Posts tagged "Internal"

Internal Audit Checklist EMS-OHSAS

Please find a checklist of EMS and OHSAS Audits. This shall be useful while conducting the audits. Similarly for audit preparation.


GROUP OF INDUSTRIES INTERNAL AUDIT CHECKSHEET
(EMS/ OHSAS)
Date & Time:
Plant: Page:    of
DEPT : Safety AUDIT PERIOD : AUDIT NO :
Processes to be audited :
SR NO CHECK POINT APPLICABLE CLAUSE/
PROCESS REF NO.
AUDIT FINDINGS
OBJECTIVE EVIDENCE/REMARKS Pl tick appropriate from below
as per QSP-MR-04
NO NCR MINOR NCR MAJOR NCR OBSERVATION
1 Verify Near miss accident register is available at specified location ? 4.5.1
2 Whether actions are taken in case of near miss situations ? 4.5.1
3 Whether Severity, Frequency & Incident rate are monitored & trend is available . 4.5.1
4 Whether monitoring of Noise level is done & in case of non compliance actions are taken to reduce or stabilize the confirming noise levels. 4.5.1
5 For Fire extinguisher numbering/identification is available ? 4.4.6
6 Whether safety  Instructions are provided in case of slippery surface at office area or shop floor to avoid any accident. 4.3.1
7 Work permit can not be issued for more than 2 days, check ? 4.4.6
8 Verify Completion records for work permit given ? 4.4.6
9 Whether Mock Audit is conducted ? Response time get measured ? 4.3.2
10 In Health Check-up ” Vibration induced white figure” disease
to be get checked
4.3.2
NAME/SIGN OF THE AUDITOR : NAME/SIGN OF THE AUDITEE :
F-MR-10, Issue/Rev 2/0
GROUP OF INDUSTRIES INTERNAL AUDIT CHECKSHEET
(EMS/ OHSAS)
Date & Time:
Plant: Page:    of
DEPT : Safety AUDIT PERIOD : AUDIT NO :
Processes to be audited :
SR NO CHECK POINT APPLICABLE CLAUSE/
PROCESS REF NO.
AUDIT FINDINGS
OBJECTIVE EVIDENCE/REMARKS Pl tick appropriate from below
as per QSP-MR-04
NO NCR MINOR NCR MAJOR NCR OBSERVATION
11 Are Audit aware of the Document Location. 4.4.5
12 Verify list of documents with it’s revision status ? 4.4.5
13 Whether Register of Statutory And Regulatory Requirements is available with Revision Number. 4.4.5
14 Linkage of Hazardous point addressed in documentation control. 4.4.5
15 Accident register updated with target dates &completion date. 4.4.5
16 Is Emergency preparedness register is available ? 4.3.2/4.4.7
17 Whether safety squad members are formed in case of emergency ? 4.4.7
18 Does Mock-drill had conducted for handling emergency
situations.
4.4.7
19 Is Emergency assembly point identified in case of
emergency situations.
4.4.7
20 Verify test record of Safety shoes for electrical safety. 4.4.6
NAME/SIGN OF THE AUDITOR : NAME/SIGN OF THE AUDITEE :
F-MR-10, Issue/Rev 2/0
GROUP OF INDUSTRIES INTERNAL AUDIT CHECKSHEET
(EMS/ OHSAS)
Date & Time:
Plant: Page:    of
DEPT : Safety AUDIT PERIOD : AUDIT NO :
Processes to be audited :
SR NO CHECK POINT APPLICABLE CLAUSE/
PROCESS REF NO.
AUDIT FINDINGS
OBJECTIVE EVIDENCE/REMARKS Pl tick appropriate from below
as per QSP-MR-04
NO NCR MINOR NCR MAJOR NCR OBSERVATION
21 Fire extinguishers are need to be tested with defined frequency, also need to be specify with Sr. No. & location on Map. 4.3.2
22 Are Fire extinguisher are checked for pressure tests. 4.3.2
23 Sand within Fire buckets needs to have in loose condition. 4.3.2
24 Check for Work place monitoring records ? 4.3.2/4.5.1
25 Whether Ventilation study  done ? 4.5.1
26 Near miss accident register have format number. 4.5.3
27 Verify, Near miss accidents register for  updatation  & related actions are taken ? 4.5.3
28 Whether root cause analysis is done in case of any accident. 4.5.3
29 Check awareness about emergency assembly point,in case of emergency like fire. 4.5.2
30 On the Factory plan/Layout : Assy. Point, emergency, emergency exists are identified. 4.4.7
NAME/SIGN OF THE AUDITOR : NAME/SIGN OF THE AUDI-TEE :
F-MR-10, Issue/Rev 2/0
GROUP OF INDUSTRIES INTERNAL AUDIT CHECKSHEET
(EMS/ OHSAS)
Date & Time:
Plant: Page:    of
DEPT : Safety AUDIT PERIOD : AUDIT NO :
Processes to be audited :
SR NO CHECK POINT APPLICABLE CLAUSE/
PROCESS REF NO.
AUDIT FINDINGS
OBJECTIVE EVIDENCE/REMARKS Pl tick appropriate from below
as per QSP-MR-04
NO NCR MINOR NCR MAJOR NCR OBSERVATION
31 Reporting media/ information flow of Accident is prepared ? 4.4.7
32 Method of calculating accident rate ? 4.3.2
33 Is auditee is aware of the Document Location. 4.4.5
34 Retention period for the documents is defined 4.5.4
35 Monitoring & trend of all air, water, parameters against targets. 4.5.1
NAME/SIGN OF THE AUDITOR : NAME/SIGN OF THE AUDI-TEE :
F-MR-10, Issue/Rev 2/0

