企业制度和流程管理的信息化解决方案

1、www.ids-企业制度和流程管理的信息化解决方案企业制度和流程管理的信息化解决方案张 炬 副总裁 大中国区2009 年 10 月 22 日 IDS Scheer AG www.ids- 各管理体系间的孤岛现象，割裂的管理体系各管理体系间的孤岛现象，割裂的管理体系 IDS Scheer AG www.ids- 3传统制度和流程描述文档中包括的主要内容传统制度和流程描述文档中包括的主要内容 IDS Scheer AG www.ids- 4传统制度和流程描述文档的技术问题之一传统制度和流程描述文档的技术问题之一如何有效发现和避免这些问题l 流程图及流程说明文档中表明此流程中用到三张表单，但在表单清

2、单和样例中只罗例了两张。l 流程的某个结点发生了变化，但只修改了流程图，在流程说明文档及表单清单和样例中忘了修正。针对同一管理制度和流程的信息针对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”如果其中有一个要素进行更新，则三个文档要全部更新。这些全靠流程梳理人员的细心和认真才能做到。 IDS Scheer AG www.ids- 5传统制度和流程描述文档的技术问题之二传统制度和流程描述文档的技术问题之二流程 A流程 B如何从如何从“各说各话各说各话”，到都说，到都说 “ 普通话普通话 ”能否由人事部门统一确定组织结构及岗位描述的规范称谓，其他部门直接引用即可。能否由制定表单的

3、初始单位统一表单的格式和称谓，流程各环节只是引用即可。能否由各业务部门统一各自业务操作的描述，其它部门仅引用即可。能否基于上述要素规范出企业统一的语言，实现要素信息的一次定义，整体共享。如何从精确到如何从精确到 “流程流程” 细化到细化到 “流程的结点和要素流程的结点和要素”如何实现流程各结节和各要素间的有机关联, 从 “流程图” 到 “流程模型”.如何实现流程各要素间的自动汇总和统计，实现 “一次建模，整体关联”。 IDS Scheer AG www.ids- 6传统制度和流程描述文档的技术问题之三传统制度和流程描述文档的技术问题之三 梳理细度精确到整个流程梳理细度 精确到流程内的结点 ID

4、S Scheer China www.ids- 传统制度和流程描述文档的技术问题示例传统制度和流程描述文档的技术问题示例一个表单我到底需要使用多少次一个表单我到底需要使用多少次? IDS Scheer AG www.ids- 8l “ 统一录入，整体协同 ”：实现由流程图导出流程制度文档，并自动更新与相关表单的关联。实现流程信息的 “ 统一录入，整体协同 ” 。l “ 一次建模，整体关联 ”: 多维度的建模语言，从组织、功能、表单和系统、产品和服务四大要素进行流程和制度的梳理和关联，实现流程及制度要素的 “ 一次建模，整体关联 ” 。l “ 统一定义，整体共享 ”: 与各相关部门一次确定组织、

5、功能、表单和服务的定义，其他部门便可引用和共享所有信息进行制度和流程的描述。小结：传统制度和流程描述文档需要解决的技术问题小结：传统制度和流程描述文档需要解决的技术问题 IDS Scheer AG www.ids- 建设业务流程管理的机制和平台是实施建设业务流程管理的机制和平台是实施ERPERP系统后的必然结果系统后的必然结果 4 级系统 : 企业ERP系统 主 机5 级系统： 企业业务流程管理系统3 级系统: MES系统部门的计算机生产控制1 级系统 : 设备控制2 级系统: 过程控制过程控制P L C 可编程控制器Micro Processor微处理器主 机企业资源信息 企业管理信息生产管

6、理信息设备技术信息过程控制信息 IDS Scheer China www.ids- ARIS业务流程业务流程管理平台的功能架构管理平台的功能架构ERP套件系统套件系统业务统计数据业务统计数据业务操作表单业务操作表单主数据结构主数据结构主数据主数据业务操作数据业务操作数据业务操作员业务操作员业务流程蓝图业务流程蓝图ARIS管理平台管理平台流程操作规章流程操作规章业务流程架构业务流程架构管理操作数据管理操作数据流程管理员流程管理员企业管理战略企业管理战略 IDS Scheer AG www.ids- 11解决方案：统一平台、统一数据库、统一语言解决方案：统一平台、统一数据库、统一语言 ARIS导入

7、后VISIOWORDEXCEL流程建模使用信息平台前可视化标准化可管理分散化无序化难管理组织组织数据数据功能功能产品及服务产品及服务流程流程同一平台、同一语言同一平台、同一语言 - ARIS- ARISARIS: ARIS: ARARchitecture of Integrated chitecture of Integrated I Information nformation S Systemsystems IDS Scheer AG www.ids- 12ARIS 流程建模房式结构流程建模房式结构 公司销售部物料管理部采购科排产科组织视图组织视图销售处理检查信用额度确定交付日期客户需求处

