企業(yè)制度和流程管理的信息化解決方案

1、www.ids-企業(yè)制度和流程管理的信息化解決方案企業(yè)制度和流程管理的信息化解決方案張 炬 副總裁 大中國(guó)區(qū)2009 年 10 月 22 日 IDS Scheer AG www.ids- 各管理體系間的孤島現(xiàn)象，割裂的管理體系各管理體系間的孤島現(xiàn)象，割裂的管理體系 IDS Scheer AG www.ids- 3傳統(tǒng)制度和流程描述文檔中包括的主要內(nèi)容傳統(tǒng)制度和流程描述文檔中包括的主要內(nèi)容 IDS Scheer AG www.ids- 4傳統(tǒng)制度和流程描述文檔的技術(shù)問題之一傳統(tǒng)制度和流程描述文檔的技術(shù)問題之一如何有效發(fā)現(xiàn)和避免這些問題l 流程圖及流程說明文檔中表明此流程中用到三張表單，但在表單清

2、單和樣例中只羅例了兩張。l 流程的某個(gè)結(jié)點(diǎn)發(fā)生了變化，但只修改了流程圖，在流程說明文檔及表單清單和樣例中忘了修正。針對(duì)同一管理制度和流程的信息針對(duì)同一管理制度和流程的信息“多次描述，相互割裂多次描述，相互割裂”如果其中有一個(gè)要素進(jìn)行更新，則三個(gè)文檔要全部更新。這些全靠流程梳理人員的細(xì)心和認(rèn)真才能做到。 IDS Scheer AG www.ids- 5傳統(tǒng)制度和流程描述文檔的技術(shù)問題之二傳統(tǒng)制度和流程描述文檔的技術(shù)問題之二流程 A流程 B如何從如何從“各說各話各說各話”，到都說，到都說 “ 普通話普通話 ”能否由人事部門統(tǒng)一確定組織結(jié)構(gòu)及崗位描述的規(guī)范稱謂，其他部門直接引用即可。能否由制定表單的

3、初始單位統(tǒng)一表單的格式和稱謂，流程各環(huán)節(jié)只是引用即可。能否由各業(yè)務(wù)部門統(tǒng)一各自業(yè)務(wù)操作的描述，其它部門僅引用即可。能否基于上述要素規(guī)范出企業(yè)統(tǒng)一的語(yǔ)言，實(shí)現(xiàn)要素信息的一次定義，整體共享。如何從精確到如何從精確到 “流程流程” 細(xì)化到細(xì)化到 “流程的結(jié)點(diǎn)和要素流程的結(jié)點(diǎn)和要素”如何實(shí)現(xiàn)流程各結(jié)節(jié)和各要素間的有機(jī)關(guān)聯(lián), 從 “流程圖” 到 “流程模型”.如何實(shí)現(xiàn)流程各要素間的自動(dòng)匯總和統(tǒng)計(jì)，實(shí)現(xiàn) “一次建模，整體關(guān)聯(lián)”。 IDS Scheer AG www.ids- 6傳統(tǒng)制度和流程描述文檔的技術(shù)問題之三傳統(tǒng)制度和流程描述文檔的技術(shù)問題之三 梳理細(xì)度精確到整個(gè)流程梳理細(xì)度 精確到流程內(nèi)的結(jié)點(diǎn) ID

4、S Scheer China www.ids- 傳統(tǒng)制度和流程描述文檔的技術(shù)問題示例傳統(tǒng)制度和流程描述文檔的技術(shù)問題示例一個(gè)表單我到底需要使用多少次一個(gè)表單我到底需要使用多少次? IDS Scheer AG www.ids- 8l “ 統(tǒng)一錄入，整體協(xié)同 ”：實(shí)現(xiàn)由流程圖導(dǎo)出流程制度文檔，并自動(dòng)更新與相關(guān)表單的關(guān)聯(lián)。實(shí)現(xiàn)流程信息的 “ 統(tǒng)一錄入，整體協(xié)同 ” 。l “ 一次建模，整體關(guān)聯(lián) ”: 多維度的建模語(yǔ)言，從組織、功能、表單和系統(tǒng)、產(chǎn)品和服務(wù)四大要素進(jìn)行流程和制度的梳理和關(guān)聯(lián)，實(shí)現(xiàn)流程及制度要素的 “ 一次建模，整體關(guān)聯(lián) ” 。l “ 統(tǒng)一定義，整體共享 ”: 與各相關(guān)部門一次確定組織、

