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Pentana 5.3

Pentana 5.3 is an enhancement release, available from July 2018. It is supplied as a free upgrade to existing supported customers and as the the standard to new Pentana customers. Pentana users with active Maintenance & Support can download Pentana materials and software free of charge.

This overview, summarizing the enhancements and new features, is intended for customers to help prepare for upgrade to Pentana 5.3.
Please refer to the Functional Overview if you need a more detailed description of general product features.

The main enhancements in Pentana v5.3 include:

Windows User Interface (WPF UI)

  • Customizable Dashboard Charts

    Users can now create and share their own Dashboard Chart Tiles which can display any data previously available in the Analysis screen. These tiles are added to the Home/Audit/Entity Dashboards via a new Gallery interface which includes all of those which existed in earlier versions of Pentana, plus any subsequently created Custom Tiles.

  • Custom Roles

    Administrators can now create a Custom Role, based upon an existing Standard Role, if the number of out-of-the-box set Roles is insufficient within their organization.
    Roles now also have an Active flag so that they can be hidden if they are no longer in use.

  • Rich Text Editor

    It is now possible to edit the Rich Text in either the Property Grid or the full screen editor, with the full set of Ribbon options available in both cases.

  • Auto-Review on Approval

    An item is now automatically marked as "Reviewed" at the point it is "Set as Approved" if it has not already been "Reviewed" by another user. This means that, at the end of the Audit, all items appear both "Reviewed" and "Approved".

  • Quick Undo Sign Offs

    Until now, users needed to un-approve and un-complete several levels of parent items before the child item could be edited. This is now improved so that (for example) un-completing a test would trigger the un-completion of the parent control, risk, and objective.
    This affects all parent/child relationships (e.g. ORCTs and Work Plan/Steps) and all types of Sign Off (i.e. Prepare, Confirm, Complete and Approve). In all cases only the immediate parent objects have their Sign Offs removed, any sibling records remain unaffected.

  • Filtering Improvements

    The Filter Bar has been improved in several ways to make it easier to manage the filters (see full documentation for details).

  • Find on Set Scope dialog

    When the Audit Universe is particularly large it can be difficult to locate the Entity, you wish to include in the Audit Scope on the Org Unit tree. There is now a "Find" option on the Set Scope dialog which filters the tree to show only matching Org Units and Entities.

  • Reporting by Many-to-Many Relationships

    The Pentana schema includes several pairs of tables which have a many-to-many relationship to each other, e.g. Key Issues can link to many Entity Risks, and vice-versa. In many cases these relationships were previously only available to analyse by in one direction, but this limitation has now been removed making it possible to produce even more powerful reports.

Web User Interface (Web UI)

  • Questionnaires

    Web Users (typically Business Users) can now answer (and Sign Off) Audit Questionnaires which have been assigned to them by the Audit team. Initially these are likely to be Satisfaction Surveys or SOX Certification Questionnaires, but they do support logic.

  • Home tile permissions

    Each Home Tile (i.e. Action Tracking, Incident Reporting, Entity Risk Management and Questionnaires) now has an associated Permission so that the Administrator can choose specifically which modules are visible to which Roles. This is analogous to how they can already control which Spine Items are visible to which Roles in the WPF UI.

  • Customizable Dashboards

    The web users can choose which of the available Widgets they have visible on each of the Dashboards and in which order they appear. This applies to the Action Tracking, Incident Reporting, Entity Risk Management and (new) Questionnaires Dashboard

Technical

  • Single Sign On

    When customers use Pentana in a hosted environment their users previously had to use FBA (or Certificates) to login to the application. The introduction of Single Sign On (SSO) means that they can now effectively use Windows Authentication with the users being authenticated against the customer‘s own domain.

  • Performance Telemetry

    When performance is poor in a customer‘s environment it has previously been difficult to ascertain where the bottleneck is or to verify that the Pentana Service is not being saturated, for example. Pentana v5.3 comes with a new server-side performance monitoring component which allows the administrator to chart in real-time certain key metrics (e.g. number of SQL transactions, etc.) via a Telemetry Dashboard to confirm that the Pentana Service is coping with demands being placed on it by the Client application(s).

