How to Do CAPA Root-Cause Analysis in Epicor Kinetic
A corrective and preventive action (CAPA) turns a run of nonconformances into one investigation: gather every linked record, find the pattern, agree the root cause with evidence, contain the suspect stock, fix the cause, and prove the fix worked before closing. ISO 9001 expects retained evidence of each of those steps.
This guide follows a recorded CAPA for a cast valve body failing wall thickness, from failed inspections in Epicor Kinetic through Pareto analysis in Excel, a 5 Whys and fishbone review, action tracking in Outlook, and two rounds of verification of effectiveness.
- Who does itQuality engineer owns the CAPA; a cross-functional team agrees the root cause and a quality reviewer approves
- How oftenPer quality event (daily to weekly)
- Steps12 steps · 7 systems
- By hand6 to 30 hours per week per 20 to 100 quality events
Watch the full workflow
every click in this recording is an AI agent — no one is touching the keyboard.
In the recording, an AI agent reviews six failed CMM-02 inspections for part AC-4091 in Epicor Kinetic, opens CAPA-26-0089 in Epicor QMS and links 54 records, and builds a Pareto in Excel showing wall thickness from Harbor Castings at Operation 30 dominates. It records the team's agreed root cause with SharePoint evidence, gets approval in Outlook, holds six DMRs and syncs three corrective tasks to Outlook. It escalates an overdue SCAR task, gets completion approval, and runs verification: the first window fails at 0.88%, so a cavity 2 fix is added and the second window passes at 0.08% before Corrective Action 89 is closed and the dossier filed.
- 1:50Review quarantined inspection records
- 2:30Create the parent CAPA and link records
- 3:15Export to Excel and build the Pareto
- 3:55Prepare the RCA workspace and evidence links
- 4:45Cross-functional RCA review
- 5:10Apply containment and build the action plan
- 6:15Is any corrective task overdue?
- 6:50Corrective action completion review
- 7:10Lock the CAPA into Pending VOE
- 7:40Run VOE: is the defect rate under target?
- 9:00Re-evaluate after the added fix
- 9:35Close the CAPA and archive the dossier
Systems involved
You need access to each of these before you start. In the recording the agent works in all of them from one desktop, signed in as the user.
- Epicor KineticInspection Processing Entry, DMR Processing and Corrective Action 89, the ERP record of the CAPA
- Epicor QMSCAPA Master Workbench, RCA Workspace, Action Plans, Task Progress and Verification of Effectiveness
- ExcelCAPA-26-0089_Export.xlsx with the NCR data, defect-code Pareto and supplier-by-operation pivot
- SharePointQuality > Documents > CAPA > CAPA-26-0089 evidence folders and the final dossier PDF
- WordRCA meeting worksheet with the 5 Whys, fishbone and agreed root cause
- OutlookApproval emails for root cause and completion review, overdue escalation, and the CAPA deadlines calendar
- CMM-02 inspection feedSource of failed wall-thickness results and the post-fix lot data for verification
What you start with
- Failed CMM-02 inspection results
- NCRs, DMRs and audit findings
- RCA meeting worksheet
- Post-fix lot inspection data
What you end with
- CAPA-26-0089 with 54 linked records
- Pareto workbook
- Approved root cause
- Action plan synced to Outlook
- VOE records
- Closed Corrective Action 89 and final dossier
The workflow at a glance
Action Decision Human review Select a step to jump to how it's done.
- 01 Action · Epicor Kinetic Review quarantined inspection records
- 02 Action · Epicor QMS Create the parent CAPA and link records
- 03 Action · Excel Export to Excel and build the Pareto
- 04 Action · Epicor QMS Prepare the RCA workspace and evidence links
- 05 · Human review · Outlook Cross-functional RCA review
- 06 Action · Epicor Kinetic Apply containment and build the action plan
- 07 Decision · Epicor QMS Is any corrective task overdue? Yes Send the overdue escalation and keep the CAPA in Execution until proof and signature are attached. No Move to completion review once all tasks are complete and signed.
- 08 · Human review · Outlook Corrective action completion review
- 09 Action · Epicor Kinetic Lock the CAPA into Pending VOE
- 10 Decision · Epicor QMS Run VOE: is the defect rate under target? Yes Record Effective, sign, and close the CAPA. No Record Ineffective, add a corrective task, and keep the CAPA open for a second evaluation.
- 11 Action · Epicor QMS Re-evaluate after the added fix
- 12 Action · SharePoint Close the CAPA and archive the dossier
Step-by-step: how to do it
-
Action · Epicor Kinetic · 1:50 in the video
Review quarantined inspection records
Open Quality Assurance > Inspection Processing Entry and filter Transaction Type to PO Receipts and the part number. Read each failed result and open one record to confirm the supplier, PO, lot, failed quantity and the reason code before you open a CAPA.
In the videoPart AC-4091 shows 6 records on PO 4417.
- Lots
- HC-26-0841 to HC-26-0855
- Quarantined
- 1,200.00 EA
- Supplier
- SUP3301 Harbor Castings Inc.
