Question: Are audit findings, non-conformities, and corrective actions tracked through a structured CAPA process?

Why This Matters

Without tracking and verification, audit findings remain paper records. A formal CAPA cycle ensures root causes are addressed and controls strengthened.

Maturity

0 — Unaware
No system for tracking findings.

1 — Ad Hoc
Spreadsheets with manual updates.

2 — Defined
CAPA form and approval workflow documented.

3 — Managed
Root cause analysis performed and closure verified.

4 — Integrated
CAPA linked to risk register and management reviews.

5 — Optimized
Automated tracking and CAPA effectiveness scoring.

How to Level Up

From → To	Actions
0 → 1	Collect all findings into single log.
1 → 2	Adopt CAPA form with owner and deadline.
2 → 3	Perform root cause analysis for each major finding.
3 → 4	Review CAPA status in management meetings.
4 → 5	Automate reminders and measure CAPA effectiveness.

Enablers

People: Quality Manager, CISO, Audit Lead
Process: Record → Analyze → Correct → Verify
Technology: GRC tool or shared workflow system

Evidence

CAPA log with root cause column
Closure evidence
Management review notes

KPIs

Number of CAPAs open vs closed
Average closure time (days)
CAPA effectiveness score

Low-Cost / Open-Source Options (MSME)

Purpose	Tool	Notes
Workflow	Odoo Community / Airtable	Approval and status
Analytics	Metabase	Trend and aging
Storage	Nextcloud	Evidence repository

Common Pitfalls

CAPAs closed without verification
No root cause identified
Actions not linked to risks

Compliance Mapping

Standard	Clauses / Notes
ISO/IEC 27001	10.1 (Non-conformity and CAPA)
DPDP Act 2023	Sec 10 (Accountability)
NIST CSF 2.0	GV.MA-03 / IM.ME-03
NIRMATA Mapping	CA-Q04 closes the loop on audit findings.