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Maturity Model of Internal Audit

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Reference model to illustrate how to take an active approach toward audit planning and execution in order to implement sustainable data analytics-enabled auditing for quality management system improvement (QMS) presented by Noriyoshi Fukumaru - Fukumaru Management Techno Corporation.

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Maturity Model of Internal Audit

  1. 1. Maturity Model of Internal Audit Fukumaru Management Techno representative director Noriyoshi Fukumaru ©FMT NORIYOSHI FUKUMARU 1 Keynote 2 April 15
  2. 2. 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 ? ©FMT NORIYOSHI FUKUMARU 2
  3. 3. 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 ©FMT NORIYOSHI FUKUMARU 3
  4. 4. 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. ©FMT NORIYOSHI FUKUMARU 4
  5. 5. QMS of the organization QMS of ISO9001 Objects of internal audit QMS requirements that organization decided Necessary minimum requirements ©FMT NORIYOSHI FUKUMARU 5
  6. 6. 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 ©FMT NORIYOSHI FUKUMARU 6
  7. 7. 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 ©FMT NORIYOSHI FUKUMARU 7
  8. 8. 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 ©FMT NORIYOSHI FUKUMARU 8
  9. 9. Maturitylevelofinternalaudit Time Level 1 Level 2 Level 3 Level 4 Maturity Model of Internal Audit Assessment of process and performance for QMS Assessment of conformation for QMS Management skills Analysis skills of process and performance Self-assessment skills Assessment of effectively and efficiency for QMS Assessment of ability for change of business environment ©FMT NORIYOSHI FUKUMARU 9
  10. 10. Maturity Level 1 Assessment 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 ©FMT NORIYOSHI FUKUMARU 10
  11. 11. Maturity Level 2 Assessment 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 process or QMS ©FMT NORIYOSHI FUKUMARU 11
  12. 12. Maturity Level 3 Assessment 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 ©FMT NORIYOSHI FUKUMARU 12
  13. 13. Maturity Level 4 Assessment of ability for change of business environment • Viewpoint Is the organization’s ability equivalent to change of business environment? • Knowledge customer value management ,self-assessment,JIS Q 9005:2014 (Quality management systems-Guideline for sustained success) • Skills analysis of self-assessment for process ©FMT NORIYOSHI FUKUMARU 13
  14. 14. Acceleration System for MS internal auditor Ex:N-MSAE(Association of Nippon Management System Audit Engineers)  Grade 1(2 days)・・・ Maturity Level 3 e-Learning + lecture + case study + test  Grade 2(2 days)・・・ Maturity Level 2 e-Learning + lecture + case study + test  Grade 3(2 days)・・・ Maturity Level 1 lecture + case study ©FMT NORIYOSHI FUKUMARU 14
  15. 15. Thanks you! Have a nice trip! ©FMT NORIYOSHI FUKUMARU 15

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