1 / 65

Process Management Auditing

Process Management Auditing. October 2003  The High Performance Organisation Ltd. Given any process delegates will be able to : Plan and implement an effective process management audit/ assessment Report findings that add value to the business

maximus-zenas
Download Presentation

Process Management Auditing

An Image/Link below is provided (as is) to download presentation Download Policy: Content on the Website is provided to you AS IS for your information and personal use and may not be sold / licensed / shared on other websites without getting consent from its author. Content is provided to you AS IS for your information and personal use only. Download presentation by click this link. While downloading, if for some reason you are not able to download a presentation, the publisher may have deleted the file from their server. During download, if you can't get a presentation, the file might be deleted by the publisher.

E N D

Presentation Transcript

  1. Process Management Auditing October 2003 The High Performance Organisation Ltd

  2. Given any process delegates will be able to: Plan and implement an effective process management audit/ assessment Report findings that add value to the business Use the techniques to support areas for improvement Course objectives

  3. Agenda – Day 1 Introductions Process management review & types of audit/assessment Planning & preparation Lunch Opening meeting Process audit (part 1) End of day 1

  4. Agenda – Day 2 Process assessment practice Identifying findings and draft reporting Lunch Closing meeting with process owner Assessing improvements Summary End of day 2

  5. Session 1 Process management review & Process auditing/assessment in practice

  6. Exercise 1 • For a ‘Bus’ company: • Define a ‘high level’ process map • Create 4 measures of performance • From this: • Are there any aspects of process management you would like to raise?

  7. Principles of auditing Source: ISO19011:2002 Relating to auditors: • Ethical Conduct • Fair Representation • Due Professional Care Relating to audit itself: • Independence • Evidence-based approach What is the purpose of auditing?

  8. Types of auditing & assessment ? System Process Compliance

  9. Compliance auditing - Right or wrong Process management - Checking the flowassessment - The management of an individual process System assessment - The collective management of all processes in the system - Links and impact of external relationships - Inclusion of required frameworks Types of auditing / assessment

  10. Com. Com. Com. Com. Training Guide Photograph Compliance auditing

  11. Process management assessment Knowledge Risks etc. Inputs Resources Budget Outputs Competence Tar Act Var Com. Com. Com. Com. Teamwork + Ownership Change Learn

  12. Process management assessment Purpose of process (supplier inputs & customer outputs) Monitor performance & improve Process objectives and targets The process itself Key performance indicators

  13. Systems management assessment A business in the real world Satisfied customers The market for your products Government policy Shareholder value Products The law & other regulations Innovation / inventions Compliance to regulations Environment Demographic & social changes

  14. Systems management assessment tests Stakeholder & customer needs ISO9004 / ISO9001 Monitor performance & improve Business (quality) objectives Management information systems Processes Key performance indicators & other measures

  15. Auditing & assessment in context System level Process level Compliance level Procedures

  16. Session 2 Planning & preparing a process management audit

  17. Audit / assessment schedule Q1 Q2 Q3 Q4  Purchasing/Fulfilment   Project Management   Financial Management Creating The Concept   Business Planning ‘Based on your business needs’

  18. Understand the system Understand the process Understand detailed requirements Customer specifics Framework specifics Procedures / supporting information / etc. Planning the assessment (1) Where would you find these in your system?

  19. Create process management “AuditChecklist” What to look at / for What ‘questions’ would best gather required evidence Create an “Audit Plan” Timescales Methods of auditing Auditees, etc. Planning the assessment (2)

  20. Audit methods (groups, one to one, email,telephone, video conference etc) Plan to see process owner first & last Elapsed time Consider cross-functional contacts Think about preparation time/breaks to gather thoughts Assessment planning consider: ‘audits are not just one to one’

  21. Process management assessment tests ‘we use this to carry out every interview’ Purpose of process (supplier inputs & customer outputs) Monitor performance & improve Process objectives and targets The process itself Assessor tool 2 Key performance indicators

