HSE管理体系的认证审核
HSE management system certification audit
审核组收集到审核证据以后，要对全部证据进行评审。一方面用以确定受审核方的HSE管理体系符合审核准则的方面。另一方面，对于不符合审核准则的证据更要进行认真分析，以确定体系存在的主要问题。对于这两个方面的问题，应在审核报告中进行充分的描述，以便对体系的实施效果作出评价。
The audit team to collect audit evidence, to review all the evidence. On one hand is used to determine the auditee HSE management system in accordance with the audit criteria aspects. On the other hand, do not meet the criteria of evidence should be more careful analysis, to determine the system problem. For the two aspects of the problem, should be in the audit report are fully described, so that the system implementation effect evaluation.
　　下面将重点讨论有关不符合的形成、不符合性质的判定和不符合报告等问题。
The following will focus on discussions about does not correspond to the formation, does not conform to the nature of the decision and not consistent with reports of problems.
　　1.不符合
1 do not meet
　　HSE管理体系审核中的不符合是指那些违背审核准则的审核发现。审核准则通常可包括三方面的内容：
HSE management system audit the refers to those who violate the audit criteria audit findings. Audit criteria usually consists of the following three aspects:
　　(1)SY/T6276—1997管理体系标准。
( 1) SY / T6276 - 1997 standard management system.
　　(2)受审核方的HSE管理体系文件(包括手册、程序文件和支持性文件)。
( 2) the auditee's HSE management system documents ( including manual, procedure documents and supporting documents).
　　(3)适用于受审核方的与HSE有关法律、法规及其他要求。
( 3) applied to the auditee and HSE relevant laws, regulations and other requirements.
　　上述审核准则中，SY/T6276—1997是审核员判断是否符合要求的基本准则。
The audit criteria, SY / T6276 - 1997 is the auditor to judge whether it meets the requirements of the basic standards.
　　2.不符合项的确定
2 do not accord with identified
　　1)必须以客观事实为基础
1) must be based on objective facts
　　判定不符合必须以客观事实为基础，客观事实不能掺杂任何个人的主观考虑，也不能掺杂“推理”、“假设”或“想当然”的成分，客观证据包括：
Judge not meet must be based on objective facts, objective facts not doping of any personal subjective considerations, not doped" reasoning"," hypothesis" or" most probably it did not actually happen " composition, objective evidence of:
　　(1)在文件、记录审阅以及现场观察中发现的客观事实。现场审核发现的不符合事实应请受审核方陪同人员确认。
( 1) in the file, record review and on-site observations found in the objective facts. The on-site audit found inconsistent with the facts should be invited to the auditee entourage confirmation.
　　(2)现场审核中受审核人员对审核员所提问题的回答，也可成为客观证据。对于通过面谈取得的信息，应当通过其他事实得以证实，避免受审核人员情绪紧张或口误造成回答失误，导致错判。例如：受审核人员不了解本身的职责，需更进一步核实的是受审者是否履行本人的职责。又如，受审核者说“所有目标指标已完成”，确切的证据应是涉及完成的记录和可见的有形证据。
( 2) the on-site audit by the audit staff for the auditor to question answering, also can become the objective evidence. The information obtained through interviews, should be through the other fact is confirmed, to avoid the audit staff emotional stress or a slip of the tongue caused by failure to answer, wrong. For example: the audit personnel not understanding their responsibilities, need further verification is the detainee whether to perform my duties. Also, the reviewer said" all target has been completed", definitive evidence should be involved in completing the record visible and tangible evidence.
　　2)必须以审核准则为依据
2) must take the audit criteria
　　判定不符合时，一定要以审核准则为依据。不能够以审核员个人的任何意见、观点作依据。也就是说审核员开具的不符合项必须在审核准则中明确地找到所不符合的条款。
Determined not to conform, must take the audit criteria. Not able to audit any personal opinions, based on. That is to say the auditor issue nonconformities must be in the audit criteria explicitly found inconsistent with the terms.
