SRCA-M01-LE Systemic Root Cause Analysis – Module 01 An Introduction (law enforcement)

Scroll down to the bottom to access the lessons.

Course Overview

Organizations need to prevent, detect, and respond to fraud and similar risks from control failures. They must also learn from their own as well as others’ events to prevent future, unnecessary risks and repetition of avoidable losses and subsequent harms. Systemic root cause analysis is a problem-solving approach that seeks to move past the evaluation of immediate symptoms to instead identify latent and more problematic causes which lie behind events.

This online, self-paced course will center around actual events to familiarize and educate participants in how their organizations can effectively identify control breakdowns causes. In addition, they will learn how to diagnose and isolate systemic risks that all too often lead to unnecessary losses and their impacts.

Learning Objectives

Students will learn to: 

  • understand the value and challenges of systemic root cause analysis; 
  • familiarization with the sentinel event review approach and broader concepts of root cause analysis; 
  • understand concepts of critical thinking, and then apply them to professional judgment in auditing, accounting, and governance scenarios; 
  • common symptoms and characteristics of fraud; 
  • hands-on exercises in the use of tools and techniques found in systemic root cause analysis; 
  • considerations for implementation, linkage to existing risk management, and auditing activities; and 
  • accountability for managers, finance, and audit professionals. 


  • 24/7 access to courses through your Internet browser;
  • Save time and quickly earn CPE credits with instant access; 
  • Qualified assessment (quiz) grading after each lesson; 
  • The flexibility to start or stop a course and pick-up right where you left off; and
  • A printable CPE certificate at the end of the course upon successful completion.

Qualified Instructor

Paul Dunlop, MPS, CAMS


Basic and Introductory -  Program knowledge level most beneficial to students new to a skill or an attribute. These individuals are often at the staff or entry level in organizations, although such programs may also benefit a seasoned professional with limited exposure to the area.

Pre-Requisites Required

Experience: None

Advance Preparation: This course uses the following applications:

  • spreadsheets such as MS Excel or Google Sheets;
  • word processor such as MS Word or Google Docs; and
  • PDF reader such as Adobe Acrobat. 

Students will be required to use the software of their choosing during the exercise portion of the lesson. Therefore, prior to starting the course, students will need to be able to access the software during certain lessons in order to be able to complete the course. 

CPE Hours

The recommended CPE credit for this course is 10.0 CPE hours in the below indicated fields of study.

Credit Hour

One credit hour is equal to fifty minutes of participation in a program of learning.

Claiming CPE Credit

The receiving organization where you submit the certificate of completion has final authority on the acceptance of the individual courses for CPE credit. To be eligible for CPE credit, you must complete each lesson in the course, successfully pass the final exam with at least an 80% score, and submit the ending evaluation within one year of purchase date. You may only claim CPE credit for a course once.

Fields of Study

This course may be submitted for consideration for continuing professional education (CPE) credit under the following fields of study:

We Want to Know

Have you submitted this course to an organization and the CPE credit was accepted by another organization? We want to know the organization's name, website, and field of study. Please email us with the details at [email protected]

Instructional Method

QAS Self Study. This is an online self-study, computer-assisted learning course. 


  • “Fraud Doctor®” is a registered trademark of Fraud Doctor LLC. 
  • “MS Excel®” and "MS Word®" are registered trademarks of Microsoft Corporation. 
  • “Google SheetsTM” is a web-based spreadsheet program with a registered trademark of Google.
  • "Google DocsTM" is a web-based word processing program with a registered trademark of Google.
  • "Adobe Acrobat" is a PDF application with a registered trademark of Adobe.  


We have compiled a list of Frequently Asked Questions, go to:

We answer common questions regarding password reset, how to contact the support team, information on the refund policy, and more. 

Course Publication

  • This course was originally published on September 2, 2020
  • The most recent revision date was September 2, 2020
  • This course was last reviewed by the technical reviewer, Alexis C. Bell, MS, CFE, on September 2, 2020

Course Syllabus

Course Information

Background and History

Assessing Investigations Skills

Critical Thinking


Fraud Management Ways of Thinking

Cause and Effect - Five Whys

Cause and Effect - Ishikawa

Evolution of Root Cause Analysis

Cause and Effect - Complex Problems and Advanced Cause & Effect

Control Design & Managing Change

Challenges in Implementing Root Cause Analysis

Course Final Exam, Evaluation & CPE Certification

Join SRCA-M01-LE Systemic Root Cause Analysis – Module 01 An Introduction (law enforcement) Now!