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PAWS
(Pentana Audit Work System)
ADMINISTRATOR WORKFLOWS
ESSENTIAL ACTIONS
Note:-
A. This is based on PAWS v8.3.6, and some menu/item names etc. may be customized.
B. Many of these actions/workflows can be executed not only by Administrator, but other Users
given appropriate access privileges.
CREATION OF ‘AUDIT’
1. At Home page, click ‘Universe Management’ (first tab on left spine)
2. Click ‘Assignments and Audits’ (third option)
3. ClickAssignment code & name, under which Audit is to be created (in main – right – section in
bold)
4. Right-click & select ‘Add Audit’ (or select ‘Add Audit’ option in ‘Action’ menu on top, or click
‘Add Audit’ icon on second line below top menu)
5. In the ‘Add Audit’ pop-up screen, fill in all details, at the minimum
a. Fill in ‘Ref’ (change FY if required and change last part to two-digit sl. no.)
b. Fill in‘AuditName’andselect(fromdropdownmenus)‘AuditType’(usuallyselected as
‘Process Audit’), ‘Financial Year’, ‘Audit Head’ (usually ‘Administrator’, but can be any
User who is intended to review/finalize the audit), ‘Manager’ (usually the audit team
leader), ‘Audit Quarter’
c. ‘Audit Rating’ and ‘Auditee Responsiveness Rating’ to be filled in after finalization of
audit report, and other fields are optional.
d. Fill in ‘Planned Date’ in the table below against respective items (starred ones are
compulsory) – ‘Actual Date’ against each item can be filled in by ‘Manager’
6. Click ‘OK’ button at the bottom of ‘Add Audit’ pop-up screen.
ACTIVATION OF ‘AUDIT’
1. Follow steps 1-2 of above.
2. Locate the ‘Audit’createdasabove inthe main (right) section (it usually appears in lighter font
until Activated) and double-click to open.
3. Clickon firstoption‘AuditSummary’inleftspine andunderthe firstsection‘AuditStatus’(click
on ‘+’ sign on left of ‘Audit Status’ if required to expand), select ‘Activate this audit…’
a. If planningtocarry forwardTests/auditchecklistfromapreviousaudit,then in the next
pop-up window, select ‘Yes’ option/button to the question on carrying forward Tests
from a previous audit, else select ‘No’
b. If ‘Yes’selectedabove,theninthe nextscreen, selectthe previous audit (from the drop
down menu) from which the Tests are to carried forward and click OK
c. Confirm OK in the next alert.
d. In the nextpop-upwindow,select(checkmark) the boxes against items intended to be
carried forward (usually it’s sufficient to go with the default selections) and click OK
4. Under the thirdsection ‘Staff Details’, double-click to review the team members assigned and
add any other team member if required:
a. In the ‘Assign & Budget Staff’ pop-up window, click the third button ‘All’

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b. Select(checkmark) the box/esin‘Assigned?’columnagainst name/s of team members
to be added
c. Click ‘OK’ button at bottom.
5. Click on second option ‘Work Plan’ in left spine
a. Double-click on audit ‘Area’ name (in bold) in main (right) section
i. Change the ‘Ref’ to a unit code (e.g. SKT for Saket etc.)
ii. Also in ‘Ref’, if required, add a hyphen “-“ after unit code and add a function
descriptor (e.g. to make ‘SKT-B’ for Saket-Biomedical’ in case of combined
Engg./BME/EHS audit)
iii. Change the ‘Description’ field as required.
iv. In case all ‘Tests’ are to be carried out by a single auditor/’User’, select an
‘Owner’(fromdropdownmenu) in‘TestOwner’section(usuallythisselectionis
possible only when editing an ‘Area’ like this and not while creating an ‘Area’
(see next section).
v. Click ‘OK’ button at bottom.
