內(nèi)審和外審技巧培訓(xùn)課件

1Electro-MechanicsSolutionProviderIntegratedTheInternal/ExternalAuditSkills1Electro-MechanicsSolutionPro21)DefinitionofAudit,AuditScope&Schedule/Ex1審核的定義，審核的范圍以及進(jìn)度表/練習(xí)12)AuditTools&ProcessFlowCharting/Ex2審核的工具與程序流程圖/練習(xí)23)Auditors’Skill&AuditTrail/Ex3審核員的技巧與審核追蹤/練習(xí)34)AuditChecklist/Ex4審核清單/練習(xí)45)Auditreport&CorrectiveActions/Ex5審核報(bào)告與糾正措施/練習(xí)56)FollowUpActions后續(xù)工作7)PracticalAudit(RolePlay)審核的應(yīng)用（角色扮演）Contents內(nèi)容21)DefinitionofAudit,Audit3“Isdefinedasanindependentsystematicappraisaloftheoperationorproceduresforthepurposeofdeterminingconformitywithprescribedstandards,eg.Hi-PGlobalDirectionetc..”

DefinitionofAudit審核的定義“審核被定義為一種獨(dú)立的系統(tǒng)評估，用于評估操作或程序以決定指示標(biāo)準(zhǔn)的一致性，例如：赫比全球手冊等”

3“Isdefinedasanindependent4TheOperatingProcess操作程序INPUT(Specified)輸入（詳細(xì)說明）OUTPUT(Monitored)輸出（受監(jiān)控）PROCESS(Controlled)處理（受控制）4TheOperatingProcess操作程序IN5TheOrganizationalActivities

有組織的活動(dòng)OPERATINGPROCESS操作程序SUPPORTACTIVITIES支撐活動(dòng)5TheOrganizationalActivities6SystemDocumentation系統(tǒng)文件化PolicyManualProceduresSystemDocumentation(egWI,SOPsetc)方針手冊程序系統(tǒng)文件化（如：WI,SOPs等）6SystemDocumentation系統(tǒng)文件化Po7TheOperatingProcedures操作程序4criticaltestsforoperatingprocedures

操作程序的4項(xiàng)關(guān)鍵測試Understandable可理解的Actionable可執(zhí)行的Canbeaudited可以被審核的Mandatory強(qiáng)制的

7TheOperatingProcedures操作程8TheImprovementCycle改進(jìn)循環(huán)Audits(Internal/External)CorrectiveActionsManagementReview&SystemChange審核（內(nèi)部/外部）糾正措施管理層評論以及系統(tǒng)變更8TheImprovementCycle改進(jìn)循環(huán)Au9TheChangeProcess變更的過程CorrectiveActions糾正措施CustomerComplaints客戶投訴SOURCEOFCHANGE變更的來源INVESTIGATION&RECOMMENDATION調(diào)查與建議DECISION決定CHANGE變更APPROVAL&IMPLEMENTATION批準(zhǔn)與執(zhí)行GoodIdeas好的建議In-ProcessProblems進(jìn)程中的問題ExternalAudits外部審核InternalAudits內(nèi)部審核ManagementReviews管理層評論DocumentChanges文件變更Approval&Practice批準(zhǔn)與執(zhí)行9TheChangeProcess變更的過程Corr101)Toevaluateandassessactualactivitieswithprescribedstandards;egliketheHi-PGlobalDirectionetc.以規(guī)定的標(biāo)準(zhǔn)為基礎(chǔ)來評估實(shí)際的行動(dòng)；如：赫比全球手冊2)Toidentifystrengthsandweaknesses.以識別優(yōu)點(diǎn)與缺點(diǎn)3)Toassesssuppliersorsubcontractors.以評估供應(yīng)商或承包供應(yīng)商4)Toprovidefeedbacktomanagement.以提供反饋給管理層5)Tobridgecommunication.以建立溝通橋梁6)Toanalyzeobjectiveevidenceandpresentfacts.以分析目標(biāo)的證明與現(xiàn)在的事實(shí)7)Toimprovesystemsandpractices以改進(jìn)系統(tǒng)與實(shí)踐WhyAudit?為什么需要審核？101)Toevaluateandassessac11Asystemauditaskswhetherornotthereisamanagementsysteminexistencethatprovidesanassurancethattheactivityofinterestisbeingaccomplishedasrequired.系統(tǒng)審核將會詢問是否擁有可以證實(shí)該活動(dòng)已經(jīng)執(zhí)行了的管理系統(tǒng)AuditDepth審核的深度Thecomplianceauditaskswhetherornotthatmanagementsystemisbeingimplemented.合規(guī)性審核將會詢問該管理系統(tǒng)是否已經(jīng)執(zhí)行了SYSTEMAUDIT

