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Course Outline
Introduction to Root Cause Analysis (RCA)
- Definition and importance of RCA
- Types of root causes: systemic, process, and human factors
- RCA in the internal audit framework
Identifying and Defining Audit Findings
- Common issues in internal audits
- How to document findings effectively
- Distinguishing between symptoms and root causes
Key RCA Techniques for Internal Auditors
- The 5 Whys Method
- Fishbone (Ishikawa) Diagram
- Failure Mode and Effects Analysis (FMEA)
- Pareto Analysis for prioritizing root causes
Conducting an RCA Investigation
- Gathering and analyzing data
- Interviewing stakeholders for fact-finding
- Developing a cause-and-effect relationship
Developing and Implementing Corrective Actions
- Translating RCA findings into actionable recommendations
- Designing corrective and preventive action plans (CAPA)
- Ensuring long-term effectiveness of corrective actions
Integrating RCA into Internal Audit Practices
- Embedding RCA in audit planning and reporting
- Using RCA for continuous improvement
- Monitoring and reviewing RCA outcomes
Case Studies and Practical Exercises
- Real-world examples of RCA in auditing
- Group exercise: Conducting RCA on sample audit findings
- Role-playing interviews for root cause identification
Summary and Next Steps
Requirements
- Basic understanding of internal auditing processes
- Experience in risk assessment and compliance
- Familiarity with organizational policies and procedures
Audience
- Internal auditors
- Risk and compliance officers
- Quality assurance professionals
- Process improvement specialists
14 Hours
Delivery Options
Private Group Training
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- Pre-course call with your trainer
- Customisation of the learning experience to achieve your goals -
- Bespoke outlines
- Practical hands-on exercises containing data / scenarios recognisable to the learners
- Training scheduled on a date of your choice
- Delivered online, onsite/classroom or hybrid by experts sharing real world experience
Private Group Prices RRP from €4560 online delivery, based on a group of 2 delegates, €1440 per additional delegate (excludes any certification / exam costs). We recommend a maximum group size of 12 for most learning events.
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