Disclaimer: This Basic HR Audit Checklist is a sample and meant merely as a guideline, for informational purposes only, and should not be considered a professional or legal advice. Please consult your HR representative or legal council before making any changes.!! Your HR Compliance Solution! Basic Human Resource (HR) Audit Checklist. This ISO 9001:2015 gap audit checklist is intended to be used as a tool to identify compliance with the differences between ISO 9001:2008 and ISO 9001:2015. This completed checklist would be a supplement to existing ISO 9001:2008 internal audits, since this checklist does not show requirements that are currently contained in ISO 9001:2008.
QMS: Is the finance department mapped within your QMS and is effectively being interacted with your other mapped QMS processes?Human Resource:Are the personnel in the finance department aware and trained on the requirement of ISO 9001:2008 and know about their method of operation in line with the PDCA approach?Internal audit training: Are you aware of the requirements of the internal auditing process and know how accounts function interacts with the other processes. What are their inputs activities outputs? Seems the situation is good to plan an internal audit and audit the accounts process and not the accounting principles, debit and credit methods or the auditing what the chartered accountants are responsible for.
I am always keen on the audit aspects of how purchasing payments are communicated, processed in time and honoured and if any delays, then how they are communicated, about how the accounts are involved in budgeting for resource requirement and how these decisions come in the management review records. What is the involvement of accounts in the process of evaluation and selection of suppliers, Purchasing information to suppliers in terms of payment terms agreement.May be you will have such and many more activities within accounts that are good to audit against your set requirements.I appreciate your efforts in mapping the accounts process successfully. We have two different parts of our handbook. In the general system description, there are provisions to 'all' work done within the company, but there are none with regards to the finance department either in the general description or in the department specific processes. Should the finance department be 'overlooked' in the internal audit if they are not the subject of any specific requirements?This is my first audit, and the previous auditor left me with almost nothing (barely legible hand written notes from while I was still in college). As for the previous external audits, everything is in another language that I am not at all proficient in.This site has been a HUGE help in my efforts, and I'm hoping the community can come through again.
Is Finance a process that you have identified in your QMS? If yes, it could be be audited.In ISO 9001no clause are related to Finance.
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March 2023
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