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  1. Audit Management
  2. Process
  3. Corrective response and retest
Process · Corrective response and retest

Corrective response and retest

Authorize response release and document the follow-up evidence.

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Step by step

  1. Schedule response Control Owner

    The Control Owner prepares a Scheduled corrective action with a response date and evidence. Link the finding or engagement it addresses and retain any external reference needed to locate the operational change. The Audit Manager should be able to understand the response before opening another system.

    • Prepare a Scheduled action with linked support
    • Updates Corrective actions, Findings, Audit engagements

  2. Release response Audit Manager

    The Audit Manager authorizes release after reading the prepared response. Use the management response action and inspect the transition from Scheduled to Released with its Corrective Action Release receipt. Investigate an uncertain outcome before repeating the command.

    • Change Scheduled to Released and record the result
    • Updates Corrective actions, Operation receipts
    ApprovalA person approves before the work moves on.

  3. Record retest evidence Independent Assurance Reviewer

    The Independent Assurance Reviewer examines the follow-up sample and records its evidence against the finding and control. Enter the sample size and explain what was inspected. Keep the connection to the original issue clear when the response affected several operational records.

    • Retain the follow-up sample and its evidence
    • Updates Retests, Findings, Controls

  4. Record the review judgment Independent Assurance Reviewer

    The Independent Assurance Reviewer records a reasoned decision against the finding or corrective action. If the evidence is inconclusive, explain the further work required. The Audit Manager reviews that explanation before agreeing any later record-state changes under the operating procedure.

    • Preserve the reviewer's decision and reason
    • Updates Review decisions, Findings, Corrective actions

Where it usually breaks

And how to keep it from happening.

  • The corrective response points to an engagement but leaves its intended issue unclear. Explain the connection in the evidence text and check the finding link where applicable.
  • The reviewer receives the original test workpaper when a fresh sample was expected. Agree the retest procedure before collecting evidence.
  • A released response is treated as sufficient evidence of resolution. Read the follow-up material and record the reviewer's judgment.

Who does what

Roles and permissions
Control Owner
, Audit Manager, Independent Assurance Reviewer, Auditor.

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