Internal audit - Can Internal Auditors give Recommendations?



I´m writing a e-mail because iwould to know that in internal audit the auditor can give recommendations to the areas that have been audited.

thank you
Elsmar Forum Sponsor
Yes, they can. Using the same documentation criteria that you would use for reporting a major/minor noncompliance, only report it as an "Opportunity for Improvement" (OFI).
The results can be used for documenting continuous improvement.

This is a QSR requirement for your third party auditor.


Hunkered Down for the Duration
Staff member
This does not mean all 'suggestions' are, shall we say, 'worthy'. I have seen them start internal wars.


Super Moderator
Super Moderator
Opportunities for improvement observations can be very useful. But...only you know your own company, will they accept these observations or will it become a P___ing contest?

If everyone works well together and your audit team words its findings carefully, you can get a lot of bang for your buck. If you have any type of departmental strife going on, tread carefully. Avoid making statements that the department needs to do certain things. Word them to leave the actions to be taken fairly vague and emphasize what the improved end result can be.

Most important!!! Just like raising children, make sure that for each observation citing an area for improvement you also find at least one item to praise! It's a lot easier for someone to see the value of improving an area they may feel is fine if you have FIRST told them that they are doing a good (great, excellent) job in some other area.

Recommend that a multi-functional group look into the possibility of changing the process, but try not to say "If you would just do A, B,, and C this problem would not occur." Don't make it sound like the auditors know best (even if they may). You can get people to do a lot more towards improvement if you can make them think it was their idea.

Have a good one!

Aaron Lupo

One thing I have learned is you have to figure out what Managers/Departments are open to suggestions and who will fight any suggestions you have. The way I word my suggestion is along the lines of I have seen it done this way before or this department tried it this way and they seemed to like it and it has worked well for them. The company I work for the Department Managers are aware that I have worked/work for a Registrar and know that I have seen process done various types of ways, some are willing and open to suggestions others are steadfast in their ways and will not listen to suggestions. In doing my internal audits I make it very clear that it is just a suggestion and it is up to them how they choose to go about it. I do not want them to feel like I am telling them how to do the job because I am not the expert in what they do they are.

[This message has been edited by ISO GUY (edited 31 January 2001).]
Thread starter Similar threads Forum Replies Date
H AS9100 Checklist for Internal Audit needed AS9100, IAQG, NADCAP and Aerospace related Standards and Requirements 1
A What are the pros and cons of using an audit software for internal auditing? General Auditing Discussions 4
F Internal Audit before Pre-Assessment ISO 17025 related Discussions 2
Q Internal audit plan template Internal Auditing 6
L Internal audit during COVID-19 restrictions ISO 13485:2016 - Medical Device Quality Management Systems 5
O ISO13485 implementation - Are internal audits expected before stage 1 audit? Design and Development of Products and Processes 3
B Using Unreleased Documents & Process Maps for Internal Audit purposes ISO 9000, ISO 9001, and ISO 9004 Quality Management Systems Standards 12
N Small Company - Internal audit process - Who does the audit? Internal Auditing 16
J Does anyone have an excel IATF 16949 Internal Audit checklist I could use? IATF 16949 - Automotive Quality Systems Standard 7
G Addressing Non-Conformances from an Internal Audit that are not product related ISO 13485:2016 - Medical Device Quality Management Systems 11
S Internal audit discrepancy - We missed a few audits that were scheduled Internal Auditing 12
Raffy ISO 14001 9.2.2 Internal Audit Programme Content Internal Auditing 9
N Internal Audit Schedule – Who gets to set the schedule? Internal Auditing 16
V IATF 16949 Internal Audit Program - "Process Changes" IATF 16949 - Automotive Quality Systems Standard 11
G Non Conformance During ISO 9001 Audit - Not All Internal Audits Completed General Auditing Discussions 19
B Using external FDA and ISO 13485 audit as internal audit Internal Auditing 6
T Internal Audit Schedule when Hiring Out Internal Auditing 7
D ISO 9001:2015 Internal Audit Training Advice Internal Auditing 10
M Internal audit consultant ISO 13485 (English speaker) Consultants and Consulting 3
S Implementing a 45001 Health & Safety standard - Internal audit plan wanted Internal Auditing 1
F Internal Audit - Procedure example Internal Auditing 5
C Internal Audit - Process Clause Matrix / Audit Checklist ISO 13485:2016 - Medical Device Quality Management Systems 7
CPhelan Internal audit - Combine similar nonconformities in one or keep separate? Internal Auditing 6
M Internal Audit Plan in Retail Internal Auditing 10
D Management of NC after internal system audit IATF 16949 - Automotive Quality Systems Standard 7
A Purchasing - Internal Audit Questions Internal Auditing 8
N Comprehensive Compliance Matrix for Internal Audit Checklist Other Medical Device Regulations World-Wide 1
W Where to begin with an ISO 9001:2015 internal audit Internal Auditing 13
D Internal audit forms or checklists for a medical/veterinary laboratory General Auditing Discussions 5
E Informational Internal Audits - Wear multiple hats what can and can't I audit (so I'm not auditing my own work) Internal Auditing 146
E ISO 9001:2015 - Internal Audit Plan Clauses General Auditing Discussions 8
S Internal Audit Checklist for Application/Software development IEC 27001 - Information Security Management Systems (ISMS) 1
S Internal Audit - Risk and Opportunity (ISO 9001:2015 ) Internal Auditing 1
F API Spec Q1 9th Edition Surveillance Audit - Questions about internal audits. Oil and Gas Industry Standards and Regulations 23
Ashland78 IATF 16949 Internal Audit Checklist Manufacturing and Related Processes 11
Ed Panek Root Cause CAPAs from internal audit ISO 13485:2016 - Medical Device Quality Management Systems 16
K Student wanting Case Study about Internal Audit Report Internal Auditing 1
R How far apart can you schedule separate areas or departments in your internal audit? Internal Auditing 4
D Auditing Our Outsourced 2nd-3rd Party Internal Audit Company ISO 13485:2016 - Medical Device Quality Management Systems 6
A API Spec Q1 9th Edition - 12 month Internal Audit Schedule Audit Nonconformance Oil and Gas Industry Standards and Regulations 10
J Microsoft Teams to manage Internal Audit System? Internal Auditing 3
tony s An organization's Internal Audit Office certified to ISO 9001:2015 ISO 9000, ISO 9001, and ISO 9004 Quality Management Systems Standards 28
Tagin Does ISO 9001:2015 require a full internal audit annually? ISO 9000, ISO 9001, and ISO 9004 Quality Management Systems Standards 21
S GM/VP softgrading internal audit finding - need feedback from an audit guru! General Auditing Discussions 11
M Internal Audit Assessment Criteria - ISO 13485:2016 Internal Auditing 21
V Process and Internal Audit Criteria matrix wanted Internal Auditing 8
S Internal Audit Completion Memorandum Internal Auditing 2
T Example wanted - Template for internal audit IATF 16949 IATF 16949 - Automotive Quality Systems Standard 1
a_bardi Is it possible to exclude internal audit from qms scope? ISO 9000, ISO 9001, and ISO 9004 Quality Management Systems Standards 5
P Quality objectives - must they include CAPA and internal audit topic? ISO 13485:2016 - Medical Device Quality Management Systems 28

Similar threads

Top Bottom