b. If required (e.g. for multi-unit or multi-function audits), add additional work ‘Area’/s:
i. Right-click in main (right) section and select ‘Add Area’ (or select ‘Add Area’
optionin‘Action’menuontop,or click‘AddArea’iconon secondline below top
menu)
ii. In the ‘Area’ pop-up window, carry out all/required steps as per 5(a)(i)-(v)
above.
c. Select (click) an audit ‘Area’ and (the steps below can be carried out by other ‘Users’
assigned to the ‘Audit’ also e.g. ‘Manager’ etc., but at some stage it’d be good for the
reviewer to ensure that Tests have been created with all essential fields as below)
i. In case no ‘Tests’ exist under that ‘Area’/no ‘Tests’ carried forward from a
previousaudit(see 3above),create ‘Tests’ –right-clickandselect ‘Add Test’ (or
select ‘Add Test’ option in ‘Action’ menu on top, or click ‘Add Test’ icon on
second line below top menu) OR
ii. In case one or more ‘Tests’ exist under that ‘Area’/carried forward from a
previous audit (see 3 above), edit the ‘Test’/s by double clicking
 Verifythatall fieldsinthe ‘Test’are filledin or selected, except the last
two fields ‘Test Results Summary’ and ‘Test Result Details’ which are
filled in/selected by assigned team members carryout the audit.
AUDIT REVIEW (Ongoing – during audit)
1. At Home page, click ‘Universe Management’ (first tab on left spine)
2. Click ‘Assignments and Audits’ (third option)
3. Locate the relevant ‘Audit’ in the main (right) section (it usually appears in lighter font until
Activated) and double-click to open.
4. Click on first option ‘Audit Summary’ in left spine.
5. Review Tests:
a. Check ‘Tests – Status’ section (click on ‘+’ sign on left of ‘Tests – Status’ if required to
expand).
b. If there is any number (of Tests) shown under ‘Complete’ column, double click on the
sectiontogo to ‘Work Plan’section(alternatively, we can click on second option ‘Work
Plan’ in left spine).

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c. Visuallylocate the Test/smarked‘Complete’ in ‘Status Description’ column (or click on
‘StatusDescription’columnheadertosort the Tests by status, and then scroll down/up
to locate), and double-click to open.
d. Besides technical/content review, review the ‘Test Result Details’ field to ensure that
these are in line with ‘Test Description’
e. Review the ‘Test Result Summary’ field to ensure that the conclusion (‘Satisfactory’/
‘Unsatisfactory’) is justified by ‘Test Result Details’.
 Tests in PAWS are usually marked ‘Complete’ when the ‘Test Result Details’
fields(andof course all previous fields within a Test) are filled in. However, in
many such cases, the related Observations raised (when the Test Result in
‘Unsatisfactory’) are not yet completely devised, esp. with root cause/s,
recommendation/s and all other relevant fields. A Test should be marked
‘Complete’ only when everything including the related Observation/s is
completed. (This may not apply to cases where the root cause/s etc. in
Observation are deliberately left blank awaiting auditee inputs, in line with
what’s stated in our draft report circulation email).
 Sometimes, certain Tests are still in ‘Incomplete’ status, even when all/most
Testsin the relatedwork‘Area’are complete. It is necessary for the auditor to
keepreviewingsuchTests and in case it’s found that any such Tests need to be
deleted from the Work Plan (ensuring that all elements of that Test have
alreadybeencoveredinsome otherTest/s,where relevant),the Administrator/
Manager should be informed to delete the Test/s.
f. Once satisfied,clickoncheckmarkat the endof the ‘ReviewedBy’line below the fields.
g. Resolve any grammatical error alerts generated.
h. Click on ‘OK’ button at bottom.
i. (While the relevant Test is selected/single-clicked) Click on ‘Work Papers’ tab in the
lower half of the screen.
j. If any ‘Work Paper’ (attachment) names/details are visible (this is also indicated by a
paper clip icon in the ‘Work Papers’ column in upper half of screen showing list of
Tests), double-click to open and review.
