Audit Quality - Root Cause Analysis

17 July 2024

Webinar: 10:00 AM - 12:00 PM BST

ISQM 1 (the IAASB’s international quality management standard) requires that Root Cause Analysis (RCA) is performed whenever a deficiency is identified in the monitoring activities (eg cold file reviews). But do you really understand how to undertake a root cause analysis and drive quality improvements in your audits?


  • What root cause analysis (RCA) is.
  • When RCA is required.
  • What is a finding and what is a deficiency.
  • How to undertake RCAAsking “Why, why, why?”.
  • Considering category of problems identified.
  • Identifying solutions to the root causes.
  • Recording and tracking implementation of solutions.
  • Examples to illustrate the process.

Audit partners and managers, in particular:

  • Those with responsibilities for monitoring quality within the System of Quality Management for audit and those who are expecting to undertake or supervise root cause analysis.
  • The person with ultimate responsibility for the system of Quality Management for audit, which is the most senior person in the practice.
  • Those carrying out cold file reviews who wish also to be able to conduct root cause analysis.
  • Partners in other areas of the business with a responsibility for quality will also find the course useful.

For more information visit the members only intranet here.

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