ISO14001訓(xùn)練稽核員培訓(xùn)課件

ISO14001內(nèi)部環(huán)境稽核員訓(xùn)練補(bǔ)充教材江林2007/06/18ISO14001內(nèi)部環(huán)境稽核員訓(xùn)練補(bǔ)充教材1DETAILEDPROCEDURES

詳細(xì)的流程Detailedproceduresareoftenreferredtoasworkinstructions詳細(xì)的流程通常是指工作指令Skillsandknowledgenecessary必須的技能和知識(shí)detailedprocedures詳細(xì)的流程training訓(xùn)練DETAILEDPROCEDURES

詳細(xì)的流程De2RECORDS記錄Recordsareobjectiveevidencethatdemonstrate:記錄是客觀證據(jù)，用以證明： Environmentmanagemeetstherequirements

環(huán)境管理符合要求 AneffectiveEnvironmentsystemisoperating

有效的環(huán)境系統(tǒng)正在運(yùn)作RECORDS記錄3EnvironmentAUDIT

環(huán)境評(píng)審AsystematicandindependentexaminationtodeterminewhetherEnvironmentactivitiesandrelatedresultscomplywithplannedarrangementsandwhetherthesearrangementsareimplementedeffectivelyandaresuitabletoachieveobjectives係一項(xiàng)系統(tǒng)化及獨(dú)立性之查驗(yàn)，決定各項(xiàng)環(huán)境活動(dòng)與相關(guān)之成果是否與原先籌劃者一致，以及這些籌劃事項(xiàng)是否有效地付諸實(shí)施，且適合於達(dá)成目標(biāo)。

EnvironmentAUDIT

環(huán)境評(píng)審Asy4OBJECTIVEEVIDENCE

客觀證據(jù)Informationwhichcanbeprovedtrue,basedonfactsobtainedthroughobservation,measurement,testoranyothermeans

經(jīng)由觀察、測(cè)量、試驗(yàn)或其他方式而獲得實(shí)的資訊Uninfluencedbyprejudiceorbias

不受情緒或偏見影響Maybestatedor(preferably)documented

可以書面化Canbeverified

能被驗(yàn)證OBJECTIVEEVIDENCE

客觀證據(jù)Informa5SPECIFIEDREQUIREMENTS

指定的要求Contractrequirements 合約要求Companypolicy 公司政策-manuals －手冊(cè)-procedures/workinstructions

－程序／作業(yè)指導(dǎo)書

Environmentstandard 環(huán)境標(biāo)準(zhǔn)Legalrequirements 法規(guī)要求SPECIFIEDREQUIREMENTS

指定的要求6EnvironmentAUDITTYPES

環(huán)境評(píng)審類型1stParty-WEauditingourownsystem(Internal)第一方－組織對(duì)自身進(jìn)行評(píng)審（內(nèi)部評(píng)審）2ndParty-WEauditingoursubcontractor(External)第二方－組織對(duì)分包商進(jìn)行評(píng)審（外部評(píng)審）3rdParty-WEbeingauditedbyaregistrationbody,(SGS)(External)第三方－組織被認(rèn)証機(jī)構(gòu)進(jìn)行評(píng)審，（SGS)(外部評(píng)審）EnvironmentAUDITTYPES

環(huán)境評(píng)審類型7REASONSFOR1STPARTYAUDITS第一方評(píng)審的原因RequirementofISO14001

ISO14001標(biāo)準(zhǔn)的要求Controlmechanismforusebymanagement

管理階層所採(cǎi)用的管制機(jī)制Powerfultoolforcontinuousimprovement through-

持續(xù)改進(jìn)的有力工具經(jīng)由－employeeinvolvement 員工的參與communication 溝通employeeawareness,etc... 員工的認(rèn)知，等等

REASONSFOR1STPARTYAUDITS8REASONSFOR2NDPARTYAUDITS第二方評(píng)審的原因Aidsselectionandgradingofsubcontractors

幫助選擇和評(píng)鑑分包商OnemethodofmeetingISO14001

ISO14001

條款中要求之一種方法確保環(huán)境管理與產(chǎn)品生命周期的結(jié)合保證環(huán)境管理績(jī)效REASONSFOR2NDPARTYAUDITS9REASONSFOR3RDPARTYAUDITS第三方評(píng)審的原因Mayreduceneedfor2ndpartyaudits

可以減少對(duì)第二方評(píng)審的需要Recognitionofconformitytoaninternationalstandard

得到與國(guó)際標(biāo)準(zhǔn)一致性的認(rèn)可Contributestoreductioninavoidablecoststosuppliers

幫助供應(yīng)商減少可避免的費(fèi)用Aidsmarketcompetitiveness

幫助提高市場(chǎng)競(jìng)爭(zhēng)力REASONSFOR3RDPARTYAUDITS10AUDITORATTRIBUTES

評(píng)審員的特質(zhì)Auditorsmustbeflexibleto- 評(píng)審員必須靈活應(yīng)對(duì)-Changingsituations 變化的環(huán)境Differingmanagementstyles 不同的管理風(fēng)格Differingmanagement/employeelevels 不同的管理、員工水準(zhǔn)Auditorsmustbecompetentin- 評(píng)審員必須勝任-Reasoningofnonconformities 解釋不合格事項(xiàng)Evaluatingeffectivenessof 評(píng)價(jià)矯正措施的有效性correctiveactionAUDITORATTRIBUTES

