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Overview

Simplified Control Assessments provide a lighter-weight review process for controls that don’t need the full assessment workflow. Instead of the standard prepare-and-sign-off cycle, simplified assessments let control owners confirm effectiveness with fewer steps — reducing the administrative burden while still maintaining an audit trail.

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When to use it

Simplified assessments are suited for:
  • High-frequency controls — controls performed daily or weekly where the full assessment cycle would be disproportionate
  • Low-risk controls — controls mitigating risks that are already well within appetite
  • Mature controls — controls with a strong track record that don’t need detailed commentary each cycle

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Setting it up

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Enabling simplified assessments

  1. Go to Administration > Configuration
  2. Select the Controls tab
  3. Look for the assessment mode settings — enable the simplified assessment option
  4. Configure which control types or categories are eligible for simplified assessments

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Assigning the assessment mode to a control

  1. Open the control’s Control Card
  2. In the basic information or assessment settings, select the simplified assessment mode
  3. Save the control — the assessment workflow will update to reflect the simplified process

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How it works in practice

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Standard vs Simplified

AspectStandard AssessmentSimplified Assessment
Preparer’s CommentRequired — detailed narrativeOptional or reduced
Sign-offRequired — reviewer must approveMay be auto-approved or streamlined
Evidence uploadExpectedOptional
RAG ratingSet by preparer, confirmed by reviewerSet by preparer
Audit trailFull prepare/sign-off historyConfirmation log

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The simplified workflow

  1. The control owner opens the Control Card
  2. Reviews the control’s current state
  3. Confirms the control is operating effectively (or flags an issue)
  4. The assessment is recorded with a timestamp

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Viewing simplified assessments

  • The Controls Dashboard treats simplified assessments the same as standard ones for RAG and overdue counts
  • The Tracks & Trends section shows the full history regardless of assessment type
  • The Export Center includes assessment type in exported data

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Tips & Tricks

Start with standard assessments for all controls, then move mature, well-performing controls to the simplified mode once they’ve had several clean assessment cycles. This gives you a baseline before reducing oversight.
Even with simplified assessments, encourage control owners to add a brief comment when something has changed — a one-line note is far more useful than a blank confirmation when an auditor asks questions later.
Don’t use simplified assessments for controls mitigating your highest-rated risks. Regulators and auditors expect proportionate oversight — a critical control with a one-click confirmation may raise questions.
Switching a control from simplified back to standard assessment does not lose any history. The Tracks & Trends section preserves both assessment types in the same timeline.