Disclaimer
There are multiple paths of how the CAPA workflow can be entered. However, this article specifically explains one option that we recommend.
Introduction
We start with an audit and document the findings. Based on these findings, you can either create CAPAs yourself or receive suggestions for them. All CAPAs can then be grouped into a CAP to keep everything well organized and provide a clear overview.
Important to know
Actions are always linked to findings. Every action is connected to a specific finding, ensuring clear context.
Items inherit information from their parent whenever possible meaning that
Actions inherit from findings: When an action is created based on a finding, it automatically takes over the same source as the finding.
Plans pass down assignees: If you assign someone to a plan, that person is automatically assigned to all actions within the plan.
Instructions
Step 1: Upload an audit
Via the Audits tab in the left side bar, choose between uploading an audit for any of your network partners/suppliers or for your own company.
Click the "Upload an audit" button. Upload your audit document via drag & drop or browse. Optionally, you can attach the corresponding CAP file in the below field. For both, ensure that the files meet the supported formats (PDF, DOC, XLSX) and do not exceed 100MB.
Good to know: When uploading an audit report that includes findings and actions, via the AI uploader, you can upload the same file both as an audit and as a CAP by selecting the audit file in each case. This approach is recommended so that we only extract existing information and do not recommend new actions, when the they are already in the document.
Click "Analyze document". A progress indicator shows the status of data extraction either directly in the pop-up or in the background - it is up to you.
Once the document analysis is complete, review the extracted details. Although AI does most of the heavy lifting, reviewing helps ensure accuracy and builds trust in your data. If details need to be changed, click the pencil icon. To save the reviewed data, click "Save" and then "Continue".
Additional information
When you close the audit modal, processing continues in the background.
You’ll see progress updates in a top banner or the Notifications center.
You can reopen the progress view anytime by clicking the banner or notification.
Cancel the processing job
During processing, click ”X” to stop the job and confirm cancellation when prompted.
The job will be removed from the queue, and no results or notifications will be generated.
System resources are immediately freed.
Auto-Dismiss completed banners
Once you click Review Details, the processing banner disappears automatically after 2–3 seconds.
You can still close it manually if you prefer.
Error banners remain until manually dismissed.
Step 2: Creating CAPAs
After the audit findings are extracted, you can decide if you want to keep the AI suggested CAPAs by selecting them or choose to not have them included. If needed, edit CAPAs manually via the pencil icon.
Once selected, click "Create selected items".
Step 3: Creating a CAP
At the end of Step 2, you will have the option to go to the audit page. There, in the Findings tab, all previously selected actions are found in the respective finding.
However, the findings and consequently the resulting actions are not linked to a CAP yet. To change that, click "Create plan".
For the plan creation, input the title (mandatory) and define an assignee, a due date and tag(s) (optional). Click "Create plan".
To add the actions to the plan, click "+ Add existing actions" and you can choose from all actions that have been created in relation to the audit findings. Optionally, you can also create new actions.
Step 4: Collaborating in CAPAs
To set clear responsibilities, define for each action an "Assignee" and a "Collaborator" if needed.
Remember: Adding an assignee triggers notifications.
If you would like to add more info or make remarks for the assignee(s) and collaborator, use the dedicated comment section at the bottom of an action.
Step 5: Finetuning CAPAs
Define severity level
To signal the assignee(s) and collaborator(s) the importance of an action, you can use and adapt the severity level of an action. Hover over the severity field in the right details page within an action. By doing so, your supplier can prioritize working on certain actions.
Impact area
To categorize your actions based on their context, define the impact area. By doing so, you can filter actions based on their impact area. The following areas are available: Impact Areas | Retraced Help Center
Step 6: Completing a CAPA and CAP
Updating status
Once you have checked the evidence and proofs uploaded by your supplier(s) and considered their remarks and additional information in the comment section, you can mark an action as "Done". For this, hover over the status field in the right details page within an action.
If you do not agree, you can comment the action and reject it, so that the supplier can upload other proofs or a different explanation. Once that happens you can approve the remediation and the status changes in "Done".