5、功能、表單和服務(wù)的定義，其他部門便可引用和共享所有信息進(jìn)行制度和流程的描述。小結(jié)：傳統(tǒng)制度和流程描述文檔需要解決的技術(shù)問題小結(jié)：傳統(tǒng)制度和流程描述文檔需要解決的技術(shù)問題 IDS Scheer AG www.ids- 建設(shè)業(yè)務(wù)流程管理的機(jī)制和平臺(tái)是實(shí)施建設(shè)業(yè)務(wù)流程管理的機(jī)制和平臺(tái)是實(shí)施ERPERP系統(tǒng)后的必然結(jié)果系統(tǒng)后的必然結(jié)果 4 級(jí)系統(tǒng) : 企業(yè)ERP系統(tǒng) 主 機(jī)5 級(jí)系統(tǒng)： 企業(yè)業(yè)務(wù)流程管理系統(tǒng)3 級(jí)系統(tǒng): MES系統(tǒng)部門的計(jì)算機(jī)生產(chǎn)控制1 級(jí)系統(tǒng) : 設(shè)備控制2 級(jí)系統(tǒng): 過程控制過程控制P L C 可編程控制器Micro Processor微處理器主 機(jī)企業(yè)資源信息 企業(yè)管理信息生產(chǎn)管

6、理信息設(shè)備技術(shù)信息過程控制信息 IDS Scheer China www.ids- ARIS業(yè)務(wù)流程業(yè)務(wù)流程管理平臺(tái)的功能架構(gòu)管理平臺(tái)的功能架構(gòu)ERP套件系統(tǒng)套件系統(tǒng)業(yè)務(wù)統(tǒng)計(jì)數(shù)據(jù)業(yè)務(wù)統(tǒng)計(jì)數(shù)據(jù)業(yè)務(wù)操作表單業(yè)務(wù)操作表單主數(shù)據(jù)結(jié)構(gòu)主數(shù)據(jù)結(jié)構(gòu)主數(shù)據(jù)主數(shù)據(jù)業(yè)務(wù)操作數(shù)據(jù)業(yè)務(wù)操作數(shù)據(jù)業(yè)務(wù)操作員業(yè)務(wù)操作員業(yè)務(wù)流程藍(lán)圖業(yè)務(wù)流程藍(lán)圖ARIS管理平臺(tái)管理平臺(tái)流程操作規(guī)章流程操作規(guī)章業(yè)務(wù)流程架構(gòu)業(yè)務(wù)流程架構(gòu)管理操作數(shù)據(jù)管理操作數(shù)據(jù)流程管理員流程管理員企業(yè)管理戰(zhàn)略企業(yè)管理戰(zhàn)略 IDS Scheer AG www.ids- 11解決方案：統(tǒng)一平臺(tái)、統(tǒng)一數(shù)據(jù)庫(kù)、統(tǒng)一語(yǔ)言解決方案：統(tǒng)一平臺(tái)、統(tǒng)一數(shù)據(jù)庫(kù)、統(tǒng)一語(yǔ)言 ARIS導(dǎo)入

7、后VISIOWORDEXCEL流程建模使用信息平臺(tái)前可視化標(biāo)準(zhǔn)化可管理分散化無序化難管理組織組織數(shù)據(jù)數(shù)據(jù)功能功能產(chǎn)品及服務(wù)產(chǎn)品及服務(wù)流程流程同一平臺(tái)、同一語(yǔ)言同一平臺(tái)、同一語(yǔ)言 - ARIS- ARISARIS: ARIS: ARARchitecture of Integrated chitecture of Integrated I Information nformation S Systemsystems IDS Scheer AG www.ids- 12ARIS 流程建模房式結(jié)構(gòu)流程建模房式結(jié)構(gòu) 公司銷售部物料管理部采購(gòu)科排產(chǎn)科組織視圖組織視圖銷售處理檢查信用額度確定交付日期客戶需求處

