List of CAPAs
Summary
The List of CAPAs is a centralized register of all corrective and preventive actions implemented in your quality management system. You use this list to track CAPA status, analyze trends, and provide management with oversight of quality improvement activities across your organization.
Why is the List of CAPAs important?
The List of CAPAs provides essential oversight and trend analysis capabilities for your quality management system by consolidating all corrective and preventive actions in one accessible document. It enables management review of CAPA effectiveness, identification of recurring problems, and strategic quality improvement planning. Without a comprehensive list of CAPAs, you cannot effectively analyze patterns, allocate resources, or demonstrate systematic quality improvement to regulators and auditors. This list also serves as a critical input for management reviews and continuous improvement initiatives.
Regulatory Context
Under 21 CFR Part 820.100 (Corrective and Preventive Action):
- Records must be maintained for all CAPA activities and their outcomes
- Management review must evaluate CAPA effectiveness and trends (820.20)
- Documentation must be available for FDA inspection and audit
- Trend analysis is required to identify recurring quality problems
Special attention required for:
- CAPAs resulting from FDA inspections or warning letters
- Design control CAPAs affecting device safety or effectiveness
- CAPAs related to complaint investigations and MDR reporting
- Integration with management review and quality metrics
Under 21 CFR Part 820.100 (Corrective and Preventive Action):
- Records must be maintained for all CAPA activities and their outcomes
- Management review must evaluate CAPA effectiveness and trends (820.20)
- Documentation must be available for FDA inspection and audit
- Trend analysis is required to identify recurring quality problems
Special attention required for:
- CAPAs resulting from FDA inspections or warning letters
- Design control CAPAs affecting device safety or effectiveness
- CAPAs related to complaint investigations and MDR reporting
- Integration with management review and quality metrics
Under EU MDR 2017/745 and ISO 13485:2016:
- CAPA records must be maintained as part of quality management system (ISO 13485 Section 8.5)
- Management review must evaluate CAPA effectiveness and trends (Article 10(9))
- Notified body access to CAPA records during surveillance audits
- Continuous improvement must be demonstrated through CAPA analysis
Special attention required for:
- CAPAs affecting CE marking or notified body oversight
- Post-market surveillance CAPAs requiring regulatory notification
- Clinical evaluation updates based on CAPA findings
- Integration with vigilance system and risk management
Guide
CAPA Registration Process
Add completed CAPAs to the list only after they have been formally closed through your CAPA Report process. Include all essential information that enables tracking and trend analysis without duplicating detailed information available in individual CAPA documents.
Maintain chronological order or use a systematic numbering scheme that enables easy reference and retrieval. Ensure each CAPA has a unique identifier that links to the detailed CAPA Plan and Report documents.
Essential Information Elements
CAPA identification should include the unique CAPA ID, source of the CAPA (audit, complaint, surveillance), and brief problem description. This enables quick identification and categorization for analysis purposes.
Timeline tracking must include initiation date, verification date, and closure date to monitor CAPA cycle times and identify process improvement opportunities. Long cycle times may indicate resource constraints or process inefficiencies.
Action summary should provide a concise description of the corrective and preventive actions taken without duplicating detailed information from CAPA reports. Focus on the key interventions that resolved the problem.
Trend Analysis and Review
Analyze CAPA sources to identify whether problems originate from audits, complaints, post-market surveillance, or other inputs. Patterns in CAPA sources can reveal systematic issues in your quality management system.
Monitor cycle times to ensure CAPAs are completed within reasonable timeframes. Extended cycle times may indicate resource constraints, inadequate planning, or process inefficiencies that need attention.
Identify recurring themes in problem types, affected products, or root causes. Recurring patterns suggest opportunities for preventive action or systematic process improvements.
Management Review Integration
Prepare summary reports for management review that highlight CAPA trends, effectiveness metrics, and resource requirements. Include recommendations for preventive actions based on trend analysis.
Track effectiveness indicators such as CAPA cycle times, recurrence rates, and customer satisfaction improvements. These metrics demonstrate the value of your CAPA system and identify improvement opportunities.
Example
Scenario: Your organization has completed several CAPAs over the past year related to software quality, customer complaints, and audit findings. You need to maintain a comprehensive list that enables trend analysis and supports management review activities.
Example List of CAPAs
Document ID: LST-CAPA-2024
CAPA Register
| CAPA ID | Source of CAPA | Problem | Actions | Initiation Date | Verification Date | Close Date |
|---|---|---|---|---|---|---|
| CAPA-2024-001 | Internal Audit | Incomplete design review documentation for software module updates | Updated design review procedures, retrained development team, implemented automated documentation checks | 2024-01-15 | 2024-02-28 | 2024-03-15 |
| CAPA-2024-002 | Customer Complaints | Software compatibility issues causing inconsistent glucose readings on specific smartphone models | Released software hotfix, expanded compatibility testing, enhanced post-market surveillance monitoring | 2024-03-10 | 2024-06-15 | 2024-06-30 |
| CAPA-2024-003 | Post-Market Surveillance | Increased user reports of app crashes during peak usage hours | Optimized memory management, implemented load balancing, added performance monitoring | 2024-04-20 | 2024-07-10 | 2024-07-25 |
| CAPA-2024-004 | Management Review | Supplier quality issues affecting component delivery schedules | Updated supplier qualification criteria, implemented backup supplier program, enhanced supplier monitoring | 2024-05-05 | 2024-08-20 | 2024-09-10 |
| CAPA-2024-005 | Customer Complaints | User interface confusion leading to incorrect device setup | Redesigned setup wizard, updated user manual, conducted usability testing with target users | 2024-06-12 | 2024-09-30 | 2024-10-15 |
| CAPA-2024-006 | External Audit | Inadequate training records for quality management system procedures | Implemented digital training tracking system, updated training procedures, conducted refresher training | 2024-07-08 | 2024-10-25 | 2024-11-10 |
| CAPA-2024-007 | Risk Assessment | Potential cybersecurity vulnerability in data transmission protocols | Upgraded encryption protocols, implemented additional security testing, updated cybersecurity procedures | 2024-08-15 | 2024-11-30 | 2024-12-15 |
Trend Analysis Summary
CAPA Sources (2024):
- Customer Complaints: 29% (2 of 7 CAPAs)
- Internal/External Audits: 43% (3 of 7 CAPAs)
- Post-Market Surveillance: 14% (1 of 7 CAPAs)
- Management Review: 14% (1 of 7 CAPAs)
Problem Categories:
- Software/Technical Issues: 43% (3 of 7 CAPAs)
- Process/Documentation: 29% (2 of 7 CAPAs)
- Training/Human Factors: 14% (1 of 7 CAPAs)
- Supplier Management: 14% (1 of 7 CAPAs)
Average Cycle Times:
- Initiation to Verification: 98 days
- Verification to Closure: 18 days
- Total Cycle Time: 116 days
Key Insights:
- Software-related issues represent the largest category, suggesting need for enhanced software quality processes
- Audit findings indicate opportunities for proactive process improvement
- Customer complaints are effectively driving product improvements
- Cycle times are within acceptable ranges but could be optimized for software CAPAs