管理体系认证服务说明

Management System CertificationManagement System CertificationManagement System CertificationManagement System Certification Service DescriptionService DescriptionService DescriptionService Description 管理体系认证管理体系认证管理体系认证管理体系认证服务服务说明服务说明服务说明 QUALITY / ENVIRONMENT / OH&S INFORMATION SECURITY /FOOD SAFETY 质量 / 环境 / 职业健康安全 信息安全 / 食品安全 DNV 认证服务说明 Page 1/22 1.0 Introduction ...............................................................................................................................................3 1.0 序言 1.1 A partnership approach to Management System Certification 1.1 合作的管理体系认证模式 1.2 Risk Based Certification – Tailored to your company’s unique needs. 1.2 基于风险管理的认证——专为您的公司量身打造 1.3 About DNV 1.3 关于DNV 2.0 Objective and Impartiality Management.....................................................................................................5 2.0 目标和公正性声明 3.0 Process Description ..................................................................................................................................6 3.0 过程描述 4.0 Obtaining a Certificate of Conformity ........................................................................................................7 4.0 获得符合性的证 4.1 Quotation Request 4.1 报价需求 4.2 Application for Certification 4.2 认证申请 4.3 Pre-survey (Optional) 4.3 预审（任选） 4.4 Planning for Audit 4.4 审核规划 4.5 Review of Management System Documentation 4.5 管理体系文件审核 4.6 Initial Visit 4.6 初访 4.7 Initial Audit 4.7 首次审核 4.8 Audit Findings 4.8 审核结果 4.9 Corrective Action and Follow Up 4.9 纠正措施和跟踪措施 4.10 Certificate of Conformity 4.10 符合性的证书 DNV 认证服务说明 Page 2/22 5.0 Maintaining the Certificate of Conformity ................................................................................................11 5.0 符合性证书的保持 5.1 Extension or Reduction of Certification Scope 5.1 认证范围的扩展或缩小 6.0 Renewal of Certificate of Conformity .......................................................................................................12 6.0 符合性证书的更换 7.0 Control of Mark .......................................................................................................................................13 7.0 标志的控制 8.0 Transfer of certificate ..............................................................................................................................14 8.0 证书的转换 9.0 Fees ........................................................................................................................................................15 9.0 费用 10.0 Publication ............................................................................................................................................16 10.0 公布证书 10.1 Publication by Holder of Certificate of Conformity 10.1 由符合性证书持有者公布 10.2 Publication by DNV 10.2 由DNV公布 11.0 Appeal ...................................................................................................................................................17 11.0 申述 12.0 Complaints ............................................................................................................................................18 12.0 投诉 13.0 Reporting of non compliance to regulation.............................................................................................19 13.0 不符合性有关法规要求的报告 14.0 SUSPENSION, WITHDRAWAL AND CANCELLATION OF CERTIFICATE OF CONFORMITY ........20 14.0 符合性证书的暂停、撤销和取消 14.1 Suspension of Certificate of Conformity 14.1 符合性证书的暂停 14.2 Withdrawal of Certificate of Conformity 14.2 符合性证书的撤销 14.3 Cancellation of Certification 14.3 证书的取消 DNV 认证服务说明 Page 3/22 1.0 INTRODUCTION 1.0 序言序言序言序言 1.1 A partnership approach to Management System Certification DNV’s approach to the certification process is to have a common goal and objective with customers to achieve certification. You provide input on which operational processes