6. Review Observations and Actions:
a. (While the relevant Test is selected/single-clicked) Click on ‘Observations’ tab in the
lower half of the screen.
b. If an audit‘Observation’/findingexistsunder the Test (also indicated by a paper icon in
the ‘Observations’ columninupperhalf of screenshowing list of Tests), double-click to
open and review.
c. Besidestechnical/contentreview,reviewtoensure thatall necessaryfieldsare filled in/
selected.
d. Some of the Observationfieldsmaybe leftblackinthe beginning(e.g. at IFD stage), but
at the least ‘Ref’, ‘Observation Title’, ‘Risk Category’, ‘Observation Description’,
‘Reportable’, ‘RootCause Type’ and ‘Root Cause’ (and preferably also ‘Priority’ i.e. risk
level) must be filled in.
e. All fields (except ‘Response Date’ and ‘Management Comments’ must be filled in at
Draft Report stage.
f. In case of ‘Respondent’field,onlythe name of a ‘Contact’(i.e.WebActionUser) already
created(‘SystemAdmin’ ->‘Contacts’section) canbe selected. (Ref.subsequentsection
for the procedure.)

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g. For ongoingaudits,it’spreferable toleavethe ‘ApprovedBy’fieldatbottomunchecked,
to ensure thatthe Observationcanbe edited by the concerned auditor as required (till
the final audit report stage).
h. Ensure that ‘AddActiononclose’checkbox (above ‘OK’and‘Cancel’ buttons at bottom)
is NOT selected checked (if this is selected/checked, clicking on OK generates a new
Actioneverytime,sometimesduplicate/multiple times). [It’sfor the concernedAuditor
to create an Actionfor an Observation at the appropriate stage, usually at Draft Report
stage to facilitate filling in of ‘Management Action Plan’ (management comments) by
auditee/s directly in PAWS.]
i. Once the full Observation is reviewed, click on ‘OK’ button at bottom.
j. Ref.Annexure-1for some tips to ensure that ‘Observations’ and ‘Actions’ are correctly
created/maintained.
7. Raise review ‘Points’ for Tests and Observations reviewed:
a. While the relevant Test or Observation is selected (clicked), click on ‘Points’ tab in the
lower part of screen.
b. Right-click below the headers and select first option ‘Add Point’.
c. Fill in the review comment in ‘Description’ column and select appropriation option in
‘Type’,‘Category’and‘Owner’fields (the Point number ‘#’ field is usually auto filled) –
where there are more than one auditorassignedto the relevant audit, the name of the
auditor who completed the Test/Observation should be selected in ‘Owner’ field.
d. Click ‘OK’ button at bottom.
8. Resolve previously raised review ‘Points’:
a. While in‘AuditSummary’(ref. steps 1-4 above), check ‘Points’ section (click on ‘+’ sign
on left of ‘Points’ if required to expand).
b. If there is anynumber(of Points) shown under ‘Complete’ column, double click on the
section to go to ‘Points Arising’ section (alternatively, one can click on fifth option
‘Points Arising’ in left spine).
c. Visuallylocate the Point/smarked‘Complete’in ‘StatusDescription’ column (or click on
‘StatusDescription’columnheadertosortthe Pointsby status,andthenscroll down/up
to locate), and double-click to open.
d. Checkthat ‘Disposal’fieldisfilledin(toindicate how the Pointraisedearlierisresolved)
e. If satisfiedwith the resolution of the Point, click the check mark at the end of ‘Cleared
By’ line, and then click ‘OK’.
f. Pointscan alsobe cleared,inthe Pointswindow, by selecting ‘Set to Cleared’ option in
‘Action’ menu on top, or by clicking ‘Set to Cleared’ check mark icon on second line
below top menu.
g. In the Test,ObservationorPointswindow,Pointscanalsobe clearedbyright-clickingon
the Point in the listing and selecting the option ‘Set to Cleared’.
CREATION OF ‘CONTACTS’ (Auditees/’Respondents’/’ActionOwners’/WebActionUsers)
1. At Home page,click‘SystemAdmin’(2nd
tab) onleftspine.
