How do you involve the auditees and other relevant parties in the audit follow-up and improvement process?

For internal auditing, it is critical to get feedback and provide detailed information to the interested parties. Remember that your process owners are interested parties just as much as Top Management, Customers, and Suppliers are. Further, the outputs of the internal audit are best put into corrective actions or improvement actions. It is not the job of an auditor to dictate timelines or assign ownership of a finding. Those fall on the Management Representative to complete and should follow the organization's internal procedures.

A mí me ha resultado útil no sólo compartir un versión escrita del informe tradicional, los reportes tipo infografia son muy prácticos para transmitir hallazgos de forma resumida, todo depende de quien sea el público objetivo. Otro aspecto que considero fundamental al realizar las comunicaciones de hallazgos es dar el tiempo y espacio a los auditados para consultar, aclarar temas y que puedan comprender la visión de riesgos que plantea el auditor. De esta manera, será más fluida la obtención de planes de acción y fechas compromiso para solventar las brechas entre el criterio y la condición detectada.

Involve auditees and stakeholders in the audit follow-up and improvement process through effective communication, collaboration, and shared responsibility. Share findings, assign roles, and provide training and support. Conduct regular progress reviews, offer feedback and recognition, and encourage knowledge sharing. Foster a culture of continuous improvement to maximize engagement and impact.

Engage auditees and relevant parties by discussing audit findings, soliciting feedback, and collaboratively developing action plans. Regular communication, follow-up meetings, and progress tracking ensure transparency and accountability. Encourage input and involvement to drive continuous improvement and address concerns effectively.

Establish clear and open communication channels with auditees and relevant stakeholders from the beginning of the audit. Regular updates and feedback loops are essential to keep everyone informed and engaged. In my experience, at the outset of an audit, I schedule an initial meeting with the auditees and key stakeholders to outline the audit objectives, process, and expected outcomes. Throughout the audit, I maintain regular communication via email and scheduled check-ins to provide updates and address any concerns.

There are 2 types of follow ups by internal auditor for validation of implementation of audit recommendations, desktop review or physical/system based assessments depending on the criticality of risk and nature / complexity of the audit observation. The auditor and auditee must agree on the criteria to be fulfilled for marking an audit observation as complete , along with RTDs. The information sharing between the auditor and auditee should be system based that’s allows for efficient monitoring and tracking of the audit observation.

Engaging the audit client or executive management is crucial in the audit process. It's not only a top technique but also one of the most important. This involvement fosters a sense of ownership and collaboration that enhances the audit's effectiveness and outcomes. By seeking their buy-in and active participation, audit clients and executives become stakeholders in the process, sharing responsibility for its success. Their insights, cooperation, and commitment can lead to more informed decisions and meaningful improvements, aligning the audit's objectives with organizational goals.

While understanding the auditees' capabilities and interest is crucial, the responsibility for designing corrective actions ultimately lies with management. This separation ensures clear roles: Auditors shine a light: Their job is to identify issues, communicate findings, and offer objective insights. Management steers the course: They use the audit findings to develop corrective actions tailored to their specific resources, knowledge, and priorities.

Acciones correctivas es un estándar que todas las compa?ías tienen como oportunidad, ya que no siempre se cuenta con el recurso humado dedicado a identificar las oportunidades y a establecer planes de acción robustos, en donde se involucren las diferentes areas, se realicen reuniones con las areas responsables y se lleven acuerdos de seguimiento periódicos para evaluar los compromisos; y como ultimo revisar que las acciones propuestas, ejecutadas y cerradas, con el tiempo no se vuelvan a abrir.

Top management needs to review PA in order to determine organizational risks. If they are not involved, the organization may expend time and money on projects that have no long-term benefits but do have a long-term costs associated. for instance, adding a new ISO standard such as 14001 to improve environmental compliance. This is an expensive undertaking that could result in no net return on investment but does require a large upfront cost. These decisions should never be put into the auditor's decision-making and acceptance unless the auditor is involved in the company cash-flow.

Schedule regular follow-up meetings to review the progress of action plans, address any challenges, and make necessary adjustments. Use tracking tools to monitor the status of corrective actions. I schedule monthly follow-up meetings with the auditees to review the status of the action plan for improving customer service processes. During these meetings, we discuss progress, identify any obstacles, and adjust timelines or actions as needed.

En otro proyecto, durante una auditoría de gestión de activos en una planta de energía, identificamos que existía un riesgo potencial de obsolescencia en varios activos clave. Para abordar este riesgo, revisamos con el equipo de ingeniería las mejoras que podían incluir a la luz de metodologías recomendadas, para desarrollar un plan de acciones preventivas que incluyera la actualización progresiva de equipos y la capacitación del personal en nuevas tecnologías. Este enfoque preventivo no solo redujo el riesgo de fallos, sino que también aumentó la vida útil de los activos.

