- 了解内部审计流程
- 风险评估和合规性经验
- 熟悉组织政策和程序
受众
- 内部审计师
- 风险和合规官
- 质量保证专业人员
- 流程改进专家
根本原因分析（RCA）是内部审计师用于确定问题、不合格项目和流程失败的根本原因的系统流程。它帮助组织防止重复发生并推动持续改进。
这门由讲师主导的现场培训（线上或线下）旨在帮助中级内部审计师通过应用结构化的RCA技术来提高他们的审计效果。
培训结束时，参加者将能够：
- 了解RCA方法及其在内部审计中的作用。
- 识别和分析审计发现的根本原因。
- 应用5个为什么、鱼骨图和失效模式及效应分析（FMEA）等RCA工具。
- 根据RCA结果制定纠正和预防措施计划。
- 将RCA整合到内部审计过程中，以改善风险管理。
课程格式
- 互动讲座和讨论。
- 大量的练习和练习。
- 在现场实验室环境中进行动手实施。
课程定制选项
- 要请求这门课的定制培训，请联系我们安排。
根本原因分析(RCA)介绍
- RCA的定义和重要性
- 根本原因的类型：系统性、流程性和人为因素
- 内部审计框架中的RCA
识别和定义审计发现
- 内部审计中的常见问题
- 如何有效地记录发现
- 区分症状和根本原因
内部审计师的关键RCA技术
- 5个为什么方法
- 鱼骨头(Ishikawa)图
- 失效模式及效应分析(FMEA)
- Pareto分析以优先处理根本原因
进行RCA调查
- 收集和分析数据
- 对利益相关者进行事实发现的访谈
- 建立因果关系
制定和实施纠正措施
- 将RCA结果转化为可行的建议
- 设计纠正和预防行动计划(CAPA)
- 确保纠正措施的长期有效性
将RCA整合到内部审计实践中
- 在审计计划和报告中嵌入RCA
- 利用RCA进行持续改进
- 监测和审查RCA结果
案例研究和实践练习
- 审计中RCA的实际例子
- 小组练习：对示例审计结果进行RCA
- 根本原因识别的角色扮演访谈
总结和结论
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