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Should Internal Audit Plan be Approved by Top Management?

K

Ka Pilo

#1
In my previous company, we were doing internal audits without getting official endorsement of top management.

Is it implied that top management has already approved the internal audit audits even if not explicitly?
Should internal audit plan approved by top management?
 
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S

samsung

#2
Just forward a copy of the audit plan to top management. This should, in my opinion, be sufficient for the sake of information of the top that resources are being deployed for the purpose of internal audit.
 
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Jen Kirley

Quality and Auditing Expert
Staff member
Admin
#3
Just forward a copy of the audit plan to top management. This should, in my opinion, be sufficient for the sake of information of the top that resources are being deployed for the purpose of internal audit.
I agree. It is worthwhile to inform management of the audit plan, but also invite their input. If they want to add an audit or suggest rescheduling based on information I don't have, I would certainly be happy to get the suggestions.
 
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S

samsung

#4
I agree. It is worthwhile to inform management of the audit plan, but also invite their input. If they want to add an audit or suggest rescheduling based on information I don't have, I would certainly be happy to get the suggestions.
Certainly a good idea that responds to one of the QM principles 'People's involvement'.

Thanks.
 

Big Jim

Super Moderator
#5
In my previous company, we were doing internal audits without getting official endorsement of top management.

Is it implied that top management has already approved the internal audit audits even if not explicitly?
Should internal audit plan approved by top management?
Great idea, as others have noted.

It is not a requirement of ISO 9001:2008 though.
 

Ajit Basrur

Staff member
Admin
#6
In my previous company, we were doing internal audits without getting official endorsement of top management.

Is it implied that top management has already approved the internal audit audits even if not explicitly?
Should internal audit plan approved by top management?
Its good to get the approval so that they know when the auditors are going to audit them and can prepare in advance :D
 
#7
In my previous company, we were doing internal audits without getting official endorsement of top management.

Is it implied that top management has already approved the internal audit audits even if not explicitly?
Should internal audit plan approved by top management?
Not only should the plan be approved, but you should be engaging them in the planning of the audits. As I've mentioned in other posts, you don't need a whole year's calendar of audits - unless you have a very accurate crystal ball - and you should certainly be soliciting their input on what is important to them, their achievement of objectives etc in considering what to audit...
 

Jen Kirley

Quality and Auditing Expert
Staff member
Admin
#8
Great idea, as others have noted.

It is not a requirement of ISO 9001:2008 though.
Agree, it's not a requirement; but management involvement is a requirement and this is one way to show a process to involve management in the QMS - for as far as it goes, anyway.
 

somashekar

Staff member
Super Moderator
#10
Well, if it helps get the right thing done, I guess!:tg:
Yes, if and only if it is helpful. Audit delay due to audit plan approval pending from top management will be the next common thing, if we attach APPROVAL by top management.
The owner of the internal audit process must be having the authority to approve the internal audit plan and keep top management communicated.
 
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