8、理報(bào)價(jià)處理功能視圖功能視圖流程視圖流程視圖產(chǎn)品產(chǎn)品/服務(wù)視圖服務(wù)視圖銷售合同配置單報(bào)價(jià)單服務(wù)條款報(bào)價(jià)單客戶信息配置單數(shù)據(jù)視圖數(shù)據(jù)視圖客戶需求處理收到客戶詢價(jià)需求處理完畢報(bào)價(jià)處理報(bào)價(jià)單配置單銷售部客戶信息銷售部 IDS Scheer China www.ids- 相關(guān)的制度信息在屬性表中進(jìn)行維護(hù)相關(guān)的制度信息在屬性表中進(jìn)行維護(hù)我有很多符號(hào)背后的內(nèi)容要說，怎么辦我有很多符號(hào)背后的內(nèi)容要說，怎么辦? IDS Scheer AG www.ids- 14ARIS 建模技術(shù)還可以根據(jù)事先定義的規(guī)則建模技術(shù)還可以根據(jù)事先定義的規(guī)則自動(dòng)自動(dòng)進(jìn)行邏輯進(jìn)行邏輯檢查檢查 IDS Scheer AG www.ids-

9、 15ARIS 建模技術(shù)還建模技術(shù)還可以可以根據(jù)事先定義的規(guī)則根據(jù)事先定義的規(guī)則自動(dòng)自動(dòng)進(jìn)行邏輯進(jìn)行邏輯檢查檢查 IDS Scheer AG www.ids- 16多多套套管理管理體系體系最終應(yīng)落實(shí)在一套最終應(yīng)落實(shí)在一套制度和制度和流程中流程中流程流程流程每一個(gè)要素后預(yù)設(shè)了一組特性欄位，點(diǎn)擊鼠標(biāo)后會(huì)自動(dòng)彈出，并可隨需錄入根據(jù)授權(quán)不同，不同的業(yè)務(wù)部門看到的可修改的特性欄位和值是不一樣的。通用信息HSE 相關(guān)信息內(nèi)控相關(guān)信息. IDS Scheer AG www.ids- 17多多套套管理管理體系體系最終應(yīng)落實(shí)在一套最終應(yīng)落實(shí)在一套制度和制度和流程中流程中流程流程由一個(gè)流程自動(dòng)導(dǎo)出各種流程文檔風(fēng)險(xiǎn)

10、控制文檔風(fēng)險(xiǎn)控制文檔崗位職責(zé)說明書崗位職責(zé)說明書流程手冊(cè)流程手冊(cè) IDS Scheer AG www.ids- 18企業(yè)流程管理體系企業(yè)流程管理體系A(chǔ)RIS 平臺(tái)平臺(tái)業(yè)務(wù)流程管理平臺(tái)信息化運(yùn)營(yíng)平臺(tái)平臺(tái)信息化系統(tǒng)平臺(tái)PMFI/COHRMESAPOMMBI執(zhí)行與控制：固化到信息化執(zhí)行系統(tǒng)中執(zhí)行與控制：固化到信息化執(zhí)行系統(tǒng)中ISO 9000ISO 14001ERPSOX 法案全面風(fēng)險(xiǎn)管理 企業(yè)的流程只有一套 同一套流程可以根據(jù)不同管理體系的需求進(jìn)行不同的分類掛接 一個(gè)管理體系并不一定涵蓋所有的流程 企業(yè)的流程管理體系是涵蓋所有流程的管理體系 IDS Scheer AG www.ids- 19制度和流

