Overview of Assessments

An assessment is the review of a risk, control, or process, to ensure that it's defined correctly or that its definition remains appropriate over time. You may create assessments in batches, or create individual "impromptu" assessments.

An assessment batch depends upon several components:

• A template designates a primary object of assessment and an activity to be completed in assessments.

• From the template, you develop a plan. It may assign a survey to be completed for the activity specified by the template. The plan may also contain filters that select instances of the primary object named in the template; these become available for inclusion in assessments.

• From a plan, you initiate an assessment batch. You select object instances from those made available by the plan. Although a batch may include any number of instances, participants assess each individually.

An impromptu assessment is simpler. It focuses on an individual instance of a risk, control, or process. You initiate it from the page that object is managed in, specifying an assessment activity for it. You may also select a survey for the assessment, although that's optional. Neither an assessment template nor an assessment plan is required.

In either case, participants in an assessment may include assessors, users who review or approve the assessors' work, and users who view the other users' actions.

Assessors work through pages that present information about an object or that require a response. Finally, as the answer to an "activity question," assessors judge whether the object passes or fails the assessment. Pages vary depending on the type of object being assessed and on whether the assessment is associated with a survey or a control test plan.

In each of the Process, Risk, and Control work areas, you can work with assessments at two levels. You can open a page listing assessments for the object type, then select from that list to complete, review, or approve them. Or, in the record for an individual instance of one of these objects, you can initiate an impromptu assessment. You can also work with assessments of that item, whether impromptu or included in a batch.

Otherwise, to work with assessments, select the Risk Management springboard. Among its options, select Assessments, and then select among tabs to perform assessment tasks. A Worklists tab displays your assessment-related worklist tasks. Other tabs enable you to complete assessments, initiate batch assessments, manage assessments of either type, and develop templates and plans.