Administering Programs
There is a clear distinction in Risk Assess between a Program and an Evaluation, Assessment, or Scorecard (the last three terms are used interchangeably and mean the same thing). A Program in the application is only the definition of all of the program parameters, including its workflow options, evaluation items such as risk items or KPIs, and the weights and evaluators. An evaluation or assessment is the set of questions or evaluation items for a particular program, launched for a particular period, and pertaining to a particular engagement, supplier, candidate supplier, relationship, location, or product.
Program Status
Programs are assigned a status that indicates the step in the workflow at any given time in its lifecycle. The following table provides descriptions of the status for the evaluation and approval in the dashboard.
Type |
New Status |
Status Shown |
---|---|---|
Evaluation |
Not Started |
Evaluation not saved or touched by user |
Evaluation |
In Process |
No Change (Evaluation was saved but not submitted) |
Evaluation |
Completed |
When evaluation is submitted |
Evaluation |
Rejected |
No Change |
Approval |
Approved |
No Change |
Approval |
Approved |
When the final approval occurs |
Approval |
Collaborate |
No Change |
Approval |
Pending |
When all items under the approval are complete (when all evaluations are submitted) and the approver is ready to approve |
Approval |
Waiting |
The approval is not ready for this user to approve (The second approver sees this status if the previous one is in Pending state) |
Approval |
Collaborate |
No Change |
Approval |
In Process Authorization Pending |
No Change |
The status displayed in the dashboard will be color-coded based on the following rules:
COLOR |
STATUS |
---|---|
RED |
Rejected; or, if the current date is later than the due date and the status is not Complete, Approved or Rejected |
GREEN |
Approved or Complete |
BLACK |
If the current data is before the due date and is not a status of Approval in Waiting |
GRAY |
If the current date is before the due date and is also a status of Approval in Waiting |
A brief description of each status independent of workflow is provided below:
Status |
Condition |
---|---|
Ext Eval Pending |
At least one external evaluation exists that is status: Not Started |
Ext Eval Inprocess |
At least one external evaluation exists that is not status: Not Started, and ALL of them are not status: Completed |
Ext Appr Pending |
All external evaluations are complete and all approvals are indicated status: Pending, or, in the event that there are no organization-level approvers, all are status: Pending |
Ext Appr Inprocess |
All external evaluations are complete and at least one approval is status: In Process, or if all Approvals are Approved except the Final Approval, which is status: Pending |
Int Eval Pending |
All external approvals including Final Approval are approved and all internal evaluations are status: Not Started |
Int Eval Inprocess |
All external approvals including Final Approval are approved and at least one internal evaluation exists that is not status: Not Started and ALL are not status: Completed |
Int Appr Pending |
All external approvals including Final Approval are approved and all internal evaluations are complete and all OM level internal approvals are status: Pending. If no OM level approvers, then the Final approval is status: Pending |
Int Appr Inprocess |
All external approvals including final approval are approved and all internal evaluations are complete and at least one approval is status: In Process, or if all internal approvals are Approved except the final internal approval, which is status: Pending |
Collaborate |
Final internal approval is status: Collaborate |
Completed |
All approvals are status: Approved |
Evaluations
Evaluations (assessments or scorecards) are launched periodically to the designated internal and/or external Evaluators (scorers) based on the workflow configuration settings that are defined in a program. Upon Program Launch, the Evaluator is notified in two ways that there is an open Evaluation:
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Via email notification
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Via display in the Evaluation tile on the Evaluator’s Home page.
Completing the Evaluation
To complete an Evaluation, adhere to the procedure defined in the following table:
STEP |
SCREENSHOT |
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Or, click the Cancel button to leave the Evaluation without saving the changes. |
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Following are additional important details pertaining to Evaluations:
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Any User or User Group can be assigned as an Evaluator for one or many Evaluation items. For User Groups assigned as an Evaluator for an Evaluation Item:
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If the specific group is indicated as Required, then all of that group’s members must submit an Evaluation; i.e., every member of the specified group is assigned an individual evaluation to complete. The average rating per evaluation item from all of the users within the evaluation team will be rolled up to the scorecard and included in the calculation of their final score.
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If the specific group is indicated as “Optional” (unchecked), then that group’s members can collaborate on a single evaluation, and the first member to submit does so on behalf of the entire group.
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Click the Recalc button
to calculate and review the scores for the required responses.
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If comments are not entered for questions that require comments, then the comment icon is highlighted in red
on Recalc and Submit. The evaluation cannot be submitted until all required comments have been entered.
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The evaluation cannot be submitted until all mandatory-designated questions have been answered and all required comments have been entered. If an error message is displayed at the top of the evaluation, indicating items that must be addressed before the evaluation may be submitted.
Required scores are highlighted in red.