系統(tǒng)審核COMPLIANCEAUDIT

合規(guī)性審核11Asystemauditaskswhether12AuditDepth審核的深度Policies/ManualandProceduresStandardOperatingProcedures/WorkInstructionsanditsimplementationGapsclosure/continuousimprovementprogramsinsystemsandpracticesSystemsAuditComplianceAuditOMSauditwillcoverboththeSystemandComplianceauditdepthOMS審核將會包括系統(tǒng)審核與合規(guī)性審核在系統(tǒng)和時(shí)間里進(jìn)行關(guān)閉間隙/持續(xù)改進(jìn)方針/手冊以及程序標(biāo)準(zhǔn)操作程序/操作指示以及其執(zhí)行合規(guī)性審核系統(tǒng)審核12AuditDepth審核的深度Policies/S13FullAuditcomprisesthefulldepthofSystemauditandComplianceaudit.全面審核完全包含系統(tǒng)審核以及合規(guī)性審核AuditScope審核范圍Partial,orPhasedauditcomprisesthesectionalauditwhichfocusontheproblemarea;egfunction/department/specificprocess,orproduct.部分，局部審核包含針對問題范圍的部分審核；如：功能/部門/明確的程序或產(chǎn)品FULLAUDIT

全面審核PARTIAL,PHASEDAUDIT

部分，局部審核Followupauditappliestoclosureofactionstocorrectthepreviousauditfindings/ornon-conformities.后續(xù)工作審核適用于結(jié)束那些用于改正之前審核的發(fā)現(xiàn)/不合規(guī)格的活動(dòng)FOLLOWUPAUDIT

后續(xù)工作審核13FullAuditcomprisestheful14*Contactcompanyandarrangevisit(mayincludeapre-visit).*聯(lián)系公司并安排探訪（可以包括預(yù)先探訪）Establishtimeframeandschedule.設(shè)立時(shí)間結(jié)構(gòu)與進(jìn)度表Formauditteamandconductbriefing.成立審核小組以及召開簡報(bào)會IntroduceteamandOpeningmeeting.介紹成員以及進(jìn)行開幕的會議Carryoutaudit.進(jìn)行審核Summarizefindingswithteam.與小組總結(jié)發(fā)現(xiàn)Presenttomanagement.呈現(xiàn)予管理層Agreeoncourseofaction.贊成該執(zhí)行的行動(dòng)Auditreport.審核報(bào)告Followuponcorrectiveactions.對糾正措施進(jìn)行后續(xù)工作AuditSchedule審核進(jìn)度表14*Contactcompanyandarrange15Exercise練習(xí)(1)Formulationofauditscheduleforainternalqualityaudit.簡潔陳述內(nèi)部質(zhì)量審核的審核進(jìn)度表Toallowparticipantstodiscussandlearnhowtoproduceascheduleofaudit.允許參與者討論并學(xué)習(xí)如何規(guī)劃審核的進(jìn)度表Formintogroupsof3~4people.3-4個(gè)成員組成一個(gè)小組Appointachairpersonandpresenter.

指派一位主席以及呈現(xiàn)者Discussthescheduleofaudit,groupsmaychoosefromthe3options:討論審核進(jìn)度表，小組擁有3各選擇： Option1-AuditContractReview選擇1–審核合同回顧 Option2-AuditProcessControl選擇2–審核程序控制 Option3-AuditCalibrationControl選擇3–審核校驗(yàn)控制Writescheduleinspreadsheet.將進(jìn)度表寫下Presenttoclass.課堂呈現(xiàn)

TOPIC:主題：OBJECTIVE:目的：PROCEDURE:程序：15Exercise練習(xí)(1)Formulationo16AuditTools審核工具1)ProcessFlowChart程序流程圖Understandingthenatureofbusinessanditsoperations.理解商業(yè)的本性以及它的操作模式IdentifytheKeyElements.識別關(guān)鍵要素AssigntherelevantGDrequirementstotheactivities.指派相關(guān)的全球手冊（GD）要求給活動(dòng)2)AuditChecklist審核清單Toformthecheckpointduringtheaudittrail.

用于進(jìn)行審核追蹤時(shí)的檢查點(diǎn)3)Standards(eg.GlobalDirectionetc)標(biāo)準(zhǔn)（例如：全球手冊等）Toformasreferencestandardduringthewholeauditprocess.用于審核進(jìn)行時(shí)的參考標(biāo)準(zhǔn)4)QualityManual/Procedures質(zhì)量手冊／程序Toformasreferencedocumentsduringthewholeauditprocess.用于審核進(jìn)行時(shí)的參考文件16AuditTools審核工具1)Process17BusinessProcess商業(yè)程序Customers客戶Sales&BD銷售&業(yè)務(wù)拓展OrderHandling訂單處理ProdPlanning生產(chǎn)計(jì)劃Manufacturing制造FGI成品檢驗(yàn)RequirementsReview需求評論QA/QCPurchasing采購部ContinuousImprovement持續(xù)改進(jìn)HR人力資源部17BusinessProcess商業(yè)程序Custom18ProcessFlowChart程序流程圖ContractReview合同評論WorkOrderIntake訂單接受JobIncoming引入工作JobInProcess進(jìn)行工作CustomerAcceptance客戶收貨InvoiceBilling簽收發(fā)貨單AfterSalesService售后服務(wù)End結(jié)束Sub-contract次合同SparesManagement備用設(shè)備Start開始18ProcessFlowChart程序流程圖Con19Exercise練習(xí)(2)ProcessFlowCharting制程序流程圖Toallowparticipantstoestablishtherequiredprocessflowtoguidetheauditactivitiesduringtheaudittrail.允許參與者制作用于指導(dǎo)審核追蹤的流程圖Formintogroupsof3~4people.3-4個(gè)成員組成一個(gè)小組Appointachairpersonandpresenter.

