Audit Management

Robust Audit Management Helps Organizations Know the Gaps, Take Action, and Remain Compliant

Audit Management

The Audit Management module in QMS helps drive efficiency and effectiveness into the audit management process.

Audit Management

Companies conduct different types of audits to maintain checks and balances on different essential aspects of the organization. The important purpose of an audit is to ensure that each business area complies with applicable regulations and works within the confines of corporate policies. Audits are complex as they entail a careful examination of various business processes.

What is Audit Management?

Audit management forms the basis for a sound audit by offering straightforward, measurable steps for achieving specific audit objectives. Documentation of these audit management procedures allows auditors to remain well-informed about ongoing activities with minimal confusion. Audit management procedures are a guideline for auditors, employees, and other stakeholders.

How does Audit Management work?

Audit management is a quintessential process to ensure that all audit directives are correctly implemented and executed. It encourages any organization to:

  • Improve audit plans
  • Track and manage audit findings
  • Boost audit efficiency and cut costs
  • Gain deeper insights through detailed audit result
How does Audit Management work?
Audit Management Implementation

Implementation of Audit Management

Audits are an integral component of compliance and regulatory requirements. It is essential for analyzing the success of processes, products, and systems. Audit management is also essential for verifying objective evidence of processes and providing evidence for reducing and eliminating any problem areas.

Quality auditing management should highlight examples of good practice rather than simply identifying nonconformance, process issues, and corrective actions to ensure maximum benefit. With this practice in place, other departments can share information and adjust their working practices, delivering continuous improvement as a result.

Benefits of Audit Management

  • Keeping track of employees working from an office or remote location

  • Management can easily monitor tasks while keeping track of their performances

  • Training employees and providing relevant documents

  • Checking for accuracy in financial statements

  • Staying on top of the business’s progress

  • Reducing the risk of fraud

  • An effective method for overall evaluation

  • Identifying problems within the business to effectively address them

  • Keeping track of employees working from an office or remote location

  • Staying on top of the business’s progress

  • Management can easily monitor tasks while keeping track of their performances

  • Reducing the risk of fraud

  • Training employees and providing relevant documents

  • An effective method for overall evaluation

  • Checking for accuracy in financial statements

  • Identifying problems within the business to effectively address them

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Mastering Compliance: Leveraging Next-Gen Audit Management Solution for Regulatory Success

Features of CQ Audit Management

CQ’s Audit Management Software helps companies build a scalable, flexible, and configurable audit management workflow, depending on the specific needs. The audit management module offers the following features:

  • green check

    Planning and Scheduling

    Plan and schedule audit by site, department, suppliers

  • green check

    Conducting Audits

    Take notes, document findings, categorize relevant findings, anywhere, on any device

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    Audit Report Generation

    Generate audit reports using pre-built audit templates

  • Escalation to CAPA

    Prioritize findings and initiate CAPA based on risk

  • Audit Finding Response

    Automatic generation of e-mail messages to the auditee

  • Mobile Access

    Access your CQ Audit Management solution on the go, anywhere, anytime, and on any device.

  • Preparing for an Audit

    Auditors are notified of upcoming audits, and they can prepare by reviewing past audits, open findings, critical findings, CAPAs

  • Findings Documentation and Categorization

    Document findings, attach evidence, and categorize them

  • Risk Assessment

    Capture the risk profile during the audit planning phase and review as per audit findings

  • Supplier Portal and Interaction

    Consolidate all quality data for suppliers to review, rectify, and respond to audit findings

  • Collaboration

    Solicit feedback from the supply chain without giving up ownership of tasks

  • Reporting and Analytics

    Utilize pre-developed best-practices-based reports and create additional reports and dashboards

Audit Management Case study

Customer Success

Clinical Research Organization Gains Better Document Access, Version Control, and Audit Support with ComplianceQuest’s AI-powered EQMS

Audit Management Case study
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Capabilities of ComplianceQuest Audit Management

Enable promptness and perfection

Enable promptness and perfection in Audit performance

CQ Audit Management Software allows businesses to plan internal and external audits. The software automates the entire audit workflow from audit planning scheduling to documenting findings and initiating CAPAs where required. Quality leaders can set up calendar views to alert all stakeholders about scheduled audits and prepare accordingly. It also empowers them to choose between complex, stringent, or streamlined audits flexibly.

Ensures effectiveness and improvements

Ensures effectiveness and continuous improvement of your QMS

Automate audit workflows with CQ Audit Management Software. The software enables business and quality leaders to identify gaps, predict quality performance in the future, capture failure trends, and take corrective and preventive action for continuous improvement.

Stay Compliant

Stay Compliant

With CQ Audit Management Software, businesses can plan audits for different regulatory standards such as ISO 13485, ISO 9001, FDA 21 CFR Part 11 to remain compliant.