評(píng)審員的特質(zhì)Aud11

SOMEATTRIBUTESOFAGOODAUDITOR優(yōu)秀評(píng)審員應(yīng)具備的素質(zhì)

Objective 客觀Polite禮貌Punctual守時(shí)Practical 實(shí)際Principled有原則Persevering不屈不撓

Industrious勤奮Positive 態(tài)度積極Communicative 健談Prepared 作好準(zhǔn)備Unbiased

不帶偏見Helpful 樂於助人

SOMEATTRIBUTESOFAGOODAUD12THEAUDITLIFECYCLE

評(píng)審模式周期Theauditlifecycleisoftenreferredtoas評(píng)審模式周期通常指

P.E.R.C. Planning 計(jì)劃

Execution 執(zhí)行

Recording 記錄

Closeout 結(jié)案THEAUDITLIFECYCLE

評(píng)審模式周期The13PLANNINGTHEAUDIT

制訂評(píng)審計(jì)劃Determinetheobjective 確定評(píng)審目的Agreethescope 同意評(píng)審範(fàn)圍Nominateateamleader 任命評(píng)審組長(zhǎng)Calculatetheauditduration 計(jì)算評(píng)審持續(xù)時(shí)間Selecttheteam 選擇評(píng)審小組成員Contacttheauditee-agreethedate(s)與被評(píng)審方確定日期Arrangeandholdpreliminarymeeting安排及召開預(yù)備會(huì)議Drawupauditprogramme 擬定評(píng)審綱要 Brieftheteam 簡(jiǎn)要知會(huì)小組成員Preparechecklist 準(zhǔn)備檢查清單PLANNINGTHEAUDIT

制訂評(píng)審計(jì)劃Deter14INFORMATIONAVAILABLE

有用的資料Environmentmanual/procedures 環(huán)境手冊(cè)/程序Managementpriorities,(not3rdparty)管理優(yōu)先順序(非第三方)Environmentproblems,(not3rdparty)環(huán)境問題(非第三方)Previousaudits 以往的評(píng)審Environmentmanageinformation 環(huán)境管理資料Experienceofauditors 評(píng)審員的經(jīng)驗(yàn)Preliminaryvisit 初訪INFORMATIONAVAILABLE

有用的資料15AUDITPURPOSE

評(píng)審目的TocollectobjectiveevidencetopermitaninformedjudgementaboutthestatusandeffectivenessoftheEnvironmentmanagementsystem收集客觀証據(jù)，以便就環(huán)境管理系統(tǒng)的狀況和有效性作出評(píng)審判定

AUDITPURPOSE

評(píng)審目的16CHECKLISTBENEFITS

檢查清單的優(yōu)點(diǎn)Keepsauditobjectivesclear 保持明確的評(píng)審目的Evidenceofauditplanning 策劃評(píng)審的證據(jù)Maintainsauditpaceandcontinuity 持評(píng)審的節(jié)奏和連貫性 Reducesauditorbias 減少評(píng)審員的偏見Reducesworkloadduringaudit 減少評(píng)審過程中的工作量CHECKLISTBENEFITS

檢查清單的優(yōu)點(diǎn)Keep17

CHECKLISTDRAWBACKS

檢查清單的缺點(diǎn)Checkliststendtolosevalueiftheyare:檢查清單可能失去價(jià)值，如它是：Ticklists 判斷清單Questionnaires調(diào)查問卷Preparethemasaidesmemoir上述只能當(dāng)作輔助工具CHECKLISTDRAWBACKS

檢查清單的缺點(diǎn)Ch18CHECKLISTPREPARATION

檢查清單的準(zhǔn)備1.

Convertclausesofthestandardintoquestions

將標(biāo)準(zhǔn)的條款轉(zhuǎn)變?yōu)閱栴}2.UsingthesequestionsandtheEnvironmentmanual

使用以下問題和環(huán)境手冊(cè)planwhattolookatandwhy.i.e.lookfor

策劃要檢查什麼及原因，即要查出什麼considersamplesizes 考慮抽樣的數(shù)量3.Preparechecklist 準(zhǔn)備檢查清單 CHECKLISTPREPARATION

檢查清單的準(zhǔn)備19AUDITEXECUTION

評(píng)審的執(zhí)行Theopeningmeeting

開始會(huì)議Theauditprocess 評(píng)審的過程-Gatheringinformation 收集資料

-Validatingthefindings 確認(rèn)所發(fā)現(xiàn)的事實(shí)-Evaluatingthefindings評(píng)價(jià)所發(fā)現(xiàn)的事實(shí)Theclosingmeeting

