内审员管理评价程序.doc

学习资料收集于网络，仅供参考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 the competence of the audit team.本文件对公司质量管理体系、HSE管理体系等所覆盖的内部审核员进行规定，明确内审员的能力要求，并制定了相应的人员的评定标准，从而加强对内部审核员的管理，提高整体团队素质。2. Scope范围 The procedure is applicable to manage the internal auditors of all the management systems in the company.本文件适用于公司内所有管理体系所覆盖范围内的内部审核员管理。3. Definitions and Abbreviations 定义和缩略词3.1 Audit: systematic, independent and documented process for obtaining audit evidence and evaluating it objectively to determine the extent to which the audit criteria are fulfilled.审核：为获得审核证据，并对其进行客观的评价，以确定满足审核准则的程度所进行的系统的独立的并形成文件的过程。3.2 Auditor: person who conducts an audit.审核员：有能力实施审核的人员。3.3 Audit evidence: records, statements of fact or other information which are relevant to the audit criteria and verifiable.审核证据：与审核准则有关的并且能够证明的记录、事实陈述或其他信息。3.4 Audit findings: results of the evaluation of the collected audit evidence against audit criteria.审核发现：将收集到的审核依据对照审核准则进行评价的结果。3.5 Audit plan: description of the activities and arrangements for an audit.审核计划：对一次审核的活动和安排的描述。3.6 Audit programme: arrangements for a set of one or more audits planned for a specific time frame and directed towards a specific purpose.审核方案：针对特定时间段所策划并具有特定目的的一组（一次或多次）审核安排。3.7 CCAA: China Certification and Accreditation Association 中国认证认可协会3.8 External 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 those providing certification.外部审核：包括通常所说的“第二方审核”和“第三方审核”。第二方审核由组织的相关方（如：顾客）或由其他人员以相关方的名义进行。第三方审核由外部独立的审核组织进行。3.9 Formal Internal auditors: Practice auditors pass the formal evaluation and are appointed by management the quality system management representative.正式内审员：预备内审员转正评定合格后，并被质量体系管理者代表任命为正式内审员。3.10 HSE: Health, Safety & Environmental 健康、安全及环境3.11 Internal 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 organizations self-declaration of conformity. 内部审核：有时称第一方审核，由组织自己或以组织的名义进行，用于管理评审或其他内部目的。内部审核可作为组织自我合格声明的基础。3.12 Preparative Internal Auditor: person shall get internal auditor certificate without any audit experience, and practise for one year before becoming an Internal Auditor.预备内审员：取得内审员证书，但无审核经验，需在成为内审员前练习一年的人员，称为预备内审员。3.13 QA: Quality Assurance 质量保证3.14 QMS: Quality Management System 质量管理体系3.15 State registered auditors: auditor trained by the institutions approved by CCAA to perform training and qualification of certification management system and awarded a certificate of training.国家注册审核员：由CCAA批准的具有认证管理体系培训资质的培训机构正规培训后，颁发培训合格证书。3.15 Technical expert: person who provides specific knowledge or expertise to the audit team.技术专家：向审核组提供特定知识或技术的人员。4. Refer to参考文件Internal Audit Procedure 内部审核程序GB/T 19011Guidelines for auditing management systems 管理体系审核指南Training Management Procedure培训管理程序5. Responsibility职责5.1 Internal auditors:内审员的职责： 5.1.1 Participate the first, second 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.参加管理体系内部审核、顾客审核、认证机构审核等第一、二、三方审核，负责为第二、三方审核的准备、配合、陪同，参与实施第一方审核的。5.1.2 Cooperate with their own departments to analysis the root cause of nonconforming items, and take the corrective and preventative actions.协助指导本部门对不符合项进行分析，制定纠正预防措施；5.1.3 Cooperate with their own department to establish new procedures, optimize current procedures, review new established or modified procedures, identify of external documents; communicate the system knowledge to their own departments; conduct procedure training related to the department.协助本部门新编和改编文件的编制及部门内的文件初次审核工作；负责对本部门人员进行体系知识的宣贯；负责本部门内的程序文件的培训5.1.4 Propose improvement suggestions to system audit.对体系审核工作的提出改进建议。5.2 QA/HSE is responsible to evaluate and examine the internal auditors, and prepare for approval of the management representative.质量部QA或营运部HSE应负责对内审员的考核、评定；负责拟定内审员任命书报管理者代表批准。5.3 HR is responsible to review and sign the training requirement from Quality department, and include in the next years training plan after the requirement is approved by GM/DGM.人力资源部协助质量部对提出的培训资源进行会签评审，并在培训资源获GM/DGM批准后，将其列入下年度培训计划中。5.4 All departments are responsible to appoint internal auditor candidates, and supply the technical expert resource. Each department shall have an internal auditor at least in principle.