A CAPA report is a systematic document used to record a problem or deviation from workplace policies or procedures, determine its root cause, implement immediate corrective measures to prevent recurrence, and plan preventive actions to avoid similar issues in the future. It is used when operational incidents, employee complaints, audit findings, or policy noncompliance arise.

• Corrective Action: Addresses an issue that has already occurred; removes the root causes of the problem.
• Preventive Action: Aims to stop potential issues before they happen, often through changes in policy, training, or early detection measures.

Typical sections include:

• Definition and description of the issue (who, what, when, where, how)
• Root cause analysis (e.g. the “5 Whys” method)
• Specific corrective actions: who will do what by when
• Proposed preventive actions: changes to policies, training, periodic reviews
• Timelines and deadlines
• Owner(s) responsible for execution
• Effectiveness checks (how to verify that the actions worked)
• Review and approvals documentation

Examples:

• The “5 Whys” technique to dig into underlying causes
• Categorization by people, processes, policies, environment
• Analyzing attendance and performance data for recurring patterns
• Conducting interviews with involved parties to gather qualitative evidence

Integrating the CAPA report into HRMS can make the process measurable and traceable:

• Using an electronic form within HRMS to lodge the report
• Assigning tasks and deadlines to owners
• Linking training or corrective outcomes to employee training records
• Displaying KPIs like time to closure and number of open cases in dashboards

Typically:

• The report owner is often HR Director or Compliance Officer
• The initial report may be raised by the direct supervisor, employee relations team, or service desk
• Stakeholders such as training, labor relations, and direct management should be involved for practical and effective resolution

Useful metrics include:

• Average time to close cases
• Percentage of actions completed by their deadlines
• Rate of non-recurrence (how many issues do not reoccur over a follow-up period, e.g. 6 months)
• Number of cases escalating to disciplinary action
• Satisfaction level of involved parties with the process

Write a clear, objective description: who was involved, what happened, when and where, supported by evidence (records, correspondence, witness statements). Use numbers if available (e.g. number of complaints, error rates). Avoid subjective judgments in this section. Clarity speeds up root cause analysis.