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Course Outline
Introduction to Root Cause Analysis (RCA)
- Defining RCA and its critical importance
- Categorizing root causes: systemic, process-related, and human elements
- The role of RCA within the internal audit framework
Identifying and Defining Audit Findings
- Common challenges encountered in internal audits
- Best practices for effective documentation of findings
- Differentiating between surface-level symptoms and underlying root causes
Key RCA Techniques for Internal Auditors
- The 5 Whys Method
- Fishbone (Ishikawa) Diagram
- Failure Mode and Effects Analysis (FMEA)
- Pareto Analysis for prioritizing root causes
Conducting an RCA Investigation
- Data collection and analytical approaches
- Stakeholder interviews for gathering factual information
- Establishing clear cause-and-effect relationships
Developing and Implementing Corrective Actions
- Converting RCA insights into practical recommendations
- Designing corrective and preventive action plans (CAPA)
- Sustaining the long-term impact of corrective measures
Integrating RCA into Internal Audit Practices
- Embedding RCA within audit planning and reporting cycles
- Leveraging RCA to drive continuous improvement
- Monitoring and reviewing the outcomes of RCA initiatives
Case Studies and Practical Exercises
- Real-world applications of RCA in auditing contexts
- Group activity: Performing RCA on representative audit findings
- Role-play scenarios for identifying root causes
Summary and Next Steps
Requirements
- Foundational knowledge of internal auditing workflows
- Practical experience in risk assessment and compliance management
- Familiarity with established organizational policies and procedures
Target Audience
- Internal auditors
- Risk and compliance officers
- Quality assurance specialists
- Process improvement professionals
14 Hours
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