ISO14001訓(xùn)練稽核員培訓(xùn)

1、ISO 14001內(nèi)部環(huán)境稽核員內(nèi)部環(huán)境稽核員訓(xùn)練補(bǔ)充教材2007/06/18DETAILED PROCEDURES 詳細(xì)的流程詳細(xì)的流程 Detailed procedures are often referred to as work instructions詳細(xì)的流程通常是指工作指令Skills and knowledgenecessary必須的技能和知識detailed procedures詳細(xì)的流程training訓(xùn)練RECORDS 記錄記錄Records are objective evidence that demonstrate:記錄是客觀證據(jù)，用以證明：nEnvironmen

2、t manage meets the requirements環(huán)境管理符合要求nAn effective Environment system is operating有效的環(huán)境系統(tǒng)正在運(yùn)作Environment AUDIT環(huán)境評審環(huán)境評審 A systematic and independent examination to determine whether Environment activities and related results comply with planned arrangements and whether these arrangements are implem

3、ented effectively and are suitable to achieve objectives係一項系統(tǒng)化及獨(dú)立性之查驗，決定各項環(huán)境活動與相關(guān)之成果是否與原先籌劃者一致，以及這些籌劃事項是否有效地付諸實施，且適合於達(dá)成目標(biāo)。OBJECTIVE EVIDENCE客觀證據(jù)客觀證據(jù)nInformation which can be proved true, based on facts obtained through observation, measurement, test or any other means 經(jīng)由觀察、測量、試驗或其他方式而獲得實的資訊nUninflue

4、nced by prejudice or bias不受情緒或偏見影響nMay be stated or (preferably) documented可以書面化 nCan be verified能被驗證 SPECIFIED REQUIREMENTS指定的要求指定的要求nContract requirements 合約要求nCompany policy公司政策n - manuals 手冊 - procedures/work instructions 程序作業(yè)指導(dǎo)書 nEnvironment standard環(huán)境標(biāo)準(zhǔn)nLegal requirements法規(guī)要求Environment AUDIT

5、TYPES環(huán)境評審類型環(huán)境評審類型1st Party - WE auditing our own system (Internal)第一方 組織對自身進(jìn)行評審 （內(nèi)部評審）2nd Party - WE auditing our subcontractor (External)第二方 組織對分包商進(jìn)行評審 （外部評審）3rd Party - WE being audited by a registration body, (SGS) (External)第三方 組織被認(rèn)証機(jī)構(gòu)進(jìn)行評審，（，（SGS ) (外部評審）REASONS FOR 1ST PARTY AUDITS 第一方評審的原因第一方評

6、審的原因nRequirement of ISO 14001ISO 14001標(biāo)準(zhǔn)的要求nControl mechanism for use by management管理階層所採用的管制機(jī)制nPowerful tool for continuous improvement through -持續(xù)改進(jìn)的有力工具 經(jīng)由 employee involvement 員工的參與 communication 溝通 employee awareness, etc. 員工的認(rèn)知，等等 REASONS FOR 2ND PARTY AUDITS 第二方評審的原因第二方評審的原因nAids selection an

7、d grading of subcontractors幫助選擇和評鑑分包商nOne method of meeting ISO 14001ISO 14001 條款中要求之一種方法n確保環(huán)境管理與產(chǎn)品生命周期的結(jié)合n保證環(huán)境管理績效REASONS FOR 3RD PARTY AUDITS 第三方評審的原因第三方評審的原因nMay reduce need for 2nd party audits可以減少對第二方評審的需要nRecognition of conformity to an international standard得到與國際標(biāo)準(zhǔn)一致性的認(rèn)可nContributes to reduct

8、ion in avoidable costs to suppliers幫助供應(yīng)商減少可避免的費(fèi)用nAids market competitiveness幫助提高市場競爭力AUDITOR ATTRIBUTES 評審員的特質(zhì)評審員的特質(zhì)Auditors must be flexible to -評審員必須靈活應(yīng)對 -nChanging situations變化的環(huán)境nDiffering management styles不同的管理風(fēng)格 nDiffering management/employee levels不同的管理、員工水準(zhǔn)Auditors must be competent in -評審員必

