内审管理程序

TITLE:CORPORATEPROCEDUREFORINTERNALAUDIT内审之管制程序DocumentNo.:QA20001Rev.No.:A00Page1of12RevisionHistoryREVDCN#INITIATEDBYEFFECTIVEDATE(MM/DD/YY)DESCRIPTIONA00WilliamMagramoInitialReleaseApprovedDCNonFileinDocumentControlAPPROVEDBYMotoakiWakuiAUTHORIZEDBYSKLamCONFIDENTIALPROPERTYOFZHONGSHANSUNMINGOPTICALTECHNOLOGIESLIMITEDThisdocument,andtheinformationitcontains,arethepropertyofZhongshanSunmingOpticalTechnologiesLimitedandareprotectedbylaw.Bothmustbeheldinstrictconfidenceatalltimes.Nolicenseexpressedorimplied,underanypatent,copyrightorotherintellectualpropertyrightisgrantedorimpliedbytheprovisionorpossessionofthisdocument.Nopartofthisdocumentmaybereproduced,transmitted,transcribed,storedinaretrievalsystem,translatedintoanylanguageorcomputerlanguage,inanyformorbyanymeans,whatsoever,withoutthepriorwrittenconsentofZhongshanSunmingOpticalTechnologiesLimited.?2014ZHONGSHANSUNMINGOPTICALTECHNOLOGIESLIMITEDALLRIGHTSRESERVED1.0PURPOSE目的Toestablishaprocedureintheplanning,management,conductanddocumentingofInternalAuditsagainstSUNMINGpolicies,proceduresandworkinstructionsinordertoverifythattheyareeffectivelyimplementedandmaintainedandtoidentifyareasforimprovement.为规划，管理，引导及内审记录建立程序以对比SUNMING的政策，程序及作业指导书以便检验它们是否得到了有效的执行及维护，在确定的范围是否得到改善。2.0SCOPE范围ThisproceduredefinestheAuditProcedurescoveringSUNMINGQualityManagementSystemprocesses.此程序定义了涵盖SUNMING质量管理体系制程的评审程序。3.0DEFINITIONS&ABBREVIATIONS术语与定义Audit-asystematic,independentanddocumentedprocessforobtainingauditevideneeandevaluatingitobjectivelytodeterminetheextenttowhichauditcriteriaarefulfilled.评审-一个系统的，独立的，文件化的制程以获得评审证据并对其进行客观评估，决定满足评审 标准 excel标准偏差excel标准偏差函数exl标准差函数国标检验抽样标准表免费下载红头文件格式标准下载 的程度。AuditCriteria-setofpolicies,procedureorrequirements.评审标准-一系列政策，程序或条件。AuditEvidenee-records,statementsoffactsorotherinformation,whicharerelevanttotheauditcriteriaandverifiable.评审证据-与评审条件和检验有关的事实或其它信息的记录，陈述。AuditNon-Conformanee(NC)-anauditfinding,substantiatedbyobjectiveevidenee,wherethereisafailuretomeettherequirementsofaprocedureorworkinstruction.评审不合格-评审发现，客观证据证实程序或作业指导书不能满足要求。AuditObservation-anauditfindingthat,whilstnotbeinganon-conformanee,doesgivecauseforconcern,ormayresultinaNon-Conformaneeinthefuture.评审观察-一种评审发现，而不是作为不合格，给予关注的原因是其可能在未来会导致不合格。AuditProgramme-setofoneormoreaudits,plannedforaspecifictimeframeanddirectedtowardsaspecifictimeframeanddirectedtowardsaspecificpurpose.评审程序-设置一个或多个评审，规划一个具体的时间框架及并直接指向此具体的时间框架和具体目的。CorrectiveAction-actiontoeliminatethecauseofadetectednonconformityorotherundesirablethesituation.更正措施-造成检测到的不合格或其它不良状况的清除措施。PreventiveAction-actiontoeliminatethecauseofpotentialnon-conformityorotherundesirablepotential.预防措施-造成潜在的不合格或其它不良状况的清除措施。ManagementRepresentative(MR)-isthepersonwhohasdelegatedauthorityfromtopmanagementtoensurethatthesystemisproperlyestablishedandimplementedandeffectivelymaintained.管理者代表-从上层管理获得代理权限的人，确保体系的正确建立及执行并得到有效的维护。QMS-QualityManagementSystem质量管理体系4.0ASSOCIATEDDOCUMENTS相关文件GM20001:ManagementReviewProcedure管理评审程序QA30001:WorkInstructionforProcessApproachAuditing.