Quality Management: Performing a Root Cause Analysis

Root cause analysis is a powerful tool for understanding why quality issues arise, and for preventing them from recurring.

This webcast examines the principles and objectives of a root cause analysis and how it aligns with SQMS No. 1’s focus on continual improvement.

Learn practical approaches for:

• Identifying underlying causes of findings and deficiencies
• Evaluating contributing factors
• Implementing meaningful corrective actions

We’ll also explore how this process can help firms of all sizes to:

• Enhance audit quality
• Strengthen remediation activities
• Foster a culture of proactive problem-solving

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Key Topics

• Broad discussion of root cause analysis, including what a root cause analysis is, how it works, and why it is understood to be an effective tool
• The requirements of SQMS No. 1 (QM section 10) regarding root cause analysis
• Applying the discussed steps of a proper root cause analysis in a real-world scenario
• Documentation considerations for root cause analysis

Learning Outcomes

• Apply the requirements of SQMS No. 1 applicable to monitoring and remediation.
• Determine the purpose and key features of a root cause analysis.
• Analyze the steps in a proper root cause analysis.
• Apply the requirements of SQMS No. 1 and the root cause analysis process to example findings.

Who Will Benefit

• Sole proprietors of audit and assurance firms
• Responsible partners and staff at small- and medium-sized audit and assurance firms