2. Click‘Contact’onthe spine.
3. Right-clickonupperpartof screenandselect‘AddContact’ (orselect‘AddContact’optionin
‘Action’menuon top,or click‘AddContact’icon on secondline below topmenu).
4. Fill the firstfewcharactersof the name of intendedaddresseeinthe ‘Searchfor:’box andclick
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5. Clickon the name (orone of names) onthe leftside,checkdetailson the rightside and(if
correct) click‘OK’buttonat bottom.
6. In the nextscreen‘Contact’,checkdetailsdisplayed,fillinanyadditional detailsif necessary,
and click‘Next’buttonatbottom.
7. In the nextscreen,checkthe box/es againstthe relevant‘AssignmentName’/s(function/group
of audits) –this/these shouldbe the ‘Assignment’/sunderwhichthat/thoseAudit/s have been
createdwhere the ‘Contact’issupposedtobe the ‘Respondent’/’ActionOwner’ –preferably
onlyunderthe ‘Contact’column(andnot ‘CopyE-mails’column),andclick‘Next’buttonat
bottom.
8. In the nextscreen,click‘Create User’box atthe top,select‘Action/ProcessOwner’againstRole
(or ‘Functional Head’if relevant),selectbox ‘WebActionModule’at the bottom, fill insome
letter/characters(same string) inboththe ‘Password’and‘ConfirmPassword’field,andclick
‘Finish’buttonatbottom.
SYNCRONIZING PAWSSETTINGSWITH EMAIL DIRECTORY/LDAP
1. At certaintimes,forinstance whilecreating‘Contact’asabove,PAWSmayraise analertreg. not
beingable toaccess email director/LDAP. Thismayhappenwhenthe systempasswordof PAWS
(as a systemuser) expiresasperIT rules.
2. At Home page,click‘SystemAdmin’(2nd
tab) onleftspine.
3. Click‘SystemConfiguration’onthe spine.
4. Click‘LDAP’tab onmain (right) screen.
5. Clickone of the ‘Test’buttonstowardsthe bottomof the screen – if the alertshownis not ‘LDAP
connectionsuccessful’,thereisaneedtochange the password.
6. Get the passwordof systemuser‘PAWS’changedthroughITdept.
7. Fill inthe newpasswordinthe ‘LDAP’tab,in the ‘Password’fieldtowardsthe top,andagain
clickthe ‘Test’buttonas above – the alertshouldnow show ‘LDAPconnectionsuccessful’. If still
showingadifferentmessage/error,thisrequiresIT/Auditime (PAWSsupportvendor)
intervention.
NETWORK/SERVER PATH CHANGE OF PAWSDATABASE/WORKPAPERS
(bestdone byIT support)
1. In case,due to some reason,the network/serverpathof PAWSis changedbyIT at the backend,
correspondingchange isneededinPAWSfront-endtoensure thatPAWScontinuestofunction.
2. At Home page,click‘SystemAdmin’(2nd
tab) onleftspine.
3. Click‘SystemConfiguration’onthe spine.
4. Click‘WorkPapers’tab onmain (right) screen.
5. Fill inthe newpathin the ‘ServerWorkPaperPath’and/or the ‘MasterTemplatesPath’,andany
otherfieldsasrequired,andclickon‘TestSettings’buttonatbottom. Incase of an error alert,
IT/PAWSsupportvendorintervention.
USER (AUDITOR) ACCESS TO PAWSWORKPAPERS
(bestdone byIT support)
1. SometimesaUser(usuallyanewlyaddeduser) maygetanerror reg.not beingable toadd or
access Workpapers(uploadedattachments).

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2. In sucha case,the concernedUser’sIT access to the PAWSWorkpaper pathneedstobe
ensured.
3. IT needstoensure thatthe systemuser(whoisthe concernedPAWSUseri.e.auditor) has
Read/Write access (‘Full control’or‘Special permission’notrequired) tothe PAWSWorkpaper
folder(IDsame as inthe ‘ServerWorkPaper Path’ fieldof ‘WorkPapers’folderunder‘System
Configuration’ asabove).