  • WCF/MVC Toggle and Multiple Services

    Communication between the client applications (primarily the WPF UI) and the Pentana Service has, until now, always used WCF. However, since it has proven impossible for us to configure our Multiple Services functionality (i.e. the ability to scale-out to use more server-side processors to increase capacity) to be compatible with WCF and since WCF is also a technology which Microsoft are deprecating we are now preparing to retire it and replace it with MVC. To allow for a period of transition v5.3 supports both WCF and MVC6 and the various configuration files will control which protocol to use. For now, the default will continue to be WCF.

  • Additional Password Rules

    The set of password rules supported when using FBA has been increased to include more configurable options (see full documentation for details).

  • Log Failed Logins

    In v5.3 the Activity Log now records both successful and failed login attempts so the administrator can view (and report on) attempts to use the application by users with no valid Identity.

Minor enhancements

The following is a selection of the other minor enhancements in this release:
  • UI View Export/Import

    It is now easy to export/import UI Views from one database to another via specific controls on the Ribbon. It is no longer necessary to do this manually by manipulating the data and using the Excel Importer.

> Review the "What is new in 5.3" PDF document for details.
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Pentana 5.2

Pentana 5.2 is an enhancement release, available from September 2017. It is supplied as a free upgrade to existing supported customers and as the the standard to new Pentana customers. Pentana users with active Maintenance & Support can download Pentana materials and software free of charge.

This overview, summarizing the enhancements and new features, is intended for customers to help prepare for upgrade to Pentana 5.2.
Please refer to the Functional Overview if you need a more detailed description of general product features.

The main enhancements in Pentana v5.2 include:

Windows User Interface (WPF UI)

  • Entity Dashboard

    When an Entity is launched, the user is now taken to an Entity-level Dashboard which is like the Home Dashboard in terms of functionality but contains Widgets displaying data specific to that Entity.

    The set of available Widgets includes numerous charts which are designed to indicate which areas of the Entity need attention. They direct the user toward the work they need to perform rather than them having to go searching for it by clicking each spine item in turn.


  • Hierarchy Matrix Functionality

    The Hierarchy Matrix component is used in various places within the application including Action Tracker and Risk Exposure.

    Prior to v5.2 is was only capable of showing a matrix of Entity/Org Unit vs. Process/Process Area but it has now been generalized to use other segmentation(s) for one (or both) of the axis.

    The user can choose to analyse by any segmentation (including custom fields) on the object in question (e.g. Action or Entity Risk) or a parent object (e.g. Audit, Entity Objective, etc.).


  • Risk Movement

    Each Entity Risk/Control already has a "history" of Assessments with the most recent one being referred to as the "Current Assessment". In v5.2 each one now also has a "Previous Assessment" which is defined as the Assessment which applied at the time of the Last Review of that Entity Risk/Control.

    The "Previous Assessment" information can be shown on the Entity Risk Register together with an indication of whether each individual Risk/Control is increasing or decreasing.

    Furthermore, the Risk Exposure (and Control Coverage) can be used to show the movement for a set of records. An arrow indicates the trend is for the Risks (increasing or decreasing) since the Last Review of each item.

    When this "movement" analysis is combined with the change described above (using segmentations as the axis rather than being limited to the Audit Universe) this screen is now an extremely powerful tool for analysing which types of Risk are trending up/down.


  • Entity Risk/Control Notifications

    There are now standard Robot Jobs to send Initial and Reminder Emails relating to the External Assessment of Entity Risks/Controls (which can now be done via the Web UI).

    The parameters for these Jobs are like those for the analogous Jobs used for Action Tracking and can therefore be configured via System Settings and the App Manager.


  • Chart by Numeric Fields

    The Analysis screens have previously been limited in that they only allow the user to Count the number of records in each Category/Series. It is often useful to also find the Sum, Average, etc. of a Numeric field over each Category/Series.

    Useful analyses would include Sum of Time Sheet Line Values over each Audit (or Audit Type), or Incident Values over each Incident Type, etc.


  • Audit Processes

    Within an Audit it was not previously possible to add child objects such as Attachments or have Custom Fields at Process-level because there was no database table to represent a Process within an Audit. This table does now exist and, like Entity Process, the records are automatically added/deleted when the user changes the Audit Scope.


  • Auto-commit Attachments

    When an Attachment (e.g. a Word document) is launched from within the application it is now monitored so that when the user closes it and returns to the Pentana they are immediately prompted whether they wish to Commit (or Discard) the file, or if they wish to Ignore the file (to continue to work on it later).


