INTERNAL AUDIT REPORT (HR)

• Audit Title

• Document No.

• Client / Site

• Conducted on

  Date

• Prepared by

• Location
  Address

• Personnel

INFORMATION

• Select date

  Date

• AUDIT REPORT #:

• AREA:

• TO:

• CC:

• FROM: (Lead Auditor)

• ISSUE:

• GENERAL COMMENTS:

AUDITEE

• Auditee (1):

  Sign

• Auditee (2):

  Sign

• Auditee (3):

  Sign

• Auditee (4)

  Sign

PREVIOUS FINDINGS

• Corrective Actions from previous Internal Audit findings.

• All previous Corrective Actions closed?

  Yes

  No

  N/A

6.2 HUMAN RESOURCES

1. How do you ensure that a training program is defined, implemented, monitored, effective, and continually improved?

• 1.1 Documented training requirements for all jobs families that include general courses/skills and job family specific training requirements (ej. training matrixes, job family training curriculums).

  Yes

  No

  N/A

• 1.2 Progress towards meeting training requirements is planned and monitored (ej. Reports that show what has been completed and what is still needed).

  Yes

  No

  N/A

• 1.3 Training requirements are used for employee development planning (Ej. Training plans exist for identified needs, Employee goals and objectives address needed training).

  Yes

  No

  N/A

• 1.4 Managers/Supervisors utilize training completion status to determine which personnel are certified and qualified to perform given task and responsibilities.

  Yes

  No

  N/A

• 1.5 Trainning records are maintained.

  Yes

  No

  N/A

• 1.6 Training metrics are identified, trended, analyzed and improved towards goals as appropiate.

  Yes

  No

  N/A

2. What is your process for On The Job (OJT) certification of operators?

• 2.1 Documented process for 'On The Job' certification of manufacturing personnel (Not limited to specialized skills such as welding, soldering, assembly work).

  Yes

  No

  N/A

• 2.2 Contains criteria for certification and defines training methodology (Ex. Quaified trainers assigned, observe work, be observed, approvals before independent work performed).

  Yes

  No

  N/A

• 2.3 Considers Mastery levels where appropriate (Ex. Certified to perform work, certified to teach others).

  Yes

  No

  N/A

• 2.4 Contains requirements for periodic recertification and decertification when needed (Ex. Job change, performence issues, away from job for a certain time period, etc.).

  Yes

  No

  N/A

• 2.5 Certification status and plans are monitored by management (Ex. Training matrix showing both employee certification status and plans to address gaps and employee development).

  Yes

  No

  N/A

3. What is your process for Continual Improvement Tools Trainning?

• 3.1 Continual Improvement methods and improvement tools course curriculum has been developed based on organizational needs analysis and strategic planning (Ex. Lean/Six Sigma methodology, Kaizen methodology, 8D methodology and all corresponding improvement tools needed to support improvement methodologies).

  Yes

  No

  N/A

• 3.2 Curriculum has been integrated into all job family training requirements as applicable to each job family.

  Yes

  No

  N/A

• 3.3 Curricululm identifies both the skills and the corresponding training courses (Cn be internal and external courses).

  Yes

  No

  N/A

• 3.4 Training materials are available in support of training courses.

  Yes

  No

  N/A

• 3.5 Training completion metrics or reports are monitored by management.

  Yes

  No

  N/A

4. What is your process to ensure relevant personnel undergo CUSTOMER specific training?

• 4.1 Inventory of applicable customer requirements has been performed and requirements have been defined (Ex. Copy Exact, workmanship Standards, Cosmetics, Packaging/Crating, Product Safety, 8D, FAI, PQP, C of C, DDD, SSQA, Specifications listed on part drawings, etc.).

  Yes

  No

  N/A

• 4.2 Training requirements have been integrated into the applicable job family training requirements/curriculums.

  Yes

  No

  N/A

• 4.3 Evidence that personnel working on CUSTOMER specific orders have all completed required training before operating independently.

  Yes

  No

  N/A

• 4.4 Refresher training requirements are defined and implemented (Ex. yearly CE training).

  Yes

  No

  N/A

• 4.5 Training completion metrics or reports are monitored by management.

  Yes

  No

  N/A

5. How do you ensure that training is effective?

• 5.1 Methods are defined to evaluate the effectiveness of training (Ex. testing, internal/external competency based certifications, observation & feedback, performance evaluations, defect mapping, overall training needs analysis, Etc.).

  Yes

  No

  N/A

• 5.2 Effectiveness of training is evaluated per the defined method.

  Yes

  No

  N/A

• 5.3 Improvement actions defined and implemented for training effectiveness gaps.

  Yes

  No

  N/A

• 5.4 Management periodically reviews overall training program effectiveness and drives continual improvements to training program content and/or methods for ensuring effectiveness of training (Ex. Defect rates related to workmanship errors, processes not being followed, problem solving with inadequate root cause analysis, etc.).

  Yes

  No

  N/A

6. How are organizational goals and objectives established and cascaded throughout the organization?

• 6.1 Management defines Goals and Objectives on a yearly basis.

  Yes

  No

  N/A

• 6.2 Quality objectives are included in and/or aligned with Goals and Objectives.

  Yes

  No

  N/A

• 6.3 Goals and Objetives are translated into mesurable metrics with goals established.

  Yes

  No

  N/A

• 6.4 Goals are sufficiently challenging and modified as required to drive continual improvement.

  Yes

  No

  N/A

• 6.5 Goals and Objectives are cascaded into "relevant" and "mesurable" functional/department and individual employee objectives.

  Yes

  No

  N/A

7. How are your goals and objectives monitored, analyzed , and improved?

• 7.1 Management regularly reviews progress per a defined frequency that is effective.

  Yes

  No

  N/A

• 7.2 Metrics are trended for performance monitoring towards goals.

  Yes

  No

  N/A

• 7.3 Data is analyzed to determine top issues inhibiting the consistent achievement of defined goals.

  Yes

  No

  N/A

• 7.4 Improvement actions are defined and implemented when goals are not being met.

  Yes

  No

  N/A

• 7.5 Effective visual comunication of Goals and Objectives and status throughout the organization (Ex. Top level status boards, department level status boards.).

  Yes

  No

  N/A

8. How do you determine and improve employee satisfaction?

• 8.1 Processes are in place for employee satifaction surveys (Results analyzed, improvement plans defined and implemented, and closed loop results monitored for employee satisfaction improvements).

  Yes

  No

  N/A

ADDITIONAL INFORMATION

• Add drawing

  Drawing

PREVIOUS SCORES

• Management Commitment:

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• Systems Approach

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• Deployment

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• Results

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VALIDATION SCORES

• Management Commitment:

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• Systems Approach

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• Deployment

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• Results

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• Validation completed by:

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RESULTS

• Summary:

• Strengths:

• Observations:

• Opportunities for Improvement:

NON-CONFORMANCES

• NC1

• NC2

• NC3

• NC4

• NC5

SIGNOFFS

• Lead Auditor:

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• Support Auditor:

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• Observer:

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• Auditee:

  Sign