結(jié)束會(huì)議AUDITEXECUTION

評(píng)審的執(zhí)行Theopeni20THEOPENINGMEETING

開始會(huì)議Introductions-record 介紹-記錄Objective,Scope, 目的，範(fàn)圍，文件的發(fā)行情況issuestatusofDocumentationReviewauditprogramme 確認(rèn)評(píng)審計(jì)劃Guides 陪同人員Logistics 支援Reportingmethods 報(bào)告的方法Confidentiality 保密Sample 抽樣Restrictions? 限制？Clarification? 澄清？THEOPENINGMEETING

開始會(huì)議Introd21ETHICSOFTHEAUDIT

評(píng)審的規(guī)範(fàn)Enterthearea 步入評(píng)審現(xiàn)場(chǎng)Introductionsbyguide 由陪同人員介紹Explainwhatyouwanttosee 解釋您想看的東西Investigatetothedepthnecessary 必要時(shí)深入檢查Noproblemsfound,moveon 如沒有問題發(fā)現(xiàn)，進(jìn)行下一個(gè)活動(dòng)

Don’tkeeponauditinguntilproblemsarefound 不能在一個(gè)區(qū)域繼續(xù)評(píng)審，直至發(fā)現(xiàn)問題

ETHICSOFTHEAUDIT

評(píng)審的規(guī)範(fàn)Enter22CONTROLOFTHEAUDIT

評(píng)審的控制Checklistisaservantnotamaster 檢查清單只是助手不是主人Ifpotentialaudittrailsappear,decide: 如果出現(xiàn)某些情況，應(yīng)決定：

-disregard 不管它-noteforlater 記錄下來，留待事後追查

-followupimmediately 立即追蹤Mightaffectthesamplesize

或許影響抽樣的數(shù)量Mightaffecttheauditprogramme

或許影響評(píng)審計(jì)劃CONTROLOFTHEAUDIT

評(píng)審的控制Chec23OPENQUESTIONS

開放性問題Who(doesit) 誰(shuí)負(fù)責(zé)What(isdone) 做了什麼Where(isitdone) 在那里完成Why(isitdone) 為什麼要做When(doesitgetdone) 何時(shí)完成How(isitdone;oftenisitdone) 怎樣完成，多久完成

Showme 請(qǐng)出示OPENQUESTIONS

開放性問題Who(does24QUESTIONS

提問Don’twastetimebyasking: 不要浪費(fèi)時(shí)間於：unrelatedquestions 不相關(guān)的問題rhetoricalquestions 誇張的問題dumbquestions 愚蠢的問題toomanyclosedquestions 太多封閉式問題Doaskopenquestions 要使用開放式提問QUESTIONS

提問Don’twastetimeb25NOTETAKING

筆記Recordingtheobjectiveevidence:記錄客觀証據(jù)：Admissiblestatements 負(fù)責(zé)人的陳述 Documentnumbersandissue/revisionlevels

文件編號(hào)和發(fā)行／版本級(jí)別Identifiers

標(biāo)識(shí)

Departments 部門 Titlesofauditees(withnamesonlyifnecessary) 被評(píng)審方的職稱（僅在需要時(shí)記錄姓名） NOTETAKING

筆記Recordingtheob26NOTETAKING

筆記Notescouldbeusedasreferencefor: 記錄能作為以下的參考： Immediateinvestigation 即時(shí)的調(diào)查 Investigationlater 日後調(diào)查 Usebyacolleague 供其他同事使用 Subsequentaudits 供日後的評(píng)審使用Notesmustthereforebe: 因此記錄必須： Legible 清晰易讀 Retrievable 隨時(shí)能被索閱NOTETAKING

筆記Notescouldbeu27NOTETAKING

筆記Notestakenduringanauditarearecordof: 評(píng)審過程中的筆記是用作記錄以下各項(xiàng)：

Theauditsampletaken 評(píng)審時(shí)抽取的樣品

Whatwasreported 所收到的報(bào)告 Whatwasobserved 所觀察到事情Notesmaybereferencedbysubsequentauditors 筆記可被其他評(píng)審員使用 NOTETAKING

筆記Notestakenduri28VERIFICATION

驗(yàn)證Randombasis 隨機(jī)抽樣 Chosenbytheauditor 由評(píng)審員來抽樣Permissionsought 獲準(zhǔn)尋找Establishandagreethefacts 建立及確認(rèn)事實(shí)Remainuninvolved 保持客觀

Alwaysbepolite 保持禮貌VERIFICATION

驗(yàn)證Randombasis 29NONCONFORMITY

不符合事項(xiàng)Nonfulfillmentofaspecifiedrequirement 未能滿足標(biāo)準(zhǔn)規(guī)定的要求

Specifiedrequirements: 標(biāo)準(zhǔn)規(guī)定的要求-conditionsofcontract 合約條款-Environmentstandard 環(huán)境標(biāo)準(zhǔn)-Environmentmanual 環(huán)境手冊(cè)-procedures 程序-legalrequirements 法律的規(guī)定

