Audit Follow-up and Closure

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Phases in Auditing

1. Audit Preparation and Planning 2. Audit Performance 3. Audit reporting 4. Audit follow-up and closure

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Follow-up Action

At agreed time Review of documentary evidence Re-audit on the site Only review of corrective actions Dont start it all over again

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Follow-up Documentary Evidence

Records Training certificates Amended procedures Photographs Videos

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Follow-up

A process by which internal auditors determine the adequacy, effectiveness, and timeliness of actions taken by management on reported audit findings The largest cause of failure in internal audits is the lack of effective corrective action taken on the nonconformities identified.
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Steps - 1

Auditor
identifies the problem in the audit report issues the Corrective Action Request

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Steps - 2

Auditee:
Evaluates the corrective action Root cause analysis Develops the action plan Implement corrective and preventive action Standardize the action
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Steps - 3

Auditor:
Verifies the implementation and effectiveness of the action Issues the close-out report

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