Live virtual | Root cause analysis

Presented By
James Paterson PIIA With a career in both finance and human resources, James was also the head of internal audit for AstraZeneca PLC from 2002-2009. James has been training, consulting and coaching HIAs and their teams since 2010 and runs a number of key courses for the IIA, including the Head of Audit Induction Masterclass, Root cause analysis for internal Audit and Assurance Mapping. James was a member of the IIA Council and has been invited as a speaker at three IIA International conferences. James has had numerous articles published and is the author of the book Lean Auditing, published by J Wiley in 2015.

Whilst most audit teams believe this is an important area, many teams do not have a structured, systematic approach to root cause analysis, often because of misunderstandings that i) they are already doing it well or ii) that to do it properly will take too much time and effort.

Take this one-day course and learn about key RCA techniques going beyond the useful (but limited) 5 whys technique. Use more powerful techniques to understand the difference between immediate, contributing and root causes to get to real issues, and add insight during internal audits. Understand why “there is never just one root cause” and how effective RCA can actually speed up audit assignment delivery, and the quality of reporting and trend analysis, looking at not just what issues are repeating but why they are repeating.

Who should attend?

Experienced auditors, audit managers and heads of internal audit.

What will I learn?

Upon completion you will be able to:

  • understand key IIA requirements, key root cause analysis techniques beyond the five whys approach and why these are a crucial tool for delivering insight and foresight
  • gain a clearer sense of how an audit methodology can be improved in order to deliver more robust and consistent root cause analysis – recognising there are always at least two root causes for any issue
  • see how effective root cause analysis should not normally slow down an audit assignment but rather help it to be better focussed in the first place
  • understand good practice RCA categories (not culture, tone at the top, or failings by individual employees) and how these can be linked to assessments of organisational culture.

Course programme

Key Chartered IIA guidance

  • the Chartered IIA practice advisory note on RCA.

Four key RCA techniques and how they complement one another

  • key RCA techniques, principally based on lean techniques.

Application of RCA to auditing

  • review of various audit case studies.

Managing time to avoid delays

  • examine the ways RCA can speed up audit assignments not delay them.

Benefits from RCA

  • looking at the ways effective RCA can help deliver shorter, more impactful audit reports with insight and foresight.

Themes and RCA categories

  • the importance of having appropriate RCA categories, so that audit findings can be properly themed - both what and why.

Practical action steps

  • understand how RCA and thematic analysis play a key role in understanding culture and how this also links to political factors.

CPE competency areas covered

  • Critical thinking
  • Improvement and innovation

7 CPE points

Full price

Member: £625 + VAT
Non-member: £840 + VAT

SAVE 20% by undertaking this course virtually

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Live virtual | Root cause analysis

Duration: 1 day

8 September 2020


Start: 09:00
End: 17:00


Live virtual course


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