制程研究评审之作业指导书QA30002:WorkInstructionforInternalCorrectiveActionandPreventiveAction.内部更正措施及预防措施之作业指导书5.0GENERALREQUIREMENTS—般要求RolesandResponsibilities角色和 职责 岗位职责下载项目部各岗位职责下载项目部各岗位职责下载建筑公司岗位职责下载社工督导职责.docx QMSengineer-hasoverallresponsibilityfortheplanning,conductandreportingoftheinternalauditprocessasdefinedwithinthisprocedure.质量管理体系工程师-全面负责此程序定义的内审制程的规划，引导及 报告 软件系统测试报告下载sgs报告如何下载关于路面塌陷情况报告535n,sgs报告怎么下载竣工报告下载 。Auditteam-(AuditorsandLeadAuditors)areresponsiblefortheconductofauditsinaccordaneewiththerequirementsofthisprocedure.评审小组-(评审员及评审长)负责评审的指导使评审按照此程序的要求进行。ManagementRepresentative(MR)-isresponsiblefortheapprovaloftheinternalauditscheduleandteam.ReviewtheoverallperformaneeoftheInternalAuditprogrammeandmakerecommendationforimprovementifnecessary.TheQAManageristhemanagementrepresentative.管理者代表-负责内审 计划 项目进度计划表范例计划下载计划下载计划下载课程教学计划下载 和内审小组的批准，检查内审的整体性能，必要的话提出改善建议。管理者代表为QA经理。AuditedProcess-themanagerresponsibleforthedepartmentortheprocessbeingauditedshall:评审流程-作为部门负责人的经理或被评审的制程应：AgreetheauditscheduleandscopewiththeLeadAuditor.同意评审长的评审计划和范围Provideaccessandsupporttotheauditors.向评审员提供访问权及支持Informinvolvedstaffoftheauditscheduleandobjectives.通知与评审计划和目标的有关人员AuthorizesCorrectiveActionswithnoCostImpact.批准的更正措施没有成本上的影响AgreeCorrectiveandPreventiveActionswiththeLeadAuditor,andreferactionswithcostimpacttorelevantbudgetauthority.同意评审长的更正及预防措施，向相关预算主管机构说明对成本有影响的措施。ImplementtheagreedCorrective/Preventiveactions.实施已达成的更正/预防措施。AuditProgrammePlanning评审程序规划AnnualAuditPlan年度评审计划Beforethestartofeachcalendaryear,theQMSengineershallprepareanAuditProgrammeforthefollowingyear,fortheapprovaloftheManagementRepresentative.Theplanshallcontainascheduleofallinternalauditsplannedfortheyear.Foreachaudittheplanshallidentify:在每年开始，质量管理体系工程师应转杯本年度的评审程序并呈报给管理者代表批准，此计划应包含本年度的内审安排计划。计划的每个内审应确立：?Scopeandpurposeoftheauditprogrammefortheyear(torelatetotheorganizationalobjectivesfortheyear),年度评审程序(参考年度组织目标)的范围和目的?ActivitiesorProcessestobeaudited,要评审的活动和制程?ListofLeadAuditorsandAuditorsandproposedcompositionforeachaudit,评审长及评审员名单及提议的每个评审的构成?Programmestatingthemonthforwhicheachauditisplanned.计划的每个评审程序开始的月份TheoverallobjectiveoftheplanistoensurethateachpartoftheSUNMINGorganizationshallbesubjecttointernalauditatleastoncein12-monthperiod.Priortothestartofeachyear,theAuditPlanshallbedistributedtotheManagersoftheEntitiestobeaudited,andtoassignedLeadAuditorsandAuditors.ChangeswithrespecttotheauditplanwithassociatedreasonsorcausesshallbereportedtotheManagementRepresentative.计划的总体目标是确保SUNMING各组织至少在12个月内进行一次内审。每年内审开始前，应将评审计划发给被评审部门的经理，指定的评审长和评审员。因相关理由或原因变更评审计划的应向管理者代表报告。Auditor评审员TheQMSEngineershallmaintainalistofqualifiedAuditorswhichhadundergoneinternalaudittrainingwithcertificatestraceableintheHumanResourcesrecords.Foreachaudit,thecertifiedinternalauditorsshallbeindependentoftheorganizationaldepartmentorprocessbeingaudited.质量管理体系工程师应维护合格评审员的名单，他们应受过评审培训并且在人力资源记录中有证书可追溯，每次评审，这些合格的内审员应独立于被审核的组织部门或制程。