　　3)分析所有不符合原因，找出体系缺陷
3) analysis of all do not accord with reason, find out the blemish of system
　　HSE管理体系审核是一种体系审核，目的是判定受审核方的HSE管理体系是否符合标准的要求。所以审核员不能仅满足于发现个别的不符合现象，还应对这些现象进行追踪和分析，以找出体系上存在的问题。这也是正确判定不符合意图。
HSE management system audit is an audit system, purpose is to judge the auditee's HSE management system is in line with the standards. So the auditor not only satisfied individual found inconsistent with the phenomenon, also respond to these phenomena are traced and analyzed, in order to find out the system problems. This is also the correct judgement does not match the consensus map.
　　4)审核组内相互沟通，统一意见
4) audit group communicate with each other, a unified opinion
　　HSE管理体系中存在问题往往不是孤立的，常常存在某些联系。所以在形成不符合前，需要审核组成员充分讨论，交流情况，互相补充印证。这样才有利于发现受审核方体系中的问题。另一方面，审核组成员的充分讨论也有助于更准确、更全面地作出判断，避免由于审核员个人收集信息的局限所带来的片面性。审核发现最终是否形成不符合，由审核组长确定。
HSE management system in the existing problems are often not isolated, often there are some links. So in the form does not conform to the front, to members of the audit team to fully discuss, exchange, mutual complement confirm. This can help us find the auditee system problems. On the other hand, the audit team members are fully discussed and also contribute to a more accurate, more comprehensive judgment, avoid because the auditor individuals collected information limitations brought by the one-sided sex. The audit found that eventually form does not accord with the audit team leader, determined by.
　　5)与审核方共同确认审核发现的事实
5) and review common audit confirmed the fact that
　　审核组应当与受审核方共同确认不符合的事实依据，审核员在现场审核的时间毕竟有限，所发现的事实有可能只是问题的一个侧面，所以要在形成不符合项前与受审核方共同确认这些事实。同时要听到受审核方对不符合判定的意见，以便查清楚造成问题的根本原因，这也有利于修正错误。
The audit team auditee shall and confirm together does not accord with the facts, the auditor in the audit time is limited, the facts found there may be only one side of the problem, so to be formed in the front and the auditee jointly confirm these facts. At the same time to hear the auditee does not conform to the decision opinions, in order to find out the essential cause, this also is helpful for correcting errors.
　　如果受审核方提出补充证据，证明审核员对不符合陈述有误，审核员经过补充调查核准，应勇于修正错误。
If the auditee presents additional evidence, prove that the auditor does not conform to the statement is incorrect, the auditor after supplementation of examination and approval, should have the courage to correct mistakes.
　　在其他情况下，当双方有争执时，审核方则应尽量耐心说服受审核方，并强调审核是针对体系而不是针对个人。
In other cases, when both sides have the dispute, the verification should try to be patient and to persuade the auditee, and emphasizes the audit is directed to a system and not to one.
　　按照上述原则，对审核中收集的客观证据进行归纳、分析、比照约定的审核准则，即可确定不符合项，通常不符合项有以下几种情形：
According to the above principles, on the audit objective evidence gathered through induction, analysis, contrast agreed audit criteria, can identify non-conformances, usually do not accord with the following condition:
　　(1)体系性不符合——HSE管理体系文件没有完全达到SY/T6276—1997标准的要求，即文件的规定不符合标准;
( 1) the system does not meet the -- HSE management system file not fully reached SY / T6276 - 1997 standards, namely the documents do not meet the standard;
　　(2)实施性不符合——HSE管理体系实施未按文件规定执行，即运行实施不符合文件规定;
( 2) the implementation of HSE management system implementation does not meet -- not according to document regulations, which do not meet the regulations implementation file;
　　(3)效果性不符合——体系运行效果未达到计划的目标、指标，即效果不符合所建立的目标;
( 3) the effect of inconsistent with the system running result -- did not reach the goal, index, namely the effect does not meet the set goals;
　　(4)法律性不符合——体系运行的HSE行为未达到HSE法律、法规和其他要求的规定，即HSE行为不符合法规要求。
( 4) the law do not meet -- system of HSE behavior does not reach the HSE laws, regulations and other requirements, namely HSE behavior does not comply with the regulatory requirements.

