Example: Control Design Assessment (with 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

This process describes control design assessment with validation of the assessment and with validation of 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) Review	When the user chooses Review and then saves , the status changes to Review .
	Issue	Draft	Create Remediation Plan (inactive) Delete Issue	The issue status is automatically changed with the assessment status to Review .
The person performing assessment validation receives the task Review Control Design Assessment .	Assessment	Review	Report Issue Delete Assessment (inactive) Rework Validate	When the user chooses Rework, the assessment is returned to the original assessor. New status: Rework When the user chooses Validate , issue remediation is triggered. New status: Validated .
	Issue	Review	Create Remediation Plan (inactive) Delete Issue Rework Validate	When the user chooses Rework, the assessment is returned to the original assessor. New status: Rework When the user chooses Validate , issue remediation is triggered. New status: Validated .
If the assessment needs to be reworked, the original assessor receives the task Review Control Design Assessment .	Assessment	Rework	Report Issue Delete Assessment (inactive) Review	When the user chooses Review and then saves , the status changes to Review . Consequently, a new review is performed (see previous step).
	Issue	Rework	Create Remediation Plan (inactive) Delete Issue	The issue status is automatically changed with the assessment status to Review .
After assessment validation, the person entered as the issue processor receives the task Start Issue Remediation .	Assessment	Validated	All inactive
	Issue	Validated	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	Validated	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 processor entered for the remediation plan receives the task Enter Details for Remediation Plan .	Assessment	Validated	All inactive
	Issue	In Process	All inactive
	Remediation Plan	Draft	Delete Remediation Plan Review	Change remediation plan and choose Review . New status: Review
The person performing validation receives the task Review Remediation Plan Details.	Assessment	Validated	All inactive
	Issue	In Process	All inactive
	Remediation Plan	Review	Delete Remediation Plan (inactive) Rework Validate	When the user performing validation chooses Rework, the processor of the remediation plan receives the task Enter Details for Remediation Plan again (see previous step). New status: Rework When the user chooses Validate , processing of the remediation plan is triggered. New status: Open .
After validation, the processor for the remediation plan receives the task Document Progress of Remediation Plan.	Assessment	Validated	All inactive
	Issue	Validated	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) Review	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). If the reassessment proves successful, choose Review . This triggers a new validation of the assessment with the task Review Control Design Assessment (see below).
	Issue	Validated	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)