Job n°: CN/SHA-5728A Report date: Mar. 1, 2012 Visit Type: Surveillance Visit n°: V2 CONFIDENTIAL Doc name: GS0304 Issue n°: 10 Page n°: 1 of 5 Management System Certification Audit Summary Report 管理体系认证审核总结报告 Organization: 公司名称 Shanghai Nanzi Science and Technology Co., Ltd./ Nanzi Electric Power Automation System Co., Ltd. 上海南自科技股份有限公司/上海南自电力自动化系统上海南自电力自动化系统有限公司有限公司 Address: 公司地址 Building 26, Universal Software Park, No. 879, Zhongjiang Road, Shanghai, P.R. China 中国上海市中江路879弄天地软件园26号楼 Standard(s): 审核标准 ISO9001:2008 Accreditation Body(s): UKAS 认可机构 Representative: 公司代表 Mr. Xu Hao 徐浩 先生 Site(s) audited: 审核地点 Same as address 同上 Date(s) of audit(s): 审核日期 Mar. 1, 2012 2012年3月1日 EAC Code: EAC代码 19 NACE Code: NACE代码 31.20 Lead auditor: 审核组长 Ms. Holly Chen 陈虹 女士 Additional team member(s): 审核组其他成员 Mr. Neil Lin (T/L) 林俊国 先生 This report is confidential and distribution is limited to the audit team, client representative and the SGS office. 这份报告是保密的这份报告是保密的，，派发仅限于审核组派发仅限于审核组，，客户代表和SGS办公室办公室。。 1. Audit objectives 审核目的 The objectives of this audit were: 本次审核目的是： to confirm that the management system conforms with all the requirements of the audit standard; 确认管理体系符合审核标准的所有要求； to confirm that the organization has effectively implemented the planned management system; 确认组织有效地策划并实施管理体系； to confirm that the management system is capable of achieving the organization’s policy objectives. 确认管理体系能够达成组织的方针目标。 2. Scope of certification 认证范围 Design, manufacture, installation management of electric power automation control systems 电力自动化控制系统的设计电力自动化控制系统的设计、、生产生产、、安装管理 Has this scope been amended as a result of this audit? Yes 是 No 否 本次审核确认范围是否更改？ Job n°: CN/SHA-5728A Report date: Mar. 1, 2012 Visit Type: Surveillance Visit n°: V2 CONFIDENTIAL Doc name: GS0304 Issue n°: 10 Page n°: 2 of 5 This is a multi-site audit and an Appendix listing all relevant sites and/or remote locations has been established (attached) and agreed with the client 这是一个多现场审核，已建立一份附加的清单以列出所有相关现场和/或远程场所，并经客户确认。 Yes 是 No 否 3. Current audit findings and conclusions 本次审核发现点及结论 The audit team conducted a process-based audit focusing on significant aspects/risks/objectives required by the standard(s). The audit methods used were interviews, observation of activities and review of documentation and records. 审核组完成了基于过程的审核，关注审核标准所要求的重要因素/风险/目标。所采用的审核方法包括面谈，观察活动及评审文件和记录。 The structure of the audit was in accordance with the audit plan and audit planning matrix included as annexes to this summary report. 审核的安排依据本份报告所附的审核计划及审核策划矩阵图。 The audit team concludes that the organization has has not established and maintained its management system in line with the requirements of the standard and demonstrated the ability of the system to systematically achieve agreed requirements for products or services within the scope and the organization’s policy and objectives. 审核组结论为该组织 已 未 根据审核标准要求建立和实施管理体系，并展示了有系统地达成认证范围内产品或服务所承诺的要求和达成组织方针目标的系统能力。 Number of nonconformities identified: 识别的不符合项数量 0 Major 严重 0 Minor 轻微 Therefore the audit team recommends that, based on the results of this audit and the system’s demonstrated state of development and maturity, management system certification be: 根据本次审核结果和体系所展现出的发展和成熟的状态，审核组建议管理体系认证结果为： Granted 推荐发证 / Continued 证书继续有效/ Withheld 终止 / Suspended until satisfactory corrective action is completed. 暂停直至采取了有效的纠正措施 4. Previous Audit Results 上一次审核结果 The results of the last audit of this system have been reviewed, in particular to assure appropriate correction and corrective action has been implemented to address any nonconformity identified. This review has concluded that: 已对上一次审核结果进行了评审，特别是确保对所提出的不符合项已采取适当的纠正措施。评审结论为： Any nonconformity identified during previous audits has been corrected and the corrective action continues to be effective. (Refer to Section 6 for details) 上一次审核提出的不符合项已被纠正，并且纠正措施是持续有效的。 (详细信息参考第六部分) The management system has not adequately addressed nonconformity identified during previous audit activities and the specific issue has been re-defined in the nonconformity section of this report. 管理体系对于上一次审核提出的不符合项没有充分地解决，这一问题在本次审核报告的不符合项部分已被再次提出。 5. Audit Findings 审核发现点 Job n°: CN/SHA-5728A Report date: Mar. 1, 2012 Visit Type: Surveillance Visit n°: V2 CONFIDENTIAL Doc name: GS0304 Issue n°: 10 Page n°: 3 of 5 The audit team conducted a process-based audit focusing on significant aspects/risks/objectives required by the standard(s). The audit methods used were interviews, observation of activities and review of documentation and records. 审核组完成了基于过程的审核，关注审核标准所要求的重要因素/风险/目标。所采用的审核方法包括面谈，观察活动及评审文件和记录。 The management system documentation demonstrated conformity with the requirements Yes是 No否of the audit standard and provided sufficient structure to support implementation and maintenance of the management system. 管理体系文件展现出和审核标准是相符合的， 并且提供了充分的架构以支持管理体系的实施和维护。 The organization has demonstrated effective implementation and maintenance / Yes是 No否improvement of its management system.组织的管理体系在有效地实施、维护及改善中。 The organization has demonstrated the establishment and tracking of appropriate key Yes是 No否performance objectives and targets and monitored progress towards their achievement. 组织建立并跟踪适当的关键业绩目标及指标，并且对达成状况进行监控。 The internal audit program has been fully implemented and demonstrates effectiveness Yes是 No否as a tool for maintaining and improving the management system. 内部审核被全面实施，成为维护及改善管理体系的有效工具。 The management review process demonstrated capability to ensure the continuing Yes 是 No否suitability, adequacy, effectiveness of the management system. 管理评审过程能够确保组织管理体系持续的适宜性、充分性和有效性。 Throughout the audit process, the management system demonstrated overall Yes 是 No否conformance with the requirements of the audit standard. 整个审核过程显示，组织的管理体系与审核标准的要求总体上是符合的。 Certification claims are accurate and in accordance with SGS guidance N/A 不适用 Yes是 No否 认证声明是准确的并且与SGS的指南相符合。 6. Significant Audit Trails Followed 主要审核思路 The specific processes, activities and functions reviewed are detailed in the Audit Planning Matrix and the Audit Plan. In performing the audit, various audit trails and linkages were developed, including the following primary audit trails, followed throughout。 经评审过的特定的过程、活动和功能详细记录在审核策划矩阵图和审核计划上。在本次审核中，多种的审核思路及贯穿方法被采用，包括以下所记录的主要审核点。 • Relating to Previous Audit Results: 上次审核结果的跟踪，如不符合项的验证情况 No CAR was raised at last audit. • Relating to this Audit 本次审核的结果，如不符合项等。 No CAR was raised during this audit. • Relating to Client Proposed Action to Address Minor Non-Conformances Raised at this Audit 针对本次审核提出的不符合项，客户建议采取的措施。 N/A