  • Copy/Paste Attachments

    It is now much easier to Copy/Paste Attachments (including in bulk) out of Pentana into an Email or Explorer, etc. when it is necessary to share them externally.


  • Over/Under Budget Fields

    Calculated fields have been added to Audit and Audit Assignment to display the difference between the Budget, Planned and Actual Time and, at Audit level, the difference between the pairs of Effort and Time values. Since users can now also Chart by Numeric fields, it is now easy to analyze which parts of the organization are under/over performing, etc.


Web User Interface (Web UI)

  • Accept/Reject Action Updates

    The Action Tracking module already allowed Business Users to mark their Action Updates as "Submitted" but assumed the Manager (typically an Auditor) would use the WPF UI for the remainder of the life-cycle.

    As of this release the Manager (auditor) can also use the Web UI to "Accept" or "Reject" the Action Updates.


  • Problems & Findings

    It is now possible to view which Problem(s) each Finding relates to through the Web UI as it is often useful information to a user who is responding to a Finding or performing a subsequent Action.


Technical

  • Bulk Workflow Performance

    When records are deleted in bulk (i.e. by selecting multiple rows on a Data Grid) these are now deleted from the database in batches which reduces the number of round-trips and therefore improves performance when working over a wide-area with poor latency.


  • Hierarchy Matrix Performance

    The performance of the Risk Exposure and Control Coverage screens has been improved by moving more of the calculation work to the server, thus reducing the total amount of network traffic, especially when the Audit Universe is very large.

    The construction of the row/column headers has also been improved which gives a performance benefit for all screens containing a Hierarchy Matrix, i.e. including Action Tracker, etc.

    The performance of the Data Tree (typically used to show the Org Structure navigator) has also been significantly improved especially when the Audit Universe is very large.


Minor enhancements

The following is a selection of the other minor enhancements in this release:
  • Show Staff to Contacts
  • Launch to Analysis
  • Budget Effort
  • Website Email Tag
  • Audit Competed/Approved fields
  • Review History
  • Assessment Filters
  • Current Audit
  • Rich Text Keyboard Support
  • Close Tabs

> Review the "What is new in 5.2" PDF document for details.
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Pentana 5.1

Pentana 5.1 is an enhancement release, available from March 2017. It is supplied as a free upgrade to existing supported customers and as the the standard to new Pentana customers. Pentana users with active Maintenance & Support can download Pentana materials and software free of charge.

This overview, summarizing the enhancements and new features, is intended for customers to help prepare for upgrade to Pentana 5.1.
Please refer to the Functional Overview if you need a more detailed description of general product features.

The main enhancements in Pentana v5.1 include:

  • Home Dashboard

    The Home screen which welcomes the user to Pentana has been improved to provide quicker/more flexible access to the most useful information. The improvements include:
    - New "tile" interface
    - New Widgets (including Charts)
    - Improved layout options (multiple columns, variable sized Widgets)
    - Improved Widget picking interface
    - Improved configuration options (e.g. filtering, column picking)
    - Load/Save Views (including making a saved view "public")


  • Audit Dashboard

    When an Audit is launched the user is now taken to an Audit-level Dashboard which is similar to the Home Dashboard in terms of functionality but contains Widgets displaying data specific to that Audit.

    The set of available Widgets includes numerous charts which are designed to indicate overall Audit progress and which area of the Audit need attention. They direct the user toward the work they need to perform rather than them having to go searching for it by clicking each spine item in turn.


  • Time Recording

    Time spent on Audits (and non-Audit Tasks) can now be recorded within Pentana. The functionality includes:
    - Time can be recorded against an Audit or Task (e.g. Holiday)
    - For Audits recorded time can be broken down by Component if required
    - Comments can be added against each Time Sheet Line
    - Time Sheet can be marked as Completed/Approved
    - System Settings control day length and weekend visibility, etc.
    - Flexible validation rules for Time Sheets
    - Flexible Time Sheet Periods
    - Control over which of the Staff (or Contacts) must record time
    - Dashboard Widgets for Managers to see "overdue" Time Sheets

    The recorded time is then rolled-up to Audit level to allow the Audit Manager to compare the Budget/Planned Time vs. Actual Time which has been recorded.


