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.


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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).]
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