RELEASING ‘LOCKED’ STATUS OF USER (AUDITOR)
1. SometimesaUser(auditor) maybe ‘lockedout’of PAWSsystemdue tocertainreasons,for
instance if s/he closesthe PAWSwindow withoutloggingout,orPAWSnetworkconnectionis
broken.
2. At Home page,click‘SystemAdmin’(2nd
tab) onleftspine.
3. Click‘Users’onleftspine.
4. Locate the concernedUser’sname underappropriate sectiononthe main(right) screene.g.
under‘Manager’or under‘FieldworkAuditor’.
5. Uncheck (make blank) the box underthe ‘Locked’columnagainstthe concernedUser’sname.
AUDIT FINALIZATION AND CLOSURE
1. Afterthe final reportforan Auditisissued,the datainPAWSfor that Auditneedstobe brought
insync withthe final reportissued,andmade non-editable.
2. Enter the Audit(ref.steps1-3under‘AuditReview’above).
3. Finalize ObservationsandActions:
a. Click‘Observations&Actions’onleftspine.
b. Checkthat inthe main(right) section,the upperportionis titled‘Observations’,andthat
listof Actionsare displayedinthe lowerportion(click‘Actions’tabinlowerportionif
necessary). If not,select‘Observations’optionfromthe ‘View’ menuontop,right-click
inthe Observationssectionandensure thatthe lastoption‘Show/Hide Additional
Information’isselected(checked).
c. Openeach‘Observation’bydouble-clicking,andcheckto ensure thatall fieldsare
completelyinsyncwiththe final reportissued.
d. Checkthat for each‘Observation’(exceptthose whichare marked‘No’inthe
‘Reportable’field,withreasonsinthe ‘ReasonforExclusion’field),anActionisvisiblein
the lowerportion(‘Actions’tab). If more thanone ActionexistsunderanObservation
(exceptforvalidreason/asintended),delete all exceptthe lastAction.
e. Openeach‘Action’bydouble-clicking,andchecktoensure thatall fieldsare completely
insync withthe final reportissued.
4. Finalize Tests:
a. Clickon firstoption‘AuditSummary’inleftspine.
b. Check‘Tests – Status’ section(clickon‘+’signon leftof ‘Tests – Status’if requiredto
expand) toverifythata number(of Tests) isshownonlyunder‘Reviewed’column. If
any number(of Tests) isshownunder‘Incomplete’and/or‘Complete’columns,pl.carry
out ‘AuditReview’(see sectionabove).
c. Check‘Points’section(clickon‘+’signon leftof ‘Points’if requiredtoexpand) toverify
that a number(of Pointsraised) isshownonlyunder‘Cleared’column. If anynumber
(of Points) isshownunder‘Open’and/or‘Complete’columns,pl.‘Resolve previously
raise reviewPoints’(ref.‘AuditReview’sectionabove).

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d. Clickon secondoption‘WorkPlan’inleftspine.
e. Rightclickthe workArea(inbold) andselect‘SettoApproved’ –thissetsall Testswithin
that area alsoto ‘Approved’status. (Ittakes few seconds.)
5. Close Audit
a. Complete finaldetails:
i. Access‘AuditDetails’section(clickon‘+’signonleftof ‘AuditDetails’if
requiredtoexpand)
ii. Change ‘AuditStatus’fieldto‘AuditComplete’. (Thiscanbe done evenearlier
also,to ensure thatauditsforwhichfinal reportshave beenissued,butPAWS
data not synchronizedyet,are correctlyreportedinthe relevantDashboarde.g.
ref.‘AuditsbyStatus’dashboardunder‘Dashboard’within‘Universe
Management’spine item.)
iii. Fill in‘AuditRating’and‘AuditeeResponsivenessRating’(the tworatingsbelow
‘RiskMap’ inthe final auditreport) andanyotherfieldsif required.
iv. Fill inall datesunder‘Actual Date’intable.