  • Multiple Risk Impacts

    Pentana can now be configured to allow Risk Impact to be measured in terms of multiple factors such as "Financial", "Reputational", "Health and Safety", etc.
    When Multiple Impacts are turned on the "overall" Impact is calculated as the largest of the scores for each individual factor.
    The Ratings and Scores which arise from each individual Impact Score (after combining it with the Likelihood) are all available to show as column on the Data Grid (and hence on reports).


  • Review & Points

    The relationship between Reviews and Points has been removed so they are now completely independent of one another.

    Most Audit-level objects such as Steps, Tests, Findings, etc. can still have Points but they are no longer allowed outside of an Audit. In particular, they can no longer be added to Actions and Key Issues/Incidents.

    Many objects (including those outside of an Audit, like Action) continue to have Reviews and this functionality has also been improved to include displaying each item’s Review "history" as a child Data Grid and allowing the "Last Review" information to be easily included on screen/reports.

    Each item now also has a “Review State” to indicate if it is "Not Reviewed", "Changed" (since Last Review) or "Reviewed" (and not subsequently changed).


  • Entity-level Reviews

    To make it easier for the Entity Risk Register to be assessed/reviewed in an on-going cycle the Entity ORCTs can now have "Reviews" in the same way as their Audit-level counterparts.

    As at Audit-level, an Entity ORCT can be Reviewed by multiple users with the most recent one being displayed as the "Last Review" (for reporting purposes). If an item has been "Reviewed" and is subsequently changed or re-assessed (or has the assessment cleared), it reverts to a "Changed" state so the Risk Manager can easily see that it needs to be re-reviewed. This new functionality has also been added to the Web UI.

    It is therefore no longer necessary to create a Risk Review Audit in order to carry out a periodic reassessment of the Entity Register, although an Audit is still required/recommended if you wish to include Findings, Points, etc. in your review.


  • Rich Text Editing

    The interface for editing Rich Text fields has been greatly improved and is now a full screen editor with a large number of text editing commands available via the Ribbon.

    Basic formatting options include font/size, bold, underline, italics and colours, etc. but some advanced options are now also fully supported such as alignment, bullet points, tables, tick/cross icons and commands like Cut, Copy, Paste, Find and Replace.


  • Retire Entity/Processes

    Entities and Processes already each had an Active flag which could be set to False. Inactive items are hidden from the Navigators and Hierarchy Matrix and can no longer be used for the Scope of an Audit or Action, etc.

    However, in order to set an Entity or Process to inactive it is necessary to "close" off all the linked items. During that time the Entity or Process could still be actively used.

    It is now possible to mark an Entity or Process as "Retired" which has the effect of preventing new items from being assigned to them and yet still showing them on the Navigators and Hierarchy Matrix in order to track the remaining "open" items which are still linked to them.


  • Convert Staff of Contact

    It was already possible to "convert" a Contact to Staff in the event that they change from being a Business User to a full member of the Audit Team. It is now also possible to convert back the other way if required.


  • (Web UI) Get from Library/Entity

    When managing an Entity Register in the Web UI it is now possible to "get”" ORCTs from either the Library or another Entity which is mapped to the same Processes:


  • (Web UI) Refresh from Library

    Furthermore, when an Entity Register contains items which originated in the Library it is now possible to "refresh" them in order to apply any changes which have been made to the Library since they were "got":


  • (Web UI) Risk/Control Matrix

    The Web UI now also includes a Risk/Control Matrix UI to show the spread in terms of Likelihood/Impact and Design/Operation respectively.


  • (Web UI) Windows Authentication

    The Web UI can now also be configured to use Windows Authentication if required. This reduces the administrative burden of using Forms-based authentication on a large internal implementation.

    Forms-based authentication is still supported as it remains useful in the event that the Web UI is being exposed to external users who are not part of the same domain.


  • Minor enhancements

    The following is a selection of the other minor enhancements in this release:
    - Get "Out of Scope" items
    - Data Grid Warning / Data Grid Limit
    - Risk / Control Assessment Property Grid Section
    - Charting by all Segmentations
    - Exposing Super-Segmentations
    - Analyze Audit Notes
    - Action Update "History" Fields
    - Hierarchy Matrix Useability
    - Web Problems

> Review the "What's new in 5.1" PDF document for details.
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Pentana 5.0

Pentana 5.0 is an enhancement release, available from October 2016. It is supplied as a free upgrade to existing supported customers and as the the standard to new Pentana customers. Pentana users with active Maintenance & Support can download Pentana materials and software free of charge.

