Dear all,
i need you help, is there have to ask Human resources and fininca dept related to their activities organization structures and financially performance files though QMS internal audit 9001- 2008 and take a cop as evidences or not, in case of dept auditee refused to give and this is not allowed, i take major NC or what can i do, as well as we need the standard check list for those dept.
First - it looks like you asked for how to audit 2 areas - Human Resources and Finance.
When auditing human resources look at the following items:
What to look for
Consideration by the organization of:
? competencies required by personnel performing work which affects quality
? personnel already performing the work have the required competencies
? what additional competencies are required
? how these additional competencies are to be obtained ? training of personnel (external or internal), theoretical or practical training, hiring of new competent personnel, assignment of existing competent personnel to different work
? training, hiring or reassigning personnel?
? reviewing the effectiveness of actions taken to satisfy competence needs
? periodically reviewing competence of personnel
? a specific training or information for new employee regarding quality:
- at company level
- at shop-floor level
? if commercial airworthiness requirements, people in charge of airworthiness release are aware of regulatory requirements
What to look for
Examples of objective evidence:
? discussions with top management to ensure they understand the importance of identifying the competencies required
? people competencies taken into account in risk analysis process
? competence requirements included in contract documents where the activities of subcontractors can have an impact on processes and/or product quality characteristics
? review of job descriptions, responsibilities and authorities, including education and training requirements
? training records and plan (status of the current year and of the previous year)
? competence matrix or some other method to understand competency requirements for processes or sub-processes
? nonconformity records, audit reports, customer complaints related to competence problems/ issues, e.g., training/instruction is the corrective action
? certification records (e.g., NDT, repair, auditors, authorized signatories, ...)
NOTE: Most company have the same information in each department to avoid coming in contact with sensitive information from employees. If it is duplicated then clarify it in your procedures, this way HR is not audited.
The second part of your question deals with finance department:
the first item that you need to do is develop a process map with emphasis on documents from receiving of material / product that goes to finance.
and you will do the following:
? how record formats are identified and controlled, including record ID?s
? retention times and conditions including the storage area
? who is responsible for storage of records
? are records legible
? filing of records
? destruction
you could also ask some basic question:
? Ask for electronic versus paper records
? How long are records kept regarding the statutory, regulatory and customer?s requirements?
? Is the method for controlling records of supplier?s part of the documented procedure?
? How are records communicated to the supplier, e.g., in supplier contracts?
? Existence of samples on retrieval, based on the retention requirements?
NOTE: Most company have copies of those records in the Quality department or in electronic format to avoid entering the finance department and observing sensitive information. So, clarify that process that finance department has the same information as the Quality department and it does not need to be audit - since it is duplicated.
Hope this helps