11、程體系及流程接口的概念制度和流程體系及流程接口的概念 端到端的流程端到端的流程流程的接口流程的接口從從 “制度和制度和流程流程” 梳理梳理 到到 “制度和制度和流程體系流程體系” 的梳理，你做到了嗎？的梳理，你做到了嗎？流程流程 IDS Scheer AG www.ids- 20制度與流程的層次和分類制度與流程的層次和分類 企業(yè)地圖流程區(qū)域圖主流程模型流程模型采購(gòu)計(jì)劃采購(gòu)需求分析創(chuàng)建采購(gòu)需求采購(gòu)管理采購(gòu)采購(gòu)倉(cāng)儲(chǔ)管理倉(cāng)儲(chǔ)管理付款管理付款管理供應(yīng)商管理供應(yīng)商管理人事管理人事管理財(cái)務(wù)管理財(cái)務(wù)管理物業(yè)設(shè)備管理物業(yè)設(shè)備管理IT IT 管理管理 IDS Scheer AG www.ids- 21not O

12、.K.O.K.checkingcalculations ofinterest checkingcalculation ofcostscalculationschecked but notverifiedinforming theclaimantasking claimantto adjust theapplicationwithin 4 weeksclaimantinformed andaskeddeciding whoinforms theclaimantdecided for theregistrardecided not forthe registrarregistrar giveswr

13、iting officeorder tocompose a letterletter composedtransmitting theletter and orderto the courtsofficetransmitted tothe courts officeadding the orderto the filetransmitting theletter to the postofficeorder addedletter transmittedsending letter toclaimantletter sent toclaimantissueingpayment orderinf

14、orming thedefendand abouthis optionspayment orderisssueddefendandinformedgiving order tothe courts officeto serve paymentorderorder givencomissioning toserve thepayment orderserved by thepost served by thepolicechecking ifserving wassuccessfulsuccessfulincorrect/incomplete documenttransmitting these

15、rvingdocument to thecourtservingdocumenttransmittedexamining theservingdocumentregistrarservingdocumentexaminedgiving order todemand arepeated servingto the postinforming theparties (module1)serving has notbeen possibleinformingclaimant&ask him toadjust the directionof the defendandwithin 3weeks

16、order not givensendingobjection to thepost officedefendandobjectionreceived by thepost officesendingobjection to thecourts officepost officeobjection sentadding objectionto the filetransmittingobjection toregistrarobjection addedtransmitted toregistrarinforming claimantabout objection andhis options

17、 to react(Module1)claimantinformedchecking if claimantwants to engage theordinary legalprocedureyesnoapplying for thedivesture to thejudgepaying the costsfor an ordinaryprocedureappliedcosts payedgiving an order toinform the centralcosts office to sendhim the fileorder givensending file toclaimantco

18、st officesent to claimantexecuting the filefile was executedsending back thefile to courtsofficefile received incourts officeclaimantregistrarwriting officecourts officeModule 1registrarclaimantinformedusing Module 1!order givenparties informedregistrarcourts officeModule 2registrarregistrarclaimant

19、transfering theprocedure to thecompetent courttransferedinforming theparties about thetransfer(Module1)parties informedcheck if procedureshould betransferred to othercourt upon requestof claimantno request ofclaimant request ofclaimantasking ifdefendandagrees (Module2)defendandagrees totransfer toan

20、other courtdefendandagrees notinformingdefendand aboutthe request(Module 1)registrardefendandinformedissueing theenforcement orderupon application ofthe claimant(Module2)declaration about all paymentsenforcementissuedchecking ifapplication isconform to thetime limitO.K.not O.K.arranging theservingpr

21、ocedureregistrarservingprocedurearrangedissueing aexecuted copyexecuted copyissuedregistrararranging thearchiving of thefileprocedure hasfinishedarrangedregistrararchiving the filecourts officechecking if file isarchived threeyearsfile archivednoyesdestructing allcostituent parts ofthe file except f

22、orthe enforcementorder destructedsignalizing on thefile if executeddoc has beenissuedsignalizeddestroying thewhole file after30yearsfile destroyedafter 30 yearsexecuting theprocedurenot O.K.O.K.checkingcalculations ofinterest checkingcalculation ofcostscalculationschecked but notverifiedinforming th

