AR Corrective Action Documents

The Corrective Action Documents (CAD) section is accessed from the Review Dashboard. A CAD is automatically generated for each Finding logged by the State in the On-site Assessment. The State user can update the Finding Description either from the Edit Findings pop-up (initiated by selecting the

(finding) icon) or from the Findings Details screen (accessed via the Corrective Acton Documents > Findings screen).

The State will determine key dates related to the CAD process, including the Start and End Dates for the SFA user to be able to access and provide their CAD response to each finding. It is then the SFA’s responsibility to respond to each finding within State0-defined timeframe.

The system allows authorized users to enter a CAD due date and apply the due date to all open and returned (i.e., denied) CADs. This is a time-saver by eliminating the need for the State to enter dates on each individual CAD as they are developed or to have to open each CAD once a due date is determined.

1. Search for and select a SFA, if necessary.

2. Select Review Tracking from the Compliance menu.

3. Select the Details link for the desired review. The Review Dashboard displays.

4. Select the Modify link next to Corrective Action Documents. The Findings screen displays.

5. Enter the due date in the Review Findings and Corrective Action Documents textbox.

6. Select Update. All individual CAD Due Dates will display the new date.

Note: Updating the due date on this screen does not update the due date on the Review Information screen. To avoid overwriting any data in the future, be sure to also update the CAD Due Date under Review Information.

TIP: The State can control who has access to the due date Update button via Security.

1. Search for and select a SFA, if necessary.

2. Select Review Tracking from the Compliance menu.

3. Select the Details link for the desired review. The Review Dashboard displays.

4. Select the View or Modify link next to Corrective Action Documents. The Findings screen displays.

5. Select the Finding:

o To access a Sponsor-level corrective action, select the View or Modify link next to the finding.

o To access a Site-level corrective action, select the Site link. The Site Findings screen is displayed. Select the View or Modify link next to the finding.

6. The Findings Details screen displays. Update the Finding Description and Required Corrective Action as needed.

7. Enter Special Instructions, if applicable.

8. Select Save.

TIP: The Show/Hide History link displays the Finding History log with all changes made to the Findings Detail screen, logged by date/time and user.

Note: The Show/Hide History link displays the Finding History log with all changes made to the Findings Detail screen, logged by date/time and user.

1. Select Review Tracking from the Compliance menu.

2. Select the Details link for the desired review. The Review Dashboard displays.

3. Select the Modify link next to Corrective Action Documents. The Findings summary screen displays.

o To access a Sponsor-level corrective action, select the Modify link next to the finding.

o To access a Site -level corrective action, select the Site link. The Site Findings screen is displayed. Select the Modify link next to the finding.

4. The Findings Details screen displays.

5. Enter the Corrective Action Response in the textbox.

6. If the user would like to add an attachment, select Add an attachment. The Findings File Upload Detail screen displays. There is a 15MB size limit to uploaded files.

7. Select Browse… and navigate to the file to upload.

8. Enter a description in the textbox.

Note: Multiple attachments may be entered; however, the Add an Attachment link must be selected for each individual attachment.

Selecting Modify and then Browse… for an existing attachment will overwrite the previous file with the new file.

9. Select Save.

10. Select Submit for Acceptance.

Note: The Agency Correction Action Response field is available to SFAs only. State users do not have Modify access to this field.

1. Search for and select a SFA, if necessary.

2. Select Review Tracking from the Compliance menu.

3. Select the Details link for the desired review. The Review Dashboard displays.

4. Select the View or Modify link next to Corrective Action Documents. The Findings screen displays.

5. Select the Finding:

o To access a Sponsor-level corrective action, select the Modify link next to the desired Finding with a status of “Pending Approval

o To access a Site -level corrective action, select the Site link. The Site Findings screen is displayed. Select the View or Modify link next to the desired Finding with a status of “Pending Approval”

6. Review the information submitted by the SFA.

7. To view attachments, select View for each attachment listed under Document Attachments. Your computer will prompt you to Open or Save the file.

8. Enter the Reviewer Response to CAD in the textbox.

9. If the CAD is ready to be approved, select the Accept CAD button. This will change the status of the CAD to “Closed”. If any changes need to be made after the CAD is closed, a State user must reopen the CAD.

10. If the CAD is not ready to be approved, select the CAD Not Approved button. This will change the status of CAD to Denied. The SFA must then correct and re-submit the CAD for approval.

1. Search for and select a SFA, if necessary.

2. Select Review Tracking from the Compliance menu.

3. Select the Details link for the desired review. The Review Dashboard displays.

4. Select the View or Modify link next to Corrective Action Documents. The Findings screen displays.

5. Select the Finding:

o To access a Sponsor-level corrective action, select the Modify link next to the desired Finding with a status of “Pending Approval

6. Select Delete in the top-right corner.

7. Select the Delete button to confirm.