9、須勝任 -nReasoning of nonconformities解釋不合格事項nEvaluating effectiveness of 評價矯正措施的有效性corrective actionSOME ATTRIBUTES OF A GOOD AUDITOR 優(yōu)秀評審員應(yīng)具備的素質(zhì)優(yōu)秀評審員應(yīng)具備的素質(zhì)nObjective客觀nPolite 禮貌 nPunctual 守時 nPractical 實際nPrincipled 有原則nPersevering 不屈不撓 nIndustrious 勤奮nPositive 態(tài)度積極nCommunicative 健談nPrepared 作好準(zhǔn)備nUnbi

10、ased 不帶偏見nHelpful 樂於助人THE AUDIT LIFE CYCLE評審模式周期評審模式周期The audit life cycle is often referred to as評審模式周期通常指評審模式周期通常指 P.E.R.C. Planning計劃 Execution 執(zhí)行 Recording 記錄Close out 結(jié)案PLANNING THE AUDIT制訂評審計劃制訂評審計劃nDetermine the objective確定評審目的nAgree the scope同意評審範(fàn)圍nNominate a team leader任命評審組長nCalculate the

11、audit duration計算評審持續(xù)時間nSelect the team選擇評審小組成員nContact the auditee - agree the date(s)與被評審方確定日期nArrange and hold preliminary meeting安排及召開預(yù)備會議nDraw up audit programme擬定評審綱要nBrief the team簡要知會小組成員 nPrepare checklist準(zhǔn)備檢查清單 INFORMATION AVAILABLE有用的資料有用的資料nEnvironment manual / procedures環(huán)境手冊/程序nManagemen

12、t priorities, (not 3rd party) 管理優(yōu)先順序(非第三方)nEnvironment problems, (not 3rd party)環(huán)境問題(非第三方)nPrevious audits以往的評審nEnvironment manage information環(huán)境管理資料nExperience of auditors評審員的經(jīng)驗nPreliminary visit初訪AUDIT PURPOSE評審目的評審目的To collect objective evidence to permit an informed judgement about the status and

13、 effectiveness of the Environment management system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審判定 CHECKLIST BENEFITS檢查清單的優(yōu)點(diǎn)檢查清單的優(yōu)點(diǎn)nKeeps audit objectives clear 保持明確的評審目的nEvidence of audit planning 策劃評審的證據(jù)nMaintains audit pace and continuity 持評審的節(jié)奏和連貫性nReduces auditor bias 減少評審員的偏見nReduces workload during audit 減少評審過

14、程中的工作量 CHECKLIST DRAWBACKS檢查清單的缺點(diǎn)檢查清單的缺點(diǎn)Checklists tend to lose value if they are:檢查清單可能失去價值，如它是：nTick lists 判斷清單nQuestionnaires 調(diào)查問卷Prepare them as aides memoir上述只能當(dāng)作輔助工具上述只能當(dāng)作輔助工具CHECKLIST PREPARATION檢查清單的準(zhǔn)備檢查清單的準(zhǔn)備1. Convert clauses of the standard into questions將標(biāo)準(zhǔn)的條款轉(zhuǎn)變?yōu)閱栴}2. Using these questions

15、 and the Environment manual使用以下問題和環(huán)境手冊 nplan what to look at and why. i.e. look for 策劃要檢查什麼及原因，即要查出什麼nconsider sample sizes 考慮抽樣的數(shù)量3. Prepare checklist準(zhǔn)備檢查清單AUDIT EXECUTION評審的執(zhí)行評審的執(zhí)行nThe opening meeting 開始會議nThe audit process評審的過程 - Gathering information 收集資料 - Validating the findings 確認(rèn)所發(fā)現(xiàn)的事實 - Eva