指派一位主席以及呈現(xiàn)者Discussanddefinethedetailprocessflowoutliningkeyactivitiesusingoneoftheoptions:討論并確認(rèn)詳細(xì)的程序流程，利用一下其中一種選擇略述關(guān)鍵活動(dòng)： Option1-AuditContractReview選擇1–審核合同回顧 Option2-AuditProcessControl選擇2–審核程序控制 Option3-AuditCalibrationControl選擇3–審核校驗(yàn)控制Writescheduleinspreadsheet.將進(jìn)度表寫下Presenttoclass.課堂呈現(xiàn)

TOPIC:主題：OBJECTIVE:目的：PROCEDURE:程序：19Exercise練習(xí)(2)ProcessFlow20Auditor’sSkill審核員的技巧GoodCommunicator好的交流者TactfulandDiplomatic得體與圓滑AssertivebutnotAggressive

有自信但不具攻擊性SoundJudgment具判斷力

ObjectiveandConstructive有目標(biāo)以及建設(shè)性Firm;tenaciousbutflexible嚴(yán)格；頑強(qiáng)但融通20Auditor’sSkill審核員的技巧Go21BeingAssertive有自信

Respecttherightsofothers尊重他人的權(quán)利Takeresponsibilities負(fù)責(zé)任Beingspecific明確說明Consistent一致ConfidentandPositive自信并正面想法Re-assuring可靠21BeingAssertive有自信Respe22AggressiveBehavior攻擊性的行為Aimistowin把“勝利”當(dāng)作目標(biāo)Standupforyourrights堅(jiān)持自己的權(quán)利Expressyourviewsatallcost

不惜任何代價(jià)把自己的觀點(diǎn)提出來Violaterightsofothers冒犯別人的權(quán)利Ignoring,disregardingordiscountingneeds,wants,views&feelingsofothers

忽視，漠視或折損別人的需求、需要、意見以及感受22AggressiveBehavior攻擊性的行為23WARNING!!!警告?。?！

YouarenotanINTERROGATOR！你并不是質(zhì)問者！Approximately75%ofthetaskislistening!大約75%的任務(wù)是聆聽！23WARNING!!!警告！?。ou24FactorInference?Itisvitalforauditorstoseekandrecordfactsandtoavoidmakingassumptionsandinferences.Readthefollowingparagraphcarefully: “LimAhYip,aPurchasingManagerfromWXYCompanywasscheduledfora12:00meetinginPhilipHeng’sofficetodiscussthetermsofalargeorder. OnthewaytothatofficethePurchasingManagerisslippedonafreshlywaxedfloor,andasaresultreceivedabadlybruisedleg.BythetimePhilipwasnotifiedoftheaccident,LimwasonthewaytothehospitalforX-rays.Philipcalledthehospitaltoenquireandno-onethereseemedtoknowanythingaboutLim. It’spossiblethatPhilipcalledthewronghospital”Next…completetheexerciseinthefollowingslide…24FactorInference?Itisvita25事實(shí)或推論？審核員應(yīng)該尋求并記錄事實(shí)，而非假設(shè)或推論。這一點(diǎn)至關(guān)重要。請仔細(xì)閱讀下列文章： “林亞葉是WXY公司的采購部經(jīng)理，他和Philip王安排了一場12:00的會議，會議的目的是為了討論大交易的期限并會在Philip王的辦公室進(jìn)行。

在路途中，這位采購部經(jīng)理在剛剛打蠟的地上滑倒了，結(jié)果他的腿嚴(yán)重瘀傷了。當(dāng)Philip獲知此事件后，林先生已經(jīng)在前往醫(yī)院接受X光檢查的途中了。Philip致電醫(yī)院查問，但卻發(fā)現(xiàn)那兒好像沒人知道任何有關(guān)林先生的事情。

這有可能是Philip聯(lián)絡(luò)了錯(cuò)的醫(yī)院”接下來…請完成下頁的練習(xí)…25事實(shí)或推論？審核員應(yīng)該尋求并記錄事實(shí)，而非假設(shè)或推論。這26FactorInference?Havingreadtheparagraphinthepreviousslide,pleaseclassifyeachofthefollowingstatementsas“fact”or“inference”andenteran“F”or“I”accordinglyintheboxesontherighthandside.Usethefollowingasdefinitions:Fact:Astatementthatcanbeeasilyverifiedbycheckingitssource.Inference:Astatementabouttheunknownbasedonwhatisknown.1.Mr.LimisaPurchasingManager2.LimwassupposedtomeetwithPhilip3.Limwasscheduledfora10o’clockmeeting4.TheaccidenthappenedattheXYZCompany5.LimwastakentothehospitalforX-ray6.No-oneatthehospitalwhichPhilipcalledknewanythingabouthim7.Philiphadcalledthewronghospital26FactorInference?Havingrea27事實(shí)或推論？閱讀上頁的文章后，請把下列的陳述分類為“事實(shí)”或“推論”，并在右邊的格子里寫上“F”（事實(shí)）或“I”（推論）利用下列的述說為定義：事實(shí)：檢查來源就容易被證實(shí)的陳述推論：依據(jù)已知的來建立的未知陳述1.林先生是一位采購部經(jīng)理2.林先生應(yīng)該和Philip見面3.林先生安排了一場10點(diǎn)鐘的會議4.該意外事件發(fā)生在XYZ公司5.林先生被送往醫(yī)院接受X光檢查6.和Philip通電話的醫(yī)院里，沒有任何人知道任何關(guān)于他的事情7.Philip聯(lián)絡(luò)了錯(cuò)的醫(yī)院27事實(shí)或推論？閱讀上頁的文章后，請把下列的陳述分類為“事實(shí)28CommunicationSkills溝通技巧Verbal&Written口頭與書面Alertondifferentcountrylanguagesandtheirculture