23、eclaimantasking claimantto adjust theapplicationwithin 4 weeksclaimantinformed andaskeddeciding whoinforms theclaimantdecided for theregistrardecided not forthe registrarregistrar giveswriting officeorder tocompose a letterletter composedtransmitting theletter and orderto the courtsofficetransmitted

24、 tothe courts officeadding the orderto the filetransmitting theletter to the postofficeorder addedletter transmittedsending letter toclaimantletter sent toclaimantissueingpayment orderinforming thedefendand abouthis optionspayment orderisssueddefendandinformedgiving order tothe courts officeto serve

25、 paymentorderorder givencomissioning toserve thepayment orderserved by thepost served by thepolicechecking ifserving wassuccessfulsuccessfulincorrect/incomplete documenttransmitting theservingdocument to thecourtservingdocumenttransmittedexamining theservingdocumentregistrarservingdocumentexaminedgi

26、ving order todemand arepeated servingto the postinforming theparties (module1)serving has notbeen possibleinformingclaimant&ask him toadjust the directionof the defendandwithin 3weeksorder not givensendingobjection to thepost officedefendandobjectionreceived by thepost officesendingobjection to

27、thecourts officepost officeobjection sentadding objectionto the filetransmittingobjection toregistrarobjection addedtransmitted toregistrarinforming claimantabout objection andhis options to react(Module1)claimantinformedchecking if claimantwants to engage theordinary legalprocedureyesnoapplying for

28、 thedivesture to thejudgepaying the costsfor an ordinaryprocedureappliedcosts payedgiving an order toinform the centralcosts office to sendhim the fileorder givensending file toclaimantcost officesent to claimantexecuting the filefile was executedsending back thefile to courtsofficefile received inc

29、ourts officeclaimantregistrarwriting officecourts officeModule 1registrarclaimantinformedusing Module 1!order givenparties informedregistrarcourts officeModule 2registrarregistrarclaimanttransfering theprocedure to thecompetent courttransferedinforming theparties about thetransfer(Module1)parties in

30、formedcheck if procedureshould betransferred to othercourt upon requestof claimantno request ofclaimant request ofclaimantasking ifdefendandagrees (Module2)defendandagrees totransfer toanother courtdefendandagrees notinformingdefendand aboutthe request(Module 1)registrardefendandinformedissueing the

31、enforcement orderupon application ofthe claimant(Module2)declaration about all paymentsenforcementissuedchecking ifapplication isconform to thetime limitO.K.not O.K.arranging theservingprocedureregistrarservingprocedurearrangedissueing aexecuted copyexecuted copyissuedregistrararranging thearchiving

32、 of thefileprocedure hasfinishedarrangedregistrararchiving the filecourts officechecking if file isarchived threeyearsfile archivednoyesdestructing allcostituent parts ofthe file except forthe enforcementorder destructedsignalizing on thefile if executeddoc has beenissuedsignalizeddestroying thewhol

33、e file after30yearsfile destroyedafter 30 yearsexecuting theprocedure流程A流程接口流程接口 流程c流程流程B IDS Scheer China www.ids- ARIS業(yè)務(wù)流程業(yè)務(wù)流程管理平臺(tái)的功能架構(gòu)管理平臺(tái)的功能架構(gòu)ERP套件系統(tǒng)套件系統(tǒng)業(yè)務(wù)統(tǒng)計(jì)數(shù)據(jù)業(yè)務(wù)統(tǒng)計(jì)數(shù)據(jù)業(yè)務(wù)操作表單業(yè)務(wù)操作表單主數(shù)據(jù)結(jié)構(gòu)主數(shù)據(jù)結(jié)構(gòu)主數(shù)據(jù)主數(shù)據(jù)業(yè)務(wù)操作數(shù)據(jù)業(yè)務(wù)操作數(shù)據(jù)業(yè)務(wù)操作員業(yè)務(wù)操作員業(yè)務(wù)流程藍(lán)圖業(yè)務(wù)流程藍(lán)圖ARIS管理平臺(tái)管理平臺(tái)流程操作規(guī)章流程操作規(guī)章業(yè)務(wù)流程架構(gòu)業(yè)務(wù)流程架構(gòu)管理操作數(shù)據(jù)管理操作數(shù)據(jù)流程管理員流程管理員企業(yè)管理戰(zhàn)略企業(yè)管理戰(zhàn)