 

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Posted by Hrformats - September 29, 2012 at 6:07 AM

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Internal Customer Satisfaction Survey Questionnaire

 I have done my preliminary search & attached a handful of material including link between Internal Consumer Satisfaction & TQM.Infact.


However I am looking for any additional information which may add value to this questionnaire.

 

CUSTOMER SATISFACTION SURVEY

 Manager Name___________________Title: ____________________

Department: ____________________Location: _________________

Frequency of Interaction with HR department

Daily                              Weekly                             Monthly                            Annually

 

Each of the 11 HR service areas is broken down into service components. Please rate each item and then provide an overall rating.

Poor Adequate Excellent

1 2 3 4 5 6 7

1. HUMAN RESOURCES DEPARTMENT ORGANISATION

The human resource function is structured and organized to meet current departmental and organisational needs.

a. Rate the HR department’s understanding of the organisation’s mission.

b. Rate how well HR’s functions and services are aligned with organisation objectives.

c. Rate how clearly defined and communicated HR functions and services are.

d. Rate how well the HR department reflects a balance of organisational needs and employee needs and acts as effective intermediary for both.

e. Rate the competency and expertise of the HR staff based on the quality of consulting they provide.

f. How accessible is the HR staff for support and assistance?

g. How responsive is the HR staff to your needs?

h. How well does the HR staff work as a team?

i. Rate the working relationship between the HR Department and other departments in the organisation.

j. Rate the HR Department on being results-oriented (measuring and communicating the effectiveness of its services and programmes).

k. Rate the HR staff’s customer service attitude.

Considering all the above, how do you rate the HR department’s current structure for meeting the needs of the organisation and your department?