需注意不同國家的語言以及文化BodyLanguage肢體語言Auditor’seyecontact&bodygestures

審核員的眼神交流與身體姿態(tài)、手勢StyleandSpeech風(fēng)格與演說Demandbutnotshout

有要求但并不是咆哮28CommunicationSkills溝通技巧29TheAuditTriangle

(obtaininginformation)

審核的三角形（獲得資料的方法）ASKTHEQUESTION發(fā)問AGAINSTCHECKLIST

根據(jù)清單OBSERVE觀察WHATISACTUALLYHAPPENING

事實(shí)上什么事情正在發(fā)生CHECKPRACTICE檢查實(shí)踐AGAINSTPROCEDURE&Hi-PGLOBALDIRECTION

根據(jù)程序以及赫比全球手冊29TheAuditTriangle(obtainin30Questioning發(fā)問OPEN開放式WHATAREYOUDOINGTOMORROW?

明天你將會做什么？PROBING探測式WHATAREYOUDOINGHERE?

你在這里做什么？CLOSED關(guān)閉式ISITRAINING?

現(xiàn)在下雨嗎？30Questioning發(fā)問OPEN開放式31AuditTrail審核追蹤Understandthesequence&inter-relationof‘workactivities’

了解“操作活動(dòng)”的順序與相互關(guān)聯(lián)Identifyworkprocedures&associatedprocedures/SOPs

確認(rèn)操作程和與其關(guān)聯(lián)的程序/標(biāo)準(zhǔn)操作程序AssignrelevantGlobalDirectionelementstothe‘workactivities’

指派相關(guān)的全球手冊里的基礎(chǔ)予“操作活動(dòng)”Developchecklistinaccordancewithidentifiedelements

開發(fā)清單使得與已識別基礎(chǔ)一致AllowsAuditorsto:給審核員機(jī)會：31AuditTrail審核追蹤Understa32Exercise練習(xí)(3)RelevantGlobalDirectionElements相關(guān)的全球手冊基礎(chǔ)ToallowparticipantstoidentifytherelevantGlobalDirectionelementsfortheauditfromtheProcessFlowChartestablished.允許參與者制作用于指導(dǎo)審核追蹤的流程圖Formintogroupsof3~4people.3-4個(gè)成員組成一個(gè)小組Appointachairpersonandpresenter.

指派一位主席以及呈現(xiàn)者

FromtheestablishedProcessFlowChartandtheGlobalDirection(GD).IndicaterelevanttheGDelementstosupporttheProcessFlowactivities.利用已經(jīng)確認(rèn)了的程序流程圖以及全球手冊，指派相關(guān)的GD基礎(chǔ)，以支持程序流程的活動(dòng)Writescheduleinspreadsheet.將進(jìn)度表寫下Presenttoclass.課堂呈現(xiàn)

TOPIC:主題：OBJECTIVE:目的：PROCEDURE:程序：32Exercise練習(xí)(3)RelevantGlob33PurposeofanAuditChecklist

建議審核清單IdentifyandcommunicatethescopeoftheAudit確認(rèn)并傳達(dá)溝通審核的范圍Reflecttheobjectivesoftheaudit反映審核的目的Coverallaspectsofthefunction/activitybeingaudited全方面概括將被審核的功能/活動(dòng)Serveasaguideandprovideframework是一種指南，并提供框架

33PurposeofanAuditChecklis34PreparinganAuditChecklist

準(zhǔn)備審核清單Identifyrequirementsofstandards(egHi-P GlobalDirectionetc.)確認(rèn)標(biāo)準(zhǔn)的需求（如赫比全球手冊等）ListouttheKeyactivities(usingProcessFlowChart)列出關(guān)鍵活動(dòng)（利用程序流程圖）AssigntherelevantGlobalDirectionselements指派相關(guān)的全球手冊基礎(chǔ)BreakdownintoIdentifiablesub-elements細(xì)目分類為可以確認(rèn)的小基礎(chǔ)Followlogicalsequence順著合乎邏輯的次序34PreparinganAuditChecklist35Interpretation1.1.1StrategyProcess:

Respectivesiteshouldhaveastrategy..Hi-PGlobalDirectionElements35Interpretation1.1.1Strategy36解釋1.1.1策略程序：