UnplannedAudits计划外评审TheQMSEngineershallauthorizeunplannedauditsinthefollowingcases:出现以下情况，质量管理体系工程师应授权计划外评审：?Wherecomplaintorappealrequiresanaudittobeperformed;有投诉或要求执行评审的时候?Whereatrendinnon-conformanceshasbeenidentifiedthatwarrantsanauditacrosstheorganizationwithrespecttoaspecificprocedureorprocess.确认出现不合格的趋势，授权一个关于特定程序或制程的贯穿组织的评审?WheretheMRrequiresaninvestigationintoafailureorspecificevent.管理者代表要求对失败或重大事件进行调查Inallcases,theauditshallbeconductedinaccordaneewiththisprocedure.以上所有情况都需在此程序的指导下进行。DataAnalysisandReporting.数据分析与报告AuditConductAnalysis评审实施分析TheQMSEngineerisresponsibleformonitoringtheconductofauditsandshallassesstheimplementationoftheinternalauditprogramme.Thisshallincludeverifyingthat:质量管理体系工程师负责评审的实施及评估内审程序的执行，包括验证以下方面：AuditsareimplementedasscheduledintheInternalAuditPlan;评审时按照内审计划的安排实施的Auditorsarecompetent(basedontraining,technicalexperieneeandanypreviousaudits)andimplementauditsaccordingtothisprocedure;内审员是称职的(建立在培训，技术经验及评审经验)并根据此程序进行评审。AuditresultsaredocumentedinAuditsreportsandAuditFindingsReports;评审结果记录在评审报告和评审发现报告里Correctiveandpreventiveactionsareimplementedasagreed.按照约定实施更正及预防措施AuditDataandResult评审数据及结果TheQMSEngineershallanalyzeauditdataandresultwithrespecttothefollowing:质量管理体系工程师应对以下方面分析评审数据及结果?CoverageofSUNMINGprocedures,identifyinganyareaswherecoverageisweakormissing;SUNMING程序的覆盖范围，检查确认在哪些区域覆盖薄弱或缺失。?IdentificationofareasorprocessesresultinginahighnumberoffindingsrelativetotherestofSUNMINGSystem.识别相对于SUNMING其它的体系，导致数量较多问 题 快递公司问题件快递公司问题件货款处理关于圆的周长面积重点题型关于解方程组的题及答案关于南海问题 发现的范围和制程。Inthecaseofpoorcoverage,andbasedonthecriticalityoftheprocess,theQMSEngineershalldecidewhetherto:若覆盖薄弱，根据制程的危急程度，质量管理体系工程师需决定是否：?Scheduleahorizontalauditcoveringthesubjectarea;安排一个覆盖主题区的横向评审?Ensurefutureauditsspecificallyaddressthesubjectarea.确保将来的评审能够特别的涉及到这些主题区Intheareaswherehighlevelofauditfindings(bothnon-conformancesandobservations)hasoccurred,theQMSEngineershallassesstheproceduretoascertainwhetheraprocedureisimpracticalorobsolete.Wherethisisthecase,theQMSEngineershallrecommendchangesintheprocessprocedure.在评审发现问题(包括不合格和观察项)较多的区域，质量管理体系工程师应评估程序并判断制程是否是不切实际的或应废止的。出现这种情况后，质量管理体系工程师应建议对处理流程进行变更。AuditProgrammeReporting评审程序报告TheQMSEngineershallreporttotheMRontheabove.Inaddition,thisreportandtheassociatedactionsshallbeconsideredaspartoftheManagementReviewactivity?2014ZHONGSHANSUNMINGOPTICALTECHNOLOGIESLIMITEDConfidential(AnyhardcopyprintoutofthisdocumentisuncontrolledunlessitbearsDCCredcontrolledstamp)(GM20001).质量管理体系工程师应向管理者代表汇报以上情况。另外，这份报告及相关的措施应作为管理评审活动的一部分。5.4AUDITPROCEDURE评审程序TheprocessforinternalauditsisshowninAttachment1.TheinternalauditprocessshallbeconsistentwiththeISO19011guidelines.附件1为内审的流程，内审流程应同ISO19011指导方针一致。5.4.1AuditPreparation.评审准备Preparationsforauditsidentifiedintheannualplanshallbeconductedasdescribedbelow.Preparationsforunplannedauditsthatmayarise,forexamplefromacomplaint,shallperformthesameactivitiesaccordingtoascheduleagreedwiththeQMSEngineer.