Recording issues
Record issues, control gaps or exceptions you have identified in a project.
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.
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, click the Issues tab, and click 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 instance of Diligent One, 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.
If a project involves fieldwork, this is usually the best option.
By associating issues with an aspect of your fieldwork (an objective, narrative, risk control matrix, risk, control, walkthrough, test plan, or testing round), those issues are displayed elsewhere in Diligent One. For example, when you create issues in an objective, those issues are aggregated as part of assurance in Strategy and assurance in Projects. When you create issues on controls, those issues appear in Control X-Ray and help auditors familiarize themselves with a control based on previous testing failures.
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From the Launchpad home page (www.highbond.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.
- Click the Fieldwork tab, navigate to the page where you want to associate the issue, and clickIssues in the Utility Toolbar.
- After the Issues side panel opens, click the + Add Issue button.
- Continue to Enter basic issue information.
If a project does not involve fieldwork, this might be the best option. However, these issues do not display as part of assurance in Strategy and assurance in Projects, and do not appear in Control X-Ray or Procedure X-Ray.
-
From the Launchpad home page (www.highbond.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.
- Click the Issues tab and click Add Issue.
- Continue to Enter basic issue information.
-
From the Launchpad home page (www.highbond.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.
- Click the Fieldwork tab, navigate to the page where the issue was created, and click Issues in the Utility Toolbar.
- After the Issues side panel opens, click Edit in the Issues side panel.
- Continue to Enter basic issue information.
You can also update issues by opening the Issue Tracker app, applying any filters to locate the issue, and clicking Details next to the issue you want to update.
-
From the Launchpad home page (www.highbond.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.
- Click the Issues tab and click the issue name.
- Continue to Enter basic issue information.
You can also update issues by opening the Issue Tracker app, applying any filters to locate the issue, and clicking Details next to the issue you want to update.
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.
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
|
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. |
Enter detailed issue information
If you have the Add Issue or Edit Issue side panel open, click 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
|
Project Owner optional |
specifies the project owner of the issue
|
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 |
|
updating an issue from the Edit Issue side panel |
|
updating an issue from the Issue Details page |
Changes are saved automatically. You can click the Issues tab and click 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.
NoteOnly Professional Managers and Professional Users can tag an issue with an entity by clicking 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
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
From the Launchpad home page (www.highbond.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.
- Open the project that contains the issue.
- Click the Issues tab, and click the issue name.
Delete issues from different projects
- Open the Issue Tracker app.
- Click Details next to the issue.
- Scroll to the bottom of the page and click Delete Issue.
- Click OK in the confirmation dialog box.
Result The issue and any associated actions are permanently deleted.