are most crucial to your business success. We evaluate how you perform in these key areas, whilst also checking compliance with the elected standard. For companies operating internationally, coherence and consistency in performance across geographic and cultural boundaries is a challenge. DNV has the organisation, knowledge and skills to manage global, multi- standard certification projects. As your challenges change, so will the focus of our audits, helping you to continually mitigate risks and maximise opportunities. At the heart of our partnership approach you will find a commitment to support you on the journey towards business excellence. 1.1 合作的管理体系认证合作的管理体系认证合作的管理体系认证合作的管理体系认证模式模式模式模式 北京挪华威认证有限公司所采用的认证过程模式是与客户持有共同的目的和目标以实现认证。由您来提供对您 的业务成功来说至关重要的运营过程信息。我们来评估您在这些重要领域的表现，同时检查与所选定的是 否相符。对于在世界范围内运营的公司来说，要跨越地理和文化疆界实现业绩的统一和一致性是一个巨大的挑 战。北京挪华威认证有限公司具备管理全球性和多标准的认证项目的组织、知识和技能。随着您所面临的挑战 发生变化，我们审核的重点也会随之改变，以帮助您继续规避风险并最大限度地把握商机。我们的合作认证模 式的核心是在您的业务卓越之旅上助您一臂之力的承诺。 1.2 Risk Based Certification – Tailored to your company’s unique needs. Risk Based Certification is DNV’s unique approach to management system certification. With this approach, each assessment of your organization is tailored to the unique aspects of your organization and the audit results provide better information to your top management about your organization’s ability to meet strategic objectives. Risk Based Certification audits focus on areas and issues of your management system that have a significant impact on your business objectives and are critical to your operations. 1.2 基于风险管理的认证基于风险管理的认证基于风险管理的认证基于风险管理的认证————————专为您的公司量身打造专为您的公司量身打造专为您的公司量身打造专为您的公司量身打造 基于风险管理的认证是北京挪华威认证有限公司独特的管理体系认证方法。有了这种方法，对您的公司的每项 评估都专为您的组织机构的特殊方面而量身打造，审核结果可以帮助最高管理层更好地了解您的组织机构实现 战略目标的能力。基于风险管理的认证重点审核对您的业务目标有重要影响，同时对您的运营至关重要的管理 体系的领域和问题。 1.3 About DNV DNV Business Assurance is a world leading certification body. We work with our customers to assure the performance of their products, processes and organisations through certification, assessment and training services. Our services help customers build stakeholder trust and create a platform for sustainable business performance. With more than 70,000 certificates issued worldwide, our name evokes a strong commitment to safety, quality, and concern for the environment. For years, we have been the preferred certification partner for Fortune 500 companies, as well as for medium and smaller businesses. We provide a global footprint with 1600 employees working to ensure our customers’ continued success locally and in an ever-changing global environment. As part of DNV, an independent foundation established in 1864, we belong to a network of 8600 employees working from 300 offices around the world. With our extensive local presence, consolidated global experience and acknowledged competence in the field of risk management, we are an ideal partner for companies in all industrial sectors. 1.3有关有关有关有关DNV DNV Business Assurance是一家世界领先的认证机构。我们始终与客户通力合作，通过为客户提供认证、评 估和培训服务，确保客户在产品、业务流程和组织管理方面均拥有出色业绩。我们的服务不仅将帮助客户赢得 利益相关方的信任，而且还将为客户构建一个可持续发展的平台。 我们在全球共颁发了70000多张认证证书，我们的名字本身就象征着对安全和质量的郑重承诺，以及对环境的 持续关注。多年以来，我们一直是世界500强企业优先选择的认证合作伙伴，同时也得到了许多中小型企业的 信赖。 DNV 认证服务说明 Page 4/22 我们现拥有1600名员工，业务遍布全球各地。我们的使命是在不断变化的全球环境中，全面保证客户在当地 业务中获得持续成功。DNV Business Assurance隶属于DNV——一家独立的基金会组织，成立于1864年，现 在全球设有300多个分支机构，员工总数超过8600人。凭借遍布全球的分支机构、丰富可靠的行业经验和风险 管理领域强大的专业竞争力，我们将成为各行业企业的理想合作伙伴。 DNV 认证服务说明 Page 5/22 2.0 Objective and Impartiality Management The objective of DNV’s Management System Certification Scheme is to provide independent assessment and certification of management systems operated by companies and organisations according to publicly recognized management system standards. Based on the recognition that each company is different and has its own specific needs, we apply our exclusive Risk Based Certification approach to management system certification. Our impartial certification service is available world-wide. We use highly qualified and experienced auditors and we aim at providing a service most suitable to your needs, type of business, and company location. 