19011审核指南.docx
《19011审核指南.docx》由会员分享，可在线阅读，更多相关《19011审核指南.docx（34页珍藏版）》请在冰豆网上搜索。
19011审核指南
前言```````````````````````````````````````````````````````````````````````````````````````````````````````````````````````````````````3
0引言```````````````````````````````````````````````````````````````````````````````````````````````````````````````````````````````4
1范围```````````````````````````````````````````````````````````````````````````````````````````````````````````````````````````````5
2引用标准```````````````````````````````````````````````````````````````````````````````````````````````````````````````````````5
3术语和定义```````````````````````````````````````````````````````````````````````````````````````````````````````````````````5
3.1审核```````````````````````````````````````````````````````````````````````````````````````````````````````````````````````````5
3.2审核准则````````````````````````````````````````````````````````````````````````````````````````````````````````````````5
3.3审核证据````````````````````````````````````````````````````````````````````````````````````````````````````````````````5
3.4审核发现````````````````````````````````````````````````````````````````````````````````````````````````````````````````5
3.5审核结论````````````````````````````````````````````````````````````````````````````````````````````````````````````````5
3.6审核委托方````````````````````````````````````````````````````````````````````````````````````````````````````````````5
3.7受审核方````````````````````````````````````````````````````````````````````````````````````````````````````````````````5
3.8审核员````````````````````````````````````````````````````````````````````````````````````````````````````````````````````5
3.9审核级````````````````````````````````````````````````````````````````````````````````````````````````````````````````````5
3.10技术专家``````````````````````````````````````````````````````````````````````````````````````````````````````````````5
3.11审核方案``````````````````````````````````````````````````````````````````````````````````````````````````````````````6
3.12审核员资格``````````````````````````````````````````````````````````````````````````````````````````````````````````6
3.13中等教育```````````````````````````````````````````````````````````````````````````````````````````````````````````````6
4审核基本原则```````````````````````````````````````````````````````````````````````````````````````````````````````````````6
5审核方案的管理```````````````````````````````````````````````````````````````````````````````````````````````````````````6
5.1总则````````````````````````````````````````````````````````````````````````````````````````````````````````````````````````6
5.2审核方案的权限、目标、程度和范围````````````````````````````````````````````````````````````````6
5.3职责、资源和程序````````````````````````````````````````````````````````````````````````````````````````````````7
5.4审核方案的实施````````````````````````````````````````````````````````````````````````````````````````````````````7
5.5审核的监控和评审````````````````````````````````````````````````````````````````````````````````````````````````7
5.6记录````````````````````````````````````````````````````````````````````````````````````````````````````````````````````````8
5.7联合审核````````````````````````````````````````````````````````````````````````````````````````````````````````````````8
6审核活动```````````````````````````````````````````````````````````````````````````````````````````````````````````````````````8
6.1审核的启动`````````````````````````````````````````````````````````````````````````````````````````````````````````````8
6.1.1目的、范围和审核准则`````````````````````````````````````````````````````````````````````````````````8
6.1.2审核的可行性`````````````````````````````````````````````````````````````````````````````````````````````````8
6.1.3审核组的组建`````````````````````````````````````````````````````````````````````````````````````````````````8
6.1.4与受审核方的初步接触`````````````````````````````````````````````````````````````````````````````````9
6.1.5文件评审`````````````````````````````````````````````````````````````````````````````````````````````````````````9
6.2现场审核的准备````````````````````````````````````````````````````````````````````````````````````````````````````9
6.2.1审核的策划`````````````````````````````````````````````````````````````````````````````````````````````````````9
6.2.2审核任务的下达`````````````````````````````````````````````````````````````````````````````````````````````9
6.2.3审核员的审核准备`````````````````````````````````````````````````````````````````````````````````````````10
6.2.4审核职责的引用文件`````````````````````````````````````````````````````````````````````````````````````10
6.2.5工作文件`````````````````````````````````````````````````````````````````````````````````````````````````````````10
6.3现场审核````````````````````````````````````````````````````````````````````````````````````````````````````````````````10
