Root Cause Analysis

Seminar Overview

Have you ever communicated a recommendation only to discover the implemented recommendation didn’t resolve the problem? Do you feel like you identify symptoms of problems? Does your organization use the Band-Aid approach to correcting communicated audit findings? If you answered yes to any of these questions, this course is for you.

While management should perform root cause analysis, they often don’t have the time and will simply implement a recommendation provided by the auditors. This means that auditors must complete a root cause analysis. However, identifying the root cause is hard and often overlooked by auditors. Moreover, the root cause may be politically sensitive when communicated by auditors.

Who Should Attend

Internal auditors performing audits, communicating results, and making root cause analysis recommendations (NASBA Field of Study: Auditing).


Workshop Objectives
  • Develop the foundation for effective root cause analysis
  • Understand and apply the root cause analysis methods to problem solving
  • Explore tools and techniques for analyzing causes

I. The Foundation/skills needed for effective root cause analysis
II. Problem identification and problem statements
III. Root cause analysis tools and methods
     a. Brainstorming
     b. Pareto charts
     c. Fishbone / Cause and effect diagrams
     d. The Three Why’s
     e. Mind mapping

IV. Comprehensive Example