Last updated on 2024年6月1日

How can you monitor and evaluate the implementation of audit recommendations?

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Audit recommendations are the actions that an auditor suggests to improve the performance, security, or compliance of an information system. However, without proper monitoring and evaluation, these recommendations may not be implemented effectively or at all. In this article, you will learn how to monitor and evaluate the implementation of audit recommendations using some basic steps and tools.

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1 Define the scope and criteria

The first step is to define the scope and criteria of the monitoring and evaluation process. This means identifying which recommendations are in scope, who is responsible for implementing them, what are the expected outcomes and indicators, and how often and by whom the progress and results will be assessed. You should also establish a baseline for comparison and a timeline for completion.

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2 Collect and analyze data

The second step is to collect and analyze data on the implementation of the recommendations. You can use various sources and methods of data collection, such as interviews, surveys, observations, documents, logs, reports, or metrics. You should also use appropriate tools and techniques to analyze the data, such as spreadsheets, charts, graphs, dashboards, or software. You should look for evidence of the implementation status, the challenges and risks, the benefits and impacts, and the gaps and opportunities.

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Mohammed Aman Mohiuddin

DePaul University, MSIS | DevOps, and Cloud Enthusiast.
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Gather data using methods like interviews, surveys, and observations. Analyze it using tools like spreadsheets and charts to assess implementation status, challenges, benefits, and opportunities.

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3 Report and communicate findings

The third step is to report and communicate the findings of the monitoring and evaluation process. You should prepare a clear and concise report that summarizes the data, the analysis, the conclusions, and the recommendations for improvement. You should also communicate the report to the relevant stakeholders, such as the auditees, the auditors, the management, or the regulators. You should use appropriate channels and formats, such as emails, presentations, meetings, or online platforms.

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4 Follow up and verify actions

The fourth step is to follow up and verify the actions taken to implement the recommendations. You should monitor the progress and outcomes of the actions, and verify that they are aligned with the criteria and the objectives. You should also provide feedback and support to the implementers, and acknowledge and celebrate the achievements. You should also document and update the status of the recommendations, and close them when they are fully implemented.

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5 Learn and improve

The fifth step is to learn and improve from the monitoring and evaluation process. You should review the process and identify the strengths and weaknesses, the best practices and lessons learned, and the challenges and opportunities. You should also solicit feedback from the participants and stakeholders, and incorporate their suggestions and insights. You should also apply the learning and improvement to future audits and implementations, and enhance the quality and effectiveness of the information system.

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6 Use tools and frameworks

The sixth step is to use tools and frameworks to facilitate the monitoring and evaluation process. You can use various tools and frameworks that are designed for information systems audit and control, such as COBIT, ITIL, ISO, or NIST. These tools and frameworks can help you define the scope and criteria, collect and analyze data, report and communicate findings, follow up and verify actions, and learn and improve. You should choose the tools and frameworks that suit your needs and context, and adapt them as necessary.

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7 Here’s what else to consider

This is a space to share examples, stories, or insights that don’t fit into any of the previous sections. What else would you like to add?

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Keith Hayden

IT Analyst / Consultant / Multi Cloud Engineer
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Once the auditee completes their actions, review the evidence they provide. Establish a system to track progress consistently. Define KPIs to measure success.

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How can you monitor and evaluate the implementation of audit recommendations?

1

2

3

4

5

6

7

1 Define the scope and criteria

2 Collect and analyze data

3 Report and communicate findings

4 Follow up and verify actions

5 Learn and improve

6 Use tools and frameworks

7 Here’s what else to consider

Information Systems

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How can you monitor and evaluate the implementation of audit recommendations?

1

2

3

4

5

6

7

1 Define the scope and criteria

2 Collect and analyze data

3 Report and communicate findings

4 Follow up and verify actions

5 Learn and improve

6 Use tools and frameworks

7 Here’s what else to consider

Information Systems

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