2.0 目标和目标和目标和目标和公正性声明公正性声明公正性声明公正性声明 北京挪华威认证有限公司的管理体系认证系统的目标是根据已认可的管理体系标准，对由公司和组织机构运作 的管理体系实行评估和认证。基于对每家公司都是不同的，且具有各自特殊的需求这样的认识，我们将我们独 家的基于风险管理的认证方法应用于管理体系认证。我们的公正性认证服务适用于世界各地。我们聘用高质量 和具有丰富经验的审核员，致力于为您提供最适合于您的需求、业务类型和公司地点的服务。 To achieve these objectives, DNV adopts clear policies: • world-wide availability • use of up-to-date methods and recognized standards, codes and procedures • use of highly qualified and experienced specialists • recognition of nationally and internationally accepted standards for management systems • continuous development to take account of the latest technology and practices • does not certify projects or products in which it has a consulting role Based on DNV’s Values, Policies and Code of ethics, the principles for integrity and impartiality can be summarized as: “We shall not certify our own work”. 为了达成这些目标，北京挪华威认证有限公司制定了明确的方针： • 可适用于世界各地 • 使用最新的方法和认可的标准、法规和程序 • 聘用高质量和具有丰富经验的专家 • 使用国家认可的和国际接受的质量体系标准 • 从最新的技术和经验角度考虑持续发展 • 不对所提供咨询的项目或产品进行认证 基于 DNV 的价值观、政策和行为准则，我们的原则是：“我们不对自己的工作提供认证”。 DNV 认证服务说明 Page 6/22 3.0 Process Description The scope of service is to evaluate and certify that the management system comply with the requirements of a specified standard or multiple standards in case of integrated management system certification, and to issue a Certificate of Conformity. DNV is accredited for certification to most commonly known generic and industry sector specific management system standards. 3.0 过程描述过程描述过程描述过程描述 服务的范围是评估和认证管理体系与的标准相符或者在整合管理体系认证中与多项标准相符，并颁发符合 性证书。北京挪华威认证有限公司有权对在CNCA批准的范围内的，最常见的一般和工业部门特定的的管理体 系标准进行认证。 The Management System Certification process contains following four main steps: � Review of the Management System documentation at the customer’s premises in conjunction with the initial visit or in DNV office, followed by an initial visit at the Customer’s premises. Document Review and Initial visit are also called as 1st stage audit. � Initial Audit at the customer’s premises in order to verify conformance between description of the system and its effective implementation. This may include additional audits in order to follow-up corrective actions; Initial audit is also called as 2nd stage audit. � Periodical or Surveillance Audits of the Management System throughout the Certificate’s validity period, in order to verify that the System is being implemented and maintained appropriately and effectively. � Re-certification Audits in advance of expiry date of the certificate, in order to confirm the continued conformity and effectiveness of the management system as a whole and to issue a new Certificate of Conformity. 管理体系认证过程包括下列四个主要步骤： � 在客户现场或者DNV办公室进行管理体系文件的评审，随后进行客户现场初次访问。文件评审和初次访问 也被称为第一阶段审核。 � 在客户现场的首次审核，是为了验证体系的描述与体系的有效执行之间的一致性。这有可能涉及到附加审 核来跟踪纠正措施；首次审核也被称为第二阶段审核。 � 整个证书的有效期里的管理体系的定期或监督审核，目的是验证系统正在被恰当而有效地执行和维护。 � 证书到期日前的换证审核，目的是从整体上确定管理体系继续符合性要求并且有效，同时颁发新的符合性 证书。 DNV 认证服务说明 Page 7/22 4.0 Obtaining a Certificate of Conformity 4.0 获得符合性的证获得符合性的证获得符合性的证获得符合性的证书书书书 4.1 Quotation Request A Company may apply for a quotation for certification of their management system. In order to prepare a quotation the following information is to be submitted to DNV: � the elected management system standard � the size of the organisation, number of employees and possible shift work � number and location of production or service facilities � the product or services being supplied � other relevant information related to the management system. A quotation will be given free of charge and without obligation. 4.1 报价需求报价需求报价需求报价需求 一家公司可以为其管理体系的认证申请报价。