Maturity Model of Internal Audit

Maturity Model of Internal Audit

Fukumaru Management Techno representative directorNoriyoshi Fukumaru

©FMT NORIYOSHI FUKUMARU 1

Keynote 2April 15

Question？• Are your organization’s internal audits useful for improvement of

QMS ?

• Are your organization satisfied a competence of internal auditor ?

• Are your organization assessment the output of internal audits with your organization’s performance ?

• Are your organization assessment a cost of internal audits ?


Purpose of internal audit

The organization shall conduct internal audits at planned intervals to determine whether the quality management system

a) conforms to the planned arrangement(see7.1),to the requirements of this International Standard and to the quality management system requirements established by the organization

b) is effectively implemented and maintained

ISO9001:8.2.2


Problems of internal audit process

• The audit results doesn't related to the quality management system improvement.

• Auditor's ability is insufficient.

• The plan of audit doesn't consider process.

• Effectiveness of QMS is not evaluated.

• The organization’s overall performance is not evaluated.


QMS of the organization

QMS of ISO9001

Objects of internal audit

QMS requirements that organization decided

Necessary minimumrequirements


Elements of QMS• Policy management

• Improvement management

• Marketing management

• Research and development management

• Design management

• Production management

• Purchasing management

• Quality control

• Retail management

• Human capital management

• Standardization management

• Safety management

• Environment management

• Plant management

• Measurement equipment management

• Stock control etc

Elements necessary for business management


Basis of process assessment

• Evaluate the performance appropriately on the site.

• Evaluate the resource, the activity, and the management of the process.

• Is the organization acting as it is an established procedure?

• Is this procedure effective?

• Is this procedure efficient?

procedure procedure procedure

process

monitoring

resource

control


View of process output

• Does the output that follows the procedure exist?

• Is not the mistake found in the output?

• Is the output effective compared with the target of the process?

• When the plan is not filled, is the improvement activity implemented?

PROCESSOBJECT OUTPUT

Improvement


Matu

rityleve

l of

inte

rnal

aud

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Time

Level 1

Level 2

Level 3

Level 4

Maturity Model of Internal Audit

Assessment ofprocess andperformancefor QMS

Assessment ofconformationfor QMS

Management skills

Analysis skills of process andperformance

Self-assessmentskills

Assessment ofeffectivelyand efficiencyfor QMS

Assessment ofability forchange of businessenvironment


Maturity Level 1Assessment of conformation for QMS

• Viewpoint

Is the QMS conforms to the quality management system requirements established by the organization ?

• Knowledge

quality control ，quality manual，ISO9000，ISO9001

• Skills

question，observation，assessment，record，report


Maturity Level 2Assessment of process and performance for QMS

• Viewpoint

Is the organization’s process and QMS effective？

• Knowledge

daily management，process，process approach，QC seven tools

• Skills

comparing quality performance with planed and performed processor QMS


Maturity Level 3Assessment of effectively and efficiency for QMS

• Viewpoint

Is the planed and performed business process effectively and efficiency ？

• Knowledge

policy management，quality management principles，process assurance，process analysis，risk treatment methods，statistical quality control，ISO9004

• Skills

technology、，assessment of strong-weakness for process and QMS


Maturity Level 4Assessment of ability for change of business environment

• Viewpoint

Is the organization’s ability equivalent to change of businessenvironment？

• Knowledge

customer value management ，self-assessment，JIS Q 9005:2014（Quality management systems－Guideline for sustained success）

• Skills

analysis of self-assessment for process


Acceleration System for MS internal auditor

Ex：N-MSAE（Association of Nippon Management System AuditEngineers）

Grade 1（2 days）・・・ Maturity Level 3

e-Learning + lecture + case study + test


e-Learning + lecture + case study + test


lecture + case study


Thanks you！

Have ａ nice trip！


Maturity Model of Internal Audit

Technology

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