2. HUMAN RESOURCES PLANNING/ORGANISATIONAL DEVELOPMENT

Identifying and fulfilling your department’s and the organisation’s development and human resource needs, and planning for anticipated needs.

a. Rate the HR department’s ability to plan ahead and satisfy workforce requirements (e.g., job skills, knowledge level, ability and education).

b. How well does HR coordinate projected workforce availability, workforce makeup (e.g., gender, minority) and the need for a more diverse workforce?

c. Rate how well HR conducts analyses of internal human resources (skills, knowledge, ability and education) and how well they link these to projected needs.

d. Rate the HR team’s ability to factor in changing technology, work processes, products and services when analyzing the organisation’s work force needs.

e. How well do career counseling, career planning and developmental programmes match the organisation’s needs with employee’s career needs?

f. How well does HR evaluate the feasibility of cost effective alternatives for satisfying workforce requirements (outsourcing and contracting)?

g. Rate HR’s assistance in identifying in-house management potential and providing management development programmes to meet future management needs.

h. Rate HR’s instructional methods and training programmes for meeting changing organisational and cultural needs.

Considering all the above, how would you rate the HR department’s current level of human resources planning and organisational development activities?

3. RECRUITMENT AND SELECTION

Provides timely recruitment, selection and placement of highly qualified employees.

a. Rate the timeliness of recruitment and placement process.

b. Rate how well HR provides an adequate pool of quality applicants.

c. How clearly are position objectives, requirements and candidate specifications defined?

d. How well are the organisation’s affirmative action needs clarified and supported in the selection process?

e. Rate how well HR maintains an adequate pool of quality “protected class” applicants.

f. Rate the effectiveness of the interviewing process and other selection instruments, such as testing.

g. How well does the HR team act as a consultant to enhance the quality of the applicant pre-screening process?

h. How well does HR train hiring managers to make the best hiring decisions?

i. Are applicants treated fairly and with the same courtesy as customers?

j. Rate how well HR finds good candidates from non-traditional sources when necessary.

Considering all the above, how would you rate the HR department’s performance in recruitment and selection?

4. COMPENSATION

Develops and administers a job evaluation and compensation system that attracts, retains and motivates employees to accomplish organisation goals.

a. Rate the compensation group’s surveys of compensation (wages and salaries) by organisations in your recruitment market.

b. How internally equitable and job worth-based is the current compensation system (wage and salary programmes)?

c. How well does the pay plan demonstrate a relationship between pay and job performance?

d. How well does the pay system reward and motivate both individual and group contributions to organisational goals?

e. How clearly defined and understood are job expectations and performance measurement criteria?

f. How well are pay increase criteria communicated and administered for consistency among all departments?

g. Rate the performance appraisal training provided to managers and employees.

h. Considering all the above, how would you rate the Human Resources Department’s performance in administering the compensation programme?

Considering all the above, how would you rate the effectiveness of the organisation’s compensation programme?

5. EMPLOYEE BENEFITS

Develops and administers noncash compensation programmes that attract, retain and motivate employees to accomplish organisation objectives.

a. How do this organisation’s benefits compare to those offered by other organisations in your recruitment market?

b. How well do medical and health care benefits meet employee needs?

c. How well are employees informed of their benefit choices and options?

d. Rate the fairness and consistency in granting employee benefits.

e. How accessible is the HR department in answering benefit questions?

f. How well are benefits and their value communicated to all employees.

g. Rate how well HR takes appropriate cost containment measures while providing and administering quality health care coverage.

h. Considering all the above, how would you rate the Human Resources Department’s performance in administering benefit programmes?

Considering all the above, how would you rate the effectiveness of the organisation’s employee benefit programmes?

6. EMPLOYEE RELATIONS AND COMMUNICATIONS

Institutes and administers programmes and processes governing employee treatment, communications, support systems and services which promote employment conditions conducive to high levels of employee satisfaction, motivation and productivity.

a. Rate how well employee relation policies are published and clearly communicated, and how well they help managers in their working relationships with employees.

b. How well do the employee handbooks, which are provided to all employees cover the most commonly asked questions about personnel procedures, benefits and conditions of employment?

c. Rate the new employee orientation programme.

d. How accessible is the HR department to employees who feel the need to discuss work issues outside the chain of command?

e. Rate how well employee communication forums allow for open discussions about the organisation’s performance and objectives, the workplace and other employee concerns.

f. Rate how well HR initiates and oversees programmes and processes for addressing employee satisfaction and morale (for example, conducting and following up on employee opinion surveys).

g. Rate how well HR initiates personal development programmes and encourages promotion from within the organisation.

h. How well does the current process allow employees to express their complaints and grievances and have them resolved?