各部门负责推荐内审员候选人；负责提供技术专家资源。每个部门原则上至少需有一名内审员。6. Work flow工作流程6.1 Appoint internal auditor candidate 指定内审员候选人6.1.1 All departments shall appoint internal auditor candidates according to requirement in the following table:各部门应根据下表中的要求推荐内审员候选人。Parameters分类Requirement要求General for internal auditor内审员通用Good communication, strong coordination, strong adaptability, steadfast and Judicious善于沟通观察、协调力强，适应力强、明断、坚定Master audit principles and methods掌握审核原则、方法Master the management system and procedures掌握管理体系及程序文件Familiar with organizational context熟悉公司概况Familiar with applicable legal and contractual requirement熟悉法律法规要求Specification for quality internal auditor 质量内审员特有Master quality-related methods and techniques掌握质量相关的方法和技术Familiar with business processes and products熟悉公司经营管理过程及产品Specification for HSE internal auditor HSE内审员特有Familiar with science method and technology of HSE熟悉HSE科学方法和技术Master operation technical and HSE aspects 掌握运作技术和HSE因素6.1.2 QA/HSE shall confirm whether the internal auditor candidate has obtained Internal Auditor Certificate, and submit the training application to HR for the internal auditor candidate without certification. HR shall arrange the training according to .QA/HSE应确认内审员候选人是否具有内审员证书，若没有需向HR提出培训申请，由HR按照培训管理程序进行安排。6.1.3 QA/HSE shall organize the internal auditors to join in daily audit activity.QA/HSE组织所有内审员参与日常体系审核活动。6.1.4 Preparative 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.预备内审员必须在正式内审员指导下进行审核，为期一年。在通过资格评定转正后被任命为正式内审员。6.2 Evaluation人员评定6.2.1 QA or HSE shall use the criteria in to fairly evaluate the internal auditor performance once a year and determine evaluation scores according to the standard.QA/HSE应制定内审员日常表现评价标准，每年针对内审员的符合程度，根据标准进行打分评定，以保证公正公平的原则。6.2.2 Evaluation Parameter 评定项目ParameterEvaluation nameEvaluation methodEvaluation criterianonconformity Actions Preparative Internal Auditor预备内审员Qualification assessment转正评定Daily behavior日常表现80: formal auditor.正式内审员Once: evaluation for the next year;一次：延期一年转正；Twice: cancel.两次：取消资格。Formal Internal Auditor正式内审员Competence evaluation能力评价Daily behavior日常表现80: qualified合格；90:excellent优秀。Cancel and demote to preparative internal auditor, and propose improvement actions.取消内审员资格，并降级为预备内审员，同时提出改善措施。Auditor team Leader内审组长Competence evaluation能力评价Daily behavior日常表现80: qualified合格；90:excellent优秀。Propose improvement actions.提出改善措施。6.2.3 The 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.国家注册审核员的评价不在本文件范围内；若参与内部审核，则其评定方法参考内审员要求进行。6.3 Annual review年度总结6.3.1 QA or HSE shall summarize the results of evaluations, analyze the deficiencies and propose the improvement actions which shall be included in . The report shall be checked/approved by a management representative; 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应针对评价结果进行总结，对能力评定不足的应进行分析，制定提升方案，形成年度内审员评价报告，提交管理者代表批准，若涉及培训资源需求时，应交HR总监会签，并由GM/DGM批准。6.3.4 For approval and nomination of the internal auditors for the next year, QA or HSE shall prepare , and submit to the QMS/HSE management representative.QA/HSE应根据评定结果，将合格内审员汇总形成内审员任命书中，报管理者代表批准，任命为下年度公司内审员。7. Record or Appendix相关记录或附件7.1Record记录Item序号No.记录编号Title记录名称Custodial Dept保存部门Custodial Period保存期1Daily Behavior Evaluation Record日常表现评价表Quality5 years2Annual Report of Internal Auditor Evaluation年度内审员员评价报告Quality5 years3List of Internal Auditors内审员清单Quality5 years4Appointment of Internal Auditor内审员任命书Quality5 years 7.2 Appendix附件Item序号Title名称1Workflow of Internal Auditor Evaluation内审员管理评价流程图2Daily Behavior Evaluation Standard 日常表现评价标准8. Revision log版本履历Revision版本Date(yyyy-mm-dd)日期Description of changes更改描述R012015-7-27First issueAppendix/附件1：Workflow of Internal Auditor Evaluation内审员评价流程图Evaluation of Internal Auditors内审员评定Process/Activity 过程/活动Responsibility for责任部门 Input输入_ Output输出 Explanation解释RSIAppoint部门推荐Submit application提出申请Acceptable evaluate result结果可接受？YESFormal Internal Auditor正式审核员NO YES ClosenutputSE shall summarynternal auditor for the next year.minitrator ctivity. 关闭Preparative InternalAuditor预备审核员Qualificati