This overview, summarizing the enhancements and new features, is intended for customers to help prepare for upgrade to Pentana 5.0.
Please refer to the Functional Overview if you need a more detailed description of general product features.

The main enhancements in Pentana v5.0 include:

  • Windows User Interface (WPF UI)

    The WPF UI (and to a lesser extent the Web UI) has been updated to a brand new blue/grey theme which replaces the previous black/cyan one. This gives the UI a fresh new look and feel but without changing the functionality significantly.

  • Data Grid Improvements

    The Data Grid component has been improved in terms of functionality, usability and performance.
    Changes include:
    - Clear all buttons added for on-grid and pre-filters
    - Filter information panels added for currently applied on-grid and pre-filters
    - Clear all columns button
    - Greatly simplified column picking for child grids
    - Sorting by a Segmentation is now by Order
    - Segmentations are now shown as coloured blocks

  • Set Scope Dialog box

    The interface for setting Audit Scope has been re-designed so that it no longer uses the Hierarchy Matrix component and therefore performs far better when used on a database with a very large Audit Universe.
    This dialog is also used when setting the Scope of other objects such as Incident, etc. and users still have the option to use the previous interface if their Audit Universe is sufficiently small.


  • Permission Settings

    The interface for viewing/editing Permissions has been re-designed to make it easier to compare the settings across Roles and to see which settings have been changed from their default values.


  • Confidential Audits

    Audits can now be marked as "Confidential" and the Read Audits Permissions have been changed to allow the administrator to control which Roles have access to standard versus confidential Audits independently. This improvement means that it is no longer necessary to work around the issue by using the Department segmentation and the flexible Permissions allow you to closely control which Confidential Audits a given user can see.


  • System settings

    A significant number of System Settings which could previously only be edited via the App Manager are now exposed in the WPF UI so they can be changed by the administrator.


  • Web User Interface

    The Web UI has also been updated to have a new layout/theme making use of our new Ideagen user interface components.
    Navigation is slightly different in that there is now a new Home Screen which consists of 3 tiles (Action Tracking, Incident Reporting, and Entity Risk Management) which provide access to the different modules which now make up the Web UI.


  • Web Findings

    In v5.0 the functionality has been extended so that the Business Users can be involved earlier in the process (subject to Permissions) allowing them to:
    - Respond to Findings
    - Execute Findings
    - Define Actions
    - Delete Actions


  • Web Risks

    The most significant new functionality which has been added to the Web UI in v5.0 allows the Business Users to participate in the assessment and management of the Entity Risk Registers.
    The functionality available within the Web UI now covers the following Permissions:
    - Define Entity ORCTs
    - Lock/Unlock Entity ORCTs
    - Execute Entity ORCTs
    - Assess Entity ORCTs
    - Delete Entity ORCTs


  • Web Views

    The Web UI now allows users to customize the Data Grids (i.e. pick columns, apply filters/sorts, etc.) and to save these for use later or share with other users (subject to Permissions). They can also choose a favourite View for each screen which is applied by default.


  • Custom Fields (Web)

    Custom Fields are now fully supported in the Web UI on all available objects.
    Custom Fields automatically appear in the Web UI when they are added via a Customization supplied by Ideagen or Sepia Solutions. The Custom Fields appear on the Web Property Grid in the same places as in the WPF UI and are also available on the column picker and for filtering.


  • App Manager

    For Pentana 5.0 there has been a very significant improvement to the management tool which should reduce this burden considerably to the point the power users may, in some cases, be able to upgrade the Pentana application themselves without the need to consult with Ideagen or their reseller partners.


  • Multi-Language Segmentations

    It is now possible to give each "segmentation" a different value in each language and the appropriate value is displayed to the user throughout the WPF UI, Web UI and various reporting mechanism such as Doc Pop.


  • Bulk Assessment of Risks and Controls

    The Risk Register screens (at all levels) have been improved so that Risks and Controls can now be "assessed" in bulk. This makes it quick and easy to apply the same Assessment to copies of the same Control which has been pasted against multiple Risks, for example.


