三体系审核要点

体系审核要点CLAUSE条款ISO9001ISO14001(E)OHSAS18001(O)CONDITIONOFSYSTEMELEMENT系统要素的情况SiteVisits/RiskAreasexaminedthistime现场审核/对危险区域的检查：Key关键Satisfactory满意Cat1Major严重Cat2Minor轻微Cat3CFA观察顼Markrelevantstatementsbelowandaddcommentasappropriate. ClausesinItalicstobeauditedeveryvisit标出下面相应的说明，如有注释请列上 (斜体的条款每次都必须审查)+nextvisit下次检查4.1Generalrequirements一般要求4.1Generalrequirements一般要求(E)4.1Generalrequirements一般要求(O)IMSestablishedandbeingeffectivelymaintained?体系是否建立并有效的维持？4.2Documentationrequirements文件化要求General总则QualityManual品质手册4.4.4EMSdocumentationEMS文件化(E)4.4.4Documentation文件化O)EndorsedbySeniorManagement/LinkswithinIMSandapplicablestandardsegISO9001/ISO14001/OHSAS18001?体系是否由高层管理者签署或标准间是否可连接(如ISO9001/ISO14001/OHSAS18001)4.2.3Controlofdocuments文件控制4.4.5Documentcontrol文件控制闯4.4.5Documentanddatacontrol文件和数据控制0)Internalandexternalgenerateddocumentationadequatelycontrolled?内部和外来文件是否都有效控制？Controlofrecords记录控制Records记录(E)4.5.3Recordsandrecordsmanagement记录和记录管理O)Internalandexternalrecordsadequatelycontrolled/retentionperiodsestablished/retrievaleffectiveandtimely?内部和外部记录是否有效控制建立保存期限定期修正？ManagementCommitment管理承诺5.3Qualitypolicy品质方针8.5Improvement改进Environmentalpolicy环境方针E)4.2OH&Spolicy职业健康安全方针(O)Appropriatetobusiness/EndorsedbySeniorManagement/Reviewedforappropriateness?是否适用并由最高管理者签署，是否规定定期评审其适J性？Customerfocus以客户为中心Customer-relatedprocesses与顾客有关的过程4.3.1Environmentalaspects环境因素(E)4.3.1Planningforhazardidentification,riskandriskcontrol危险识别计划和危险的控制O)Customerandcontractrequirements,includinglegalandregulatory,identified,reviewedandrevisedwhereappropriate?顾客和合同要求，包括法律法规，是否有效地识别、评］和修订？价Customerfocus以客户为中心Customer-relatedprocesses与顾客有关的过程 、Legalandotherrequirements法规或其它要求E)4.3.2Legalandotherrequirements法规或其它要求O)Legalandregulatoryrequirementsappropriatetobusinessidentified,reviewedandrevisedwhereappropriate?适用的法律法规是否有效识别，评价和修订？5.4.1Qualityobjectives品质目标4.3.3Objectives&targets目标E)4.3.3Objectives目标(。)Appropriatetobusiness/EndorsedbySeniorManagement/Sensibletargetbase?是否适用于组织的活动并由最高管理者签署，目标是否］行？ST

