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    Internal auditors can use various tools and techniques during audits to analyze data, monitor processes, evaluate performance, and identify opportunities for improvement. These include histograms to illustrate distributions, control charts to track variation over time, SIPOC maps to understand inputs and outputs in a process, and the 5 Whys to find the root cause of issues. RACI charts, communication plans, and mistake-proofing principles can also be employed to increase accountability, information sharing, and prevent errors. Conducting audits in this way helps businesses accomplish their goals and manage risks more effectively.

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    Internal auditors can use various tools and techniques during audits to analyze data, monitor processes, evaluate performance, and identify opportunities for improvement. These include histograms to illustrate distributions, control charts to track variation over time, SIPOC maps to understand inputs and outputs in a process, and the 5 Whys to find the root cause of issues. RACI charts, communication plans, and mistake-proofing principles can also be employed to increase accountability, information sharing, and prevent errors. Conducting audits in this way helps businesses accomplish their goals and manage risks more effectively.

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    110 views2 pages

    9 Chapter6

    Uploaded by

    Keanne Armstrong
    Internal auditors can use various tools and techniques during audits to analyze data, monitor processes, evaluate performance, and identify opportunities for improvement. These include histograms to illustrate distributions, control charts to track variation over time, SIPOC maps to understand inputs and outputs in a process, and the 5 Whys to find the root cause of issues. RACI charts, communication plans, and mistake-proofing principles can also be employed to increase accountability, information sharing, and prevent errors. Conducting audits in this way helps businesses accomplish their goals and manage risks more effectively.

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    Chapter 6

    QUESTIONS
    1. How can internal auditors use histograms during internal audits?
    Internal auditors can present large amounts of data that are difficult to interpret in tabular form, they
    can then show the frequency of occurrence of the various data values and quickly illustrate the
    distribution of the data.

    2. How can management use control charts as part of their ongoing monitoring activities?
    Control charts used in this study track the variation of progress and man-hours expenditure against
    deliverables/employee. They are intended to provide continuous and live status of variation as time
    progresses.

    3. How can internal auditors use takt time during internal audits?

    Not only is an internal audit important for ensuring information security and regulatory compliance, but
    it’s also a valuable way to evaluate company performance and manage risk. It is a helpful tool for
    businesses of all types. An internal audit assists an organization in defining areas where it could improve,
    while also providing information it needs to accomplish its goals.
    4. How can the 5S model be used during an operational audit?
    5S audit is the process of evaluating the proper implementation of 5S in the workplace. Conducting 5S
    audits help ensure that the workplace is consistently the 5S principles

    5. How can management use RACI charts to improve accountability in operating units?
    A RACI Matrix template is important because it holds people accountable for processes and ensures that
    all those that should be involved with a process decision are properly involved in the RACI process. Most
    notably, a RACI Matrix is important for process improvement projects so that process roles can be
    assigned, process changes can be properly communicated and those who are communicated to are
    necessary to the process conversation. Identifying all the key stakeholders involved within a RACI
    process is a huge advantage because it makes it easy to capture an accurate map of the current process
    and implement a successful continuous process improvement project.

    6. Describe the benefits of a communications plan and a communications matrix.


    A good communication plan for a project should consider what type of information is being shared, who
    is it being shared with, and how often this information sharing is happening. A communication matrix is
    a document summarizing the communication management plan for a project.

    7. What are the elements of an SIPOC map and how can using it improve the understanding of a unit
    under review?
    SIPOC is a tool that summarizes the inputs and outputs of one or more processes in table form. It’s an
    acronym that stands for Supplies, Inputs, Process, Outputs and Customers.
    As internal auditors apply risk-based auditing techniques to their reviews and increase their focus on the
    needs of customers to achieve organizational aims, it is essential to gain a panoramic understanding of
    the process.

    8. Explain how using the principles of Poka Yoke/mistake proofing can help further the goal of
    preventing errors, accidents, and operational breakdowns.
    The value of using Poka-Yoke is that they help people and processes work right the first time, which
    makes mistakes impossible to happen. These techniques can significantly improve the quality and
    reliability of products and processes by eliminating defects.

    9. Describe how the 5 Whys can be used to identify the root cause of an operational issue.
    A five Whys can be used to identify the root cause of an operational issue. This DMAIC refers to (Define,
    Measure, Analyze, Improve, Control) are the phases of Six sigma which can help to increase in
    operation's performance and can helps to lead defects reduction.

    10. What are the benefits of RCA?

    RCA brings together causes from diverse sources and links them via logical relationships. It removes
    sensitivities, focuses thinking, and facilitates review. Effective solutions become clear and opportunities
    for company-wide learning and memory are maximized.

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