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程序標題：內部評審 PROCEDURE NUMBER: RH-MSP-12程序編號：RH-MSP-12 Amendment修訂Date日期Description說明Reviewed審核Approved批準 A28/4/2009New Issue新簽發(fā)G. TrainorG. Allen PROCEDURE FOR INTERNAL AUDITS內部審計程序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.通過規(guī)劃、制定時間表、協調和執(zhí)行管理系統(tǒng)評審來維護質量、環(huán)境和職業(yè)健康和安全的實施和有效性的驗證系統(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：不合格產品的控制以及糾正與預防措施4.DEFINITIONS定義4.1REVIEW復審Examination of a product, process or system, as appropriate, with the specific purpose of optimising its effectiveness.在適合情況下進行產品、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)化的獨立審查，確定質量、環(huán)境和職業(yè)健康和安全管理活動和相關結果是否遵守規(guī)劃的安排，這些安排活動的實施效率，以及是否適用于實現具體的目標。4.3VERIFICATION驗證The formal process of confirming and documenting compliance with acceptance criteria.確認并記錄符合驗收標準的正式過程4.4AUDIT TYPE評審類型There are three types of management system audits that may be carried out.管理系統(tǒng)評審有三種類型：4.4.1Internal Audit內部評審A management system audit carried out by RYCO to evaluate its own performance.由萊科進行管理系統(tǒng)業(yè)績的自我評估4.4.2External Audit 外部評審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)評審，對供應商、代理和許可人活動進行評估4.4.3Extrinsic Audit外來評審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)管機構等對萊科液壓公司進行管理系統(tǒng)評審，根據規(guī)定要求評估公司各項活動。 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責任5.1QUALITY MANAGER / BRANCH QUALITY / EHS REPRESENTATIVE質量經理/分公司質量/環(huán)境健康和安全代表The Quality Manager or nominee is responsible for:質量經理或指定人負責：(a)Establishing and maintaining a program of audits for all aspects of the companys Management System within each applicable branch location.建立并維護針對相關分公司的管理系統(tǒng)各方面的評審方案(b)Formally assigning an auditor to perform auditing duties正式指派評審人員執(zhí)行評審職責(c)Initiating unscheduled audits.實施未事先安排的評審5.2AUDITOR評審人員The Auditor is responsible for:評審人員負責(a)Planning, preparing, performing and reporting the audit評審的計劃、準備、執(zhí)行和報告(b)Initiating and verifying that adequate corrective action has been implemented實施并驗證是否采用了充分的糾正措施(c)Re-auditing as necessary.根據需要重新評審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.應進行評審，客觀地評估管理系統(tǒng)的有效性，確認質量、環(huán)境和職業(yè)健康和安全管理活動符合書面程序、標準或規(guī)范的要求Audits shall include an evaluation of any or all of the following:評審應包括對下列任何或所有項目的評估Quality, environmental, and OHS policy procedures, Work instructions;Activities, processes and work areas;Documents and records.質量、環(huán)境和職業(yè)健康和安全程序工作指示活動、過程和工作區(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.質量經理須負責保證萊科分公司內部的指定人員接受了評審技巧和程序實施的培訓。6.2AUDIT SCHEDULE評審計劃表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.質量經理應建立并維護審計計劃表。 評審計劃表的范圍應足以保證分公司內部的管理系統(tǒng)的所有方面都應該在實施后盡快進行評審，至少每年一次。公司中當前或可能存在質量、環(huán)境或職業(yè)健康和安全問題的領域應增加評審頻率。質量經理可以針對萊科小型分公司的操作進行每年的整體系統(tǒng)評審，代替每月評審。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.應根據業(yè)務活動的狀態(tài)和重要性安排評審。由質量經理或指定人全權決定時間安排。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. 須由質量經理和/或相關的分公司質量/環(huán)境健康安全代表定期審查“評審計劃表”，根據管理系統(tǒng)的成熟度和評審歷史進行更新。須在評審計劃表上記錄評審結果所要求的任何修改日期。6.3PLANNING AND PREPARING AUDITS計劃并準備評審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. 內部評審團隊包括一名或多名成員。在可行的情況下，評審人員不能評審自己的工作，必須由公證的評審人員/第三方客觀的驗證評審的相關部分。 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. 質量經理或分公司質量/環(huán)境健康安全代表應指定負責每項評審的評審人員，并向評審小組每位成員發(fā)放一份計劃表。The individuals selected as audit team members shall have undergone appropriate training in auditing techniques.評審小組成員須接受評審技能的培訓。The Auditor shall be responsible for planning, preparing, performing and reporting the audit in accordance with the requirements of this procedure. 評審人員負責根據本程序的要求進行評審的規(guī)劃、準備、執(zhí)行和報告。During the planning and preparation for an audit the Auditor shall carry out the following:在評審的規(guī)劃和準備過程中，評審人員應執(zhí)行下列任務(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. 從評審報告狀態(tài)日志中取下一序號，得到評審報告的序列編號，添加評審日期和評審范圍。評審報告編號須包含分公司位置標識符以及按順序分配的號碼，舉例說明如下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 紐卡斯爾分公司PTH-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. 根據管理系統(tǒng)程序，工作指示的信息編制評審檢查表，并/或使用待評審的實際程序或文件作為檢查表，并將評審過程中的發(fā)現記錄在程序的相關部分。(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.如果在日常操作過程中發(fā)現質量計劃/環(huán)境管理系統(tǒng)或職業(yè)衛(wèi)生安全方案/程序存在明顯的嚴重缺陷，質量經理或分公司質量/環(huán)境管理系統(tǒng)代表可以啟動未事先安排的評審。在未事先安排的評審完成后，應在評審計劃表上標明已經進行了評審，在評審報告日志上在評審編號后添加U標示。6.4CONDUCTING AUDITS 進行評審Upon commencement of the audit, the Auditor shall undertake the following activities:在開始評審時，評審人員須執(zhí)行下列活動(a)Advise the Auditee (or Department Manager) of the scope of the audit.向被評審部門（或部門經理）提出評審范圍建議。(b)Conduct the audit using an audit checklist and/or the applicable procedures. 采用評審檢查表和/或相關程序進行評審(c)If using a checklist, complete it by stating, under the Results heading:如果使用檢查表，那么在結果標題下應記載：Ac -Acceptable :The activity audited is completely acceptableAC - 接受：被評審的活動是可以完全接受的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果的微小不符合項以外，被評審的活動是可以接受的Un - Unacceptable : The activity audited is unacceptableUN-不可以接受：被評審的活動是不可以接受的NA - Not applicable :The activity to be audited was not applicable to the particular circumstancesNA-不適合：被評審的活動不適合于具體情況NV - Not verified : The activity was not audited at that particular timeNV-未驗證：該項活動在該具體時刻沒有進行評審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，那么評審人員應在程序上記錄發(fā)現的項目，并且在評審報告中總結評審結果。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.在完成評審后，評審人員應向被審計部門或部門經理提出所發(fā)現的不符合項目，根據程序RH-MSP-09出具“糾正/預防措施請求書”。6.5AUDIT REPORT評審報告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).在完成評審后，評審人員在評審小組其他成員（如果有）輔助下，采用已經完成的評審檢查表/程序，編制評審報告。評審報告包括填寫完畢的評審報告，填寫完畢的檢查表或過程以及任何糾正/預防措施請求（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