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Course Outline
Introduction to Root Cause Analysis (RCA) for Government
- Definition and importance of RCA in the public sector
- Types of root causes: systemic, process, and human factors within government operations
- The role of RCA in the internal audit framework for government agencies
Identifying and Defining Audit Findings for Government
- Common issues encountered in internal audits for government entities
- Best practices for documenting findings effectively within the public sector
- Techniques for distinguishing between symptoms and root causes in a governmental context
Key RCA Techniques for Internal Auditors in Government
- The 5 Whys Method adapted for government use
- Fishbone (Ishikawa) Diagram tailored for public sector applications
- Failure Mode and Effects Analysis (FMEA) for government processes
- Pareto Analysis to prioritize root causes in governmental settings
Conducting an RCA Investigation for Government
- Methods for gathering and analyzing data within government agencies
- Best practices for interviewing stakeholders to gather facts in a public sector context
- Techniques for developing a cause-and-effect relationship in governmental investigations
Developing and Implementing Corrective Actions for Government
- Strategies for translating RCA findings into actionable recommendations within government operations
- Designing corrective and preventive action plans (CAPA) tailored for public sector use
- Ensuring the long-term effectiveness of corrective actions in governmental settings
Integrating RCA into Internal Audit Practices for Government
- Embedding RCA in audit planning and reporting processes within government agencies
- Using RCA to drive continuous improvement in public sector operations
- Monitoring and reviewing the outcomes of RCA efforts in governmental contexts
Case Studies and Practical Exercises for Government
- Real-world examples of RCA applied in government auditing
- Group exercise: Conducting RCA on sample audit findings from a public sector perspective
- Role-playing interviews to identify root causes in a governmental setting
Summary and Next Steps for Government
Requirements
- Fundamental knowledge of internal auditing processes for government
- Experience in risk assessment and compliance within public sector environments
- Familiarity with organizational policies and procedures applicable to governmental operations
Audience
- Internal auditors for government agencies
- Risk and compliance officers in the public sector
- Quality assurance professionals serving governmental entities
- Process improvement specialists within federal, state, and local governments
14 Hours
