[ShenCai FeiYang] Key Points to Focus on During On-site Inspection Work

1. Whether the audit team is composed of the planned personnel (such as whether the number of audit team members matches the plan, and whether there is any impersonation);

2. Whether the on-site audit is conducted according to the planned schedule (including whether the team actually arrived as planned, audit duration, start and end times, etc.), whether audit team members clocked in and out as required, and whether the provided transportation information is reasonable and truthful;

3. Whether the audit is conducted according to the planned process (such as whether the opening and closing meetings are held on time as planned, and whether the corresponding departments are audited within the scheduled time according to the audit plan); whether changes to the audit plan comply with regulations;

4. Whether the audit team truthfully records the personnel involved in the audit implementation, such as whether the personnel on the opening/closing sign-in sheets match the actual attendees, and whether the audit records involving accompanying personnel, department heads, or others are consistent with reality;

5. Other violations (such as whether auditors provide consulting to the audited organization).

From the inspection results notifications of the certification market supervision departments, it is known that many certification audit violations stem from the above situations.

In response to the above, firstly, the on-site audit planning must be standardized and reasonable, to avoid situations where on-site audits cannot be conducted as planned due to planning issues;

secondly, auditors should strengthen self-discipline and strictly conduct on-site audits according to the planned time and arrangements, to avoid situations such as being late, leaving early, or conducting audits not according to procedures, which would invalidate the audit;

furthermore, auditors should avoid conducting on-site consulting due to relatively harmonious relationships with the audited party, and even if the audit atmosphere is harmonious, no unprincipled compromises are allowed.

taking the quality management system as an example, the key focus includes evidence in audit records for the following:

1. Whether the audited party's production and/or service processes are operating normally;

2. Control status of key sites and key processes of the audited party;

3. Whether monitoring equipment is fully inspected as required, validity of monitoring equipment calibration certificates; traceability basis for self-calibration; maintenance of calibration evidence, etc.;

4. Whether special equipment is identified, fully inspected as required, validity of inspection and calibration reports, etc.;

5. Validity of the audited party's professional personnel qualifications;

6. Evidence of labor or service relationships between the audited party and its personnel;

7. Whether nonconformities found during on-site audits are issued with nonconformity reports;

8. Nonconformity rectification and verification status;

9. Whether the audit conclusions are accurate, etc. Among these, the certification audit inspection departments are relatively professional and sensitive regarding monitoring equipment, special equipment, and personnel qualifications, which are key contents of on-site inspections.

In response to the above, Auditors should strengthen their study of relevant laws, regulations, and standards to improve professional competence and avoid audit flaws or even invalid audits.

1. Whether the on-site audit implementation plan is retained;

2. Whether records and sign-in sheets of the opening and closing meetings of the on-site audit are retained;

3. Whether on-site audit reports and nonconformity reports are retained;

4. Whether the effectiveness of nonconformity rectifications is verified;

5. Whether the certified organization's use of certification certificates and marks is in violation (such as whether the use of certification certificates and marks during suspension periods is compliant);

6. Whether the audit conclusions are accurate and complete;

7. The above audit retention materials involve the signature area; is it the person's own signature, etc.

In response to the above, Auditors should maintain a sense of responsibility and strictly implement the retention and signing of relevant materials and records in accordance with relevant laws, regulations, standards, and operational document requirements.