Example: Control Design Assessment (Without Validation)

The following process flow takes examples of control design assessment to provide a detailed overview of the assessment process. The process operates by means of statuses being issued by the users involved in the different process steps and follow-up tasks consequently being generated.

Process Flow

The following table describes the process flow for control design assessment without validation and with simplified issue remediation (that is, the same person processes the issue and the remediation plan):

Step/Task

Level(Tab Page)

Initial Status

Pushbuttons

Action /New Status

In the task Perform Control Design Assessment , the assessor of the control design enters a negative assessment result (rating) and creates an issue.

Assessment

Draft

Report Issue

Delete Assessment (inactive)

Submit

When the user chooses Submit and then saves , the status changes to Submitted .

Issue

Draft

Create Remediation Plan (inactive)

Delete Issue

The issue status is automatically changed with the assessment status to Submitted .

The processor entered for the issue receives the task Start Issue Remediation .

Assessment

Submitted

All inactive

Issue

Submitted

Create Remediation Plan

Delete Issue (inactive)

Release for Processing

Processing without remediation plan:

Enter comment and choose Release for Processing , then save. New status: Open .

Processing with remediation plan:

Create remediation plan and choose Release for Processing , then save.New status: In process

Remediation plan (only for remediation with issue)

New

Delete Remediation Plan

After saving, status: Draft

Processing without remediation plan:

The processor entered for the issue receives the task Close Issue Without Remediation Plan .

Assessment

Submitted

All inactive

Issue

Open

Create Remediation Plan (inactive)

Delete Issue (inactive)

Complete

Where required, enter a comment, change the processor, and choose Complete .New status: Resolved

Processing with remediation plan:

The person who is the processor of the issue and the remediation plan at the same time receives the task Close Issue and Remediation Plan

Assessment

Submitted

All inactive

Issue

In Process

All inactive

Remediation Plan

Open

Delete Remediation Plan (inactive)

Complete

Specify the percentage of completion. Where 100% applies, choose Complete . New status: Closed .

Valid for both remediation types:

The person who reported the issue receives the task Reassess Control Design .

Assessment

Reassessment

Report Issue

Delete Assessment (inactive)

Submit

If the reassessment delivers an unsatisfactory result, retain the negative rating, and report a new issue, or reopen the old issue (see below). In both cases, issue remediation is triggered again with the task Start Issue Remediation (see above).

Issue

Resolved

Create Remediation Plan (inactive)

Delete Issue (inactive)

Close

Reopen

When Reopen is chosen, new status: Submitted . Issue remediation is triggered again (see above).

When Close is chosen, new status: Closed .

Remediation plan (only for remediation with issue)

Closed

Delete Remediation Plan (inactive)