The ASMT Process is used to evaluate the organization and its performance against Programmatic Assessment Criteria. Assessments are formal systematic evaluations (audits) and informal evaluations (self-assessments) of a particular organizational unit or execution process for the purpose of determining how well it is complying with specific criteria. The Programmatic Criteria are process execution requirements that have been developed based on performance objectives and the requirements provided in referenced sources like Regulatory Documentation. Assessments are typically substantial team efforts performed at regular intervals to determine an organization's performance levels and to monitor progress in complying with the criteria. Deficiencies noted in an Assessment are documented in an Assessment Report and entered into the Condition Report Process for ultimate analysis and resolution.
Figure 1 illustrates the basic ASMT Process Steps.
Initiate ASMT: Formal Assessments or Audits are typically initiated outside the organization being assessed. This initiation can be from a compliance unit within the overall organization or from management. The Initiate ASMT Step requires that the Business Element be assessed and the Programmatic Area be identified, along with the Organization responsible for performing the Assessment. The ASMT is normally routed to the Assign ASMT Step where the Responsible Manager makes assignments. If the Assessment Initiator is requesting an Assessment of the Initator's own organization the Assessment Team may be assigned at that point by-passing the Assign ASMT Step.
Assign ASMT: The Responsible Organization Manager assigns the Assessment Team Leader, who will be responsible for planning and performing the Assessment. The Manager may assign the Assessment Team at this point, although it is not required. Once the Assessment Team Leader is assigned the ASMT is routed to the Plan ASMT Step.
Plan ASMT: If not selected earlier, the Assessment Team Leader selects and enters the names of the individuals who are a part of the Assessment Team. The Assessment Leader and Team use the information provided when the Assessment was initiated as well as any previous assessment of the business elements to prepare an Assessment Plan which includes the Assessment Team assignments, the Business Elements to be Assessed, the Criteria to be used and a schedule for completing the Assessment. Â The Assessment Plan is attached to the ASMT and is routed to the Approved ASMT Plan Step.
Approve ASMT Plan: The ASMT Responsible Organization Manager receives the ASMT with the Assessment Plan attached, for approval. The ASMT Responsible Organization Manager reviews the plan to ensure it meets the requirements specified when the ASMT process was initiated. If the Assessment Plan requires changes, the Plan along with notes, is back routed to the Plan ASMT Step where the Assessment Team Leader will make the indicated changes and return the ASMT. If the Assessment Plan is satisfactory, it is routed to the Perform ASMT Step.
Perform ASMT: Upon receipt of the Approved ASMT Plan, the Assessment Team performs the Assessment. The Assessment can include a survey sent to various members of the organization, interviews with specific individuals and the review and inspection of pertinent documents and records. The information gained in the Assessment is compared to the Criteria and the ASMT Questions associated with the business elements are answered. Any problems of an urgent nature are entered into the Condition Report Process for handling. When the information gathering is complete, the Assessment Team Leader routes the ASMT to the Report ASMT Step to indicate progress with the Assessment.
Report ASMT: The information gathered in the Perform ASMT Step is analyzed and used for an Assessment Report to show how well the organization is meeting the specified criteria. Any significant problems or deviations from the criteria are documented as findings in the Assessment Report. The Assessment Report is attached to the ASMT and routed to the Accept ASMT step once it has been approved by the Responsible Manager of the organization.
Accept ASMT: The Manager responsible for the Business Elements included in the Assessment reviews the Assessment Report to determine if he or she accepts the Assessment Findings. If there are issues with the Report, the manager enters back route notes into the ASMT and returns the ASMT to the Report ASMT Step. The Assessment Team Leader will resolve the issues and return it to the Accept ASMT Step. When the Business Element Responsible Manager is satisfied with the Assessment Report, the Findings are entered into the CR Process so they can be evaluated, tracked and resolved. When the CRs have been entered for the Assessment Finding the ASMT is routed to the Complete ASMT Step.
Complete ASMT: Once the ASMT has been completed and the CRs initiated the ASMT is routed to the Complete ASMT step where it is filed and achieved.
Initiate ASMT Criteria Bulk Change: A Spreadsheet is used to initiate a Bulk load of Assessment Criteria. The Spreadsheet is read at the Initiate ASMT Criteria Bulk Change Step and translated into the ASMT Process Data Base. Any criteria changes that have errors are passed to the Correct ASMT Criteria Change Step.
Correct ASMT Criteria Change: The ASMT Criteria Changes that are in Error from the Bulk Change are reviewed in the Correct ASMT Criteria Change Step. The errors are corrected and the Changes are individually routed to the Approve ASMT Criteria Change Step.
Initiate ASMT Criteria Change: The current ASMT Criteria data is loaded into the Initiate ASMT Criteria Change Step. If the change is to initiate a new ASMT Criteria, the Criteria Fields are blank. The ASMT Change Initiator enters the change data and routes the Change. New ASMT Criteria and significant Criteria Changes are routed to the Approve ASMT Criteria Change Step. Minor Changes by-pass the Approval Step and are routed to the Complete ASMT Criteria Change Step.
Approve ASMT Criteria Change: The Responsible Manager for the ASMT Criteria reviews the ASMT Criteria Change. If the change is not satisfactory, the Manager can either make the changes in the Approval Step or record the deficiencies in the back route notes and return the ASMT Criteria Change to the Initiate ASMT Criteria Change Step. When the Responsible Manager is satisfied with the ASMT Criteria Change, his routed to the Complete ASMT Criteria Change Step.
Complete ASMT Criteria Change: When the ASMT Criteria Change enters the Complete ASMT Criteria Change Step, it is used to update the ASMT Criteria Record with the requisite change data. The Completed ASMT Criteria Change is achieved.
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