10 监督审核报告
Orion Surveillance Audit
Table of Contents
Configuration of Company公司概况
Surveillance Audit Activities监督审核活动
Opportunities for Improvement改进建议
Strengths公司优势
Recommendation for Continued Certification认证推荐
Approvals报告批准
Distributions报告发布
Opening and Closing Meeting Agenda首末次会议记录表
Attachments附件
A. Opening & Closing Meeting Attendance首/末次会议签到表
B. Nonconformity Log & Report不符合项记录表及不符合报告
C. Audit Plan and Schedule审核计划及日程安排
D. Other attachments as required per specific standard各标准所要求的其它附加文件
Note: The contents of this report are confidential.本报告的内容要求保密
Configuration of Company公司概况
Management Representative（管代）: 胡涛
Company（公司名称）: 山东华腾自动化科技有限公司
Address（地址）: 山东省济南市高新区新宇路南首齐鲁软件园大厦208室 Phone （电话）: 0531-67809926
Fax （传真）: 0531-67809916
E-mail:
Web page:
Audit ID（审核编号）: 6637
Certification Scope（认证范围）工业自动化控制系统的设计开发及低压成套开关设备的生
产，调试和服务
Sector Code(s) 19
（专业代码）:
ISO9001:2008 Standard(s)（标准）:
Exclusion(s) to 无 Standard(s)（删减条款）:
Review Date(s)（审核日期）: 2011-10-16
Team Leader
（审核组长）: 盛雷
Assessor(审核员)：
Surveillance Audit Activities监督审核
For multi-site audits, please list the site names and/or addresses sampled and any other pertinent information to clarify the scope of the audit. （多现场审核，请列出每个现场的名称和/或地址及其它相关信息以确认审核范围）
Single site audit
Or
单现场审核 Multi-site audit. Please list details below:
Yes or
多现场审核。请列出详细信息：
No Additional Document Review required? If yes, attach report. 需要另作文件审核吗，如需要，请添加文审报告。
The audit team has examined and verified that the structure, policies, processes, procedures, records and related documents are relevant to the management system.（审核组已对受审核方的结构、方针、过程、程序、记录及与体系运行相关的文件进行了评审确认。）
With the exception of the attached Nonconformity Reports, if applicable, all audited requirements relevant to the intended scope of the certification appear to have been met, and the associated processes and procedures have been established, implemented and effectively maintained.（除了本报告所附的不符合项外，（若适用），受审核方的体系运行符合认证要求，所有相关的过程和程序已经建立、实施并有效保持。） All topics in the audit plan （审核计划的所有内容
:）:
were completed and the audit objectives were met. 已完成并已达到审核目的
or
were not completed. List any not completed:
未完成。列出未完成的事项: Inconsistencies between policy, objectives and targets (consistent with scope of the certification) and their
results （方针、目标及指标间的不一致性（与认证范围的一致性）及结论：）:
were identified and documented in one or more Nonconformity Reports. 已经识别并形成不符合报告
or
were not identified. Evidence was found to demonstrate that the management system has the capability to consistently meet the objectives of the standard.
未识别到。有证据证明体系运行能力与标准目标要求保持一致。
Opportunities for Improvement（改进建议）
暂无
Strengths（公司优势）
公司质量管理体系经过两年的运作与实施，具备良好的体系运行及保持能力。公司以过硬的产品质量为准则，以高效的生产速度为后盾，以诚实守信为前提，服务顾客，通过顾客回访可以看出该公司的产品受到顾客认同及有良好信誉。公司具有一批高素质的技术人员及操作熟练的技术工人队伍。具有很强的市场竟争能力
Recommendation for Continued Certification（继续认证推荐）
minor nonconformities were identified.一般不符合项 major nonconformities were identified.严重不符合项
A comparison of these new NCRs with past NCRs identified no nonconformity trends.
新不符合项与原不符合项对比，未发现不符合趋势。
A comparison of these new NCRs with past NCRs identified a potential nonconformity trend related to the following clause/process: _________________________________.
新不符合项与原不符合项对比，发现在下列条款/过程有潜在的不符合趋势：
Based on further review this situation:
此种情况下，根据进一步的评审:
XYZ is not recommended for certification because the Management System is not effective.
公司由于管理体系运行无效，不推荐认证注册。
or
XYZ is recommended for:
certification.
认证 certification pending the closure of any major nonconformities. 关闭严重不符合项后进行认证注册. Other(Explain):
其他（请说明）
Date:
审核日期2011.10.16
Date:
评审日期
is a trend because the situation raise significant doubt about the ability of the client’s Management System to achieve its intended outputs: 形成一种趋势，因为会严重影响客户的管理体系实现所策划输出的能力: is not a trend because the situation does not raise significant doubt about the ability of the client’s Management System to achieve its intended outputs because: 未形成一种趋势，因为不会影响客户的管理体系实现所策划输出的能力: Although NCRs are in the same clause of the standard they are not related. 虽然不符合项分布在标准的同一条款中，但它们之间并无关联.
