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Duration 14 hours
Course Outline
Fundamentals of Root Cause Analysis (RCA)
- Defining RCA and its critical importance
- Classifying root causes: systemic, process-related, and human factors
- The position of RCA within the internal audit framework
Recognizing and Defining Audit Findings
- Common challenges encountered in internal audits
- Best practices for documenting findings effectively
- Differentiating between surface-level symptoms and deep-rooted causes
Core RCA Techniques for Auditors
- Applying the 5 Whys Method
- Using the Fishbone (Ishikawa) Diagram
- Implementing Failure Mode and Effects Analysis (FMEA)
- Prioritizing root causes through Pareto Analysis
Executing an RCA Investigation
- Collecting and interpreting relevant data
- Conducting stakeholder interviews for fact-finding
- Establishing clear cause-and-effect relationships
Creating and Executing Corrective Measures
- Converting RCA insights into actionable recommendations
- Structuring corrective and preventive action plans (CAPA)
- Validating the long-term impact of corrective actions
Embedding RCA into Audit Practices
- Integrating RCA into audit planning and reporting cycles
- Leveraging RCA to drive continuous improvement
- Tracking and reviewing the outcomes of RCA initiatives
Practical Case Studies and Drills
- Real-world applications of RCA in auditing contexts
- Collaborative exercise: Performing RCA on representative audit findings
- Role-play scenarios for identifying root causes
Key Takeaways and Future Actions
Requirements
- Foundational knowledge of internal auditing workflows
- Practical experience in risk assessment and compliance management
- Familiarity with established organizational policies and procedures
Target Audience
- Internal auditors
- Risk and compliance officers
- Quality assurance professionals
- Process improvement specialists
Testimonials (1)
Fun to talk
