Tag Archives: Root Cause Analysis & Culture

Culture and behaviour and Auditing Culture

A primer (part 1)

I’ve just run another course on Culture and auditing culture in London with 12 in attendance. This brief article gives a summary of key points concerning common misperceptions, and is offered as a counter-balance to much of what is currently being said about this topic. The second article will discuss specific approaches that, on my analysis, will lead to long-term progress in this arena.

Expectations of those attending

We discussed why people had come to the course and they said:

  • “Our new company is defining its culture, so we want to input to that”;
  • “We have many mergers and acquisitions and see culture issues as businesses try to merge, which we want to better understand”;
  • “We know it’s important, and want to think about a culture audit universe”;
  • “Auditing culture came up as an External Quality Assessment topic, so we want to learn about it”;
  • “Senior stakeholders have been talking about it, so we wanted to know more”;
  • “Our internal audits of risks point to root causes of issues coming from culture, so want to be clearer about what’s going on”;
  • The remaining 6 attendees (50%) explained they had put a culture on their audit plan because it is a current hot topic, and now wanted to be clearer about how to do an audit.
Continue Reading

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

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

Join our mailing list

We will keep you updated with news and events.

Contact

Contact and appointments:

Risk & Assurance Insights
T: +44 (0)7802 868914
Email

Please also use our contact form