Carrying out an internal audit on HR/ Training today

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Ajit Basrur

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#2
Good morning

I am carrying out an internal audit on HR (a one person department) today

I have attached my "checklist" and a flow chart of the process at the moment

Is this enough?

thanks
The audit checklist will depend on the work activities that your HR undertakes and the certifications that you have viz. ISO 9001, SA 8000 or OHSAS 18001.

If you have OHSAS and SA, the checklist would be very lengthy :)
 
#4
Hassony:
I can't open the Visio flow, but from looking at your checklist and in the context of your question, it's my opinion that your checklist isn't going to help you much. I'm assuming that you have had some form of auditor training with an organization that specializes in auditor training.

The current approach to performing audits of organizations compliant with ISO 9001, is to use a 'process approach'. Now, (just) looking at your checklist, I can't see where you have prepared to audit your own process.

Your checklist (don't forget, I can't read your flow) should be constructed from your process flow and any other documentation. I'd expect to see that you have listed the input(s) to the process, the objectives for the process, what's measured and/or monitored, what the steps of the process are, what the output is and what actions are necessary if the process doesn't give the correct result - as a minimum. In reality, there's more to it that even these, but I'm trying to keep it simple.

That's even if you know or have experience with the HR/training process. If you haven't got any experience of auditing this, then your checklist should be even more detailed.

It's important to know these things if you want the audit to be value added. If this is the first audit you and your organization have done, I'd suggest getting some practical help. If this isn't the first audit, what have other internal auditors done? You might get some help.
 

hassony

Involved In Discussions
#5
Thanks Andy

I think a checklist was the wrong term, The visio file is a absic flow chart on the Recrutiment/ training process that is used in HR, My plan is to go through that process noting down anything that procedure doesn't reflect, and checking that Initial training, Record of training, evaluation of training/ skills is followed in accordance with ISO 6.2.2

I already know what some of the non conformaces that will come out will be (lack of proper induction training, checking of records, training programs..etc)

This will be audited by BSI in June so I am trying to make sure that HR will be well prepared for that audit
 
#6
Thanks Andy

I think a checklist was the wrong term, The visio file is a absic flow chart on the Recrutiment/ training process that is used in HR, My plan is to go through that process noting down anything that procedure doesn't reflect, and checking that Initial training, Record of training, evaluation of training/ skills is followed in accordance with ISO 6.2.2

I already know what some of the non conformaces that will come out will be (lack of proper induction training, checking of records, training programs..etc)

This will be audited by BSI in June so I am trying to make sure that HR will be well prepared for that audit
Hassony:
If you know these things are missing, why do an audit? If the process and other documentation doesn't require these things to be done, don't risk an audit to correct the system. If they are in the documentation and have not been done, then the results will show that - you said yourself that you know this going into the audit. It's like using the QC people to tell Engineering the product design is flawed. It's too late and you haven't got the authority to get things changed.

Now, doing an audit in preparation for BSI is worthy, of course, but please don't waste an audit to get fundamentally poor documentation fixed. The focus of the audit should be on confirming (effective) implementation.

Since you know there are issues, just sit down with the people affected and see what needs to be done and get them to fix it. Then do an audit!
 
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