Lesson 10 - Follow-up & Closure

Question 1

Whose responsibility is it to issue a corrective action plan?

Answer 1

The Auditee’s, in response to a corrective action request.

Justification Required

Question 2

T or F

A corrective action plan should be issued at the specified time agreed to by the auditor and the auditee.

Answer 2

T

Question 3

A corrective action plan answers who, what, when, and where in what six steps?

Answer 3

1. Define the Problem
2. Remedial Action - initial containment
3. Measurement and Data Gathering
4. Solutions
5. Action Plan (Do, Check, Analyze)
6. Responsibilities and Completion Date

Question 4

T or F

Auditors need not be aware of an auditee’s follow-up steps and their implementation

Answer 4

F

Question 5

Review of a corrective action plan is the responsibility of the _________, per contracts, procedures, and expected guidelines.

Answer 5

Auditor

Question 6

Review of the corrective action plan may be optional for _________ ________, but mandatory for management certification during ________ ________ audits.

Answer 6

internal audits / 3rd party

Question 7

T or F

The corrective action plan (CAP) reviewer only verifies relevance and adequacy of plan or actions, but does not approve them.

Answer 7

T

Question 8

T or F

CAPs that are not approved should be accompanied by a signature, reason for disapproval, and recommendation of an alternate solution.

Answer 8

F - No alternate solution(s) should be offered.

Question 9

T or F

When developing audit procedures, there should be a plan included for dealing with unresponsiveness during the follow-up phase.

Answer 9

T

Question 10

During the follow-up phase be fair, objective, give the benefit of doubt, yet always ________ ________ ________ to measure progress and have credible information.

Answer 10

keep accurate records

Question 11

Corrective action(s) can be verified via:

1.
2.
3.

Answer 11

1. Subsequent Audits
2. Specific Follow-up Audit
3. Implementation & Performance Records Examination

Question 12

T or F

Corrective action verification should be conducted within 30 days of acceptance.

Answer 12

F - Generally during subsequent audits

Question 13

Who determines the need for a follow-up audit and when should it be conducted

Answer 13

The Client

Following sufficient for CA implementation.

Question 14

When assessing the effectiveness of a corrective action, use of auditors is controversial because of:

1.
2.

Answer 14

1. Auditor Competence
2. Liability increase to auditing org.

For this class it is assumed that corrective actions should be reviewed.

**Assessing corrective actions is very controversial for the above reasons.

Question 15

Review of corrective action effectiveness considers whether the process achieves the _______ _______ and is _______, meaning it efficiently meets the stated objectives.

Answer 15

desired result / capable

Question 16

T or F

Correcting problems found in 2nd and 3rd party audits is optional.

Answer 16

F

Question 17

What are the three reasons corrective actions are persistently ineffective?

Answer 17

1. Corrective action program problems
2. Lack of resources
3. Lack of Management commitment

Question 18

T or F

Working papers and formal documents associated with the audit are maintained following audit closure.

Answer 18

F - Only formal documents should be retained. Working papers should be securely discarded.

Question 19

T or F

Corrective action implementation is not a fixed time period, but a timely, specified time period based on importance and availability of resources.

Answer 19

T

Question 20

The statement, “Fundamental underlying reason for multiple occurrences of an issue/problem that often lead to systemic issues”, describes what?

Answer 20

Root Cause Analysis (RCA)

Question 21

Under what two circumstances might a client deem a corrective action is not needed?

Answer 21

1. Isolated incident

2. Problem does not meet threshold set by org.