Root Cause Analysis

The U.S. Department of Justice's Criminal Division's Evaluation of Corporate Compliance Programs (Updated September 2024) includes the following statement in the section dedicated to criteria by which to evaluate whether an institution's compliance program works in practice:

A hallmark of a compliance program that is working effectively in practice is the extent to which a company is able to conduct a thoughtful root cause analysis of misconduct and timely and appropriately remediate to address the root causes. (III. C., p. 21)

Tulane's Compliance & Ethics Work Group and its Compliance Partners have engaged subject matter experts at ThinkReliability to create examples of how to use Cause Mapping®, a key tool in effective root cause analysis.  Click here for a 15.5-minutes summary of two examples.

To learn more about root cause analysis and Cause Mapping®, please contact us or speak with a Compliance Partner in your area of activity at Tulane.