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Last updated on 2024年8月6日

How do you follow up and monitor the implementation of audit actions?

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Auditing is a vital part of quality assurance processes, as it helps identify gaps, risks, and opportunities for improvement in your organization's products, services, or processes. However, auditing is not a one-time event, but a continuous cycle that requires follow-up and monitoring of the actions taken to address the audit findings. In this article, you will learn how to follow up and monitor the implementation of audit actions effectively and efficiently.

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Sheryhan El-Ghandoor

Quality Systems Representative - Emerging Africa (Execution EMEA RLM - Global Deliver Quality) at Medtronic | MBA…
Juan Carlos Garcia Gonzalez

GMP Auditor / Consultor / Asesor. Quality That Sums
Sandra Mantilla

Ing. Electrónica | MSc y Ph.D. | Auditor y Consultor en SGSI, Ciber, GDPR y Gestión de Activos | CISA, COBIT, PKI…

1 Define the audit objectives and scope

Before you start following up and monitoring the audit actions, you need to have a clear understanding of the audit objectives and scope. These are the criteria that define what you are auditing, why you are auditing, and how you are auditing. They also help you prioritize the audit actions, set the deadlines and responsibilities, and measure the progress and outcomes. You should document the audit objectives and scope in the audit plan or report, and communicate them to all the relevant stakeholders.

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Ayman El Mohamady Farag, COPC? Quality Management-MBA Rome business school

Quality Monitoring Supervisor @ Xceed | Driving Quality Excellence
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Define the Audit Objectives and Scope: Clearly articulate the purpose of the audit and the specific areas to be assessed. Ensure that the objectives align with organizational goals and compliance requirements.

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Sandra Mantilla

Ing. Electrónica | MSc y Ph.D. | Auditor y Consultor en SGSI, Ciber, GDPR y Gestión de Activos | CISA, COBIT, PKI, NIST, SOX, EHCA, ENS, CREG 025/015, Decreto 1072, ISO (27001, 22301, 55001, HSEQ, 31000, 20000, otros)
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Es fundamental establecer claramente los objetivos y el alcance antes de iniciar el proceso. Esto implica definir qué se espera lograr con la auditoría, las áreas que serán auditadas, y los criterios que se utilizarán. Además, se deben considerar los recursos disponibles y las limitaciones del proceso.

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2 Track the audit actions and status

The next step is to track the audit actions and status regularly and systematically. You can use various tools and methods to do this, such as spreadsheets, databases, dashboards, or software applications. The main purpose of tracking is to record the details of each audit action, such as the description, owner, due date, completion date, evidence, and verification. Tracking also helps you monitor the status of each audit action, such as pending, in progress, completed, or overdue.

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Sheryhan El-Ghandoor

Quality Systems Representative - Emerging Africa (Execution EMEA RLM - Global Deliver Quality) at Medtronic | MBA Candidate | Certified HCPs Trainer | PMP | LSSBB | Lead Auditor
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A successful audit needs to be followed by a robust follow-up for the CAPA to ensure its effectiveness. whether you use a software or manual tracking system, you must ensure that there is a defined clear action, action owner, identified evidence, a follow-up plan as per the agreed due date, and an effectiveness check plan. Make sure to have document the follow-up, review and archive the collected evidences, so it can help you in your effectiveness checks.

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Darly Judex PAMBOU LIAMIDI

Analyse financier - Financial Reportings Analyst chez CMLPM-Guinée équatoriale
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Tout est encore dépendant des outils à notre disposition. J'entend par là : - les équipes (audit team & coporate team) - la portée des mesures ( structurelles, fonctionnelle...)

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Ayman El Mohamady Farag, COPC? Quality Management-MBA Rome business school

Quality Monitoring Supervisor @ Xceed | Driving Quality Excellence
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Create a tracking system (e.g., spreadsheet, software tool) to record each identified action. Assign responsibility for each action to relevant individuals or teams. Regularly update the status (e.g., pending, completed) of each action.