Always remain Audit and Inspection ready

Always remain Audit and Inspection ready

The first step in risk management is to know the gaps. The CQ Audit Management Software helps in having a proactive risk management strategy, providing visibility and transparency across the entire process. The software allows businesses to plan, manage changes, learn from past audits, assign roles and responsibilities, create schedules, organize data, and conduct periodic internal audits.

Avoid Fines

Avoid Fines and Penalties

Periodic and well-planned and executed audits can help mitigate non-compliance risks by identifying the gaps in a timely manner and reducing the impact on the business. The CQ Audit Management Software manages the entire audit cycle to ensure greater compliance and growth and avoid non-compliance penalties.

  • Enable promptness and perfection

    Enable promptness and perfection in Audit performance

    CQ Audit Management Software allows businesses to plan internal and external audits. The software automates the entire audit workflow from audit planning scheduling to documenting findings and initiating CAPAs where required. Quality leaders can set up calendar views to alert all stakeholders about scheduled audits and prepare accordingly. It also empowers them to choose between complex, stringent, or streamlined audits flexibly.

  • Ensures effectiveness and improvements

    Ensures effectiveness and continuous improvement of your QMS

    Automate audit workflows with CQ Audit Management Software. The software enables business and quality leaders to identify gaps, predict quality performance in the future, capture failure trends, and take corrective and preventive action for continuous improvement.

  • Stay Compliant

    Stay Compliant

    With CQ Audit Management Software, businesses can plan audits for different regulatory standards such as ISO 13485, ISO 9001, FDA 21 CFR Part 11 to remain compliant.

  • Always remain Audit and Inspection ready

    Always remain Audit and Inspection ready

    The first step in risk management is to know the gaps. The CQ Audit Management Software helps in having a proactive risk management strategy, providing visibility and transparency across the entire process. The software allows businesses to plan, manage changes, learn from past audits, assign roles and responsibilities, create schedules, organize data, and conduct periodic internal audits.

  • Avoid Fines

    Avoid Fines and Penalties

    Periodic and well-planned and executed audits can help mitigate non-compliance risks by identifying the gaps in a timely manner and reducing the impact on the business. The CQ Audit Management Software manages the entire audit cycle to ensure greater compliance and growth and avoid non-compliance penalties.

4 Phases of the Audit Process

The audit is carried out either by trained members of an organization’s staff (internal quality audit) or by auditors from outside the organization (external quality audit). The process of quality audits is divided into four phases as follows:

Phase 1 - Audit Initiation

Audit Initiation

The first step in the quality audit process is audit initiation. This involves a preliminary discussion between three parties: the client, the auditee, and the auditing organization. The discussion includes:

  • Setting the objective of the audit
  • Identifying the reference standards
  • Involving the auditors
  • The duration of the audit

Audit Planning

Audit planning includes several activities by implying actions and reactions from the involved parties, including scheduling the audit, the number of resources needed, gathering audit, reporting the results, determining the sampling procedures, and following up on corrective and preventive actions.

Phase 2 - Audit Planning
Phase 3 - Audit Execution

Audit Execution

After audit initiation and planning, the auditor starts to perform various activities such as evaluation of process and system controls, employee interviews, on-site audit management, and regular communication with other relevant parties within the organization. Audit execution is often called ‘fieldwork’. It concludes with the final discussion between the auditor and the auditee.

Audit reporting and Follow-up

The audit report includes the observation results, inspection or test results obtained, providing data on management, conformances and non-conformances found. It also includes recommended corrective actions that need to be taken.

Phase 4 - Audit reporting

Great product, support, and people to work with!

We have rolled-out CQ across our company to automate various elements of QMS requirements such as Document Management, Complaints, Non-conformances, Corrective Action (8D and A3), Supplier Management and Audit Management. We have been using the software for more than 2 years. We are glad to see how well the system is being used across the company. We have several thousand users on the system currently and working to scale the usage further. CQ solution has been configured to meet our needs, works elegantly across languages, across time zones, and business verticals. With integration between CQ and SAP to exchange critical data, the process automation provides a lot of productivity.

CQ configuration team and support have worked hard to ensure that our needs continue to be met. They consistently go above and beyond. We cannot be more pleased with our use of CQ QMS capabilities and would definitely recommend to anyone who is looking for a modern cloud based EQMS solution especially if you want a scalable EQMS solution.

Lia Budiman,
Solution Consultant

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Continental Contitech logo

Importance of Audit Management in Organization’s Growth

Audits are an integral component of compliance and regulatory requirements. They are essential for analyzing the success of processes, products, and systems. They are also a vital tool for verifying objective evidence of processes and providing evidence for reducing and eliminating any problem areas.

Audit management highlights areas of process issues and nonconformance that need corrective actions. This can help other departments to share information and adjust their working practices, delivering continuous improvement as a result. A robust audit management system supports the entire organization. ComplianceQuest Audit Management module helps:

  • Auditors to complete the full audit process, access past audit data and have greater document control
  • Ensure operations/supply chain processes are being followed
  • Management review and analyze the effectiveness of the audit program and the state of compliance

Recommended Articles

How to conduct an effective management audit?

