Corrective Action Documents
The Corrective Action Documents (CAD) section displays at the top of the Review Dashboard and provides an at-a-glance view of the total number of CADs (i.e., findings) associated with the selected Sponsor’s review, as well as a count of CADs by status. The system will count all findings uploaded via the laptop, as well as those that may have been added via the Compliance administrative web screen. Within the Corrective Action Document screens, authorized users can add new findings, view or modify existing findings, and update Corrective Action Plan due dates within this section.
Findings Details Screen Buttons
The table below identifies the buttons available on the Findings Details screen and what user type may have access to these functions. Individual security rights vary among users, so the table is for informational purposes only.
Button |
Available to State Users? |
Available to Sponsor Users? |
Save |
Yes |
Yes |
Submit For Acceptance |
Yes |
Yes |
Accept CAD |
Yes |
|
Cancel |
Yes |
Yes |
CAD Not Approved (displays after CAD has been submitted) |
Yes |
|
ReOpen (displays after CAD has been submitted) |
Yes |
|
Corrective Action Documents Status Codes
The system automatically sets statuses based on actions performed by the user. The table below identifies the various status codes associated with a CAD and under what conditions the status is set.
Status |
How Status is Set |
Not Started |
Finding is identified; no updates to the finding by the Sponsor or the State has occurred |
Pending Action |
Finding, Finding Description, and Required Corrective Action fields are completed; the Corrective Action Required field in the Finding Tracking section is set to “Action Required” |
Pending Submission |
Agency Corrective Action Response field is completed by the Sponsor |
Pending Approval |
Sponsor has submitted their CAD for state review (i.e., Sponsor clicks the Submit for Acceptance button) |
Denied |
Authorized state user has clicked the CAD not Approved button |
Closed |
Authorized state user has clicked the Accept CAD button |
Note: If the state decided to re-open a CAD, the status of the CAD returns to Not Started.
Note: If the state has identified a finding during the review, but decides NOT to require a CAD submission by the Sponsor, the state can set the Corrective Action Required field to “No Action Required” and the status will be set to Closed.