管理体系认证审核总结报告2013

M a n a g e m e n t S y s t e m C e r t i f i c a t i o n

A u d i t S u m m a r y R e p o r t

管理体系认证审核总结报告

1.Audit objectives 审核目的

The objectives of this audit were: 本次审核目的是：

to confirm that the management system conforms with all the requirements of the audit standard;

确认管理体系符合审核标准的所有要求；

to confirm that the organization has effectively implemented the planned management system;

确认组织有效地策划并实施管理体系；

to confirm that the management system is capable of achieving the organization’s policy objectives.

确认管理体系能够达成组织的方针目标。

2.Scope of certification 认证范围

Design and manufacture of air-condition system for buses and railway transportation;

Provision installation technical support services of air-condition system for buses and railway transportation;

Provision after-sales services of air-condition system for buses and railway transportation

客车及轨道交通用空调系统的设计、制造、安装技术支持服务和售后服务

Has this scope been amended as a result of this audit? Yes 是No 否

本次审核确认范围是否更改？

This is a multi-site audit and an Appendix listing all relevant sites and/or

remote locations has been established (attached) and agreed with the client 这是一个多现场审核，已建立一份附加的清单以列出所有相关现场和/或远程场所，并经客户确认。

Yes 是

No 否

3.Current audit findings and conclusions 本次审核发现点及结论

The audit team conducted a process-based audit focusing on significant aspects/risks/objectives required by the standard(s). The audit methods used were interviews, observation of activities and review of documentation and records.

审核组完成了基于过程的审核，关注审核标准所要求的重要因素/风险/目标。所采用的审核方法包括面谈，观察活动及评审文件和记录。

The structure of the audit was in accordance with the audit plan and audit planning matrix included as annexes to this summary report.

审核的安排依据本份报告所附的审核计划及审核策划矩阵图。

The audit team concludes that the organization

has has

not

established and maintained its

management system in line with the requirements of the standard and demonstrated the ability of the system to systematically achieve agreed requirements for products or services within the scope and the organization’s policy and objectives.

审核组结论为该组织已未根据审核标准要求建立和实施管理体系，并展示了有系统地达成认证范围内产品或服务所承诺的要求和达成组织方针目标的系统能力。

Number of nonconformities identified:

识别的不符合项数量0Majo

r

严重

0Minor

轻微

Therefore the audit team recommends that, based on the results of this audit and the sy stem’s demonstrated state of development and maturity, management system certification be:

根据本次审核结果和体系所展现出的发展和成熟的状态，审核组建议管理体系认证结果为： Granted 推荐发证 / Continued 证书继续有效/ Withheld 终止/ Suspended until

satisfactory corrective action is completed. 暂停直至采取了有效的纠正措施

4.Previous Audit Results上一次审核结果

The results of the last audit of this system have been reviewed, in particular to assure appropriate correction and corrective action has been implemented to address any nonconformity identified. This review has concluded that:

已对上一次审核结果进行了评审，特别是确保对所提出的不符合项已采取适当的纠正措施。评审结论

为：

Any nonconformity identified during previous audits has been corrected and the corrective action continues to be effective. (Refer to Section 6 for details)

上一次审核提出的不符合项已被纠正，并且纠正措施是持续有效的。 (详细信息参考第六部分)

The management system has not adequately addressed nonconformity identified during previous audit activities and the specific issue has been re-defined in the nonconformity section of this report.

管理体系对于上一次审核提出的不符合项没有充分地解决，这一问题在本次审核报告的不符合项部分已

被再次提出。

5.Audit Findings 审核发现点

The audit team conducted a process-based audit focusing on significant aspects/risks/objectives required by the standard(s). The audit methods used were interviews, observation of activities and review of documentation and records.

审核组完成了基于过程的审核，关注审核标准所要求的重要因素/风险/目标。所采用的审核方法包括面谈，观察活动及评审文件和记录。

The management system documentation demonstrated conformity with the requirements Yes是

No否of the audit standard and provided sufficient structure to support implementation and maintenance of the management system. 管理体系文件展现出和审核标准是相符合的，

并且提供了充分的架构以支持管理体系的实施和维护。

The organization has demonstrated effective implementation and maintenance / Yes是 No否improvement of its management system.组织的管理体系在有效地实施、维护及改善中。

The organization has demonstrated the establishment and tracking of appropriate key Yes是

No否performance objectives and targets and monitored progress towards their achievement.

组织建立并跟踪适当的关键业绩目标及指标，并且对达成状况进行监控。

The internal audit program has been fully implemented and demonstrates effectiveness Yes是 No否as a tool for maintaining and improving the management system.

内部审核被全面实施，成为维护及改善管理体系的有效工具。

The management review process demonstrated capability to ensure the continuing Yes 是 No否suitability, adequacy, effectiveness of the management system.

管理评审过程能够确保组织管理体系持续的适宜性、充分性和有效性。

Throughout the audit process, the management system demonstrated overall Yes 是 No否conformance with the requirements of the audit standard.

整个审核过程显示，组织的管理体系与审核标准的要求总体上是符合的。

Certification claims are accurate and in accordance with SGS guidance N/A 不适用Yes是 No 否

认证声明是准确的并且与SGS的指南相符合。

6.Significant Audit Trails Followed 主要审核思路

The specific processes, activities and functions reviewed are detailed in the Audit Planning Matrix and the Audit Plan. In performing the audit, various audit trails and linkages were developed, including the following primary audit trails, followed throughout。

经评审过的特定的过程、活动和功能详细记录在审核策划矩阵图和审核计划上。在本次审核中，多种的审核思路及贯穿方法被采用，包括以下所记录的主要审核点。

Relating to Previous Audit Results: 上次审核结果的跟踪，如不符合项的验证情况Total 1minor non-conformities identified during previous audit have been followed up. All identified nonconformities have been corrected and the corrective action continues to be effective. All of them were accepted & closed. Detailed information please kindly refers to CAR form.