16、luating the findings 評價所發(fā)現(xiàn)的事實nThe closing meeting 結(jié)束會議THE OPENING MEETING開始會議開始會議nIntroductions - record介紹 - 記錄nObjective, Scope, 目的，範(fàn)圍，文件的發(fā)行情況 issue status of DocumentationnReview audit programme確認(rèn)評審計劃nGuides陪同人員nLogistics支援 nReporting methods報告的方法nConfidentiality保密nSample抽樣nRestrictions?限制？nClarif

17、ication?澄清？ETHICS OF THE AUDIT評審的規(guī)範(fàn)評審的規(guī)範(fàn)nEnter the area步入評審現(xiàn)場nIntroductions by guide由陪同人員介紹nExplain what you want to see解釋您想看的東西nInvestigate to the depth necessary必要時深入檢查nNo problems found, move on如沒有問題發(fā)現(xiàn)，進(jìn)行下一個活動nDont keep on auditing until problems are found不能在一個區(qū)域繼續(xù)評審，直至發(fā)現(xiàn)問題CONTROL OF THE AUDIT評審的

18、控制評審的控制nChecklist is a servant not a master檢查清單只是助手不是主人nIf potential audit trails appear, decide:如果出現(xiàn)某些情況，應(yīng)決定： -disregard不管它 -note for later記錄下來，留待事後追查 -follow up immediately立即追蹤n Might affect the sample size 或許影響抽樣的數(shù)量nMight affect the audit programme 或許影響評審計劃OPEN QUESTIONS開放性問題開放性問題nWho (does it)誰負(fù)

19、責(zé)nWhat (is done)做了什麼nWhere (is it done)在那里完成nWhy (is it done)為什麼要做nWhen (does it get done)何時完成nHow (is it done; often is it done)怎樣完成，多久完成 nShow me請出示QUESTIONS提問提問nDont waste time by asking:不要浪費(fèi)時間於： unrelated questions不相關(guān)的問題 rhetorical questions誇張的問題 dumb questions愚蠢的問題 too many closed questions太多封閉

20、式問題nDo ask open questions要使用開放式提問NOTE TAKING筆記筆記Recording the objective evidence:記錄客觀証據(jù)：nAdmissible statements負(fù)責(zé)人的陳述nDocument numbers and issue/revision levels 文件編號和發(fā)行版本級別nIdentifiers 標(biāo)識nDepartments 部門nTitles of auditees (with names only if necessary)被評審方的職稱（僅在需要時記錄姓名）NOTE TAKING筆記筆記nNotes could be

21、used as reference for: 記錄能作為以下的參考：Immediate investigation即時的調(diào)查Investigation later日後調(diào)查Use by a colleague供其他同事使用Subsequent audits供日後的評審使用nNotes must therefore be:因此記錄必須：Legible清晰易讀Retrievable隨時能被索閱NOTE TAKING筆記筆記nNotes taken during an audit are a record of:評審過程中的筆記是用作記錄以下各項： The audit sample taken評審時抽

22、取的樣品 What was reported所收到的報告What was observed所觀察到事情nNotes may be referenced by subsequent auditors筆記可被其他評審員使用VERIFICATION驗證驗證nRandom basis隨機(jī)抽樣nChosen by the auditor由評審員來抽樣nPermission sought 獲準(zhǔn)尋找nEstablish and agree the facts建立及確認(rèn)事實nRemain uninvolved保持客觀nAlways be polite 保持禮貌NONCONFORMITY不符合事項不符合事項nN

23、on fulfillment of a specified requirement未能滿足標(biāo)準(zhǔn)規(guī)定的要求nSpecified requirements:標(biāo)準(zhǔn)規(guī)定的要求 -conditions of contract合約條款 -Environment standard環(huán)境標(biāo)準(zhǔn) -Environment manual環(huán)境手冊 -procedures程序 -legal requirements法律的規(guī)定 NONCONFORMITY不符合事項不符合事項1. Manual is not conforming with the Environment standard (intent)手冊與環(huán)境標(biāo)準(zhǔn)不符合

