ISO 9001: 2015 - Internal Audit Checklist for Human Resource Process in Manufacturing
Master ISO 9001 training and competence audits with this comprehensive tabular HR checklist. This guide provides practical audit questions covering employee competence requirements, training records, awareness programs, roles and responsibilities, work environment, and organizational knowledge management. Quick reference format for efficient HR and people management auditing aligned with ISO 9001:2015 requirements.
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👥 People and Human Resources (Clause 7.1.2)
Verify that the organization has adequate trained and skilled personnel to perform all functions affecting product quality. Check that staffing levels are sufficient to meet operational needs.
| CLAUSE | AUDIT QUESTION | WHAT TO LOOK FOR |
|---|---|---|
| 7.1.2 | Does the organization have enough trained and skilled employees to run the business? | Staffing plans documented, headcount vs. required capacity defined, skill mix assessed, competent people identified for critical roles, vacation/leave coverage planned |
✅ Competence Requirements Definition (Clause 7.2)
Verify that competence requirements are clearly defined for each job role. Check that qualifications, experience, education, and skills are documented for each position.
| CLAUSE | AUDIT QUESTION | WHAT TO LOOK FOR |
|---|---|---|
| 7.2 | Are competence requirements defined for each job role? (qualifications, experience, skills) | Job descriptions document required qualifications, experience levels defined (years in role), technical skills listed, soft skills identified, certification requirements specified |
Competence Elements: Education + Experience + Training + Skills + Awareness = Competent Person
📚 Training Requirements and Delivery (Clause 7.2)
Verify that employees receive training on their job responsibilities, safety procedures, and quality requirements. Check that training is documented and covers both technical and quality skills.
| CLAUSE | AUDIT QUESTION | WHAT TO LOOK FOR |
|---|---|---|
| 7.2 | Are employees trained on their job responsibilities and safety procedures? | Initial job training documented, on-the-job training programs, supervision during learning period, training on equipment operation, safety training conducted, competency verification before independent work |
| 7.2 | Are new employees assessed for competence before starting work? | Pre-employment assessment conducted, relevant experience verified, educational qualifications confirmed, technical skills tested if required, assessment documented before hire |
⚠️ Red Flag: Untrained employees operating equipment or performing quality-critical tasks indicates serious competence gap.
📋 Training Records and Documentation (Clause 7.2)
Verify that comprehensive training records are maintained for all employees. Check that records include who trained, when training occurred, topics covered, and competency verification.
| CLAUSE | AUDIT QUESTION | WHAT TO LOOK FOR |
|---|---|---|
| 7.2 | Can you show training records for employees? (who trained, when, on what topics) | Training records maintained for all employees, trainer/instructor name documented, training date recorded, topics covered listed, duration noted, employee signature present, competency assessment recorded |
| 7.2 | Is there a training matrix or competence matrix showing employee skills? | Competence/skills matrix created by department, equipment/process training tracked, competency levels shown (trained, independent, trainer), refresh training dates noted, matrix kept current |
Audit Check: Select 5-10 random employees and verify training records exist, are complete, and competency dates are current.
🔍 Competence Evaluation and Training Needs (Clause 7.2)
Verify that competence levels are periodically evaluated to identify training gaps. Check that training is provided to address deficiencies and maintain competency.
| CLAUSE | AUDIT QUESTION | WHAT TO LOOK FOR |
|---|---|---|
| 7.2 | Are competence levels evaluated periodically to identify training needs? | Formal competence assessments conducted annually or semi-annually, skills gaps identified, performance reviews assess competency, training needs identified from assessment, refresher training planned |
⚠️ Key Requirement: Competence doesn't last forever. Regular evaluation ensures skills stay current and relevant.
