Creating a CRI Profile V2.1 Self-Assessment from an FFIEC CAT Self-Assessment

This article provides instruction and guidance for creating a CRI Profile V2.1 Self-Assessment using a previously completed FFIEC CAT Self-Assessment.

Requirements

--A completed FFIEC CAT Self-Assessment
--A license to use the CRI Profile in the Axio360 platform
--The CRI Impact Tier for the scope of the self-assessment

Process

1. Create your FFIEC CAT Self-Assessment Responses Template 

• Download the FFIEC CAT Assessment Template 
• Copy your FFIEC CAT responses on the first tab "Responses" in column B "Current Level"
  • Responses must be formatted as followed:
    • Yes
    • Yes (C) 
    • No

2. Optional: Include additional information in your Assessment Template

• Notes Tab: If notes have been captured for some or all Declarative Statements, they can be loaded into Axio360 at the same time that responses are loaded. Input notes in "Text" column (column B) on the Notes tab.
• Links Tab: Information about evidence that substantiates the implementation of a Declarative Statement may also be loaded into Axio360 for some or all Declarative Statements on the Links tab. Information can be entered for each Declarative Statement as follows:
  • Location (column C) - a URL or physical location of the evidence
  • Name (column D) - the name of a document or other piece of evidence
  • Evidence Notes (column E) - additional information related to the evidence

3. Upload your FFIEC CAT Self-Assessment Responses Template to Axio360 

• Log into Axio360
• From the Assessment module, click on the blue "New Assessment" button 
• From the "Model," select "FFIEC CAT" and input a "Name" for the self-assessment 
• Upload the previously completed template in the "Upload assessment answer from excel" portion of the dialog box. 
• Click Save 

4. Map your FFIEC CAT Self-Assessment to CRI Profile v2.1 

• From the Assessment module, click on the blue "New Assessment" button 
• From the "Model," select "CRI Profile V2.1" and input a "Name" for the self-assessment 
  • Select the Tier that corresponds with your CRI Profile Impact Tier 
• At the bottom of the dialog box, click the "Select the assessment map" drop down and select the appropriate mapping option for your Tier:
  • Tier 1: Cat-> Profile v2.1 T1
  • Tier 2: Cat-> Profile v2.1 T2
  • Tier 3: Cat-> Profile v2.1 T3
  • Tier 4: Cat-> Profile v2.1 T4
• In the "Source Assessment to use" drop down, select the FFIEC CAT self-assessment that was created in step 1.
• If evidence or notes are being imported, check the applicable boxes.
• Click the blue "Save" button.