Considering all the above, how would you rate the Human Resources Department’s performance in the area of employee relations and communications?

7. PERSONNEL POLICIES/WORKPLACE RULES

Personnel policies are developed to help managers make decisions and provide guidance for meeting the organisation’s requirements and objectives.

a. Rate how well personnel policies and procedures are published and communicated.

b. Rate how well existing policies and procedures support managers in doing their jobs.

c. How helpful and accessible is the HR department in handling questions about personnel policies and work rules?

d. How well are policies and work rules serving as guidelines for helping managers make good decisions?

e. How easy to interpret and up-to-date are policies and work rules?

f. How well do policies and work rules represent the organisation’s position on how employees should be treated with regard to pay, benefits and conditions of employment?

g. Rate how well policies and work rules provide guidelines for the expected behaviours of both management and employees.

h. Rate how well policies and work rules balance providing the staff with sufficient authority with adequate controls to ensure achievement of the organisation’s mission and objectives.

Considering all the above, how would you rate the effectiveness of the organisation’s personnel policies and work rules?

8. EMPLOYMENT EQUITY AND OTHER GOVERNMENTAL REGULATIONS

Ensures adherence to employment equity legislation and exercises appropriate oversight to ensure employees are treated equally and with consistency regarding: employment, compensation, benefits, promotion, work rules, transfer, termination, discipline and termination.

a. Rate organisational compliance to all laws and regulations governing employment and personnel actions.

b. How well are all laws and regulations related to the management and treatment of employees communicated and explained?

c. How effectively are the organisation’s employment equity and affirmative action responsibilities communicated and implemented?

d. Rate the training of supervisors on non-discrimination, equal employment and harassment-free workplace issues.

e. How well does HR assist in helping managers in equal employment opportunity and affirmative action matters?

f. Rate the training and assistance managers receive in compliance and enforcement of smoking, drug- and alcohol-free workplace rules.

g. Rate the training and assistance managers receive in compliance to and enforcement of codes of conduct contained in the Employment Equity Act (1998).

Considering all the above, how would you rate the HR department’s performance as a resource for compliance with equity, equal employment opportunity, affirmative action and related governmental regulations?

9. TRAINING AND DEVELOPMENT

Ensures that adequate employee training and development programmes are in place to meet organisational objectives.

a. Rate how well training and development programmes meet the organisation’s and your department’s needs.

b. Rate the assistance provided to managers for identifying training needs and developing training programmes.

c. How well are training programmes related to organisational objectives?

d. How well are available training opportunities communicated to all employees?

e. How clear are the behaviour objectives of training programmes and how well are these objectives measured and communicated?

f. Rate the training programmes in terms of producing maximum gain most cost-efficiently     .

g. How well are the cost/benefits and results of training programmes measured?

Considering all the above, how would you rate the HR department’s performance in the area of employee training and development?

10. LABOUR RELATIONS

Ensures and oversees an effective and fair collective bargaining process with unions representing employees, and fosters positive labour relations designed to achieve organisational objectives.

a. Rate the effectiveness of HR in planning and overseeing labour relations strategies, which address the near term and future interests of both the organisation and its employees prior to contract negotiation.

b. Rate the interaction of labour and management groups to address issues of mutual concern (e.g., labour-management committee meetings and other participative forums).

c. Rate the efforts made in contract negotiations to enhance work force flexibility and protect management’s right to manage its human resources to keep the organisation competitive.

d. Rate the training of the management negotiation team in negotiation skills before bargaining begins.

e. Rate the assistance provided to managers in contract administration, grievance handling and people management skills.

f. Rate the efforts to promote a spirit of union/management cooperation (e.g., joint efforts to achieve common objectives and reducing grievances and length of time to settle them).

