Compile the Findings
From the completed audit report, start the corrective action step. Readily lays out every finding with its recommendation, regulatory citation and functional area — the detail captured during the review.
Steps:
Review each finding and edit the text where it needs changing.
Set the owner — the auditor responsible for reviewing the remediation.
Set the assignee — the business unit or delegate who will remediate it.
Track findings individually, or accept them in bulk.
Observations come across as well, marked as not requiring corrective action. Completing this step closes the audit, and the findings then live in the CAP Tracker.
Best practice: Set the owner per finding. Where two auditors split one audit, the owner is what lets each of them filter the board down to their own corrective actions later.
Find Your CAPs
Open CAP Tracker from the sidebar. The counters across the top separate findings needing a response, findings awaiting your review, and findings where a response has been drafted.
Steps:
Delegate shows CAPs issued to an external party.
Assigned shows CAPs assigned to you.
Internal shows CAPs raised against your own business units.
My CAPs narrows any of these to the ones you own.
Work a Single CAP
Opening a CAP shows the deficiency, the recommendation and the citation inherited from the audit factor, all editable. The panel on the right carries the delegate, the status, the owners and assignees, and the CAP timeline with each stage and its due date.
Below that, CAP Remediation holds the root causes the assignee identifies and, under each, the action plans with their planned completion dates and supporting evidence. You accept or reject each one with a reason, and Action Plan Progress tracks how much has been implemented.
See the Whole Board
Analytics summarises the CAP Tracker rather than one corrective action: how many are open against closed, who owns them, and how they are tracking against their due dates.
Please note: The back and forth stays on one CAP. Rejecting a response and asking for another does not create a second CAP — the whole exchange is held against the same deficiency and appears in the export.