ISO Audit for HR Department: How Can I Prepare When I'm Unfamiliar with the Process?

The day after tomorrow, we have an ISO audit for the HR Department. Please guide me as I am not aware of the details regarding this audit. Thank you for your assistance.

Regards

The ISO process involves certification at different levels such as ISO 9001:2008, 14001:2004 (Environmental Management System), and 18001:2007 (OHSAS - Occupational Health & Safety Assessment Series). The quality parameters should align with the organization's requirements.

ISO 9001:2008 Focus

ISO 9001:2008 focuses on Resource Management and Training needs specific to the HR Department.

- Resource Management includes manpower planning, recruitment, and selection.
- Training encompasses training need identification, planning, agenda, circular, conducting, feedback, evaluation, and skill updating.

Documents for HR Audit

Please ensure the following documents are maintained for the HR audit:

- Employee files with relevant documents
- Training Calendar
- Training need identification
- Training Reports
- Training Evaluation Reports
- Attendance Registers
- Canteen Records
- Compliance with legal formalities
- Contract Agreements
- Competency Matrix

Additional records may be required for HR record-keeping.

Refer to ISO audit books for further information, which will assist in meeting your requirements.

Thank you.

Ms. Sharmila Das has provided detailed points to be taken care of. In addition, please read and understand all the SOPs (Standard Operating Procedures) applicable to your department. Also, ensure that all employees are familiar with the company policy and inform the concerned departmental employees about the department objectives.

Housekeeping should be improved as it contributes significantly to the first impression of the organization.

With Best Wishes,
Regards

Key Focus Areas for HR Audit

Kindly focus on some key things whenever it comes to an HR audit:

- Updated Training Records and SOP
- Pest Control Records and SOP
- Recruitment and Induction SOP
- All statutory compliances updated, meaning all licenses applicable in your industry are available.

Having the above documents will help you face any audit without any problem.

Regards,
Sandeep Thakur

Dear Ashok, ISO audit shall be conducted for all processes to understand the compliances and conformities: Input, Media/Value Addition, Output. No process is complete without output, and we cannot achieve output without any input and value addition.

For the processes, you should follow the detailed procedures described in the SOPs.

With best regards

Dear All, On the day after tomorrow, we have an ISO audit for the HR Department. Please guide me on the same because I am not aware of anything regarding it.

Footnote: ISO Certification is valid for up to 3 years. During these three years, auditors visit periodically to recheck the continual improvement of the company. During inspections, if auditors find any deficiencies in the documents, they would provide a "Non-conformity" report, which must be addressed within 90 days. Accurate data must be provided promptly if it is considered minor before it escalates to a major issue.

Please check with your Management's Representative (MR) regarding the key responsibilities for ISO documentation and all other related processes. He will provide you with the checklist applicable to the HR department. Please cross-check the respective records as per the points stated in the checklist.

For sure, there must be an ISO manual for your organization. Kindly review it and update yourself. If you are new, seek help from your superior. Request the MR to train you in ISO document processes applicable to your department.

With profound regards,

ISO, in simple language, is about establishing processes for what you do or intend to do. This includes procedures, SOPs, work instructions, formats for data entry, and record maintenance. Therefore, first, review all procedures and records you are supposed to maintain. Check if you have everything required to demonstrate during the audit. If you are following the system's requirements, remain composed and enjoy the audit. An audit is essentially demonstrating to the auditor how well you comply with the standards. Keep all records in order so you can quickly present them when needed.

Key Areas of Focus for ISO Audit

Some key areas they will focus on, in addition to what members have already contributed, include:

- Applicable legal requirements: ensure copies are in place along with internal communication records
- Inspections, notices, circulars from relevant authorities, and action plans for compliance
- Policies: corporate policy, HR policy, etc. - document, understand, and display
- Departmental objectives/KPIs, deliverables, action plans, etc.
- Recruitment, induction, training, competency, and appraisal records
- Employee welfare
- Overall departmental documentation and records.

Regards,
Nandish

First of all, you and your staff should master the manual and procedures. Your staff should be aware of the policies and basic procedures related to HR matters in the manual. Keep all records within the manual ready. All identified training should be completed within available resources. Apart from those posted by other contributors, maintain records to demonstrate the effective evaluation of training and other HR systems.

Regards,
VARGHESE MATHEW

Understanding ISO Certification and Audit Process

ISO is essentially about discovering your own sincerity in maintaining manuals, records, procedures, etc., and keeping them consistently updated. As you know, ISO certification is not awarded on a department-wise basis. An industry that fulfills the requisite standards and compliance is awarded ISO certification. Periodically, all departments are audited by the agency that awards the certification to ensure the parameters are intact, especially when renewals are due. Stipulations may vary from one industry or establishment to another.

You have not mentioned anything about your industry, so specifics could not be suggested. However, considering your urgency, here are some suggestions and notes to help you understand the subject matter. You may also go through the following links/posts discussed on CiteHR earlier, which may or may not be relevant:

- https://www.citehr.com/102431-iso-90...heck-list.html
- https://www.citehr.com/218682-admin-...checklist.html

The attached notes will help you prepare yourself in the interim.

All the best.

Regards,
Kumar S.

Please find the master file for ISO Documentation and contact the management representative for ISO of your company. Please go through your master file of ISO and make the necessary documentation for the same. If possible, convey the message to your management to hire an ISO Consultant for the same so they can help you out.

Thank you.

Regards,
Ashish

The replies are very good, but first understand what the standard demands. For HR, so many records and documentation are not required. Organizations create much documentation for comfort, not HR. For HR, only clause 6.2.2 on Competence, Training, and Awareness is applicable. You need only two records: Competence Records of your employees and Evaluation of Training records. These two records should be controlled according to the control of documents procedure of your organization.

The standard does not require any documented procedure for HR activities. Please read the standard and understand it. Auditors conduct audits based on standard requirements only. If they exceed the standard, you can challenge them.

Regards,
Narayan

By now, the ISO audit must have concluded. As (Cite Contribution) mentioned, please share your experience for the benefit of the other members.

Sharing Your ISO Audit Experience

Please consider blogging about your experience during this audit. Feel free to share your insights for the benefit of those who have not gone through it yet and for those who missed out on the lessons you learned.

Thanks in advance.

Regards,
Dinesh V Divekar

Safety Aspects in ISO for the HR Department

Safety aspects are also important considerations in ISO for the HR department.

Regards

If the new joiners are not acquainted with the new technologies and ISO, it is the duty of the HR department to arrange their training on the subject.