Chapter 4: Evaluation Processes, Investigations, and Noncompliance Response

Corrective Action Plans

Auditing and monitoring processes are designed to identify issues and deficiencies. Corrective Action Plans (CAPs) are step-by-step plans designed and implemented to address and correct those issues or deficiencies, as well as facilitate ongoing compliance activities. CAPs may vary in complexity and scope depending upon the level of risk associated with the incident of noncompliance. Generally, however, CAPs follow six phases: identification, evaluation, root cause analysis, action plan development and implementation, and follow-up.

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