Considering all the above, how would you rate the HR department’s performance in the area of labour relations?

11. SAFETY, HEALTH AND WELLNESS

Develops and maintains policies, practices and programmes for contributing to and demonstrating concern for employee safety, health and well-being.

a. Rate how well the safety function complies with OSHA regulations.

b. Rate how well HR communicates and demonstrates the importance of and its commitment to the safety, health and wellness of employees.

c. Rate HR’s assistance to managers in identifying potential safety hazards and taking corrective action to maintain a safe working environment.

d. How well does HR train managers in occupational health, safety and accident prevention issues and help them to organize appropriate safety awareness and incentive programmes?

e. How well does HR recognise and reward safe behaviours?

f. How well does the employee wellness programme help reduce health claims and address other business issues such as absenteeism, health care costs and productivity?

g. Rate how adequately the employee assistance programme is being used by employees.

h. Rate HR’s cost benefit analyses of health and employee wellness programmes and their communication of the results of these programmes.

Considering all the above, rate the HR department’s performance in the areas of employee safety, health and wellness.

 

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Posted by Hrformats - July 19, 2012 at 6:57 AM

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Internal Audit Format

I have Attached Internal Audit Format

 INTERNAL AUDIT POINTS

 

STATUTORY COMPLIANCE

 

1.      PF Act

  • Payment of Contribution before 15th of every month (Payment to be credited to their account)
  • Annual Return (Form 3A & 6A)
  • Monthly Return every month
  • PF number should appear in pay slip from next month of employee’s joining
  • PF eligibility Register (computerized or manual) to be maintained and updated every month
  • PF Slips to be issued every year and (Copy to be maintained – preferably)
  • PF Inspection Register to be maintained

 

2.      ESIC Act

  • Payment of Contribution before 21st of every month (Payment to be credited to their account)
  • Half yearly return in May & November
  • New joinees to be issued Temporary Cards with in stipulated time
  • ESIC Inspection Register to be maintained
  • ESIC deduction & remittance on labour charges for miscellaneous jobs performed at premises
  • ESI contribution on OT ?

 

 

3.      FACTORIES Act

 

  • Annual Return Form – 21 by 31st January
  • Half yearly Return(Form -22) by 15th day of January & July
  • Application for License Renewal by 31st October
  • Appointment of Factory Manager & Occupier (change if any should be incorporated)
  • Lay out plan approved by competent authorities to be maintained
  • MSDS in respect of Chemicals used to be maintained & displayed at respective areas
  • Maintaining Creche – as per the provision of Statute in case of 30 or more  women are employed (Management shall decide up on your feedback)
  • Provision of Fire Exhausters as per approval / Survey of Fire Department
  • Fire Exhausters to be refilled with in due date
  • Stairs / Aisles to be free from obstacles
  • Emergency exit to be clearly marked
  • Aisles to be clearly marked at shop floor
  • Hoist / Compressors to have a valid fitness certificate from competent Charted Engineer
  • Leave Card to be issued every year
  • Muster Roll to be maintained (manual / computerized) . In case of computerized application to be submitted for approval of Factory Office
  • Form – 11 duly approved by Factory Office to be displayed
  • Health Check up for Paintshop employees (or any other hazardeous process as decribed by statute) to be performed every year and register duly signed by approved medical practitioner to be maintained
  • Payment of OT for excess working hours as per the statute
  • System of booking / payment of OT

 

4.      Other labour enactments

  • Any notices for conciliation , arbitration or adjudication pending un-attended
  • Reminders to be sent to long absentees (at least to people absenting un-authorise more than a week)
  • Payment of Bonus with in stipulated time
  • Rate of Bonus paid is as per bonus act (set on / set off) etc.
  • Bonus annual return Form –D to be submitted before 31st December
  • Bonus Register A,B,C to be maintained
  • Payment of minimum wages to all employees including Contractor roll
  • Payment of wages not later than 7th even for contractual workers
  • Environment Audit report by 30th September – pollution
  • Application for Conscent  by 30th November – Pollution