  • Rich Text Buddy Fields

    Each "rich text" field in the database (on non-cached objects) now comes with a "buddy" field to contain the "plain" text equivalent which can be used for reporting and/or exporting to an external application which does not support the mark-up language used by the application.


  • Minor enhancements

    The following is a selection of the other minor enhancements in this release:
    - Hierarchy Matric Performance
    - Expand All Performance
    - Filtering
    - Refresh Audit Milestones
    - Convert Contact to Staff
    - Finding Permissions
    - Action Update Permissions
    - Roll Forward Candidate Audits
    - Additional Roles
    - Test/Execute Robot job

> Review the "What's new in 5.0" document for details.
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Pentana 4.2

Note that the label "Vision" has been dropped and the software is now simply called "Pentana".

Pentana 4.2 is an enhancement release, available from February 2016. It is supplied as the standard to new Pentana customers.
Pentana users with active Maintenance & Support can download Pentana materials and software free of charge.

This overview, summarizing the enhancements and new features, is intended for customers to help prepare for upgrade to Pentana 4.2.
Please refer to the Functional Overview or Online Help if you need a more detailed description of general product features.

The main enhancements in Pentana v4.2 include:

  • Web interface

    Pentana 4.2 introduces a new web-browser capability specifically targeted for business users, so they can access the "My Actions", "My Action Updates" and "Raise Incidents" modules through a simple web browser interface.


  • Key Issues / Strategic Risks

    In Pentana 4.2, the new "Key Issues" feature addresses a third key strand in the management of risk; namely the high-level, strategic or macro risks that affect an organization as a whole, require strategic attention and management, and often inform operational risk management at lower levels throughout the business.

    Key Issues can be defined centrally, related to applicable parts of the universe, linked to specific Entity Risks and Audit Problems and owned and managed through to their eventual resolution.


  • Definition Sign Offs

    In previous releases, the life-cycle of each object was typically:
    Open ⇒ Completed ⇒ (optional Reviews) ⇒ Approved

    This release introduces an optionally extended life-cycle is also supported, effectively:
    Open ⇒ PreparedConfirmed ⇒ Complete ⇒ (optional Reviews) ⇒ Approved

    The "Prepared" and "Confirmed" sign-offs are available where an explicit Definition approval cycle is required.
    The "Complete" and "Approved" sign-offs relate to its Execution cycle.


  • Sampling

    New objects were added for "Samples", "Sample Items" and "Sample Results".

    Information and results can be captured individually against each Sample Item/Test before an overall result is documented for the Tests as a whole. This enhancement enables customers to bring their sampling work within the structured system.


  • Audit Problems

    This release introduces a new "Problem" object at Audit level.
    - A Problem can optionally link to multiple Findings within an Audit.
    - A Key Issue can optionally link to multiple Audit Problems.
    - Problems can be documented, managed and signed off in the usual way.


  • Notes

    This release features a new "Notes" object which can be enabled to allow attachment to nearly all parent objects.
    The availability of Notes as a child object against designated parent items can be determined according to system configurations.
    Notes do not have screens or a life-cycle of their own but inherit their status from their parent item, in the same way as file attachments.


  • Post Audit Work

    This release introduces additional flexibility with regard to the nature and extent of work that can be executed after an Audit has been "Approved", right up until when the Audit is "Closed".

    The system now allows for individual Work Plans/Steps, Objectives/Tests and Questionnaires to be flagged in the library as "Post Audit".
    For example, some customers may wish to allow a "Satisfaction Survey" questionnaire to be executed after the Audit has been "Approved".

    The system now also supports several system settings to determine at what stage Problems, Findings, Actions and Audit Reports become read-only.


  • Get Findings & Actions

    Pentana now provides more flexibility pertaining to the follow up of Findings & Actions raised in previous Audits by introducing a new "Get from Audit" facility at the Findings & Actions screen.

    It is now possible to copy all or selected open items into a new Audit and to automatically close the original items in order to avoid double counting.

    This feature will be useful where an organization has a policy of carrying out "follow-up audits" to determine action status, rather than following up all actions individually.


  • Many more minor enhancements

    - Please refer to the full "What is new" documentation for details.

> Review the "What's new in 4.2" PDF document for details.
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Pentana Vision 3.2

Pentana Vision 3.2 is an enhancement release, available from July 2014. It is supplied as the standard to new Pentana Vision customers.
Vision users with active Maintenance & Support can download Vision materials or request the Vision software free of charge.

