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Practical application of key root cause analysis techniques

Presented by: James Paterson

The Global Internal Audit Standards requires that internal auditors implement a methodology for root cause analysis (RCA) as part of their documented audit methodology. It also requires that they report root causes and best practices to senior leaders and the board/audit committee.

Building on the one-day introduction to RCA, this new one-day course helps guide audit teams on how they can apply RCA key techniques in practice.

Who should attend?

  • Auditors and senior auditors (for themselves).
  • Audit managers and audit quality leads (for support as they lead/quality control the work of others).

What will I learn?

Recap of RCA fundamentals:

  • the difference between immediate, contributing and root causes
  • why there can be no such thing as one root cause
  • how to address the question of blame, considering human variability and the Just Culture framework
  • the different types of RCA techniques that exist.

It goes on to look at three out of five of the following RCA techniques most popular with internal audit teams:

  • the Three way five whys
  • the Bowtie diagram
  • the modified Fishbone diagram
  • the fault tree
  • causal loop diagrams; and gives practical help on how to use these techniques
  • on completion you will be confident how to apply three key RCA techniques and be able to explain these to other colleagues.

Course programme

  • hands on use of key RCA techniques examining a range of risk, compliance, and governance examples
  • a clearer understanding of how such analysis can get ‘off track’ and how to correct this
  • making the connection between RCA and understanding best practices in GRC
  • seeing more clearly the pros and cons of different techniques.

CPE competency areas covered

  • Performance (Organisational governance | Risk management | Internal control | Engagements)
  • Environment (Organisational strategic planning and management)

7 CPE points



24 June 2024


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