v. In the alertgeneratedonclickingin‘…’within ‘Issue of Final Report’field,fill in
final auditreportdate inthe ‘ReportDate’fieldandclick‘OK’button. (Onlyon
doingthis,the Actionsdataflowsto‘ActionTracker’under‘Universe
Management’, andto the variousActionsdashboardse.g.‘ECDashboard’.)
b. Select‘SignOff Warnings’from‘File’menuontopandreview ‘SignOff Warnings’(if
any).
c. Take appropriate actionforanythingpending.
d. If (and when) the alertgeneratedis‘There are nosign-offwarningsremainingforthis
Audit’,clickthe ‘OK’button.
e. Select‘SignOff Audit’from‘File’menuontop. (Thiswouldnotexecuteif any‘SignOff
Warnings’are pendingresolution.)
CREATING/UPDATING ACTIONUPDATES FROM AUDITEES (‘PROGRESSUPDATES’)
(To be done byconcernedUser/auditorora specificallyassignedUser/teammember,where updates
receivedfromauditeesthroughemailetc.andnotdirectlyupdatedinPAWSbyWebActionUsers)
1. Enter the Audit(ref.steps1-3under‘AuditReview’above).
2. Click‘Observations&Actions’onleftspine.
3. Checkthat inthe main(right) section,the upperportionistitled‘Actions’,andthatlist/tabof
‘ProgressUpdates’is displayedinthe lowerportion(click‘ProgressUpdates’tabinlower
portionif necessary). If not,select‘Actions’ optionfromthe ‘View’ menuontop,right-clickin
the Observationssectionandensure thatthe lastoption‘Show/HideAdditional Information’is
selected(checked).
4. Right-clickbelow‘ProgressUpdates’tabandselect the firstoption‘AddProgressUpdate’(or
select‘AddProgressUpdate’optionin‘Action’menuontop,or click‘AddProgressUpdate’icon
on secondline belowtopmenu).
5. Fill inall necessaryfields. (‘Owner’/auditeecanbe differentfromthe one assignedoriginallyor
at last update.)
6. A ‘blank’Progress Update’maybe created,perhapswithjust ‘Owner’and ‘AuditorComments’
fieldfilledin,whenanActionisre-assignedfromone auditee/ ’Contact’/WebActionUsere.g.
one wholeavesthe company,toanotherauditee/’Contact’/WebActionUser.
7. If the ‘ActionStatus’fieldisselectedas‘Closed’or‘Dropped’,carefullyreview the contentsfor
closure. (Once a ‘Closed’or‘Dropped’ProgressUpdate issaved,neitheritnorthe concerned

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Actioncan be changed/edited,exceptbycreatinganotherProgressUpdate withadifferent
ActionStatus.)
8. If acceptable,selectthe ‘Accepted’optionandclick‘OK’. (Thisupdatesthe concernedAction
also.)
REPORTS/FEATURES USED (Main)
1. ‘IFD– Initial FindingsDocument’(under‘Otherreport’ ->‘PentanaFindings&Actions’category)
2. ‘Draft Report’(under‘Otherreport’ ->‘PentanaFindings&Actions’category)
3. Dashboards(under‘Universe Management’spine item fromHome screen)–clickingonany part
of the chart/ graphicshowsrelevantdatainthe bottomhalf of screen
a. ‘AuditbyStatus’(individual Auditscanbe accesseddirectlyfromwithindashboard)
b. ‘EC Dashboard’(withdetailsof OpenActionsfunction-wise)
c. ‘ActionsByOwner’(usefulforcreatingalerts/emailsfromwithinPAWS)
d. ‘ActionsByDepartment’
4. ‘ActionTracker’ (under‘Universe Management’spineitem fromHome screen)–mainrelevant
data isaccessible throughthe numbersdisplayedin‘Open’columnunder‘ActionStatus’group,
function/’Assignment’-wise;clickingonanynumbershowsrelevantActionsinthe bottom
portionof screen,andfull detailsof the Actioncanbe seenbydouble-clickingindividual items
on the list. (Also,the relevantAuditcanbe accessedthroughright-click/’Action’menu/icon,to
reviewrelevantObservationetc.)
