Configuring compliance assessment statuses

Statuses identify the classification of compliance assessments based on shared qualities or characteristics. You can configure the names of the statuses to suit your organization's needs, and the statuses are used in all compliance assessments.

How it works

Statuses provide a method of classifying compliance assessments for workflow management and reporting purposes. Each compliance assessment can have one status.

There are four default compliance assessment statuses that can be configured:

Status Suggested usage
Draft compliance assessments that are in the preliminary planning stages
Proposed compliance assessments that are under consideration for execution
Active compliance assessments that are currently in progress
Completed compliance assessments that are finished

Statuses vs states

Statuses allow you to group compliance assessments, according to your organization's workflow. When you create a new compliance assessment, the default status of the compliance assessment is set as active. If you create a new compliance assessment when you define an assurance plan, the default value is set as proposed.

States are a system classification in Compliance Assessments, which include the following:

  • Active compliance assessments that are currently in progress
  • Archived compliance assessments that have been moved to Compliance Assessment Library
  • Deleted previously deleted compliance assessments that are stored in the Compliance Assessment Library for 30 days, and then permanently deleted automatically after 30 days
  • Framework a structured set of information that you can use to build compliance assessments
Note

Statuses can only be specified for compliance assessments in an active state.

Reporting on compliance assessment status

Using the Reports app, you can include the Compliance Assessment Status field in your reports. The Compliance Assessment Status field contains the state and / or configurable status values associated with compliance assessments.

Example

Classifying compliance assessments according to status

Scenario

You want to classify different compliance assessments according to your organization’s workflow, and easily filter and report on compliance assessments based on their status.

Process

You configure the following statuses and apply them to the relevant compliance assessments:

Statuses Compliance assessment names
Draft
  • Cybersecurity Review
  • GDPR Compliance Risk Assessment
  • Risk Management Action Plan
Planned
  • Physical Security Review
  • FCPA Compliance Investigation
In Progress
  • Travel and Entertainment Audit
Completed
  • IT General Controls Review

Result

The compliance assessments are organized by status, and you are able to filter and report on compliance assessments by their status.

Permissions

Only Compliance Assessment Admins can configure compliance assessment statuses. Professional Managers and Compliance Assessment Creators can change the status of a compliance assessment. All other users can only view the status associated with a compliance assessment.

Configure compliance assessment statuses

  1. Open the Compliance Assessments app.

    The Compliance Assessments homepage opens.

  2. Under System administration, click Settings.
  3. Under Compliance Assessment Statuses, update the labels of each status, as needed.

    The maximum character limit for each field is 60.

    Note

    You can only configure a maximum of four status values.

    Result The compliance assessment statuses can be used to classify all compliance assessments in the HighBond instance.

Change the status of a compliance assessment

Navigate to any of the following areas to change the status of a compliance assessment:

Area Detailed information
Begin a new compliance assessment form Creating compliance assessments
Rollforward form Rollforward compliance assessments
Compliance Assessment Details side panel (located on the Compliance Assessments homepage) Navigating the Compliance Workspace app
Compliance Assessment dashboard Navigating the Compliance Workspace app
Compliance Assessment Settings page Compliance Workspace app settings
Scheduler Scheduling compliance assessments