地质调查项目承担单位质量管理体系认证审核指南

地质调查项目承担单位质量管理体系认证审核指南中国地质调查局2009年8月I目次前言···························································································································II1范围·························································································································12规范性引用文件······································································································13术语和定义··············································································································13.1审核方··················································································································13.2受审核方··············································································································13.3认证审核··············································································································14总则·························································································································24.1目的任务··············································································································24.2审核范围··············································································································24.3审核依据··············································································································24.4认证审核工作程序······························································································25认证审核前的准备··································································································25.1审核方··················································································································25.2受审核方··············································································································36文件审查··················································································································36.1目的······················································································································36.2审查内容··············································································································46.3审查要求··············································································································47现场审核··················································································································47.1准备阶段··············································································································47.2进入现场阶段······································································································77.3审核后续工作····································································································10附录A（规范性附录）中国地质调查局质量管理体系认证审核通知单···············13附录B（规范性附录）中国地质调查局质量管理体系认证文件审查报告············14附录C（规范性附录）中国地质调查局质量管理体系认证用表···························19参考文献···················································································································31II前言为了规范地质调查项目承担单位的质量管理体系认证审核工作，提高第二方认证审核水平，特编写本指南。本指南由中国地质调查局提出并归口。本指南的附录A、附录B、附录C为规范性附录。本指南起草单位：中国地质调查局、北京市地质工程勘察院、上海市地质调查院、北京岩土工程勘察院、江苏省地质调查院、甘肃省地质调查院、宁夏回族自治区地质环境监测站、河北地质调查院、中国国土资源航空物探遥感中心、中国核工业地质局。本指南主要起草人：韩志军王建西吴钦郭春颖白冶王浩刘升友张福忠王启友刘心季张秋营。1地质调查项目承担单位质量管理体系认证审核指南1范围本指南规定了质量管理体系认证审核的目的、任务、审核方和受审核方审核前的准备、文件审查、现场审核、不符合项判别及审核报告的编写等要求。本指南适用于中国地质调查局对地质调查项目（以下简称地调项目）承担单位进行的质量管理体系第二方认证审核。2规范性引用文件GB/T19000-2008质量管理体系基础和术语GB/T19001-2008质量管理体系要求GB/T19011-2003质量和（或）环境管理体系审核指南GB/T27021-2007合格评定管理体系审核认证机构的要求3术语和定义3.1审核方指质量管理体系认证审核发证单位。本指南中特指中国地质调查局。3.2受审核方指申请质量管理体系认证单位。本指南中特指地调项目承担单位。3.3认证审核3.3.1初次审核以全面评定受审核方质量管理体系与GB/T19001-2008标准的符合性、适宜性和有效性，确定是否推荐认证注册为目的的审核过程。3.3.2监督审核在证书有效期内，审核方定期对受审核方进行的审核。旨在验证受审核方质量管理体系是否持续符合GB/T19001-2008标准的要求，运行是否持续有效，认证证书和标志的使用是否符合规定，从而确定是否继续保持认证证书。3.3.3再认证审核在认证证书有效期到期前，由审核方对受审核方的质量管理体系进行全面评定的审核。旨在评定受审核方质量管理体系与GB/T19001-2008标准的符合性和持续有效性，从而确定是否换发认证证书。24总则4.1目的任务通过质量管理体系的文件审查和现场审核，寻找受审核方符合GB/T19001-2008标准的客观证据，以评定受审核方建立的质量管理体系是否符合标准要求，是否运行有效。4.2审核范围受审核方质量管理体系所覆盖的范围。4.3审核依据4.3.1GB/T19001-2008质量管理体系要求4.3.2受审核方质量管理体系文件。4.3.3适用的法律、法规、规范标准和合同等。4.3.4中国地质调查局的有关规定要求。4.4认证审核工作程序认证审核工作一般按照成立审核组、文件审查、现场审核、编写审核报告、审核情况沟通与确认、不符合项纠正措施有效性的验证、审核资料的整理、审核方对审核结果的确认等工作程序进行。审核工作流程见图1。5认证审核前的准备5.1审核方5.1.1成立审核组审核组由审核方任命，一般3～5人组成（视受审核方规模和质量管理体系覆盖范围决定），设组长1名（一般由国家注册审核员或有较丰富审核经验的业内专家担任），其他成员由具有质量管理体系审核能力（经过认证机构或审核方专门培训），同时具有相关地质专业能力的技术专家组成。5.1.2审核组职责5.1.2.1审核组长职责a）全面负责认证审核各阶段的工作，协调分工审核组成员的工作；b）负责组织受审核方质量管理体系的文件审查，并编制文审报告；c）制定审核计划，代表审核组同受审核方的管理者沟通；d）组织实施现场审核，负责审查审核记录，确定不符合项；e）编写审核报告，对审核结果的公正性、正确性负责；f）负责纠正措施可行性审查及其有效性的跟踪验证。35.1.2.2审核组成员职责a）准备审核范围内的检查表；b）记录并报告审核情况；c）在审核组长领导下完成具体工作。5.1.3向审核组下达审核任务并提供审核资料审核方按审核计划向审核组下达审核任务并提供审核资料。审核方向审核组提供的资料有：a）质量管理体系认证（再认证）审核申请表；b）审核用表格；c）上次审核的资料（审核计划、审核报告、不符合项通知单、纠正措施计划）。5.1.4向受审核方下达审核通知审核方向受审核方下达审核通知单（见附录A），将审核时间、人员等预约信息通知受审核方，双方协商确定审核计划。5.2受审核方5.2.1接受审核通知接到审核方的审核通知单并双方确定审核计划后，受审核方应及时将审核时间、范围、目的通知有关部门和人员。5.2.2做好审核准备工作a）各职能部门和项目组应备齐与审核有关的资料；b）研究确定负责陪同审核组成员的工作人员，并通知审核方；c）安排审核场所，准备必需的审核条件和用品。5.2.3向审核组提供的资料a）地质勘查资格证书；b）质量手册、程序文件及其他质量管理