Smart assessments in Compliance Case Management

  • Release version: Australia
  • Updated March 12, 2026
  • 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 assessments on compliance case action tasks. This functionality aids analysts in identifying affected areas and determining adherence to regulations during investigations. The engine streamlines the assessment process, allowing for efficient data collection and resolution formulation.

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    Key Features

    • Automation: Automates repetitive tasks to increase efficiency.
    • Template Configuration: Allows customization of assessment templates specific to various assessment types, such as financial breaches.
    • Progress Tracking: Provides progress indicators and saves responses automatically.
    • Responder Identification: Enables the definition of assessment responders.
    • Due Date Management: Allows setting due dates for responses to assessments.

    Key Outcomes

    To effectively use smart assessments, ensure the following:

    • Assessment templates must be categorized under Compliance Case Management and targeted at Action tasks and Compliance cases.
    • The necessary scoped applications (including Smart Assessment core and Designer) should be installed.
    • The system property sngrccasemgmt.enablesmartassessments must be enabled by the administrator.

    Once configured, the compliance case administrator sets up the assessment questionnaire, which is triggered once an action task transitions from Draft to Assigned. The outcomes guide the identification and implementation of necessary remediation measures.

    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.