Internal Audit procedure内部审核程序(中英文)

LOGOQUALITYSYSTEM

PROCEDURE

质量体系程序Number文件编号：MC-M3-01Department部门：QA质量部Subject文件名称：InternalAuditprocedure内部审核程序Revision版本：3.0EffectiveDate生效日期：2021-05-10Page1of7批准：审核：作成：ChangeHistory

变更记录,Revision版

本EffectiveDate生效日期Originator

编写人ReasonsforChange

修改原因1.02017-01-01OriginRevision2.02018-03-13Update4.3.1&4.4.4,Addinternalauditorevaluation

andproductauditexplanation3.02020-05-10Update43.1,Deleteinternalauditorevaluation4.02021-02-05增加过程/产品审核的频次定义1.0Purpose目的ThisproceduredescribeshowinternalauditsoftheManagementSystem(includingQuality

ManagementSystemandEnvironmentalManagementSystem)areconducted,howNon-conformances

arerecordedandhowcorrectiveactionsareagreed,implementedandverified.本程序描述了如何对公司管理体系(包括质量管理体系和环境管理体系)进行内部审核，如何记录不符

合事项以及如何制定、实施和验证纠正措施2.0Scope范围ThisprocedureappliestoManagementSystem(includingQualityManagementSystemand

EnvironmentalManagementSystem)internalaudit,processauditandproductauditin***.本程序适用于本公司与管理体系(包括质量管理体系和环境管理体系)有关的审核活动，包括质量管理

体系审核、环境管理体系审核、过程审核、产品审核。3.0Definitions定义IMSAJnternalManagementSystemAudit/内部管理体系审核；InternalAuditor:Basedontraining,apersonwhoiscapableandqualifiedtoaudittheperformance

ofManagementSystem.内审员：经过相应培训，具有能力和资格对公司管理体系状况进行审核的员工AuditTeamLeader:Apersonwhoisrecommendedtotakechargeintheinternalaudit.内审组长：指定的负责全程内审的人员AuditCriteria:Aseriesofpolicies,proceduresandrequirements,whichareusedasbasisforaudit.

审核准则：所依据的一系列的方针、程序或要求AuditEvidence:Anyfact,recordorotherinformationthatcanbegotduringaudit.审核证据：与审核有并能够证实的记录、事实陈述或其他信息AuditFinding:Theresultafterevaluatingtheauditevidencebasedontheauditcriteria.审核发现：所收集到的审核证据对照审核准则进行评价的结果SystemAudits:Systematicassessmentforqualityandenvironmentalmanagementtoverifythe

effectiveness.体系审核：对质量和环境管理体系进行审核，以确认体系运行的有效性。ProcessAudits:auditeachmanufacturingprocesstodetermineitseffectiveness.

过程审核：对每个制造过程进行审核，以确定其有效性.ProductAudits:Assessmentofproductsatappropriatestagesofproductionanddeliverytoverify

conformitytoallspecifiedrequirements,suchasproductdimensions,functionality,packagingand

labeling,atadefinedfrequency.产品审核：在生产和交付的适当阶段对产品进行审核，以验证符合所有要求，如产品尺寸、功能、包

装和标签等.CriticalNonconformity:Thenonconformitywillaffecttheoperationofwholemanagementsystem;

thesamenonconformityhappensinseveraldepartmentsandw川affecttheoperationofwhole

system;theoperationisseverenonconformingwithmanuaΓsrequirements.严重不符合事项：影响整个管理体系运行的重大不符合；或同一类不符合事项发生在数个部门足以影

响整个体系运行；或执行的事项与手册的规定严重不符合时。CommonNonconformity:Exceptthecriticalnonconformities,otheroperationormistakesthatdon,t

complywiththeprocedureornotreachtherequirements.一般不符合事项：除上述主要不符合事项外，其余没有遵守公司工作程序的某一项过失或没有达到规

定要求时，称之为一般不符合事项。3.120bservedItem:Theoperationhasnotdisobeyedthesystemrequirementsorhasnoevidenceto

showthatauditfindingsareconformity,buttheoperationresultmaybewillaffectthesystem.观察事项：虽未违反体系要求或没有客观证据可证明所发现的事实足以构成不合格，但结果可能会影

响体系的事项。ProcedureandFlowchart程序及流程图Responsibilityandauthority职责与权限TheQEMSRepresentativeisresponsibleforapprovaloftheauditplanandensuringthat

theinternalauditsareconductedinaccordancewithauditschedule.管理者代表批准审核计划，确保按照内审计划实施内部审核；QualityDept,isresponsibleformakingauditplan,coordinatingtheimplementationofinternalaudit,

summarizingtheauditresultandfollowingupthecorrectiveactionandeffectiveness.质量部负责制订审核计划，协调内审实施，汇总审核结果，跟踪审核改善和效果。Aninternalauditteamleaderisresponsibleforwholeauditactivity.

内审组长负责整个的内审过程。Theauditorsareresponsibleforreportingthedetailsofanyfindings,issueCAR,and

subsequentlyverifyingthecorrectiveactionstaken.内部审核员负责实施审核，汇报审核发现，提出纠正和预防措施要求，并跟踪验证纠正预防

措施的执行。OtherdeptassistauditandtakecorrectiveandpreventiveactionforNon-conformance.