34、略 IDS Scheer China www.ids- ARIS 業(yè)務(wù)流程管理平臺(tái)功能架構(gòu)的擴(kuò)展業(yè)務(wù)流程管理平臺(tái)功能架構(gòu)的擴(kuò)展ERP套件系統(tǒng)套件系統(tǒng)業(yè)務(wù)統(tǒng)計(jì)數(shù)據(jù)業(yè)務(wù)統(tǒng)計(jì)數(shù)據(jù)業(yè)務(wù)操作表單業(yè)務(wù)操作表單業(yè)務(wù)操作數(shù)據(jù)業(yè)務(wù)操作數(shù)據(jù)業(yè)務(wù)操作員業(yè)務(wù)操作員業(yè)務(wù)流程藍(lán)圖業(yè)務(wù)流程藍(lán)圖ARIS管理平臺(tái)管理平臺(tái)流程操作規(guī)章流程操作規(guī)章業(yè)務(wù)流程架構(gòu)業(yè)務(wù)流程架構(gòu)管理操作數(shù)據(jù)管理操作數(shù)據(jù)流程管理員流程管理員企業(yè)管理戰(zhàn)略企業(yè)管理戰(zhàn)略ARIS績(jī)效平臺(tái)績(jī)效平臺(tái)企業(yè)高層領(lǐng)導(dǎo)企業(yè)高層領(lǐng)導(dǎo)流程績(jī)效流程績(jī)效績(jī)效考核員績(jī)效考核員ARIS合規(guī)平臺(tái)合規(guī)平臺(tái)合規(guī)監(jiān)控員合規(guī)監(jiān)控員合規(guī)現(xiàn)狀合規(guī)現(xiàn)狀 IDS Scheer AG www.ids- 24

35、基于流程的風(fēng)險(xiǎn)文檔 (舉例)輸入合同條件ERPa會(huì)計(jì)師合同風(fēng)險(xiǎn)高級(jí)會(huì)計(jì)師c相關(guān)的風(fēng)險(xiǎn)屬性在這被賦值4 眼原理, a 執(zhí)行 c 監(jiān)控相關(guān)流程的建檔由相關(guān)流程的建檔由 ARIS ARIS 完成完成, , 這包括一這包括一個(gè)為風(fēng)險(xiǎn)管理而制訂的一套方法個(gè)為風(fēng)險(xiǎn)管理而制訂的一套方法與內(nèi)控相關(guān)的人員與內(nèi)控相關(guān)的人員 - - 控制活動(dòng)控制活動(dòng) 4 4 眼原理眼原理 執(zhí)行與控制：內(nèi)控與風(fēng)險(xiǎn)管理執(zhí)行與控制：內(nèi)控與風(fēng)險(xiǎn)管理 IDS Scheer AG www.ids- 25 Order from thecustomerpresentFill out order forme.g. fulfillment instr

36、uctionsLarge orders may bepassed directly from Sales toSales/Trading for further processing.Order may be entered under 01-36111 - 01-36114, 01-36211, 01-36214.Fixed price businessor AQRpresentNormalExecutionpresentPass order toperson responsible for execution01-36211GER DomesticInstitutions01-36214I

37、nternationalInstitutions01-36211GER DomesticInstitutions01-36214InternationalInstitutionsOrder form(shares)Order form(shares)Order withperson responsible for executionThere is no clear regulation governing this point.The order can be passed verballyor by order form.Record orderinformationPass order

