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Course Outline
Introduction to Root Cause Analysis (RCA)
- Defining RCA and its significance
- Categorising root causes: systemic, procedural, and human elements
- The position of RCA within the internal audit framework
Identifying and Defining Audit Findings
- Typical challenges encountered in internal audits
- Best practices for documenting findings
- Differentiating between surface-level symptoms and deep-rooted causes
Essential RCA Techniques for Internal Auditors
- The 5 Whys Method
- Fishbone (Ishikawa) Diagram
- Failure Mode and Effects Analysis (FMEA)
- Leveraging Pareto Analysis to prioritise root causes
Executing an RCA Investigation
- Collecting and interpreting relevant data
- Conducting stakeholder interviews for factual discovery
- Establishing clear cause-and-effect links
Formulating and Deploying Corrective Actions
- Converting RCA insights into practical recommendations
- Structuring corrective and preventive action plans (CAPA)
- Verifying the long-term efficacy of implemented actions
Embedding RCA into Internal Audit Practices
- Integrating RCA into audit planning and reporting cycles
- Utilising RCA to drive ongoing improvement
- Tracking and evaluating RCA results
Case Studies and Practical Workshops
- Real-world illustrations of RCA in auditing contexts
- Group activity: Performing RCA on representative audit findings
- Simulated interviews for practising root cause identification
Recap and Recommended Next Steps
Requirements
- Foundational knowledge of internal auditing processes
- Practical experience in risk assessment and compliance matters
- Familiarity with internal organizational policies and procedures
Intended Audience
- Internal auditors
- Risk and compliance officers
- Quality assurance specialists
- Process improvement consultants
14 Hours
Testimonials (1)
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