Effective Follow-up of Audit Recommendations

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Subject: “Effective Follow-up of Audit Recommendations”
Date: Friday, 31 October 2025
Time: 9:00 to 12:00
Venue: ONLINE via ZOOM
Language: English
CPE Points (Continuous Professional Education): 3 CPEs
Instructors: Isabella Arndorfer (BA, MA, CIA, CFSA, CCSA)
Outline: Seminar Outline
Registration Form: Seminar Participation

Content: 

In today’s dynamic business environment, the follow-up of audit recommendations is crucial to ensure organizational accountability and continuous improvement. This course, “Effective Follow-up of Audit Recommendations,” provides a comprehensive overview of the follow-up process, from understanding fundamental concepts to establishing structured procedures and communicating results. Participants will learn to design and implement effective follow-up strategies, utilize modern IT tools, and foster a culture of continuous improvement, ensuring that audit recommendations lead to tangible, sustainable improvements within their organizations.

Free Resources: 

Participants will receive the following free resources for their audit activities:

  • Template – Follow-up Manual
  • Template – Follow-up Board Report
  • List of Recommendation Status Categories
  • Follow-up Matrix Spreadsheet (EXCEL)
  • Checklist: How to set up a Follow-up Process

Course Content: 

1. Definition and Fundamentals of Follow-up Process

  • Introduction to the Follow-up Process
  • Importance and Objectives of Follow-up in Auditing
  • Structure of an Audit Report
  • Distinguishing Observations, Recommendations, and Action Plans
  • Case Studies of Effective and Ineffective Follow-ups

2. Establishing a Follow-up Process

  • Designing the Follow-up Cycle: Key Stages and Timelines
  • Conducting Follow-up Checks and Gathering Evidence
  • Utilizing IT Tools for Efficient Follow-up (e.g., audit management software, tracking tools)
  • Developing Follow-up Checklists and Templates
  • Best Practices for a Structured Follow-up Process

3. Communicating Results of Follow-up Exercise

  • Key Components of a Follow-up Report
  • Writing Clear and Concise Follow-up Reports
  • Techniques for Effective Communication with Stakeholders
  • Presenting Follow-up Findings to Different Stakeholders
  • Real-world Examples of Follow-up Reporting

4. Continuous Improvement

  • Importance of Continuous Improvement in the Follow-up Process
  • Methods for Assessing and Enhancing Follow-up Effectiveness
  • Leveraging Feedback to Improve Audit Processes
  • Monitoring and Reviewing Follow-up Processes Regularly Learning Objectives:

By the end of this seminar, participants will be able to: 

  • Understand the fundamentals and importance of the follow-up process in
  • Develop the skills to design and implement an effective follow-up process, including the use of IT tools.
  • Gain the ability to conduct follow-up checks and gather necessary evidence
  • Learn to communicate follow-up results effectively to various stakeholders through well-structured reports.
  • Embrace continuous improvement practices to enhance the effectiveness and efficiency of the follow-up process.

Trainer: 

Isabella Arndorfer (CIA, CCSA, CFSA, mediator) is an experienced Internal Audit and Governance specialist with more than 20 years of experience in the financial sector. She was working as Internal Audit Manager in the Internal Audit Department of the Bank for International Settlements (CH) and at the International Monetary Fund (US) from 2003 to 2023. She has led and conducted audits in the Banking Department, General Secretariat and Monetary and Economic Department, specialising in internal controls and corporate governance issues of financial institutions. She has been a lecturer on internal audit and governance issues at central bank seminars in Asia and Europe as well as at the University of St Gallen (Switzerland). She holds a degree in Business Administration of the University of Economics in Vienna (Austria) and a Masters Degree of International Management from ESADE, Barcelona, Spain. She is a Certified Internal Auditor (CIA), a Certified Financial Services Auditor (CFSA) and holds a CCSA (Certificate of Control Self Assessment) from the Institute of Internal Audit (IIA), Florida, USA. In 2023, she founded the training platform www.cpetrainer.com and has been providing freelance consultancy services in audit, risk management, compliance, and governance.