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Format / Rec No QA/F/16

IMS AUDIT CHECK LIST Revn Level 2


Revn Date 24.07.2017
HR
Scope of audit :- Audit Cycle No :- Audit date :-

Auditor :- Auditee :- Actual Score:-


Major Minor OFI
Sr.No Clause Ref No. Requirements Observed during audit OK (5) Score
NC(0) NC(0) (1)

Documented information

1 7.5.1 Whether documents are Adequacate ?

2 7.5.2 Whether formats and media appropriate?

Whether documents are,


3 7.5.2 Reviewed for any changes with users & updated
necessary changes & re-approved?
Whether Documents have change details and current
4 7.5.2
revision status ?
Whether Latest documents are avl at point of use ?
5 7.5.3.1

Whether documents are adequately protected where


6 7.5.3.1 required (e.g. from loss of confidentiality, improper
use, or loss of integrity) ?
Whether Documents
7 7.5.3.2 Distribution,storage,preservation,retention and
disposal adreesed and followed ?

Risks and opportunities

Is risks and opporunities identified for the


1 6.1.2
depatement ?

Is actions identified and part of quality management


2 6.1.2
system?

3 6.1.2 Is effectiveness of action evaluated ?

Training
Is competency matrix available and complete ?
1 8.2.1

Is skill matrix available for current year for all


2 8.2.1 personnel including operators ?

Page 1 of 3
Format / Rec No QA/F/16
IMS AUDIT CHECK LIST Revn Level 2
Revn Date 24.07.2017
HR
Scope of audit :- Audit Cycle No :- Audit date :-

Auditor :- Auditee :- Actual Score:-


Major Minor OFI
Sr.No Clause Ref No. Requirements Observed during audit OK (5) Score
NC(0) NC(0) (1)
Is Skill matrix for previous year Reviewed and gaps
3 8.2.1
Identidfied ?
4 8.2.1 Is Type of training (onjob, class ) identified ?

5 8.2.1 Is training plan available and approved ?

6 Is trainers and trainees informed about training ?

Is training conducted as per training plan and is there


7 8.2.1
action plan for gaps ?

Is training Plan vs Actual reviewed in Deparment


8
reports /weekly reports ?

Is training records available as list of documents


9 8.2.1
(HR)?

Is training feedback form and before and after scores


10 8.2.1
available ? For all trainings ?

Is training effectivenesss reviewed specifically for


11 8.2.1
each person during Skill matrix review ?

Is training details of each employee updated in


12 8.2.1
employee file ?

Employee joining /Changes

1 7.1.2 Is master list of employee available ?

Is manpower requition form received and further


2 7.1.2
action taken?
Is employee strengths and areas of training
3 7.2 identified during selection wrt Competancy and skill
matrix?

Is employee records updated on adding new


4 7.2
qualifications,training and training feedback ?

Page 2 of 3
Format / Rec No QA/F/16
IMS AUDIT CHECK LIST Revn Level 2
Revn Date 24.07.2017
HR
Scope of audit :- Audit Cycle No :- Audit date :-

Auditor :- Auditee :- Actual Score:-


Major Minor OFI
Sr.No Clause Ref No. Requirements Observed during audit OK (5) Score
NC(0) NC(0) (1)

5 7.2 Is induction programme and records available ?

6 7.2 Is Skill matrix updated on addition of employee ?

7 7.2 Is responsibility authority updated on changes ?

8 7.2 Is organisation chart updated on changes ?

HR Policy

1 7.1.1 Is HR policy available for current year ?

2 7.1.1 Is Policy approved by management ?

Are eployee welfare schemes implemented if planned


3 7.1.1
?

4 7.1.1 Is List of holidays available and displayed ?

CORRECTIVE ACTION
Is corrective action for Non confrmance on audits
1 10.2
effective ?

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