内审和外审技巧培训课件

1Electro-MechanicsSolutionProviderIntegratedTheInternal/ExternalAuditSkills1Electro-MechanicsSolutionPro21)DefinitionofAudit,AuditScope&Schedule/Ex1审核的定义，审核的范围以及进度表/练习12)AuditTools&ProcessFlowCharting/Ex2审核的工具与程序流程图/练习23)Auditors’Skill&AuditTrail/Ex3审核员的技巧与审核追踪/练习34)AuditChecklist/Ex4审核清单/练习45)Auditreport&CorrectiveActions/Ex5审核报告与纠正措施/练习56)FollowUpActions后续工作7)PracticalAudit(RolePlay)审核的应用（角色扮演）Contents内容21)DefinitionofAudit,Audit3“Isdefinedasanindependentsystematicappraisaloftheoperationorproceduresforthepurposeofdeterminingconformitywithprescribedstandards,eg.Hi-PGlobalDirectionetc..”

DefinitionofAudit审核的定义“审核被定义为一种独立的系统评估，用于评估操作或程序以决定指示标准的一致性，例如：赫比全球手册等”

3“Isdefinedasanindependent4TheOperatingProcess操作程序INPUT(Specified)输入（详细说明）OUTPUT(Monitored)输出（受监控）PROCESS(Controlled)处理（受控制）4TheOperatingProcess操作程序IN5TheOrganizationalActivities

有组织的活动OPERATINGPROCESS操作程序SUPPORTACTIVITIES支撑活动5TheOrganizationalActivities6SystemDocumentation系统文件化PolicyManualProceduresSystemDocumentation(egWI,SOPsetc)方针手册程序系统文件化（如：WI,SOPs等）6SystemDocumentation系统文件化Po7TheOperatingProcedures操作程序4criticaltestsforoperatingprocedures

操作程序的4项关键测试Understandable可理解的Actionable可执行的Canbeaudited可以被审核的Mandatory强制的

7TheOperatingProcedures操作程8TheImprovementCycle改进循环Audits(Internal/External)CorrectiveActionsManagementReview&SystemChange审核（内部/外部）纠正措施管理层评论以及系统变更8TheImprovementCycle改进循环Au9TheChangeProcess变更的过程CorrectiveActions纠正措施CustomerComplaints客户投诉SOURCEOFCHANGE变更的来源INVESTIGATION&RECOMMENDATION调查与建议DECISION决定CHANGE变更APPROVAL&IMPLEMENTATION批准与执行GoodIdeas好的建议In-ProcessProblems进程中的问题ExternalAudits外部审核InternalAudits内部审核ManagementReviews管理层评论DocumentChanges文件变更Approval&Practice批准与执行9TheChangeProcess变更的过程Corr101)Toevaluateandassessactualactivitieswithprescribedstandards;egliketheHi-PGlobalDirectionetc.以规定的标准为基础来评估实际的行动；如：赫比全球手册2)Toidentifystrengthsandweaknesses.以识别优点与缺点3)Toassesssuppliersorsubcontractors.以评估供应商或承包供应商4)Toprovidefeedbacktomanagement.以提供反馈给管理层5)Tobridgecommunication.以建立沟通桥梁6)Toanalyzeobjectiveevidenceandpresentfacts.以分析目标的证明与现在的事实7)Toimprovesystemsandpractices以改进系统与实践WhyAudit?为什么需要审核？101)Toevaluateandassessac11Asystemauditaskswhetherornotthereisamanagementsysteminexistencethatprovidesanassurancethattheactivityofinterestisbeingaccomplishedasrequired.系统审核将会询问是否拥有可以证实该活动已经执行了的管理系统AuditDepth审核的深度Thecomplianceauditaskswhetherornotthatmanagementsystemisbeingimplemented.合规性审核将会询问该管理系统是否已经执行了SYSTEMAUDIT

