RH-MSP-12 - Internal Audit - 2009-04-28 v1-0.doc

Document No:RH-MSP-12Issue:1Amendment:APage:10 of 10Date:28/4/2009 PROCEDURE TITLE: INTERNAL AUDITS程序標(biāo)題：內(nèi)部評(píng)審 PROCEDURE NUMBER: RH-MSP-12程序編號(hào)：RH-MSP-12 Amendment修訂Date日期Description說(shuō)明Reviewed審核Approved批準(zhǔn) A28/4/2009New Issue新簽發(fā)G. TrainorG. Allen PROCEDURE FOR INTERNAL AUDITS內(nèi)部審計(jì)程序1.PURPOSE目的To maintain a system for verification of the implementation and effectiveness of the Quality, Environmental, and Occupational Health & Safety System by means of a systematic method for planning, scheduling, coordinating and performing management system audits.通過(guò)規(guī)劃、制定時(shí)間表、協(xié)調(diào)和執(zhí)行管理系統(tǒng)評(píng)審來(lái)維護(hù)質(zhì)量、環(huán)境和職業(yè)健康和安全的實(shí)施和有效性的驗(yàn)證系統(tǒng)。2.SCOPE范圍This procedure applies to all internal management system audits performed by RYCO Hydraulics/RYCO Hose.本程序適用于萊科液壓/萊科軟管公司執(zhí)行的所有內(nèi)部管理系統(tǒng)審核。 3.REFERENCES參考文件RH-MSP-09: Control of Non-conforming Product & Corrective and Preventive ActionRH-MSP-09：不合格產(chǎn)品的控制以及糾正與預(yù)防措施4.DEFINITIONS定義4.1REVIEW復(fù)審Examination of a product, process or system, as appropriate, with the specific purpose of optimising its effectiveness.在適合情況下進(jìn)行產(chǎn)品、工藝或系統(tǒng)的檢查，具體目的是提高有效性。4.2MANAGEMENT SYSTEM AUDIT管理系統(tǒng)評(píng)審A systematic and independent examination to determine whether quality, environmental, and Occupation Health and Safety management activities and related results comply with planned arrangements and whether these arrangements are implemented effectively and are suitable to achieve objectives.采用系統(tǒng)化的獨(dú)立審查，確定質(zhì)量、環(huán)境和職業(yè)健康和安全管理活動(dòng)和相關(guān)結(jié)果是否遵守規(guī)劃的安排，這些安排活動(dòng)的實(shí)施效率，以及是否適用于實(shí)現(xiàn)具體的目標(biāo)。4.3VERIFICATION驗(yàn)證The formal process of confirming and documenting compliance with acceptance criteria.確認(rèn)并記錄符合驗(yàn)收標(biāo)準(zhǔn)的正式過(guò)程4.4AUDIT TYPE評(píng)審類型There are three types of management system audits that may be carried out.管理系統(tǒng)評(píng)審有三種類型：4.4.1Internal Audit內(nèi)部評(píng)審A management system audit carried out by RYCO to evaluate its own performance.由萊科進(jìn)行管理系統(tǒng)業(yè)績(jī)的自我評(píng)估4.4.2External Audit 外部評(píng)審A management system audit carried out by RYCO Hydraulics to evaluate the activities of its suppliers, agents, licensees, etc.由萊科液壓公司執(zhí)行管理系統(tǒng)評(píng)審，對(duì)供應(yīng)商、代理和許可人活動(dòng)進(jìn)行評(píng)估4.4.3Extrinsic Audit外來(lái)評(píng)審A management system audit carried out by a customer, regulatory authority, etc., on RYCO Hydraulics to assess the activities against specified requirements.由客戶、監(jiān)管機(jī)構(gòu)等對(duì)萊科液壓公司進(jìn)行管理系統(tǒng)評(píng)審，根據(jù)規(guī)定要求評(píng)估公司各項(xiàng)活動(dòng)。 4.5EMSEnvironment Management System.環(huán)境管理系統(tǒng)4.6OHS (MS)Occupational Health and Safety (Management System).職業(yè)健康和安全（管理系統(tǒng)） 4.7EHSEnvironment, Health & Safety.