ThinkGRC Action Items Management Reporting
Action Item Management Reporting is a critical aspect of the overall Incident/Problem and Root Cause Analysis Program.
Action Items Management Reporting establishes a mechanism to track the execution and effectiveness of your overall Action Item activities.
As a best practice, Action Items Management Reporting can be broken down into two views “Tracking” and “Metrics”. The Tracking view is meant to show and facilitate the assignment, status and implementation of Action Items. The Metrics view is meant to show trends, performance and effectiveness of Action Items.
We recommend that all reporting has a highly flexible capability to search, filter, and group Action Items by all fields within the Action Item Data Record and by the Incident/Problem/RCA Data Classifications. In addition, all data must be able to be searched, grouped and summarized by dates and date ranges for Incidents/Problems/RCA and Actions.
Action Item Reporting Tracking View:
- Data should be presented in grid/table view and displaying by the primary filter:
- Reference to Incident/Problem/RCA (ID) (Name/Description)
- Action Item Description
- Priority (e.g. High, Medium, Low)
- Target Date
- Completed Date
- Assigned To: (Operational Area/Department)
- Assigned To: (Individual/Person)
- Action Status (e.g. Not Started, In Progress, Completed, Overdue)
- Corrective or Preventative Classification
- Estimated Cost
- Actual Cost
- Approved By (if approval is required)
- Post implementation review assessment
Action Items Reporting Metrics Views:
- Data should be presented in summary form via chart/graph:
- Number of Actions by Action Status in total and per date range (e.g. daily, monthly, quarterly, yearly etc.)
- Number of Actions by Action Status and Assigned To: (Operational Area/Department)
- Number of Actions by Action Status and Assigned To: (Individual/Person)
- Number of Actions by Status and Priority
- Number of Actions by Corrective and/or Preventative Classification
- Number of Action created per Number of Incidents
- Number of Actions Corrective or Preventative per Type of Incident
- Number of Actions Corrective or Preventative per Incident Priority
Trends in Action Items Reporting
It is important to note that when first implementing and training on an Incident/Problem/RCA System that there will be an increased level of reporting compared to the previous period(s). The greatest increase will occur from the implementation & training period through the next 6 months and then will tend to taper and decrease a year out from implementation & training. At that point, we recommend conducting a refresher training.
Over the first three years of program implementation, there will tend to be a year over year increase in reporting and at about the three year mark, Incidents/Problems will begin to taper and decrease due to the effectiveness of the RCA & Actions being implemented. The trend in Actions will be similar. In all cases, it is important to look at both the absolute numbers and average to normalize the data overtime to determine true effectiveness and trends.
Action Items Trend Report Samples
Please note that all of the provided samples should be viewed based on a time range and/or frequency such as as monthly, quarterly or yearly and filtered/grouped as required.
Action Items by Status
The following report gives an important overall view of the Status of Actions at any given time. The importance of this view is mainly ratios. At any given time, you want to ensure that there are larger proportions of Action Items “Completed” or “In Progress” and minimal portions of Action Items “Not Started” or “Overdue”. If the proportions of “Overdue” or “Not Started” are increased it is recommended that you reinforce the importance of the Action Items Program through communications and training.
Action Items by Status and Priority
The following report gives an important overall view of the Status of Actions at any given time per Priority. Once again, the importance of this view is mainly ratios, but the focus should be on Priority. Our recommendation is to focus on “High” & “Medium” Priority Actions and ensure that the correct proportions of Action Status are in-line with operational goals.
Action Items by Status and Assigned To: (Operational Area/Department)
The following report gives an important view of Actions Assigned To: (Operational Area/Department) displayed by Status. This report should be used to monitor and track the engagement of an Operational Area/Department. If the ratio of “Not Started” and “Overdue” Actions starts to trend to an increase then it is recommended to that you reinforce the importance of the Action Items Program through communications and training.
Action Items by Status and Assigned To: (Individual/Person)
The following report gives an important view of Actions Assigned To: (Individual/Person) displayed by Status. This report should be used to monitor and track the engagement of Individuals/Personnel responsible for the execution of Actions. If the Actions are “Not Started” or “Overdue” it is recommended that you directly follow-up with the Individual/Personnel or their Management to reinforce the importance of the Action Items Program through communications and training.
Action Items – Percent Corrective vs. Preventative
The following report gives valuable insight into the maturity of internal management systems. As an Action Items best practice, it is recommended that for every Incident/Problem and therefore Root Cause that a minimum of at least one Corrective Action and one Preventative Action be assigned to the remediation plan.
The ratio of Corrective to Preventive Actions can provide insight into the maturity of internal management systems and therein provide areas of focus. In general, the ratio can be viewed as the following, if the ratio of Corrective Actions is larger than Preventative Actions then the organization will tend to be more immature in their management systems specifically in the design and engineering of products/services/process. In the reverse, when the ratio of Preventative Actions is greater than Corrective Actions, it can be implied that the management systems are more mature in that the organization is less in a “break fix” mode and more in a place where the organization can focus on the implementation/enhancement of culture, people, procedures, processes and technologies to mitigate and/or avoid future Incidents/Problems.