個(gè)別的公司應(yīng)該擁有一個(gè)策略…赫比全球手冊基礎(chǔ)36解釋1.1.1策略程序：

個(gè)別的公司應(yīng)該擁有一個(gè)策略…37AuditChecklist審核清單1.1BusinessVision&Strategy

商業(yè)的愿景與策略IsthereaCompanyVision(approvedand communicatedHi-Pwide)?是否擁有公司愿景（經(jīng)批準(zhǔn)并在赫比公司里流傳溝通）？IsthereaCompanystrategyinlinewiththeCompanyVision?是否擁有一個(gè)和公司愿景一致的公司策略？Isthereadocumentedplanforimplementation?是否擁有備有文件證明的計(jì)劃以供執(zhí)行？Yes/No是/不是Yes/No是/不是Yes/No是/不是Remarks備注:Results: Conformance/NonConformance

結(jié)果：一致/不一致GDScore: minimum75%

GD得分：

最低75%37AuditChecklist審核清單1.138Exercise練習(xí)(4)AuditChecklist審核清單Toallowparticipantstoestablishanauditchecklistforthedifferentarea/elementsassigned.允許參與者為不同的范圍/基礎(chǔ)設(shè)立審核清單Formintogroupsof3~4people.3-4個(gè)成員組成一個(gè)小組Appointachairpersonandpresenter.

指派一位主席以及呈現(xiàn)者InterprettheassignedHi-PGlobalDirectionelementanditsrequirementsandestablishasetofquestionnaires.解釋被指派的赫比全球手冊的基礎(chǔ)，以及它的要求，并編制一份問卷Writescheduleinspreadsheet.將進(jìn)度表寫下Presenttoclass.課堂呈現(xiàn)TOPIC:主題：OBJECTIVE:目的：PROCEDURE:程序：38Exercise練習(xí)(4)AuditCheckl39TheFindings發(fā)現(xiàn)Recordedanddocumented紀(jì)錄并存檔為文件Validated&ConfirmedbyAuditee由被審核方驗(yàn)證并證實(shí)Analyze&highlightgoodpractices分析以及強(qiáng)調(diào)好的示范SummarizeandassignGDscore(useself assessmentcolumn)總結(jié)并分配GD分?jǐn)?shù)（使用自我評估的專欄）VerbalDebriefofAuditFindingSummary聽取審核結(jié)果的口頭總結(jié)報(bào)告39TheFindings發(fā)現(xiàn)Recorded40AuditorsShould..審核員必須...

Keepinmindtheauditobjectives清楚記住審核的目的

Adoptafairandobjectiveapproach采用公正以及客觀的方式

Staywithintheirdefinedauthority身處于他們本身被賦予的職責(zé)

Coverallchecklistpoints

(butnotbeinhibited

bythem)概括清單里所有的要點(diǎn)

（但不是限制于它們）

KeeptotheAuditTrail遵守審核追蹤

40AuditorsShould..審核員必須...41TheAuditReport審核報(bào)告Factualrecordofdegreeofcompliance合規(guī)性的實(shí)際紀(jì)錄Providesreferencebaseforfutureappraisal提供參考的基礎(chǔ)，以供未來的評估Providesrecordofdeficiencies提供“缺陷”的報(bào)告Formalrequestforcorrectiveaction糾正措施的正式要求

41TheAuditReport審核報(bào)告Fac42CorrectiveAction糾正措施OutlinedeficiencythroughTracker(3Why)/or8Dform使用Tracker(3Why)或8D表格來略述“缺陷”TimescalesandResponsibilitiestoberesponded byManagement/DeptHODs時(shí)間表以及管理層/部門主管的責(zé)任Timescalesmustberealistic時(shí)間表必須是符合現(xiàn)實(shí)的ActionusingPDCAmethodology(Short&LongTerm)利用PDCA來執(zhí)行（長期與短期）VerifiedactionsinFollow-upaudit在后續(xù)審核進(jìn)行檢驗(yàn)行動(dòng)

42CorrectiveAction糾正措施Ou43Exercise練習(xí)(5)AuditReport審核清單Toallowparticipantstolearntheusageofthe‘SelfAssessmentGDReport”.允許參與者為不同的范圍/基礎(chǔ)設(shè)立審核清單Formintogroupsof3~4people.3-4個(gè)成員組成一個(gè)小組Appointachairpersonandpresenter.

指派一位主席以及呈現(xiàn)者Case:Theauditteamfoundthattheresinusedbymanufacturingwasnotfromanapprovedsupplier.Norecordsordocumentationwasavailable. Whatdoyouproceedfromhere?

