9101-Form-5-14-Feb-2022 AS 9101 表格 5 – 审计报告 Audit Report

9101FORM5:AUDITREPORTAUDITTEAM21AuditTeamLeader:22AuditTeamMembers:23Observers/Translators/TechnicalExperts:9101FORM514FEB202294^4-FORM^-Al^PRBPORT-AUDITDETAILSAuditObjectives:AuditScope:RequirementsDeterminedasNotApplicable:Justification:PROCESSEFFECTIVENESSASSESSMENTREPORTSPEARs36TotalNumberofPEARsissuedduringtheaudit:ProcessEffectivenessLevelResults:Level1:Level2:Level3:Level4:Level5:AUDITCONCLUSIONSAuditSummaryKeyIssues/ConcernsRequiringTopManagementAttentionStrengthsandGoodPracticesOpportunitiesforImprovement9101FORM514FEB202294^4-FORM^-Al^PRBPORT-46AGREEDFOLLOW-UPARRANGEMENTS47AUDITTEAMLEADERRECOMMENDSBasedontheStage2AuditResults:InitialcertificationsubjecttoclosureofallNCRsifapplicable口InitialcertificationnotrecommendedBasedontheSurveillanceAuditResults:口Continuedcertificationsubjecttore-establishmentofconformanceforassociatedNCRsifapplicableBasedontheRecertificationAuditResults:RecertificationsubjecttoclosureofallNCRsifapplicableBasedontheSpecialAuditResults:Continuedcertificationofexistingscopesubjecttore-establishmentofconformanceforassociatedNCRsifapplicable口CertificationofrevisedscopesubjecttoclosureofallNCRsifapplicableTransferofcertificationsubjecttoclosureofallNCRsifapplicableBasedonanyauditresult:SuspensionofcertificationWithdrawalofcertificationDISCLAIMERSTATEMENTThisauditwasconductedbasedonasampleoftheavailableinformation.9101FORM514FEB20229101FORM5:AUDITREPORT9101FORM514FEB20229101FORM5:AUDITREPORT9101FORM514FEB202294^4-FORM^-Al^PRBPORT-NOTE:Thecompletenessofthisformmaybesupplementedbytheuseofattachmentstoprovidefurtherdetailedinformation.Whenattachmentsareprovidedtherespectiveboxontheformshoulddescribetheinformationinsummaryformatandthenrefertotherespectiveattachment.Itisnotpermissibletosimplysayseeattached*.AllinformationisenteredintotheOASISdatabaseinaccordancewith9104/