Required component entry is highlighted in yellow:
Evaluation Import/Export
The evaluation export/import feature provides the ability download an evaluation into a spreadsheet. Complete the evaluation off-line and then upload the completed evaluation into Risk Assess to be submitted for approval. This feature allows customers to distribute the scorecard to users within their own organizations for input.
Exporting an Evaluation
To export an evaluation (from within the evaluation), adhere to the procedure defined in the following table:
STEP |
SCREENSHOT |
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Click the Open button to open the file, or click the Save button to save the file to a specific location on the user computer. |
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Importing an Evaluation
To import an evaluation (from within the evaluation), adhere to the procedure defined in the following table:
STEP |
SCREENSHOT |
The Import Evaluation pop-up box displays. |
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Or click the Cancel button to quit without importing a file. |
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Following are additional important details pertaining to importing completed evaluation files:
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The Allow Import/Export feature must be enabled for the program. This configuration option is set in Step 1 of the Program Wizard.
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All components are supported for export, and the following are supported for import:
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Textbox – user can enter a value in the sheet
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Description Textbox – user can enter a value in the sheet
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Dropdown Generic – user can select a value based on the drop-down values including the “None” response
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Checkbox – user can select true or false
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Setup Data Type Dropdown – user can select a value based on the Setup Data Type dropdown
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InfoText – displays the text from the control in the spreadsheet
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Radio button – user can select a singular value based on the values in the radio button
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Scoreable Textbox – user can enter a value in the sheet
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Components that are configured to be “Internal-only” are not exported to the spreadsheet for external users.
Approvals
Once the evaluation has been submitted, it is forwarded to the designated approver(s) for review and approval. Approver assignments are based on the workflow configuration settings that are defined in the program. Upon submission of the scorecards, the approver is notified that there is an open evaluation in two ways:
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via an email, and
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the Approval is now present in the Evaluation tile on the evaluator’s Home page.
The approval page can be configured to be displayed in one of 2 formats: the expanded view and the collapsed view.
NOTE: The Expanded/Collapse form is configured via a program level option. The approval will be displayed in the desired format for all evaluations that are administered for the program.
Approval Page (Expanded Mode)
In Expanded mode, the default mode, the Approval page will display with content in all sections visible.
Approval Page (Collapsed Mode)
In Collapsed mode, questions and answers captured from the Evaluation will always be visible in the Approval, while scoring information and override controls are hidden from view. Users will be presented with links next to each section, allowing them to expand and view the hidden items.
Approving the Evaluation
To approve an evaluation, adhere to the procedure defined in the following table:
STEP |
SCREENSHOT |
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The evaluation Approval page displays. |
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Or, click the Cancel button to leave the Evaluation without saving the changes. |
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Following are additional important details pertaining to approvals:
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Any user or user group can be assigned as an approver. The members of the group collaborate on a single evaluation, and the first member to submit does so on behalf of the entire group.
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Click the Recalc (
) button to calculate and review the scores for the responses that were required.
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Comments must be entered for all changes that are made to the evaluators’ answers. If comments are not entered, then the comment icon is highlighted in red
on Recalc and Approve. The evaluation cannot be approved until all required comments have been entered.
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Collaboration between approvers and evaluators is done using the Reject feature, through the Community using In Line Collaboration in the assessment or off line. With the Reject feature updates are made in the evaluator’s scorecard and resubmitted. Otherwise, updates are made to the approver’s scorecard.
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Workflow dictates when the org approvers see approval in their dashboard before the evaluation is submitted. For programs with workflow types of external (collaborative party 2 and external only), internal org approvers do not see the approval until the supplier has completed their final approval.
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Custom XSLT must be configured to support the evaluation summary pdf display.
Rejecting the Evaluation
With the Reject configuration option enabled, the approver now has the option to reject a submitted evaluation. When the approver opts to reject the evaluation (by selecting the Reject button), they are required to enter comments describing the rejection reason. These comments are displayed back to the evaluator as a means of communicating what needs to be addressed before the scorecard is approved.
To reject an evaluation from within the approval, adhere to the procedure defined in the following table:
STEP |
SCREENSHOT |
The Reject Evaluation pop-up box displays. |
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Or click the Cancel button to exit the form without saving the comments or rejecting the approval. |
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NOTE: The program must be configured to have Internal and/or External Rejection enabled in Step 1 of the Program Wizard. Evidence of the rejection is included in the Change Log within the program History. |
Following are additional important details pertaining to rejecting an evaluation:
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Rejection Scope
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If the approver is internal and the collaboration type is Collaborative, then the “Rejection Scope” will appear when the user clicks the Reject button.
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The rejection scope provides options to reject “Internal,” “External” or “Both.”
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Rejecting with the “Internal” rejection scope option: the reject action will be to internal users only.
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Rejecting with the “External” rejection scope option: the reject action will be to external users only.
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Rejecting with the “Both” rejection scope option will reject both internally and externally.
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If the user is external or the collaboration type is Party 1 only or External Only, then the “Rejection Scope” will not appear when the “Reject” button is clicked.
