Create a compliance map

Centralize the documentation of requirements and their mapped controls, and automatically aggregate testing results and issues to easily assess compliance requirements coverage and report on compliance status in real-time.

Before you start

Before you can manage compliance, you need to:

• Set up a framework with controls
• Import the framework controls to projects

To aggregate testing results and issues data from projects, you or someone on your team must complete the following tasks:

• Assess the design and effectiveness of controls
• Identify issues

Permissions

Users assigned Compliance Maps Privileges with Read/Write access can create a compliance map.

Why are some standards and regulations locked?

While working in Compliance Maps, you may notice that some imported standards and regulations are locked. These actions are indicated with a lock icon , indicating that they're read-only.

This is because when we source these standards and regulations, the providers sometimes specify that customers can't modify the content from the templates they provide. As a result, modification actions are unavailable, including editing any part of any standards, regulations, or associated requirements; adding child requirements; and deleting requirements.

Workflow

Add standards or regulations

Add a standard or regulation to your compliance map manually, or import available standards and regulations from the Compliance Library. (To generally view standards and regulations in the Compliance Library, see Importing standards and regulations, section Manage Diligent-provided standards or regulations .)

1. Open the Compliance Maps app.

   The Compliance Maps page opens.

2. Complete any of the following tasks:

   Task	Steps
   Import available standards or regulations	Click Import standard or regulation. The Compliance Library opens. Search for and select the relevant standards or regulations you want to import. Some standards and regulations are only available in read-only format. For more information, see Importing standards and regulations. Note Certain standards and regulations are only available by subscribing to Diligent Content Suites. For more information, see Content & Intelligence Gallery. Click Import. Once the import is complete, click the Open button for the newly-imported standard or regulation. Result – You will return to the Compliance Maps homepage with the side panel open for the newly-imported standard or regulation, and the standard or regulation expanded in the list view to show its top-level requirements. Skip the steps under Add requirements and proceed to Specify if requirements are applicable and covered.
   Accessing additional standards and regulations	Some standards and regulations display a Contact for access label. Contact your Customer Success Manager to learn how to access these standards and regulations.
   Manually add a standard or regulation	Click Create new. The Add standards and regulations side panel opens. Enter the following information: Title Name the standard or regulation. The character limit is 255. The name must be unique. Description (optional) Provide a description of the standard / regulation. Note Rich text fields cannot exceed 524,288 characters. Do one of the following:  To add the standard or regulation and close the panel, click Save and Close. The standard or regulation is added to the compliance map. To add a requirement to the standard or regulation, click Save and create requirement, and proceed to step 3 of Add requirements.

Add requirements

Add requirements to populate your compliance map.

1. If you imported a standard or regulation, expand the standard or regulation by clicking the side arrow .
2. Click + Add Child.

   The Add requirement side panel opens.

3. Enter the following information:
   • ID Enter the identifier of the requirement.
   • Title (optional) Optional. Name the requirement.

     If you do not enter a title, the first 255 characters of the requirement description displays as the title in the tree view, and is stripped of any HTML or rich text formatting.

   • Description Provide a description of the requirement.
     Note

     Rich text fields cannot exceed 524,288 characters.

4. Do one of the following:

   • Save and create requirement Select this option to save the requirement and add another requirement at the same hierarchical level in the tree view.

     Note

     If you need to add a sub-requirement, or a requirement at a different level in the hierarchy, click Save and Close, navigate to the appropriate requirement, and click + Add Child.

   • Save and Close Select this option to save the requirement and close the Add requirement side panel.

     The new requirement is highlighted in the tree view and ordered based on ID. In the case that two requirements have the same ID, a secondary ordering method is automatically applied based on the date the requirement was created.

     Note

     All requirements are ordered automatically. You cannot configure the order of requirements.

     Note

     The number of requirements added to a standard or regulation appears beside the name of that standard or regulation in the list.

Specify if requirements are applicable and covered

Apply professional judgment and rationalize optimal coverage that's sufficient for the organization.

1. From the Compliance Maps page, click the title of the requirement.

   The Requirement details side panel opens.

   Tip

   The following keyboard shortcuts are available for working with requirements:

   • Arrow keys allows you to navigate up and down the tree view.
   • Enter opens the Requirement details side panel for the selected requirement.
   • Esc closes the Requirement details side panel.
2. Next to Applicable, specify whether or not the requirement is applicable to the organization by switching the toggle to Yes or No.

