Root Cause Analysis for Internal Auditors: virtual sessions

Event dates: 08 Mar 2022, 09 Mar 2022



Root Cause Analysis


Learn about key RCA techniques, going beyond the 5 whys technique, including 3 way 5 whys, the fishbone diagram (but with specific Internal Audit categories) and causal loop mapping. With these enhanced techniques learn to see the difference between immediate, contributing and root causes. Learn about the systemic/cultural nature of many issues that IA assignments uncover. Learn also that RCA will not slow down audit assignments and will often help with smarter assignment scoping and shorter and more insightful reporting.


Experienced auditors, audit managers and heads of internal audit.


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 assignments 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.




08/03: 13.00-14.45 and 15.00-16.30

09/03: 09.00-10.30 and 10.45-12.15



Comments about James Paterson from other courses

o Very informative – many thanks

o James have lots of really interesting and useful examples

o Really good overview and great tools, ideas and examples to take away. I really enjoyed it and want to learn more

o James was fantastic. I would certainly recommend courses by him to other colleagues.

o James has a very engaging delivery method.

o James has a very good delivery style and keeps you engaged on the topic being presented. He is also very good at relating to individuals and getting points of understanding.

o Good pace and discussion

o The delivery was really excellent

Root Cause Analysis for Internal Auditors: virtual sessions

2 virtual sessions on “Root Cause Analysis”. Starting on 8 March until 9 March 2022.

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About the facilitator

James Paterson

Director: RiskAI

Former CAE / Head of Internal Audit, offering in-house and open training, workshops and consulting since 2010. Author of the book Lean Auditing, looking at lean/agile ways of working in internal audit. Delivery of internal auditing courses for the the IIA Belgium, IIA Bulgaria, IIA Finland, IIA Estonia, IIA France, IIA Latvia, IIA Lithuania, IIA Luxembourg, IIA Norway, IIA Sweden, IIA Switzerland, IIA Spain, IIA UK. Audit Leadership course for MIS training. Key areas of expertise: RISK ASSURANCE - Assurance Mapping & co-ordination, Auditing Culture; LEAN & AGILE INTERNAL AUDIT - Driving value add, insight and productivity in internal audit; AUDIT TEAM EFFECTIVENESS & DEVELOPMENT - Root cause analysis for internal audit / Preparing for an External Quality Review (EQA) / Internal Auditing in Pharmaceuticals and Biotech companies, high performing teams for internal audit; INFLUENCING AND POLITICAL SAVVY FOR INTERNAL AUDIT Workshops and one-to-one coaching