Value Proposition: The CAPA template transforms audit findings into a closeable implementation plan: Finding → Root Cause → Corrective Action → Preventive Action → Owner/Due Date → Evidence → Validation → Closure instead of a “list of observations” that recurs due to lack of ownership and verification steps to prove closure.

In 20 Seconds: What Will You Get?

• CAPA Register: Each observation with a unique number + description + classification (Process/IT/Compliance).
• Root Cause: Field for root cause + method of identification (5 Whys / Fishbone) if desired.
• Corrective Action: A corrective action that closes the observation’s cause (not just “we will review”).
• Preventive Action: A preventive action that prevents recurrence (Policy/Control/System change/Training).
• Owner / Due Date: Clear owner + deadline + status (Open/In progress/Implemented/Validated/Closed).
• Evidence Index: Linking each action to its evidence (Policy, system snapshot, report, training log…)
• Validation & Re-test: Verification/re-testing field + result + date + closure sign-off.

CTA related to deliverables: Receive Register + Evidence + Validation to close observations with proof instead of repeating them in the next cycle.

Suitable For

• Internal Audit to follow up on the implementation of recommendations and audit reports and prove closure.
• Compliance/Risk to manage improvement plans across departments with escalation of overdue items.
• Process Owners to break down actions and identify evidence and dates.

Not Suitable For

• Those looking for a “simple To-do list template” without root cause/validation (the value here is in auditable closure).
• Those without a system for evidence or who cannot save attachments (observations will not be convincingly closed).

Without CAPA / With CAPA (Quick Comparison)

Before Use: 5 Symptoms

• Audit observations recur because the “action” was a superficial correction.
• Implementation is delayed due to lack of due date and clear escalation.
• No evidence of closure (document/report/snapshot).
• Mixing observations between multiple departments without specific accountability.
• No re-testing, leaving the risk unresolved.

CAPA Tracker: Implementation Method (3 Steps)

Step 1: Record the Observation and Identify the Root Cause

• Enter the observation (Finding) + classification + impact/severity level.
• Clearly identify the Root Cause (Process gap / System / People / Data).
• Determine if you need Corrective only or Corrective + Preventive.

Step 2: Execution Plan and Follow-up

• Enter actions (CAPA) + owner + closure date + milestones if any.
• Upload/link evidence in the Evidence index (Policy, report, system setup, training…)
• Monitor status and highlight overdue items for escalation.

Step 3: Verify and Close the Observation

• Conduct Validation/Re-test: Is the control working? Did the action prevent recurrence?
• Record the verification result and who approved the closure.
• Establish Sign-off for the reference version of the CAPA register for the period.

Product Components

1. CAPA Register — Observation number, description, classification, severity, owner.
2. Root Cause — Root cause + analysis method.
3. Corrective / Preventive Actions — Actions + verifiable outputs.
4. Milestones & Due Dates — Follow-up points and escalation of overdue items.
5. Evidence Index — Linking documents and evidence.
6. Validation & Re-test — Verification result and re-testing.
7. Sign-off — Reference version and closure.

Delivery Contents

• CAPA register + execution cases.
• Evidence log + links/folders.
• Validation/Re-test + closure approval.
• Overdue log + summary Dashboard.

After Implementation

• Operationally: Each observation has a plan, owner, evidence, and re-test.
• Supervisory: Clear follow-up reports for management on overdue items and their risks.

FAQ

Is it suitable for external auditor observations?

Yes. The source can be classified (Internal/External/ISO/IT) and evidence can be linked to prove closure.

Does it support escalation of overdue items?

Yes, through due date/status fields and Overdue log, and escalation levels can be specified (Dept head/CFO).

Does it include re-testing?

Yes, it does.