系统审核COMPLIANCEAUDIT

合规性审核11Asystemauditaskswhether12AuditDepth审核的深度Policies/ManualandProceduresStandardOperatingProcedures/WorkInstructionsanditsimplementationGapsclosure/continuousimprovementprogramsinsystemsandpracticesSystemsAuditComplianceAuditOMSauditwillcoverboththeSystemandComplianceauditdepthOMS审核将会包括系统审核与合规性审核在系统和时间里进行关闭间隙/持续改进方针/手册以及程序标准操作程序/操作指示以及其执行合规性审核系统审核12AuditDepth审核的深度Policies/S13FullAuditcomprisesthefulldepthofSystemauditandComplianceaudit.全面审核完全包含系统审核以及合规性审核AuditScope审核范围Partial,orPhasedauditcomprisesthesectionalauditwhichfocusontheproblemarea;egfunction/department/specificprocess,orproduct.部分，局部审核包含针对问题范围的部分审核；如：功能/部门/明确的程序或产品FULLAUDIT

全面审核PARTIAL,PHASEDAUDIT

部分，局部审核Followupauditappliestoclosureofactionstocorrectthepreviousauditfindings/ornon-conformities.后续工作审核适用于结束那些用于改正之前审核的发现/不合规格的活动FOLLOWUPAUDIT

后续工作审核13FullAuditcomprisestheful14*Contactcompanyandarrangevisit(mayincludeapre-visit).*联系公司并安排探访（可以包括预先探访）Establishtimeframeandschedule.设立时间结构与进度表Formauditteamandconductbriefing.成立审核小组以及召开简报会IntroduceteamandOpeningmeeting.介绍成员以及进行开幕的会议Carryoutaudit.进行审核Summarizefindingswithteam.与小组总结发现Presenttomanagement.呈现予管理层Agreeoncourseofaction.赞成该执行的行动Auditreport.审核报告Followuponcorrectiveactions.对纠正措施进行后续工作AuditSchedule审核进度表14*Contactcompanyandarrange15Exercise练习(1)Formulationofauditscheduleforainternalqualityaudit.简洁陈述内部质量审核的审核进度表Toallowparticipantstodiscussandlearnhowtoproduceascheduleofaudit.允许参与者讨论并学习如何规划审核的进度表Formintogroupsof3~4people.3-4个成员组成一个小组Appointachairpersonandpresenter.

指派一位主席以及呈现者Discussthescheduleofaudit,groupsmaychoosefromthe3options:讨论审核进度表，小组拥有3各选择： Option1-AuditContractReview选择1–审核合同回顾 Option2-AuditProcessControl选择2–审核程序控制 Option3-AuditCalibrationControl选择3–审核校验控制Writescheduleinspreadsheet.将进度表写下Presenttoclass.课堂呈现

TOPIC:主题：OBJECTIVE:目的：PROCEDURE:程序：15Exercise练习(1)Formulationo16AuditTools审核工具1)ProcessFlowChart程序流程图Understandingthenatureofbusinessanditsoperations.理解商业的本性以及它的操作模式IdentifytheKeyElements.识别关键要素AssigntherelevantGDrequirementstotheactivities.指派相关的全球手册（GD）要求给活动2)AuditChecklist审核清单Toformthecheckpointduringtheaudittrail.

用于进行审核追踪时的检查点3)Standards(eg.GlobalDirectionetc)标准（例如：全球手册等）Toformasreferencestandardduringthewholeauditprocess.用于审核进行时的参考标准4)QualityManual/Procedures质量手册／程序Toformasreferencedocumentsduringthewholeauditprocess.用于审核进行时的参考文件16AuditTools审核工具1)Process17BusinessProcess商业程序Customers客户Sales&BD销售&业务拓展OrderHandling订单处理ProdPlanning生产计划Manufacturing制造FGI成品检验RequirementsReview需求评论QA/QCPurchasing采购部ContinuousImprovement持续改进HR人力资源部17BusinessProcess商业程序Custom18ProcessFlowChart程序流程图ContractReview合同评论WorkOrderIntake订单接受JobIncoming引入工作JobInProcess进行工作CustomerAcceptance客户收货InvoiceBilling签收发货单AfterSalesService售后服务End结束Sub-contract次合同SparesManagement备用设备Start开始18ProcessFlowChart程序流程图Con19Exercise练习(2)ProcessFlowCharting制程序流程图Toallowparticipantstoestablishtherequiredprocessflowtoguidetheauditactivitiesduringtheaudittrail.允许参与者制作用于指导审核追踪的流程图Formintogroupsof3~4people.3-4个成员组成一个小组Appointachairpersonandpresenter.