NONCONFORMITY

不符合事項(xiàng)Nonfulfill30NONCONFORMITY

不符合事項(xiàng)1. ManualisnotconformingwiththeEnvironmentstandard(intent)

手冊(cè)與環(huán)境標(biāo)準(zhǔn)不符合 （目的）2. Practiceisnotinlinewiththeintent(implementation)

書面程序沒有按程序所述付諸實(shí)行（實(shí)施）3. Practiceisnoteffective(effectiveness)

書面程序沒有有效地實(shí)行（效果）NONCONFORMITY

不符合事項(xiàng)31ESTABLISHTHEFACTS

確認(rèn)事實(shí)Gethelpfromtheauditee 獲得被評(píng)審方的幫助Discussconcerns 討論關(guān)注的項(xiàng)目Verifythefindings 確認(rèn)所發(fā)現(xiàn)的事實(shí)Recordalltheevidence:

記錄所有証據(jù)： -exactobservation 與觀察相符合-where,what,etc…所發(fā)現(xiàn)的地點(diǎn)、事物等等Establishwhyanonconformityorotherwise 確認(rèn)不符合事項(xiàng)原因Statewho(ifrelevant)-preferablybyjobtitle

註明由誰(shuí)引起（如果相關(guān)）－最好是職稱

ESTABLISHTHEFACTS

確認(rèn)事實(shí)Gethe32ESTABLISHTHEFACTS

確認(rèn)事實(shí)Useauditee’sterminology 使用被評(píng)審方的術(shù)語(yǔ)Makeitretrievable

能隨時(shí)被索閱Makeithelpful 使其有用Makeitconcise 使其簡(jiǎn)潔扼要ESTABLISHTHEFACTS

確認(rèn)事實(shí)Useau33CONSIDERTHESERIOUSNESS

嚴(yán)重性的考慮Twoquestionstobeanswered-兩個(gè)需要回答的問題1.Whatcouldgowrongifthenonconformityremainsuncorrected

如果不符合事項(xiàng)未被矯正，那會(huì)出現(xiàn)什麼問題2.Whatisthelikelihoodofsuchathinggoingwrong

出現(xiàn)那些問題的機(jī)會(huì)有多大CONSIDERTHESERIOUSNESS

嚴(yán)重性的考34ETHICSOFAUDITING

評(píng)審的規(guī)範(fàn)Positiveapproach 積極態(tài)度Aimtohelpimprovesystem 目的在於幫助改善系統(tǒng)Don’tlookforblame 不要以責(zé)備為最終目的Aididentificationofsolutions 幫助確認(rèn)解決問題的途徑 ETHICSOFAUDITING

評(píng)審的規(guī)範(fàn)35AUDITEEREACTIONS

被評(píng)審方的反應(yīng)Enlistinghelp 謀求幫助 Continualchallenge 不斷挑戰(zhàn)

Volunteeredinformation 主動(dòng)提供資料Diversionaryortimewastingtactics 轉(zhuǎn)移注意力或浪費(fèi)時(shí)間戰(zhàn)術(shù) Internalconflicts

內(nèi)部衝突Authority

權(quán)威性Antagonism 敵對(duì)情緒

AUDITEEREACTIONS

被評(píng)審方的反應(yīng)Enlis36REVIEWMEETING

檢討會(huì)議Thereviewmeeting,normally15to20minutesinduration,iscarriedoutattheendofeachauditingdaywitheitherthemanagementrepresentativeorguidesto:每個(gè)評(píng)審日結(jié)束後，通常會(huì)與管理者代表陪同員召開檢討會(huì)議，需時(shí)１５至２０分鐘，目的是：Reviewanynonconformities 檢討不符合事項(xiàng) Resolveanyproblems 解決問題Reportauditprogress 報(bào)告評(píng)審的進(jìn)展Clarifyanymisunderstandings 澄清誤解Obtainsignaturestoanynonconformities獲得不符合事項(xiàng)的確認(rèn)簽字REVIEWMEETING

檢討會(huì)議Thereview37SYSTEMEFFECTIVENESS

系統(tǒng)的有效性Conclusionstobedrawnfromall(positiveandnegative)findings在所發(fā)現(xiàn)事實(shí)（正面或負(fù)面）基礎(chǔ)上作結(jié)論Major/Minornonconformities 嚴(yán)重/輕微不符合事項(xiàng)Systemintent 系統(tǒng)目的 Systemimplementation 系統(tǒng)的實(shí)施

Systemeffectiveness 系統(tǒng)的有效性Strengthsandweaknessesofdepartments

各部門的強(qiáng)弱點(diǎn)SYSTEMEFFECTIVENESS

系統(tǒng)的有效性Con38SYSTEMEFFECTIVENESS

系統(tǒng)的有效性Assessmentofthesystemeffectivenessalsoconsiders-評(píng)審系統(tǒng)的有效性時(shí)，還應(yīng)考慮：Anyfailures,internalandexternal

內(nèi)部和外部失敗Auditresults 評(píng)審結(jié)果 Trends 趨勢(shì) Correctiveandpreventiveactions

