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Course Outline
Introduction to Root Cause Analysis (RCA)
- Definition and importance of RCA
- Types of root causes: systemic, process, and human factors
- RCA in the internal audit framework
Identifying and Defining Audit Findings
- Common issues in internal audits
- How to document findings effectively
- Distinguishing between symptoms and 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
- Gathering and analyzing data
- Interviewing stakeholders for fact-finding
- Developing a cause-and-effect relationship
Developing and Implementing Corrective Actions
- Translating RCA findings into actionable recommendations
- Designing corrective and preventive action plans (CAPA)
- Ensuring long-term effectiveness of corrective actions
Integrating RCA into Internal Audit Practices
- Embedding RCA in audit planning and reporting
- Using RCA for continuous improvement
- Monitoring and reviewing RCA outcomes
Case Studies and Practical Exercises
- Real-world examples of RCA in auditing
- Group exercise: Conducting RCA on sample audit findings
- Role-playing interviews for root cause identification
Summary and Next Steps
Requirements
- Basic understanding of internal auditing processes
- Experience in risk assessment and compliance
- Familiarity with organizational policies and procedures
Audience
- Internal auditors
- Risk and compliance officers
- Quality assurance professionals
- Process improvement specialists
14 Hours
