Key or Standard element

Level of Maturity achieved

ISO 9004 expression of what the achievement of that level means in terms of the management of quality for sustained success

Table A.1 — Independently verified self-assessment of key elements — Correlation between key elements and maturity levels

What is the management focus?

Level  2

The focus is on customers and statutory/regulatory requirements, with some structured reaction to problems and opportunities

 What is the Leadership approach?

Not applicable

How is it decided what is important?

Level  3

Decisions are based on the strategy and linked to needs and expectations of interested parties.

What is needed to get results?

Level  5

The management and use of resources is planned, efficiently deployed, and satisfies the interested parties.

How are the activities organized?

Level 1

There is a non-systematic approach to the organization of activities,with only some basic working procedures or instructions in place

How are results

achieved?

Level 3

Predicted results are achieved, especially for identified interested parties.

There is consistent use of monitoring, measurement and improvement.

How are results monitored?

Level 2

Customer satisfaction, key realization processes and the performance of suppliers are monitored

How are improvement priorities decided?

Level 3

Improvement priorities are based on the needs and expectations of some

interested parties, as well as those of suppliers and the organization's people

How does learning occur?

Level 1

Learning occurs randomly, at an individual level.

NOTE The current maturity level of the organization's individual elements is the highest level achieved up to that point with no preceding gaps in the criteria. [this note applies equally to all the Tables below]

Table A.2 — Independently verified self-assessment of the detailed elements of Clause 4 — Managing for the sustained success of an organization

4.1
General

Level 1

The quality management system is functionally oriented, based on procedures

4.2

Sustained success

Level 5

There has been sustained improvement in performance in the past, with evidence of planning for the long-term future (e.g. the next five years).

4.3

The organization's Environment

Level 2

Plans exist to mitigate any recurrence of past problems

4.4

Interested parties, needs and expectations

Level 1

The organization's overriding purpose is to make an annual profit.

Table A.3 — Independently verified self-assessment of the detailed elements of Clause 5 — Strategy and policy

5.1

General

5.2

Formulation

Level 1

The planning process is organized in an ad hoc manner.

Strategy, policies and objectives are only partly defined.

Inputs into policy and strategy formulation are ad hoc, and only product

and financially related aspects are formulated

5.3

Strategy and policy Deployment

Level 1

 Short-term objectives are used and deployed in daily operations. Strategic plans are defined for product realization.

5.4

communication

Not applicable

Table A.4 — Independently verified self-assessment of the detailed elements of Clause 6 — Resource management

6.1

General

Level 1

Resources are defined and assigned in an ad hoc way

6.2

Financial resources

Level 3

There are periodic reviews of the effectiveness of the use of financial resources. Financial risks are identified

6.3

People in the Organization

Level 1

People are considered to be a resource, but only a few objectives are related to the strategy of the organization.
Competence reviews are performed periodically.

6.4

Partners and suppliers

Level 1

Supplier communications are limited to tendering, order placement or problem resolution.

6.5
Infrastructure

.

Level 2

The organization's infrastructure is planned and managed.
Statutory and regulatory requirements are considered

6.6

Work environment

Level 4

Data shows that the work environment encourages productivity, creativity and the well-being of people.

6.7

Knowledge, information and technology

Level 5

The results achieved for information, technology and knowledge management compare well with other organizations

6.8

Natural resources

Not applicable

Table A.5 — Independently verified self-assessment the detailed elements of Clause 7 — Process management

7.1

General

7.2

Process planning and Control

Level 1

Processes are planned and managed in an informal, ad hoc manner.

7.3

Process responsibility and authority

Level 1

Process responsibilities are defined on an ad hoc basis.

Table A.6 — Independently verified self-assessment of the detailed elements of Clause 8 — Monitoring, measurement, analysis and review

8.1

General

8.2

Monitoring

Level 1

Monitoring is performed on a sporadic basis, with no processes in place.

The focus of monitoring is on products. Action is triggered by product problems or management problems (i.e. crisis situations).

While information about applicable statutory and regulatory requirements is collected, changes in the requirements are only determined in an ad hoc way.

8.3.1

(Measurement) General

8.3.2

Key performance indicators

Level 1

A very limited set of data from measurements and assessments is available to support management decisions or tracking of the progress of actions taken.

Basic indicators (such as financial criteria, on-time deliveries, the number of customer complaints, legal warnings and fines) are used.

Data are not always reliable.

8.3.3

Internal audit

8.3.4

Self-assessment

Level 2

Some data is collected from key processes on a regular basis

Data and the results of evaluations are beginning to be used in a preventive way

8.3.5

Benchmarking

N/A

This is an optional suggestion which may be undertaken at some future date

8.4

Analysis

Level 1

Anecdotal examples of data analysis are used. Only economic and financial objectives have been defined as the references for data analysis. There is limited analysis of customer complaints.

8.5

Review of information from monitoring, measurement and analysis

Level 1

There is an ad hoc approach to reviews. When a review is performed, it is often reactive.

Table A.7 — Independently verified self-assessment of the detailed elements of Clause 9 — Improvement, innovation and learning

9.1

General

9.2

Improvement

Level 3

Improvement efforts can be demonstrated in most of the products and key processes of the organization.

The focus of the improvement processes is aligned with the strategy and objectives.

9.3

Innovation

Level 3

The innovation process for new products and processes is able to identify changes in the organization's environment, in order to plan innovations.

9.4

Learning

Level 3

There are planned activities, events and forums for sharing information.

A system is in place for recognizing positive results from suggestions or lessons learned.

Assessed Doug Lawrence – Amicus TransTec Limited doug@amicus-transtec.com

Assessment verified Chris Cox MCQI CQP ISO 9001 Lead Auditor         

Chris Cox chris.cox@geolang.com