ID,Source,Date Raised,Finding / Nonconformity,Root Cause,Correction (Immediate),Corrective Action,Owner,Due Date,Status,Effectiveness Check,Closure Date
CAPA-2026-001,Internal audit 2026-Q1,2026-02-10,Three joiner accounts were created without manager approval ticket,Onboarding checklist did not enforce approval gate,Revoked accounts and recreated with approval,Add mandatory approval gate in HR onboarding workflow + monthly reconciliation,HR Lead,2026-05-15,In progress,Audit sample 2026-Q3,
CAPA-2026-002,External audit 2025,2025-12-05,SoA did not cite justification for excluding A 8.34,Reviewer used prior-year SoA without re-check,Added justification,Require peer review of SoA before approval,ISO,2026-03-01,Closed,2026-03-15 re-check passed,2026-03-20
CAPA-2026-003,Incident INC-2026-004,2026-02-22,Phishing email bypassed filter; one user clicked link,Filter policy did not cover newly registered domains,Blocked domain + reset user credentials,Enable newly-registered-domain rule in mail filter and run targeted awareness training,IT Operations Lead,2026-04-30,In progress,Phishing simulation 2026-Q3,
CAPA-2026-004,Management review 2026-Q1,2026-03-30,Vulnerability remediation SLA breached for 4 high findings,Patch window too short; no escalation path,Applied patches,Introduce monthly patch window + escalation to CTO after 25 days,IT Operations Lead,2026-06-30,Open,KPI review 2026-Q3,
CAPA-2026-005,Customer complaint,2026-03-12,Customer reported unencrypted email attachment with contract,Staff used personal workaround after mail gateway issue,Retrieved email and re-sent via secure portal,Refresh training on Information Transfer Policy + block external attachments over 10MB,DPO,2026-05-31,In progress,,