指派一位主席以及呈现者Discussanddefinethedetailprocessflowoutliningkeyactivitiesusingoneoftheoptions:讨论并确认详细的程序流程，利用一下其中一种选择略述关键活动： Option1-AuditContractReview选择1–审核合同回顾 Option2-AuditProcessControl选择2–审核程序控制 Option3-AuditCalibrationControl选择3–审核校验控制Writescheduleinspreadsheet.将进度表写下Presenttoclass.课堂呈现

TOPIC:主题：OBJECTIVE:目的：PROCEDURE:程序：19Exercise练习(2)ProcessFlow20Auditor’sSkill审核员的技巧GoodCommunicator好的交流者TactfulandDiplomatic得体与圆滑AssertivebutnotAggressive

有自信但不具攻击性SoundJudgment具判断力

ObjectiveandConstructive有目标以及建设性Firm;tenaciousbutflexible严格；顽强但融通20Auditor’sSkill审核员的技巧Go21BeingAssertive有自信

Respecttherightsofothers尊重他人的权利Takeresponsibilities负责任Beingspecific明确说明Consistent一致ConfidentandPositive自信并正面想法Re-assuring可靠21BeingAssertive有自信Respe22AggressiveBehavior攻击性的行为Aimistowin把“胜利”当作目标Standupforyourrights坚持自己的权利Expressyourviewsatallcost

不惜任何代价把自己的观点提出来Violaterightsofothers冒犯别人的权利Ignoring,disregardingordiscountingneeds,wants,views&feelingsofothers

忽视，漠视或折损别人的需求、需要、意见以及感受22AggressiveBehavior攻击性的行为23WARNING!!!警告！！！

YouarenotanINTERROGATOR！你并不是质问者！Approximately75%ofthetaskislistening!大约75%的任务是聆听！23WARNING!!!警告！！！You24FactorInference?Itisvitalforauditorstoseekandrecordfactsandtoavoidmakingassumptionsandinferences.Readthefollowingparagraphcarefully: “LimAhYip,aPurchasingManagerfromWXYCompanywasscheduledfora12:00meetinginPhilipHeng’sofficetodiscussthetermsofalargeorder. OnthewaytothatofficethePurchasingManagerisslippedonafreshlywaxedfloor,andasaresultreceivedabadlybruisedleg.BythetimePhilipwasnotifiedoftheaccident,LimwasonthewaytothehospitalforX-rays.Philipcalledthehospitaltoenquireandno-onethereseemedtoknowanythingaboutLim. It’spossiblethatPhilipcalledthewronghospital”Next…completetheexerciseinthefollowingslide…24FactorInference?Itisvita25事实或推论？审核员应该寻求并记录事实，而非假设或推论。这一点至关重要。请仔细阅读下列文章： “林亚叶是WXY公司的采购部经理，他和Philip王安排了一场12:00的会议，会议的目的是为了讨论大交易的期限并会在Philip王的办公室进行。

在路途中，这位采购部经理在刚刚打蜡的地上滑倒了，结果他的腿严重瘀伤了。当Philip获知此事件后，林先生已经在前往医院接受X光检查的途中了。Philip致电医院查问，但却发现那儿好像没人知道任何有关林先生的事情。

这有可能是Philip联络了错的医院”接下来…请完成下页的练习…25事实或推论？审核员应该寻求并记录事实，而非假设或推论。这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事实或推论？阅读上页的文章后，请把下列的陈述分类为“事实”或“推论”，并在右边的格子里写上“F”（事实）或“I”（推论）利用下列的述说为定义：事实：检查来源就容易被证实的陈述推论：依据已知的来建立的未知陈述1.林先生是一位采购部经理2.林先生应该和Philip见面3.林先生安排了一场10点钟的会议4.该意外事件发生在XYZ公司5.林先生被送往医院接受X光检查6.和Philip通电话的医院里，没有任何人知道任何关于他的事情7.Philip联络了错的医院27事实或推论？阅读上页的文章后，请把下列的陈述分类为“事实28CommunicationSkills沟通技巧Verbal&Written口头与书面Alertondifferentcountrylanguagesandtheirculture

