內(nèi)審員管理評(píng)價(jià)程序

1、Purpose目的This procedure is about the management of the internal auditors of QMS, HSE management system and so on. It defines the competence requirements of the internal auditors and the evaluation criteria of the competence, in order to enhance the management of the internal auditors , and improve t

2、he competence of the audit team.本文件對(duì)公司質(zhì)量管理體系、HSE管理體系等所覆蓋的內(nèi)部審核員進(jìn)行規(guī)定，明確內(nèi)審員的能力要求，并制定了相應(yīng)的人員的評(píng)定標(biāo)準(zhǔn)，從而加強(qiáng)對(duì)內(nèi)部審核員的管理，提高整體團(tuán)隊(duì)素質(zhì)。Scope范圍The procedure is applicableto manage the internal auditors of all the management systems in the company。本文件適用于公司內(nèi)所有管理體系所覆蓋范圍內(nèi)的內(nèi)部審核員管理Definitions and Abbreviations定義和縮略詞Audit: sy

3、stematic , independent and documented process for obtaining audit evidence and evaluating it objectively to determine the extent to which the audit criteria are fulfilled 。審核：為獲得審核證據(jù)，并對(duì)其進(jìn)行客觀的評(píng)價(jià)，以確定滿(mǎn)足審核準(zhǔn)則的程度所進(jìn)行的系統(tǒng)的獨(dú)立的并形成文件的過(guò)程。Auditor: person who conducts an audit. 審核員：有能力實(shí)施審核的人員.3。3Audit evidence: re

4、cords , statements of fact or other information which are relevant to the audit criteria and verifiable.審核證據(jù)：與審核準(zhǔn)則有關(guān)的并且能夠證明的記錄、事實(shí)陳述或其他信息。3。 4 Audit findings: results of the evaluation of the collected audit evidence against audit criteria. 審核發(fā)現(xiàn)：將收集到的審核依據(jù)對(duì)照審核準(zhǔn)則進(jìn)行評(píng)價(jià)的結(jié)果。3。 5Audit plan: description of t

5、he activities and arrangements for an audit. 審核計(jì)劃：對(duì)一次審核的活動(dòng)和安排的描述。3。 6Audit programme: arrangements for a set of one or more audits planned for a specific time frame and directed towards a specific purpose.審核方案：針對(duì)特定時(shí)間段所策劃并具有特定目的的一組（一次或多次）審核安排。3。7 CCAA: China Certification and AccreditationAssociation

6、中國(guó)認(rèn)證認(rèn)可協(xié)會(huì)8External audits: include second and third party audits 。 Second party audits are conducted by parties having an interest in the organization, such as customer or by other persons on their behalf. Third party audits are conducted by independent auditing organizations, such as regulator or th

7、ose providing certification外部審核：包括通常所說(shuō)的第二方審核”和第三方審核。第二方審核由組織的相關(guān)方（如：顧客）或由其他人員以相關(guān)方的名義進(jìn)行。第三方審核由外部獨(dú)立的審核組織進(jìn)行Formal Internal auditors:Practice auditors pass the formal evaluation and are appointed bymanagement the quality system management representative.正式內(nèi)審員：預(yù)備內(nèi)審員轉(zhuǎn)正評(píng)定合格后，并被質(zhì)量體系管理者代表任命為正式內(nèi)審員。HSE : Health

8、, Safety & Environmental 健康、安全及環(huán)境nternal audits sometimes called first party audits, are conducted by the organization itself, or on its behalf , for management review and other internal purposes 。 Internal audits can form the basis for an organization s self declaration of conformity 。內(nèi)部審核：有時(shí)稱(chēng)第一方審核

9、，由組織自己或以組織的名義進(jìn)行，用于管理評(píng)審或其他內(nèi)部目的。內(nèi)部審核可作為組織自我合格聲明的基礎(chǔ)。reparative Internal Auditor : person shall get internal auditor certificate without any audit experience and practise for one year before becoming an Internal Auditor.預(yù)備內(nèi)審員：取得內(nèi)審員證書(shū)，但無(wú)審核經(jīng)驗(yàn)，需在成為內(nèi)審員前練習(xí)一年的人員，稱(chēng)為預(yù)備內(nèi)審員。3。13 QA ： Quality Assurance 質(zhì)量保證3。14QMS

10、: Quality Management System 質(zhì)量管理體系State registered auditors:auditor trained by the institutions approved by CCAA to perform trainingand qualification of certification management system and awarded a certificate of training。國(guó)家注冊(cè)審核員：由 CCAA批準(zhǔn)的具有認(rèn)證管理體系培訓(xùn)資質(zhì)的培訓(xùn)機(jī)構(gòu)正規(guī)培訓(xùn)后，頒發(fā)培訓(xùn)合格證書(shū)。15Technical expert: person w

