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Course Outline
Introduction to Root Cause Analysis (RCA)
- Definition and strategic importance of RCA
- Categorizing root causes: systemic, process, and human elements
- The position of RCA within the internal audit framework
Identifying and Defining Audit Findings
- Recurring issues in internal audits
- Best practices for documenting findings clearly
- Differentiating between surface-level symptoms and underlying root causes
Core RCA Techniques for Internal Auditors
- The 5 Whys Method
- Fishbone (Ishikawa) Diagram
- Failure Mode and Effects Analysis (FMEA)
- Pareto Analysis for prioritizing root causes
Executing an RCA Investigation
- Collecting and interpreting relevant data
- Conducting stakeholder interviews to uncover facts
- Establishing cause-and-effect linkages
Formulating and Implementing Corrective Actions
- Converting RCA insights into actionable recommendations
- Structuring corrective and preventive action plans (CAPA)
- Sustaining the long-term efficacy of corrective measures
Embedding RCA in Internal Audit Practices
- Integrating RCA into audit planning and reporting cycles
- Leveraging RCA for ongoing improvement
- Tracking and evaluating RCA outcomes
Case Studies and Practical Drills
- Real-world applications of RCA in auditing
- Group activity: Performing RCA on sample audit findings
- Role-play scenarios for identifying root causes
Summary and Next Steps
Requirements
- Foundational knowledge of internal auditing processes
- Practical experience in risk assessment and compliance
- Familiarity with existing organizational policies and procedures
Target Audience
- Internal auditors
- Risk and compliance officers
- Quality assurance specialists
- Process improvement experts
14 Hours
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