，如投应按照以下描述来实施年度计划准备中确认的评审。准备可能出现的非计划评审诉，应按照质量管理体系工程师同意的安排计划执行同样的活动。AuditConduct.评审实施TheLeadAuditorshallchairanopeningmeetingwithauditorsandtheindividualsoftheauditedprocess.Atthismeeting,theLeadAuditorshall:评审长应同评审员及被评审制程负责人举行公开会议，在这个会议上，评审长应：?Reviewthescopeandbaselineoftheaudit;检查评审的范围和基准?Describetheplannedactivitiesandschedule;描述计划的活动和安排?Identifyandagreeanymodificationorrevisionstoplannedactivities.对计划活动进行的任何修改或修正进行确认和批准Duringtheaudit,theauditorsshallusethechecklists,preparedearlier,toassisttheminconfirmingcomplianeeandidentifyingareastobeimproved.Theuseofthechecklistwillensurethattheauditataminimumwilladdresstherequirementsasdefinedbythescopeoftheaudit.评审期间，评审员应早些准备并使用检查表，以帮助他们确认符合性并检查需要改善的地方。检查表的用处是确保评审最少应传达评审范围确定的要求。Theauditorsshalldocumentallfindingsandnon-compliancesidentifiedinthecourseoftheaudit.ObservationsorNon-conformancesdetectedduringtheauditshallbedocumentedonInternalCARastheyaredetected.Theauditorshallobtainconfirmationfromtheindividualsbeingauditedofanynon-complianee.AnInternalQA20001A008OF12CARformisprovidedinQA30002.评审员应记录在评审过程中所有的发现和不符合。评审过程中的观察和发现的不符合都应记录在内部更正行动要求上。评审员应向被评审的负责人确认不符合要求项。内审的更正措施要求表在文件QA30002里。Theaudit,andallassociatedfindings,shallbebasedupontheinterviewofrelevantstaffandthereviewofdocumentaryevideneeofconformaneeorotherwisetotheprocedureunderconsideration.Allsuchdocumentaryevideneeshallbenotedbytheauditteammemberandpassedtotheleadauditor.Thelackofrequireddocumentaryevideneeshall,initself,formanon-conformanee.评审及相关的发现，都应建立在采访相关人员，对符合性的文件证明或者正在考虑中的程序进行复审的基础上。评审组成员应记下所有这些文件证明并交给评审长，缺乏这些要求的文件证明，其本身也构成不合格。Attheendoftheaudit,theLeadAuditorshall:评审结束，评审长应：?Collateandorganizetheresultsfromeachauditor;核对并组织每个评审员的结果?Chairaclosingmeetingwiththeauditors,themanageroftheauditedprocessand,ifdesired,themembersoftheauditedprocess.同评审员，被审制程的经理，需要的话，还有被审制程的成员主持终止会议。Attheclosingmeeting,theLeadAuditorshall:终止会议上，评审长应：?Reviewallfindingsoftheaudit;回顾评审中所有的发现?Reviewallobservations,non-eonformancesandrecommendationsforcorrective/preventiveactionfromtheaudit;回顾所有的观察结果，不合格及评审建议的更正/预防措施?Correctanyinaccurateinformationresultingfromtheaudit;更正产生于评审的不准确信息?Obtainconcurreneefromthemanageroftheauditedprocesswiththefactualinformationdocumentedintheauditrecords;对评审记录中的实际信息，获得被审制程的经理的赞同?Agreewiththemanageroftheauditedprocessallcorrective/preventiveactionsandtheirscheduleforimplementation.就被审制程的所有更正/预防措施及改善计划同被审制程的经理达成一致意见Whereitisnotpossibletoidentifyallappropriatecorrective/preventiveactionsimmediately,theLeadAuditorandthemanageroftheauditedprocessshallagreeaplanofactivitiestodefinethenecessarycorrective/preventiveactions.Inanycase,thecorrective/preventiveactionsshallbedefinedandagreedwithintwoweeksaftertheclosingmeetingoftheaudit.若不能立即确认所有更正/预防措施，评审长及被审制程的经理应制定一个活动计划来定义必要的更正/预防措施。任何情况下，必须在评审终止会议结束后的两周内定义更正/预防措施并达成一致。