Relating to this Audit 本次审核的结果，如不符合项等。

No any non-conformities identified during this audit

Relating to Client Proposed Action to Address Minor Non-Conformances Raised at this Audit 针对本次审核提出的不符合项，客户建议采取的措施。

Total 0 minor non-conformities identified during this audit and 0 need immediate action. Appropriate action taken immediately in response to this non-conformance as required and the corrective action plans of these non-conformities has been detailed on an action plan and the intended action reviewed by the auditor, deemed to be satisfactory and will be followed up at the next scheduled visit.

Relating to this Audit; including any significant changes (eg: to key personnel, client activities, management system, level of integration, etc.) 本次审核的结果，包括：描述任何显著变化（例如：关键人员、客户活动、管理体系、整合水平等）：

Production Dept. Mr. Ye

Manufacturing products is mainly for air-condition system of Bus and railway vehicle. Production processes include assembly, pastering, welding and connecting, check leakage, test, package.

Sample, SZL-02, SHL-09;

Maintenance processes include dismantling, check, repair, assembly, check, and package. Sample,

CA228N, A-082.

Engineering Department:

The department is responsibility for product development, sample making, drawings, purchasing technical specification and processing documents establishing and controlling, etc.

The audit trails: new product’ nee d and requirements submitted by customers—reviewing requirements—arranging the development steps and schedule—drawing and specification draft establishing—sample making—sample inspection—customer verification and approval—official drawing and specification releasing

Sampled: SHL-16 Project SZL-2 Project

Staffs interviewed: Mr. Yang kangzhuo

Quality Dept. Mr. zhao

壳体清洁，打胶–壳体试水–安装过孔

Internal audit and management review conducted this year is conformance and meet the requirement. (carry out in July2013)

7.Nonconformities 不符合项Nothing to be reported here

Nonconformities detailed here shall be addressed through the organization’s corrective action process, in accordance with the relevant corrective action requirements of the audit standard, including actions to analyse the cause of the nonconformity and prevent recurrence, and complete records maintained.

这里详细描述的不符合相应根据审核标准中有关纠正措施的要求通过组织的纠正措施过程解决，包括分析不符合项的原因和预防再发生的措施，并保持完整的记录。

Corrective actions to address identified major nonconformities shall be carried out immediately and SGS notified of the actions taken within 30 days. An SGS auditor will perform a follow up visit within 90 days to confirm the actions taken, evaluate their effectiveness, and determine whether certification can be granted or continued.

对于识别的严重不符合项组织应立即采取纠正措施并在30天内将所采取的措施通知SGS。SGS将安排审核员在90天内进行一次跟进审核，对措施进行确认，评估措施的有效性，并确定是否推荐认证或证书是否持续有效。

Corrective actions to address identified major nonconformities shall be carried out immediately and records with supporting evidence sent to the SGS auditor for close-out within 90 days.

对于识别的严重不符合项组织应立即采取纠正措施，并将措施记录下来连同支持性的证据传递给SGS审核员以便于在90天内进行关闭。

Corrective actions to address identified minor nonconformities shall be documented on an action plan and sent by the client to the auditor within 90 days for review. If the actions are deemed to be satisfactory they will be followed up at the next scheduled visit.

对于识别的轻微不符合项组织应在90天内制定措施计划并传递给审核员。如果确信措施能满足要求，这些措施将在下次安排的访问中予以跟进。

Corrective actions to address identified minor nonconformities have been detailed on an action plan and the intended action reviewed by the auditor, deemed to be satisfactory and will be followed up at the next scheduled visit.

对于识别的轻微不符合项所采取的措施已经详细描述在措施计划中，将要采取的措施已经被审核员评审并确信能满足要求，将在下次安排的访问中予以跟进。

Appropriate immediate action taken in response to each non-conformance as required 已立即采取针对每个不符合项所要求的措施

Note: - Initial, Re-certification and Extension audits – recommendation for certification cannot be made unless check box 4 is completed. For re-certification audits the time scales may need to be reduced in order to ensure re-certification prior to expiry of current certification.

注释：- 初次认证、重新认证和扩大范围审核- 不能做出认证推荐直到复选框4被完成。对于重新认证审核，时间框架可能需要缩短，以确保在当前证书有效期内获得新证。

8.General Observations & Opportunities for Improvement 总体观察项及改善点

Product (project) require review should cover all the elements, such as: product features, time, cost, quality, resources, communication, risk and change

产品（项目）要求评审应覆盖所有的要素，如：产品特性、时间、成本、质量、资源、沟通、风险和变更

From previous projects, summarized experiences and lessons in risk assessment content and form a standardized examination table, and the identification of risk management through the mitigation plan.

应从先前项目，经验教训中总结风险评审内容并形成标准化检查表，且识别的风险通过减轻措施计划来管理。

Bidding process performance should be a KPI to measure.

投标过程绩效应有一个KPIs来测量。

Companies should further analyze the validity of the measurement system, such as size requirements of 250.6 + / - 1.2, but using a tape measure.

公司应进一步分析测量系统的有效性，如尺寸要求为250.6+/-1.2，但使用卷尺测量。

Products of FAI shall be proposed according to the plan and the approved inspection plan in advance.

建议进行产品的FAI应按事先策划和批准的检验计划来进行。

Product acceptance criteria specified in the request of the quantitative indicators, the last measured values to correspond, and further to judge.

产品接受准则中规定了量化的指标要求的，最后有实测值来对应，并进一步来判断。

9.Opening and Closing Meeting Attendance Record 首末次会议参会者记录