An effective management audit helps organizations assess their overall performance, identify areas for improvement, and ensure compliance with regulations and industry best practices. Here's a step-by-step guide on how to conduct a thorough and effective management audit:

conduct an effective management audit
  • Define Clear Objectives: Begin by clearly defining the objectives of the management audit. Determine what aspects of the organization's management you want to assess. A well-defined scope is essential, whether it's financial management, operational processes, or adherence to industry standards.
  • Assemble a Competent Team: Form a team of experienced auditors with expertise in the relevant areas. Ensure that the audit team understands the audit's purpose and aligns with the organization's goals.
  • Understand the Organization: Gain a deep understanding of the organization's structure, culture, objectives, and key performance indicators (KPIs). This context is essential for conducting a meaningful audit.
  • Determine the Audit Scope: Identify the departments, processes, and functions that will be audited. Define the criteria and benchmarks against which performance will be measured. This step ensures that the audit remains focused and productive.
  • Gather Relevant Data: Collect data, documents, and information related to the audit scope. This may include financial records, operational procedures, compliance reports, and key performance metrics.
  • Develop Audit Procedures: Create a detailed plan outlining the audit procedures, methods, and tools used. This plan should include the audit timeline, checklists, and audit protocols.
  • Conduct Interviews: Engage with key personnel, including management, staff, and stakeholders. Interviews provide valuable insights and feedback, helping auditors better understand the organization's processes and culture.
  • Perform Document Reviews: Review relevant documents, such as policies, procedures, contracts, and reports. Document reviews help assess compliance and identify gaps.
  • Analyze Data: Analyze the collected data to evaluate the organization's performance against predefined criteria and benchmarks. Use data analysis tools and techniques to draw meaningful conclusions.
  • Identify Findings and Recommendations: Based on the audit results, identify strengths, weaknesses, areas of non-compliance, and opportunities for improvement. Develop clear and actionable recommendations.
  • Communicate Audit Results: Present the audit findings and recommendations to relevant stakeholders, including senior management and decision-makers. Transparency in communication is essential to drive change and improvement.
  • Develop an Action Plan: Collaborate with the organization's leadership to develop an action plan that addresses the identified deficiencies and implements the recommended improvements.
  • Monitor Progress: Regularly monitor and evaluate progress after implementing the action plan. Ensure that the organization makes positive changes and effectively addresses the audit's findings.
  • Repeat as Necessary: Management audits should be conducted periodically to track ongoing improvements and ensure that the organization meets its objectives and regulatory requirements.
different types of management audits and their benefits

The different types of management audits and their benefits

Management audits come in various forms, each tailored to specific objectives and areas of focus. Here are different types of management audits and the benefits they offer:

  • Financial Management Audit: Assesses an organization's financial practices, budgeting, and accounting processes.
    Benefits include improved financial transparency, cost control, and fraud prevention.
  • Operational Audit: Focusing on internal operations and processes, this type evaluates efficiency, effectiveness, and resource utilization.
    It helps identify areas for process optimization and cost reduction.
  • Compliance Audit: Ensures adherence to regulatory requirements and industry standards.
    The benefits include avoiding legal issues, maintaining a good reputation, and reducing non-compliance risks.
  • Quality Management Audit: Examines product and service quality control processes.
    It enhances product quality and customer satisfaction, and reduces defects or recalls.
  • Environmental and Sustainability Audit: Evaluate an organization's environmental impact and sustainability efforts.
    It supports environmentally responsible practices, compliance with environmental regulations, and enhanced corporate reputation.
  • Risk Management Audit: Focuses on risk assessment and mitigation strategies. Benefits include reduced risk exposure, better decision-making, and safeguarding of assets.

Manage Your Entire Audit Lifecycle with ComplianceQuest’s Audit Management Software for Flexible, Scalable and Configurable Workflow

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Quality-centric Companies Rely on CQ QMS

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Frequently Asked Questions

  • The three different types of quality audits are mentioned below:

    • Process audit: Specifies if a company’s processes are working within defined limits. It measures the conformance, effectiveness, and adequacy of the process controls established by procedures, work instructions, training, and process specifications.

    • Product audit: Inspects if a particular product or service complies with customer requirements, specifications, and performance standards.

    • System audit : Confirms that all management system elements are effective and appropriate while being developed, implemented, and documented as specified. A QMS audit measures an organization’s existing QMS to assure the conformance of the system with contract commitments, company policies, and regulatory requirements.

  • An audit is considered an effective management tool to detect the problems and defects in the quality management system and helps improve and resolve them based on broad findings and recommendations. The principles of an audit are as follows:

    • Objectivity

    • Ethical standards

    • Accurate presentation

    • Collaboration

    • Independence

    • Professional support

    • Proficiency

    • Assessment based on evidence

    • Confidence

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