Smart assessments in Compliance Case Management

  • Release version: Xanadu
  • Updated December 16, 2024
  • 2 minutes to read
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    Summary of Smart assessments in Compliance Case Management

    The Smart Assessment Engine in Compliance Case Management enables compliance case teams to conduct intelligent, automated assessments on compliance case action tasks. These assessments help analysts identify affected areas during investigations and verify organizational adherence to regulations. By collecting observations and evidence from stakeholders, analysts can resolve compliance issues more effectively.

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    Key Features

    • Automation of repetitive tasks: Streamlines the assessment process by automating routine activities.
    • Customizable templates: Allows tailoring assessment templates for specific compliance scenarios such as financial breaches, enabling focused analysis.
    • Progress tracking and auto-saving: Provides indicators of assessment progress and automatically saves responses for reliability.
    • Defined responders and deadlines: Identifies who responds to assessments and sets due dates to ensure timely completion.
    • Integration with Compliance Case Management: Only published templates categorized under Compliance Case Management with targets set to Action task and Compliance case are available for use.

    Enabling Smart Assessments

    To utilize smart assessments, the following prerequisites must be met:

    • Install the Compliance Case Management plugin, which includes the base GRC smart assessment template.
    • Enable required scoped applications: Smart Assessment Core, Smart Assessment Migration Tools, Smart Assessment Connected, and Smart Assessment Designer.
    • Set the system property sngrccasemgmt.enablesmartassessments to true to activate smart assessments for compliance case managers.
    • Migrate or create new assessment templates in the Smart Assessment Engine as needed.

    Practical Use and Outcomes

    Once configured, smart assessments are triggered when an action task transitions from Draft to Assigned state. This initiates the assessment process, guiding analysts to collect relevant data and determine necessary remediation steps based on results. The integration with the Smart Assessment Engine enhances the efficiency, accuracy, and focus of compliance investigations.

    Use the Smart Assessment Engine to perform smart assessments on compliance case action tasks.

    Using the abilities of the Smart Assessment Engine, you can empower the compliance case teams to initiate compliance case assessments. These assessments assist compliance case analysts in identifying the impacted and related areas during a compliance case investigation. They also help determine whether the employees in your organization adhere to the required regulations. The analyst can then collect observations and evidence from the stakeholders and arrive at a resolution. The Smart Assessment Engine provides numerous benefits some of which are listed as follows:
    • Automate repetitive tasks
    • Configure the assessment templates
    • View progress indicators and automatically save responses
    • Identify the assessment responders
    • Define the due date for responding to the assessment

    In the Assessment Workspace, you can view the templates available for Compliance Case Management. You must ensure that the assessment template category is set to Compliance Case Management and the assessment targets are set to Action task and Compliance case. Only the assessment templates that are published are available for performing the assessments. The ability to tailor templates designed for various types of assessments, for example, financial breach assessments, empowers compliance teams to conduct more focused and targeted analysis of the breaches.

    For more information about Smart Assessment Engine, refer to Exploring Smart Assessment Engine.

    Pre-requisites to enable smart assessment in Compliance Case Management

    Smart assessment scoped applications
    The base system ships the GRC smart assessment template to the users when the Compliance Case Management plugin is installed. However, the following scoped applications are required:
    1. Smart Assessment core (sn_smart_asmt)
    2. Smart assessment Migration tools (sn_smart_asmt_mig). For more information, see Migrate a legacy metric type to an assessment template
    3. Smart Assessment Connected (sn_smart_asmt_conn)
    4. Smart Assessment Designer (sn_smart_asmt_desg). For more information, see Using the template designer
    Enable smart assessments system property
    The administrator sets the sn_grc_case_mgmt.enable_smart_assessments system property to true for the compliance case manager to assess the action tasks using the smart assessment method.
    Migrate the template
    Create a new template in Smart Assessment Engine. For more information, see Creating an assessment template from legacy assessment metric types.
    To get started with smart assessments, the compliance case administrator (sn_comp_case.compliance_case_admin), configures the assessment questionnaire. When an action task moves from the Draft state to the Assigned state, the assessment is sent. Based on the assessment results, appropriate remediation measures are identified and implemented. To learn more about how to configure a questionnaire in the Exploring Smart Assessment Engine, refer to Configuring Smart Assessment Engine. To learn how to perform smart assessment on action tasks, refer to Perform smart assessment on action tasks.