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
Go to Vendor Compliance → Audits and choose "Network audits" or "Audits for <your company>".
Click "Create with AI". Upload your audit document via drag & drop or "Choose file...". Optionally, you can attach the corresponding CAP file in the below field. For both, ensure that the files meet the supported formats (PDF, XLSX, DOCX) 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 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. To change a detail, click the value to edit it. Then click "Create an audit and continue".
Additional information
If you click "Continue in the background", processing continues in the background. If you close the dialog without it, the analysis stops.
You’ll see progress updates under "AI processing" in the top bar or in 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
If you added a CAP file, the step "Review CAP Import" lists each finding with its suggested actions. Decide which actions to keep by selecting them, or leave them out. If needed, edit CAPAs manually via the pencil icon.
Once selected, click "Create selected items".
In the last step, choose Go to audit page, Create a plan from actions or Finish and upload more audits.
Important to note: Only the creator of an action can delete that action.
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 optionally assignees, a due date and tags. The responsible company, source type and source are pre-filled from the audit. Click "Create Plan".
To add the actions to the plan, click "Add Existing Actions" in the "Actions" section and you can choose from all actions that have been created in relation to the audit findings. Optionally, you can also create new actions with "Create new action".
Step 4: Collaborating in CAPAs
To set clear responsibilities, define for each action an assignee ("Assigned to") and add "Collaborators" 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
When your supplier submits a remediation, the action changes to In Review. The remediation message and uploaded files are shown in the box Remediation submitted for review at the top of the action.
Once you have checked the evidence and proofs uploaded by your supplier(s) and considered their remarks and additional information in the comment section, click "Mark as done".
If you do not agree, click "Request changes", 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".
You can also set the status yourself in the details on the right. The statuses are To Do, In Progress, In Review, and Done.
