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程序标题：内部评审 PROCEDURE NUMBER: RH-MSP-12程序编号：RH-MSP-12 Amendment修订Date日期Description说明Reviewed审核Approved批准 A28/4/2009New Issue新签发G. TrainorG. Allen PROCEDURE FOR INTERNAL AUDITS内部审计程序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.通过规划、制定时间表、协调和执行管理系统评审来维护质量、环境和职业健康和安全的实施和有效性的验证系统。2.SCOPE范围This procedure applies to all internal management system audits performed by RYCO Hydraulics/RYCO Hose.本程序适用于莱科液压/莱科软管公司执行的所有内部管理系统审核。 3.REFERENCES参考文件RH-MSP-09: Control of Non-conforming Product & Corrective and Preventive ActionRH-MSP-09：不合格产品的控制以及纠正与预防措施4.DEFINITIONS定义4.1REVIEW复审Examination of a product, process or system, as appropriate, with the specific purpose of optimising its effectiveness.在适合情况下进行产品、工艺或系统的检查，具体目的是提高有效性。4.2MANAGEMENT SYSTEM AUDIT管理系统评审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.采用系统化的独立审查，确定质量、环境和职业健康和安全管理活动和相关结果是否遵守规划的安排，这些安排活动的实施效率，以及是否适用于实现具体的目标。4.3VERIFICATION验证The formal process of confirming and documenting compliance with acceptance criteria.确认并记录符合验收标准的正式过程4.4AUDIT TYPE评审类型There are three types of management system audits that may be carried out.管理系统评审有三种类型：4.4.1Internal Audit内部评审A management system audit carried out by RYCO to evaluate its own performance.由莱科进行管理系统业绩的自我评估4.4.2External Audit 外部评审A management system audit carried out by RYCO Hydraulics to evaluate the activities of its suppliers, agents, licensees, etc.由莱科液压公司执行管理系统评审，对供应商、代理和许可人活动进行评估4.4.3Extrinsic Audit外来评审A management system audit carried out by a customer, regulatory authority, etc., on RYCO Hydraulics to assess the activities against specified requirements.由客户、监管机构等对莱科液压公司进行管理系统评审，根据规定要求评估公司各项活动。 4.5EMSEnvironment Management System.环境管理系统4.6OHS (MS)Occupational Health and Safety (Management System).职业健康和安全（管理系统） 4.7EHSEnvironment, Health & Safety.环境、健康和安全5.RESPONSIBILITIES责任5.1QUALITY MANAGER / BRANCH QUALITY / EHS REPRESENTATIVE质量经理/分公司质量/环境健康和安全代表The Quality Manager or nominee is responsible for:质量经理或指定人负责：(a)Establishing and maintaining a program of audits for all aspects of the companys Management System within each applicable branch location.建立并维护针对相关分公司的管理系统各方面的评审方案(b)Formally assigning an auditor to perform auditing duties正式指派评审人员执行评审职责(c)Initiating unscheduled audits.实施未事先安排的评审5.2AUDITOR评审人员The Auditor is responsible for:评审人员负责(a)Planning, preparing, performing and reporting the audit评审的计划、准备、执行和报告(b)Initiating and verifying that adequate corrective action has been implemented实施并验证是否采用了充分的纠正措施(c)Re-auditing as necessary.根据需要重新评审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.应进行评审，客观地评估管理系统的有效性，确认质量、环境和职业健康和安全管理活动符合书面程序、标准或规范的要求Audits shall include an evaluation of any or all of the following:评审应包括对下列任何或所有项目的评估Quality, environmental, and OHS policy procedures, Work instructions;Activities, processes and work areas;Documents and records.质量、环境和职业健康和安全程序工作指示活动、过程和工作区域文件和记录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.质量经理须负责保证莱科分公司内部的指定人员接受了评审技巧和程序实施的培训。6.2AUDIT SCHEDULE评审计划表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.