What is the process for follow up of corrective actions?

Execute Corrective Actions

Corrective actions are taken to eliminate the cause of any non-conformity detected or other undesirable situations. This series of activities are to be undertaken:

• The Auditee responds to non-conformities using the corrective action report
• The Auditee is responsible for planning, implementing, and monitoring the corrective action plan
• Identification/agreement of non-conformity detected
• Use root cause analysis to review the issues
• Schedule for action to:
  • Solve problem
  • Implement solution
  • Evaluate effectiveness
• Re-audit to verify

Corrective Action Procedures

These are the sample sequence of corrective action procedures:

• Monitor program and evaluate performance.
  • Monitor and evaluate how actual incidents are handled.
  • Monitor and evaluate program exercises and tests.
• Identify program performance deficiencies in planning, training, equipment and facility.
• Develop, define and clarify each problem statement for each deficiency.
• Assign task groups to develop corrective actions.
• Develop corrective actions to address deficiencies.
  • Establish a development schedule for each action.
  • Review evaluations of previous corrective actions.
  • Identify possible solutions to each problem.
• Formulate options to address each problem.
• Recommend preferred corrective actions.
  • Select a corrective action strategy.
  • Prioritize the actions that should be taken.
• Develop and seek approval for the implementation schedule and resources for each corrective action.
• Provide resources and implement each approved corrective actions.
• Monitor the implementation of corrective actions.
• Test and evaluate corrective actions.

Focus of Re-Audit

This is the re-audit for verifying the previous non-conformity areas:

• Spot check related previous non-conformity areas
• Selected areas in greater depth
• Vary re-audit to meet the needs
• Target non-conformity

Audit Records

The content of a typical set of audit record should include the following:

• Reference and Date(s)
• Department/Operation/Activity
• Scope/Objective
• Auditor Name(s)
• Schedule and Check List
• Issued non-conformities
• Summary
• Wrap-up
• Auditor Notes

Resource

Goh, M. H. (2016). A Manager's Guide to Auditing and Reviewing Your Business Continuity Management Program. Business Continuity Management Series (2nd ed.). Singapore: GMH Pte Ltd.

Extracted from "Stage 4: Audit Follow-up"

Singapore

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