Root Cause Analysis (RCA) for Internal Auditorsのトレーニングコース

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