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1、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 improv
2、e 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
3、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
4、 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:
5、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 Accredita
6、tion 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
7、 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
8、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-decl
9、aration 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
10、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
11、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
12、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 au
13、dit.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 proc
14、edures, 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 Propo
15、se 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 Appointment of Internal Auditor 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 an
16、d 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