 

 

OPERATIONAL SYSTEMS & PROCEDURES

  • Appointment letter, I-card & Uniform to be issued with in a reasonable period of time.
  • Personnel files all company roll employees to be properly maintained
  • Pending confirmations if any
  • Any change in terms & conditions of employment including transfer should be recorded (copy should be available in file)
  • Stipend to Trainees as per guideline set by MCO
  • Implementation of suggestion scheme
  • All AMCs , Contract & Agreements ( like Security , Housekeeping ,Canteen , Labour contractor, Staff Bus etc.) should be in place.
  • Training calender  should be available at all units
  • Training documents like Attendance of participants, effectiveness evaluation , Training planned v/s actual etc. should be available at units.
  • All newly joined employees should undergo induction process.
  • All newly joined employees and their dependent family members (as applicable) should be covered under Medicliam with effect from 1st day of proceeding  month of joining
  • Implementation of Mobile policy set by MCO.
  • Settlement of Full & final – No unwanted delay
  • Payment of gratuity – As per rules

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Posted by Hrformats - January 27, 2012 at 11:34 AM

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Internal Audit Format

I have attached the Standard Internal Audit Format.

Company Name

AUDIT  FINDINGS  (Scope for Improvement – SFI    , Requires Correction – RC   ,  Nonconformity – NC  )

ISO 9001:2008 QMS

NOTE:  PLEASE WRITE ONLY ONE AUDIT FINDING PER FORM

1.

NCR NO : DIVISION: TYPE OF AUDIT: IQA

AUDIT REF

NO

Y

Q

NO:

DATE: DIVISIONAL HEAD’S NAME: DOC NO:

 

2.  Audit Findings  ( NCR \ RC \ SFI )
2.1 PROBLEM
2.2 EVIDENCE
2.3 REQUIREMENT/S  ISO 9001 : 2008 ref. ;  Class ref.   ;  Company  ref. ;
2.4 UNDESIRABLE  IMPACT TO THE PROCESS due to the problem.

 

AUDITOR’S NAME / DESIGNATION / SIGNATURE : AUDITEES   NAME / DESIGNATION / SIGNATURE :
Date : Date :

 

3.   FIND THE ROOT CAUSE   (Fish bone , Pareto , 5 why , etc., ) (use additional  paper too ) 

 

 

 

 

4 CORRECTION

5.    PROPOSED CORRECTIVE ACTION   FOR IDENTIFIED   ROOT CAUSES

 

Item

Root Cause

Corrective action

Completion date

Responsibility of Completion & Sustainability

Monitoring

Responsibility

1

2

3 , etc.,

 

6.    TYPE OF RECORDS TO MAINTAIN FOR DATA ANALYSIS.

7.    AUDITOR/S  & AUDITEE  AGREEMENT ON 3,4,5 AND 6 .

AUDITOR’S NAME / DESIGNATION / SIGNATURE : AUDITEES   NAME / DESIGNATION / SIGNATURE :
Date : Date :

 

SIGNATURE OF MD/CEO or  GM  : DATE:

 

8. FOLLOW UP AUDITS

 

Item / Root Cause

IMPLEMENTATION STATUS OF THE PROPOSED CORRECTIVE ACTION

 

AUDITEE’S NAME / DESIGNATION / SERVICE  NUMBER AUDITEE’S  SIGNATURE: DATE:
SIGNATURE OF MD/CEO or  GM  : DATE:

 

SIGNATURE OF  MR  : DATE:

 

 

 

 

 

 

 

Issue

No:

Date:

Revision

No:

Date:

Ref No.

Generated from SP for Internal Audit (8.2.2-DQA-CP-01)

 

 

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Posted by Hrformats - December 24, 2011 at 7:08 AM

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