6.3.1首次会议`````````````````````````````````````````````````````````````````````````````````````````````````````````10
6.3.2陪同的作用和职责`````````````````````````````````````````````````````````````````````````````````````````10
6.3.3信息的收集和验证`````````````````````````````````````````````````````````````````````````````````````````10
6.3.4审核发现`````````````````````````````````````````````````````````````````````````````````````````````````````````11
6.3.5与受审核方的沟通``````````````````````````````````````````````````````````````````````````````````````````11
6.3.6末次会议的准备`````````````````````````````````````````````````````````````````````````````````````````````12
6.3.7与受审核方的末次会议`````````````````````````````````````````````````````````````````````````````````12
6.4审核的报告```````````````````````````````````````````````````````````````````````````````````````````````````````````12
6.4.1审核报告的编制`````````````````````````````````````````````````````````````````````````````````````````````12
6.4.2报告的内容`````````````````````````````````````````````````````````````````````````````````````````````````````12
6.4.3报告的批准和分发`````````````````````````````````````````````````````````````````````````````````````````13
6.4.4文件的保存``````````````````````````````````````````````````````````````````````````````````````````````````````13
6.5审核的完成````````````````````````````````````````````````````````````````````````````````````````````````````````````13
6.6审核的后续活动````````````````````````````````````````````````````````````````````````````````````````````````````13
7家质量和环境管理体系审核员的资格````````````````````````````````````````````````````````````````````````13
7.1引言````````````````````````````````````````````````````````````````````````````````````````````````````````````````````````13
7.2所需的最低教育水平、培训、工作和审核经历````````````````````````````````````````````````13
7.2.1引言````````````````````````````````````````````````````````````````````````````````````````````````````````````````13
7.2.2教育水平````````````````````````````````````````````````````````````````````````````````````````````````````````13
7.2.3培训````````````````````````````````````````````````````````````````````````````````````````````````````````````````14
7.2.4工作经历````````````````````````````````````````````````````````````````````````````````````````````````````````14
7.2.5审核经历`````````````````````````````````````````````````````````````````````````````````````````````````````````14
7.3个人素质````````````````````````````````````````````````````````````````````````````````````````````````````````````14
7.4能力```````````````````````````````````````````````````````````````````````````````````````````````````````````````````````15
7.4.1基本能力````````````````````````````````````````````````````````````````````````````````````````````````````````15
7.4.1.1审核程序、方法和技巧````````````````````````````````````````````````````````````````````````15
7.4.1.2管理体系和引用文件`````````````````````````````````````````````````````````````````````````````15
7.4.1.3组织情况`````````````````````````````````````````````````````````````````````````````````````````````````15
7.4.1.4适用的法律、法规和其他要求`````````````````````````````````````````````````````````````15
7.4.2专门能力````````````````````````````````````````````````````````````````````````````````````````````````````````16
7.4.2.1质量管理原则和技术`````````````````````````````````````````````````````````````````````````````16
7.4.2.2作业过程、产品和服务`````````````````````````````````````````````````````````````````````````16
7.4.2.3环境科学和技术`````````````````````````````````````````````````````````````````````````````````````16
7.4.2.4作业的技术和环境因素``````````````````````````````````````````````````````````````````````````16
7.5审核组长资格````````````````````````````````````````````````````````````````````````````````````````````````````````17
7.6双重资格````````````````````````````````````````````````````````````````````````````````````````````````````````````````17
7.7审核员的评价过程````````````````````````````````````````````````````````````````````````````````````````````````17
7.8持续专业发展````````````````````````````````````````````````````````````````````````````````````````````````````````18
7.9审核组的组建````````````````````````````````````````````````````````````````````````````````````````````````````````18
7.10语言``````````````````````````````````````````````````````````````````````````````````````````````````````````````````````18
附录A（提示的附录）组建内审审核组的评价方法示例``````````````````````````````````````18
前言
国际标准化组织（ISO）是由各国标准化团体（ISO成员团体）组成的世界性的联合性的联合会。
制定国际标准的工作通常由ISO的技术委员会完成。
各成员团体若对某技术委员会确立的项感兴趣，均有权参加该委员会的工作。
与ISO保持联系的各国际组织（官方的或非官方的）也可参加有关工作。
在电工技术标准化方面，ISO与国际电工委员会（IEC）保持密切合作关系。
由技术委员会通过的国际标准草案提案提交各成员团体表决，需取得至少75%参加表决的成员团体的同意，才能作为国际标准正式发布。
国际标准ISO19011是由国际标准化组织质量管理和质量保证技术委员会支持技术分委员会（ISO/TC176/S3）与环境管理体系审核与有关的环境调查分委员会（ISO/TC207/SC2）联合制定的。
本国际标准代替ISO10011-1、ISO10011-2、ISO10011-3、ISO14010、ISO14011和ISO14012。
本标准的附录A仅供参考。
0引言
ISO9000和ISO14000系列国际标准强调了审核作为一个基本的管理手段，在实现组织的质量或环境管理方针中所阐述的目标的重要性。
本标准化给出了与审核有关的定义并为审核员开展内部与
升级会员 