如何进行流程审核

1GMHolding冠美实业如何进行流程审核HowtoMakeanProcessAudit2GMHolding冠美实业Somelinguisticinput/本义Audit/Auditor审核/审核员(Latin):audire=listen在拉丁文中审核＝聆听Auditor=FunctionaryoftheRomanCuria审核员＝古罗马元老院的功能audiaturetalterapars=theotherpartyshouldbeheardtoo兼听则明(principleoftheRoman[nowadaysEuropean]law古罗马法则之一)Audialterampartem(oraudiaturetalterapars)isaLatinphrasethatmeans,literally,heartheotherside,andisgenerallyinterpretedinEnglishashearbothsides.Audiaturetalterapars,是一句拉丁短语，意思是正确地聆听对方所言，通常在英文中翻译为听取双方的意见。BasicsofAuditing/审核的基础知识3GMHolding冠美实业Introduction介绍Questions提问Listen“Audit“聆听Watch观察Inquire调查Analyticalthinking分析思考Identifyconnectionsandinterfaces厘清相互之间的关系与联接Verify求证Takenotes记录Evidence掌握证据Observationsandactions观察并明确下一步Solveminorproblems解决小问题Positivefeedback正面回应Invitationtotheclosingmeeting邀请参与结论Finishandthanks总结并致谢Followupphase跟进InterviewStructure/审核面谈的基础结构4GMHolding冠美实业AuditMission/审核的使命●Iscompliancetodocumentedprocessesandqualityandenvironmentalstandardsgiven?实际运作是否与正式的文件性的流程及质量环境相关标准相符？●Areappropriateandcosteffectiveinternalcontrolsystemsusedtoensureprocess,productandservicequality?内部控制系统是否合适并有效地应用，以确保流程、产品和服务的质量？●Areprocessescarriedoutinaneconomicandeffectivemanner?流程是否在经济并有效的情况下执行？●AuditsservetosystematicallydetectpotentialforimprovementconcerningGPMS,processesandproducts/services.审核是为了系统地寻求在流程管理、流程、产品及服务上改善。●Theauditsareprocessorientedandcarriedoutbyqualifiedpersonnel.Theresultsobtainedareusedtosupportthecontinuousimprovementprocess.审核是以流程为导向并由具资质的人员进行。审核结果对持续改进提供支持。BasicsofAuditing/审核的基础知识5GMHolding冠美实业CompetenciesofauditorsMethodscompetenceJobcompetenceSocialcompetenceCoachingandleadershipcompetenceBasicsofAuditing/审核的基础知识6GMHolding冠美实业AuditFindingsDeviationImprovementpotentialImplemetationofactioniscompulsory!Implementationofactionsisrecommended!Decisiononimplementationiswiththeprocessownerand/ororganizationalunitmanagerIsadeviation(non-conformity)fromthestipulatedinternal/externalrequirementsStipulatedrequirementsmetinprinciplebutimprovementpotentialidentifiedGoodPracticeGoodpracticesarepracticeswhichbeyondthestipulatedrequirementscontributetoimproveOperationalExcellenceMakeGoodpracticeaccessibletootherorganizationalunitsBasicsofAuditing/审核的基础知识7GMHolding冠美实业Producevalueforcustomersbyensuringtheprocessfocusesonthevalue-addingactivities/以为客户增值为目的，确保流程的重点于增值的活动上Thisisdoneby:●Simplifyingrequirements/简化要求●Eliminatingsuperfluousactivities/剔除浪费BasicsofAuditing/审核的基础知识COREACTIVITIES:THEVALUE-ADDINGCOMPLEXITYOFTHEWORKSIMPLIFYREQUIREMENTSELIMINATESUPERFLUOUSSCOPEOFTHEWORK8GMHolding冠美实业ConceptsrelatingtoAudit/概念AuditClientOrganisationorpersonrequestinganauditAuditProgrammeSetofoneormoreauditsplannedforaspecifictimeframeanddirectedtowardsaspecificpurposeAuditSystematic,independentanddocumentedprocessforobtainingauditevidenceandevaluatingitobjectivelytodeterminetheextenttowhichtheauditcriteriaarefulfilledAuditeeOrganisationbeingauditedAuditFindingsResultsoftheevaluationofthecollectedauditevidenceagainstauditcriteriaAuditEvidenceRecords,statementsoffactorotherinformationwhicharerelevanttotheauditcriteriaandverifiableAuditConclusionOutcomeofanauditprovidedbytheauditteamafterconsiderationoftheauditobjectivesandallauditfindingsAuditorPersonwiththecompetencetoconductandauditAuditCriteriaSetofpoliciesproceduresorrequirementsusedasareferenceAuditTeamOneormoreauditorsconductinganaudit9GMHolding冠美实业Auditsteps/审核的步骤Implementing&ControllingCarryingOutPlanning&Preparing•InitiatePlanning•ReleaseAuditPlan•InitiateAudits•Organization•GatherInformation•EvaluateonSite•Providefeedback•ImplementActions•Control•Confirm•MonitorDeviations•AuditCompletion•Follow-upAudit•Concludeandpresentresults•DefineandAgreeactions•AuditReport10GMHolding冠美实业Introduction介绍Questions提问Listen“Audit“聆听Watch观察Inquire调查Analyticalthinking分析思考Identifyconnectionsandinterfaces厘清相互之间的关系与联接Verify求证Takenotes记录Evidence掌握证据Observationsandactions观察并明确下一步Solveminorproblems解决小问题Positivefeedback正面回应Invitationtotheclosingmeeting邀请参与结论Finishandthanks总结并致谢Followupphase跟进Auditonsite–Interview/现场审核的面谈11GMHolding冠美实业●Introduction/介绍Introduceyourselfandmakesurethateachauditeeisawareoftheauditgoal.Explainthereasontheywerechosen.Thishelpstoreducefearandallowsformoreopendiscussions.自我介绍并使被审核者清楚审核的目的。简单解释一下选择他作被审核者的原因。这样可以消除被审核者的紧张并接受一些开放式的问题。●QuestionsOpenandclosedquestionsarethemaintooloftheauditor.Thequestionsshouldalwaysbeansweredbythepersononsiteandnotbythecompanion(culturalaspects!).对于审核员而言，开放式和封闭式的问题是主要的工具。应尽可能地在现场得到答案而不是从陪同人员中得到。Planyourquestionsandtheorderyouaskthemin.Checklistscanbeusedasaguide.准备要问的问题和次序。检查清单可以作为辅助指引。Auditonsite–ApproachandContent(1/8)12GMHolding冠美实业●Listen„Audit“/聆听Therootsoftheword“audit“areLatinmeaning“listen“.Carefullisteningrevealsalotofinformation.”审核“的本义就是聆听。仔细的聆听会透露大量的信息。●Watch/观察Talkischeap!Watchifthespokenwordcorrespondswiththeoperationalactionsonsite(e.g.correctuseofinspectiondevices,H2systemusage,controlcharts,traceability).Watchtheprocessbyfollowingasample!口上说说永远是很容易的事情！注意观察现场的实际操作，以明确是否言行不一。选择一些样本进行演示，以便观察。Auditonsite–Approac