1.9101FORM514FEB20221CBName:AUDITREPORT2mg3AuditType:Stage2口Surveillance口Recertification口Special口ReasonforSpecialAudit:4AuditDates:5AuditDuration:6AuditReportNumber:7IssueDate:On-site:Off-site:ORGANIZATION8Name:9ContactDetailsAddress:Representative:Title:Telephone:E-mail:OASISAdministrator:10CertificationStructure:SingleSite口Multi-Site口11PerformanceBasedSurveillance/RecertificationProcessPBS/RP:Yes口No□12Comments:13InformationandCommunicationTechnologyICT:Yes口No□14Comments:^OrganizationCertificationAnalysisProcessOCAPReviewed:Yes口No□16VerifyRiskLevel:口Low口Medium口High17RiskLevelChanged:Yes□No□18Comments:19CertificateNumber:20ExpirationDate:NONCONFORMITYREPORTSNCRs33TotalNumberofNCRsissuedduringtheaudit:34MajorNCRs:35MinorNCRs:42PreviousAuditNonconformityStatusNCRsIssuedduringlastauditNCRsClosedNCRsOpen43VerificationofEffectivenessofCorrectiveActionsTaken:44OASISDATAOINSiteCentralFunctionNumberofEmployeesAuditTimeAuditedYesNoYesNo□□□□□□□□45SIGNIFICANTCHANGESsincelastvisitItemNumberBriefDescriptionORGANIZATIONCONFIRMATIONUponmutualagreementwithcustomers/potentialcustomerstheorganizationwillmakeavailableallresultsofthisauditincludingthereportfindingscorrectiveactionschecklistsetc.^OrganizationRepresentative:Date:49AuditTeamLeaderApproval:Date:FORM5:AUDITREPORTINSTRUCTIONSItem#Description1EnterthenameoftheCertificationBodyCBconductingtheaudit.2UsetheIAQGlogoasdefaultorentertheCBlogooptional.3Identifythetypeofauditbyselectingtheappropriateboxi.e.Stage2SurveillanceRecertificationSpecial.ForSpecialaudits.includethereasonfortheaudit[e.g.increaseorreductionofcertificationscopeincreaseorreductionofsiteschangeoflocationsinterestedpartyrequesttransferfromoneCBtoanothershortnoticeaudit]togetherwithappropriatedetailtoreflectthetechnicaland/orgeographicalchangesthatimpactsthecertificationscopeorhelpexplainthecircumstances.NOTE:IfaSpecialauditisincludedaspartofaSurveillanceorRecertificationauditthenindicatebycheckingeachrespectivebox.4Entertheauditdates.Ifmorethanonedayincludetheauditstartandfinishdates.5Enterthetotalnumberofoff-site/on-siteauditdays.6Entertheauditreportnumber.7Enterthedatethattheauditreportwasissued.8Enterorganizationnameandaddress.9Entercontactdetailsoftheorganizationbeingaudited[i.e.telephonenumbere-mailaddressnameandtitleoftheorganizationrepresentativepointofcontactOnlineAerospaceSupplierInformationSystemOASISDatabaseAdministratorname].10Selectcertificationstructurei.e.SingleSiteMulti-Site.11SelectPerformanceBasedSurveillance/RecertificationProcessPBS/RP;indicate“Yes”or“No”.12EnteranyPBS/RPsupportingcomments.13SelectInformationandCommunicationTechnologyICT;indicate“Yesor“No”.14EnteranyICTsupportingcomments.15IndicatethattheOrganizationCertificationAnalysisProcessOCAPhasbeenreviewed“Yes”or“No”.16VerifytheidentifiedOCAPriskleveli.e.LowMediumHigh.17Indicateiftherisklevelhaschanged“Yesor“No”.18EnteranyOCAPsupportingcommentsincludinganyreasonsforchangetotherisklevelandanyimpactonaudittime.19Enterthereferencenumberofthecertificateifapplicableatthetimethereportisissued.20Entertheexpirydateofthecertificateasapplicable.21Enterthenameoftheauditteamleader.22Enterthenamesoftheauditteammembers.23Enterthenamesofanyobservers[i.e.thosewhoaccompanytheauditteambutdonotactaspartofitwitnessestrainees]technicalexpertsandappointedtranslatorswhoactedasaninterfacetosupportdifferinglanguagesbetweentheauditorsandorganizationsrepresentatives.24SelecttheAerospaceQualityManagementSystemAQMSstandardi.e.910091109120usedfortheauditcriteriaandentertherevisionlevel.25Identifyiftheauditisintegrated“YesorHNosee9104/1clause

8.

5.

2.26IftheauditisintegratedconfirmthelevelofQMSintegration.27EnteranyIMSsupportingcomments.28Enterastatementtoconfirmthatthedocumentedinformationhasbeenestablishedandmaintainedasrequiredby9100-seriesstandardsclause

4.

4.

2.29Enterastatementregardingtheauditobjectivesasapplicable[e.g.determinationoftheconformityoftheclientsQualityManagementSystemQMStodefinedauditcriteria;evaluationofthecapabilityoftheQMStoensurecompliancewithstatutoryregulatoryandcontractrequirements;evaluationoftheeffectivenessoftheQMSinmeetingspecifiedobjectives;identificationofareasforpotentialimprovementoftheQMS].30Entertheauditscopeincludingtheextentandboundariesoftheaudite.g.physicallocationsorganizationunitsactivities/processestobeaudited.31Enterinformationontheclausesoftheapplicablestandardsi.e.910091109120thataredeterminedasnotapplicable*ifany.32Enterinformationtosupportthejustificationofclausesnotapplicable1asrequiredby9100-seriesstandardsclause

