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1、Quality often is it done)怎樣完成，多久完成 Show me請出示,QUESTIONS提問,Dont waste time by asking:不要浪費時間於： unrelated questions不相關的問題 rhetorical questions誇張的問題 dumb questions愚蠢的問題 too many closed questions太多封閉式問題 Do ask open questions要使用開放式提問,NOTE TAKING筆記,Recording the objective evidence: 記錄客觀証據： Admissible state
2、ments負責人的陳述 Document numbers and issue/revision levels 文件編號和發行版本級別 Identifiers 標識 Departments 部門 Titles 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,Notes could be used as reference for:記錄能作為以下的參考： Immediate investigation即時的調查 Investigation later日後調查 Use by a colleague供
3、其他同事使用Subsequent audits供日後的評審使用 Notes 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,Notes 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評審時抽取的樣品 What was reported所收到的報告 What was observed所觀察到事情 Notes may be referenced by subsequent auditors筆記可被
4、其他評審員使用,VERIFICATION驗證,Random basis隨機抽樣 Chosen by the auditor由評審員來抽樣 Permission sought 獲准尋找 Establish and agree the facts建立及確認事實 Remain uninvolved保持客觀 Always be polite 保持禮貌,NONCONFORMITY不符合事項,Non fulfillment of a specified requirement未能滿足標準規定的要求 Specified requirements:標準規定的要求 -conditions of contract
5、合約條款 -quality standard品質標準 -quality manual品質手冊 -procedures程序 -legal requirements法律的規定,NONCONFORMITY不符合事項,1. Manual is not conforming with the quality standard (intent) 手冊與品質標準不符合 （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 (effect
6、iveness) 書面程序沒有有效地實行 （效果）,ESTABLISH THE FACTS確認事實,Get help from the auditee 獲得被評審方的幫助 Discuss concerns 討論關注的項目 Verify the findings 確認所發現的事實 Record all the evidence: 記錄所有証據： - exact observation與觀察相符合 - where, what, etc所發現的地點、事物等等 Establish why a nonconformity or otherwise 確認不符合事項原因 State who (if rele
7、vant) - preferably by job title 註明由誰引起（如果相關） 最好是職稱,ESTABLISH THE FACTS確認事實,Use auditees terminology使用被評審方的術語 Make it retrievable 能隨時被索閱 Make it helpful 使其有用 Make it concise 使其簡潔扼要,CONSIDER THE SERIOUSNESS嚴重性的考慮,Two questions to be answered - 兩個需要回答的問題 1. What could go wrong if the nonconformity rema
8、ins uncorrected 如果不符合事項未被矯正，那會出現什麼問題 2. What is the likelihood of such a thing going wrong 出現那些問題的機會有多大,MINOR NONCONFORMITY輕微不符合事項,A situation where there is a likelihood that nonconforming product or service will occur, or where the benefits of ISO 9000 are not being realized, because of the absenc
9、e of, or lack of adherence to a procedure 指可能出現不符合產品或服務的情況，或是 ISO 9000標準的某個條款的缺乏或沒有被執行 而造成品質系統的不完善,MAJOR NONCONFORMITY嚴重不符合事項,A nonconformity of such severity that its existence would indicate that a nonconforming product or service could be released to the customer or, where the requirements of an
10、appropriate clause of ISO 9000 has not been adequately addressed 一個不符合事項因其存在可能導致提供一個 不合格產品或服務予客戶，或ISO 9000 的相關條款要求不能得到充分的提及,KEEP THE AUDITEE INFORMED即時通知被評審方,For the audit to be constructive, helpful and professional: 評審應具建設意義、有助益和專業性 Review audit progress and findings regularly 定期檢討評審進展和所發現的事實 Beat
11、 the grapevine or rumor mill 打擊小道消息和謠言 Generate rapport 達成共識,ETHICS OF AUDITING評審的規範,Positive approach積極態度 Aim to help improve system目的在於幫助改善系統 Dont look for blame不要以責備為最終目的 Aid identification of solutions幫助確認解決問題的途徑,AUDITEE REACTIONS被評審方的反應,Enlisting help謀求幫助 Continual challenge不斷挑戰 Volunteered inf
12、ormation主動提供資料 Diversionary or time wasting tactics轉移注意力或浪費時間戰術 Internal conflicts 內部衝突 Authority 權威性 Antagonism敵對情緒,REVIEW MEETING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
13、評審日結束後，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： Review any nonconformities檢討不符合事項 Resolve any problems解決問題 Report audit progress報告評審的進展 Clarify any misunderstandings澄清誤解 Obtain signatures to any nonconformities 獲得不符合事項的確認簽字,AUDIT TEAM MEETING評審小組會議,Item on the audit programme 評審計劃內容各項目檢討 Audit team only prese
14、nt 僅限於評審小組成員出席 Controlled by team leader由組長主持 Plan for closing meeting策劃結束會議 Team leader prepares summary report 組長預備總結報告 Team completes nonconformity reports 小組成員完成不符合事項報告 Team reviews nonconformity reports 小組成員檢討所有不符合事項報告,SYSTEM EFFECTIVENESS系統的有效性,Conclusions to be drawn from all (positive and ne
15、gative) findings 在所發現事實（正面或負面）基礎上作結論 Major/Minor nonconformities 嚴重/輕微不符合事項 System intent 系統目的 System implementation 系統的實施 System effectiveness 系統的有效性 Strengths and weaknesses of departments 各部門的強弱點,SYSTEM EFFECTIVENESS系統的有效性,Assessment of the system effectiveness also considers - 評審系統的有效性時，還應考慮： An
16、y failures, internal and external 內部和外部失敗 Audit results評審結果 Trends趨勢 Corrective and preventive actions 矯正及預防措施,SUMMARY STATEMENT綜合陳述,Informed judgement of the audit team評審小組的評審總結 Based on whole audit以整個評審為依據 Assessment of intent對目的的評審 Assessment of implementation對實施的評審 Assessment of effectiveness對有效性的評審 Reports on strong and weak departments報告- 優秀部門和較差的部門 Reports on strong and weak standard elements報告- 優秀和較差的要素,AUDITOR FOLLOW-UP OPTIONS評審員可選擇的追蹤方式,Evaluati