環(huán)境、健康和安全5.RESPONSIBILITIES責(zé)任5.1QUALITY MANAGER / BRANCH QUALITY / EHS REPRESENTATIVE質(zhì)量經(jīng)理/分公司質(zhì)量/環(huán)境健康和安全代表The Quality Manager or nominee is responsible for:質(zhì)量經(jīng)理或指定人負(fù)責(zé)：(a)Establishing and maintaining a program of audits for all aspects of the companys Management System within each applicable branch location.建立并維護(hù)針對(duì)相關(guān)分公司的管理系統(tǒng)各方面的評(píng)審方案(b)Formally assigning an auditor to perform auditing duties正式指派評(píng)審人員執(zhí)行評(píng)審職責(zé)(c)Initiating unscheduled audits.實(shí)施未事先安排的評(píng)審5.2AUDITOR評(píng)審人員The Auditor is responsible for:評(píng)審人員負(fù)責(zé)(a)Planning, preparing, performing and reporting the audit評(píng)審的計(jì)劃、準(zhǔn)備、執(zhí)行和報(bào)告(b)Initiating and verifying that adequate corrective action has been implemented實(shí)施并驗(yàn)證是否采用了充分的糾正措施(c)Re-auditing as necessary.根據(jù)需要重新評(píng)審6.PROCEDURE程序6.1GENERAL概述Audits shall be performed to objectively evaluate the effectiveness of the management system and verify that quality, environmental, and Occupation Health and Safety management activities comply with written procedures, standards or specifications.應(yīng)進(jìn)行評(píng)審，客觀地評(píng)估管理系統(tǒng)的有效性，確認(rèn)質(zhì)量、環(huán)境和職業(yè)健康和安全管理活動(dòng)符合書(shū)面程序、標(biāo)準(zhǔn)或規(guī)范的要求Audits shall include an evaluation of any or all of the following:評(píng)審應(yīng)包括對(duì)下列任何或所有項(xiàng)目的評(píng)估Quality, environmental, and OHS policy procedures, Work instructions;Activities, processes and work areas;Documents and records.質(zhì)量、環(huán)境和職業(yè)健康和安全程序工作指示活動(dòng)、過(guò)程和工作區(qū)域文件和記錄The Quality Manager shall be responsible for ensuring that designated personnel within each RYCO Branch receive training in auditing techniques and in the implementation of this procedure.質(zhì)量經(jīng)理須負(fù)責(zé)保證萊科分公司內(nèi)部的指定人員接受了評(píng)審技巧和程序?qū)嵤┑呐嘤?xùn)。6.2AUDIT SCHEDULE評(píng)審計(jì)劃表The Quality Manager shall establish and maintain an audit schedule. The audit schedule shall be of sufficient scope to ensure that all aspects of the Management System within each branch location are audited as early as possible after their implementation and at least once per annum thereafter. Areas within the company where existing or potential quality, environmental, or Occupation Health and Safety problems may exist shall be audited more frequently. The Quality Manager may conduct complete system audits on an annual basis on small RYCO branch operations in lieu of a monthly audit schedule.質(zhì)量經(jīng)理應(yīng)建立并維護(hù)審計(jì)計(jì)劃表。 評(píng)審計(jì)劃表的范圍應(yīng)足以保證分公司內(nèi)部的管理系統(tǒng)的所有方面都應(yīng)該在實(shí)施后盡快進(jìn)行評(píng)審，至少每年一次。公司中當(dāng)前或可能存在質(zhì)量、環(huán)境或職業(yè)健康和安全問(wèn)題的領(lǐng)域應(yīng)增加評(píng)審頻率。質(zhì)量經(jīng)理可以針對(duì)萊科小型分公司的操作進(jìn)行每年的整體系統(tǒng)評(píng)審，代替每月評(píng)審。Audits shall be scheduled on the basis of the status and importance of the activity. The scheduling shall be at the discretion of the Quality Manager or his nominee.應(yīng)根據(jù)業(yè)務(wù)活動(dòng)的狀態(tài)和重要性安排評(píng)審。由質(zhì)量經(jīng)理或指定人全權(quán)決定時(shí)間安排。