为了准备报价，需要向北京挪华威认证有限公司提交下列信息： � 所选定的管理体系标准 � 组织机构的规模大小、雇员的人数和可能的轮班工作 � 生产或服务设施的数量和场所 � 被供给的产品或服务 � 与管理体系相关的其他信息 报价是在免费和免责的情况下提供给客户的。 4.2 Application for Certification Upon receipt and acceptance of the quotation, the enclosed Agreement is to be signed and returned to DNV. Where there are multiple sites of a client, DNV shall regard that the signed agreement is legal enforceable between DNV and all of the sites covered by the scope of the certification, regardless of company’s name for each sites. Therefore, in case that any site (other company name) of the client, who is within the certification scope but not signed on the agreement by other company name, have any issue related to agreement, the signed personnel is responsible for all of the sites ( other company) issues. For each audit, DNV will extend the audit team with an observer for witness process. The observer will either represent DNV and/or an accreditation body. Neither customer nor DNV have right to decline the attendance of observer who represent accreditation body. 4.2 认证申请认证申请认证申请认证申请 在收到报价后，申请者通过签署和返回的认证协议向北京挪华威认证有限公司提出申请。如果客户有多个场 所，北京挪华威认证有限公司将认为所签协议在北京挪华威认证有限公司和认证范围内的所有场所之间具有法 律强制力，而无论每个场所的名称是什么。因此，如果在认证范围内，没有按照其他公司名称在协议上签字的 客户的任何场所（其他公司名称）对该协议有任何问题，负责签字的人员应对所有场所（其他公司）的问题负 责。 对于每次审核，北京挪华威认证有限公司可能为审核组增派一名观察员出席审核过程。观察员或代表北京挪华 威认证有限公司和/或代表认可机构。客户与北京挪华威认证有限公司都无权拒绝代表认可机构的观察员出席 审核过程。 4.3 Pre-survey (Optional) The purpose of the pre-survey is to gather information for audit planning and establish focus areas for the audit. At the same time the organizations preparedness for the audit will be established. No detailed report will be issued, but the overall result of the organization’s preparedness for audit will be issued. The pre- survey is optional and will not influence the audit results. 4.3 预审预审预审预审（（（（任选任选任选任选）））） 预审的目的是为审核规划收集信息并确定审核的重点领域。同时，组织机构应为审核做好准备。预审过程将不 会出具任何具体的报告，但是会出具组织机构对审核准备情况的整体评价。预审是任选的，不会对审核结果造 成影响。 DNV 认证服务说明 Page 8/22 4.4 Planning for Audit Upon receipt of the signed Agreement, DNV will inform the Customer in writing about the proposed audit schedule and nominated auditors requesting that the Company approve the proposed schedule and audit team. Audit plan for detailed time schedule of audit (called audit program) will be forwarded to the Customer by the Audit Team Leader at least 5 days in advance of planned audit. 4.4 审核规划审核规划审核规划审核规划 在收到经过签署的协议后，北京挪华威认证有限公司将书面通知建议的审核日程和提名的审核组成员，并和客 户进行确认。在的审核开始至少5天之前，审核组组长会将详细的审核日程表（被称为审核程序）转发给 客户。 4.5 Review of Management System Documentation The documentation to be reviewed shall be sufficient to obtain confidence that the customer's system adequately addresses the requirements of the assessment standard and consist of, as a minimum: � A system manual that includes the scope of the management system and a description of main processes and their interactions. � Description of the organization The document review may be carried out at the customer’s premises and be combined with the initial visit. A document review report will be issued upon completion of the document review. The reviewed documentation will be returned upon completion of the audit. 4.5 管理体系文件审核管理体系文件审核管理体系文件审核管理体系文件审核 待审核的文件应足以证明客户的体系能够充分满足评估标准的要求，至少包括下列内容： � 体系手册，包括管理体系的范围以及对主要流程及其相互作用的描述 � 组织机构描述 文件审核可以在客户现场进行，并与初次访问相结合。在完成文件审核后，北京挪华威认证有限公司将出具文 件审核报告。完成审核后，被审核的文件会返还给客户。 4.6 Initial Visit The initial visit will be used to gather information before the initial audit about: � The customer’s operations. � Implementation of the documented management system. � The customers handling of relevant regulatory and legal requirements. The initial visit will also be used for: � Planning the initial audit, confirming scope of work, number of sites to be audited and other relevant details � Identifying focus areas for the initial audit and possibly future audits. The initial visit may be combined with an on-site document review. 