需注意不同国家的语言以及文化BodyLanguage肢体语言Auditor’seyecontact&bodygestures

审核员的眼神交流与身体姿态、手势StyleandSpeech风格与演说Demandbutnotshout

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

(obtaininginformation)

审核的三角形（获得资料的方法）ASKTHEQUESTION发问AGAINSTCHECKLIST

根据清单OBSERVE观察WHATISACTUALLYHAPPENING

事实上什么事情正在发生CHECKPRACTICE检查实践AGAINSTPROCEDURE&Hi-PGLOBALDIRECTION

根据程序以及赫比全球手册29TheAuditTriangle(obtainin30Questioning发问OPEN开放式WHATAREYOUDOINGTOMORROW?

明天你将会做什么？PROBING探测式WHATAREYOUDOINGHERE?

你在这里做什么？CLOSED关闭式ISITRAINING?

现在下雨吗？30Questioning发问OPEN开放式31AuditTrail审核追踪Understandthesequence&inter-relationof‘workactivities’

了解“操作活动”的顺序与相互关联Identifyworkprocedures&associatedprocedures/SOPs

确认操作程和与其关联的程序/标准操作程序AssignrelevantGlobalDirectionelementstothe‘workactivities’

指派相关的全球手册里的基础予“操作活动”Developchecklistinaccordancewithidentifiedelements

开发清单使得与已识别基础一致AllowsAuditorsto:给审核员机会：31AuditTrail审核追踪Understa32Exercise练习(3)RelevantGlobalDirectionElements相关的全球手册基础ToallowparticipantstoidentifytherelevantGlobalDirectionelementsfortheauditfromtheProcessFlowChartestablished.允许参与者制作用于指导审核追踪的流程图Formintogroupsof3~4people.3-4个成员组成一个小组Appointachairpersonandpresenter.

指派一位主席以及呈现者

FromtheestablishedProcessFlowChartandtheGlobalDirection(GD).IndicaterelevanttheGDelementstosupporttheProcessFlowactivities.利用已经确认了的程序流程图以及全球手册，指派相关的GD基础，以支持程序流程的活动Writescheduleinspreadsheet.将进度表写下Presenttoclass.课堂呈现

TOPIC:主题：OBJECTIVE:目的：PROCEDURE:程序：32Exercise练习(3)RelevantGlob33PurposeofanAuditChecklist

建议审核清单IdentifyandcommunicatethescopeoftheAudit确认并传达沟通审核的范围Reflecttheobjectivesoftheaudit反映审核的目的Coverallaspectsofthefunction/activitybeingaudited全方面概括将被审核的功能/活动Serveasaguideandprovideframework是一种指南，并提供框架

33PurposeofanAuditChecklis34PreparinganAuditChecklist

准备审核清单Identifyrequirementsofstandards(egHi-P GlobalDirectionetc.)确认标准的需求（如赫比全球手册等）ListouttheKeyactivities(usingProcessFlowChart)列出关键活动（利用程序流程图）AssigntherelevantGlobalDirectionselements指派相关的全球手册基础BreakdownintoIdentifiablesub-elements细目分类为可以确认的小基础Followlogicalsequence顺着合乎逻辑的次序34PreparinganAuditChecklist35Interpretation1.1.1StrategyProcess:

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

个别的公司应该拥有一个策略…赫比全球手册基础36解释1.1.1策略程序：

个别的公司应该拥有一个策略…37AuditChecklist审核清单1.1BusinessVision&Strategy

商业的愿景与策略IsthereaCompanyVision(approvedand communicatedHi-Pwide)?是否拥有公司愿景（经批准并在赫比公司里流传沟通）？IsthereaCompanystrategyinlinewiththeCompanyVision?是否拥有一个和公司愿景一致的公司策略？Isthereadocumentedplanforimplementation?是否拥有备有文件证明的计划以供执行？Yes/No是/不是Yes/No是/不是Yes/No是/不是Remarks备注:Results: Conformance/NonConformance

