Assessments

App navigation: Compliance → Assessments

The Assessments module supports four types of compliance assessment. Each type has its own dedicated inventory and creation page under the Assessments menu, all following the same structured workflow: configure prerequisites → create the assessment → answer questions → review and approve.

Assessment Types #

Type	Use Case
Readiness Assessment	Evaluate readiness for a framework you have not yet formally adopted.
Self Assessment	Evaluate your own organization’s compliance against an authority document.
Third Party Assessment	Evaluate a vendor or partner’s compliance. Links to a Third-Party Inventory record.
Gap Assessment	Identify specific gaps between your current state and a target framework.

Assessment Status Lifecycle #

Status	Meaning
Initiated	Assessment created, questions not yet answered.
In Progress	Actively being completed.
Under Review	Submitted to reviewers.
Awaiting Approval	Pending approver sign-off.
Sign Off	Fully approved. Compliance score is final.
Decommissioned	Assessment retired from active tracking.

Prerequisites #

1. Governance → Company Setup → Response Options – define the answer scale (e.g., Yes / No / Partial / Not Applicable).
2. Governance → Company Setup → Parameters – configure scoring weights and thresholds.
3. At least one Authority Document and Question Catalog must exist.

Completing an Assessment #

Step 1 – Create the Assessment #

1. Navigate to Compliance → Assessments and select the type you need (e.g., Self Assessment, Readiness Assessment, Gap Assessment).
2. Select Create Assessment on the type’s inventory page.

Step 2 – Executive Summary #

• Enter the assessment Title, Owner, and Start / End dates.
• Select the Authority Document and Question Catalog.

Step 3 – Scope, Timeline, and Stakeholders #

• Define the scope of the assessment and any exclusions.
• Assign Reviewers and Approvers.

Step 4 – Answer Questions #

1. Open the assessment (status: Initiated) from the inventory.
2. Work through each question, selecting the configured response option (e.g., Yes / No / Partial).
3. Upload supporting artifacts as evidence and add comments for each question.
4. Submit when complete. Status moves to In Progress → Under Review.

Step 5 – Review and Approve #

1. Reviewers receive a notification and submit their review.
2. Approvers provide final sign-off. The assessment reaches Sign Off status and a compliance score is calculated.

Completing a Third Party (Vendor) Assessment #

A vendor assessment evaluates how well a third-party vendor complies with your requirements. The vendor must exist in Governance → Third-Party Inventory before creating the assessment.

Step 1 – Create the Assessment #

1. Navigate to Compliance → Assessments → Third Party Assessment.
2. Select Create Assessment. The Third Party Assessment wizard opens.
3. Complete the fields: Title, Owner, Start / End dates, Authority Document, Question Catalog.
4. In the Third Party field, link to the vendor record from the Third-Party Inventory.
5. Assign Reviewers and Approvers.

Step 2 – Complete the Assessment #

1. Open the assessment (status: Initiated) and work through each question.
2. Select the response option, upload evidence artifacts, and add comments.
3. Submit when complete. Status moves to In Progress.

Step 3 – Review, Approve, and Sign Off #

1. Reviewers evaluate and submit their review.
2. Approvers provide sign-off. The assessment reaches Sign Off and a compliance score is recorded for the vendor.

Comparing Assessments #

Use the Compare control on the Assessment Inventory toolbar to view up to three completed assessments side-by-side – comparing compliance scores, risk exposure, timelines, and question catalog results across periods.