  22. Part of the cycle with process owner with operational level (fromTool 2) Exercise 2 You are about to assess the management of a process. Create a list of some areas to look at / questions to ask under each of the headings of ‘Assessor Tool 2’

  23. Ask questions that test relationships of activity within the process Address issues that tests relationships with other activities in otherprocesses Don’t forget to test the management of the process Don’t forget to test the process itself Remember

  24. What other things will you alsoneed to consider in order to assess if the process is being managed effectively ?

  25. Risks Knowledge etc. Inputs Resources Budget Outputs Competence Tar Act Var Com. Com. Com. Com. Teamwork + Ownership Change Learn Assessor tool 3

  26. Select a process: Consider a number of possible items to include in an audit plan & checklist that tests process management using assessor tools 2 & 3 Auditee(s) (method) Area / Questions (look at) Why? (look for) (what objective evidence will you get?) Exercise 3

  27. Session 3 The opening meeting

  28. With process owner/leader Check plan is OK? What would process owner want out of the audit? How is the report to be presented? Use the ‘tools’ to audit management & understanding Opening meeting

  29. Exercise 4(interviewing the process owner) Given the process you have selected, you have 15 minutes to prepare to interview the process owner (the facilitator)

  30. Session 4 Process auditing (Part 1)

  31. Documented objective evidence Right or wrong Audit style Often non-documented objective evidence. No right or wrong Assess management Directors Management Supervisors Audit compliance Staff ‘auditors have to manage this dynamic’

  32. Therefore objective evidence is based upon what is being audited/assessed and will come in both documented and non-documented forms Objective evidence ‘The question to ask is - How?’

  33. Technique • How do you know that? • Explain to me? ‘How do you keep staff focussed on customer needs?’ Directors ‘Show me your business plan?’ Management Supervisors • Show me • Tell me Staff

  34. What questions would you ask to a Senior Manager and Staff member if you wanted to check that: Are all team members are working in a process and not in a departmental ‘silo’? That the process performance is understood? That the aim of the process is focused on delivering profit & customer satisfaction? Manager Objective Evidence Staff Objective evidence Exercise 5(auditing non-documented objective evidence) What non-documented evidence will you look for?

  35. Agenda – Day 2 Process assessment practice Identifying findings and draft reporting Lunch Closing meeting with process owner Assessing improvements Summary End of day 2

  36. Session 5 Process audit / assessment practice

  37. Exercise 6(interviewing the process owner) Using the preparation you did yesterday interview the process owner (the facilitator) Max. 10 mins per interview

  38. Exercise 7 • Auditing group • Decide who will interview who in accordance with the plan • Auditee group • Decide who will be whom according to the process you • are part of • Exercise • Each group will have 1 hour to complete their audit • (it is OK to have a planned time out)

  39. Practice feedback • Consider the findings of the group & record • (in preparation for report writing) • Then • What went well? • What could you do better? • Did you need paper? • How did you get the objective evidence?

  40. Session 6 Identifying findings & draft report

  41. Summary of finding Areas for improvement Non-conformances (major) Non-conformances (minor) Observations Free format/form Areas of strength/success? Findings? Explain the impact on the business! e.g. ££££££££££££ Why will the owner be interested?

  42. Exercise 8 Produce a draft report for the process you have audited in the format the process owner wanted Time – 20 to 30 mins Present the report to the process owner & agree findings Meeting duration – 5 to 10 mins USE THE NOTES FROM YOUR EXERCISES

  43. Session 7Assessing improvements

  44. Planning the assessment of improvements • Identify / focus on the findings of : • - Previous assessments • - Previous improvement activities • Then: • Schedule & plan as before • Prepare as before • Carry out the assessment • Report as before.

  45. Carrying out the assessmentof improvements • Check: • Establish what action has been taken • The effectiveness of action taken in relation to the original issue • Escalate to ‘System Owner’ if no action.

  46. ISSUES DIFFERENCES Issues & differences What Issues or Differencesfrom the way you have carried out auditing in the Past does process assessment create? HOW CAN THE ISSUES BE ADDRESSED BY USING DIFFERENT ASSESSMENT APPROACHES?

More Related