This article explains how to create a custom compliance framework from scratch in dotLegal in four steps: create the framework, add controls, add tasks to controls, and manage tasks.
In dotLegal, a framework can be created in two ways:- From scratch (Covered in this article)
- Using ready-made templates. Read more here: Use predefined framework templates
If you prefer to build your own framework from scratch rather than use a predefined template, here is how. For example, if you are working with a standard like ISAE 3000 or ISAE 3402, you can create a tailored setup that fits exactly how you approach that specific requirement.
Step 1: Create a custom framework
Navigate to Frameworks and select "Create framework". Fill in the required fields — name, description, framework owner, and compliance areas — then click "Create".
Step 2: Add controls to the framework
Before adding controls, you must first manage the framework categories. Read more here: Understand and manage framework categories.
Once categories are configured, you're ready to add controls. Click "Add control".
Enter the control's name, category, and coordinator. Description and ID are optional fields.
Note: The Coordinator field designates the person responsible for overseeing this control. You can assign any user with access to the framework.
Step 3: Add tasks to the control
With your control created, you can now add tasks. Click "Add task".
Note: Tasks must be created in the annual wheel before they can be added to a control. If no tasks appear in the list, add activities to the annual wheel first.
You can choose between the activities you have planned within the annual wheel. Select the "+" to add multiple tasks to the control. Now click "Save".
Step 4: Manage tasks
Click any task in the list to open it. To modify recurrence or other general settings for recurring tasks, you must edit the task directly in the annual wheel. For quick access, click the hierarchy icon beside the task title – this will take you directly to the corresponding annual wheel activity.
Example of an open task:
Go to annual wheel activity:
Continue adding controls and tasks until your custom framework is complete. Your framework is now ready to use for compliance tracking and reporting in dotLegal.
Note: Only users with the appropriate permissions (e.g. Framework Manager or Admin role) can create and edit frameworks. If you do not see the Create framework option, contact your dotLegal administrator.