Human Resources Audit Checklist ISO 9001

The organisation has determined the number and type of persons needed for the effective implementation of the QMS and for the operation and control of its processes (Clause 7.1.2).

Workforce planning considers both permanent employees and all persons working under the organisation's control, including temporary staff, contractors, agency workers, and outsourced personnel whose work affects QMS performance (Clause 7.1.2).

The necessary persons have been provided — there is evidence that staffing levels support the effective operation of QMS processes and the consistent delivery of conforming products and services (Clause 7.1.2).

Where staffing gaps exist that affect QMS performance, these are documented as risks or issues and addressed through defined actions such as recruitment, redeployment, or use of contracted personnel (Clauses 6.1 and 7.1.2).

Changes to workforce levels or structure — including restructuring, redundancies, or significant new hires — are assessed for their impact on QMS performance before or promptly after implementation (Clause 6.3).

Competence requirements are defined for all roles that affect the performance and effectiveness of the QMS, covering the necessary education, training, skills, and experience for each role (Clause 7.2a).

Competence requirements are documented in job descriptions, role profiles, competence matrices, or equivalent documented information and are kept current (Clause 7.2a).

Competence requirements reflect both technical role-specific requirements and QMS-related requirements, including understanding of relevant procedures, quality standards, and customer requirements (Clause 7.2a).

The competence requirements of persons working under the organisation's control — including contractors, temporary staff, and outsourced personnel — are determined and managed in the same way as those for permanent employees where their work affects QMS effectiveness (Clause 7.2a).

Current competence levels of personnel in QMS-relevant roles are assessed against defined requirements, with the assessment method documented and applied consistently (Clause 7.2b).

Where competence gaps are identified, actions are taken to close those gaps — including training, mentoring, reassignment, or recruitment of competent personnel (Clause 7.2c).

The effectiveness of actions taken to address competence gaps is evaluated and documented, confirming that the actions achieved the required competence level before the gap is considered closed (Clause 7.2c).

Competence assessments are reviewed at defined intervals and following significant changes to roles, processes, technology, or customer requirements that affect the competence needed (Clause 7.2).

A training needs analysis or equivalent process is in place to identify training requirements for personnel across all QMS-relevant roles, based on the gap between required and current competence (Clause 7.2c).

A training plan or programme is documented, specifying the training to be provided, the target audience, the delivery method, the responsible party, and the planned timescale (Clause 7.2c).

Training is provided to new employees before they are assigned to roles that independently affect QMS performance, product quality, or service delivery, including induction training covering QMS requirements relevant to their role (Clause 7.2c).

Training records are maintained for all personnel in QMS-relevant roles, covering induction training, role-specific technical training, QMS-related training, and any external qualifications, certifications, or licences obtained (Clause 7.2d).

Training records are retained as documented information and are accessible for review during internal and external audits (Clause 7.2d).

Evidence of competence achieved through education, prior experience, or on-the-job training is retained as documented information where training alone is not the sole basis for demonstrating competence (Clause 7.2d).

The effectiveness of training provided is evaluated using defined methods — such as post-training assessments, observation of on-the-job performance, or supervisory sign-off — and evaluation results are retained (Clause 7.2c).

Training effectiveness evaluations are used to inform future training planning, identify recurring competence gaps, and improve the overall training programme (Clause 7.2c).

Refresher training requirements are defined for roles where competence may deteriorate over time or where regulatory, customer, or technical requirements change, and refresher training is delivered and recorded at defined intervals (Clause 7.2c).

Qualifications, licences, and certifications required for specific roles — such as equipment operator licences, health and safety qualifications, or industry-specific certifications — are tracked, and renewal deadlines are managed proactively (Clause 7.2d).

All persons working under the organisation's control are aware of the quality policy, including its content and its relevance to their own role and day-to-day activities (Clause 7.3a).

All persons working under the organisation's control are aware of the quality objectives relevant to their role, including how their individual work contributes to the achievement of those objectives (Clause 7.3b).

All persons working under the organisation's control understand their contribution to the effectiveness of the QMS, including the benefits of improved performance for the organisation and its customers (Clause 7.3c).

