Managing Corrective Action Plans

Learn the steps for entering and managing CAPs for your VAP/CMA audit findings.

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CAPs can be managed either directly from the audit record, or via the “My CAPs” (or “Supplier CAPs”) submenu. 

To manage a CAP directly from the audit record, Findings tab:

From the audit record, select Options > Audit Data
From the Findings tab, click [Manage CAP]

To manage a CAP directly from Audit > My CAPs (or Supplier CAPs):

From “My CAPs” (or “Supplier CAPs”), click Options > Manage CAP for the applicable audit record

 

  1. Auditee Enters Corrective Action Plan

With either of the above options, you will be directed to this screen. Here, you may either select Options > Edit CAP to enter your Corrective Action Plan for each finding via the user interface, or you may click [Download Open CAP to Excel] to work on your CAP offline. 

For each finding, you much complete the fields marked by a * (Auditee Contact Name and Email, the Plan Start Date, the Root Cause, and Planned Actions). Once you have done so, click [Submit Plan for Approval] to submit your CAP for approval by the CAP manager. 

You will notice the CAP status has changed:

CAP status has changed from “Not Started” to “Plan Submitted for Approval”
  1. CAP Manager Reviews Corrective Action Plan. 

Note: The CAP Manager may be the auditee, customer, or RBA, depending on the selection made when the audit was initiated. 

For Priority Findings, the CAP Manager will always be the RBA.

Having accessed the CAP in the same manner as above, it will have some extra fields and options. If the auditee is the CAP Manager they will be able to update all of the previous fields in addition to being able to enter information into the ‘Reason’
and ‘New Comments’ field.

The CAP Manager may click [Approve Plan], or they may click [Reject Plan] 

(Note: If rejecting the plan, the CAP manager should enter a Reason for the rejection and possibly additional comments into those fields prior to clicking [Reject Plan].

If the CAP has been approved, the CAP Status will reflect “Plan Approved / Actions Underway”
  1. Auditee Submits Evidence for Verification

Auditee must next update the Plan End Date and provide Evidence that the Corrective Action Plan was completed successfully. Any evidence attachments or additional comments can be added at the bottom of the page. When ready, the auditee must click [Submit for Verification] at the bottom of the page:

Once evidence has been submitted, CAP Status will reflect “Actions Submitted for Approval”
  1. CAP Manager Determines if Further Action is Required

The CAP Manager may attach new evidence and add comments, then they choose either [Action Completed] or [Further Action Required]

If CAP Manager marks “Actions Completed”, CAP Status will reflect “Actions Completed / Eligible for Closure Audit”.

 

 

 

 

 

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