结果：一致/不一致GDScore: minimum75%

GD得分：

最低75%37AuditChecklist审核清单1.138Exercise练习(4)AuditChecklist审核清单Toallowparticipantstoestablishanauditchecklistforthedifferentarea/elementsassigned.允许参与者为不同的范围/基础设立审核清单Formintogroupsof3~4people.3-4个成员组成一个小组Appointachairpersonandpresenter.

指派一位主席以及呈现者InterprettheassignedHi-PGlobalDirectionelementanditsrequirementsandestablishasetofquestionnaires.解释被指派的赫比全球手册的基础，以及它的要求，并编制一份问卷Writescheduleinspreadsheet.将进度表写下Presenttoclass.课堂呈现TOPIC:主题：OBJECTIVE:目的：PROCEDURE:程序：38Exercise练习(4)AuditCheckl39TheFindings发现Recordedanddocumented纪录并存档为文件Validated&ConfirmedbyAuditee由被审核方验证并证实Analyze&highlightgoodpractices分析以及强调好的示范SummarizeandassignGDscore(useself assessmentcolumn)总结并分配GD分数（使用自我评估的专栏）VerbalDebriefofAuditFindingSummary听取审核结果的口头总结报告39TheFindings发现Recorded40AuditorsShould..审核员必须...

Keepinmindtheauditobjectives清楚记住审核的目的

Adoptafairandobjectiveapproach采用公正以及客观的方式

Staywithintheirdefinedauthority身处于他们本身被赋予的职责

Coverallchecklistpoints

(butnotbeinhibited

bythem)概括清单里所有的要点

（但不是限制于它们）

KeeptotheAuditTrail遵守审核追踪

40AuditorsShould..审核员必须...41TheAuditReport审核报告Factualrecordofdegreeofcompliance合规性的实际纪录Providesreferencebaseforfutureappraisal提供参考的基础，以供未来的评估Providesrecordofdeficiencies提供“缺陷”的报告Formalrequestforcorrectiveaction纠正措施的正式要求

41TheAuditReport审核报告Fac42CorrectiveAction纠正措施OutlinedeficiencythroughTracker(3Why)/or8Dform使用Tracker(3Why)或8D表格来略述“缺陷”TimescalesandResponsibilitiestoberesponded byManagement/DeptHODs时间表以及管理层/部门主管的责任Timescalesmustberealistic时间表必须是符合现实的ActionusingPDCAmethodology(Short&LongTerm)利用PDCA来执行（长期与短期）VerifiedactionsinFollow-upaudit在后续审核进行检验行动

42CorrectiveAction纠正措施Ou43Exercise练习(5)AuditReport审核清单Toallowparticipantstolearntheusageofthe‘SelfAssessmentGDReport”.允许参与者为不同的范围/基础设立审核清单Formintogroupsof3~4people.3-4个成员组成一个小组Appointachairpersonandpresenter.

指派一位主席以及呈现者Case:Theauditteamfoundthattheresinusedbymanufacturingwasnotfromanapprovedsupplier.Norecordsordocumentationwasavailable. Whatdoyouproceedfromhere?

