、实

20、施每次内部审核计划，负责组织实施现场审核、开具不符合（不合格）项报告，编写内部审核报告。The leader of auditgroup: To prepare and implement each internalaudit plan, to be responsible for organizing the implementation of the on-site audit, writing and issuing non-conformity report, and writing the Internal audit report.审核员：负责按照内部审核实施计划实施审核，开具不符

21、合（不合格）项、跟踪验证纠正/预防措施完成情况。Auditors: to beresponsible for implementing review according to internalauditimplement plan, writing non-conformity, tracking and verifying the completion situation the corrective / preventive actions.受审部门：配合审核组接受内部审核，对内部审核中发现的不符合进行原因分析，根据原因制订并采取纠正/预防措施。实施纠正/预防措施前，对所采取的措施所带来的

22、新的风险进行评审，实施后应对措施的有效性进行验证。The department being audited: to cooperate and be audited by the audit group, and toanalyze the non-conformity reasons which havebeenfound in the internalaudit, according to the reasons to formulate and take corrective / preventive actions. Before corrective / preventive act

23、ions are implemented, the new risks those are caused by the actions implemented shall be verified. The efficience of actions shall be reviewed afte the actions have been implemented.活动程序 Activity procedure:内部审核的策划 The planing of internal audit定期内部审核 Periodical internal auditCTO 于每年年初编制年度内部审核计划，同时与CA

24、O-HSE 沟通明确HSE 的计划要求。审核方案确定后，经管理者代表批准后下发；内部审核前编制内部审核实施计划，确定具体审核范围、内部审核组长、审核员、日程安排等，经管理者 代表批准后下发组织实施。 产品审核和过程审核按产品审核指南和过程审核指南实施。CTOshould prepare “the annual internalaudit plan”after communicationHSErequirement with CAO-HSE Dept. at the beginning of each year. When the audit plan has been determined,

25、it should be approved by the management representative and issued. Before internalaudit, CTOprepare the “internalaudit implementplan”, determine the special audit scope, the leader of internal audi，t garuoduiptors， andschedules ，etc., issue the plan after it is approved by management representative,

26、 and organize the implement of the plan. Product audit and Process audit implement according to the “ Product AuGduiitde ” and the “ Process AuGduiitde ”.一年内每一个部门和每一个过程至少要被审核一次。根据需要，审核质量健康安全环境管理体系覆盖的全部要求和过程， 也可专门针对某几项要求或过程进行重点审核，但全年的内部审核必须覆盖全部要求和所有过程、活动和班次。必要时经管理者代表批准，策划临时内部审核，见 6.1.2 临时内部审核。Within

27、a year, every department and every process willbe audited at least once.According to the need, a audit can cover allrequirements and allprocesses of the quality & HSE management system, it can also implement for some key requirementsor processes as a key point audit, but the internal audit must cove

28、r all requirements,allprocesses, actions and shiftsin whole year. Ifnecessary, to be approved by management representative, the temporary internal audit can be planned, se6e.1.2 temporary internal audit.内部审核实施计划内容及分发范围； The content and issued range of “internal audit implement plan ”;A、审核的目的、范围；审核的依

29、据；审核组成员组成；受审核部门和日程安排；The audit purpose and scope; the basis of the audit; the members of the audit group; audited departments and schedules;B、发放范围：最高管理者、管理者代表、审核所涉及的部门及审核组成员； Issued range： top management， management representative ， the departments that audit relate and the members of audit group;临时

30、内部审核；Temporary internal audit;出现下列情况，可由 CTO 提出，经管理者代表批准， CTO 组织策划临时内部审核： If the followingsituationsare appeared ， a temporary internalaudit can be put forward by CTO, approved by management representative, organized and planned by CTO.A、组织机构、管理体系发生重大变化；Organization structure and managementsystem has

31、 serious change；B、组织内部或顾客要求时； Organization internal or customer require;C、重大质量投诉或发生严重不符合或重大环境、安全事故时； Major quality complaints or serious non-conformity or major environment accident or safety accident happen；D、影响产品质量的技术、过程、设备、环境发生较大变化时；Thetechnology, process, equipment, environment which affects the

32、 product quality has great change;E、接受第二方，第三方审核前； Before to accept the second party audit, the thirdparty audit;F、重大的内部审核不符合项实施纠正措施后；After the implement of corrective actions of great non-conformity found by internal audit;G、根据审核结果认为有必要重新审核时；According to the audit result, it believesthat re-audit is

33、 necessary;H、顾客对某一过程或产品连续投诉时；Customer continue to complain a process or product;I、最高管理者或管理者代表认为有必要时。Topmanagementor management representative think that a temporary internal audit is necessary.内部审核的准备The preparation of internal audit由管理者代表指定具有较强独立工作能力、 较强的组织能力的内审员担任内审组长。内审组长选派内审员组成内审组。审核组由二人或二人以上组成。