矯正及預(yù)防措施 SYSTEMEFFECTIVENESS

系統(tǒng)的有效性Ass39SUMMARYSTATEMENT

綜合陳述Informedjudgementoftheauditteam 評(píng)審小組的評(píng)審總結(jié)Basedonwholeaudit 以整個(gè)評(píng)審為依據(jù)Assessmentofintent 對(duì)目的的評(píng)審Assessmentofimplementation 對(duì)實(shí)施的評(píng)審 Assessmentofeffectiveness 對(duì)有效性的評(píng)審 Reportsonstrongandweakdepartments 報(bào)告-優(yōu)秀部門和較差的部門 Reportsonstrongandweakstandardelements 報(bào)告-優(yōu)秀和較差的要素

SUMMARYSTATEMENT

綜合陳述Informed40AUDITORFOLLOW-UPOPTIONS評(píng)審員可選擇的追蹤方式Evaluationofsubmittedcorrectiveactions 對(duì)已提交的矯正措施的評(píng)估

Evaluationbycontinuingassessmentvisit 通過監(jiān)督評(píng)審來作評(píng)估

Partialre-audit 部份複審Fullre-audit 全面複審AUDITORFOLLOW-UPOPTIONS評(píng)審員可選41FOLLOW-UPACTION追蹤過程Auditeereceivesnonconformityreport 被評(píng)審方收到不符合事項(xiàng)報(bào)告Correctiveactionplanprepared 準(zhǔn)備矯正措施計(jì)劃Submitplan(whereappropriate)toauditor 提交計(jì)劃(如適用)予評(píng)審員Auditorevaluatesresponse 評(píng)審員評(píng)審被評(píng)審方的回應(yīng)Auditeeimplementsplan 被評(píng)審方實(shí)施該計(jì)劃Auditeeevaluateseffectiveness 被評(píng)審方評(píng)估有效性Auditeerevisesplanifnecessary 如需要，被評(píng)審方修改該計(jì)劃Auditeedocumentsthechanges 被評(píng)審方將改動(dòng)之處書面化Auditorverifiesimplementation 評(píng)審員驗(yàn)証實(shí)施情況和有效性andeffectivenessRecordsmadeofallactionstaken記錄所有措施(byauditorandauditee)（評(píng)審員或被評(píng)審方）FOLLOW-UPACTION追蹤過程Auditeere42ISO14001內(nèi)部環(huán)境稽核員訓(xùn)練補(bǔ)充教材江林2007/06/18ISO14001內(nèi)部環(huán)境稽核員訓(xùn)練補(bǔ)充教材43DETAILEDPROCEDURES

詳細(xì)的流程Detailedproceduresareoftenreferredtoasworkinstructions詳細(xì)的流程通常是指工作指令Skillsandknowledgenecessary必須的技能和知識(shí)detailedprocedures詳細(xì)的流程training訓(xùn)練DETAILEDPROCEDURES

詳細(xì)的流程De44RECORDS記錄Recordsareobjectiveevidencethatdemonstrate:記錄是客觀證據(jù)，用以證明： Environmentmanagemeetstherequirements

環(huán)境管理符合要求 AneffectiveEnvironmentsystemisoperating

有效的環(huán)境系統(tǒng)正在運(yùn)作RECORDS記錄45EnvironmentAUDIT

環(huán)境評(píng)審AsystematicandindependentexaminationtodeterminewhetherEnvironmentactivitiesandrelatedresultscomplywithplannedarrangementsandwhetherthesearrangementsareimplementedeffectivelyandaresuitabletoachieveobjectives係一項(xiàng)系統(tǒng)化及獨(dú)立性之查驗(yàn)，決定各項(xiàng)環(huán)境活動(dòng)與相關(guān)之成果是否與原先籌劃者一致，以及這些籌劃事項(xiàng)是否有效地付諸實(shí)施，且適合於達(dá)成目標(biāo)。

EnvironmentAUDIT

環(huán)境評(píng)審Asy46OBJECTIVEEVIDENCE

客觀證據(jù)Informationwhichcanbeprovedtrue,basedonfactsobtainedthroughobservation,measurement,testoranyothermeans

經(jīng)由觀察、測(cè)量、試驗(yàn)或其他方式而獲得實(shí)的資訊Uninfluencedbyprejudiceorbias

不受情緒或偏見影響Maybestatedor(preferably)documented

可以書面化Canbeverified

能被驗(yàn)證OBJECTIVEEVIDENCE

客觀證據(jù)Informa47SPECIFIEDREQUIREMENTS

指定的要求Contractrequirements 合約要求Companypolicy 公司政策-manuals －手冊(cè)-procedures/workinstructions

－程序／作業(yè)指導(dǎo)書

Environmentstandard 環(huán)境標(biāo)準(zhǔn)Legalrequirements 法規(guī)要求SPECIFIEDREQUIREMENTS