质量经理应建立并维护审计计划表。 评审计划表的范围应足以保证分公司内部的管理系统的所有方面都应该在实施后尽快进行评审，至少每年一次。公司中当前或可能存在质量、环境或职业健康和安全问题的领域应增加评审频率。质量经理可以针对莱科小型分公司的操作进行每年的整体系统评审，代替每月评审。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.应根据业务活动的状态和重要性安排评审。由质量经理或指定人全权决定时间安排。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. 须由质量经理和/或相关的分公司质量/环境健康安全代表定期审查“评审计划表”，根据管理系统的成熟度和评审历史进行更新。须在评审计划表上记录评审结果所要求的任何修改日期。6.3PLANNING AND PREPARING AUDITS计划并准备评审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. 内部评审团队包括一名或多名成员。在可行的情况下，评审人员不能评审自己的工作，必须由公证的评审人员/第三方客观的验证评审的相关部分。 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. 质量经理或分公司质量/环境健康安全代表应指定负责每项评审的评审人员，并向评审小组每位成员发放一份计划表。The individuals selected as audit team members shall have undergone appropriate training in auditing techniques.评审小组成员须接受评审技能的培训。The Auditor shall be responsible for planning, preparing, performing and reporting the audit in accordance with the requirements of this procedure. 评审人员负责根据本程序的要求进行评审的规划、准备、执行和报告。During the planning and preparation for an audit the Auditor shall carry out the following:在评审的规划和准备过程中，评审人员应执行下列任务(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. 从评审报告状态日志中取下一序号，得到评审报告的序列编号，添加评审日期和评审范围。评审报告编号须包含分公司位置标识符以及按顺序分配的号码，举例说明如下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 纽卡斯尔分公司PTH-1001 佩斯分公司BRS-1001 布鲁斯班分公司MKY-1001 麦基分公司DL-1001 大连US-1001 美国休斯顿MEL-1001 墨尔本总部NZ-1001新西兰(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. 根据管理系统程序，工作指示的信息编制评审检查表，并/或使用待评审的实际程序或文件作为检查表，并将评审过程中的发现记录在程序的相关部分。(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.如果在日常操作过程中发现质量计划/环境管理系统或职业卫生安全方案/程序存在明显的严重缺陷，质量经理或分公司质量/环境管理系统代表可以启动未事先安排的评审。在未事先安排的评审完成后，应在评审计划表上标明已经进行了评审，在评审报告日志上在评审编号后添加U标示。6.4CONDUCTING AUDITS 进行评审Upon commencement of the audit, the Auditor shall undertake the following activities:在开始评审时，评审人员须执行下列活动(a)Advise the Auditee (or Department Manager) of the scope of the audit.向被评审部门（或部门经理）提出评审范围建议。(b)Conduct the audit using an audit checklist and/or the applicable procedures. 采用评审检查表和/或相关程序进行评审(c)If using a checklist, complete it by stating, under the Results heading:如果使用检查表，那么在结果标题下应记载：Ac -Acceptable :The activity audited is completely acceptableAC - 接受：被评审的活动是可以完全接受的NI - Needs Improvement :The activity audited is acceptable apart from minor inconsistencies unlikely to affect the final outcomeNI - 需要完善：除了不太可能影响最终结果的微小不符合项以外，被评审的活动是可以接受的Un - Unacceptable : The activity audited is unacceptableUN-不可以接受：被评审的活动是不可以接受的NA - Not applicable :The activity to be audited was not applicable to the particular circumstancesNA-不适合：被评审的活动不适合于具体情况NV - Not verified : The activity was not audited at that particular timeNV-未验证：该项活动在该具体时刻没有进行评审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.如果采用程序作为检查表，那么评审人员应在程序上记录发现的项目，并且在评审报告中总结评审结果。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.在完成评审后，评审人员应向被审计部门或部门经理提出所发现的不符合项目，根据程序RH-MSP-09出具“纠正/预防措施请求书”。6.5AUDIT REPORT评审报告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).在完成评审后，评审人员在评审小组其他成员（如果有）辅助下，采用已经完成的评审检查表/程序，编制评审报告。评审报告包括填写完毕的评审报告，填写完毕的检查表或过程以及任何纠正/预防措施请求（如适用）。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