Recording issues

Record issues, control gaps or exceptions you have identified in a project.

Tip

If you need to add large numbers of issues to Projects, you can bulk upload issues. For more information, see Bulk importing issues.

How it works

You can add issues, and the context for why they were captured, in a project.

Adding an issue involves recording basic information about the issue and assigning the issue to an owner. Once you assign the issue to an owner, the owner receives an email notification with a link to the issue, and is able to update the issue.

When you add an issue from a control testing round, you can also link one or more assets that are scoped to the control. The control testing round remains the source of the issue.

Note

If an issue is assigned and then published, those with a Professional or Oversight role will get duplicate notifications: one when the issue is assigned to them, and another when the issue is published. Those with a Contributor role are only notified once the issue has been published.

Example

Recording an issue

Scenario

You need to capture an issue as a result of identifying that disaster recovery protocols are not coordinated within an organization.

Process

You open your Cybersecurity Review project, select the Issues tab, and select Add Issue to capture the issue.

Result

You record the issue as follows:

Title/Headline Disaster recovery protocols not coordinated
Description There is no coordinated ITDR documentation for effective response to major incidents, such as large scale damage to the infrastructure hosted within the server room (known internally as G1). We would typically expect a recovery sequence to be in place defining a logical technical recovery order of IT systems in priority order taking account of dependencies with other systems. This may include interfaces to other applications and IT infrastructure services such as active directory.
Owner IT Director
Issue Type Management Recommendation
Date Identified February 10, 2020
Severity Medium
Published Published
Recommendation Develop a recovery sequence for a major incident occurring at either of the main server rooms to coordinate recovery of IT systems against worst case scenarios.

Permissions

Professional Managers and Professional Users can create, update, and delete any issues in a project.

Oversight Executives, Oversight Reviewers, and Contributor Managers have read access to published issues.

Contributor Testers can create issues and have read access to published issues they have been assigned. Contributor Users only have read access to published issues they have been assigned.

Navigate to the issues area

There are several ways to add and update issues. How you reach the appropriate area depends on what you want to do.

Note

Interface terms are customizable, and fields and tabs are configurable. In your Diligent One organization, some terms, fields, and tabs may be different.
If a required field is left blank, you will see a warning message: This field is required. Some custom fields may have default values.

Update an issue that is associated with an aspect of your fieldwork

From the Platform home home page (www.diligentoneplatform.com), select the Projects app to open it.

If you are already in Diligent One, you can use the left-hand navigation menu to switch to the Projects app.

The Projects home page opens.
Open a project.
The project dashboard opens.
Select the Fieldwork tab, navigate to the page where the issue was created, and select Issues in the Utility Toolbar.
After the Issues side panel opens, select Edit in the Issues side panel.
Continue to Enter basic issue information.

Tip

You can also update issues by opening the Issue Tracker app, applying any filters to locate the issue, and selecting Details next to the issue you want to update.

Tip

You can also update issues in both the Issue Tracker and Activity Center apps.

Issue Tracker app Open the Issue Tracker app, apply any filters to locate the issue, and select Details next to the issue you want to update.
Activity Center app To update issues in the Activity Center app, see Overview of the Activity Center app.

Update an issue that is not associated with anything

From the Platform home home page (www.diligentoneplatform.com), select the Projects app to open it.

If you are already in Diligent One, you can use the left-hand navigation menu to switch to the Projects app.

The Projects home page opens.
Open a project.
The project dashboard opens.
Select the Issues tab and select the issue name.
Continue to Enter basic issue information.

Tip

You can also update issues by opening the Issue Tracker app, applying any filters to locate the issue, and selecting Details next to the issue you want to update.

Tip

You can also update issues in both the Issue Tracker and Activity Center apps.

Issue Tracker app Open the Issue Tracker app, apply any filters to locate the issue, and select Details next to the issue you want to update.
Activity Center app To update issues in the Activity Center app, see Overview of the Activity Center app.

Enter basic issue information

Complete the following fields and save the information. The order of fields may differ based on where in the Projects app you are working with the issue.