This overview is intended for customers, to help prepare for upgrade to Pentana Vision 3.2.
It summarises the enhancements made since Pentana Vision 3.0.
Please refer to our Functional Overview or Help Guides if you need a more detailed description of general product features.

The main enhancements in Pentana Vision v3.2 include:

  • Planning and Sceduling

    Pentana Vision 3.2 introduces comprehensive and flexible new universe planning, risk assessment and scheduling features including:
    - Maintainable library of Planning Risks
    - New Planning Periods concept
    - Planning Risk Assessment options
    - Planning Risk Exposure analysis
    - Advanced scheduling features
    - Candidate Audits concept
    - Enhancements to enhance the ‘Audit Coverage’ screen

  • Incident Management

    Pentana Vision 3.2 introduces flexible Incident Management features, to help satisfy Operational Risk Management (ORM) and Enterprise Risk Management (ERM) requirements. Incident Management features include:
    - Raise Incidents independently of audits
    - Define Incident scope (Entity-Process)
    - Optionally link Incindents to specific Entity Risks
    - Classify each Incident (e.g. ‘Actual Loss’, ‘Near Miss’)
    - Capture monetary values
    - Manage the Incident life cycle
    - Define corrective Incident Actions and manage their subsequent execution
    - Analysis charts and Incident Tracker

  • Entity Actions

    Where customers use the Entity level within Pentana Vision to maintain Entity Risk Registers, this mode has been extended in Pentana Vision 3.2 by enabling Actions to be defined and managed in respect of Entity Objectives, Risks and Controls. Actions at Entity level can be attached directly to the relevant ORCT item.

  • Retain integration

    The level of integration between Pentana Vision and Retain and Retain Time has been extended in Vision 3.2:
    - Budget, Planned and Actual Times are now captured by Person within an Audit
    - Planned Time is calculated from Retain (if present)
    - Actual Time is calculated from Retain Time (if present)
    - Totals are automatically rolled up and reportable
    - Automatic ghost bookings when people are assigned to an Audit
    - Booking entries and actual times update the corresponding Audit Assignment details
    - Vision user Identity information can be synchronized to Retain

  • Assignments

    When assigning Staff and Contacts to an Entity, it is now possible to assign the person to specific Processes within that Entity.
    This can be used in conjunction with related security features.
    The Staff and Contacts screens now include the ability to quickly assign each person to multiple Clients, Entities and Audits.
    Budget, Plan and Actual times can now be captured in respect of individual Staff (and Contact) assignments within an Audit.

  • Licensing enforcement

    Licensing enforcement has been implemented in Pentana Vision 3.2.
    When customers upgrade to 3.2 a licence file will be installed as part of the upgrade.
    The number of active user identities is automatically compared against the customer´s license entitlement and suitable warnings are displayed should the licence limit be exceeded.

  • Usability and other enhancements

    Other, fantastic enhancements (many of which will make working with Vision even more efficient, include:
    - New navigation settings allow users to set their prereffed layout
    - A new Client Universe screen has been added
    - Headers in Universe matrices are handled like ´freeze panes´
    - Drill-down settings in matrices are now saved as part of a view
    - A new ´Control Coverage´ screen has been added
    - An option to collapse charts in the Analysis screens
    - Explicitly set the access roles for Unassigned staff/contacts
    - Changes to fields in the Audit Trail are collored in red
    - Integration with Audit Analytics tools such as Arbutus and ACL
    - Review Points can now (optionally) be purged when an Audit is approved
    - A new display perspective at Entity level exposes the EntityProcesses
    - A ´find´ filter has been introduced in the Terminolgy screen
    - etc.

> Review the "What's new" PDF document for details.
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Pentana Vision 3.0

Pentana released version 3.0 of Pentana Vision in October 2013.
Vision users with active Maintenance & Support can download Vision materials or request the Vision software free of charge.

Pentana Vision 3.0 contains numerous general enhancements that will benefit both new and existing customers. Many of the changes are introduced as a direct response to feedback from customers using Pentana Vision 2.1 or prior. The enhancements in v3.0 are described below under the following headings.

The main enhancements in Pentana Vision v3.0 include:

  • Logic-based Questionnaires

    Within Pentana Vision 3.0, customers can author their own logic-based Questionnaires within the Library screens. The compiled questionnaires can then be brought in and answered as needed within the relevant Audits.