- Result
- Failed - CMM-02
- Wall readings
- 0.1178 to 0.1186 in.
-
Action · Epicor QMS · 2:30 in the video
Create the parent CAPA and link records
In CAPA Master Workbench click + New CAPA, enter a title, part, owner and source. Under Linked records set the date range, part, vendor and operation, tick nonconformances, failed lots (DMR) and audit findings, run the query and link everything to the CAPA. Check that the Kinetic Corrective Action shows the same linked records.
In the video- CAPA
- CAPA-26-0089
- Title
- AC-4091 wall thickness out of tolerance - Harbor Castings / Opr 30
- Date range
- 07/01/2026 - 09/29/2026
- Found
- 54
- Kinetic
- Corrective Action 89
- Nonconformances
- Count
- 45
- Range
- NCR 1001-1045
- DMRs
- Count
- 6
- Range
- 1204-1209
- Audit findings
- Count
- 3
-
Action · Excel · 3:15 in the video
Export to Excel and build the Pareto
Export the linked records to Excel, refresh the pivots, and chart defects by code with a cumulative percentage. Add a pivot of dimensional defects by supplier and operation so the concentration is visible, and write one sentence stating the pattern.
In the videoDefect breakdown of 45 NCRs.
- Wall thickness
- NCRs
- 29 (64.4%)
- Bore position
- NCRs
- 9
- Porosity
- NCRs
- 4
- Surface finish
- NCRs
- 2
- Burr
- NCRs
- 1
- Pattern note: 33 of 38 dimensional defects (87%) are Harbor Castings (SUP3301) castings at Operation 30 on MC-03.
-
-
Action · Epicor QMS · 3:55 in the video
Prepare the RCA workspace and evidence links
File the evidence (CMM data, sectioned photos, material certs, supplier audit, meeting worksheet) in the CAPA's SharePoint RCA Evidence folder. Read the team's 5 Whys and fishbone, then in the RCA Workspace set the methodology, enter the agreed root cause statement, primary and contributing causes, and paste the SharePoint links.
In the videoAgreed root cause: mold core misalignment at Harbor Castings (SUP3301) produces variable wall thickness in the AC-4091 casting, combined with excessive tool wear on Machine #3 during Operation 30.
- Primary
- Material - supplier casting
- Contributing
- Machine - MC-03 tool wear
- Agreement
- 5 of 5 attendees on 10/01/2026
- Method
- 5 Whys + Fishbone
-
Human review · Outlook · 4:45 in the video
Cross-functional RCA review
Submit the root cause for review. The reviewer reads the statement, the headline figures and the evidence links, then approves or rejects with a comment. A rejection sends the root cause back to the team for rework.
In the video- CAPA
- CAPA-26-0089
- Linked records
- 54
- Top defect
- Wall thickness
- Harbor Castings at Opr 30
- 87%
- Decision
- Approved; matches the Harbor audit and MC-03
-
Action · Epicor Kinetic · 5:10 in the video
Apply containment and build the action plan
Place the suspect lots on hold in Kinetic DMR Processing so they cannot be allocated, picked or shipped. In the QMS Action Plan add each corrective task with an assignee, department and due date, save, then sync the tasks to Outlook so owners get deadlines and reminders.
In the video6 DMRs placed on hold (1,200 EA).
- Purge shop floor inventory of AC-4091 from suspect lots
- Owner
- Logistics
- Due
- 10/05/2026
- Recalibrate Machine #3 and update SOP-OP30 tool change
- Owner
- Manufacturing
- Due
- 10/09/2026
- Issue SCAR to Harbor Castings
- Owner
- Procurement
- Due
- 10/16/2026
-
-
Decision · Epicor QMS · 6:15 in the video
Is any corrective task overdue?
Check Task Progress each day: every task needs proof of completion and an e-signature. If a task passes its due date without both, escalate to the owner and their department head.
- If yes Send the overdue escalation and keep the CAPA in Execution until proof and signature are attached.
- If no Move to completion review once all tasks are complete and signed.
In the videoNightly monitor 10/17 06:00.
- Overdue
- Task 3 (SCAR)
- Check
- Due_Date 10/16/2026 < Current_Date
- Outlook rule
- CAPA overdue escalation
- Notified
- Owner and department head
- Resolution
- SCAR response attached and signed 10/20/2026
-
Human review · Outlook · 6:50 in the video
Corrective action completion review
When all tasks show proof and signatures, send the completion summary to the quality reviewer. Approval locks the CAPA into Pending VOE for the evaluation window; rejection sends tasks back.
In the video'CAPA-26-0089 - 3 of 3 tasks complete' approved, starting the verification window with the next five lots.
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Action · Epicor Kinetic · 7:10 in the video
Lock the CAPA into Pending VOE
In the Kinetic Corrective Action, set status to Pending VOE, enter the VOE start and end dates and criteria, and save.
