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sourceDocument: Brazil Governance, Risk, and Compliance
sourceDocumentLink: https://www.servicenow.com/docs/r/governance-risk-compliance

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ft:publication_title :

    - Brazil Governance, Risk, and Compliance

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# External assessment lifecycle states

# External assessment lifecycle states {#ariaid-title1}

Release version: Brazil  
Updated September 10, 2026  
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## Summary of External assessment lifecycle states

The external assessment lifecycle in ServiceNow governs the process of collecting and managing assessment data from third parties.
This lifecycle progresses through distinct states, enabling your third-party risk team to monitor, review, and finalize external assessments efficiently.
The lifecycle states help ensure assessments are completed accurately, responses are reviewed, and risks are appropriately addressed before contract processes begin.
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## Key States in the External Assessment Lifecycle

* **Draft:** The assessment is initially created in Draft. It includes an assessment template with questionnaires and document requests, either auto-generated or manually specified based on IRQ responses. An assigned owner with TPR manager or assessor roles manages the process.
* **Submitted to third party:** Questionnaires and document requests are sent to the third party, with internal stakeholders awaiting their responses.
* **Responses received:** After completion, your internal team reviews the third party's responses, requesting clarifications or additional information as necessary.
* **Generating observations:** The system can auto-generate issues for incorrect answers, which the third party addresses. Your team then decides whether to accept responses or require remediation.
* **Finalizing with a third party:** The risk team reviews all data and may reset the assessment to Draft if needed to restart the lifecycle.
* **Closed:** Once all data is accepted, the assessment is closed. Closing initiates contract risk processes if applicable, but only after approval of the questionnaire is complete.

## Questionnaire States

ServiceNow supports two models for questionnaire state management depending on the engine in use:

* **Classic engine:** Questionnaire requests and questionnaires have separate state systems. Requests track overall status from ready to take, in progress, complete, or canceled. Questionnaires track creation, submission, progress, receipt, return for updates, and cancellation.
* **Smart Assessment Engine (SAE):** This engine simplifies questionnaire states to three: In progress, Completed, and Canceled, streamlining the tracking process.

## Practical Benefits for ServiceNow Customers

* Clear visibility into each stage of third-party assessments ensures timely completion and accurate risk evaluation.
* Automated generation of issues for incorrect answers helps streamline remediation efforts.
* Role-based ownership enforces accountability for managing and closing assessments.
* Integration with contract risk processes ensures that only approved assessments proceed to contracting stages, enhancing compliance and risk management.  
The process of collecting assessment data from a third party moves through several states. For example, during the Submitted to third party state, the third party responds to tasks, issues, and works to complete the questionnaires.{#tprm-external-assessment-lifecycle__ph-shortdesc-tprm-external-assessment-lifecycle}

## Third-party assessment states {#tprm-external-assessment-lifecycle__section_ltq_5mf_1lb}

Figure 1. Third-party assessment states

Draft
:   An external assessment record is opened in the Draft state.

    * Assessment template: A set of external questionnaires and document requests that are auto-generated based on IRQ responses. Alternatively, an administrator could manually specify the questionnaires and document requests.
    * Risk rating: The overall risk rating that is auto-generated based on IRQ responses.
    * Owner: The owner is the person who owns an assessment for audit purposes and monitors and manages overall assessment processes. Owners are responsible for confirming that the assessment is completed in a timely fashion by the third party, reviewing their responses, and creating and resolving issues. To drive the assessment to its completion, owners are notified when an assessment reaches a particular milestone. The owner must have the TPR manager or TPR assessor role.
    {#tprm-external-assessment-lifecycle__ul_hh4_dpf_1lb}

Submitted to third party
:   The questionnaires and document requests for the assessment have been sent to the third-party contact. Internal stakeholders await responses.

Responses received
:   After contacts at the third party have completed all questionnaires and document requests, your internal third-party risk team reviews and analyzes the responses. The team might return particular questions for follow-up,
    clarification, or missing answers.

Generating observations

:   When all responses are completed, the system can auto-generate issues for incorrect answers. Third-party contacts respond to issues. Your internal third-party risk team makes a final determination to accept the responses or
    remediate the issues.

Finalizing with a third party
:   Your third-party risk team reviews all assessment data. In some cases, the team resets the assessment to the Draft state to restart the assessment life cycle.

Closed
: When all data is acceptable, the assessment is complete and a member of the team closes the assessment. If the engagement will be contracted, the Closed state initiates the contract risk process.  
Note:  
After the questionnaire is completed and approved, the assessment can proceed to the next stage of onboarding or contracting. The contract process does not begin until the approval process is complete.

## Questionnaire states {#tprm-external-assessment-lifecycle__section_hbb_fdm_tjc}

In the Classic engine, questionnaire requests (previously called assessment instances) and questionnaires themselves have separate state systems. The SAE uses a simplified set of questionnaire states.  
Note:  
If you upgraded from Yokohama or earlier and enabled the Smart Assessment Engine (SAE) in Zurich, questionnaire states are simplified to the three states shown above.

Questionnaire requests track the overall status of a questionnaire request sent to a third party.
{#tprm-external-assessment-lifecycle__table_classic_questionnaire_request_states__entry__2}

| Questionnaire request state | Description |
|-|-|
| Ready to take | Questionnaire request is prepared and ready to be sent to the third party. |
| In progress | Questionnaire request has been sent to the third party and is being completed. |
| Complete | Questionnaire request is complete and the third party has submitted their response. |
| Canceled | Questionnaire request is canceled and is no longer active. |
[Table 1. Classic engine questionnaire request states]

{#tprm-external-assessment-lifecycle__table_classic_questionnaire_request_states}

Questionnaires themselves move through additional states that track the workflow of completing and reviewing the questionnaire content.
{#tprm-external-assessment-lifecycle__table_classic_questionnaire_states__entry__2}

| Questionnaire state | Description |
|-|-|
| New | Questionnaire is created but not yet sent to the third party. |
| Submitted | Questionnaire is sent to the third party for completion. |
| In Progress | Third party is actively working on the questionnaire. |
| Received | Third party submits the completed questionnaire for review. |
| Returned | Questionnaire is sent back to the third party for updates and corrections. |
| Canceled | Questionnaire is canceled and is no longer active. |
[Table 2. Classic engine questionnaire states]

{#tprm-external-assessment-lifecycle__table_classic_questionnaire_states} {#tprm-external-assessment-lifecycle__table_sae_questionnaire_states__entry__2}

| Questionnaire state | Description |
|-|-|
| In progress | Questionnaire is active and being completed by the third party. |
| Completed | Questionnaire is finished and submitted. |
| Canceled | Questionnaire is canceled before completion. |
[Table 3. SAE questionnaire states]

{#tprm-external-assessment-lifecycle__table_sae_questionnaire_states}