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Course Outline
Introduction to Root Cause Analysis (RCA)
- Defining RCA and exploring its significance
- Classifying root causes: systemic, process, and human elements
- Positioning RCA within the internal audit framework
Identifying and Defining Audit Findings
- Addressing common challenges in internal audits
- Best practices for documenting findings
- Differentiating between surface-level symptoms and deep-rooted causes
Key RCA Techniques for Internal Auditors
- Utilizing the 5 Whys Method
- Constructing Fishbone (Ishikawa) Diagrams
- Conducting Failure Mode and Effects Analysis (FMEA)
- Applying Pareto Analysis to prioritize root causes
Conducting an RCA Investigation
- Collecting and interpreting relevant data
- Engaging stakeholders through fact-finding interviews
- Establishing clear cause-and-effect linkages
Developing and Implementing Corrective Actions
- Converting RCA insights into actionable recommendations
- Crafting corrective and preventive action plans (CAPA)
- Sustaining the long-term impact of corrective measures
Integrating RCA into Internal Audit Practices
- Incorporating RCA into audit planning and reporting cycles
- Leveraging RCA to drive continuous improvement
- Tracking and evaluating RCA results
Case Studies and Practical Exercises
- Examining real-world RCA applications in auditing
- Collaborative exercise: Performing RCA on sample audit findings
- Role-playing scenarios for identifying root causes
Summary and Next Steps
Requirements
- Foundational knowledge of internal auditing processes
- Practical experience in risk assessment and compliance
- Acclimatization to organizational policies and procedures
Target Audience
- Internal auditors
- Risk and compliance officers
- Quality assurance professionals
- Process improvement specialists
14 Hours
Testimonials (1)
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