Note

Rich text fields cannot exceed 524,288 characters.

Tip

To enable spell check on rich text fields, do one of the following:

Chrome, Firefox, or Safari CTRL + right-click within the field on Windows or Command + right-click on Mac
Internet Explorer or Microsoft Edge open your browser settings and turn on spell check / highlighting of misspelled words

Field	Description
Title/Headline optional	the title of the issue The maximum length is 255 characters.
Description	a detailed description of the issue
Owner	specifies the person responsible for the issue If you specify a user that has been added to the Diligent One instance, the person receives an email notifying them that they have been assigned the issue. Note When you bulk upload issues and specify a Diligent One user's email in the Owner field, the person is also automatically assigned the issue in the Projects app. However, the person does not receive an email notification about the issue assignment. If you specify a name or email of a person that has not been added to the Diligent One instance, the person's name or email displays in the field, but the person is not automatically assigned the issue and notified via email.
Issue Type	specifies the classification of the issue, such as "Deficiency", "Significant Deficiency", "Material Weakness", or "Management Recommendation"
Date Identified	specifies the date when the issue was identified
Severity optional	specifies the intensity of the issue, such as "High", "Medium", or "Low"
Published optional	specifies whether the issue is visible to all users (Published), or hidden from users assigned the Contributor Tester, Contributor User, Oversight Executive, and Oversight Reviewer roles (Not Published). Issues must be published before Diligent One notifies the owner. Issues must be published to appear in Strategy when risks are linked to objectives. For more information, see Defining risk treatment.
Recommendation optional	the recommended actions to be taken based on the issue
Custom Issue attributes optional	a maximum of 10 custom attribute fields associated with the issue Project Admins and Project Type Admins can define custom attributes for issues under Manage project types.

Link assets to issues from a control testing round

Link scoped assets to an issue to identify the assets affected by the control gap or exception.

Open the control testing round where you want to record the issue.
Open the Issues side panel, and select Add Issue.
In the asset section, select the scoped assets to link to the issue.
Complete the remaining issue information, and select Save and Close.

Note

You can link assets only when you add an issue from a control testing round and the control has scoped assets.
Linking assets is optional. You can save the issue without linked assets.
To update linked assets, open the issue details page, select Edit, and add or remove assets.
If an asset is removed from the control scope, Projects removes the link to the issue. The issue and its other information remain unchanged.

View linked assets in the Issues list

The issues list shows the number of linked assets for each issue. You can filter the list by whether issues have linked assets.

Access to linked assets follows your access to the issue. Users who can edit an issue can update its asset links. Users with view-only access can view linked assets but cannot update the links.

Enter detailed issue information

If you have the Add Issue or Edit Issue side panel open, select Show More to enter information in the following fields and save the information, or simply fill in the fields if you are on the Issue Details page.

The order of fields may differ based on where in the Projects app you are working with the issue.

Field	Description
Issue ID optional	the numeric, alphabetic, or alpha-numeric identifier for the issue The maximum length is 255 characters.
Executive Owner optional	specifies the executive owner of the issue If you specify a user that has been added to the Diligent One instance, the person receives an email notifying them that they have been assigned the issue. Note When you bulk upload issues and specify a Diligent One user's email in the Executive Owner field, the person is also automatically assigned the issue in the Projects app. However, the person does not receive an email notification about the issue assignment. If you specify a name or email of a person that has not been added to the Diligent One instance, the person's name or email displays in the field, but the person is not automatically assigned the issue and notified via email.
Project Owner optional	specifies the project owner of the issue If you specify a user that has been added to the Diligent One instance, the person receives an email notifying them that they have been assigned the issue. Note When you bulk upload issues and specify a Diligent One user's email in the Project Owner field, the person is also automatically assigned the issue in the Projects app. However, the person does not receive an email notification about the issue assignment. If you specify a name or email of a person that has not been added to the Diligent One instance, the person's name or email displays in the field, but the person is not automatically assigned the issue and notified via email.
Risk / Impact optional	the description of the risk or the impact the issue will have
Scope optional	the extent to which the issue affects the organization, such as "Local" or "Global"
Escalation Level optional	the person, department, or organizational body that this issue should be brought to, such as "Owner", "Executive", or "Board"
Cause optional	what caused the issue to occur
Effect optional	the effect the issue will have on the organization
Executive Summary optional	a high level overview of the issue that typically summarizes information from other related fields, such as risk/impact, cause, and effect
Cost Impact optional	the estimate or actual monetary cost associated with the issue

