Creating regulation templates in Compliance Manager

Compliance Manager helps organizations manage regulatory requirements by providing ready-to-use templates. For organizations with unique compliance needs, you can create custom regulation templates using one of two methods:

• Upload a regulation in PDF format
• Start from a blank template

These options allow flexibility for organizations that need to comply with official standards or define custom internal regulations.

To learn more about regulations, see Learn about regulations in Compliance Manager. To see a list of available regulations, see Compliance Manager regulations list.

How It Works

The process starts when the admin uploads a regulatory PDF file. The system analyzes the document for malware, extracts controls and maps controls to existing improvement actions. Any detected errors are displayed for correction. The admin can then update existing controls, add new ones, and manually map actions to controls. Once all adjustments are complete, the draft template is published for use in Compliance Manager.

Requirements

• A user must hold a role of Compliance Manager Administration or Compliance Manager Assessor. Learn more about roles and permissions.
• For PDF upload:
  • A regulation document published by an official regulator or standards body.
  • PDF format only.

Create a new template based on regulation document (PDF)

1. From your Regulations page, select Create new template.

2. Select Upload PDF document.

3. Modify template name as needed.

4. Optionally, enter overarching regulation name if you want to group multiple templates.

5. Select applicable services.

6. Select Scan and extract.

   The system scans, extracts, and maps controls. This process may take several minutes to complete. When the process is complete, you see the results of the scan including malware found, controls extracted, and controls mapped.

7. When the scan is complete, select Review draft template.

8. Review the draft template. Add, remove, or edit the controls as needed. When you're satisfied, select Publish template.

9. Confirm template details and optionally provide notes, and then select Publish template.

The template is published and you can now create an assessment based on your new template.

Create a blank template

1. From your Regulations page, select Create new template.
2. Select Create blank template.
3. Enter a template name.
4. Enter overarching regulation name.
5. Select applicable services.
6. Select Create draft template.
7. Manually add controls to your template. Select Create control.
8. In the Create control dialog, complete each field and then select Create.
9. Manually assign improvement actions to your control. Select one of the following:
   • Import actions - select from a list of available actions.
   • Create action - define your action.
10. Add as many controls and actions as needed. When you're finish, select Publish template.
11. Confirm template details and optionally provide notes, and then select Publish template.

The template is published and you can now create an assessment based on your new template.