Working with issues
Any Diligent One Platform user can report an issue to Issue Manager and track it through the Issue Manager app. An issue is a problem or concern that needs management's attention to prevent it from escalating or causing significant disruptions. Here are a few examples:
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Financial control gap A gap identified in the financial control processes, requiring remediation by the finance team.
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IT security breach An identified security breach in the IT system, necessitating immediate action and resolution by the IT department.
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Compliance violation A compliance issue where a process does not meet regulatory standards, requiring corrective measures.
Issue statuses
An issue can be in any of the following statuses:
| Components | Description |
|---|---|
| DRAFT | The issue is being created and refined. Issue reporters document the problem, scope, and supporting details. The issue can be edited until it is ready for managerial review. |
| IN REVIEW | The issue is undergoing manager review. Managers assess the issue definition, validate its relevance and accuracy, and decide whether it should proceed for remediation or be sent back for refinement. |
| TO BE PUBLISHED |
The issue has been fully approved and is ready for publication. All reviews are complete, and the issue is validated for release as an official Audit Finding Note This workflow only appears if you have selected Audit finding as your Issue type during creating a issue. |
| PENDING ACCEPTANCE |
The issue has passed the initial review and is awaiting final approval before publication. Approvers perform a final check to ensure the audit finding meets reporting standards. Approvers may accept the issue or return it to DRAFT status if substantial updates are necessary.
Note This workflow only appears if you have selected Audit finding as your Issue type during creating a issue. |
| REMEDIATION PLANNING | An Issue owner is assigned and develops a remediation plan. The owner defines the list of actions required to resolve the issue, including responsibilities and timelines. After the plan is complete, the owner initiates remediation and moves the issue forward. |
| IN REMEDIATION | Remediation actions are being executed. Action owners and approvers perform and track remediation tasks according to the approved plan. |
| TO BE APPROVED | The issue is awaiting final approval. An issue approver reviews completed actions and supporting evidence to confirm that remediation is sufficient. The approver may approve the issue for closure or decline it by reopening one or more actions, returning the issue to IN REMEDIATION. |
| CLOSED | A Type manager can close an issue after all actions associated with the issue have been closed. |
| DISCARDED | The issue has been determined not to require remediation. The issue is closed without action due to reasons such as invalid finding, duplicate, or out-of-scope. |
Issue process
The issue process is a structured workflow used to report, manage, resolve, and close issues within the Diligent One Platform. It involves multiple roles and actions to ensure accountability and traceability throughout the issue lifecycle.
The issue process begins when an Issue reporter adds an issue. The reported issue triggers email notifications to the Issue reporter and the relevant Type manager. The issue process consists of the following steps:
- Adding an issue: Any Diligent One Platform Help users can act as an Issue reporter and add an issue. Issue reporter can view the issues they report on the issue list.
- Viewing an issue: Type managerview all issues associated with their assigned parent types and types in the issue list.
- Assigning an Issue owner: Type manager assign Issue owner. If multiple Type manager have access to the issue’s type, any of them can assign ownership.
- Configuring the issue workflow: Type manager or Issue owner configures the issue workflow, which consists of a sequence of actions required to resolve the issue. Workflows can be automatic or manual.
- Executing the issue workflow: Assigned Action owner complete their respective actions by the due dates. Each assigned action must be closed to progress the issue toward resolution.
- Approving an issue: Indicates that the issue is awaiting evaluation before it can move to the next stage. This status typically appears after all actions have been completed and the issue is ready for review.
- Closing an issue: Issues are automatically closed when the last action in the issue workflow is closed.
For more information, refer to Adding an issue.
