Reviewing and Approving a Third-Party Assessment 

You can review assessments where you are assigned as an approver that have been completed by a respondent.

Important:

If the creator of an assessment is the same as the respondent and approver of the assessment, users will not receive email notifications when the assessment is Assigned, Approved, or Completed. However, if the assessment is auto approved upon submission then the respondent will receive the Assessment Completed notification.

To review an assessment

  1. On the Third-Party Due Diligence menu, select Third-Parties.
    The Third-Parties screen appears.
  2. Open the third-party record in which you would like to review an assessment.
    The Third-Parties Details screen appears.
  3. Go to the Assessments tab.
  4. Click on the name of an assessment with the Under Review status.


  5. Click the Review button.
  6. Review each question response.
    Note:

    You can create information requests and flag risks.

  7. When finished, click the Finish Review button.
    A confirmation dialog appears.

  8. Select Approved or Rejected from the Result selection menu.
  9. Enter comments to the respondent explaining they were approved or rejected.
  10. Click the Confirm button.
    Note:

    If you need to add more information to an assessment after it's been completed, you can re-open the assessment and then request additional information or make changes. 

To request more information about an assessment question

  1. Open an assessment with an Under Review status.
  2. Click the Review button.
  3. Navigate to the question on which you want to request more information.
  4. Click the Needs More Info icon next to the question.
    The Create Info Request modal appears.

  5. Use the text editor to enter a request for more information from the questionnaire respondent.
    Note:

    If you want to allow the respondent to update the question response, select the Allow respondent to edit response checkbox.

  6. Click the Create button.
  7. Repeat this process as needed for any additional responses.
  8. When you're ready, click the Send button.
    The Send Info Requests modal appears.

  9. Enter any comments to be included in the notification email as needed.
  10. Click the Send button.
    The respondent will receive an email notification with the info request.

To view and respond to information requests

  1. Open an assessment with information requests.
  2. In the header area of the assessment, click the Needs More Info icon.
    The Collaboration pane appears.

  3. Select the request you want to respond to.
  4. Use the text editor to respond to the request.
  5. Click the Respond button.

To flag a risk on an assessment

  1. Open an assessment with an Under Review status.
  2. Click the Review button.
  3. Navigate to the question on which you want to flag a risk.
  4. Click the Flag Risk icon next to the question.
    The Flag Risk modal appears.
  5. Select an existing risk template from the Risk Library or create a new risk.
  6. Click the Add button.

To send an assessment back for resubmission due to edits and information requests

  1. Open an assessment with an Under Review status.
  2. Click the Send Back button.
    The Send Back to In Progress modal appears.

  3. Enter comments requesting clarification or providing additional information to the respondent. 
    Note:

    Comments will be provided to the respondent in an email notification.

  4. Enable the Edit all responses setting to allow the respondent to edit all question responses.
    If the setting is disabled, the respondent will only be able to update responses where Allow respondent to edit response was selected on the information request.
  5. Enable the Reset All Reviews setting to require approvers to re-review the assessment before completing.
  6. Enable the Send Info Requests setting to send a single notification to the respondent summarizing all information requests.
  7. Click the Submit button.
    The assessment will be reopened and have a status of In Progress. The respondent can change the original answers to questions and then re-submit the assessment. 

To reopen a completed assessment

  1. Open an assessment with a status of Completed.
  2. Click the Reopen Assessment button.
    The Send Back to Under Review modal appears.
  3. In the Comments field, enter text which explains why the assessment is being reopened.
  4. Click the Submit button.
    The assessment will be set to Under Review and an email notification will be sent to the respondent. 
    Note:

    Once an assessment has been reopened with a status of Under Review, you can request more information or send the assessment back to In Progress.