3.不符合性质的判定
3 does not conform to the judgement of property
　　根据审核结果与审核准则相偏离的严重程度，以及不采取措施带来的可能后果的严重性，可将不符合分为两类：严重不符合和一般(轻微)不符合。
According to the results of the audit and audit criteria is deviated from the severity, and do not take measures to bring the possible consequences, but would not be divided into two categories: serious and general ( minor ) do not meet.
　　1)严重不符合
1) the serious discrepancy
　　出现下情况之一，原则上可构成严重不符合项：
Appeared under the circumstances, can in principle be constitute serious non-conformance:
　　(1)体系出现系统性失效。如某一要素、某一关键过程重复出现失效现象，又未能采取有效的纠正措施加以消除，形成系统性失效。如受审核方安全处、生产处均出现了文件和资料控制方面的不符合，从而导致体系系统性失效。
( 1) system of systemic failure. As a factor, a key process repeated failure phenomenon, and failed to take effective corrective measures to eliminate them, forming a system failure. If the auditee safety department, production department presented the document and data control does not conform to the system, leading to system failure.
　　(2)体系运行区域性失效。如某一部门现场所的全面失效现象，或者各层次、各部门出现失效。如公司内化学库出现了危害辨识、运行控制、培训、绩效测量与监测方面的不符合，造成该部门体系要素全面失效现象。
( 2) system of regional failure. As a branch of the comprehensive site failure phenomenon, or at all levels, departments failed. Companies such as internalization studies library appeared to hazard identification, control, training, performance measurement and monitoring of nonconformity, causing the sector system elements of a comprehensive failure phenomenon.
　　(3)造成严理的HSE危害，或潜在危害严重的HSE后果。
( 3) caused severe physical harm or potential harm to the HSE, the serious consequences of HSE.
　　(4)企业违反法律、法规或其他要求的HSE行为较严重。
( 4) the enterprise violates laws, regulations or other requirements of the HSE behavior is more serious.
　　(5)一般不符合项没有按期纠正且未意识到。
( 5) generally do not accord with a scheduled corrective and did not realize.
　　(6)目标指标未实现，且没有通过评审采取必要的措施。
( 6) target had not been achieved, and not through the review to take necessary measures.
　　(7)第二类不符合事项仍未改善，即上一次审核中发现的第二类不符合项，至今仍未采取有效措施加以整改的，即判为第一类不符合项。
( 7) second types of nonconformity has not improved, i.e. the last audit found second types of non-conformance, has yet to take effective measures to rectify, namely, convicted of first class of nonconformity.
　　(8)复评时，无持续改善HSE绩效证据。
( 8) review, no sustained improvements in HSE performance evidence.
　　2)一般(轻微)不符合
2) general ( minor ) do not meet
　　出现下列情况之一，原则上可构成一般不符合项：
One of the following circumstances, can in principle be generally do not accord with:
　　(1)对满足HSE管理体系要素或体系文件的要求而言，是个别的、偶然的、孤立的、性质轻微的不符合。
( 1) to meet the HSE management system element or system documentation requirements, is an individual, occasional, isolated, minor nature does not conform to.
　　(2)对保证所审核范围的体系而言，是次要的问题。
(2 ) to ensure that the scope of the audit system, is a secondary issue.
　　严重不符合和一般不符合性质的判定，对审核结论有决定性的影响，对受审核方能否通过HSE管理体系认证起着关键作用。因此审核组在判定不符合性质时要特别谨慎，对于可能成为严重不符合项的审核发现，审核组长一定要认真对待、反复核实。
Serious non-conformance and generally not consistent with the nature of the decision, on the audit conclusion has decisive influence on the auditee, whether through HSE management system certification plays a key role in. Therefore the audit team in judgement does not comply with the nature to be particularly cautious, for may become serious, do not accord with the audit findings, the audit team leader must be treated seriously, repeatedly verified.