8、理报价处理功能视图功能视图流程视图流程视图产品产品/服务视图服务视图销售合同配置单报价单服务条款报价单客户信息配置单数据视图数据视图客户需求处理收到客户询价需求处理完毕报价处理报价单配置单销售部客户信息销售部 IDS Scheer China www.ids- 相关的制度信息在属性表中进行维护相关的制度信息在属性表中进行维护我有很多符号背后的内容要说，怎么办我有很多符号背后的内容要说，怎么办? IDS Scheer AG www.ids- 14ARIS 建模技术还可以根据事先定义的规则建模技术还可以根据事先定义的规则自动自动进行逻辑进行逻辑检查检查 IDS Scheer AG www.ids-

9、 15ARIS 建模技术还建模技术还可以可以根据事先定义的规则根据事先定义的规则自动自动进行逻辑进行逻辑检查检查 IDS Scheer AG www.ids- 16多多套套管理管理体系体系最终应落实在一套最终应落实在一套制度和制度和流程中流程中流程流程流程每一个要素后预设了一组特性栏位，点击鼠标后会自动弹出，并可随需录入根据授权不同，不同的业务部门看到的可修改的特性栏位和值是不一样的。通用信息HSE 相关信息内控相关信息. IDS Scheer AG www.ids- 17多多套套管理管理体系体系最终应落实在一套最终应落实在一套制度和制度和流程中流程中流程流程由一个流程自动导出各种流程文档风险

10、控制文档风险控制文档岗位职责说明书岗位职责说明书流程手册流程手册 IDS Scheer AG www.ids- 18企业流程管理体系企业流程管理体系ARIS 平台平台业务流程管理平台信息化运营平台平台信息化系统平台PMFI/COHRMESAPOMMBI执行与控制：固化到信息化执行系统中执行与控制：固化到信息化执行系统中ISO 9000ISO 14001ERPSOX 法案全面风险管理 企业的流程只有一套 同一套流程可以根据不同管理体系的需求进行不同的分类挂接 一个管理体系并不一定涵盖所有的流程 企业的流程管理体系是涵盖所有流程的管理体系 IDS Scheer AG www.ids- 19制度和流

11、程体系及流程接口的概念制度和流程体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从从 “制度和制度和流程流程” 梳理梳理 到到 “制度和制度和流程体系流程体系” 的梳理，你做到了吗？的梳理，你做到了吗？流程流程 IDS Scheer AG www.ids- 20制度与流程的层次和分类制度与流程的层次和分类 企业地图流程区域图主流程模型流程模型采购计划采购需求分析创建采购需求采购管理采购采购仓储管理仓储管理付款管理付款管理供应商管理供应商管理人事管理人事管理财务管理财务管理物业设备管理物业设备管理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业务流程业务流程管理平台的功能架构管理平台的功能架构ERP套件系统套件系统业务统计数据业务统计数据业务操作表单业务操作表单主数据结构主数据结构主数据主数据业务操作数据业务操作数据业务操作员业务操作员业务流程蓝图业务流程蓝图ARIS管理平台管理平台流程操作规章流程操作规章业务流程架构业务流程架构管理操作数据管理操作数据流程管理员流程管理员企业管理战略企业管理战

34、略 IDS Scheer China www.ids- ARIS 业务流程管理平台功能架构的扩展业务流程管理平台功能架构的扩展ERP套件系统套件系统业务统计数据业务统计数据业务操作表单业务操作表单业务操作数据业务操作数据业务操作员业务操作员业务流程蓝图业务流程蓝图ARIS管理平台管理平台流程操作规章流程操作规章业务流程架构业务流程架构管理操作数据管理操作数据流程管理员流程管理员企业管理战略企业管理战略ARIS绩效平台绩效平台企业高层领导企业高层领导流程绩效流程绩效绩效考核员绩效考核员ARIS合规平台合规平台合规监控员合规监控员合规现状合规现状 IDS Scheer AG www.ids- 24

35、基于流程的风险文档 (举例)输入合同条件ERPa会计师合同风险高级会计师c相关的风险属性在这被赋值4 眼原理, a 执行 c 监控相关流程的建档由相关流程的建档由 ARIS ARIS 完成完成, , 这包括一这包括一个为风险管理而制订的一套方法个为风险管理而制订的一套方法与内控相关的人员与内控相关的人员 - - 控制活动控制活动 4 4 眼原理眼原理 执行与控制：内控与风险管理执行与控制：内控与风险管理 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!监控点1监控点2客户服务流程客户服务流程StartEnd客户投诉流程客户投诉流程监控点3监控点4分析与优化分析与优化: 流程绩效的监控和分析流程绩效的监控和分析 IDS Scheer AG www.ids- 26客户价值客户价值4可视透明的业务流程 / 层次清晰的流程结构4业务语言统一、文档化的流程、定量/定性的问题发现4形成未来信息系统的需求框架4形成共识的业务改进衡量指标4明晰的优化目标、流程改进控制程序 结果结果流程可视化流程可视化流程改进流程改进/优化报告优化报告 流程定性结构分析流程定性结构分析衡量指标部分衡量指标部分 流程分析结果 衡量指标 优化程序 流程定量统计