案例：审核小组发现车间使用的树脂并非来直径核准的供应商。没有任何的记录或文件。你会如何进行？4)Writescheduleinspreadsheet.将进度表写下5)Presenttoclass.课堂呈现TOPIC:主题：OBJECTIVE:目的：PROCEDURE:程序：43Exercise练习(5)AuditReport44FollowUpActions后续工作FOLLOWUP后续工作ProblemIdentify识别问题Openproblem公开问题CloseProblem问题结束Re-Openproblem重开问题ActionsVerify检验行动ActionsImplement行动执行CauseDetermine确定原因ProblemInvestigate问题研究Effective?有效吗？YES是NO不是44FollowUpActions后续工作FOLLO45Q&A45Q&A46Thankyou!46Thankyou!47Let'sWorkingtogether47Let'sWorkingtogether48Electro-MechanicsSolutionProviderIntegratedTheInternal/ExternalAuditSkills1Electro-MechanicsSolutionPro491)DefinitionofAudit,AuditScope&Schedule/Ex1审核的定义，审核的范围以及进度表/练习12)AuditTools&ProcessFlowCharting/Ex2审核的工具与程序流程图/练习23)Auditors’Skill&AuditTrail/Ex3审核员的技巧与审核追踪/练习34)AuditChecklist/Ex4审核清单/练习45)Auditreport&CorrectiveActions/Ex5审核报告与纠正措施/练习56)FollowUpActions后续工作7)PracticalAudit(RolePlay)审核的应用（角色扮演）Contents内容21)DefinitionofAudit,Audit50“Isdefinedasanindependentsystematicappraisaloftheoperationorproceduresforthepurposeofdeterminingconformitywithprescribedstandards,eg.Hi-PGlobalDirectionetc..”

DefinitionofAudit审核的定义“审核被定义为一种独立的系统评估，用于评估操作或程序以决定指示标准的一致性，例如：赫比全球手册等”

3“Isdefinedasanindependent51TheOperatingProcess操作程序INPUT(Specified)输入（详细说明）OUTPUT(Monitored)输出（受监控）PROCESS(Controlled)处理（受控制）4TheOperatingProcess操作程序IN52TheOrganizationalActivities

有组织的活动OPERATINGPROCESS操作程序SUPPORTACTIVITIES支撑活动5TheOrganizationalActivities53SystemDocumentation系统文件化PolicyManualProceduresSystemDocumentation(egWI,SOPsetc)方针手册程序系统文件化（如：WI,SOPs等）6SystemDocumentation系统文件化Po54TheOperatingProcedures操作程序4criticaltestsforoperatingprocedures

操作程序的4项关键测试Understandable可理解的Actionable可执行的Canbeaudited可以被审核的Mandatory强制的

7TheOperatingProcedures操作程55TheImprovementCycle改进循环Audits(Internal/External)CorrectiveActionsManagementReview&SystemChange审核（内部/外部）纠正措施管理层评论以及系统变更8TheImprovementCycle改进循环Au56TheChangeProcess变更的过程CorrectiveActions纠正措施CustomerComplaints客户投诉SOURCEOFCHANGE变更的来源INVESTIGATION&RECOMMENDATION调查与建议DECISION决定CHANGE变更APPROVAL&IMPLEMENTATION批准与执行GoodIdeas好的建议In-ProcessProblems进程中的问题ExternalAudits外部审核InternalAudits内部审核ManagementReviews管理层评论DocumentChanges文件变更Approval&Practice批准与执行9TheChangeProcess变更的过程Corr571)Toevaluateandassessactualactivitieswithprescribedstandards;egliketheHi-PGlobalDirectionetc.以规定的标准为基础来评估实际的行动；如：赫比全球手册2)Toidentifystrengthsandweaknesses.以识别优点与缺点3)Toassesssuppliersorsubcontractors.以评估供应商或承包供应商4)Toprovidefeedbacktomanagement.以提供反馈给管理层5)Tobridgecommunication.以建立沟通桥梁6)Toanalyzeobjectiveevidenceandpresentfacts.以分析目标的证明与现在的事实7)Toimprovesystemsandpractices以改进系统与实践WhyAudit?为什么需要审核？101)Toevaluateandassessac58Asystemauditaskswhetherornotthereisamanagementsysteminexistencethatprovidesanassurancethattheactivityofinterestisbeingaccomplishedasrequired.系统审核将会询问是否拥有可以证实该活动已经执行了的管理系统AuditDepth审核的深度Thecomplianceauditaskswhetherornotthatmanagementsystemisbeingimplemented.合规性审核将会询问该管理系统是否已经执行了SYSTEMAUDIT