38、tobrokerGL-TRADEConfirmationfrom GL-Tradepresentcan be called upon the same day;order fulfillmentconfirmation by telephone on the same dayConfirmationfrom the brokerpresentusually by thefollowing morning;order fulfillmentconfirmation by telephone on the same dayComplete order form01-36211GER Domesti

39、cInstitutions01-36214InternationalInstitutions01-36114Agency Dealing/ExecutionTelephonealternative (see above)Order formcompletedSubmit inquiry toTradingApproval fromTradingpresentComplete order form- Exchange rate- EB account- Value- CurrencyOrder formcompletedOrder form(shares)Check whether custom

40、erwishes to enter into currency protectionagreement01-36211GER DomesticInstitutions01-36214InternationalInstitutionsOrder form(shares)01-36211GER DomesticInstitutions01-36214InternationalInstitutions01-36211GER DomesticInstitutions01-36214InternationalInstitutionsCustomerwishes to enter into currenc

41、y protectionagreementCustomer does notwish to enter into currency protectionagreementInform TreasuryExchange rate and CPD arenoted on the order formconfirmation of transactionby Treasurypresentthe next dayAdd initials to transactionconfirmationWitness requirementTransactionconfirmationinitialedForwa

42、rd order formOrder form withDesk SupportAttach brokerconfirmationBrokerconfirmation attachedTransactionconfirmation(Treasury)BrokerconfirmationRecord transactiononly afterreceipt ofbroker confirmation- Type of transaction- Quantity- Kind- Limit- gross/net- Customer/account- Currency(for foreign curr

43、ency protected transactionthe Trading Cross Rateis recorded based on the order form)TransactionrecordedSend confirmationto customerby fax(Preliminary confirmation)Normally not sentbefore receipt ofbroker confirmationConfirmation sentto customerby faxTelephone01-36211GER DomesticInstitutions01-36214I

44、nternationalInstitutionsOMNI01-36211GER DomesticInstitutions01-36214InternationalInstitutions01-36211GER DomesticInstitutions01-36214InternationalInstitutionsOrder form(shares)FAXAttach settlement instructionsto customer transactionSettlement instructionsattached to customer transactionAttach transa

45、ctionsto customersTransactions attachedto customersAKTIASAKTIASe.g. for investmentcompaniesAllocation of a transactionto multiple fundsLiquidate shares(Cash) - Foreign01-36111Sales Trading01-36111Sales Trading01-36111Sales Trading01-36111Sales Trading01-36111Sales Trading01-36111Sales Trading01-3611

46、1Sales Trading01-36111Sales TradingTrade shares (Cash)Foreign stock exchanges -Proprietary tradingSend broker confirmationto WPSby bicycle courierBrokerconfirmationBroker confirmationsent to WPSdoes not usually reachPanmure for 2-3 days(rather an internal problem).Forwardingto MidOffice the same day

47、!AKTIASForward information tointerface withBSP-TRADEData presenton interface withBSP-TradeFrom order receipt untilarrival in WPSsometimes takes about 48 hours. About 80% are present afterone day. Settlement must normallybe completed by D+3.Supplement brokerconfirmationFor further processing in WPS:C

48、ustomer numberCustomer nameEB account(if necessary allocation to fund)(if necessary foreign exchange protection transaction)BrokerconfirmationsupplementedBrokerconfirmationOrder form(shares)For European marketsabout 50% of confirmations arrive on the same day(after 5 p.m.) and about 50% arrive on th

49、e followingmorning.File transactionconfirmationSend signedconfirmation of transactionto TreasuryTransactionconfirmation(Treasury)01-36211GER DomesticInstitutions01-36214InternationalInstitutions01-36111Sales TradingTransactionconfirmation(Treasury)TransactionconfirmationfiledTransactionconfirmationr

50、eceived by Treasury01-36211GER DomesticInstitutions01-36214InternationalInstitutions01-36111Sales TradingOrder form(shares)01-36211GER DomesticInstitutionsLiquidate shares(Cash) - ForeignBroker faxes arealso routed directly toWPS by fax forwarding.Liquidate shares(Cash) - ForeignBrokerconfirmationpr

