Correcting non-compliance should focus on which?

• A. Corrective actions and ongoing monitoring
• B. Punish individuals
• C. Documentation only
• D. Delay action

Answer: (A)

Correcting non-compliance should focus on fixing the process and preventing recurrence through corrective actions and ongoing monitoring. The aim is to address root causes, strengthen controls, provide training, update policies, and ensure accountability so that compliance is embedded in daily operations. Implementing corrective actions might include revising workflows, improving segregation of duties, adding or updating checklists, tightening approvals, and reconfiguring systems to enforce required controls. After deploying these changes, ongoing monitoring—through audits, dashboards, spot checks, and regular reviews—confirms that the actions are effective and that non-compliance does not reoccur. Punishing individuals doesn’t resolve systemic gaps and can hinder improvement; relying on documentation alone doesn’t change processes. Delaying action allows risks to continue. For example, if invoicing lacks proper authorization, fix the process by updating the approval workflow, training staff, enforcing system controls, and monitoring to ensure compliance over time.