💡 Employee Awareness and Understanding (Clause 7.3)
Verify that employees understand the quality policy, objectives, and their role in achieving quality. Check that awareness is created through communication and demonstrated through employee actions.
| CLAUSE | AUDIT QUESTION | WHAT TO LOOK FOR |
|---|---|---|
| 7.3 | Do employees understand the quality policy and their role in achieving it? | Quality policy posted visibly, employee interviews demonstrate understanding, employees can explain how their role supports quality, policy translated if needed for non-English speakers |
| 7.3 | Are employees aware of quality objectives and their contribution to achieving them? | Objectives communicated to all staff, departmental targets displayed, employees can discuss objectives, team meetings review progress, individual contributions linked to objectives |
Interview Technique: Ask random employees: "What is our quality policy?" and "How does your job affect quality?" Their answers demonstrate awareness level.
🎓 New Employee Induction Training (Clause 7.3)
Verify that new employees receive comprehensive induction training covering quality, safety, procedures, and company culture. Check that induction is documented and assessed for effectiveness.
| CLAUSE | AUDIT QUESTION | WHAT TO LOOK FOR |
|---|---|---|
| 7.3 | Are new employees given induction training covering quality, safety, and company procedures? | Induction program documented with checklist, quality policy covered, safety orientation completed, procedures walkthrough, organizational structure explained, tour of facility conducted, trainer assigned |
⚠️ Critical: New employees without proper induction are at risk of quality errors and safety incidents from day one.
📊 Organizational Roles, Responsibilities and Authorities (Clause 5.3)
Verify that organizational structure is defined and documented. Check that roles, responsibilities, and authorities are clearly assigned and understood by all employees.
| CLAUSE | AUDIT QUESTION | WHAT TO LOOK FOR |
|---|---|---|
| 5.3 | Are job descriptions or role definitions documented for all employees? | Job descriptions for all positions, role scope defined, responsibilities listed, reporting relationships documented, organizational chart maintained, job descriptions updated when roles change |
| 5.3 | Are quality responsibilities clearly defined in job descriptions? | Quality-related duties specified, authority levels documented, decision-making authority defined, approval authorities listed, escalation procedures clear |
| 5.3 | Do employees know who their supervisor is and who to report to? | Reporting lines clear and visible, organizational chart available, supervisory relationships documented, communication channels defined, escalation path known |
📢 Internal Communication (Clause 7.4)
Verify that company policies, procedures, and quality requirements are effectively communicated to all employees. Check that communication is timely and understood by the target audience.
| CLAUSE | AUDIT QUESTION | WHAT TO LOOK FOR |
|---|---|---|
| 7.4 | Are company policies and procedures communicated to all employees? | Procedures available (printed/digital), communication methods defined, training on procedures conducted, updates communicated promptly, feedback mechanisms for questions, documentation of communications |
Communication Effectiveness: One-way communication isn't enough. Verify employees understand through interviews and observed compliance.
🏭 Work Environment and Infrastructure (Clause 7.1.4)
Verify that the work environment is safe, clean, and conducive to quality work. Check that lighting, temperature, noise levels, and ergonomic principles are considered in workstation design.
| CLAUSE | AUDIT QUESTION | WHAT TO LOOK FOR |
|---|---|---|
| 7.1.4 | Is the work environment safe and conducive to quality work? (lighting, temperature, cleanliness, noise) | Adequate lighting at workstations, temperature controls (comfortable range), work areas clean and organized, noise levels acceptable, ventilation adequate, general housekeeping excellent |
| 7.1.4 | Are ergonomic principles considered in workstation design? | Workstations designed to reduce strain, chairs adjustable, desks appropriate height, equipment positioned for easy access, repetitive motion minimized, safety principles incorporated |
⚠️ Quality Impact: Poor work environment (noise, poor lighting, uncomfortable temperature) reduces focus and increases defects.
🧠 Organizational Knowledge and Mentoring (Clause 7.1.6)
Verify that organizational knowledge is preserved and transferred. Check that experienced employees mentor newer staff and knowledge doesn't leave when experienced people depart.
| CLAUSE | AUDIT QUESTION | WHAT TO LOOK FOR |
|---|---|---|
| 7.1.6 | Are experienced employees mentoring or coaching newer employees? | Mentorship programs formally established, experienced staff assigned as coaches, knowledge transfer structured, on-the-job training by experienced people, documentation of lessons learned |
| 7.1.6 | When experienced employees leave, is their knowledge transferred? | Exit knowledge transfer documented, replacement trained by departing person, procedures updated with departing employee's expertise, critical knowledge captured, continuity ensured |
Knowledge Loss Risk: If critical knowledge exists only in one person's head, the organization is at risk of losing it.