其他部门：配合审核，并对不符合采取纠正预防措施。AuditPlan审核计划Qualitydepartmentmakeinternalauditplan,includingQMS&EMSaudit,processauditandproduct

audit,thengetapprovalfromManagementRepresentative.质量部制定年度内部审核计划，包括质量体系审核、环境体系审核、过程审核、产品审核，

并由管理者代表批准。TheQMSandEMSaudit,processauditandproductauditwillbeconductonceperyear.Process

auditandproductauditshouldbeperformedaccordingtocustomers9frequencywhiletheyhadthe

specialauditfrequencyrequirements.ManagementRepresentativecanincreasethefrequency

consideringthepreviousperformance,theimportanceofprocessandproduct,intemalandexternal

nonconformanceandcriticalcustomercomplaint.审核频次：每年1次质量体系审核、环境体系审核、过程审核、产品审核，当客户有对过程

审核及产品审核有特定要求时，频度按照客户要求实施，具体参见审核计划。管理者代表可

根据以往的质量/环境绩效、过程/产品重要性、内外部不符合、重大客户投诉事件等，增加各

类审核的频次。管理者代表视需要可不定期举行内部审核。（开发阶段:在客户签署PPAP前完成过程/产品审核；量产阶段:PPAP签署后每年进行一次过

程、产品审核）AuditorQualifications审核员资格TheQMSandEMSinternalauditorsshallbetrainedbythequalifiedtraininginstituteandgetthe

certification.QMS/EMS内审员：有资质的培训机构培训的IATF16949和ISO14001内审员，并取得合格证书。Processauditor:engineerfamiliarwiththeproductionprocessandwithoneyearexperience.

过程审核员：熟悉产品生产过程，公司工作一年以上的工程师。Productauditor:qualityengineerfamiliarwithproductrequirementsandwithoneyearexperience.

产品审核员：具备产品检验能力，熟悉产品要求，公司工作一年以上的质量工程师。Preparationofaudit审核准备AuditormakeinternalsystemauditchecklistInternalAuditchecklist.内审员制定内部体系审核的审核表《内部审核检查表》。ThesysteminternalauditcriterionisIATF16949andISO14001Standards,Qualityand

EnvironmentManual,ProceduresandWorkingInstruction,ContractrequirementsandNationallegal

requirements,etc.体系审核以IATF16949和ISO14001标准、公司的质量和环境管理手册、程序文件、相关的

作业指导书、规范及国家的法律法规等为依据。Processauditassessthequalityabilityformanufacturingprocess.Qualitydeptprepareengineering

specification,processrequirement,productstandardtomakeProcessAuditchecklist.过程审核是对产品制造过程的质量能力进行评定，质量部准备各类准则技术要求，工序准

则，文件，产品标准，确定《过程审核表》。Productauditassessproductqualitylevel,includingproductdimension,appearance,function,

packing,labelandetc.Qualitydeptprepareengineeringspecification,productstandard,defectgrade

table,testplanandetc.tomakeProductAuditchecklist.产品审核：对已检验合格的产品进行再检查，包括产品尺寸，外观，性能，包装，标签等，

以评价其质量水平以及是否需采取改进措施。质量部准备各类技术资料产品标准，缺陷分级

表，试验计划等，确定《产品审核表》。Auditimplementation审核的实施Internalsystemaudit内部体系审核Qualitydepartmentleadtoauditteamandchooseappropriateauditor,determinetheteamleader,

andthensendInternalAuditSchedule.质量部主导成立审核小组，选择合适的体系审核员，确认审核组长，发出《内部审核实施

计划》。TheAuditteamleadercallopenmeetinginaccordancewithauditscheduleandconfirmtheaudit

schedulewithauditors,relateddepartmentmanagers.审核组长按计划召开体系审核的首次会议，审核员、受审核部门的负责人和相关管理人员

参加，确认审核行程。Auditorlooksfortheevidenceofconformanceaccordingtoauditplanandauditchecklistand

recordtheauditfindings.内审员按审核计划和审核表进行审核，寻找符合性证据，并在审核表上记录审核发现。TheAuditteamleadercallclosemeetingandreporttheauditresult,confirmthenonconforming

itemswithrelateddepartment.现场审核结束后，审核组长召开末次会议，报告审核结果，确认不符合项。TheAuditteamleadersummarizestheauditresultandsubmitsthe,FN-QA-046Internalsystem

AuditReporttoalldepartmentsandManagementrepresentative,andasoneinputofmanagement

review.审核组长汇总审核结果，提交FN-QA-046内部体系审核报告给各部门和管理者代表，并

作为管理评审的输入之一。ProcessauditandProductaudit过程审核和产品审核Auditorlooksfortheevidenceofconformanceaccordingtoauditplanandauditchecklistand

recordtheauditfindings.***followsVDA6.3toperformprocessauditforeachstationifthere,s

nocustomerspecialrequest.审核员按审核计划和审核表进行审核，寻找符合性证据，并在审核表上记录审核。如果客

户没有特殊要求时；本公司参考VDA6.3的要求对每个过程进行过程审核。TheAuditorsummarizestheauditresultandsubmits(heinternalauditsummaryreporttoall

departmentsandManagementrepresentative,andasoneinputofmanagementreview.审核员汇总审核结果，提交审核结果给各部门和管理者代表，并作为管理评审的输入之OCorrectiveandimprovementaction纠正改进措施TheauditorissueCorrectiveandPreventiveActionReport(CAR/PAR)fornonconformance

findingstotheresponsibledept.审核中发现不符合，审核员开出FN-QA-056不符合报告，交责任部门限期改善。Theauditeddepartmentshallprovidecorrectiveandpreventiveactionplaninoneweektoimprove

andavoidhappeningagain.被审核部门，应针对审核所发现的各项缺失，于审核后一周内提出纠正与预防措施，以改善

问题及防止问题再发生。Afterimplementationofaction,theauditorverifiestheactionimplementationandeffectiveness,re-

auditonsiteifnecessary,thentheauditorrecordtheresultintheCAR/PAR.Iftheactioniseffective,

closetheCAR/PAR;otherwiserejecttotheres