The audit schedule shall be reviewed by the Quality Manager and/or the applicable Branch Quality / EHS Representative on a regular basis and shall be updated as necessary based on the maturity of the Management System and the audit history. The date of any amendments made as a result of the review shall be recorded on the audit schedule. 須由質(zhì)量經(jīng)理和/或相關(guān)的分公司質(zhì)量/環(huán)境健康安全代表定期審查“評(píng)審計(jì)劃表”，根據(jù)管理系統(tǒng)的成熟度和評(píng)審歷史進(jìn)行更新。須在評(píng)審計(jì)劃表上記錄評(píng)審結(jié)果所要求的任何修改日期。6.3PLANNING AND PREPARING AUDITS計(jì)劃并準(zhǔn)備評(píng)審The internal audit team may consist of one or more persons. Where practicable, auditors shall not audit their own work and must seek an impartial auditor / person to objectively verify the applicable parts of the audit. 內(nèi)部評(píng)審團(tuán)隊(duì)包括一名或多名成員。在可行的情況下，評(píng)審人員不能評(píng)審自己的工作，必須由公證的評(píng)審人員/第三方客觀的驗(yàn)證評(píng)審的相關(guān)部分。 The Quality Manager or Branch Quality / EHS Representative shall nominate the auditors responsible for each audit and issue a copy of the schedule to each audit team member. 質(zhì)量經(jīng)理或分公司質(zhì)量/環(huán)境健康安全代表應(yīng)指定負(fù)責(zé)每項(xiàng)評(píng)審的評(píng)審人員，并向評(píng)審小組每位成員發(fā)放一份計(jì)劃表。The individuals selected as audit team members shall have undergone appropriate training in auditing techniques.評(píng)審小組成員須接受評(píng)審技能的培訓(xùn)。The Auditor shall be responsible for planning, preparing, performing and reporting the audit in accordance with the requirements of this procedure. 評(píng)審人員負(fù)責(zé)根據(jù)本程序的要求進(jìn)行評(píng)審的規(guī)劃、準(zhǔn)備、執(zhí)行和報(bào)告。During the planning and preparation for an audit the Auditor shall carry out the following:在評(píng)審的規(guī)劃和準(zhǔn)備過(guò)程中，評(píng)審人員應(yīng)執(zhí)行下列任務(wù)(a)Obtain a serial number for the audit report by taking the next available number from the Audit Report Status Log and adding, audit dates, and scope of the audit. The Audit Report numbers shall consist of a Branch location identifier followed by a sequentially allocated number as per the following examples. 從評(píng)審報(bào)告狀態(tài)日志中取下一序號(hào)，得到評(píng)審報(bào)告的序列編號(hào)，添加評(píng)審日期和評(píng)審范圍。評(píng)審報(bào)告編號(hào)須包含分公司位置標(biāo)識(shí)符以及按順序分配的號(hào)碼，舉例說(shuō)明如下SYD-1001(Sydney Branch)NEWC-1001(Newcastle Branch)PTH-1001(Perth Branch)BRS-1001(Brisbane Branch)MKY-1001(Mackay Branch)DL-1001(Dalian)US-1001(Houston USA)MEL-1001(Melbourne Head Office)NZ-1001(New Zealand)SYD-1001 悉尼分公司NEWC-1001 紐卡斯?fàn)柗止綪TH-1001 佩斯分公司BRS-1001 布魯斯班分公司MKY-1001 麥基分公司DL-1001 大連US-1001 美國(guó)休斯頓MEL-1001 墨爾本總部NZ-1001新西蘭(b)Prepare audit check lists based on information such as Management System Procedures, Work Instructions, and/or use a copy of the actual procedure or document being audited as the check list and document the findings in each relevant section of the procedure. 根據(jù)管理系統(tǒng)程序，工作指示的信息編制評(píng)審檢查表，并/或使用待評(píng)審的實(shí)際程序或文件作為檢查表，并將評(píng)審過(guò)程中的發(fā)現(xiàn)記錄在程序的相關(guān)部分。