Root Cause Analysis for Auditors (AGRC-054) Training Course

Root Cause Analysis for Auditors

Audit findings that describe only symptoms tend to recur. When auditors identify why a control failed or a problem occurred, their recommendations address the real cause…

5 daysClassroom or online

49Upcoming dates

12Cities

£2,250Fees from

Course overview

Introduction

Audit findings that describe only symptoms tend to recur. When auditors identify why a control failed or a problem occurred, their recommendations address the real cause and deliver lasting improvement. Professional standards increasingly expect internal auditors to consider root causes, and audit committees value insight over lists of exceptions.

This Root Cause Analysis for Auditors training course equips auditors with practical techniques for moving beyond the condition to understand underlying causes. Participants learn structured methods such as the five whys, fishbone diagrams, fault trees and barrier analysis, along with ways to consider people, process, technology and cultural factors.

The course also shows how to gather evidence on causes, work collaboratively with auditees, write findings that explain cause and effect convincingly and identify themes across multiple audits.

Course Objectives

By the end of this training course, participants will be able to:

Explain why root cause analysis improves audit value
Distinguish condition, criteria, cause and effect in findings
Apply the five whys and fishbone techniques
Use fault tree and barrier analysis for complex issues
Consider human, cultural and systemic causes
Gather and validate evidence on causes
Write findings with clear root causes and targeted recommendations
Identify thematic root causes across audits

Target Audience

This training course is suitable for a wide range of professionals, including:

Internal auditors at all levels
Audit managers and team leaders
Quality and compliance auditors
Risk management professionals
Investigators and inspection staff
Process improvement specialists

Training Methodology

The course is practical and case-driven. Participants apply each technique to realistic audit scenarios, work in teams to analyse causes, practise interviewing for causes and rewrite sample findings. Group discussion explores the challenges of root cause analysis in real audit environments.

Target Competencies

Structured cause analysis
Evidence-based reasoning
Cause-focused interviewing
Finding writing
Thematic analysis
Collaborative problem solving

Course outline

1Day One: Why Root Causes Matter in Auditing

The cost of recurring findings and superficial recommendations
Professional expectations on root cause analysis
The anatomy of an audit finding: condition, criteria, cause and effect
Symptoms, contributing factors and root causes
Planning root cause work within an audit
Common barriers to effective root cause analysis
Exercise: identifying causes in sample findings

2Day Two: Core Techniques

The five whys technique and its limitations
Fishbone diagrams and cause categories
Process mapping to locate failure points
Pareto analysis for prioritising causes
Change analysis and comparison techniques
Choosing the right technique for the issue
Workshop: applying techniques to an audit case

3Day Three: Advanced and Human Factors Analysis

Fault tree analysis for complex failures
Barrier analysis and the layers of control
Human error, workload and behavioural factors
Culture, incentives and tone at the top as causes
Systemic and organisational causes
Avoiding blame and hindsight bias
Case study: analysing a significant control breakdown

4Day Four: Gathering Evidence and Working with Auditees

Interviewing techniques that uncover causes
Using data analysis to test cause hypotheses
Validating causes with process owners
Facilitating root cause workshops with management
Handling disagreement about causes
Documenting root cause work in audit files
Role play: a cause-focused interview with an auditee

5Day Five: Reporting and Thematic Insight

Writing findings that explain cause and effect clearly
Designing recommendations that address root causes
Agreeing realistic management action plans
Identifying themes across multiple audits
Reporting thematic insights to audit committees
Following up to confirm that causes have been addressed
Personal action plan for applying root cause analysis

Frequently asked questions

How long is the Root Cause Analysis for Auditors course?

The course runs over 5 days of classroom training, usually Monday to Friday.

When is the next Root Cause Analysis for Auditors course?

The next public date is 7 - 11 Dec 2026 in Barcelona. There are 49 upcoming dates in total.

Where is this course held?

Upcoming sessions run in Barcelona, Frankfurt, London, Kuala Lumpur, Madrid, Munich, Paris, Rome, Amsterdam, Cape Town, Geneva, Istanbul.

Can I take Root Cause Analysis for Auditors online?

Yes. Every date can also be joined live online in a virtual classroom with the trainer, for £1,280 per participant. Choose "Live online" in the dates table when you register.

How much does the course cost?

Fees start from £2,250 per delegate, depending on the city. Fees include tuition and course materials.

Do participants receive a certificate?

Yes. Delegates who complete the course receive a London Leadership Management Innovation certificate of completion.

Can this course be delivered in-house for our team?

Yes. LLMI can tailor and deliver this course privately for your organisation at your premises or in one of our training cities.

Course information last updated 14 November 2026.

Root Cause Analysis for Auditors

Course overview

Introduction

Course Objectives

Target Audience

Training Methodology

Target Competencies

Course outline

Dates and fees

Frequently asked questions

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