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1、体系审核要点CLAUSE条款ISO 9001ISO 14001 (E) OHSAS 18001 (O)CONDITION OF SYSTEM ELEMENT 系统要素的情况Site Visits/ Risk Areas examined this time 现场审核/对危险区域的检查：Key关键Satisfactory 满意1 Cat1 Major 严重2 Cat2 Minor 轻微3 Cat3 CFA观察项Mark relevant statements below and add comment as appropriate.Clauses in Italics to be audited
2、 every visit标岀下面相应的说明，如有注释请列上(斜体的条款每次都必须审查)+ next visit 下次检 杳4.1 General requirements 一般要求4.1 General requirements _般要求(E)4.1 General requirements 般要求(O)IMS established and being effectively maintained? 体系是否建立并有效的维持？4.2 Documentation requirements文件化要求4.2.1 General 总则4.2.2 Quality Manual 品质手册4.4.4 EM
3、S documentation EMS 文件化(E )4.4.4 Documentation 文件化O)Endorsed by Senior Management/Links within IMS and applicable standards eg ISO9001/ ISO14001/OHSAS18001? 体系是否由高层管理者签署或标准间是否可连接(如 ISO9OO1/ISO14OO1/OHSAS18OO1)4.2.3 Control of documents 文件控制4.4.5 Document control 文件控制4.4.5 Document and data control 文
4、件和数 据控制O)Internal and external generated documentation adequately controlled?内部和外来文件是否都有效控制？4.2.4 Control of records 记录控制4.5.4 Records 记录(E)4.5.3 Records and records management 记 录和记录管理O)Internal and external records adequately controlled/retention periods established/retrieval effective and timely?
5、 内部和外部记录是否有效控制建立保存期限定期修正？51 Management Commitment 管理 承诺5.3 Quality policy 品质方针8.5 Improvement 改进4.2 Environmental policy 环境方针E)4.2 OH&S policy职业健康安全方针(O)Appropriate to business/ Endorsed by Senior Management/Reviewedfor appropriateness? 是否适用并由最高管理者签署，是否规定定期评审其适丿 性？用5.2 Customer focus以客户为中心7.2 Custom
6、er-related processes 与顾 客有关的过程4.3.1 Environmental aspects 环境因素 (E)4.3.1 Planning for hazard identification, risk and risk control 危 险识别计划和危险的控制O)Customer and contract requirements, including legal and regulatory, identified, reviewed and revised where appropriate?顾客和合同要求，包括法律法规，是否有效地识别、评彳 和修订？价5.2 C
7、ustomer focus以客户为中心7.2 Customer-related processes 与顾客有关的过程、4.3.2 Legal and other requirements 法 规或其它要求E)4.3.2 Legal and other requirements 法 规或其它要求O)Legal and regulatory requirements appropriate to business identified, reviewed and revised where appropriate? 适用的法律法规是否有效识别，评价和修订？5.4.1 Quality objecti
8、ves 品质目标4.3.3 Objectives & targets 目标E)4.3.3 Objectives 目标(O)Appropriate to business/ Endorsed by Senior Management/Sensible target base? 是否适用于组织的活动并由最高管理者签署，目标是否 行？可CLAUSE条款ISO 9001ISO 14001 (E) OHSAS 18001 (O)CONDITION OF SYSTEM ELEMENT 系统要素的情况Site Visits/ Risk Areas examined this time 现场审核/对危险区域的
9、检查：Key关键 Satisfactory 满意1 Cat1 Major 严重2 Cat2 Minor 轻微3 Cat3 CFA观察项Mark relevant statements below and add comment as appropriate.Clauses in Italics to be audited every visit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)+ next visit下次检查5.4.2 Quality management system planning品质管理体系策划8.5.1 Continual improvement 持续改进
10、4.3.30bjectives,targets and programme(s) 目标、指标和方案K)4.3.4 OH&S management programme(s) 职业卫生安全管理方案O)Appropriate to business/Endorsed by Senior Management/Reviewed for progress/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？5.5 Management responsibility 管 理职责6.1, 6.3, 6.4 Resource management资源管理 441 Structur
11、e and responsibility 组织和职责(E) 441 Structure and responsibility 组织和职责(O)Physical and human resource needs established, provided and reviewed, including use of suppliers and subcontractors, by Senior Management?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5.5.3 Internal communication 内部沟通7.2.3 Customer comm
12、unication 客户沟通4.4.3 Communication 沟通(E)4.4.3 Consultation and communication 协商和沟通O)Suitable customer and contract requirements, including legal and regulatory, communication processes implemented? 客户的要求，包括法律法规，其沟通过程是否按程序执 行？5.6 Management review 管理评审4.6 Management review 管理评 审(E)4.6 Management revie
13、w 管理评审(O)Supported by Senior Management/Effective action to ensure efficacy and continual improvement of IMS?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？6.2.2 Competence, awareness, Training能力意识和培训442 Training, awareness, competence培训，意识和能力(E)442 Training, awareness, competence 培训，意识和 能力 (O)Competency require
14、ments established/ Training needs and effectiveness monitored?能力要求的建立，培训需求和有效性监控？7.1 Product realization 产品实现7.2 Customer-related processes与顾客有关的过程7.3 Design and development 设计和开发74 Purchasing 采购7.5 Product and service provision产品和服务提供4.4.6 Operational control 运行控 制(E)4.4.6 Operational control 运行控制(
15、O)Processes address customer, contract, legal and regulatory requirements/Controls appropriate to risks?对分包商，是否依据合冋和法律法规要求/危害性大的进行 有效的控制？CLAUSE条款ISO 9001ISO 14001 (E) OHSAS 18001 (O)CONDITION OF SYSTEM ELEMENT 系统要素的情况Site Visits/ Risk Areas examined this time 现场审核/对危险区域的检查：Key关键Satisfactory 满意1 Cat1 Major 严重2 Cat2 Minor 轻微3 Cat3 CFA观察项Mark relevant statements below and add comment as appropriate.Clauses in Italics to be audited every visit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)+ next visit下次检查7.6 Monitoring and mea
