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Root Cause Analysis Techniques for Auditors

The Institute of Internal Auditors (IIA) - Baltimore Chapter

Friday, November 9, 2018 from 8:00 AM to 5:00 PM (EST)

Root Cause Analysis Techniques for Auditors

Ticket Information

Ticket Type Remaining Sales End Price Fee Quantity
Members   more info 58 Tickets Nov 9, 2018 $175.00 $0.00
Non-Members 58 Tickets Nov 9, 2018 $225.00 $0.00

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Event Details

Session Title - Root Cause Analysis Techniques for Auditors




Session Objectives:

Upon completion of this session, participants will be able to:


  •  Use two techniques -- the 5 whys and the 4 Ps to identify the root cause of the risk event, control gap or execution issue, or problem, 
  •  Differentiate between isolated incidents and audit exceptions,
  • Describe the opportunities to use root cause analysis during an audit,
  • Help management recommend creative and viable solutions to address the root cause of audit concerns,
  • Evaluate their test results more quickly and easily to determine root cause,
  • Review ways to include root cause descriptions in audit observations.



Date: Friday, November 9, 2018

Time: 8:30 – 5:00 (Registration starts at 8:00)

Notes: Continental Breakfast, Lunch and Coffee Breaks included


NotesContinental Breakfast, Lunch and Coffee Breaks included


CPE Credits Available: Attendance at this course will make you eligible for up to 8 Continuous Professional Education hours, depending on the number of sessions you attend. CPE certificates will be distributed at the completion of the Conference. It is imperative you provide an accurate e-mail address when you register.


The Insitutute of Internal Auditors Baltimore Chapter is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its web site:


Field of Study: Personal Development 


Delivery Method: Group Live


Program Level:  Basic. There are no prerequisites or advance preparation needed.          


Refund Policy and Complaint Policy: For more information regarding our administrative policies, such as our refund policy and complaint policy, please visit our website>Policies or contact yan McNamara, VP of Programs at or 410-562-5355.            



Speaker Bio: 


Ann M. Butera, CRP is President of The Whole Person Project, Inc., an organizational development consulting firm. She is a frequent speaker at internal audit conferences and has worked with audit departments of all sizes to provide auditors with the tools and techniques needed to improve risk management practices within their organizations.  Ann is regularly cited in Who’s Who and has been honored by Women On The Job with the Business Achievement Award.  She is a member of the IIA, the American Society for Training and Development, the Association of Government Accountants, and the National Association of Corporate Directors. She served as Supervisory Committee Chair for a financial services firm.


Ann Butera received her Masters of Business Administration in Organizational Development from Adelphi University.  She holds a CRP (Certified Risk Professional) designation from BAI, and is a Summa Cum Laude graduate of Long Island University/C.W. Post College.


Ann has published her first book, “Mastering the Five Tiers of Audit Competency: The Essence of Effective Auditing”. In it, she shares best practices for every stage of the audit and explains how and why the most effective auditors master five essential competencies. New and seasoned auditors will benefit from her insight culled from over 30 years’ experience training thousands of their peers.

 IIACommunity Outreach: 


St. Vincent de Paul’s mission is to “ensure that those impacted by poverty have the skills and resources to achieve their full potential.” To that end, the organization has several programs in the area, including a soup kitchen, homeless services, employment training, early childhood education, and healthy food access. When you attend this training, please consider donating one or more of the following items to help this organization continue its good work. 

·      Packaged proteins - tuna, salmon, chicken, beans, peanut butter

·      Fruits and juices - fruits in light syrup, apple sauce, juice boxes

·      Breakfast - cereal, oatmeal, quick oats, granola/cereal bars

·      Canned soups and stews

·      Full size shampoos, soaps, toothpaste, deodorants, etc.

·      New or gently used children’s books, coloring books, crayons, paint, color pencils, etc.

·      Cleaning supplies and paper towels


For more information on this organization, visit


For more information regarding this event or our administrative policies such as complaint and refund, please visit our website -> Policies or contact Ryan McNamara, VP of Programs at or 410-562-5355.

Have questions about Root Cause Analysis Techniques for Auditors? Contact The Institute of Internal Auditors (IIA) - Baltimore Chapter

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When & Where

The Conference Center at the Maritime Institute
692 Maritime Boulevard
Bridge Room, Bldg 3
Linthicum Heights, MD 21090

Friday, November 9, 2018 from 8:00 AM to 5:00 PM (EST)

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