5. ‘LibraryManagement’(spine itemfromHome screen):
a. ‘ReportDesigner’(manyreports,beyondthe in-builtones,have beencreatedby
Administrator/otherUsers;a recommendedwayisto‘Copy’an in-builtreportandmake
changesby opening/double clicking,butcompletelynewreportscan/have alsobeen
created)
b. ‘DashboardLibrary’(manykindsof Dashboards/chartscanbe designede.g.‘EC
Dashboard’sharedwithEC members)
c. ‘ObservationsLibrary’(sampleObservationswithstandard‘ObservationHeading’have
beencreatedhere,tofacilitate consolidatedreportingacrossAudits/units/years)
d. ‘RisksandControlsLibrary’(the RACMsconfiguredinPAWSduringimplementationare
available here alongwithbuilt-in‘COSO’library,accessible through‘Pre-Filter’optionon
right-click).
6. ‘PickLists’(under‘SystemAdmin’spineitemfromHome screen) –usedtoconfigure itemsto
appearin dropdownmenusinvariousfieldsacrossPAWS.

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Annexure-1
Observations and Actions
A few tips
1. in order to ensure that the Tests, Observations etc. appear in the correct order, pl. number
themin the two-digit format (e.g. ‘T-01’ or ’01’) instead of one digit (e.g. ‘T-2’) – e.g. if we sort
by Test number (by clicking on the ‘Test Ref’ heading in Tests listing), ‘T13’ appears after ‘T2’
(which is probably not what is intended).
2. As far as possible, the text in ‘Observation Title’ should be harmonized with those in the
‘ObservationsLibrary’(alsoaccessible through the ‘Observations Library’ option under ‘Library
Management’). This can be done by ‘adopting’ an Observation from the Library (instead of
creating a new Observation by filling in all fields) – separate guidance document available on
this (Library observations_adoption.docx). Using standard ‘Observation Title’ would facilitate
consolidated reporting of same/similar Observations across Audits/units/years.
3. When Observations are completed, the related ‘Actions’ should also be generated – all it
requires is selecting the ‘Add action on close’ box at the bottom of the Observation window,
before clicking‘OK’. It’sperhaps acceptable to omit generating Action/s while the audit is still
ongoingor the reportisat draftstage,but itshouldbe ensured that Actions are duly generated
once the Final Report is issued.
4. Sometimes an Action is (wrongly) generated against an Observation, for instance when the
Observation is marked ‘No’ for ‘Reportable’:
a. At the stage where we mark the ‘Reportable’ parameter as ‘No’ for an observation
(eitherwhencreatingthe Observationorwheneditingitsubsequently),donotmark the
‘Add Action on close’ check box at the bottom of Observation screen (just above ‘OK’
button) or, if it’s already checked,remove the check-mark by clicking it.
b. In addition, if an Action has already been created for that Observation earlier (and we
mark itnon-reportable subsequently), go to the ‘Observations & Actions’ screen (click
option on left spine), find and click on the specific Observation, click on the related
Action in the lower half of the screen, right-click and select ‘Delete’.
c. The above (b) shouldalsobe done whenmore thanone Actionhas beenunintentionally
createdagainstthe same Observation,usuallybykeepingthe ‘Add Action on close’ box
checkedwhile clicking‘OK’inthe Observationmultiple times(e.g.afterediting). In such
a case, all Actionssocreatedexceptthe lastone shouldbe deleted(since the lastAction
created is in sync with the latest edited version of the Observation).
5. An Actionshouldbe marked ‘Closed’ only after very careful review. Once an Action is marked
‘Closed’,itcannotbe deleted,evenif foundunnecessary(includingwhere multiple Actionshave
been created under the same Observations where not required), unless we delete the
Observation itself under which the Action was created, thus necessitating much extra effort.