11、ho provides specific knowledge or expertise to the audit team.技術(shù)專(zhuān)家：向?qū)徍私M提供特定知識(shí)或技術(shù)的人員。Refer to參考文件 Internal Audit Procedure內(nèi)部審核程序管理體系審核指南GB/T 19011 Guidelines for auditing management systems Training Management Procedure培訓(xùn)管理程序Responsibility職責(zé)5。1 Internal auditors內(nèi)審員的職責(zé)：1 Participate the first , second

12、 and third party audits, such as internal audit of management system,customer audit ， and audit of certification institution, responsible to prepare, cooperate, and accompany the second and third audits , responsible to conduct the first audit 。參加管理體系內(nèi)部審核、顧客審核、認(rèn)證機(jī)構(gòu)審核等第一、二、三方審核，負(fù)責(zé)為第二、三方審核的準(zhǔn)備、配 合、陪同，參

13、與實(shí)施第一方審核的。5。 1。2 Cooperate with their own departments to analysis the root cause of nonconforming items, and takethe corrective and preventative actions.協(xié)助指導(dǎo)本部門(mén)對(duì)不符合項(xiàng)進(jìn)行分析，制定糾正預(yù)防措施；5.1.3 Cooperate with their own department to establish new procedures , optimize current procedures , review new establis

14、hed or modified procedures, identify of external documents; communicate the systemknowledge to their own departments; conduct procedure training related to the department.協(xié)助本部門(mén)新編和改編文件的編制及部門(mén)內(nèi)的文件初次審核工作；負(fù)責(zé)對(duì)本部門(mén)人員進(jìn)行體系知識(shí)的宣貫；負(fù)責(zé)本部門(mén)內(nèi)的程序文件的培訓(xùn)。4 Propose improvement suggestions to system audit 。對(duì)體系審核工作的提出改進(jìn)建議.Q

15、A/HSE is responsible to evaluate and examine the internal auditors , and prepare for approval of the management representative.質(zhì)量部QA或營(yíng)運(yùn)部HSE應(yīng)負(fù)責(zé)對(duì)內(nèi)審員的考核、評(píng)定；負(fù)責(zé)擬定內(nèi)審員任命書(shū)報(bào)管理者代表批準(zhǔn) HR is responsible to review and sign the training requirement from Quality department, and include inthe next year s training pl

16、an after the requirement is approved by GM/DGM 。You must verify the revision before use.檢查當(dāng)前版本是否為有效版本。This printed copy is uncontrolled and for reference purposes only打印副本不受控，僅供參考。人力資源部協(xié)助質(zhì)量部對(duì)提出的培訓(xùn)資源進(jìn)行會(huì)簽評(píng)審，并在培訓(xùn)資源獲GM/DGM批準(zhǔn)后，將其列入下年度培訓(xùn)計(jì)劃中.All departmentsare responsible to appointinternal auditor candida

17、tes , and supply the technical expert resource 。 Each department shall have an internal auditor at least in principle.各部門(mén)負(fù)責(zé)推薦內(nèi)審員候選人；負(fù)責(zé)提供技術(shù)專(zhuān)家資源。每個(gè)部門(mén)原則上至少需有一名內(nèi)審員。6. Work flow工作流程Appoint internal auditor candidate指定內(nèi)審員候選人All departments shall appoint internal auditor candidates according to requirement

18、 in the followingtable:各部門(mén)應(yīng)根據(jù)下表中的要求推薦內(nèi)審員候選人。Parameters分類(lèi)Requirement要求General for internal auditor 內(nèi)審員通用Good communication , strong coordination , strong adaptability , steadfast and Judicious 善于溝通觀察、協(xié)調(diào)力強(qiáng)，適應(yīng)力強(qiáng)、明斷、堅(jiān)定Master audit principles and methods 掌握審核原則、方法Master the management system and procedur

19、es 掌握管理體系及程序文件Familiar with organizational context 熟悉公司概況Familiar with applicable legal and contractual requirement 熟悉法律法規(guī)要求Specification for quality internal auditor質(zhì)量?jī)?nèi)審員特有Master quality related methods and techniques 掌握質(zhì)量相關(guān)的方法和技術(shù)Familiar with business processes and products 熟悉公司經(jīng)營(yíng)管理過(guò)程及產(chǎn)品Specificat

20、ion for HSE internal auditorHSE內(nèi)審員特有Familiar with science method and technology of HSE 熟悉HSE科學(xué)方法和技術(shù)Master operation technical and HSE aspects 掌握運(yùn)作技術(shù)和 HSE因素QA/HSE shall confirm whether the internal auditor candidate has obtained Internal Auditor Certificate, and submit the training application to HR

