Charles,
Great points! Accountability is key and I like your comment about analyzing previous plans if they were unsuccessful in preventing subsequent findings to avoid making the same mistake twice.
Traci Lee
1.Each finding should be clearly documented with the students name, program designation and date of finding.
2. Stand-alone explanation of why the finding occurred.
3. Policy and procedure that will be put in place to correct finding and avoid repeat of same finding in the future.
A corrective action plan serves several functions. It acknowledges the process that needs improvement, it identifies the department/person responsible, it establishes a plan to correct the finding and it sets a time frame to accomplish the objective. The action plan also sets the accountability chain in place to not only correct the previous mistakes but also to change the process and prevent the mistakes from repeating themselves in the future. If the findings are repeat findings, then an analysis of the previous plans will also need to be reviewed for effectiveness and creditability
Reference the finding. Agree or disagree with the finding. State the changes or modifications implemented to the procedure or process relevant to correct the deficiency. State the timeline for implementation and the timeframe for expected results. Name the person responsible to implement and oversee the corrective action plan.
A corrective action plan should include action items and next steps to rectify the findings identified during the audit review. In addition to the elements previously mentioned on the discussions boards, a campus should consider re-testing as an ongoing practice the findings to ensure such have been remediated.
Corrective Action Plan:
*Identify and acknowledge the finding, dated
*State reason behind the finding (if able)
*List corrective action(s) to take place
*Date corrective action took affect
*Include any documentation supporting correction
*Action Plan to avoid future findings
*Staff training documentation, if applicable
*Signature/Date of staff member responsible for completing corrective action plan
The corrective action plan should include the department's plan to correct each problem found during the audit. It should include updated copies of any revised process procedures (SOP's) that employees will follow in order to prevent the findings from reoccuring.
A corrective action plan should contain the original "findings", the steps taken to mitigate and procedures set in place to avoid future misgivings.
The findings; specific plans on how each finding will be resolved; which dept or person will be responsible for ensuring resolution; a reasonable timeframe for the new procedure to be implemented
These departments definitely all have documents that are critical and one may impact another. For example, records maintained by the registrar's office may impact financial aid eligibility.
I would include everything related to very sensitive departments like: Financial Aid, Registrar and Bursar Office also, because they wokr all the time with students information.
Certain elements are required for each corrective action plan related to an audit finding.
Required elements are listed below:
• Reference to Finding Control Number
• Statement of Concurrence or Nonconcurrence- Each organizational unit should provide a
statement of concurrence or nonconcurrence with the findings and recommendations. If your
organization does not agree with a finding, specific information should be provided by your
organization to support its position.
• Corrective Action - The plan should provide pertinent comments on the detailed action taken or planned to correct the deficiencies in the audit findings, or a statement, as appropriate, which describes the reasons that corrective action is unnecessary.
•Contact Person- Officials responsible for completing the proposed actions should also be
identified. Please indicate the name, title, telephone number, fax number, and e-mail address of the responsible official.
I guess should be of this way:
1. Audit Repor Number
2. Finding number
3. Finding
4. Corrective action taken or to be taken
5. Department Response
6. Additional Comments
7. Department Contact Resposible for corrective actions.
obviously this is just an example but in reality there are a variety of examples depending on the objective of the audit
The corrective action plan should include the following for each finding:
1) Cause of finding
2) Policy change impacting the finding
3) Procedure change impacting the finding
4) Corrective action needed to implement change
5) Training details if necessary
6) Timeline associate with desired outcome
7) Measureable goals including baseline measures and a way to determine if the corrective action has been successul
In regards to a corrective action plan in response to audit findings, an important first step is to find the root cause of the identified deficiency. Once the root cause has been identified, a plan to rectify the problem should be put in place with goals, measures of success and a timeline. A system of verification should also be included to prove that the process has been improved or problem has been rectified. This ensures that steps are being put into place to avoid a recurrence.
Ashley - well stated. Such displays of actual implementation of new processes provides solid evidence versus a list of things "to do" at a later time.
The corrective action plan should outline what has been done to become compliant, provide exhibits of the new procedure along with completed examples that show the revision has come to fruition and is being implemented.
I agree Jennifer, internal audits are a great way to indentify any mistakes or problem areas and address them.
Very thorough answer, Nick. Nice job!
A corrective plan should include identification of the root cause of the finding, a determination of the way to prevent or correct the finding going forward, a detailed action plan to implement the solution, a timeline that the various steps of the action plan will be completed, and a suggested time and method for verifying the new process is in place and has corrected the finding.