(c)Should a serious deficiency to a Quality Plan / EMS or OHS program / Procedure become apparent during routine operations the Quality Manager or Branch Quality / EHS Representative may initiate an Unscheduled Audit. When completed the Unscheduled Audit shall be shown on the Audit Schedule as having taken place and indicated on the Audit Report Status Log by adding a U after the Audit Number.如果在日常操作過(guò)程中發(fā)現(xiàn)質(zhì)量計(jì)劃/環(huán)境管理系統(tǒng)或職業(yè)衛(wèi)生安全方案/程序存在明顯的嚴(yán)重缺陷，質(zhì)量經(jīng)理或分公司質(zhì)量/環(huán)境管理系統(tǒng)代表可以啟動(dòng)未事先安排的評(píng)審。在未事先安排的評(píng)審?fù)瓿珊?，?yīng)在評(píng)審計(jì)劃表上標(biāo)明已經(jīng)進(jìn)行了評(píng)審，在評(píng)審報(bào)告日志上在評(píng)審編號(hào)后添加U標(biāo)示。6.4CONDUCTING AUDITS 進(jìn)行評(píng)審Upon commencement of the audit, the Auditor shall undertake the following activities:在開(kāi)始評(píng)審時(shí)，評(píng)審人員須執(zhí)行下列活動(dòng)(a)Advise the Auditee (or Department Manager) of the scope of the audit.向被評(píng)審部門（或部門經(jīng)理）提出評(píng)審范圍建議。(b)Conduct the audit using an audit checklist and/or the applicable procedures. 采用評(píng)審檢查表和/或相關(guān)程序進(jìn)行評(píng)審(c)If using a checklist, complete it by stating, under the Results heading:如果使用檢查表，那么在結(jié)果標(biāo)題下應(yīng)記載：Ac -Acceptable :The activity audited is completely acceptableAC - 接受：被評(píng)審的活動(dòng)是可以完全接受的NI - Needs Improvement :The activity audited is acceptable apart from minor inconsistencies unlikely to affect the final outcomeNI - 需要完善：除了不太可能影響最終結(jié)果的微小不符合項(xiàng)以外，被評(píng)審的活動(dòng)是可以接受的Un - Unacceptable : The activity audited is unacceptableUN-不可以接受：被評(píng)審的活動(dòng)是不可以接受的NA - Not applicable :The activity to be audited was not applicable to the particular circumstancesNA-不適合：被評(píng)審的活動(dòng)不適合于具體情況NV - Not verified : The activity was not audited at that particular timeNV-未驗(yàn)證：該項(xiàng)活動(dòng)在該具體時(shí)刻沒(méi)有進(jìn)行評(píng)審If using the procedure as a checklist, the auditor shall document the findings in the procedure and summarise the audit results in the audit report.如果采用程序作為檢查表，那么評(píng)審人員應(yīng)在程序上記錄發(fā)現(xiàn)的項(xiàng)目，并且在評(píng)審報(bào)告中總結(jié)評(píng)審結(jié)果。Upon completion of the audit the Auditor shall advise the Auditee or the Department Manager of any non-conformances found by issuing a Corrective/Preventive Action Request in accordance with Procedure RH-MSP-09.在完成評(píng)審后，評(píng)審人員應(yīng)向被審計(jì)部門或部門經(jīng)理提出所發(fā)現(xiàn)的不符合項(xiàng)目，根據(jù)程序RH-MSP-09出具“糾正/預(yù)防措施請(qǐng)求書(shū)”。6.5AUDIT REPORT評(píng)審報(bào)告Following the completion of the audit the Auditor, with the assistance of the other member(s) of the team (if any), and using the completed audit check list/procedure, shall prepare the audit report. The audit report shall comprise a completed Audit Report Sheet, completed checklists or procedures and any Corrective/Preventive Action Requests (if applicable).在完成評(píng)審后，評(píng)審人員在評(píng)審小組其他成員（如果有）輔助下，采用已經(jīng)完成的評(píng)審檢查表/程序，編制評(píng)審報(bào)告。評(píng)審報(bào)告包括填寫(xiě)完畢的評(píng)審報(bào)告，填寫(xiě)完畢的檢查表或過(guò)程以及任何糾正/預(yù)防措施請(qǐng)求（如適用）。The Auditor shall sign the completed audit report and issue it to the Branch Quality / EHS Representative for review. A copy shall then be issued to the Quality