21、for the internal auditor candidate without certification. HR shall arrange the training according to Training Management Procedure 。QA/HSE應(yīng)確認(rèn)內(nèi)審員候選人是否具有內(nèi)審員證書(shū)，若沒(méi)有需向HR提出培訓(xùn)申請(qǐng)，由HR按照培訓(xùn)管理程序進(jìn)行安排。6.1。 3 QA/HSE shall organize the internal auditors to join in daily audit activity.QA/HSE組織所有內(nèi)審員參與日常體系審核活動(dòng).。 4 Pr

22、eparative internal auditors shall audit under the guidance of formal internal auditors for one year and shall be nominated as formal internal auditors after passing the qualification assessment。預(yù)備內(nèi)審員必須在正式內(nèi)審員指導(dǎo)下進(jìn)行審核，為期一年。在通過(guò)資格評(píng)定轉(zhuǎn)正后被任命為正式內(nèi)審員。Evaluation人員評(píng)定You must verify the revision before use.檢查當(dāng)前版本

23、是否為有效版本。This printed copy is uncontrolled and for reference purposes only打印副本不受控，僅供參考。2.1 QA or HSE shall use the criteria in Daily Behavior Evaluation Standard of Internal Auditor to fairly evaluatethe internal auditorperformance once a year and determine evaluation scores according to the standard

24、.QA/HSE應(yīng)制定內(nèi)審員日常表現(xiàn)評(píng)價(jià)標(biāo)準(zhǔn)，每年針對(duì)內(nèi)審員的符合程度，根據(jù)標(biāo)準(zhǔn)進(jìn)行打分評(píng)定，以保證 公正公平的原則。6。2。2 Evaluation Parameter評(píng)定項(xiàng)目ParameterEvaluation nameEvaluation methodEvaluation criterianonconformityActionsPreparative Internal Auditor 預(yù)備內(nèi)審員Qualification assessment 轉(zhuǎn)正評(píng)定Daily behavior 日常表現(xiàn)近0: formal auditor.正式內(nèi)審員Once: evaluation for the n

25、extyear ；一次：延期一年轉(zhuǎn)正；Twice : cancel。兩次：取消資格。FormalInternal Auditor 正式內(nèi)審員Competence evaluation 能力評(píng)價(jià)Daily behavior 日常表現(xiàn)近0: qualified 合格；淘0 : excellent 優(yōu)秀。Cancel anddemote topreparative internal auditor, and proposeimprovementactions。取消內(nèi)審員資格，并降級(jí)為預(yù)備 內(nèi)審員，同時(shí)提出改善措施。Auditor team Leader 內(nèi)審組長(zhǎng)Competence evaluati

26、on 能力評(píng)價(jià)Daily behavior 日常表現(xiàn)近0: qualified 合格；淘0:excellent 優(yōu)秀。Proposeimprovementactions. 提出改善措施。6。2.3The procedure does not cover the state registered auditors , but they could be evaluated according to the criteria for formal auditors if participating in internal audits 。國(guó)家注冊(cè)審核員的評(píng)價(jià)不在本文件范圍內(nèi)；若參與內(nèi)部審核，則其評(píng)

27、定方法參考內(nèi)審員要求進(jìn)行。Annual review年度總結(jié)QA or HSE shall summarize the results of evaluations, analyze the deficienciesand propose the improvement actions which shall be included in Annual Report of Internal Auditor and Document Administrator Evaluation 。 The report shall bechecked/approved by a management rep

28、resentative; if the improvement actions refer to the training resource , the HR director shall review the report , and GM/DGM shall approve the report 。QA/HSE應(yīng)針對(duì)評(píng)價(jià)結(jié)果進(jìn)行總結(jié)，對(duì)能力評(píng)定不足的應(yīng)進(jìn)行分析，制定提升方案，形成年度內(nèi)審員評(píng)價(jià)報(bào)告，提交管理者代表批準(zhǔn)，若涉及培訓(xùn)資源需求時(shí)，應(yīng)交 HR總監(jiān)會(huì)簽，并由GM/DGM批準(zhǔn)。3.4For approval and nomination of the internal auditors

29、 for the next year , QA or HSE shall prepare , and submit to the QMS/HSE management representative 。QA/HSE應(yīng)根據(jù)評(píng)定結(jié)果，將合格內(nèi)審員匯總形成內(nèi)審員任命書(shū)中，報(bào)管理者代表批準(zhǔn)，任命為下年度公 司內(nèi)審員。Record or Appendix相關(guān)記錄或附件Record 記錄ItemNo o記/編pTitle記錄名稱(chēng)CustodialCustodial1. You must verify the revision before use.檢查當(dāng)前版本是否為有效版本。2. This printed copy is uncontrolled and for reference purposes only 打印副本不受控，僅供參考。序號(hào)Dept保存部門(mén)Period保存期1Daily BehaviorEvaluation Record 日常表現(xiàn)評(píng)價(jià)表Quality5 years2Annual Report