Field

Description

Issue ID

optional

the numeric, alphabetic, or alpha-numeric identifier for the issue

The maximum length is 255 characters.

Executive Owner

optional

specifies the executive owner of the issue

If you specify a user that has been added to the Diligent One instance, the person receives an email notifying them that they have been assigned the issue.
Note
When you bulk upload issues and specify a Diligent One user's email in the Executive Owner field, the person is also automatically assigned the issue in the Projects app. However, the person does not receive an email notification about the issue assignment.
If you specify a name or email of a person that has not been added to the Diligent One instance, the person's name or email displays in the field, but the person is not automatically assigned the issue and notified via email.

Project Owner

optional

specifies the project owner of the issue

If you specify a user that has been added to the Diligent One instance, the person receives an email notifying them that they have been assigned the issue.
Note
When you bulk upload issues and specify a Diligent One user's email in the Project Owner field, the person is also automatically assigned the issue in the Projects app. However, the person does not receive an email notification about the issue assignment.
If you specify a name or email of a person that has not been added to the Diligent One instance, the person's name or email displays in the field, but the person is not automatically assigned the issue and notified via email.

Risk / Impact

optional

the description of the risk or the impact the issue will have

Scope

optional

the extent to which the issue affects the organization, such as "Local" or "Global"

Escalation Level

optional

the person, department, or organizational body that this issue should be brought to, such as "Owner", "Executive", or "Board"

Cause

optional

what caused the issue to occur

Effect

optional

the effect the issue will have on the organization

Executive Summary

optional

a high level overview of the issue that typically summarizes information from other related fields, such as risk/impact, cause, and effect

Cost Impact

optional

the estimate or actual monetary cost associated with the issue

Save an issue or add another issue

If you are...	Do this:
adding an issue from the Add Issue side panel	To save the issue and close the form, select Save and Close. To save the issue and add another issue, select Save and Add Another.
updating an issue from the Edit Issue side panel	To save the issue and close the form, select Save and Close. To go to the Issue Details page, select More Information.
updating an issue from the Issue Details page	Changes are saved automatically. You can select the Issues tab and select Add Issue to create another issue.

Optional. Tag an issue to entities or view history

From the Issue Details page, do the following:

Entity Coverage Tag an issue to one or more entities for reporting purposes.

Note
Only Professional Managers and Professional Users can tag an issue with an entity by selecting Show content and selecting each entity to associate with the issue. Changes are automatically saved.
History View a complete history of field-level changes that have been made to the issue.

Add multiple issues

For information about adding multiple issues at once, see Bulk importing issues.

Delete an issue

Caution

Deleting an issue permanently removes the issue and any associated actions from the project. Once deleted, you cannot access or restore the issue or actions.

Do one of the following:
Delete an issue from a single project
1. From the Platform home home page (www.diligentoneplatform.com), select the Projects app to open it.
  If you are already in Diligent One, you can use the left-hand navigation menu to switch to the Projects app.
2. Open the project that contains the issue.
3. Select the Issues tab, and select the issue name.
Delete issues from different projects
1. From the Platform home page (www.diligentoneplatform.com), select the Issue Tracker app to open it.
  If you are already in Diligent One, you can use the left-hand navigation menu to switch to the Issue Tracker app.
2. Select Details next to the issue.
Scroll to the bottom of the page and select Delete Issue.
Select OK in the confirmation dialog box.
Result The issue and any associated actions are permanently deleted.