34、审核组成员必须具有内审员资格并且是与被审核方无任何利益关系的人员担当。The management representative appoints a internal auditor who has strong ability ofworking independently and strong ability of organizatiaosn the internal audigtroup leader. Theinternalaudit group leader choices internalauditors to composetheinternal audit group. I

35、nternal audit group usually consists of two or more auditors. Th members of the internal audit group must have internal audit qualification and do not have any interest relationship to the audited department.CTO 根据年度内部审核计划,并考虑过程、区域的状况、重要性及以往审核结果编制该次审核实施计划报审核组长审核、管理者代表批准。经审批后，CTO 于内审 10 天前向受审部门以书面形式发

36、放该次审核实施计划。当受审核部门收到审核计划时后，如果对日程安排和审核范围有异议时，应在三天内通知 CTO，经相互协商后可进行调整。According to the “annual internal audit plan”, and considperroicnegsstehse, situation offield, importance and previous audit results,coCmTpOiles the “audit implement plan” of this time, andpassesthe plan to the internalaudit grouplead

37、er verifying,to management representative approving. After the plan appr，oveCdTOissues the “audit implement plan” to the departments / units which will be audited with the form of text the time of 10 days prior of audit beginning. When the departments / units which will b audited receive the auditpl

38、an, ifthere is any discrepancy in the schedule and auditscope, the departments / units should inform CTOwithin 3 days, after mutualconsultation the plan can be adjusted.审核实施计划的主要内容：Main content of audit implement plan:A、审核目的、范围、方法、依据； The audit purposes, scopes, methods, basises;B、审核组成员及职责分工；Thememb

39、ersof internalaudit group andthe assignment of responsibility;C、审核日期、日程安排；The audit date and schedule ;D、受审核过程、涉及到的部门、班次及审核要点； The audited processes, involved departments, shifts and review key points;E、首、末次会议时间、地点。The time and place of theopening meeting and closing meeting.审核组长按审核实施计划对全体审核成员进行分工,并

40、明确职责 ,对审核中应注意的问题和审核计划作进一步的阐述。According to the “audit implement plan” the leader of internal audit group divides th work for allmembersof the audit group, andclarifiestheirresponsibilitiesa,ndexplains clearly to the members about the problems that should be paid attention to in the audit and the audi

41、t plan.审核员在实施审核前了解和掌握受审方的基本信息，按照审核实施计划编写该次审核所需的内部审核检查表，列出审核项目、方法，以便在审核实施过程中收集相关的审核证据。The auditors understand and master the basic information of the audited departmentbefore implement audit, according to the “ audit implement plan” establish the intern audit checklist that is needed in this audit, l

42、ist out the audit projects and methods, order to collect related audit evidence in the process of audit implement.受审核方在接到审核实施计划书面通知后， 应做好迎审准备，确定陪同人员及其它相关人员配合审核。The department audited, after receiving the written notice of “audit implement plan”,should be prepared to be audited, and determines the ac

43、companyingperson and other related person to cooperate the audit.内部审核的实施The implement of internal audit首次会议 Opening meeting 会议由审核组长主持。The meeting is presided by the audit group leader.出席会议人员：最高管理层、管理者代表、内审组成员、审核相关部门负责人、陪同人员、贯标联络员，在会议召开前签到；Thepersons attend the meeting: top management,managementrepre

44、sentative,internal audit group, department head review related, accompanied by staff, liaisoner, and sign in before the meeting beginning.会议内容： Content of the meetin：gA、重申审核的目的和范围，审核组组成及任务； To reiterate the audit purpose and scope, the audit group constitute and the tasks;B、简要介绍实施审核采用的方法、程序；To brief

45、ly introduce the methods and procedure that will be taken in the audit implement;C、澄清审核实施计划中不明确的和需要更改的内容；To clarify the content that isnot clear and need to be changed in the “ audit implement plan”;D、确认在审核过程中及时向受审核方通报审核进展情况；To confirm that the review progress will be reported timely to the auditee

46、in audit process;E、确认向导的安排、作用和职责；确认审核组工作时的安全注意事项及应急；Toconfirm the arrangement, function and responsible of the guide; to confirm the safety precautions and emergency work when the audit group is working;F、介绍报告审核发现的方法， 包括不符合的分级； To introduce the methods that reports the audit finding, including the g

47、rading of non-conformity;G、确认末次会议的时间、地点、参与会议人员。 To confirm the time, place, personsattending of the closing meeting;现场审核 On-site audit审核组根据审核实施计划、 现场审核检查表对受审核部门进行现场审核，根据审核的具体情况可对审核的重点进行调整。According to the “audit implement plan” and-s“iteonaudit checklist”,the audiutpimplements on-siteaudit to the au