案例：審核小組發(fā)現(xiàn)車間使用的樹脂并非來直徑核準(zhǔn)的供應(yīng)商。沒有任何的記錄或文件。你會如何進(jìn)行？4)Writescheduleinspreadsheet.將進(jìn)度表寫下5)Presenttoclass.課堂呈現(xiàn)TOPIC:主題：OBJECTIVE:目的：PROCEDURE:程序：43Exercise練習(xí)(5)AuditReport44FollowUpActions后續(xù)工作FOLLOWUP后續(xù)工作ProblemIdentify識別問題Openproblem公開問題CloseProblem問題結(jié)束Re-Openproblem重開問題ActionsVerify檢驗(yàn)行動(dòng)ActionsImplement行動(dòng)執(zhí)行CauseDetermine確定原因ProblemInvestigate問題研究Effective?有效嗎？YES是NO不是44FollowUpActions后續(xù)工作FOLLO45Q&A45Q&A46Thankyou!46Thankyou!47Let'sWorkingtogether47Let'sWorkingtogether48Electro-MechanicsSolutionProviderIntegratedTheInternal/ExternalAuditSkills1Electro-MechanicsSolutionPro491)DefinitionofAudit,AuditScope&Schedule/Ex1審核的定義，審核的范圍以及進(jìn)度表/練習(xí)12)AuditTools&ProcessFlowCharting/Ex2審核的工具與程序流程圖/練習(xí)23)Auditors’Skill&AuditTrail/Ex3審核員的技巧與審核追蹤/練習(xí)34)AuditChecklist/Ex4審核清單/練習(xí)45)Auditreport&CorrectiveActions/Ex5審核報(bào)告與糾正措施/練習(xí)56)FollowUpActions后續(xù)工作7)PracticalAudit(RolePlay)審核的應(yīng)用（角色扮演）Contents內(nèi)容21)DefinitionofAudit,Audit50“Isdefinedasanindependentsystematicappraisaloftheoperationorproceduresforthepurposeofdeterminingconformitywithprescribedstandards,eg.Hi-PGlobalDirectionetc..”

DefinitionofAudit審核的定義“審核被定義為一種獨(dú)立的系統(tǒng)評估，用于評估操作或程序以決定指示標(biāo)準(zhǔn)的一致性，例如：赫比全球手冊等”

3“Isdefinedasanindependent51TheOperatingProcess操作程序INPUT(Specified)輸入（詳細(xì)說明）OUTPUT(Monitored)輸出（受監(jiān)控）PROCESS(Controlled)處理（受控制）4TheOperatingProcess操作程序IN52TheOrganizationalActivities

有組織的活動(dòng)OPERATINGPROCESS操作程序SUPPORTACTIVITIES支撐活動(dòng)5TheOrganizationalActivities53SystemDocumentation系統(tǒng)文件化PolicyManualProceduresSystemDocumentation(egWI,SOPsetc)方針手冊程序系統(tǒng)文件化（如：WI,SOPs等）6SystemDocumentation系統(tǒng)文件化Po54TheOperatingProcedures操作程序4criticaltestsforoperatingprocedures

操作程序的4項(xiàng)關(guān)鍵測試Understandable可理解的Actionable可執(zhí)行的Canbeaudited可以被審核的Mandatory強(qiáng)制的

7TheOperatingProcedures操作程55TheImprovementCycle改進(jìn)循環(huán)Audits(Internal/External)CorrectiveActionsManagementReview&SystemChange審核（內(nèi)部/外部）糾正措施管理層評論以及系統(tǒng)變更8TheImprovementCycle改進(jìn)循環(huán)Au56TheChangeProcess變更的過程CorrectiveActions糾正措施CustomerComplaints客戶投訴SOURCEOFCHANGE變更的來源INVESTIGATION&RECOMMENDATION調(diào)查與建議DECISION決定CHANGE變更APPROVAL&IMPLEMENTATION批準(zhǔn)與執(zhí)行GoodIdeas好的建議In-ProcessProblems進(jìn)程中的問題ExternalAudits外部審核InternalAudits內(nèi)部審核ManagementReviews管理層評論DocumentChanges文件變更Approval&Practice批準(zhǔn)與執(zhí)行9TheChangeProcess變更的過程Corr571)Toevaluateandassessactualactivitieswithprescribedstandards;egliketheHi-PGlobalDirectionetc.以規(guī)定的標(biāo)準(zhǔn)為基礎(chǔ)來評估實(shí)際的行動(dòng)；如：赫比全球手冊2)Toidentifystrengthsandweaknesses.以識別優(yōu)點(diǎn)與缺點(diǎn)3)Toassesssuppliersorsubcontractors.以評估供應(yīng)商或承包供應(yīng)商4)Toprovidefeedbacktomanagement.以提供反饋給管理層5)Tobridgecommunication.以建立溝通橋梁6)Toanalyzeobjectiveevidenceandpresentfacts.以分析目標(biāo)的證明與現(xiàn)在的事實(shí)7)Toimprovesystemsandpractices以改進(jìn)系統(tǒng)與實(shí)踐WhyAudit?為什么需要審核？101)Toevaluateandassessac58Asystemauditaskswhetherornotthereisamanagementsysteminexistencethatprovidesanassurancethattheactivityofinterestisbeingaccomplishedasrequired.系統(tǒng)審核將會詢問是否擁有可以證實(shí)該活動(dòng)已經(jīng)執(zhí)行了的管理系統(tǒng)AuditDepth審核的深度Thecomplianceauditaskswhetherornotthatmanagementsystemisbeingimplemented.合規(guī)性審核將會詢問該管理系統(tǒng)是否已經(jīng)執(zhí)行了SYSTEMAUDIT

