Course information

This training translates a post-failure finding in board oversight after regulatory findings into a controlled remediation programme. It explains how to document the deficiency, determine criticality, and run a CAPA process that produces traceable evidence. Learners practise selecting corrective actions that eliminate root causes and preventive measures that prevent drift, supported by challenge and approval, risk appetite impact, and supervisory engagement.

 

The course highlights typical supervisory findings when CAPAs are weak, including unclear ownership, missing validation, and premature closure. Participants finish with an inspection-ready template approach that can be applied immediately. Practical examples are used throughout the course to illustrate how organisations typically fail in this area, such as incomplete remediation plans, poorly defined ownership, or evidence that cannot be reproduced during inspections. The course explains how these weaknesses are identified during audits, supervisory reviews, or testing exercises, and how they translate into concrete findings.

 

Learners work through realistic remediation scenarios, including how to prioritise actions based on criticality, how to document decisions in a way that can be reconstructed months later, and how to demonstrate that preventive measures remain effective after organisational or technical changes.

In this course, you should learn to:

• Structure a CAPA register entry for failures in board oversight after regulatory findings.
• Select corrective measures targeting the root cause with evidence. 
• Specify preventive improvements covering board reporting and risk appetite impact. 
• Define closure criteria that require independent validation.
• Demonstrate sustained effectiveness through periodic review cycles.

Practical CAPA execution guide for board oversight after regulatory findings failures, from root cause to prevention and supervisory-ready proof.

• Board members
• Senior management
• CIO and CISO
• ICT Risk
• IT Operations
• Security
• Data Office
• Internal Audit
• Vendor Management

120 minutes