  • LDAP integration

    Pentana Vision 3.0 supports integration with UNIX based LDAP servers and Microsoft Active Directory, to simplify the maintenance of Staff and Contact details within the system. When configured to use LDAP, end users will see additional menu options such as 'Add Person from LDAP' and 'Add Identity from LDAP'. The user may search for a person within a selected directory using a simple search screen and finally select from the list of results to add the person as a Staff or Contact within Pentana Vision.

  • Auto-populate and 'Get' features

    Pentana Vision v2.1 already includes a number of features that enable auto-population and the manual 'get' (selection) of content from Libraries, Entity-level registers and other Audits. These features have been enhanced in Pentana Vision 3.0, including:
    - Objectives, Risks, Controls and Tests (ORCTs) can now be optionally auto-populated into an Audit.
    - Selections can now be made at lower levels than Objective or Work Plan.
    - The rules to 'get' from another audit have been relaxed.

  • Reporting features

    Pentana Vision 3.0 includes the following general reporting enhancements:
    - The ability to add new records in custom two-way templates.
    - A new (read-only) Report Mode option is available and allows for more complex screen-based reports.
    - A new column totalling feature allows for roll up values (e.g. sum, average, count).

  • Other

    Pentana have added additional security improvements and many, many very valuable usability enhancements.

> Review the "What's new" PDF document for details.
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Pentana Vision 2.1

Pentana released version 2.1 of Pentana Vision in March 2013.

Pentana Vision 2.1 is a performance optimisation release, not a functional release, and designed to improve response times throughout the application. It also includes some enablers with regard to forms-based authentication and maintainability of product customisations, while some known bugs are also fixed.

The main enhancements in Pentana Vision v2.1 include:

  • Performance optimisation

    The internal indexing strategy of the SQL Server database has been overhauled in order to significantly improve performance.

  • Forms-based authentication

    Support for forms-based authentication (i.e. user names and passwords) has been introduced, as an alternative to the Windows authentication and certificate-based authentication options.

  • Product customisations

    With regard to product customisations, such as custom fields and rules, Pentana Vision 2.1 improves the way Property Grid definitions are maintained in order to reduce the recurring effort (and hence the cost) of reapplying customisations with each new product release.

  • Other

    Pentana have added new calculated fields against Entities and Audits, which expose the parent Org Unit hierarchy and (in the case of Audits) the Process Hierarchy and parent Entity(ies) for reporting purposes.

> Review the "What's new" PDF document for details.
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Pentana Vision 2.0

Pentana released version 2.0 of Pentana Vision in December 2012.
The main enhancements in Pentana Vision v2.0 include:

  • Business interaction features

    Pentana Vision 2.0 will extend the features with regard to interaction with the business,
    with particular focus on the action tracking and follow-up lifecycles.
    - Introduction of "Action Updates"
    - Automated email notifications
    - Two-way "turnaround documents" allow the business to submit their responses via MS Word or Excel
    - New access roles to control permissions for business usage

  • Email Notifications

    In addition to the specific Email notifications to be developed in respect of the audit reporting and action follow-up lifecycles outlined above, Pentana Vision 2.0 will implement a generalised infrastructure to generate Email notifications for other purposes.

  • Split Tests and Steps

    To give better clarity and simplicity in Pentana Vision 2.0 Pentana have split the Step/Test into two separate objects (Steps and Tests).

  • Audit Milestones

    Pentana Vision 2.0 extends the Milestone functionality delivering a more complete facility for managing Audit Milestones.

  • Data Grid improvements

    Improvements to the ‘Data Grids’ used throughout the system improve performance and flexibility and to facilitate better screen-based reporting.

> Review the "What's new" PDF document for details.
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Pentana Vision 1.6

Pentana released version 1.6 of Pentana Vision in August 2012.
The main enhancements in Pentana Vision v1.6 include:

  • Offline Working

    Check out all or selected parts of an Audit for performance offline.

  • Formatting features

    Hyperlinks
    Cross-references
    Other formatting features

  • Analysis screens

    Audit Reports repository
    Analyse Steps
    Analyse Findings

> Review the "What's new" PDF document for details.
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Pentana Vision 1.5

Pentana released version 1.5 of Pentana Vision in January 2012.
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