系统审核COMPLIANCEAUDIT

合规性审核11Asystemauditaskswhether59AuditDepth审核的深度Policies/ManualandProceduresStandardOperatingProcedures/WorkInstructionsanditsimplementationGapsclosure/continuousimprovementprogramsinsystemsandpracticesSystemsAuditComplianceAuditOMSauditwillcoverboththeSystemandComplianceauditdepthOMS审核将会包括系统审核与合规性审核在系统和时间里进行关闭间隙/持续改进方针/手册以及程序标准操作程序/操作指示以及其执行合规性审核系统审核12AuditDepth审核的深度Policies/S60FullAuditcomprisesthefulldepthofSystemauditandComplianceaudit.全面审核完全包含系统审核以及合规性审核AuditScope审核范围Partial,orPhasedauditcomprisesthesectionalauditwhichfocusontheproblemarea;egfunction/department/specificprocess,orproduct.部分，局部审核包含针对问题范围的部分审核；如：功能/部门/明确的程序或产品FULLAUDIT

全面审核PARTIAL,PHASEDAUDIT

部分，局部审核Followupauditappliestoclosureofactionstocorrectthepreviousauditfindings/ornon-conformities.后续工作审核适用于结束那些用于改正之前审核的发现/不合规格的活动FOLLOWUPAUDIT

后续工作审核13FullAuditcomprisestheful61*Contactcompanyandarrangevisit(mayincludeapre-visit).*联系公司并安排探访（可以包括预先探访）Establishtimeframeandschedule.设立时间结构与进度表Formauditteamandconductbriefing.成立审核小组以及召开简报会IntroduceteamandOpeningmeeting.介绍成员以及进行开幕的会议Carryoutaudit.进行审核Summarizefindingswithteam.与小组总结发现Presenttomanagement.呈现予管理层Agreeoncourseofaction.赞成该执行的行动Auditreport.审核报告Followuponcorrectiveactions.对纠正措施进行后续工作AuditSchedule审核进度表14*Contactcompanyandarrange62Exercise练习(1)Formulationofauditscheduleforainternalqualityaudit.简洁陈述内部质量审核的审核进度表Toallowparticipantstodiscussandlearnhowtoproduceascheduleofaudit.允许参与者讨论并学习如何规划审核的进度表Formintogroupsof3~4people.3-4个成员组成一个小组Appointachairpersonandpresenter.

指派一位主席以及呈现者Discussthescheduleofaudit,groupsmaychoosefromthe3options:讨论审核进度表，小组拥有3各选择： Option1-AuditContractReview选择1–审核合同回顾 Option2-AuditProcessControl选择2–审核程序控制 Option3-AuditCalibrationControl选择3–审核校验控制Writescheduleinspreadsheet.将进度表写下Presenttoclass.课堂呈现

TOPIC:主题：OBJECTIVE:目的：PROCEDURE:程序：15Exercise练习(1)Formulationo63AuditTools审核工具1)ProcessFlowChart程序流程图Understandingthenatureofbusinessanditsoperations.理解商业的本性以及它的操作模式IdentifytheKeyElements.识别关键要素AssigntherelevantGDrequirementstotheactivities.指派相关的全球手册（GD）要求给活动2)AuditChecklist审核清单Toformthecheckpointduringtheaudittrail.

用于进行审核追踪时的检查点3)Standards(eg.GlobalDirectionetc)标准（例如：全球手册等）Toformasreferencestandardduringthewholeauditprocess.用于审核进行时的参考标准4)QualityManual/Procedures质量手册／程序Toformasreferencedocumentsduringthewholeauditprocess.用于审核进行时的参考文件16AuditTools审核工具1)Process64BusinessProcess商业程序Customers客户Sales&BD销售&业务拓展OrderHandling订单处理ProdPlanning生产计划Manufacturing制造FGI成品检验RequirementsReview需求评论QA/QCPurchasing采购部ContinuousImprovement持续改进HR人力资源部17BusinessProcess商业程序Custom65ProcessFlowChart程序流程图ContractReview合同评论WorkOrderIntake订单接受JobIncoming引入工作JobInProcess进行工作CustomerAcceptance客户收货InvoiceBilling签收发货单AfterSalesService售后服务End结束Sub-contract次合同SparesManagement备用设备Start开始18ProcessFlowChart程序流程图Con66Exercise练习(2)ProcessFlowCharting制程序流程图Toallowparticipantstoestablishtherequiredprocessflowtoguidetheauditactivitiesduringtheaudittrail.允许参与者制作用于指导审核追踪的流程图Formintogroupsof3~4people.3-4个成员组成一个小组Appointachairpersonandpresenter.