系統(tǒng)審核COMPLIANCEAUDIT

合規(guī)性審核11Asystemauditaskswhether59AuditDepth審核的深度Policies/ManualandProceduresStandardOperatingProcedures/WorkInstructionsanditsimplementationGapsclosure/continuousimprovementprogramsinsystemsandpracticesSystemsAuditComplianceAuditOMSauditwillcoverboththeSystemandComplianceauditdepthOMS審核將會包括系統(tǒng)審核與合規(guī)性審核在系統(tǒng)和時(shí)間里進(jìn)行關(guān)閉間隙/持續(xù)改進(jìn)方針/手冊以及程序標(biāo)準(zhǔn)操作程序/操作指示以及其執(zhí)行合規(guī)性審核系統(tǒng)審核12AuditDepth審核的深度Policies/S60FullAuditcomprisesthefulldepthofSystemauditandComplianceaudit.全面審核完全包含系統(tǒng)審核以及合規(guī)性審核AuditScope審核范圍Partial,orPhasedauditcomprisesthesectionalauditwhichfocusontheproblemarea;egfunction/department/specificprocess,orproduct.部分，局部審核包含針對問題范圍的部分審核；如：功能/部門/明確的程序或產(chǎn)品FULLAUDIT

全面審核PARTIAL,PHASEDAUDIT

部分，局部審核Followupauditappliestoclosureofactionstocorrectthepreviousauditfindings/ornon-conformities.后續(xù)工作審核適用于結(jié)束那些用于改正之前審核的發(fā)現(xiàn)/不合規(guī)格的活動(dòng)FOLLOWUPAUDIT

后續(xù)工作審核13FullAuditcomprisestheful61*Contactcompanyandarrangevisit(mayincludeapre-visit).*聯(lián)系公司并安排探訪（可以包括預(yù)先探訪）Establishtimeframeandschedule.設(shè)立時(shí)間結(jié)構(gòu)與進(jìn)度表Formauditteamandconductbriefing.成立審核小組以及召開簡報(bào)會IntroduceteamandOpeningmeeting.介紹成員以及進(jìn)行開幕的會議Carryoutaudit.進(jìn)行審核Summarizefindingswithteam.與小組總結(jié)發(fā)現(xiàn)Presenttomanagement.呈現(xiàn)予管理層Agreeoncourseofaction.贊成該執(zhí)行的行動(dòng)Auditreport.審核報(bào)告Followuponcorrectiveactions.對糾正措施進(jìn)行后續(xù)工作AuditSchedule審核進(jìn)度表14*Contactcompanyandarrange62Exercise練習(xí)(1)Formulationofauditscheduleforainternalqualityaudit.簡潔陳述內(nèi)部質(zhì)量審核的審核進(jìn)度表Toallowparticipantstodiscussandlearnhowtoproduceascheduleofaudit.允許參與者討論并學(xué)習(xí)如何規(guī)劃審核的進(jìn)度表Formintogroupsof3~4people.3-4個(gè)成員組成一個(gè)小組Appointachairpersonandpresenter.

指派一位主席以及呈現(xiàn)者Discussthescheduleofaudit,groupsmaychoosefromthe3options:討論審核進(jìn)度表，小組擁有3各選擇： Option1-AuditContractReview選擇1–審核合同回顧 Option2-AuditProcessControl選擇2–審核程序控制 Option3-AuditCalibrationControl選擇3–審核校驗(yàn)控制Writescheduleinspreadsheet.將進(jìn)度表寫下Presenttoclass.課堂呈現(xiàn)

TOPIC:主題：OBJECTIVE:目的：PROCEDURE:程序：15Exercise練習(xí)(1)Formulationo63AuditTools審核工具1)ProcessFlowChart程序流程圖Understandingthenatureofbusinessanditsoperations.理解商業(yè)的本性以及它的操作模式IdentifytheKeyElements.識別關(guān)鍵要素AssigntherelevantGDrequirementstotheactivities.指派相關(guān)的全球手冊（GD）要求給活動(dòng)2)AuditChecklist審核清單Toformthecheckpointduringtheaudittrail.

用于進(jìn)行審核追蹤時(shí)的檢查點(diǎn)3)Standards(eg.GlobalDirectionetc)標(biāo)準(zhǔn)（例如：全球手冊等）Toformasreferencestandardduringthewholeauditprocess.用于審核進(jìn)行時(shí)的參考標(biāo)準(zhǔn)4)QualityManual/Procedures質(zhì)量手冊／程序Toformasreferencedocumentsduringthewholeauditprocess.用于審核進(jìn)行時(shí)的參考文件16AuditTools審核工具1)Process64BusinessProcess商業(yè)程序Customers客戶Sales&BD銷售&業(yè)務(wù)拓展OrderHandling訂單處理ProdPlanning生產(chǎn)計(jì)劃Manufacturing制造FGI成品檢驗(yàn)RequirementsReview需求評論QA/QCPurchasing采購部ContinuousImprovement持續(xù)改進(jìn)HR人力資源部17BusinessProcess商業(yè)程序Custom65ProcessFlowChart程序流程圖ContractReview合同評論WorkOrderIntake訂單接受JobIncoming引入工作JobInProcess進(jìn)行工作CustomerAcceptance客戶收貨InvoiceBilling簽收發(fā)貨單AfterSalesService售后服務(wù)End結(jié)束Sub-contract次合同SparesManagement備用設(shè)備Start開始18ProcessFlowChart程序流程圖Con66Exercise練習(xí)(2)ProcessFlowCharting制程序流程圖Toallowparticipantstoestablishtherequiredprocessflowtoguidetheauditactivitiesduringtheaudittrail.允許參與者制作用于指導(dǎo)審核追蹤的流程圖Formintogroupsof3~4people.3-4個(gè)成員組成一個(gè)小組Appointachairpersonandpresenter.

