Root cause analysis and CAPA

2 Day/s

CPD Hours: 14

Classroom, online, in-house

This course provides an introduction to the requirements of systematic failure investigation (FI) and corrective and preventive action (CAPA) practices as described in ICH Q9 and made a regulatory requirement in Europe by Annex 20 of the Guide to GMP, and in the USA by the Federal Register/FDA Guidance for Industry.


The course is focused on company responsibilities within a quality risk management system, and several investigational tools are explored to help build up knowledge of techniques that might be used by a company to provide a structure for systematic investigation of failure. Numerous exercises are run throughout the course to provide realistic examples of events requiring investigation, providing an opportunity to practice investigation and writing up of corrective actions within teams. Examples of the use of, and outputs from, more complex techniques are presented.

This course is suitable for personnel involved in risk assessment, failure investigation, root cause analysis and CAPA management at policy maker or practitioner levels in the organisation.

This course includes the following topics :


  • Failure Investigations and Regulatory Expectations
  • Current Regulatory Findings – recent data from FDA & MHRA
  • Documenting Failure Events
  • Investigation of Failure Events – Root Cause Analysis
  • Investigation of Failure 2 - OOS
  • Risk Assessment and Management
  • Risk Management Tools
  • Pareto Analysis
  • CAPA
  • Monitoring, Interim reports
  • Quality System Interactions

    By the end of the course you will be able to:


    • Understand the regulatory background to FI and CAPA
    • Understand risk analysis
    • Understand the use of FI in both prospective and reactive situations
    • Understand tools and techniques that can be used in FI to identify probable root cause
    • Understand the requirements of a CAPA system for effective implementation of actions
    • Appreciate the importance of documenting the
    • Identify company policy and procedure required to meet regulatory requirements
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Meet the tutors

Andy Martin

A microbiologist with over 35 years experience, Andy Martin has worked in numerous QA management roles, spanning a range of sterile and non sterile dosage forms, and gained valuable experience in regulatory inspections, failure investigation, risk assessment and operational excellence activities including Lean Six Sigma Kaizen events.

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