指定的要求48EnvironmentAUDITTYPES

環(huán)境評(píng)審類型1stParty-WEauditingourownsystem(Internal)第一方－組織對(duì)自身進(jìn)行評(píng)審（內(nèi)部評(píng)審）2ndParty-WEauditingoursubcontractor(External)第二方－組織對(duì)分包商進(jìn)行評(píng)審（外部評(píng)審）3rdParty-WEbeingauditedbyaregistrationbody,(SGS)(External)第三方－組織被認(rèn)証機(jī)構(gòu)進(jìn)行評(píng)審，（SGS)(外部評(píng)審）EnvironmentAUDITTYPES

環(huán)境評(píng)審類型49REASONSFOR1STPARTYAUDITS第一方評(píng)審的原因RequirementofISO14001

ISO14001標(biāo)準(zhǔn)的要求Controlmechanismforusebymanagement

管理階層所採(cǎi)用的管制機(jī)制Powerfultoolforcontinuousimprovement through-

持續(xù)改進(jìn)的有力工具經(jīng)由－employeeinvolvement 員工的參與communication 溝通employeeawareness,etc... 員工的認(rèn)知，等等

REASONSFOR1STPARTYAUDITS50REASONSFOR2NDPARTYAUDITS第二方評(píng)審的原因Aidsselectionandgradingofsubcontractors

幫助選擇和評(píng)鑑分包商OnemethodofmeetingISO14001

ISO14001

條款中要求之一種方法確保環(huán)境管理與產(chǎn)品生命周期的結(jié)合保證環(huán)境管理績(jī)效REASONSFOR2NDPARTYAUDITS51REASONSFOR3RDPARTYAUDITS第三方評(píng)審的原因Mayreduceneedfor2ndpartyaudits

可以減少對(duì)第二方評(píng)審的需要Recognitionofconformitytoaninternationalstandard

得到與國(guó)際標(biāo)準(zhǔn)一致性的認(rèn)可Contributestoreductioninavoidablecoststosuppliers

幫助供應(yīng)商減少可避免的費(fèi)用Aidsmarketcompetitiveness

幫助提高市場(chǎng)競(jìng)爭(zhēng)力REASONSFOR3RDPARTYAUDITS52AUDITORATTRIBUTES

評(píng)審員的特質(zhì)Auditorsmustbeflexibleto- 評(píng)審員必須靈活應(yīng)對(duì)-Changingsituations 變化的環(huán)境Differingmanagementstyles 不同的管理風(fēng)格Differingmanagement/employeelevels 不同的管理、員工水準(zhǔn)Auditorsmustbecompetentin- 評(píng)審員必須勝任-Reasoningofnonconformities 解釋不合格事項(xiàng)Evaluatingeffectivenessof 評(píng)價(jià)矯正措施的有效性correctiveactionAUDITORATTRIBUTES

評(píng)審員的特質(zhì)Aud53

SOMEATTRIBUTESOFAGOODAUDITOR優(yōu)秀評(píng)審員應(yīng)具備的素質(zhì)

Objective 客觀Polite禮貌Punctual守時(shí)Practical 實(shí)際Principled有原則Persevering不屈不撓

Industrious勤奮Positive 態(tài)度積極Communicative 健談Prepared 作好準(zhǔn)備Unbiased

不帶偏見Helpful 樂於助人

SOMEATTRIBUTESOFAGOODAUD54THEAUDITLIFECYCLE

評(píng)審模式周期Theauditlifecycleisoftenreferredtoas評(píng)審模式周期通常指

P.E.R.C. Planning 計(jì)劃

Execution 執(zhí)行

Recording 記錄

Closeout 結(jié)案THEAUDITLIFECYCLE

評(píng)審模式周期The55PLANNINGTHEAUDIT

制訂評(píng)審計(jì)劃Determinetheobjective 確定評(píng)審目的Agreethescope 同意評(píng)審範(fàn)圍Nominateateamleader 任命評(píng)審組長(zhǎng)Calculatetheauditduration 計(jì)算評(píng)審持續(xù)時(shí)間Selecttheteam 選擇評(píng)審小組成員Contacttheauditee-agreethedate(s)與被評(píng)審方確定日期Arrangeandholdpreliminarymeeting安排及召開預(yù)備會(huì)議Drawupauditprogramme 擬定評(píng)審綱要 Brieftheteam 簡(jiǎn)要知會(huì)小組成員Preparechecklist 準(zhǔn)備檢查清單PLANNINGTHEAUDIT

制訂評(píng)審計(jì)劃Deter56INFORMATIONAVAILABLE

有用的資料Environmentmanual/procedures 環(huán)境手冊(cè)/程序Managementpriorities,(not3rdparty)管理優(yōu)先順序(非第三方)Environmentproblems,(not3rdparty)環(huán)境問題(非第三方)Previousaudits 以往的評(píng)審Environmentmanageinformation 環(huán)境管理資料Experienceofauditors 評(píng)審員的經(jīng)驗(yàn)Preliminaryvisit 初訪INFORMATIONAVAILABLE