3. If you selected Yes to Applicable, next to Covered, specify whether or not the requirement is covered by switching the toggle to Yes or No.

   Note

   By default, all parent requirements are applicable and not covered. When you create a new child requirement, the child requirement inherits the Applicable and Covered values from the parent requirement.

4. Optional. Next to Rationale, specify the reason for marking a requirement as applicable / not applicable and covered / not covered.
   Tip

   You can also copy rationale statements from related requirements. For more information, see Work with related requirements.

Work with related requirements

If you have imported standards or regulations from the Compliance Library, you can view related requirements, or copy rationale statements from related requirements.

Diligent collates related requirements based on industry approved mappings. The maximum number of related requirements you can view is 300. For more information, see Relationships between controls and requirements.

1. From the Compliance Maps page, click the title of the requirement.

   The Requirement details side panel opens.

2. Under Status, click Show requirements. The Related requirements side panel opens and displays a list of related requirements.
3. Complete any of the following tasks:
   • View a related requirement in a new tab Click the hyperlinked title of the related requirement.
   • Copy the rationale from a related requirement to the requirement you are currently working on In the Related requirements side panel, next to Rationale, click Copy and paste.
     • If the related requirement does not have a rationale statement, the Copy and paste button is disabled.
     • If the requirement you are working on already has a rationale statement, the copied rationale is appended to the bottom of the existing rationale.

       Tip

       To make further adjustments to the rational statement, you can edit it after copying.

   • Import standards or regulations that contain related requirements If there are available related requirements that have not been imported to your compliance map, in the Related requirements side panel, under the Rationale field, click on the title of an authoritative document to begin the import process.
4. Click Close to close the Requirement details and Related requirements side panels.

Map controls to requirements

Showcase your organization's adherence to specifications relevant to the business by mapping controls to requirements. Mapped requirements also appear in Control X-Ray and help auditors familiarize themselves with a control based on mapped requirements.

You can map controls to requirements, either by following automatic suggestions or by manually browsing controls.

In the English version of Diligent One, we have introduced Maestra, a machine learning system to suggest relevant controls for specific requirements. Currently, Maestra is only available in English, so the steps for mapping controls to requirements vary by which language you're using Diligent One in.

Track compliance progress

Filter the list of requirements to track compliance progress.

From the Compliance Maps page, complete any of the following tasks:

Task	Step	What you see
View all applicable requirements across all regulations and standards	Click Applicable.	A list of all applicable requirements, whether or not they have been marked as covered
View requirements that have not been identified as covered	Click Not covered (Gaps).	A list of applicable requirements that are have not been identified as covered
View requirements that have been identified as covered	Click Covered.	A list of applicable requirements that have been identified as covered
View requirements that have been specified as not applicable	Click Not Applicable.	A list of all non-applicable requirements
Search for requirements	Enter a keyword or phrase in the search box.	A list of requirements that match your search term or phrase.
View summary information about a standard, regulation, or requirement, including: the extent to which it is covered or not covered whether or not it has been identified as covered whether or not it has been associated with at least one control the aggregate number of open issues associated with it the current assurance calculation for a standard, regulation, or requirement	Consult the Coverage, Covered, Issues, Controls and Assurance columns in the nested tree view.	Coverage The percentage of requirements for a standard or regulation that have been identified as covered. Learn how coverage is calculated. Covered An indication ( or ) of whether or not a requirement is covered (based on your identification of the requirement as Covered or Not Covered. Standards and regulations are considered covered when all of their requirements have been identified as covered. Issues An aggregate issue count associated with each standard or regulation, and with the topmost (root) requirements in the tree. Clicking the issue count link provides a popup list of issues. You can click an individual issue to navigate to detailed information. Controls An icon () indicates requirements that have had at least one control mapped to them. Assurance A calculation that represents your organization's confidence in requirements being met. Learn how compliance assurance is calculated.

Generate a summary report

Demonstrate your organization's compliance progress by generating a summary report.

1. Click Compliance Summary Report.
2. Download the Excel report (.xlsx) to your computer.

   Any applied filters that you apply on the Compliance Maps page are reflected in the report. Each standard/regulation is displayed on a separate worksheet.

   Tip

   Manually created requirements that are indexed alphanumerically in your compliance map may be ordered differently in your Excel report. To achieve the same ordering, you can use the following naming strategy for your requirements:

   • Parent requirement alphabetical ID

     Example A1

   • Child requirements alphabetical ID + numerical ID

     Examples A1-01, A1-02, A1-03