Improvements

Compliance Management

• AI Quick Actions set up for both Summarize Regulatory Text and find Similar Requirements on requirement forms:
  • Requirement - CM - 1 - Library
  • Requirement - CM - 1a - Library (New/Updated Requirement)
  • Requirement - CM - 2 - Risk Assessment
• Simplified the Compliance Management User Interface by renaming workflows, repositioning actions, and adding contextual guidance. 
  • Renaming Workflows to improve clarity.
  • Created an orchestrated event to move all requirements from Assign Compliance to Assess Compliance.
  • Guidance text added to recommend running the Supporting Information trigger.
  • Removed the description column from the Regulatory Update report.
  • Progress and control coverage is now visible at the framework level.
  • Configuration Details:
    • Compliance Assessment - Requirement Workflow:
      • Renamed workflow state Assign Compliance Owner → Assign Compliance. Within this workflow renamed button Send for Risk Assessment → Send for Compliance Assessment
      • Renamed workflow state Assess Risk → Assess Compliance 
  • Compliance Assessment workflow:
    • Added button "Assess Compliance" and OE: Assess Compliance from Compliance Assessment in Progress. Consumed OE on Compliance Assessment - Requirement Workflow- Assign Compliance
    • Gave access to Compliance Team 
    • Added button and description to Compliance Assessment - 1 - Overview
  • Regulatory Updates Report:
    • Created new data definition Regulatory Updates, Alert, Requirement
    • Removed requirement description column from all tables and added date updated
  • Requirement - CM - 2 - Risk Assessment form
    • Added a section for description and made it collapsable.
  • Sub Topic - CM - Assessment in Progress
    •  Added column "Compliance Level" on requirements relationship table 
  • Compliance Framework - Library Form:
    • Reordered reports on tabs 
    • Created a separate collapsable section for Supporting Information
  • Compliance Team User permissions:
    • Removed "assign" permission from requirement OT - Regulatory Update workflow state
    • Added "assign" permissions on Alert OT - Regulatory Update workflow state
  • Parent OTs in read-only pills on Compliance Forms:
    • Requirement - CM - 1 – Library
    • Sub Topic – Library
    • Topic – Library
    • Requirement - CM - 2 - Risk Assessment
    • Sub Topic - CM - Assessment in Progress
    • Topic - CM - Assessment in Progress
  • Progress & Control Coverage # Requirements Library:
    • On Subtopic OT created formula # Active Requirements with variable relationship - requirement - active status component - count AND variable relationship - requirement - regulatory update status component - count. Sum of active requirements.
    • On Topic OT created formula # Active Requirements with variable REQUIREMENTS.
    • On Compliance Framework OT created # Active Requirements with variable REQUIREMENTS.
  • Assessments:
    • On Subtopic OT created # Requirements with SUM (ASSIGNCOMPLIANCEREQUIREMENT) + SUM (ASSESSCOMPLIANCEREQUIREMENT) + SUM (COMPLIANCETEAMREVIEWREQUIREMENT) + SUM (REMEDIATIONREQUIREMENT) + SUM (MONITORINGREQUIREMENT)
    • On Topic created # of Requirements with variable REQUIREMENTS
    • On Compliance Framework created # of Requirements with variable REQUIREMENTS
    • Compliance Assessment created # of Requirements with variable REQUIREMENTS
  • # Controls:
    • On requirement OT created formula #controls with variable SUM (COUNT)
    • On sub topic OT created formula #controls with relationship requirement and control formula sum
    • On topic OT created formula # controls with relationship sub topic and control formula sum 
    • On framework OT created formula # controls with relationship topic and control formula sum
    • On compliance assessments created formula # controls with relationship framework and control formula sum
  • Control Coverage:
    • On requirement OT created formula Control Coverage with relationship controls and COUNT>=1?1:0 
    • On requirement OT created Library Controls formula any DRAFTCONTROL OR ACTIVECONTROL
    • On sub topic OT created Library Controls formula LIBRARYCONTROLS
    • On topic OT created Library Controls formula LIBRARYCONTROLS
    • On compliance framework OT created Library Controls formula sum LIBRARYCONTROLS
    • On requirement OT created RCM Controls formula any ASSIGNCONTROLOWNERCONTROL OR SELFASSESSMENTCONTROL OR REVIEWCONTROL OR REMEDIATIONCONTROL OR COMPLETECONTROL
    • On sub topic OT created Library Controls formula RCMCONTROLS
    • On topic OT created Library Controls formula RCMCONTROLS
    • On compliance framework OT created Library Controls formula RCMCONTROLS
    • On sub topic OT created Control Coverage formula RCMCONTROLS/REQUIREMENTS
    • On sub topic OT created Active Control Coverage formula LIBRARYCONTROLS/ACTIVEREQUIREMENTS
    • On topic OT created Control Coverage formula RCMCONTROLS/REQUIREMENTS
    • On topic OT created Active Control Coverage formula LIBRARYCONTROLS/ACTIVEREQUIREMENTS
    • On Compliance Framework OT created Control Coverage formula RCMCONTROLS/REQUIREMENTS
    • On Compliance Framework OT created Active Control Coverage formula LIBRARYCONTROLS/ACTIVEREQUIREMENTS
    • On Compliance Assessment created Control Coverage formula RCMCONTROLS/REQUIREMENTS
  • Added formulas in the following forms:
    • Regulator Library – Library
    • Compliance Framework – Library
    • Topic – Library
    • Sub Topic – Library
    • Requirement - CM - 1 – Library
    • Compliance Assessment - 1 – Overview
    • Compliance Framework - CM - Assessment In Progress
    • Topic - CM - Assessment in Progress
    • Sub Topic - CM - Assessment in Progress
    • Requirement - CM - 2 - Risk Assessment
• Standardized the Compliance Management application by eliminating inconsistent naming and improving form design and report structure.
  • Configuration Details:
    • View and Activities:
      • Renamed activities Assign Compliance Owner → Assign Compliance (updated description); Assess Risk → Assess Compliance.
      • Within Assign Compliance Activity renamed views Assign Compliance Owner Report→ Assign Compliance Report; Assign Compliance Owner → Assign Compliance and updated description.
      • Within Assess Compliance activity renamed Requirements Pending Risk Assessment → Requirements Pending Compliance Assessment and updated description.
      • Removed Requirements Overview Report view from activities Assess Compliance, Review and Remediation.
    • Reporting:
      • Removed role "compliance team" from Executive Dashboard.
      • Removed role "compliance team" from Management Dashboard.
      • Removed role Compliance Management Administrator and Compliance Team from "Compliance Management" activity on "Reports".
    • Created activity "reports" and added the following views:
      • Removed role "compliance team" from Executive Dashboard.
      • Removed role "compliance team" from Management Dashboard.
      • Removed role Compliance Management Administrator and Compliance Team from "Compliance Management" activity on "Reports" App.