NCRs are similar, but they represent a small proportion of a very large population. Overall the system is still effective. 不符合项类似，但是体系运行总体有效。
Other (Explain): 其它（请说明）：
Approvals Team Leader: 审核组长 Technical Reviewer: 技术评审 Distribution:
Company:
公司
Team Leader:
审核组长：
Assessor(s)
审核员： 盛雷 盛雷
Meeting Subjects: (Meeting subjects may be presented in any order). 会议内容：（会议内容的顺序可任意排列）
∙ Pass out Attendance Sheet. 与会者签到
∙ Introduce the members of the audit team. 介绍审核组成员
∙ Review confidentiality practices. 确认保密事宜，宣读审核组成员公正性声明
∙ Review any changes to the company, i.e. employee count, etc. 确认公司认证信息的变化，如员工人数等等
∙ Review the scope and any changes to it that may affect the audit. 确认审核范围及任何可以影响审核的变化
∙
∙ Review scope, objectives and criteria of audit. 确认审核范围、审核目的及所依据的标准 Provide a short summary of how audit is to be conducted. 简要说明审核过程
∙ Advise auditee that evidence is sampled and therefore there is an element of uncertainty in auditing. 告知被审核方，证据是抽样的，因此审核过程中存在不确定因素 ∙ Reporting method. 报告方法
∙ Explain major and minor nonconformities. 解释说明严重不符合及一般不符合
∙ Review conditions under which Orion may terminate the audit, i.e. natural disaster, unresolvable lack of auditee cooperation, or unresolvable safety issue. 确认可能终止审核的情况，如自然灾害，受审核方不合作，或存在安全威胁等。
∙ Review appeal process for conduct or conclusions of the audit. 确认对审核或审核结论进行申诉的过程
∙ Confirm escorts, working area, computer with Acrobat 8.0 and printer, other resources. 确认工作区域、提供装有Acrobat 8.0 的电脑、打印机及其它相关资源
∙ Ask client for briefing on client’s health, safety, emergency and security requirements. 确认客户在健康、安全、紧急避险方面的要求
∙ Go over communication links with the client and state that auditee will be kept informed. 确认与客户的沟通方式并保证受审核方可随时找到
∙ Confirm language to be used during the audit. 确认审核所用的语言
∙ Confirm date and time for closing meetings and interim meetings. 确认末次会议和临时会议的日期及时间
∙ Review audit plan and agenda and clarify any unclear details. 确认审核计划和日程安排，澄清审核计划中有疑问之处
∙ Short question and answer period. 简单答疑
首次会议上已讨论上述各项内容
Meeting Subjects: (Meeting subjects may be presented in any order). 会议内容：（会议内容的顺序可任意排列）
∙ Pass out Attendance Sheet. 与会者签到
∙ Thank the client for using Orion and for their assistance during the audit. 感谢客户与奥瑞
公司的合作及在审核过程中给予的协助
∙ Present the Nonconformity Reports that have not been previously presented. 宣读不符合
报告
∙ Explain that if no nonconformities were found, it does not mean that none exist. The
client is responsible for internal audits to insure conformity. 解释说明如果未发现不符合项，并不意味着不存在不符合项。客户应对内部审核负责以确保一致性
∙ Present the conclusion (recommendation for Stage 2). 宣读审核结论（推荐进行下一次审
核活动）
∙ If the client cannot be immediately recommended for Stage 2, explain the process for
attaining that recommendation. 如果客户不具备条件进行下一次审核，向其说明达到进行下一次审核推荐所需要的过程
∙ Explain the Stage 2 audit. 解释说明下一次审核
∙ Restate the confidentiality requirements. 重新声明保密承诺的要求
∙ State that the formal report will be sent to them. 说明正式的报告会最终发给客户
∙ Ensure that all Nonconformity Reports are left with the client, and that the client is aware
of the Guidance Document for Responding to a Nonconformity Report. It is on Orion’s website. 确保将开具的不符合报告留给客户，并确保客户知道可以到奥瑞公司的网站上浏览关闭不符合项的相关指导文件。
∙ Short question and answer period. 简单答疑
diverging opinions about the audit nonconformities or results which could not be
resolved must be documented on the Focus Sheet. 末次会议上已讨论上述各项内容。 (注意：关于不符合项或审核结论的尚未解决的异议必须记录在“审核关注问题单”中)