All persons working under the organisation's control understand the implications of not conforming with QMS requirements — including the potential consequences for product quality, customer satisfaction, and the organisation (Clause 7.3d).

The method used to build and verify quality awareness is documented — this may include induction programmes, team briefings, toolbox talks, notice boards, digital communications, or other defined means (Clause 7.3).

Awareness is not assumed from the provision of training records alone — objective evidence is available that personnel have understood and can articulate the quality policy, relevant objectives, and their QMS responsibilities (Clause 7.3).

Awareness activities are extended to contractors, temporary staff, and outsourced personnel working under the organisation's control whose work affects QMS performance (Clause 7.3).

Awareness levels are reviewed at defined intervals and following significant changes to the quality policy, quality objectives, or QMS processes, with refresher communications provided where gaps are identified (Clause 7.3).

The organisation has determined the internal and external communications relevant to the QMS, including what is to be communicated, when, to whom, how, and by whom (Clause 7.4).

A communication plan or equivalent documented approach is in place, defining the communication channels and frequency used to share QMS-relevant information with personnel (Clause 7.4).

Communication channels used for QMS-related information are documented and appropriate for the audience — including digital communications, team meetings, notice boards, management briefings, or other suitable means (Clause 7.4).

Changes to the quality policy, quality objectives, QMS processes, or documented procedures are communicated to relevant personnel in a timely manner through defined channels (Clauses 7.4 and 6.3).

Internal audit findings, management review outputs, and corrective action requirements are communicated to relevant personnel and management through defined channels (Clauses 7.4, 9.2, and 9.3).

Customer requirements, complaints, and feedback relevant to quality performance are communicated to the personnel whose work is affected by them (Clauses 7.4 and 5.1.2).

External communications relevant to the QMS — including communications with customers, regulators, certification bodies, and external providers — are managed through defined processes and by authorised personnel (Clause 7.4).

Evidence that communications occurred as planned is available, such as meeting minutes, email records, briefing attendance sheets, or equivalent (Clause 7.4).

Risks and opportunities arising from human resource factors — including workforce turnover, skills shortages, succession gaps, dependency on key personnel, and use of unqualified contractors — are identified and addressed within the QMS risk management process (Clause 6.1).

HR-related risks are documented in the risk register or equivalent, with treatment actions assigned, resourced, and tracked to completion (Clause 6.1).

Quality objectives include HR-related performance measures where relevant — such as training completion rates, competence assessment pass rates, or awareness verification results — and these are monitored at defined intervals (Clause 6.2).

HR-related quality objectives are communicated to relevant personnel and are supported by documented plans specifying the actions required, the responsible parties, the resources needed, and the timescales for achievement (Clause 6.2).

HR-related QMS performance is monitored and measured at defined intervals, including metrics such as training completion rates, overdue competence renewals, awareness verification outcomes, and open HR-related nonconformities (Clause 9.1.1).

HR performance data is analysed and evaluated to identify trends, recurring competence gaps, and systemic weaknesses in the organisation's people management processes (Clause 9.1.3).

Internal audits of HR processes — including competence management, training, awareness, and communication — are included within the internal audit programme scope and conducted at planned intervals (Clause 9.2).

Internal audit findings relating to HR and people management are documented, reported to relevant management, and tracked through the corrective action process to verified closure (Clause 9.2.2).

HR-related performance data — including training effectiveness results, competence gap trends, and workforce planning adequacy — is included as an input to management reviews (Clause 9.3.2).

Management review outputs include decisions on HR-related improvement actions, resource needs, and any changes to the competence framework, training programme, or awareness activities required to address identified gaps (Clause 9.3.3).

Nonconformities arising from HR-related failures — such as personnel performing tasks without verified competence, missing training records, or unawareness of QMS requirements — are subject to root cause analysis and corrective action (Clause 10.2).

Corrective actions for HR-related nonconformities are verified for effectiveness before closure, and records of the nonconformity, root cause, action taken, and evidence of effectiveness are retained (Clause 10.2.2).

Lessons learned from HR-related nonconformities and audit findings are used to improve competence frameworks, training programmes, awareness activities, and communication processes on a continual basis (Clause 10.3).