The primary goal of an internal audit is to proactively identify areas of non-compliance and address them before the external audit. While staff testing (B) may occur, it’s not the primary purpose. Fulfilling requirements (C) or marketing (D) is not the focus of an internal audit.
A centralized database allows for real-time tracking of compliance metrics, consolidates data across departments, and generates actionable reports. Manual checklists (A) and paper logs (C) are inefficient and prone to errors, while relying on emails (D) lacks structure.
Before implementing corrective actions (A) or escalating the issue (C), the CAP must conduct a root cause analysis to understand the underlying factors contributing to the trend. Scheduling follow-ups (D) without addressing the issue is premature.
Ongoing compliance requires consistent process review and proactive improvements to maintain alignment with standards. Random audits (A) can be part of monitoring but aren’t sufficient on their own. Waiting for external feedback (C) or fully delegating tasks (D) neglects the CAP’s responsibility.
Effective risk assessment involves identifying and prioritizing risks that pose the greatest threat to compliance and safety. Focusing only on past risks (B) or delegating the task (C) undermines a comprehensive assessment. Addressing all risks equally (D) may waste resources on less critical issues.
