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Course Outline
Introduction to Root Cause Analysis (RCA)
- Definition and significance of RCA
- Categories of root causes: systemic, procedural, and human elements
- RCA within the internal audit framework
Identifying and Defining Audit Findings
- Frequent challenges in internal audits
- Effective documentation of findings
- Differentiating between symptoms and 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
- Data collection and analysis
- Stakeholder interviews for fact-finding
- Establishing cause-and-effect relationships
Developing and Implementing Corrective Actions
- Converting RCA findings into actionable recommendations
- Designing corrective and preventive action plans (CAPA)
- Guaranteeing the long-term success of corrective actions
Integrating RCA into Internal Audit Practices
- Incorporating RCA into audit planning and reporting
- Leveraging RCA for continuous improvement
- Monitoring and reviewing RCA results
Case Studies and Practical Exercises
- Real-world examples of RCA in auditing
- Group activity: Performing RCA on sample audit findings
- Role-playing interviews for root cause identification
Summary and Next Steps
Requirements
- Foundational knowledge of internal audit procedures
- Background in risk assessment and compliance
- Knowledge of organizational policies and procedures
Target Audience
- Internal auditors
- Risk and compliance professionals
- Quality assurance specialists
- Process improvement experts
14 Hours
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