Siendo auditora interna en una empresa de energía, observé que existía una oportunidad para mejorar la gestión de inventarios de repuestos. Involucré al equipo de compras y al de mantenimiento en la identificación de procesos ineficientes y, cómo parte de las recomendaciones dadas era dise?ar un sistema de gestión de inventarios más eficiente, que redujera el tiempo de inactividad de los equipos y optimizara el uso de recursos. Esta mejora no era una obligación derivada de la auditoría, pero generó un impacto positivo en toda la operación.

Prepare regular progress reports that detail the status of corrective actions, any delays or issues, and next steps. Share these reports with senior management and relevant stakeholders to ensure transparency and accountability. I prepare a quarterly report summarizing the progress of all ongoing audit follow-up activities. This report includes detailed updates on each action plan, highlighting completed actions, ongoing efforts, and any challenges faced. The report is shared with senior management and discussed in quarterly review meetings.

L'amélioration s'effectuera à travers: * L'assistance aux audités dans l'élaboration d'un plan d'actions à partir des recommandations préconisées et acceptées; * L'élaboration d'une feuille de suivi des engagements cosignée par le responsable du domaine audité et le responsable de l'audit; * L'adressage de note de relance aux audités pour rappel de la nécessité de mise en ?uvre des recommandations et des gains escomptés; * La réalisation de missions de suivi de la mise en ?uvre des recommandations; * La réalisation d'enquêtes de satisfaction par l'audit auprès des audités (objectif: quelle est la contribution de l'audit à l'amélioration des processus existants); * L'organisation de séance d'information aux audités sur les bonnes pratiques

I would suggest a continous follow-up rather than follow-up audits. This is what you should do: - issue audit reports and request auditees to commit to implementing action plans by a defined date - enter the action plan and deadline in a follow-up register - ask the auditees to proactively submit evidence of completion before the deadline - follow-up/check/verify that the action plan has been implemented - close the action plan in the follow-up register

Follow up audit & its report would also require in case any response given by auditee(s) is not up to the mark or does not full fill the expectation of in-house auditor/third party monitor. This report again require compliance verification/closure same as other audit report.

I agree with Isabella's opinion. To provide better follow-up on the audit findings, an action plan with a resolution date must be requested and after that date, follow-up should begin confirming whether it was actually resolved or if an extension is necessary with the support of an audit.

Es importante dentro del Master Plan de la compa?ía (mínimo una vez al a?o) establecer, la frecuencia, responsables, auditores y el tiempo en el que se llevara a cabo con toda la seriedad y responsabilidad de la Alta gerencia, ya que así se logra identificar oportunidades y comprometer a cada una de las personas de la importancia que ejercen dentro de toda la cadena de valor.

After completing the follow-up process, seek feedback from auditees and stakeholders on their experience and any suggestions for improving future audits. Use this feedback to refine audit methodologies and practices. At the end of an audit follow-up cycle, I distribute a feedback survey to the auditees and stakeholders involved. The survey asks for their opinions on the audit process, communication effectiveness, and areas for improvement. I use the feedback to make necessary adjustments to my approach and enhance the effectiveness of future audits.

El reconocimiento del esfuerzo que hace el personal responsable de cada proceso, y que sumado da el resultado de toda la organización, es lo que los colaboradores más valoran, y que incluso solo en las auditorías es cuando personal externo reconoce y resalta el esfuerzo y resultados del personal, y que desafortunadamente las organizaciones lo dan por sentado. La retroalimentación de lo que pueden mejorar también es algo que se valora, especialmente cuando la orientación está basada en el contexto de cada organización y que por lo tanto es viable, y no como una receta general que se da como una mera formalidad.

Auditors are outside of the process. They identify deficiencies or Noncompliance for Quality Assurance. This means that you do not involve them or make them responsible to fulfill CAPAs or require them to provide feedback until they review for effectiveness. A good auditor engages the client without offering advice. A great auditor shares experience in a way that the client can understand what needs to be done while maintaining a professional and distanced objective-based audit. when we start adding opinions, we no longer are objective in our findings and the findings themselves become questionable.

Involucrar a los auditados y otras partes en el proceso de seguimiento y mejora es crucial. Sugiero iniciar con reuniones post-auditoría para compartir resultados y explicar hallazgos. Fomenta la retroalimentación abierta y escucha activamente sus perspectivas. Colabora en la identificación de acciones correctivas, estableciendo metas claras y plazos realistas. Facilita sesiones de capacitación si es necesario. Implementa un sistema de seguimiento para monitorear el progreso de las mejoras. Mantén una comunicación regular para mantener el compromiso a largo plazo. Considera establecer un comité de mejora con representantes clave. La transparencia y la participación activa promoverán una cultura de calidad continua.

Simply just to make the managers and top managers of the auditee acknowledge the problem and its root causes and make them responsible to ensure that improvement action Will settle the problem and prevent the recurrence of the problem

Involving auditees and other relevant parties in the audit follow-up and improvement process is crucial for a successful outcome. One effective way to engage them is by holding feedback sessions or meetings where everyone can share their perspectives and suggestions for improvement. This collaborative approach fosters a sense of ownership and accountability among all stakeholders, leading to more effective and sustainable changes. By creating a culture that values diverse perspectives and encourages open communication, we can work together to drive continuous improvement and ensure the success of the audit process.