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One Day Seminar: Root Cause Analysis for Auditors

Course Code: IAD409 CPE Hours: 8
Course Start Date: January 23, 2019 Course End Date: January 23, 2019
Time: 9.00 AM - 5.00 PM Registration Deadline : January 17, 2019
Level of course: Level 1 Trainer: Stan Dormer
Competency areas: Internal Audit Delivery [IAD] Course venue: M Hotel Singapore/Oasia Hotel Novena
Course fee (IIA/ ISACA member): $770.40 (Inclusive of GST) Course fee (non-member): $995.10 (Inclusive of GST)
Other Memberships valid for discount: 10% off non-member rate for ISCA and ACCA member
Lunch Provided: Yes Tea Break: Yes
Course Overview:

Internal auditors have to create reports that are clear, logical and convincing. Building compelling content calls for a good understanding of issues, and a clear identification of problems. This course will show you how to incorporate matter that has a greater impact and adds genuine value to your organisation.
The seminar is accompanied by an indexed manual that includes full course text, examples, and strategies for auditors to use in root cause analysis.

The seminar is suitable for auditors who are involved in internal audit reviews.

Course description :

Upon completion you will be able to:
• Identify the causes behind audit issues, not just the symptoms of the problem
• Drive management to remediate issues in a manner that will be sustainable
• Understand how an audit methodology can be improved in order to deliver value-adding results
• Write better reports that assist management to control risk

Risk and audit – the connection
• Auditors, risk and line management – relationships and interactions promoted through modern audit approaches
• From objective to risk in business – making the connections

Root cause analysis – why this is important
• Practice advisories concerning root cause analysis from the IIA
• Why root cause analysis? The primary aim of root cause analysis

Understanding root cause
• Identifying triggers that are the precursors of problems
• Trigger conditions, control failures, downstream impacts
• Visualisation techniques that make you think differently about process, risk and causality
• Performing root cause analysis – the high level process – defining the problem and selecting an approach

Root cause analysis and analytical techniques
• The leading why questions – simple cause and effect diagrams – using freehand techniques
• Cause and effect chronological modelling beginning with a single defined problem
• Risk narratives – the ‘leading to’ expression in risk statements
• Risk narratives – the ‘due to’ expression in risk statements
• There can be more than one root cause
• Fishbone analysis – to help organise multiple risk related factors
• Themes for a fishbone analysis - generating a fishbone to suit your particular industry or sector
• Fishbone cause and effect models organised according to the timeline
• Fault trees – a different way of looking at the problem
• Exploring people factors and factors that are not related to people
• Probing into role related factors – understanding and using RACI tables

Describing root cause in an audit report
• Root cause analysis: bringing the results into an audit report effectively and simply
• Process and causality maps in audit reports
• Driving management to take corrective action against root cause (s)
• Capturing better information about processes to help produce more relevant audit reports

Mr Stan Dormer, BSc FIIA, is a recognised expert in the field of auditing, risk, information systems technologies and governance.

The Director of Education and Training for Mindgrove, UK Stan's career spans more than three decades of professional assignments. Stan's work has included research, risk and project management, IT security, compliance and auditing and the development of training and learning systems.
Internationally respected, Stan is highly regarded for his innovation, knowledge and enthusiasm within his subject areas.

A fellow of the Chartered Institute of Internal Auditors and co-founder of the Institute's COMPACS series of conferences that ran for 21 years, Stan runs a variety of annual training programmes on the Institute's behalf.

Stan is the author of numerous IT articles and publications, as well as primary learning programmes supporting professional level qualifications (MIIA, PIIA, QiCA, CISA) for auditors. With his in-depth knowledge and expertise, Stan has run Master-Classes at numerous conferences including: SOPAC IIA Australia and NZ; Europe's biggest computer security event – COMPSEC; the Institute of Chartered Accountants' IT specialist forum – CHARTAC; CIPFA events; global ISACA events; the all-Ireland series of Computer Audit and Security Conferences – COSAC; the pan-African information security and control conferences – ISM; and the member meetings of The Open Group and the ACE Audit Automation series of conferences.

Stan was the inventor of the first practical Resident Continuous Audit Monitoring system embedded in an operating system. His developments include an integrated risk driven audit methodology, a formal approach to the development of Enterprise Risk Architectures, and most recently the successful development and use of Process Engineering methods in Auditing.

You can utilise the training credits which will expire on 31 May 2019 for this training/seminar,etc. Please contact to verify the availability of your training credits.

Payment by PayNow transfer

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Group Discount
Register as a group of 4 or more participants for the same course and enjoy a 10% group discount!
Applicable for participants from the same company registered within the same day. Discount will be indicated and processed on a single invoice.

Terms and Conditions
1. Registered participants will be liable for the full fee even in the event of non-attendance.
2. A processing fee of $100 will be imposed for any cancellation. Cancellation must be submitted in writing 7 days prior to the event date and subject to IIAS’s approval. Substitutions will be permitted and conditions will apply.
3. All registrations must "Proceed to Payment" to complete registration. Full payment must be received prior the course commencement.
4. Contact Person will be notified VIA EMAIL upon successful registration of the course.
5. Complimentary parking will be provided on a first-come-first-served-basis.
6. IIAS reserves the right to revise the programme as necessary.
7. IIAS reserves the right to cancel or postpone the training should the minimum class size is not met.


A system generated email will be sent upon successful registration of the mentioned seminar.
Once the course is confirmed, an email confirmation will be sent to the registrants’ contact email addresses 1 week prior to the course commencement date
If you do not receive any email notification regarding your course registrations, please call IIA Academy at 6324 9030/31.

Registration Closed.