In the videoCorrective Action 89 set to Pending VOE with criteria 'Defect rate < 0.5%, 5 inspection lots'.
-
Decision · Epicor QMS · 7:40 in the video
Run VOE: is the defect rate under target?
In Verification of Effectiveness run the SPC report for the window and read the X-bar chart, lot defect rates and Cpk against the target. Enter the post-implementation rate, Cpk, lots evaluated and the outcome.
- If yes Record Effective, sign, and close the CAPA.
- If no Record Ineffective, add a corrective task, and keep the CAPA open for a second evaluation.
In the videoFirst verification window, 10/21 - 11/20/2026.
- Defects
- 11 in 1,250 pieces
- Rate
- 0.88%
- Target
- < 0.5%
- Baseline
- 4.2%
- Cpk
- 0.92
- Result
- Ineffective - threshold not met
- Failure notes trace every defect to mold cavity 2.
-
Action · Epicor QMS · 9:00 in the video
Re-evaluate after the added fix
After the added task is done, reset the VOE dates in Kinetic and run a second evaluation on new lots. Record the result and sign the outcome with your e-signature.
In the videoTask 4 'Realign cavity 2 core at Harbor Castings and verify first article' completed 11/24/2026.
- Second window
- 11/25 - 12/23/2026
- Defects
- 1 in 1,250 pieces
- Rate
- 0.08%
- Cpk
- 1.58
- Result
- Effective - threshold met
- Signed by
- Quality engineer
-
Action · SharePoint · 9:35 in the video
Close the CAPA and archive the dossier
Set the Kinetic Corrective Action to Closed with Effective ticked, then file the final dossier PDF in the CAPA folder alongside the intake, analysis, RCA evidence, actions and VOE folders.
In the video- Record
- Corrective Action 89
- Status
- Closed
- Dossier
- CAPA-26-0089_Final_Dossier.pdf (8.6 MB)
- Retention
- Quality-record retention
Rules, exceptions and controls
Rules to follow
- Verification target: defect rate below 0.5% across 5 inspection lots, compared with the 4.2% baseline
- A corrective task is complete only with proof of completion attached and an e-signature
- A task is overdue when its due date is earlier than today and its status is not Complete
- Suspect lots stay on hold in DMR Processing so they cannot be allocated, picked or shipped
- A CAPA closes only after an Effective VOE outcome is recorded and signed
When something doesn't match
- Corrective task misses its due date: the overdue rule emails the owner and their department head and the CAPA stays in Execution
- First verification misses the target: record Ineffective with failure notes, add a corrective task, and run a second evaluation
- Reviewer rejects the root cause: the statement goes back to the team for rework before any action plan
- Defects from a second supplier or in-house appear in the pivot: keep them linked but separate from the main pattern
Controls and audit trail
- Cross-functional approval of the root cause before actions are planned
- Completion review approval before verification starts
- E-signature on each task and on the VOE outcome
- Linked records mirrored between Epicor QMS and the Kinetic Corrective Action
- Final dossier filed in SharePoint with quality-record retention
Practitioner tips
- Check NCR history for the same part and defect before opening a new CAPA so repeats roll into one investigation
- Pivot by supplier and operation, not just defect code; the concentration usually points to the cause
- Write the root cause as one sentence naming the cause, where it happens and the effect, and attach evidence links
- Keep ISO 9001 clause 10.2.2 in mind: retain evidence of the nonconformity, actions and results
About this recording
In the recording, the agent ran the CAPA end to end across Kinetic, Epicor QMS, Excel, SharePoint and Outlook, pausing for human approval of the root cause and completion review, and recorded both verification rounds.
Documented the way you'd train a new hire — and the same way an agent learns it.
Frequently asked questions
How do you do root-cause analysis for a CAPA in Epicor Kinetic?
Link the nonconformances, DMRs and audit findings to the CAPA, export them to Excel for a Pareto by defect code and a pivot by supplier and operation, then run a 5 Whys and fishbone with the team. Record the agreed root cause with evidence links and get it approved before planning actions.
What is verification of effectiveness in a CAPA?
It is a check, after actions close, that the defect rate actually fell below the target over a defined window of lots. In the recording the first window measured 0.88% against a 0.5% target, so the CAPA stayed open for a second evaluation.
What happens if a CAPA fails verification?
Record the outcome as Ineffective with failure notes, add a corrective task for the remaining cause, and run a second evaluation window. The CAPA closes only when a later evaluation meets the target.
How do you contain suspect stock during a CAPA?
Place the affected lots on hold in Kinetic DMR Processing so they cannot be allocated, picked or shipped, and add a task to purge suspect inventory from the shop floor.
How are overdue CAPA actions escalated?
A daily check compares each task's due date with today and its status. Any open task past due is emailed to the owner and their department head until proof and a signature are attached.
Can an AI agent do CAPA root-cause analysis in Epicor Kinetic?
Yes. As shown in the video, the agent works the same Kinetic, QMS, Excel, SharePoint and Outlook screens a person does, while people agree the root cause and approve the review and completion steps.