Course Code: rcaia
Duration: 14 hours
Prerequisites:
  • 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
Overview:

Root Cause Analysis (RCA) is a systematic process used by internal auditors to identify the underlying causes of issues, non-conformities, and process failures. It helps organizations prevent recurrence and drive continuous improvement.

This instructor-led, live training (online or onsite) is aimed at intermediate-level internal auditors who wish to enhance their audit effectiveness by applying structured RCA techniques.

By the end of this training, participants will be able to:

  • Understand RCA methodologies and their role in internal auditing.
  • Identify and analyze the root causes of audit findings.
  • Apply RCA tools such as the 5 Whys, Fishbone Diagram, and Failure Mode and Effects Analysis (FMEA).
  • Develop corrective and preventive action plans based on RCA findings.
  • Integrate RCA into the internal audit process to improve risk management.

Format of the Course

  • Interactive lecture and discussion.
  • Lots of exercises and practice.
  • Hands-on implementation in a live-lab environment.

Course Customization Options

  • To request a customized training for this course, please contact us to arrange.
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

Sites Published:

United Arab Emirates - Root Cause Analysis (RCA) for Internal Auditors

Qatar - Root Cause Analysis (RCA) for Internal Auditors

Egypt - Root Cause Analysis (RCA) for Internal Auditors

Saudi Arabia - Root Cause Analysis (RCA) for Internal Auditors

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