4.3ifapplicable.33EnterthetotalnumberofNCRsissuedduringtheaudit;thisshouldequalthesumofthemajorandminorNCRs.34EnterthenumberofmajorNCRsissuedduringtheaudit.35EnterthenumberofminorNCRsissuedduringtheaudit.36EnterthetotalnumberofPEARscompletedduringtheaudit.37EnterthenumberofPEARscompletedforeachlevelofeffectiveness.38Enterasummaryoftheauditresultsincludingcommentsasapplicablerelatedto:TheeffectivenessoftheQMSandtheorganizationsapproachtocontinualimprovement.ThecapabilityoftheQMStomeetapplicablerequirementsandexpectedoutcomes.DeviationfromtheauditplanandtheirreasonsSignificantissuesimpactingontheauditprogram.Unresolvedissuesifidentified.Appropriateuseofthecertificationdocumentsandmarksifapplicable.Effectivenessoftheinternalauditandmanagementreviewprocesses.Conclusionontheappropriatenessofthecertificationscope.Confirmationthattheauditobjectiveshavebeenfulfilled.39Summarizethekeyissues/concernsfromtheauditthatrequiretopmanagementattention.•Provideabriefsummarytohighlightthekeyissues/concernse.g.majornonconformitiesineffectiveprocesses.40Summarizeareasofstrengthsandgoodpractices;thisisnotmerelyidentifyingthoseareasofconformitywithcriteriabutanopportunityfortheauditteamleadertoidentifythoseprocessesthatareparticularlywellcontrolledandeffectiveand/orcanrepresentgoodpractice.NOTE:Visibilityoftheseitemscouldpotentiallybenefittheorganizationifsharedanddeployedasappropriateelsewherewithintheorganization.41Summarizeopportunitiesforimprovementi.e.aconformingsituationthatcouldbeimproved.42EnterthetotalnumberofNCRsissuedatthepreviousauditifapplicabletogetherwithabreakdownofthenumbersofNCRsclosedand/orremainingopenincaseofSurve川ance.43Provideasummarystatementregardingtheverificationofeffectivenessofcorrectiveactionstakenfornonconformitiesidentifiedduringthepreviousauditifapplicable.IfnotapplicableenterUN/An.44PopulatethetablewiththerelevantinformationtosupporttheOASISdatabaseuploadaddmorerowsasneeded.Thenumberofemployeesisbasedonallemployeesinvolvedinthescopeofcertification.45Enterinformationonsignificantchangessincethelastvisite.g.keychangestotheorganizationand/orfacilitieschangestotheQMSchangestocustomerstatutoryregulatoryrequirementschangestothescopeofcertificationchangestothelevelofQMSintegration.InthecaseofchangestotheorganizationsQMSindicatetheapplicableclausesofthe9100/9110/9120standardandidentifytheorganizationsassociateddocumentation.46Summarizethearrangementsagreeduponbetweentheauditteamleaderandorganizationsrepresentativerelatingtoplannedauditfollow-upasapplicablee.g.containmentcorrectiveactionandNCRclosureplusanyotheractivitiesassociatedtoauditcloseout.47Selecttheappropriateboxesrelatingtotherecommendationforcertificationstatusbasedontheauditresultandappropriatetotherespectiveaudittype.IfaSpecialauditisincludedaspartofaSurveillanceorRecertificationauditthentherecommendationforcertificationshouldbeindicatedforeachaudittypebycheckingeachrespectivebox.NOTE1:ForSurveillanceorRecertificationauditstherecommendationforcertificationisrelatedtoanorganizationsexistingscope.NOTE2:ForSpecialauditstherecommendationforcertificationcanberelatedtoanorganizationsexistingorrevisedscope.48Enterthenameoftheorganizationsrepresentativeanddate.49Enterthenameoftheauditteamleaderanddatetorecordfinalapprovalofthereport.。