24、 （目的）2. Practice is not in line with the intent (implementation)書面程序沒有按程序所述付諸實行（實施）3. Practice is not effective (effectiveness)書面程序沒有有效地實行 （效果）ESTABLISH THE FACTS確認(rèn)事實確認(rèn)事實nGet help from the auditee 獲得被評審方的幫助nDiscuss concerns 討論關(guān)注的項目nVerify the findings 確認(rèn)所發(fā)現(xiàn)的事實nRecord all the evidence: 記錄所有証據(jù)： - exac

25、t observation與觀察相符合 - where, what, etc所發(fā)現(xiàn)的地點(diǎn)、事物等等nEstablish why a nonconformity or otherwise 確認(rèn)不符合事項原因nState who (if relevant) - preferably by job title 註明由誰引起（如果相關(guān)） 最好是職稱 ESTABLISH THE FACTS確認(rèn)事實確認(rèn)事實nUse auditees terminology使用被評審方的術(shù)語nMake it retrievable能隨時被索閱nMake it helpful使其有用nMake it concise 使其簡潔

26、扼要CONSIDER THE SERIOUSNESS嚴(yán)重性的考慮嚴(yán)重性的考慮Two questions to be answered -兩個需要回答的問題1. What could go wrong if the nonconformity remains uncorrected如果不符合事項未被矯正，那會出現(xiàn)什麼問題2. What is the likelihood of such a thing going wrong出現(xiàn)那些問題的機(jī)會有多大ETHICS OF AUDITING評審的規(guī)範(fàn)評審的規(guī)範(fàn)nPositive approach積極態(tài)度nAim to help improve syst

27、em目的在於幫助改善系統(tǒng)nDont look for blame不要以責(zé)備為最終目的nAid identification of solutions幫助確認(rèn)解決問題的途徑AUDITEE REACTIONS被評審方的反應(yīng)被評審方的反應(yīng)nEnlisting help謀求幫助nContinual challenge不斷挑戰(zhàn)nVolunteered information主動提供資料nDiversionary or time wasting tactics轉(zhuǎn)移注意力或浪費(fèi)時間戰(zhàn)術(shù)nInternal conflicts內(nèi)部衝突nAuthority權(quán)威性nAntagonism敵對情緒REVIEW MEET

28、ING檢討會議檢討會議The review meeting, normally 15 to 20 minutes in duration, is carried out at the end of each auditing day with either the management representative or guides to:每個評審日結(jié)束後，通常會與管理者代表陪同員召開檢討會議， 需時至分鐘，目的是：nReview any nonconformities檢討不符合事項nResolve any problems解決問題nReport audit progress報告評審的進(jìn)展n

29、Clarify any misunderstandings澄清誤解nObtain signatures to any nonconformities 獲得不符合事項的確認(rèn)簽字SYSTEM EFFECTIVENESS系統(tǒng)的有效性系統(tǒng)的有效性Conclusions to be drawn from all (positive and negative) findings在所發(fā)現(xiàn)事實（正面或負(fù)面）基礎(chǔ)上作結(jié)論nMajor/Minor nonconformities 嚴(yán)重/輕微不符合事項nSystem intent 系統(tǒng)目的nSystem implementation 系統(tǒng)的實施nSystem effectiveness 系統(tǒng)的有效性nStrengths and weaknesses of departments 各部門的強(qiáng)弱點(diǎn)SYSTEM EFFECTIVENESS系統(tǒng)的有效性系統(tǒng)的有效性Assessment of the system effectiveness also considers -評審系統(tǒng)的有效性時，還應(yīng)考慮：nAny failures, internal and external內(nèi)部和外部失敗nAudit results評審結(jié)果nTrends趨勢nCorrective and preventive actions矯正及預(yù)防措施SUMMARY STATE