Preparing for an ISO Audit: What HR Needs to Know and Have Ready

Dear All,

Can somebody help me to know what all should be ready from an HR point of view when an ISO Audit happens. What documents should be ready? What files should be updated? Should the HR Manager and the Associate be mandatorily qualified in HR? If the HR department is not qualified, what are the consequences?

Regards,
Jennifer Isaac

Hi Jennifer,

For an ISO HR Audit, not much is required, but you need to show that all your policies and procedures are in place. To mention a few of them:
- Employee Database
- Employee Files
- Appraisal Process
- Training
- Recruitment Process
- Joining Report
- Offer and Appointment letters of all the employees
- Company Structure
- Induction
- Employee Exit Documents

You need to keep all the forms in place. For the appraisal, I think they need a 360-degree appraisal system. I'm not sure; even we are working on ISO. You will have to do the documentation work for everything like induction, appraisals, etc. Make a PPT of these functions if you don't have it.

Hope this information will help you. I will let you know as soon as I get to know more about this.

Regards,
Gauri

Dear Jennifer,

ISO is only concerned with training and development of employees. First of all, you should have the following set of documents available within your department:

- Job Description
- Job Requirements
- TNA (Training Needs Analysis)
- Training Need Directory
- Individual Training Record
- Annual Training Plan based on TNA
- Competency development records (post-training feedback, etc.)
- Basic Training Records (First Aid, Firefighting drills, mock exercises, etc.)

I work with an FMCG MNC. Besides HR, our department also handles incident management, SLP, safety, etc.

I have undergone many ISO audits. Firstly, every auditor will inquire about your documented policies and procedures. Most of the time, they are concerned with the development of people according to the requirements of their respective jobs. That is why they place more emphasis on development and training.

Please feel free to ask me if you need further details.

Regards,
Faysal Chaudhary

Hey, people...

Please answer Jennifer's 3rd question. If the answer is 'Yes', then please answer the 4th also :)