CLAUSE条款ISO9001ISO14001(E)OHSAS18001(O)CONDITIONOFSYSTEMELEMENT系统要素的情况SiteVisits/RiskAreasexaminedthistime现场审核/对危险区域的检查：Key关键Satisfactory满意Cat1Major严重Cat2Minor轻微Cat3CFA观察项Markrelevantstatementsbelowandaddcommentasappropriate. ClausesinItalicstobeauditedeveryvisit标出下面相应的说明，如有注释请列上__(斜体的条款每次都必须宙杳) +nextvisit下次检查5.4.2Qualitymanagementsystemplanning品质管理体系策划8.5.1Continualimprovement持续改进4.3.3Objectives,targetsandprogramme(s)目标、指标和方案E)4.3.4OH&Smanagementprogramme(s)职业卫生安全管理方案O)Appropriatetobusiness/EndorsedbySeniorManagement/Reviewedforprogress/SMART?是否适用于组织的活动，是否由最高管理者批准？是否定期验证实施情况？5.5Managementresponsibility管理职责6.1,6.3,6.4Resourcemanagement资源管理4.4.1Structureandresponsibility组织和职责(E)4.4.1Structureandresponsibility组织和职责(O)Physicalandhumanresourceneedsestablished,providedandreviewed,includinguseofsuppliersandsubcontractors,bySeniorManagement?最高管理者需建立、提供和评审人、财物的渠道和人力资源培训，包括供应商和分包商Internalcommunication内部沟通Customercommunication客户沟通Communication沟通(E)4.4.3Consultationandcommunication协商和沟通(O)Suitablecustomerandcontractrequirements,includinglegalandregulatory,communicationprocessesimplemented?客户的要求，包括法律法规，其沟通过程是否按程序执行？Managementreview管理评审Managementreview管理评审(E)4.6Managementreview管理评审(O)SupportedbySeniorManagement/EffectiveactiontoensureefficacyandcontinualimprovementofIMS?是否由高层管理者支持，是否有有效的行动来保证体系的有效和持续改进？Competence,awareness,Training能力意识和培训Training,awareness,competence培训，意识和能力(E)4.4.2Training,awareness,competence培训，意识和能力(O)Competencyrequirementsestablished/Trainingneedsandeffectivenessmonitored?能力要求的建立，培训需求和有效性监控？Productrealization产品实现Customer-relatedprocesses与顾客有关的过程Designanddevelopment设计和开发Purchasing采购Productandserviceprovision产品和服务提供4.4.6Operationalcontrol运行控制(E) __4.4.6Operationalcontrol运行控制(O)Processesaddresscustomer,contract,legalandregulatoryrequirements/Controlsappropriatetorisks?对分包商，是否依据合同和法律法规要求/危害性大的进行有效的控制？

CLAUSE条款ISO9001ISO14001(E)OHSAS18001(O)CONDITIONOFSYSTEMELEMENT系统要素的情况SiteVisits/RiskAreasexaminedthistime现场审核/对危险区域的检查：Key关键Satisfactory满意Cat1Major严重Cat2Minor轻微Cat3CFA观察顼Markrelevantstatementsbelowandaddcommentasappropriate. ClausesinItalicstobeauditedeveryvisit标出下面相应的说明，如有注释请列上 (斜体的条款每次都必须审杳) +nextvisit下次检查7.6Monitoringandmeasuringdevices监视和测量装置General总则(8.2.1,8.2.3,8.2.4)MonitoringandMeasurement监视和测量8.4Analysisofdata数据分析Monitoringandmeasurement(E)监视和测量Evaluationofcompliance(E)合规性评价4.5.1Performancemeasurementandmonitoring(0)绩效的监视和测量Addressescustomer,contract,legalandregulatoryrequirements/Appropriatecompetencies/Timelyimplementation?顾客、合同、法律和其他要求适当的能力及时实施8.2.2Internalaudit内部审核4.5.5InternalAudit(E)内部审核4.5.4Audit(0)审核Riskbased/Timelyimplementation,withreportingtoSeniorManagementasrequired?以风险为基础，及时实施，并向最高管理者报告8.3Controlofnonconformingproduct不合格品控制4.4.7Emergencypreparednessandresponse紧急情况的准备和反应(E)4.4.7Emergencypreparednessandresponse紧急情况的准备和反应(O)Suitablecontrolsaddressingcustomer,contract,legalandregulatoryrequirementsimplemented?不合格品是否已得到有效控制？合同，法律法规要求是否有执行？8.3Controlofnonconformingproduct不合格品控制Correctiveaction纠正措施Preventiveaction预防措施Nonconformanceandcorrectiveandpreventiveaction不合格及纠正预防措施