Assessment cycle

Step by step

1. Plan assessment Compliance Lead

   Compliance Lead chooses organization, business unit, owner and period, then records the subject, scope statement and planned tests.

   • Set scope, period and owner
   • Updates Assessments, Organizations, Business units

2. Test control Tester

   Tester checks a scoped control, records the sample and exceptions, and connects the evidence reference to the test.

   • Record a dated sample and result
   • Updates Assessment tests, Controls, Assessments

3. Review findings Compliance Lead

   Compliance Lead examines failed results and the findings tied to the assessment before moving the work into review.

   • Connect exceptions to work needing action
   • Updates Findings, Assessment tests

4. Approve obligation Independent Reviewer

   Independent Reviewer examines the submitted obligation's source and revision and records a reasoned decision.

   • Preserve reviewer, reason and revision
   • Updates Regulatory obligations, Review decisions
   ApprovalA person approves before the work moves on.

5. Remediate finding Remediation Owner

   Remediation Owner completes assigned corrective work and submits its evidence.

   • Assign and submit the correction
   • Updates Corrective actions, Findings

6. Verify correction Independent Reviewer

   Independent Reviewer runs a separate retest and records its result.

   • Record the independent result
   • Updates Retests, Corrective actions, Findings

7. Close assessment Compliance Lead

   Compliance Lead checks findings, decisions and operation outcomes before recording closure.

   • Resolve open work and record outcome
   • Updates Assessments, Operation receipts

Compliance Lead

, Tester, Control Owner, Remediation Owner, Independent Reviewer.