IftheLeadAuditorisunabletoobtaintheagreementofthemanageroftheentitybeingaudited,regardingtheauditfindingsorforappropriatecorrectiveand/orpreventiveactionsforanidentifieddeficiency,thenthisshallbeimmediatelyreportedtotheManagementRepresentative.Insuchcases,theManagementRepresentativeshallresolvethedisagreementsdirectlywiththemanageroftheauditedprocess.Ifthisisnotpossible,theManagementRepresentativeshallrefertheissuetoprogressivelyhigher-levelmanagersinthehierarchyuntilasatisfactorysolutionisagreed.若评审长与被审单位的经理在评审发现或对确认为缺陷的更正和/或预防措施的问题上不能达成一致，应立即将此情况汇报给管理者代表，管理者代表应立即和被审制程的经理解决此问题，如果仍不能达成一致，管理者代表应向更高一级的经理反映此问题知道获得满意的答案。DocumentationofAuditResult.评审结果的文件编制Followingtheaudit,theLeadAuditorshallprepareanAuditReport,followingthestructuredefinedinQA30001.TheLeadAuditorshallassurethatallInternalCARarenumberedsequentially.根据评审，评审长应按照QA30001定义的结构来准备评审报告，评审长应确保所有内部更正措施要求按顺序编号。Withinonemonthoftheaudit,theLeadAuditorshallreviewtheAuditReportwiththemanageroftheauditedentitytoensureitiscorrectandcomplete,andthendistributetheAuditReporttothemembersoftheauditedentityandtoDCCforfilling.在评审后的一个月内，评审长应同被审单位的经理复审评审报告以确保它是正确的和完整的,然后将评审报告发给被审单位的成员及文控中心存档。AuditFindingFollowupandClosure.评审发现跟进及终止Themanageroftheauditedprocessshallensurethattheagreedcorrective/preventiveactionsareimplementedasplanned.Whenacorrective/preventiveactionhasbeenimplemented,themanageroftherespectiveprocessshallinformtherelevantLeadAuditor.TheLeadAuditorshallverifytheimplementationofCorrectiveandPreventiveActionsagreedduringauditsandupdatetheAuditFindingReportLogaccordingly.TheLeadAuditorshallinformtheQMSEngineerwhenevercorrectiveorpreventiveactionsarenotimplementedbytheagreeddeadline.TheQMSEngineershallverifyeithertheeffectivenessofallcorrective/preventiveactionsatthetimeofactionclosureorthenextinternalaudit,asQA20001A0010OF12TITLE:CORPORATEPROCEDUREFORINTERNALAUDIT内审之管制程序appropriate.被审制程的经理应确保约定的更正/预防措施按计划实施。当更正/预防措施实施时，各制程的经理应通知相关的评审长，评审长应核实预防更正措施同评审的一致并相应的更新评审发现报告记录。当更正预防措施没有在规定的时间内实施，评审长应通知质量管理体系工程师。质量管理体系工程师应核实行动终止时所有更正预防措施的有效性或者合适的话，归于下次内审。5.5CONFIDENTIALITY保密性Allinformationrelatingtointernalauditsshallbetreatedinthestrictestconfidenee.Foreachaudit,thefollowingshallhaveaccesstorecords:所有和内审有关的信息是需严格保密的，每次审核，以下人员可使用记录：?QAManager品质经理?QMSEngineer质量管理体系工程师?Manageroftheauditedprocess被评审制程的经理?LeadAuditor评审长Inaddition.LeadAuditorsshallensurethattheyminimizetheinformationthattheyholdbypassingasmuchaspossibletotheQMSEngineeranDCCforstorage.BeforebeingusedwithintheSUNMINGInternalAuditProgramme,anyperson(whetheractingasLeadAuditororaMemberoftheAuditTeam)shallberequiredtosignaconfidentialityagreementstatingthattheyshallnotpassanyinformationtoanythirdpartyandthattheyshallimmediatelyforwardsuchrequeststotheManagementRepresentative.TheQMSEngineerandLeadAuditorshallholdallinformationrelatingtoInternalAuditsinasecuremannerandensurethataccessisstrictlylimited.另外，评审长应确保将他们的信息减少到最少后再传达给质量管理体系工程师及文控中心保存。在开启SUNMING内审程序前，应要求所有人(不管是评审长还是评审员)签署保密协议，阐明其不会将信息传达给任何第三方，若有人发出这种要求，会立即向管理者代表报告。质量管理体系工程师及评审长应以保密的方式保存与内审有关的信息以确保信息的使用权是严格受限的。内审之管制程序QA20001A0011OF12(Attachment1附件1)InternalAuditProcessFlow内审流程图内审之管制程序