Complete an Assessment

An assessment batch may include any number of object records to be assessed, but assessment actors work with each of them individually. An impromptu assessment necessarily concerns a single object.

In some cases, an assessor may be able to assess an object all at once. In other cases, the assessor may begin the assessment, save it, and return to it later. A control assessment, for example, may include a test plan that specifies a sample size (a number of control enforcements to be examined) or a test frequency. Either would create a need for repeated testing over time. The assessor would save the assessment to preserve work that remains in progress, and submit it only when it's complete.

In any case, actors may include not only assessors, but also reviewers, approvers, and viewers. Each can use any of the following methods to open an assessment to work on it. But each method involves selecting an action, and the actions available for selection vary. An actor would see only actions appropriate for the state of an assessment. For example the Perform Assessment action appears only when the state is New, or Review Assessment only when the state is In Review.

Select a worklist entry for an object to be assessed, reviewed, or approved.
Use the My Assessments page:
1. In the Assessments work area, select the My Assessments tab.
2. Search for the assessment you want to complete. At minimum, you must sort by the type of object you want to assess.
3. Select the row for the object you want to assess.
4. Expand the Actions menu and select among the actions available to you.
Use the Assessment Records page:
1. In the Assessments work area, select the Assessment Batches tab.
2. Search for the batch that includes an assessment you want to complete. In its record, click its Count value.
3. An Assessment Records page lists the assessments included in the batch. Select the one you want to complete, expand the Actions menu, and select among the actions available to you.
Use the Processes, Risks, or Controls work area:
1. In the appropriate work area, select the Assessment tab.
2. An Assessments page displays a list of assessments that satisfy two criteria: they apply to instances of the object you're working with, and you’ve been selected as an assessor, reviewer, approver, or viewer for them. Select the row representing one of these assessments.
3. Expand the Actions menu and select among the actions available to you.
Use the record of an individual process, risk, or control.
1. In the Processes, Risks, or Controls work area, navigate to the individual record of the item you want to assess. For example, click the Controls tab in the Controls work area, then click the name of a control.
2. Within that record, click the Assessments tab. This lists assessments that apply specifically to the item.
3. Select the row for the assessment you want to work on, and click an Actions button for the task you're completing.

Depending on the object being assessed, you're presented with some or all of the following pages. Some pages are for viewing information. In others, assessors enter responses.

An Introduction page presents assessment details and identifies assessment actors. Among the details, you can click a Record Being Assessed entry to open the record of the item you're assessing, in read-only format. Within that record, you can select the Assessments tab to view records of prior activity for this assessment.
An Enter Test Results page enables you to complete a test plan. This page appears only for the assessment of a control for which a test plan has been created.

For each test step, and for the plan as a whole, the page presents Result and Result Summary fields. For each step and then for the full plan, select a result such as Pass or Fail. Also write a summary, which is a comment justifying the result you selected.

Each step result applies to its step as a whole. If the plan specifies a sample size, you wouldn't record a distinct result for each control-enforcement instance in the sample. You can edit results until you submit the assessment, or even after if a reviewer or approver rejects the assessment and returns it to you.

The page also contains a Collected Samples field. Enter the number of control-enforcement instances you’ve evaluated for the test plan.
A Complete Survey page enables assessors to respond to survey questions. This page appears only if the assessment owner selected a survey for the assessment during initiation. Note that a survey applies to an assessment batch. Each assessment in the batch has its own instance of the survey. Depending on how the owner configured the batch during initiation, survey responses may be required.

Upon completing the survey, the assessor clicks a Register Your Survey Responses button. This finalizes work on the survey without also submitting the assessment it belongs to. (The assessment can be submitted only from the Complete Assessment page.)

Survey responses entered by the assessor are available to reviewers and approvers in the Complete Survey page as they evaluate the assessor's work. If they reject the assessment or return it for more information, the assessor can modify survey responses, this time clicking an Update Your Survey Responses button to finalize them.
On the Complete Assessment page, the assessor enters a response to the activity question selected for the assessment. This determines whether the object passes or fails the assessment. The assessor may also create a summary statement, create an issue (if the assessment batch has been configured to allow issues), or attach a file to the assessment.

For assessments of controls (but not other objects), an Issues Created During Assessment panel displays issues created during the assessment flow. If no issues are created during assessment, the panel doesn't appear.

Descriptive flexfield segments may be defined for assessment activities. If that's the case for the activity selected for an assessment, these appear as fields in an Additional Information panel of the Complete Assessment page. The assessor provides values for them.