51、esentusually arrive by thenext day!Received by fax orby GL.Notify customer offulfillmenton the same day;especially necessary fornet customersCustomer notified offulfillmentTelephone01-36211GER DomesticInstitutions01-36214InternationalInstitutionsTelephoneOrder form(shares)MA ExecutionSharesMA Execut

52、ionSharesMA Desk SupportDsseldorfMA Desk SupportDsseldorfMA Desk SupportDsseldorfMA Desk SupportDsseldorfMA Desk SupportDsseldorfMA Desk SupportDsseldorfMA Desk SupportDsseldorfFurther processingby TreasuryTrade Control:Monitor marketconditionsSharesOrder acceptance:- Sales to note order on an order

53、 form (paper-based!)- no serial number assigned (not compliant with MAH)- order form serves as basis for furtherprocessing; information on the order form is not alwayscomplete (source of errors in subsequent processing)- Sales und Trading do not always supply all necessary information on order forms

54、.- no system support! Work performed entirely by hand.Order administration- no overview of orders on hand and associated status,because system support lacking- Order forms lie loose on traders desks- no overview of the status of orders, i.e. danger ofduplicate processing or non-processingOrder fulfi

55、llment:- Order form passed to the Execution Desk by hand,Risk of loss of information with manual transfer- Time-consuming manual additions to the order form necessary (e.g. exchange rate);ultimately this is recorded twice: once on the form, once in the systemFurther processing:- Manual transfer of o

56、rder form to the MidOffice, risk of transmission errorsand delays here also- Further processing in MidOffice not until the following day- Delay while waiting for broker fax as external transaction confirmation (does not arrive until the following day)- Need to refer to external data because internal

57、 information system inadequate;operational risk!- Information on the order form frequently differs from that on the broker fax- Information on the order form is often incorrectFurther processing (next day):- MidOffice must perform lengthy manual comparison of information on the order formwith inform

58、ation on the broker fax.- Sending fax confirmation to the customer(by hand, therefore a source of errors and delays)Further processing (2 redundant steps):1.- Manual addition to broker fax of data required for further processing in the WPS bank(e.g. customer number, customer name, EB account, )- Tra

59、nsfer of the broker fax to the WPS bank by bicycle courier (!)2.- Recording of transaction in the OMNI system (not on the same day, therefore not MAH compliant)- Additions to transaction (e.g. settlement instructions) in AKTIAS (duplicated work!)Receipt of external broker confirmationin Trading is n

60、ot MAH compliant!監(jiān)控點(diǎn)1監(jiān)控點(diǎn)2客戶服務(wù)流程客戶服務(wù)流程StartEnd客戶投訴流程客戶投訴流程監(jiān)控點(diǎn)3監(jiān)控點(diǎn)4分析與優(yōu)化分析與優(yōu)化: 流程績(jī)效的監(jiān)控和分析流程績(jī)效的監(jiān)控和分析 IDS Scheer AG www.ids- 26客戶價(jià)值客戶價(jià)值4可視透明的業(yè)務(wù)流程 / 層次清晰的流程結(jié)構(gòu)4業(yè)務(wù)語(yǔ)言統(tǒng)一、文檔化的流程、定量/定性的問題發(fā)現(xiàn)4形成未來信息系統(tǒng)的需求框架4形成共識(shí)的業(yè)務(wù)改進(jìn)衡量指標(biāo)4明晰的優(yōu)化目標(biāo)、流程改進(jìn)控制程序 結(jié)果結(jié)果流程可視化流程可視化流程改進(jìn)流程改進(jìn)/優(yōu)化報(bào)告優(yōu)化報(bào)告 流程定性結(jié)構(gòu)分析流程定性結(jié)構(gòu)分析衡量指標(biāo)部分衡量指標(biāo)部分 流程分析結(jié)果 衡量指標(biāo) 優(yōu)化程序 流程定量統(tǒng)計(jì)