Root Cause Analysis: Part 2 - OAG224WEB

Root Cause Analysis: Part 2 OAG224WEB

Root Cause Analysis: Part 2 - OAG224WEB

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Root Cause Analysis: Part 2 - OAG224WEB


This is a two-part series, and each session is independent of the other. You may register for one or both. Part 2 covers ways to determine if the system/process/functional area is operating as intended, if not, how to identify the source of the irregularity and the implications. It covers how to add it to audit work, a model for the analysis, biases that impede progress, tools, and ways to develop critical thinking.

Who Should Attend

Internal Auditors motivated to resolve persistent problem.


  • None

What You’ll Learn

You will learn key tips, tools, and techniques to identify the root cause of problems and formulate effective solutions.


1. Root Cause Analysis Context: We discuss the importance of:

  • Starting with great audit work
  • Employing systematic, disciplined approaches
  • Involving stakeholders from the beginning

2. Five Steps of Root Cause Analysis: The five steps are described as they relate to problem-solving and process-improvement. Also emphasized is the importance of maintaining auditor independence and objectivity, especially at step 5.

  • Define the problem
  • Collect data
  • Identify possible causal factors
  • Identify the Root Cause(s)
  • Recommend (and Implement) Solutions

3. Problem Solving Blocks and Biases: This section explores known “thinking problems” and where they might appear in the RCA process. We also talk about whether auditors and/or clients might be more vulnerable to these pitfalls.

4. Creative and Critical Thinking: We consider and contrast divergent and convergent modes of thinking.

5. Overview of Root Cause Analysis Techniques: More than a dozen RCA tools are reviewed or described. The instructor gives examples of how some have been used in audits. Participants are encouraged to give their own examples, as well.

Why You Should Attend

You should attend because Root Cause Analysis (RCA) methods and approaches should be part of every internal auditor’s toolkit.

ACI Learning is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: