After receiving a SIG from a service provider (Submitter), you will login to Questionnaire Manager for SIG (QM for SIG) as a user with the administer permission, then create user accounts and assign permissions to your users on a per-page, domain or global level. If this is an encrypted SIG, the Submitter will also send you the secret key which should be transmitted to you through a non-Internet communications channel. This can be via a telephone call, fax, physical delivery, etc. Once the SIG is imported via the Instance Management page by a user with administer permission, you may optionally add an approval step to the workflow whereby a user with the approve permission may approve or reject responses. Similarly, a user with the compare permission may create a model SIG, which may be used to run a comparison report which flags responses based on various criteria. The model can also contain remediation instructions. Depending on your policy, you may follow-up with the Submitter for flagged responses. When you have completed your activity with the SIG, you can import the XML into an operational risk system, print it, or file it away in QM for SIG.
NOTE: This information is a summary of the functions available in QM for SIG. A complete, professional Help facility and other documentation are provided with the QM for SIG product.
Follow the documentation below for details on this workflow.
Begin by entering the URL for QM for SIG in your web browser. The first screen you will see upon loading QM for SIG is the login page. If this is your first time logging in, you must log in as the user “admin” with the password given to you by CSI. You should change your password upon initial login.
Only users that are granted the administer permission may create additional login accounts, or users (see Roles, Users and Domains). Each user will enter a username and password to begin a session. Your system may be limited as to the number of registered users that can be created.
After logging into the system for the first time, it is recommended you change your password immediately. Click the change password button in the upper right corner of the page. Type in the current password in the first text box, then type the new password twice for confirmation, and click change password.
QM for SIG is preloaded with the most current version of the Shared Assessments Program SIG questionnaire, version 6.2. It also contains a sample instance (response set). You will want to import the completed QM for SIG questionnaires from your service providers. Only users with the administer permission can import instances. See Data Administration for further instructions.
After logging in you will be presented with the Dashboard. You will only see instances to which you have access. Once an instance has been created by an administrator, select the appropriate questionnaire from the Questionnaire drop-down menu. You may see several version of the SIG questionnaire in addition to the most current, 6.2. Next, select the appropriate instance from the Instance drop-down menu. Once you select an instance, you will immediately be directed to the first page of the questionnaire instance.
To switch to a new questionnaire/instance, click the change button above the navigation menu on the left.
Each page of questions can be accessed in three different modes which is dependent upon the permissions granted to the user (see Roles, Users and Domains). These modes are:
While editing or approving is taking place on a page, for example the A. Risk Management page, you will see a lock icon beside the page title on the navigation menu. The page is automatically unlocked once the user moves to another page or logs out of QM for SIG. This locking mechanism allows for multiple concurrent users to be editing different pages while safeguarding against duplication of effort and response conflicts.
Pages can be unlocked manually by left-clicking on the lock icon. This will cause the original user that held the lock to lose any unsaved work. Manual unlocking should only be employed if absolutely necessary.
When clicking on any of the pages on the navigation menu on the left, you will automatically be set in view mode. In this mode you can view questions and responses. If you have additional permissions, you will see the other modes (edit and/or approve) listed at the top of the page. Clicking on a new mode will reload the page in the new mode.
Question Status
The status of each question is listed above the question text. A green icon indicates the question has been answered and approved, and a red icon indicates the question has not been approved. A summary of the questions completed or approved for the page is listed in the upper-right corner of the questions section.
Disabled Pages, Sections, and Questions
If the questionnaire definition is implementing disable rules or enable rules (see XML Reference), you may not see certain pages, section, and questions. Page names in the navigation menu are grayed out if disabled. Disabled sections and questions are grayed our or not displayed at all.
This mode is used on the Submitter (service provider) side. Normally the evaluating institution does not edit pages but instead uses the Approve permission and Compare functionality to evaluate the responses from the Submitter.
QM for SIG supports an optional approval step to ensure that the submitter (service provider) responses are satisfactory before being filed or consumed by an operational risk system. Also see the next section, Comparing, for additional functionality.
The approver may choose to either approve or un-approve the entire page or each question individually. To approve the entire page, click the Approve All button near the top of the page. To un-approve the entire page, click the Un-approve All button.
The approver may approve or un-approve each question individually by locating the approve box under each question response. Approver comments may be added by clicking Add Comment. A text box will then appear that accepts free-form text.
Saving
Saving in approve mode is identical to edit mode. Locate the floating menu containing two icons in the right-center margin of the screen. The top icon, which looks like a blue floppy disk, saves the page approval states. The second icon, which is a red icon with a white X, abandons the unsaved approval states and returns you to the view mode.
QM for SIG supports comparing instance responses with a model instance. A model instance is an instance with expected responses. There is flexibility when creating the model such that questions can have an exact response, have one of several possible responses, or be entirely ignored.
Creating a Model
The user must have the compare permission to create a model and run a comparison report see (see Roles, User and Domains). Begin by clicking the Compare tab in the upper right corner of the page. Then select the appropriate questionnaire and click new model. Next type a name to identify the model and click create model. Finally click edit model to begin defining allowed responses.
Editing a Model
You are now in a view which looks similar to the instance edit mode. For questions that are free-form text responses, you can type a response which must exactly match the responder’s answer. For single-select questions, any of the checked responses are considered acceptable. For any type of question, you can check Require Attachment. If the response does not contain an attachment, the question will be noted on the Comparison report. Checking Do not include will ignore the question completely such that it will never be shown on the Comparison report. Under More Options, you will find Remediation Instructions which allows the model editor to include helpful information when the question does not meet expected value(s).
When finished editing a model page, click the save button on the right and continue with the next page. When you have finished editing the model, click the finished editing button at the top of the page.
Running a Comparison Report
Once you have a complete model, you can run a Comparison Report against your instances. Begin by clicking the Compare tab in the upper right corner of the page. After selecting the appropriate questionnaire and instance, click on the perform comparison button. Next, select the instance to be compared. Optionally, you may click the Always allow additional info and Include passing questions check boxes. The first will show questions that have additional information as possible questions to be examined. The latter will show questions that have passed the model in their own passed questions section in the report. Finally, click the compare button.
After clicking compare, the report is displayed. You can optionally download the report in CSV (comma separated values) text format by clicking the save as csv button at the top of the page.
When you have completed your activity with the SIG instance, you can import the XML into an operational risk system, print it, or file it away in QM for SIG.
 Getting Started for Service ProvidersSet Up, View, Edit, Approve & Export |
| Getting Started for Financial Institutions Set Up, Import, View, Edit, Approve & Compare |
| Role & User Management Roles & Users |
| Data Administration Questionnaire, Instance & Encryption Management |
| XML Reference XML Element Glossary & Questionnaire Definition |
