Assessment to closure

Step by step

1. Plan assessment Assessment Owner

   The Assessment Owner selects the employer, business unit, owner and period, then moves the assessment from Draft to Planned after agreeing its scope.

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

2. Execute tests Assessment Owner

   The Assessment Owner links each test to its control, records the sample, exceptions and evidence reference, and moves the assessment into Testing.

   • Record sample results and evidence against the correct control.
   • Updates Assessment tests, Controls, Assessments

3. Review findings Compliance Manager

   The Compliance Manager checks test results, attachments and open findings. A reviewer records an Approve, Reject or Return decision with the assessment revision and reason before approval.

   • Examine open issues and record a decision for the current revision.
   • Updates Findings, Review decisions, Record attachments
   ApprovalA person approves before the work moves on.

4. Close assessment Compliance Manager

   The Compliance Manager follows corrective actions and retests for remaining findings, then records closure only when the review trail supports it.

   • Check unresolved work before setting Closed.
   • Updates Assessments, Findings, Corrective actions, Retests

Assessment Owner

, Compliance Manager, Admin.