💼 Employee Retention and Contingency Planning (Clause 6.1)
Verify that contingency plans exist for key personnel changes. Check that career development and retention strategies are in place to maintain workforce stability.
| CLAUSE | AUDIT QUESTION | WHAT TO LOOK FOR |
|---|---|---|
| 6.1 | Are contingency plans in place if key employees leave? | Critical person analysis conducted, succession plans documented, cross-training of backups, knowledge documentation, transition plans for key roles, risk assessment of key person dependencies |
| 6.1 | Are career development opportunities offered to retain good employees? | Career paths defined, training for advancement available, professional development funded, internal promotion considered, performance recognition programs, competitive compensation |
⚠️ Business Continuity: Loss of key personnel without succession plans can cripple operations and quality.
📌 HR and Competence Audit Best Practices
Before the Audit
| 📊 Analyze Staffing Data | Review turnover rates, training completion trends, competence gaps identified in performance reviews |
| 📋 Review Training Records | Sample historical training records to understand documentation quality and completeness |
| 👥 Prepare Interview List | Identify employees to interview across departments, job levels, and experience levels |
| 🗂️ Request HR Documentation | Job descriptions, training records, competence matrices, organizational charts |
During the Audit
| 🤝 Interview Employees | Ask about training, quality policy, job responsibilities, awareness of objectives |
| 📝 Review Training Records | Verify 10-15 employee files for training documentation, competency assessments, completeness |
| 📊 Check Competence Matrix | Compare matrix against actual employee training records; verify currency and accuracy |
| 🏭 Observe Work Environment | Assess lighting, cleanliness, organization, temperature, noise, ergonomics at workstations |
| 📋 Review Job Descriptions | Verify job descriptions exist for all key roles, include quality responsibilities |
| 🎓 Assess Induction | Review induction records for new hires; verify completeness and quality |
After the Audit
| 📝 Comprehensive Report | Document competence levels, training effectiveness, awareness, HR system maturity |
| ⭐ Rate HR System | Overall assessment of training and competence management effectiveness |
| 🎯 Provide Recommendations | Suggest improvements for training programs, knowledge management, succession planning |
| ✅ Require Actions | For nonconformities, require corrective actions with specific targets and timelines |
| 🔄 Follow-Up | Verify training completion and competence improvements in next audit |
🚩 Common HR and Competence Findings
| No Training Records | Employees working but no documented training or competence assessment records |
| Incomplete Job Descriptions | Job descriptions exist but lack competence requirements or quality responsibilities |
| Expired Competence | Training records outdated; no refresher training conducted despite time elapsed |
| No Competence Matrix | No visibility into who is trained on what; gaps in knowledge unknown |
| Poor Awareness | Employee interviews show weak understanding of quality policy and objectives |
| No Induction Program | New employees hired without formal orientation or quality training |
| Single-Point Dependency | Critical skills held by one person with no backup or knowledge transfer plan |
| Untrained Supervisors | Supervisors/team leads lack training on quality requirements or leadership skills |
| Poor Work Environment | Dirty workstations, poor lighting, noise, or temperature affects quality work |
| No Career Development | No training opportunities for advancement; high turnover of good employees |
✨ Conclusion
This comprehensive ISO 9001 training and competence audit checklist in tabular format covers all critical HR and people management aspects from competence definition through knowledge management and employee retention. Effective HR audits verify that employees are adequately trained, aware of quality expectations, and empowered with the skills and knowledge to perform their roles effectively. Strong people management directly translates to consistent product quality and operational excellence.
Remember: Your quality system is only as good as the people who run it. Investing in competence, awareness, and knowledge management is essential for sustainable manufacturing excellence and continuous improvement.
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