指派一位主席以及呈现者Discussanddefinethedetailprocessflowoutliningkeyactivitiesusingoneoftheoptions:讨论并确认详细的程序流程，利用一下其中一种选择略述关键活动： Option1-AuditContractReview选择1–审核合同回顾 Option2-AuditProcessControl选择2–审核程序控制 Option3-AuditCalibrationControl选择3–审核校验控制Writescheduleinspreadsheet.将进度表写下Presenttoclass.课堂呈现

TOPIC:主题：OBJECTIVE:目的：PROCEDURE:程序：19Exercise练习(2)ProcessFlow67Auditor’sSkill审核员的技巧GoodCommunicator好的交流者TactfulandDiplomatic得体与圆滑AssertivebutnotAggressive

有自信但不具攻击性SoundJudgment具判断力

ObjectiveandConstructive有目标以及建设性Firm;tenaciousbutflexible严格；顽强但融通20Auditor’sSkill审核员的技巧Go68BeingAssertive有自信

Respecttherightsofothers尊重他人的权利Takeresponsibilities负责任Beingspecific明确说明Consistent一致ConfidentandPositive自信并正面想法Re-assuring可靠21BeingAssertive有自信Respe69AggressiveBehavior攻击性的行为Aimistowin把“胜利”当作目标Standupforyourrights坚持自己的权利Expressyourviewsatallcost

不惜任何代价把自己的观点提出来Violaterightsofothers冒犯别人的权利Ignoring,disregardingordiscountingneeds,wants,views&feelingsofothers

忽视，漠视或折损别人的需求、需要、意见以及感受22AggressiveBehavior攻击性的行为70WARNING!!!警告！！！

YouarenotanINTERROGATOR！你并不是质问者！Approximately75%ofthetaskislistening!大约75%的任务是聆听！23WARNING!!!警告！！！You71FactorInference?Itisvitalforauditorstoseekandrecordfactsandtoavoidmakingassumptionsandinferences.Readthefollowingparagraphcarefully: “LimAhYip,aPurchasingManagerfromWXYCompanywasscheduledfora12:00meetinginPhilipHeng’sofficetodiscussthetermsofalargeorder. OnthewaytothatofficethePurchasingManagerisslippedonafreshlywaxedfloor,andasaresultreceivedabadlybruisedleg.BythetimePhilipwasnotifiedoftheaccident,LimwasonthewaytothehospitalforX-rays.Philipcalledthehospitaltoenquireandno-onethereseemedtoknowanythingaboutLim. It’spossiblethatPhilipcalledthewronghospital”Next…completetheexerciseinthefollowingslide…24FactorInference?Itisvita72事实或推论？审核员应该寻求并记录事实，而非假设或推论。这一点至关重要。请仔细阅读下列文章： “林亚叶是WXY公司的采购部经理，他和Philip王安排了一场12:00的会议，会议的目的是为了讨论大交易的期限并会在Philip王的办公室进行。

在路途中，这位采购部经理在刚刚打蜡的地上滑倒了，结果他的腿严重瘀伤了。当Philip获知此事件后，林先生已经在前往医院接受X光检查的途中了。Philip致电医院查问，但却发现那儿好像没人知道任何有关林先生的事情。

这有可能是Philip联络了错的医院”接下来…请完成下页的练习…25事实或推论？审核员应该寻求并记录事实，而非假设或推论。这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事实或推论？阅读上页的文章后，请把下列的陈述分类为“事实”或“推论”，并在右边的格子里写上“F”（事实）或“I”（推论）利用下列的述说为定义：事实：检查来源就容易被证实的陈述推论：依据已知的来建立的未知陈述1.