指派一位主席以及呈現(xiàn)者Discussanddefinethedetailprocessflowoutliningkeyactivitiesusingoneoftheoptions:討論并確認(rèn)詳細(xì)的程序流程，利用一下其中一種選擇略述關(guān)鍵活動(dòng)： Option1-AuditContractReview選擇1–審核合同回顧 Option2-AuditProcessControl選擇2–審核程序控制 Option3-AuditCalibrationControl選擇3–審核校驗(yàn)控制Writescheduleinspreadsheet.將進(jìn)度表寫下Presenttoclass.課堂呈現(xiàn)

TOPIC:主題：OBJECTIVE:目的：PROCEDURE:程序：19Exercise練習(xí)(2)ProcessFlow67Auditor’sSkill審核員的技巧GoodCommunicator好的交流者TactfulandDiplomatic得體與圓滑AssertivebutnotAggressive

有自信但不具攻擊性SoundJudgment具判斷力

ObjectiveandConstructive有目標(biāo)以及建設(shè)性Firm;tenaciousbutflexible嚴(yán)格；頑強(qiáng)但融通20Auditor’sSkill審核員的技巧Go68BeingAssertive有自信

Respecttherightsofothers尊重他人的權(quán)利Takeresponsibilities負(fù)責(zé)任Beingspecific明確說明Consistent一致ConfidentandPositive自信并正面想法Re-assuring可靠21BeingAssertive有自信Respe69AggressiveBehavior攻擊性的行為Aimistowin把“勝利”當(dāng)作目標(biāo)Standupforyourrights堅(jiān)持自己的權(quán)利Expressyourviewsatallcost

不惜任何代價(jià)把自己的觀點(diǎn)提出來Violaterightsofothers冒犯別人的權(quán)利Ignoring,disregardingordiscountingneeds,wants,views&feelingsofothers

忽視，漠視或折損別人的需求、需要、意見以及感受22AggressiveBehavior攻擊性的行為70WARNING!!!警告?。?！

YouarenotanINTERROGATOR！你并不是質(zhì)問者！Approximately75%ofthetaskislistening!大約75%的任務(wù)是聆聽！23WARNING!!!警告?。。ou71FactorInference?Itisvitalforauditorstoseekandrecordfactsandtoavoidmakingassumptionsandinferences.Readthefollowingparagraphcarefully: “LimAhYip,aPurchasingManagerfromWXYCompanywasscheduledfora12:00meetinginPhilipHeng’sofficetodiscussthetermsofalargeorder. OnthewaytothatofficethePurchasingManagerisslippedonafreshlywaxedfloor,andasaresultreceivedabadlybruisedleg.BythetimePhilipwasnotifiedoftheaccident,LimwasonthewaytothehospitalforX-rays.Philipcalledthehospitaltoenquireandno-onethereseemedtoknowanythingaboutLim. It’spossiblethatPhilipcalledthewronghospital”Next…completetheexerciseinthefollowingslide…24FactorInference?Itisvita72事實(shí)或推論？審核員應(yīng)該尋求并記錄事實(shí)，而非假設(shè)或推論。這一點(diǎn)至關(guān)重要。請仔細(xì)閱讀下列文章： “林亞葉是WXY公司的采購部經(jīng)理，他和Philip王安排了一場12:00的會議，會議的目的是為了討論大交易的期限并會在Philip王的辦公室進(jìn)行。

在路途中，這位采購部經(jīng)理在剛剛打蠟的地上滑倒了，結(jié)果他的腿嚴(yán)重瘀傷了。當(dāng)Philip獲知此事件后，林先生已經(jīng)在前往醫(yī)院接受X光檢查的途中了。Philip致電醫(yī)院查問，但卻發(fā)現(xiàn)那兒好像沒人知道任何有關(guān)林先生的事情。

這有可能是Philip聯(lián)絡(luò)了錯(cuò)的醫(yī)院”接下來…請完成下頁的練習(xí)…25事實(shí)或推論？審核員應(yīng)該尋求并記錄事實(shí)，而非假設(shè)或推論。這73FactorInference?Havingreadtheparagraphinthepreviousslide,pleaseclassifyeachofthefollowingstatementsas“fact”or“inference”andenteran“F”or“I”accordinglyintheboxesontherighthandside.Usethefollowingasdefinitions:Fact:Astatementthatcanbeeasilyverifiedbycheckingitssource.Inference:Astatementabouttheunknownbasedonwhatisknown.1.Mr.LimisaPurchasingManager2.LimwassupposedtomeetwithPhilip3.Limwasscheduledfora10o’clockmeeting4.TheaccidenthappenedattheXYZCompany5.LimwastakentothehospitalforX-ray6.No-oneatthehospitalwhichPhilipcalledknewanythingabouthim7.Philiphadcalledthewronghospital26FactorInference?Havingrea74事實(shí)或推論？閱讀上頁的文章后，請把下列的陳述分類為“事實(shí)”或“推論”，并在右邊的格子里寫上“F”（事實(shí)）或“I”（推論）利用下列的述說為定義：事實(shí)：檢查來源就容易被證實(shí)的陳述推論：依據(jù)已知的來建立的未知陳述1.