4.6 初访初访初访初访 初访将用来在审核前收集信息： � 客户的运营情况 � 文件所记录的管理体系的执行情况 � 客户对相关法律法规要求的处理情况 初访还用于： � 计划首次审核，确定工作范围、待审核的场所数量和其他相关详细内容 � 识别首次审核的重点领域以及可能的未来审核 初访可与现场文件审核相结合。 4.7 Initial Audit Prior to commencement of Initial audit or re-certification or upgrading to new standard, the Customer should complete the following: � an internal audit � management review DNV 认证服务说明 Page 9/22 � implemented the management system Upon completion of the documentation review and Initial Visit Initial Audit will be carried out in order to verify the implementation of the Management System in detail. Upon completion of the audit, the audit team leader will issue a draft report providing accurate, concise and clear record of the audit findings and conclusions. The draft report will be sent to the customer for reference in order to provide an opportunity for preparing the next step in the process. DNV will make the certification decision on the basis of an evaluation of the audit findings and conclusions and any other relevant information. A formal copy of the audit reports will be distributed to the customer upon completion of the certification decision. 4.7 首次审核首次审核首次审核首次审核 在开始初访或换证或升级到新标准之前，客户应完成下列内容： � 内部审核 � 管理评审 � 执行管理体系 完成文件审核和初次访问后，将会进行首次审核，以验证管理体系的详细执行情况。完成审核后，审核组组长 将会出具报告初稿，提供准确、简明和清晰的审核结果记录与结论。报告初稿会送给客户作为参考，为审核过 程的下一步进程做准备。在对审核结果和结论以及任何其他相关信息进行评估的基础上，北京挪华威认证有限 公司将会做出认证决定。在认证决定完成后，将审核报告正式版本发给客户。 4.8 Audit Findings A condition that does not fulfill the requirement is defined as non-conformity. Observations, opportunity for improvement and note-worthy effort are reported based on its content and/or degree found. 4.8 审核结果审核结果审核结果审核结果 不满足要求的情况被视为不符合标准要求。基于其内容和/或所观察到的程度对观察结果、改进机会和值得注 意的地方进行报告。 4.9 Corrective Action and Follow Up The Customer shall respond in writing to non-conformities by detailing corrective action to non-conformities in accordance with audit report instructions. The audit team leader will verify the corrective action by reviewing documentation or by a follow-up visit within ninety (90) days. 4.9 纠正措施和跟踪措施纠正措施和跟踪措施纠正措施和跟踪措施纠正措施和跟踪措施 客户应按照审核报告的指导，书面提供对不符合要求之处的详细纠正措施。审核组组长将通过审核文件或在九 十（90）天内进行跟踪访问来对纠正措施进行验证。 4.10 Certificate of Conformity Upon completion of a satisfactory initial audit process, DNV will issue a Management System Certificate of Conformity to the Customer. The Certificate is valid for three years counted from the formal completion of the review process. The Certificate of Conformity contains the following information: � Name of organization certified � Locations certified � Applicable Management System Standards � Activity, product or service range to be covered by Certification � Initial certification date � Issue date � Period of validity � Certificate number Expired Certificate of Conformity shall be destroyed, or returned to DNV. 4.10 符合性符合性符合性符合性证书证书证书证书 圆满完成首次审核过程后，北京挪华威认证有限公司将把一张管理体系的符合性证书颁发给客户。证书自审核 过程正式完成后三年内有效。 符合性证书包含下列信息： � 被认证的机构名称 DNV 认证服务说明 Page 10/22 � 被认证的场所 � 适用的管理体系标准 � 认证包括的活动、产品或服务范围 � 首次认证日期 � 证书颁发日期 � 有效期 � 证书编号 过期的符合性证书应销毁或返还给北京挪华威认证有限公司。 DNV 认证服务说明 Page 11/22 5.0 Maintaining the Certificate of Conformity Periodical Audits are normally carried out every 6 month or annually according to agreement and in accordance with accreditation requirements for a specific standard. The date of the first periodical audit shall not be more than 12month from the last day of the initial audit (If exceed 12month, the certificate would be suspended). The holder of the Certificate of Conformity is required to maintain the management system documentation. 5.0 符合性符合性符合性符合性证书的保持证书的保持证书的保持证书的保持 根据协议和特定标准的认可要求，定期审核通常每隔六个月或一年进行一次。 首次定期审核的日期不应超过首次审核的最后一天十二个月（如果超过十二个月，证书将被暂停）。 要求符合性证书持有者保持管理体系文件。 5.1 Extension or Reduction of Certification Scope When an extension or reduction of certification scope is requested by the customer, DNV will prepare a revised Quotation and Agreement reflecting