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    Category Archives: Root Cause Analysis

    Resource: Sub-section of Internal Audit Effectiveness

    New Book on Root Cause Analysis and Systems Thinking

    New book: “Beyond the Five Whys: Root Cause Analysis and systems thinking,” published by Wiley in November 2023. 

    Over the past 10 years, I have been working increasingly on Root cause analysis with a number of clients. This work has resulted in a range of approaches which have proved to be powerful in ‘cracking’ many long-standing problems across a range of different contexts.

    The results of these efforts are now encapsulated in this book in overview form which seeks to cover both root cause analysis techniques and ways of thinking systemically. To bring home key messages board members, senior executives, and a range of other colleagues (from public service, medicine, aviation, manufacturing, and internal audit) have been prepared to speak, often for the first time, about some of the subtle ways that you can do 90% of the right things and still end up with a big problem or set-back. The book also covers insights from a range of public inquiries, including 9/11, the 2007-2008 financial crisis, Grenfell Tower and going back to the two inquiries into the Titanic tragedy of 1912. As you will discover, neither the iceberg, nor the crew, nor the number of lifeboats were root causes for that tragedy.

    The book is written for a general audience but includes Appendices covering the implementation of Root cause analysis in an organisation as well as guidance for audit professionals who want to get to the bottom of problems (whether these are significant, or just recurring minor setbacks).

    Root Cause Analysis for Internal Auditors

    Root Cause Analysis for Internal Auditors

    I ran another Root Cause Analysis (RCA) workshop this week in London, with participants from the Financial services sector, Oil and Gas and Public sector. All those attending agreed that proper RCA was important to get to the heart of issues and to enable Internal Audit to provide insights, but none had done any formal training of any length on the topic and most had no explicit, consistent, RCA methodology defined.

    We explored the root causes of how such an important topic could be relatively neglected, which includes its absence from current IIA standards, and came up with themes that I have heard on many other workshops, ranging from: “As auditors we have a natural instinct about root causes” to “There is limited time during assignments to do a proper RCA” to “Robust RCA would highlight quite sensitive matters and put us into conflict with management”. Continue Reading

    Root Cause Analysis (RCA) – A refresher

    Root Cause Analysis (RCA) –
    A refresher

    Over the past 15 years working in the internal audit arena I have seen a growing interest in the topic of Root Cause Analysis (RCA). My involvement in the topic has evolved from using it as part and parcel of a “lean auditing” approach, to running RCA workshops and consulting advice across Europe. I was also responsible for helping the IIA UK to up-grade its guidance on Root Cause Analysis (published in 2015). Over the past 12 months I have delivered open and in-house courses in the UK, France, Norway, Switzerland and even Mauritius!

    This post provides a refresher on this important topic with some key pointers to help you benchmark your current approach. Continue Reading

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