Should Internal Audit Plan be Approved by Top Management?

[Ka Pilo]

Not only should the plan be approved, but you should be engaging them in the planning of the audits.

Does the absence of top management engagement result to a nonconformity?

 

[Ka Pilo]

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.

Management involvement in internal audit planning? Preparation of internal audit plan is part of the QMS.

 

[Jen Kirley]

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.

I don't require their approval. If they want to voice an objection I feel pretty sure they will do so. But getting evidence of approval might take longer than doing the audits...

 

[Jen Kirley]

Management involvement in internal audit planning? Preparation of internal audit plan is part of the QMS.

Yes internal audit planning is part of the QMS. And we run on a three-year schedule so there's no reason to wonder what will be put on the year's schedule. But if there is a time frame we should stay away from due to a resourced project I am not aware of I welcome their telling me as early as possible. In addition, I welcome their requests to do subject based audits based on something they want to improve once I do an analysis via audit. Our QMS includes the opportunity for such input, and registrars are always happy to see that. When such input is received I make a note of it on the annual schedule: "XYZ process scheduled by request of So-and-so."

I can vouch that they are glad to be asked, even if they do not say anything right away.

 

[qusys]

Management involvement in internal audit planning? Preparation of internal audit plan is part of the QMS.

ISO 9001 standard does not expressely require for a formal approval of the internal audit programme by top mgmt. This is normally included in the dynamics of QMS itself to have it effective ( and efficient ).
There are several way to have the approval for it, for example to include in a session of a mgmt review.

 

[AndyN]

Does the absence of top management engagement result to a nonconformity?

If you are asking if a CB auditor might find an issue with them not being involved, it's going to depend on the auditor! If I were doing the audit, then I believe it wouldn't be difficult to find that 'status and importance' had not be considered in putting the audit programme together. You just have to ask, 'status and importance' of what, to whom...?

 

[somashekar]

Management involvement in internal audit planning? Preparation of internal audit plan is part of the QMS.

Management involvement in audit planning? Not directly.....
You plan the audit, and keep in mind as Andy mentions "status and importance"
Do audit.
Discuss results of audit in management review and next plans based on results. Get the management decisions.
So here management involvement is present in internal audit.

 

[Ka Pilo]

Management involvement in audit planning? Not directly.....
You plan the audit, and keep in mind as Andy mentions "status and importance"
Do audit.
Discuss results of audit in management review and next plans based on results. Get the management decisions.
So here management involvement is present in internal audit.

Yes, thank you. It did help. I finally understand Andy's response now too thanks to your explanations.

 

[somashekar]

Happy to have you here and see your involvement dear Ka Pilo .... Wish you well.

 

[sridharafep]

MR (appointed by TOP MANAGEMENT) should play his role.