　　3)观察项
3) observation items
　　指系统或程序有潜在的不恰当，以及具有潜在的风险的事项，这些事项有变成不符合的趋势，只是审核员掌握的证据暂不足。这类问题可作为观察项处理，可以用书面或口头的形式向受审核方提出。
A system or procedure with potentially inappropriate, as well as having potential risk items, these items into does not conform to the trend, but the evidence is insufficient. This kind of problem can be observed treatment, can be used in written or oral form to the auditee presents.
　　对于观察项，一般不要求受审核方提出限期整改方案，与无需跟踪验证，只要求对方引起注意，对可能的风险所有准备并加以预防和纠正，观察项一般不计入审核报告和审核结论中。
For the observation items, generally do not require the auditee presents a rectification plan, and without the need for tracking and verification, only ask for attention, about the possible risks of all ready and to prevent and correct, observed in general are not included in the audit report and audit conclusion.
　　如果某企业出现严重的不符合项，在受审核方未采取有效的措施前，认证机构不应推荐注册。
If a business serious non-conformance, the auditee fails to take effective measures before, certification bodies should not be recommended to register.
　　对出现轻微不符合事项的企业，应不影响推荐注册、但对轻微不符合项，受审核方也要在认证机构规定时间内提出整改方案，采取有效措施，并经认证机构跟踪确定符合后，才推荐注册。
On minor nonconformities enterprises, should not affect the recommended registration, but for minor nonconformities, the auditee should also in the certification bodies within a specified time and put forward rectification plans, take effective measures, and by the certification body tracking to determine compliance with, I recommend the registration.
　　对于观察事项，一般要求受审核方提出限期整改方案，审核无需跟踪验证，只要求对方引起关注，对可能的风险有所准备并加以预防和纠正。观察项，一般也不计入审核报告和审核结论中。
The observation of matters, general requirements the auditee presents a rectification plan, audit without tracking test, only ask for attention, about the possible risks of prepared and to prevent and correct. Observation items, are generally not included in the audit report and audit conclusion.
　　4.不符合报告的编写
4 does not meet the report preparation
　　编写不符合报告，是审核员必须掌握的基本技能。
Non conformance report is prepared, the auditor must master the basic skills.
　　1)不符合报告的内容
1) does not conform to the contents of the report
　　(1)受审核方名称及负责人;
( 1) the auditee's name and the person responsible;
　　(2)不符合事实描述;
( 2) does not conform to the description of facts;
　　(3)审核准则;
( 3) the audit criteria;
　　(4)不符合判据及条款号;
( 4) does not meet the criteria and conditions;
　　(5)不符合性质的判定;
( 5) does not conform to the nature of the decision;
　　(6)审核员姓名及开具日期;
( 6) name of auditor and issuance date;
　　(7)受审核方代表确认及签名;
( 7) the auditee representative confirmation and signature;
　　(8)采取的纠正预防措施及完成日期;
( 8) to take corrective measures and completion date;
　　(9)纠正措施完成情况及验证。
( 9) completion and verification of corrective action.
　　2)对不符合事实的描述的要点
2) do not conform to the fact that the description of the main points
　　(1)准确地描述客观事实，证据充分确凿，依据清楚。包括时间、地点、人物(注明职务或职称，不提姓名)、何种情况等。
( 1) to describe accurately the objective fact, conclusive evidence, based on clear. Including the time, place, character (indicating the position or title, not to mention the name ), the situation.
　　(2)写出必要的细节，使其具有可重查性和可追溯性。
( 2) to write the necessary details, so it has to be checked and traceability.
　　(3)语言简明精练，概括不符合的核心问题。
( 3) language concise concise, summary does not correspond to the core issues.
　　(4)观点、结论要从描述的事实中自然流露，不要光写结论，不写事实。
( 4) point of view, the conclusion from facts described in natural language, don't write conclusion, do not write the facts.
　　(5)尽可能使用规范术语(如标准或体系文件术语)。
( 5) as far as possible the use of standardized terminology ( such as standard or system documentation terminology ).