有用的資料57AUDITPURPOSE

評(píng)審目的TocollectobjectiveevidencetopermitaninformedjudgementaboutthestatusandeffectivenessoftheEnvironmentmanagementsystem收集客觀証據(jù)，以便就環(huán)境管理系統(tǒng)的狀況和有效性作出評(píng)審判定

AUDITPURPOSE

評(píng)審目的58CHECKLISTBENEFITS

檢查清單的優(yōu)點(diǎn)Keepsauditobjectivesclear 保持明確的評(píng)審目的Evidenceofauditplanning 策劃評(píng)審的證據(jù)Maintainsauditpaceandcontinuity 持評(píng)審的節(jié)奏和連貫性 Reducesauditorbias 減少評(píng)審員的偏見Reducesworkloadduringaudit 減少評(píng)審過程中的工作量CHECKLISTBENEFITS

檢查清單的優(yōu)點(diǎn)Keep59

CHECKLISTDRAWBACKS

檢查清單的缺點(diǎn)Checkliststendtolosevalueiftheyare:檢查清單可能失去價(jià)值，如它是：Ticklists 判斷清單Questionnaires調(diào)查問卷Preparethemasaidesmemoir上述只能當(dāng)作輔助工具CHECKLISTDRAWBACKS

檢查清單的缺點(diǎn)Ch60CHECKLISTPREPARATION

檢查清單的準(zhǔn)備1.

Convertclausesofthestandardintoquestions

將標(biāo)準(zhǔn)的條款轉(zhuǎn)變?yōu)閱栴}2.UsingthesequestionsandtheEnvironmentmanual

使用以下問題和環(huán)境手冊(cè)planwhattolookatandwhy.i.e.lookfor

策劃要檢查什麼及原因，即要查出什麼considersamplesizes 考慮抽樣的數(shù)量3.Preparechecklist 準(zhǔn)備檢查清單 CHECKLISTPREPARATION

檢查清單的準(zhǔn)備61AUDITEXECUTION

評(píng)審的執(zhí)行Theopeningmeeting

開始會(huì)議Theauditprocess 評(píng)審的過程-Gatheringinformation 收集資料

-Validatingthefindings 確認(rèn)所發(fā)現(xiàn)的事實(shí)-Evaluatingthefindings評(píng)價(jià)所發(fā)現(xiàn)的事實(shí)Theclosingmeeting

結(jié)束會(huì)議AUDITEXECUTION

評(píng)審的執(zhí)行Theopeni62THEOPENINGMEETING

開始會(huì)議Introductions-record 介紹-記錄Objective,Scope, 目的，範(fàn)圍，文件的發(fā)行情況issuestatusofDocumentationReviewauditprogramme 確認(rèn)評(píng)審計(jì)劃Guides 陪同人員Logistics 支援Reportingmethods 報(bào)告的方法Confidentiality 保密Sample 抽樣Restrictions? 限制？Clarification? 澄清？THEOPENINGMEETING

開始會(huì)議Introd63ETHICSOFTHEAUDIT

評(píng)審的規(guī)範(fàn)Enterthearea 步入評(píng)審現(xiàn)場(chǎng)Introductionsbyguide 由陪同人員介紹Explainwhatyouwanttosee 解釋您想看的東西Investigatetothedepthnecessary 必要時(shí)深入檢查Noproblemsfound,moveon 如沒有問題發(fā)現(xiàn)，進(jìn)行下一個(gè)活動(dòng)

Don’tkeeponauditinguntilproblemsarefound 不能在一個(gè)區(qū)域繼續(xù)評(píng)審，直至發(fā)現(xiàn)問題

ETHICSOFTHEAUDIT

評(píng)審的規(guī)範(fàn)Enter64CONTROLOFTHEAUDIT

評(píng)審的控制Checklistisaservantnotamaster 檢查清單只是助手不是主人Ifpotentialaudittrailsappear,decide: 如果出現(xiàn)某些情況，應(yīng)決定：

-disregard 不管它-noteforlater 記錄下來，留待事後追查

-followupimmediately 立即追蹤Mightaffectthesamplesize

或許影響抽樣的數(shù)量Mightaffecttheauditprogramme

或許影響評(píng)審計(jì)劃CONTROLOFTHEAUDIT

評(píng)審的控制Chec65OPENQUESTIONS

開放性問題Who(doesit) 誰(shuí)負(fù)責(zé)What(isdone) 做了什麼Where(isitdone) 在那里完成Why(isitdone) 為什麼要做When(doesitgetdone) 何時(shí)完成How(isitdone;oftenisitdone) 怎樣完成，多久完成

Showme 請(qǐng)出示OPENQUESTIONS

開放性問題Who(does66QUESTIONS

提問Don’twastetimebyasking: 不要浪費(fèi)時(shí)間於：unrelatedquestions 不相關(guān)的問題rhetoricalquestions 誇張的問題dumbquestions 愚蠢的問題toomanyclosedquestions 太多封閉式問題Doaskopenquestions 要使用開放式提問QUESTIONS

