审核不符合项开具

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紧扣事实和审核准则的原则

第一步：首先要针对不符合情景，判断在什么过程出现了什么错误？

第二步：根据过程属性找出审核标准的条款号；

第三步：根据错误的性质或初步原因，找出该条款中的要求（条文）；

第四步：描述不符合项事实，梳理与判定的标准条款及要求的逻辑关系，为“对标”做出“铺垫”；

第五步：写出完整的不符合项报告

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Principle of closely adhering to facts and audit criteria

Step 1: Firstly, identify the process in which errors occurred in the non compliant scenario?



Step 2: Identify the clause number of the audit standard based on the process attributes;



Step 3: Identify the requirements (clauses) in the clause based on the nature or preliminary reasons of the error;



Step 4: Describe the facts of non conformities, sort out the logical relationship between standard terms and requirements for judgment, and lay the groundwork for "benchmarking";



Step 5: Write a complete non conformance report

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就近不就远的原则


该原则是说，在对标过程中有适用的具体条款，就不要判定综合性条款。即：在可能涉及的条款中，选择哪些最贴近不符合事实的条款，有针对性地进行对标

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The principle of being close, not far



This principle means that if there are specific clauses applicable during the benchmarking process, comprehensive clauses should not be judged. Namely, among the possible clauses involved, select which ones are closest to the facts and conduct targeted benchmarking

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有利于受审核方改进的原则


审核员的产品就是服务。


在审核中既要满足审核准则的要求，对顾客和审核委托方等相关方负责，又要有利于受审核方进行改进，将改进的成本降低到最小的程度，以获得最大的收益。当然，这就需要审核员具有专业性和深厚的行业背景

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Principles conducive to the improvement of the audited party




The product of an auditor is a service.




In the audit, it is necessary to meet the requirements of the audit criteria, be responsible to relevant parties such as customers and audit clients, and also facilitate the improvement of the audited party, reducing the cost of improvement to the minimum and obtaining the maximum benefits. Of course, this requires auditors to have professionalism and a deep industry background

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一对一的原则

不符合事实到底违背了标准的那个条款的哪项要求，一定要诊断准确，这样才有利于受审核方改进。

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One on one principle



Which requirement of the clause that does not comply with the fact actually violates the standard must be diagnosed accurately, in order to facilitate the improvement of the audited party.

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忠实审核准则的原则

对标时，既不能提高审核标准的要求，也不能降低审核标准的要求。

审核员应牢记：审核工作的基本任务之一是按照审核准则对受审核方体系的符合性检查。

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感谢分享，学习了