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Developing Effective Corrective Action Plans March 2, 2011. Annette Moreno Pendergast ESD Cris Cable & Roger Walter Auditor General’s Office. Who Needs Corrective Action Plans?. Everyone! Google Search Almost 2 million hits in less than 1 second Articles, templates, examples
Cris Cable & Roger Walter
Auditor General’s Office
Look at what it takes to get past
the Good Intentions
to get to the Good Results!
Percentage of study participants maintaining their resolutions over time:- after 1 week: 75%- after 2 weeks: 71%- after 1 month: 64%- after 6 months: 46%
After you determine there is a problem you…
b. Blame it on your predecessor.
c. Create a Corrective Action Plan.
Our thanks to Carmen Covey, from the Department of Defense, Missile Defense Agency for letting us use her slides as a starting point for our presentation.
Corrective – A practical strategy to resolve the problem
Action – Active steps we can realistically accomplish
Plan – Organized, purposeful, accountable, measurable
Now we have a Plan!
A journey of a thousand miles begins with a single step.
Now I get it!
*Internal or external auditor finding may already be specifically stated.
Business Manager may have general oversight of entire CAP.
Area supervisors & district/school level clerks are also involved.
So who’s in charge?
It’s a joint effort, but make sure everyone
knows their individual responsibilities!
Weakness: The Capital Assets List is not current as capital acquisitions and disposals were not reconciled to the Capital Assets List last year.
Reconcile the Capital Assets List.
Solution or Step?
What if the CA clerk doesn’t know how to reconcile the list?
What if there isn’t a list of acquisitions and disposals from last year?
How do you eat a ten pound Hamburger? One bite at a time.
a. The District will determine if acquisition and disposal (A&D) lists were prepared
b. If not prepared, the District will obtain information from A/P and approved disposal forms
c. The District will prepare the A&D lists
d. The District will reconcile the Capital Assets list to the A&D lists
e. The District will resolve any differences.
Many hands make light work in the kitchen or at the office!
When will each step be done?
What does DONE mean?
a. By DATE, NAME will determine if acquisition and disposal (A&D) lists were prepared and report back to WHO (MR = @DATE did NAME report back?)
b. If not prepared, by DATE, NAME will obtain acquisition information from NAME 2 and approved disposal forms from NAME 3 (MR [email protected] does NAME have Info?)
c. By DATE, NAME will prepare the A&D lists and provide a copy to WHO (MR = @DATE is A&D list done?)
Put these components together and you get ….