提問Don’twastetimeb67NOTETAKING

筆記Recordingtheobjectiveevidence:記錄客觀証據(jù)：Admissiblestatements 負(fù)責(zé)人的陳述 Documentnumbersandissue/revisionlevels

文件編號(hào)和發(fā)行／版本級(jí)別Identifiers

標(biāo)識(shí)

Departments 部門 Titlesofauditees(withnamesonlyifnecessary) 被評(píng)審方的職稱（僅在需要時(shí)記錄姓名） NOTETAKING

筆記Recordingtheob68NOTETAKING

筆記Notescouldbeusedasreferencefor: 記錄能作為以下的參考： Immediateinvestigation 即時(shí)的調(diào)查 Investigationlater 日後調(diào)查 Usebyacolleague 供其他同事使用 Subsequentaudits 供日後的評(píng)審使用Notesmustthereforebe: 因此記錄必須： Legible 清晰易讀 Retrievable 隨時(shí)能被索閱NOTETAKING

筆記Notescouldbeu69NOTETAKING

筆記Notestakenduringanauditarearecordof: 評(píng)審過程中的筆記是用作記錄以下各項(xiàng)：

Theauditsampletaken 評(píng)審時(shí)抽取的樣品

Whatwasreported 所收到的報(bào)告 Whatwasobserved 所觀察到事情Notesmaybereferencedbysubsequentauditors 筆記可被其他評(píng)審員使用 NOTETAKING

筆記Notestakenduri70VERIFICATION

驗(yàn)證Randombasis 隨機(jī)抽樣 Chosenbytheauditor 由評(píng)審員來抽樣Permissionsought 獲準(zhǔn)尋找Establishandagreethefacts 建立及確認(rèn)事實(shí)Remainuninvolved 保持客觀

Alwaysbepolite 保持禮貌VERIFICATION

驗(yàn)證Randombasis 71NONCONFORMITY

不符合事項(xiàng)Nonfulfillmentofaspecifiedrequirement 未能滿足標(biāo)準(zhǔn)規(guī)定的要求

Specifiedrequirements: 標(biāo)準(zhǔn)規(guī)定的要求-conditionsofcontract 合約條款-Environmentstandard 環(huán)境標(biāo)準(zhǔn)-Environmentmanual 環(huán)境手冊(cè)-procedures 程序-legalrequirements 法律的規(guī)定

NONCONFORMITY

不符合事項(xiàng)Nonfulfill72NONCONFORMITY

不符合事項(xiàng)1. ManualisnotconformingwiththeEnvironmentstandard(intent)

手冊(cè)與環(huán)境標(biāo)準(zhǔn)不符合 （目的）2. Practiceisnotinlinewiththeintent(implementation)

書面程序沒有按程序所述付諸實(shí)行（實(shí)施）3. Practiceisnoteffective(effectiveness)

書面程序沒有有效地實(shí)行（效果）NONCONFORMITY

不符合事項(xiàng)73ESTABLISHTHEFACTS

確認(rèn)事實(shí)Gethelpfromtheauditee 獲得被評(píng)審方的幫助Discussconcerns 討論關(guān)注的項(xiàng)目Verifythefindings 確認(rèn)所發(fā)現(xiàn)的事實(shí)Recordalltheevidence:

記錄所有証據(jù)： -exactobservation 與觀察相符合-where,what,etc…所發(fā)現(xiàn)的地點(diǎn)、事物等等Establishwhyanonconformityorotherwise 確認(rèn)不符合事項(xiàng)原因Statewho(ifrelevant)-preferablybyjobtitle

註明由誰(shuí)引起（如果相關(guān)）－最好是職稱

ESTABLISHTHEFACTS

確認(rèn)事實(shí)Gethe74ESTABLISHTHEFACTS

確認(rèn)事實(shí)Useauditee’sterminology 使用被評(píng)審方的術(shù)語(yǔ)Makeitretrievable

能隨時(shí)被索閱Makeithelpful 使其有用Makeitconcise 使其簡(jiǎn)潔扼要ESTABLISHTHEFACTS

確認(rèn)事實(shí)Useau75CONSIDERTHESERIOUSNESS

嚴(yán)重性的考慮Twoquestionstobeanswered-兩個(gè)需要回答的問題1.Whatcouldgowrongifthenonconformityremainsuncorrected

如果不符合事項(xiàng)未被矯正，那會(huì)出現(xiàn)什麼問題2.Whatisthelikelihoodofsuchathinggoingwrong

出現(xiàn)那些問題的機(jī)會(huì)有多大CONSIDERTHESERIOUSNESS

嚴(yán)重性的考76ETHICSOFAUDITING

評(píng)審的規(guī)範(fàn)Positiveapproach 積極態(tài)度Aimtohelpimprovesystem 目的在於幫助改善系統(tǒng)Don’tlookforblame 不要以責(zé)備為最終目的Aididentificationofsolutions 幫助確認(rèn)解決問題的途徑 ETHICSOFAUDITING

評(píng)審的規(guī)範(fàn)77AUDITEEREACTIONS

被評(píng)審方的反應(yīng)Enlistinghel