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Sandra Mantilla

Ing. Electrónica | MSc y Ph.D. | Auditor y Consultor en SGSI, Ciber, GDPR y Gestión de Activos | CISA, COBIT, PKI, NIST, SOX, EHCA, ENS, CREG 025/015, Decreto 1072, ISO (27001, 22301, 55001, HSEQ, 31000, 20000, otros)
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Una vez que las acciones correctivas han sido identificadas, es esencial realizar un seguimiento continuo para asegurarse de que se están implementando según lo planeado. Esto incluye revisar periódicamente el estado de cada acción, documentar los avances y ajustar los planes si es necesario y luego validar la eficacia.

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3 Communicate the audit results and feedback

Another important step is to communicate the audit results and feedback to the stakeholders involved in the audit process. This includes the auditee, the auditor, the management, and the customers. Communication can be done through various channels and formats, such as meetings, emails, reports, presentations, or newsletters. The main purpose of communication is to share the audit findings, recommendations, actions, and outcomes, as well as to acknowledge the achievements, challenges, and lessons learned.

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Sandra Mantilla

Ing. Electrónica | MSc y Ph.D. | Auditor y Consultor en SGSI, Ciber, GDPR y Gestión de Activos | CISA, COBIT, PKI, NIST, SOX, EHCA, ENS, CREG 025/015, Decreto 1072, ISO (27001, 22301, 55001, HSEQ, 31000, 20000, otros)
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La comunicación efectiva de los resultados es clave para garantizar la transparencia y el entendimiento por parte de todas las partes interesadas. Esto puede incluir la presentación de informes detallados, resúmenes ejecutivos y reuniones de retroalimentación para discutir los hallazgos y recomendaciones. Nunca dar sorpresas al final. Todo debe ser comunicado en la medida que va presentándose. Eso da credibilidad al ejercicio de auditoría.

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Ayman El Mohamady Farag, COPC? Quality Management-MBA Rome business school

Quality Monitoring Supervisor @ Xceed | Driving Quality Excellence
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Share the audit findings with stakeholders, including management and auditees. Provide constructive feedback on areas that need improvement. Encourage open communication to address any concerns or challenges.

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4 Verify the audit actions and outcomes

The final step is to verify the audit actions and outcomes to ensure that they have been implemented effectively and have achieved the desired results. Verification can be done through various techniques and sources, such as inspections, tests, interviews, surveys, or records. The main purpose of verification is to confirm that the audit actions have addressed the root causes of the problems, have met the audit objectives and scope, and have improved the quality of the products, services, or processes.

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Ayman El Mohamady Farag, COPC? Quality Management-MBA Rome business school

Quality Monitoring Supervisor @ Xceed | Driving Quality Excellence
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Independently verify that corrective actions have been implemented. Assess whether the desired outcomes have been achieved. Use evidence-based verification methods (e.g., documentation review, interviews).

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Sandra Mantilla

Ing. Electrónica | MSc y Ph.D. | Auditor y Consultor en SGSI, Ciber, GDPR y Gestión de Activos | CISA, COBIT, PKI, NIST, SOX, EHCA, ENS, CREG 025/015, Decreto 1072, ISO (27001, 22301, 55001, HSEQ, 31000, 20000, otros)
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Verificar la efectividad de las acciones tomadas es crucial para asegurarse de que los problemas identificados se hayan resuelto adecuadamente. Esto puede incluir la realización de pruebas adicionales, entrevistas y revisiones de documentos para confirmar que las mejoras se han implementado correctamente.

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5 Review and improve the audit process

The last but not least step is to review and improve the audit process itself. This means evaluating the strengths and weaknesses of the audit process, identifying the best practices and areas for improvement, and implementing the changes and enhancements. You can use various tools and methods to do this, such as feedback forms, checklists, surveys, or audits. The main purpose of reviewing and improving the audit process is to ensure that it is efficient, effective, and aligned with the organization's goals and standards.

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Ayman El Mohamady Farag, COPC? Quality Management-MBA Rome business school

Quality Monitoring Supervisor @ Xceed | Driving Quality Excellence
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Reflect on the audit process itself: Were the objectives met? Were the audit procedures effective? Were there any challenges or bottlenecks? Identify areas for improvement and update the audit process accordingly.

