Smart assessments in Compliance Case Management

  • Release version: Zurich
  • Updated July 31, 2025
  • 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 assessments on compliance case action tasks. These assessments support analysts by identifying impacted and related areas during investigations and evaluating employee adherence to regulations. Analysts use the assessment results to gather observations, collect evidence from stakeholders, and reach resolutions efficiently.

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    Key Features

    • Automation: Automates repetitive tasks to streamline assessment processes.
    • Template Configuration: Allows customization of assessment templates for specific compliance scenarios, such as financial breach assessments, enabling targeted analysis.
    • Progress Tracking: Displays progress indicators and automatically saves responses, enhancing user experience and data reliability.
    • Responder Identification: Defines who should respond to the assessments and sets due dates for timely completion.
    • Assessment Workspace: Hosts published assessment templates categorized under Compliance Case Management, targeting action tasks and compliance cases.

    Prerequisites and Setup

    • Installation of the Compliance Case Management plugin, which provides base GRC smart assessment templates.
    • Required scoped applications: Smart Assessment Core (snsmartasmt), Smart Assessment Migration Tools (snsmartasmtmig), Smart Assessment Connected (snsmartasmtconn), and Smart Assessment Designer (snsmartasmtdesg).
    • Enable the system property sngrccasemgmt.enablesmartassessments to allow compliance case managers to perform smart assessments.
    • Migration or creation of assessment templates in the Smart Assessment Engine to replace legacy metric types.

    Operational Workflow

    Compliance case administrators configure assessment questionnaires using the Smart Assessment Engine. When an action task transitions from the Draft to Assigned state, the assessment is triggered and sent to the designated responders. Based on responses, analysts identify and implement appropriate remediation measures to address compliance issues.

    Customer Benefits

    • Improved accuracy and efficiency in compliance case investigations through targeted and automated assessments.
    • Enhanced ability to track assessment progress and manage deadlines effectively.
    • Flexibility to design and use tailored assessment templates for diverse compliance scenarios.
    • Streamlined collection of evidence and observations, supporting faster resolution of compliance cases.

    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.