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Rejection reasons are sensitive to the scope of internal or external. This means if a program manager rejects an external only party then only the external party can see the reason for rejection, and the internal party cannot see it.
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For programs with an external workflow (Collaborative Party 2 or external only), only final approvers may reject evaluations. Organization managers do not have the ability to reject an evaluation.
Delegating the Evaluation
With the Enable Evaluation Delegation configuration option enabled, the evaluator has the option to delegate an evaluation to another individual or group for completion. This feature provides the ability to delegate the entire evaluation or Individual sections/lines in the evaluation.
The Delegate button is displayed in the top right corner of the evaluation.
Evaluation Level Delegation
To perform an evaluation level delegation from within an evaluation, adhere to the procedure defined in the following table:
STEP |
SCREENSHOT |
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NOTE: Quick Create must be configured in the Data Dictionary for the environment, and users must have permission to create user accounts in order to be able to take advantage of this feature.
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Or click the Back button to return to the evaluation without delegating it. |
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Section/Line Level Delegation
To perform a section/line level delegation from within the evaluation, adhere to the procedure defined in the following table:
STEP |
SCREENSHOT |
The Evaluation Delegation page displays. |
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Click the Quick Create icon OR
NOTE: Quick Create must be configured in the Data Dictionary for the environment, and users must have permission to create user accounts in order to be able to take advantage of this feature. |
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Click the Back button to return to the evaluation without delegating it. |
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Following are additional important details pertaining to delegating an evaluation:
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In Step 1 of the specific Program Wizard, the program must be configured to Evaluation Delegation.
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Use the Section/Line level configuration option to support delegation of some or all lines in the evaluation to different users/groups and delegation of all lines (the entire evaluation) to a single user.
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Use the Evaluation level configuration option to enforce delegation of the entire evaluation only.
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All of the original evaluator’s responses that were saved before the evaluation is delegated are carried forward to the delegate.
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When delegated evaluations are rejected back to the evaluator, each user who submitted the response receives the sections/lines that they originally completed.
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Evaluations and approvals are routed to the user’s delegate when the original user is set to Out of Office in their user Profile. The evaluation/approval can be delegated up to five times to find a user that is not out of office. The evaluation/approval remains on the fifth user’s dashboard for them to complete when they return.
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Anemail tag (!DELEGATECOMMENTS!) can be used in conjunction with the improved evaluation and/or approval delegation process. When configured in custom emails such as Evaluation Reassigned From You, Evaluation Reassigned To You, Approval Reassigned From You and Approval Reassigned To You, the delegation comments entered within the Evaluation Delegation Wizard or Approval Delegation Wizard are included in the email notifications.
Delegating the Approval
With the Enable Approval Delegation configuration option enabled, the approver has the option to delegate an approval to another individual or group for completion. The organizational and/or final approval can be delegated.
To delegate an approval from within the approval, adhere to the procedure defined in the following table:
STEP |
SCREENSHOT |
The Approval Delegation page displays. |
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Use the assignments at the top of the page to delegate the Final Approval. |
OR
Click the Quick Create icon NOTE: Quick Create must be configured in the Data Dictionary for the environment, and users must have permission to create user accounts in order to be able to take advantage of this feature. OR
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Click the Quick Create icon NOTE: Quick Create must be configured in the Data Dictionary for the environment, and users must have permission to create user accounts in order to be able to take advantage of this feature. OR
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Click the Back button to return to the approval without delegating it. |
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Following are additional important details pertaining to delegating an approval:
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In Step 1 of the Program Wizard, the program must be configured to Approval.
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All of the original approver’s responses that were saved before the approval is delegated are carried forward to the delegate.
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Organization approvers only receive the items that are assigned to their organization, and only see the comments that are relevant to the delegation of their organization’s items.
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When a delegated approval is rejected back to the evaluator, the delegated approver who rejected it receives the updated responses when the evaluator resubmits.
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With the ‘Enable Approval Delegation’ configuration option enabled, the organization manager approver has the option to delegate their organization approval to another individual or group for completion.
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Evaluations and approvals are routed to the user’s delegate when the original user is set to Out of Office. The evaluation/approval can be delegated up to five times to find a user who is not out of office. The evaluation/approval remains on the fifth user’s dashboard for them to complete when they return.
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An email tag (!DELEGATECOMMENTS!) can be used in conjunction with the improved evaluation and/or approval delegation process. When configured in custom emails such as Evaluation Reassigned From You, Evaluation Reassigned To You, Approval Reassigned From You and Approval Reassigned To You, the delegation comments entered within the Evaluation Delegation Wizard or Approval Delegation Wizard are included in the email notifications.
Delegation Comments
Delegation comments are required when the user delegates an Evaluation or Approval. Delegation comments are easily visible at the top of the evaluation/approval and within the HiVi. They are also carried forward into subsequent delegations of the Evaluation/Approval.