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6 Follow up and monitor the audit actions

Following up and monitoring the implementation of audit actions is not only a good practice, but also a requirement for many quality standards and regulations. It helps you ensure that your organization is complying with the expectations and requirements of your customers, stakeholders, and regulators. It also helps you improve your organization's performance, reputation, and competitiveness. By following the steps outlined in this article, you can follow up and monitor the implementation of audit actions successfully and confidently.

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Sheryhan El-Ghandoor

Quality Systems Representative - Emerging Africa (Execution EMEA RLM - Global Deliver Quality) at Medtronic | MBA Candidate | Certified HCPs Trainer | PMP | LSSBB | Lead Auditor
举报内容
A successful audit needs to be followed by a robust follow-up for the CAPA to ensure its effectiveness. whether you use a software or manual tracking system, you must ensure that there is a defined clear action, action owner, identified evidence, a follow-up plan as per the agreed due date, and an effectiveness check plan. Make sure to document the follow-up, review and archive the collected evidence, so it can help you in your effectiveness checks and ensure process improvement.

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Juan Carlos Garcia Gonzalez

GMP Auditor / Consultor / Asesor. Quality That Sums
(已编辑)
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It is essential to generate an effective and adequate CAPA involving the different stakeholders to improve or correct the process impacted by the audit findings. The proper definition of the action, the right owner, and the proper timelines are fundamental to ensuring a successful action. We must remember the cost (people, premises, equipment, systems, time) needed for the action. It is also essential to evaluate whether external agents must be involved because generation, follow-up, and monitoring of the CAPA must include them.

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Edwin G.

Auditor Externo | Auditor Interno| Office Expert| Analisis de Datos Power BI
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El seguimiento a las acciones de auditoria se puede dar de diferentes maneras ya sea con una herramienta digital de flujo o un control manual en una hoja de Excel, lo importante es tener en cuenta una temporalidad en la cual se dará este seguimiento llevando un historial de todos los hallazgos realizados hasta su debida corrección o finalización.

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Carla Mussa

PGD in International Trade Law | Honors Degree in Law | Chief Compliance Officer | Corporate Governance | Legal and Insurance Executive | HSEQ Executive
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1. Establish Actions: audit report to include specific action items with assigned responsibilities and deadlines. 2. Set Up a Tracking System: like spreadsheet or project management software, to monitor the progress. 3. Regular Check-ins: with the responsible to discuss status and address any challenges |roadblocks. 4. Document Progress: Keep detailed records, including any updates, changes, or delays. 5. Address Issues Promptly: If arise, address them promptly to prevent further delays. 6. Communicate Updates: Keep stakeholders informed of the progress through regular updates, reports, or meetings. 7. Closure and Verification: Once all action items are completed, verify effective implementation and close out the audit process.

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Martins Shegan

Lead Auditor & Consultant on ISO 45001 | ISO 9001 | FSSC 22000 | ISO 17025
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Assign responsibility for implementing audit action to specific individuals/teams; Set realistic timelines for completion of each audit action based on priority, complexity, and resource availability; Use centralized tracking system, like audit follow-up software or project management tools, to monitor the progress; Maintain open and transparent communication with all stakeholders involved; Provide regular updates on progress and address any issues or concerns in a timely manner; Monitor for any delays or obstacles that may hinder the implementation; proactively address roadblocks, whether through reallocation of resources, revision of timelines, or additional support, assess and verify the implementation process for continuous improvement

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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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Luis Andres Prieto

Especialista en Aviación / Speaker / Autor
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Todo lo que no se mide no se puede controlar y mucho menos mejorar. Así que es crucial tener un control del levantamiento de las No Conformidades con su causa raiz, su plan de acción aceptado por el área de QA, la fecha limite de cierre y el responsable de esta gestión. Estos datos deben ser compartidos en los Comités Gerenciales para tomar medidas correctivas y así evitar que pase el tiempo y no se to.en las acciones pertinentes respecto a estos hallazgos.

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How do you follow up and monitor the implementation of audit actions?

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1 Define the audit objectives and scope

2 Track the audit actions and status

3 Communicate the audit results and feedback

4 Verify the audit actions and outcomes

5 Review and improve the audit process

6 Follow up and monitor the audit actions

7 Here’s what else to consider

Quality Assurance Processes

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