Adding and Managing Initiative Controls

Important:

The Shared Control Implementations feature is available for customers with solution packaging only.

You can add and manage initiative controls in a centralized location using the Compliance Automation product to improve the efficiency, visibility, and consistency of your compliance program. It allows teams to easily track which controls are in place, monitor their implementation status, and make updates in real time. This reduces the risk of duplication, oversight, or misalignment across departments. Centralized control management also supports better collaboration, as stakeholders can access the same up-to-date information.

To add controls to initiatives

Adding relevant controls can help your organization tailor their initiatives to address evolving threats, business changes, or new legal obligations. This not only strengthens the overall risk posture but also improves audit readiness by providing clear, documented evidence of compliance efforts. Once a control has been added to an initiative, you can promote accountability by assigning ownership and tracking performance.

  1. On the Compliance Automation menu, select Initiatives.

    The Initiatives screen appears.

  2. Open the initiative in which you would like to add controls.
  3. Select the Controls tab.
  4. Click the Add Controls button.
    The Select controls screen appears.

  5. Select controls from the frameworks selected when creating the initiative to define the control implementations.
  6. Click the Next button.
    The Review Inventories screen appears.

  7. Review and edit the inventories aligned to each control to determine which control implementations are added or created. To edit an inventory, check the box next to the relevant control(s) and click the Manage Inventories button.
    Tip:

    Click the link in the Control ID column to view control details and implementation guidance in the Control pane. You can also use the search bar and filter to easily locate specific controls.

  8. On the Manage inventories modal, you can create one shared implementation that includes all inventories selected or separate implementations for each inventory selected in the next step. For more information on shared controls, see Managing Control Implementations.


    Note:

    You can also access the Manage inventories modal by clicking the link in the Manage Inventories column next to the control name on the Review Inventories screen.

  9. Click the Update Inventories button. You can repeat steps 6-8 above for each control.
  10. Click the Add Controls button to add the control implementations and inventories to the initiative. This action may take a few moments.

To launch assessments on initiative controls

Conducting a control assessment allows organizations to evaluate how effectively their controls are operating in practice. It helps identify gaps, weaknesses, or outdated practices that could expose the company to compliance risks or security threats.

Important:

To launch a control assessment, you must have a template configured containing control and control attribute questions. For more information, see Configuring Templates for Control Assessments.

  1. On the Compliance Automation menu, select Initiatives.

    The Initiatives screen appears.

  2. Open the initiative in which you would like to launch assessments on initiative controls.
  3. Select the Controls tab.
  4. Check the box next to the control(s) in which you would like to launch assessments.
  5. Click the icon.

    The Select an option modal appears.

  6. Choose to launch a single assessment for the selected controls or launch one assessment per selected control.
  7. Click the Continue button. See Launching Control Assessments for more information.

To remove initiative controls

The ability to remove controls from a compliance initiative provides essential flexibility and helps maintain the relevance and efficiency of the program. As business processes evolve or regulatory requirements change, certain controls may become redundant, outdated, or misaligned with current objectives. Removed controls and their associated evidence tasks can still be retained in a library for future reference or reuse.

  1. On the Compliance Automation menu, select Initiatives.

    The Initiatives screen appears.

  2. Open the initiative in which you would like to remove initiative controls.
  3. Select the Controls tab.
  4. Check the box next to the control(s) you would like to remove.
  5. Click the icon.

    The Remove Controls modal appears.

  6. Click the Remove Controls button. The selected controls will be removed from this initiative and their associated evidence tasks will also be removed. This action may take a few moments.

To assign initiative control owners

Assigning a control owner is a critical step in strengthening a company’s compliance posture. A control owner is responsible for overseeing the implementation, maintenance, and effectiveness of a specific control, ensuring it aligns with regulatory and organizational requirements. This clear assignment of responsibility promotes accountability and helps prevent gaps in compliance. It also streamlines communication, as stakeholders and auditors know exactly who to contact for updates.

Important:

Review the details of each control before assigning a control owner. Click the links in the Implementation ID and Control ID columns on the Controls tab to view additional details.

  1. On the Compliance Automation menu, select Initiatives.

    The Initiatives screen appears.

  2. Open the initiative in which you would like to assign initiative control owners.
  3. Select the Controls tab.
  4. Check the box next to the control(s) you would like to assign control owners.
  5. Click the icon.
    The Assign Control Owner modal appears.

  6. Select the user(s) that will be assigned as the control owner for the selected controls. This action will remove any previously assigned control owners.
  7. Click the Save button.

To update control statuses

Updating the current status of a control ensures accurate, real-time visibility into system performance, compliance, or risk. Keeping control statuses current supports audits, helps manage risk effectively, and ensures that teams can make informed decisions based on the most up-to-date information.

  1. On the Compliance Automation menu, select Initiatives.

    The Initiatives screen appears.

  2. Open the initiative in which you would like to update control statuses.
  3. Select the Controls tab.
  4. Check the box next to the control(s) you would like to update status.
  5. Click the icon.
    The Update status modal appears.

  6. Select the new control status using the field-selector that will be applied to the controls you selected.
  7. Click the Confirm button.

Using the Controls Pane

The Controls pane on the initiative details screen lets you efficiently manage your initiative’s controls. The pane allows you to edit control details, update statuses, add evidence, and launch self-assessments all in one place. This centralized access streamlines control oversight and supports stronger compliance and accountability.

To edit details

You can edit control details for an individual control using the Details tab of the Controls pane.

  1. Open the initiative that includes controls you would like to edit.
  2. Select the Controls tab.
  3. Click the row for the control you want to edit.
    The Controls pane appears.

  4. Click the Edit Details button.
  5. Edit the control details as needed.

  6. Click the Save button.

To change control status

You can change the status for an individual control using the Details tab of the Controls pane.

  1. Open the initiative that includes controls in which you would like to update the status.
  2. Select the Controls tab.
  3. Click the row for the control you want to update.

    The Controls pane appears.

  4. Click the Change status button.
    The Update status modal appears.

  5. Select the new control status using the field-selector that will be applied to the controls you selected.
  6. Click the Confirm button.

To add evidence tasks

You can add evidence tasks for an individual control using the Evidence tasks tab of the Controls pane.

  1. Open the initiative that includes controls in which you would like to add evidence tasks.
  2. Select the Controls tab.
  3. Click the row for the control you want to update.

    The Controls pane appears.

  4. Select the Evidence tasks tab and click the Add evidence task button.

    The Add Evidence Task(s) screen appears.

  5. Link to an existing evidence task or create a new evidence task. For more information, see Creating and Managing Custom Evidence Tasks in your Library.
  6. Click the Add button.

To launch a self-assessment

You can launch self-assessments for an individual control using the Assessment tab of the Controls pane.

  1. Open the initiative that includes controls in which you would like to launch a self-assessment.
  2. Select the Controls tab.
  3. Click the row for the control you want to update.

    The Controls pane appears.

  4. Select the Assessment tab and click the Launch Self-Assessment button.

    The Create assessments screen appears.

  5. Configure the assessment as needed. For more information, see Launching Control Self-Assessments.
  6. Click the Create & Send button.