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Course Outline
Introduction to Root Cause Analysis (RCA)
- Defining RCA and highlighting its significance
- Categorizing root causes: systemic, procedural, and human elements
- Positioning RCA within the internal audit framework
Identifying and Defining Audit Findings
- Recognizing common challenges in internal audits
- Best practices for documenting findings effectively
- Differentiating between surface-level symptoms and underlying root causes
Core RCA Techniques for Internal Auditors
- The 5 Whys technique
- Fishbone (Ishikawa) Diagram
- Failure Mode and Effects Analysis (FMEA)
- Utilizing Pareto Analysis to prioritize root causes
Conducting an RCA Investigation
- Data collection and analytical methods
- Stakeholder interviews for accurate fact-finding
- Constructing clear cause-and-effect linkages
Developing and Implementing Corrective Actions
- Converting RCA insights into practical recommendations
- Crafting corrective and preventive action plans (CAPA)
- Sustaining the long-term efficacy of corrective measures
Integrating RCA into Internal Audit Practices
- Embedding RCA into audit planning and reporting cycles
- Leveraging RCA to drive continuous improvement
- Tracking and evaluating RCA outcomes
Case Studies and Practical Exercises
- Real-world illustrations of RCA in auditing contexts
- Group activity: Performing RCA on sample audit findings
- Role-play simulations for root cause discovery
Conclusion and Recommended Next Steps
Requirements
- Foundational knowledge of internal auditing workflows
- Practical experience in risk assessment and compliance
- Working familiarity with organizational policies and procedures
Target Audience
- Internal auditors
- Risk and compliance officers
- Quality assurance specialists
- Process improvement professionals
14 Hours
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