Root Cause Analysis (RCA) for Internal Auditors Training Course

Overview of Root Cause Analysis (RCA)

• The definition and critical importance of RCA
• Classifying root causes: systemic, procedural, and human elements
• The position of RCA within the internal audit framework

Recognising and Defining Audit Findings

• Typical challenges encountered in internal audits
• Best practices for documenting findings
• Differentiating between surface-level symptoms and underlying root causes

Essential RCA Techniques for Internal Auditors

• The 5 Whys approach
• The Fishbone (Ishikawa) Diagram
• Failure Mode and Effects Analysis (FMEA)
• Using Pareto Analysis to prioritise root causes

Executing an RCA Investigation

• Collecting and interpreting data
• Engaging stakeholders to gather factual evidence
• Establishing clear cause-and-effect connections

Creating and Executing Corrective Actions

• Converting RCA insights into practical recommendations
• Crafting corrective and preventive action plans (CAPA)
• Sustaining the long-term efficacy of corrective measures

Embedding RCA in Internal Audit Operations

• Incorporating RCA into audit planning and reporting cycles
• Leveraging RCA to drive continuous improvement
• Tracking and evaluating RCA outcomes

Case Studies and Practical Workshops

• Real-world applications of RCA in auditing contexts
• Group workshop: Performing RCA on sample audit findings
• Role-play interviews to practice root cause identification

Recap and Forward Planning