48、dited department, the focus of the audit can be adjusted according to the actual circumstances.审核员通过交谈、现场勘察、查阅文件和记录、现场查验等方法收集客观证据， 并记录。当现场检查发现问题时，审核员应进一步核查清楚，记录不符合事实，并与责 任部门沟通。Theauditors through the methodssuchas conversation, fieldsurvey, reviewingdocumentand record, on-siteinspection,etc.,collect

49、the objectiveevidence, andgrorecord. When the problems are found in field inspection, the auditor shall check more clearly,records the non-conformity facts,andcommunicatewith the responsible department.内审组长每日召开小组会议，全面了解该日小组内审情况；The internal audit group leader holds team meeting every day, to roundly

50、 realize the internal audit situations of the team.现场审核结束后，由审核组长召集审核组成员会议，讨论审核结论。内审员依据标准、体系文件及有关法律法规要求，必要时还要依据与顾客签订的合同要求，确认不符合（不合格）项，并填写“不符合（不合格项）报告”。When the on-site audit is finished， the internal audit group leader calls the internal auditgroupmembersmeetingtodiscusstheauditconclusion.Accordingto

51、the standards,systemdocumentsandrelatedlawsandregulationsrequirements,if necessaryalso accordingto the requirementsof contractssigned with customers, auditors confirm the non- conformity, and fill “non -conformity report”.针对审核工作中遇到的一些具有共性的、复杂的、 难以解决和难以下结论的问题，专题讨论、交流，以求得审核员之间的共识。For the problems that

52、 is common, complicated, difficult to solve and hard to drawconclusions,specialdiscussionandcommunicationwillbetakentoensurethe consensus between the auditors.不符合（不合格项）分严重不符合项、一般不符合项、观察项三大类。审核出具的不符合在末次会议前通知受审部门负责人。Non-conformity （ non-conformity item ） usually grades three categories as serious non-

53、conformity, general non-conformity and observation item. The non-conformities will be informed to the leader of the audited department before closing meeting.内审中开具的不符合由责任部门按 纠正/预防措施控制程序要求进行整改。CTO 组织开具不符合的审核员对纠正 /预防措施的有效性进行验证。The responsible department correct the non-conformity which come from inter

54、nalaudit according to the requirement of “corrective / preventive action control procedure”. CTO organizes the auditors who fill non-conformity in internal audit to verify the effectiveness of the corrective / preventive actions.在内部审核期间，审核组长需对审核过程进行控制。During the internal audit, internal audit group

55、leader need to control the audit process.内部审核报告 Internal audit report现场审核结束后 ,审核组长召开审核组全体会议，综合分析检查结果，对受审核部门的质量管理工作作一次总体评价 ,编写内部审核报告，交管理者代表批准。After the on-site audit finished, the internal audit group leader holds a plenarymembers of the internal audit group meeting, which comprehensively analyzes th

56、e check results, and overall evaluates the quality management work of the audited department. Then the leader writes the internal audit report, and submits to management representative approving.内部审核报告内容： The content of internal audit report:A、审核目的、范围、日期；The audit Purpose, scope, date;B、审核组成员、受审核部门名

57、称及负责人； The members of audit group, the name of audited departments, and its responsible persons;D、审核所依据的标准和文件； The standards and documents that the audit base;E、审核综述及结论性意见：包括审核计划实施情况；不符合项分布情况分析、不符合数量及严重程度；上次审核不合格项的整改情况； 做体系有效性、符合性评价结论， 以及今后改进的机会。 The audit comprehensive and conclusive opinions: incl

58、ude the implementsituationofauditplan,non-conformitydistributionstatusanalysis, non-conformity count and severity, corrective situation of the last audit non-conformity, andtodoevaluationconclusionsofsystemeffectivenessandcompliance,and improvement chance in the future.F、不符合项分布表，及纠正要求；Non-conformity

59、distributiontable,andthe corrective requirement;G、不符合项报告作为附件附于审核报告之后。Non-conformityreportasthe attachments with the audit report.内部审核报告的发放范围The issue scope of the internal audit report:内部审核报告经管理者代表批准后，由CTO 发至最高管理者、管理者代表、顾客代表、最高管理层、及受审核部门。After the internalaudit reportis approvedby the managementrepr

60、esentative,thereportwillbeissuedtotopmanagers,managementrepresentative,customer representative, top management, and the audited department by the CTO.内部审核报告作为管理评审输入材料之一。The internal audit report is one of the materials of the management review.末次会议 Closing meeting审核组长主持会议。The internal audit group le