All Applications

• Application Data import files were updated to match the Risk Management Data Import file (unless otherwise stated), creating an integrated story across the GRC suite of applications.
• Created two new dashboard views to include all GRC application data, allowing users to view all GRC data in one place.
  • GRC Executive Dashboard
  • GRC Management Dashboard
• Applied changes to form design across all GRC applications to ensure that all forms follow a consistent standard, creating a better user experience. 
• Enabled View Latest Update on the following forms:
  • Requirement - CM - 1a - Library (New/Updated Requirement): Automatically enable the view latest updates toggle when opening this form
  • Requirement - CM - 2 - Risk Assessment
  • Requirement - CM - 1 - Library
  • Requirement Detail - Library
  • Requirement Detail - Library (New/Updated Requirement)
  • Requirement Detail - New/Updated Requirement
  • Control - GRC - 2 - Control Self-Assessment
  • Risk - RM - 5a - Assess Risk
  • Risk - RM - 5c - Assess Risk (Step by Step)
  • Internal Audit Project - 3 - Fieldwork, Reporting, Complete and Archive
  • Internal Audit Project - 2- Planning Memo
  • Process - IA - Process Overview
  • Risk - IA - Risk Overview
  • Control - IA - Testing Working Paper
  • Test - IA - Testing Working Paper
  • IC - Financial Statement Account Overview
  • IC - Financial Statement Sub Account Overview
  • Process - IC - 1 - Process Overview
  • Process - IC - 2 - Process Owner Overview
  • Sub Process - IC - Overview
  • Control - IC - 2a - Control Walkthrough and Testing
  • Request - IA & IC - 1 - Auditor
  • Policy - GRC - Overview - Policy Reviewer
  • Citation - IT Compliance - 3 - Internal Assessment
  • Control - IT Risk & Compliance - 3 - Assessment
  • Control - GRC - 1 - Library
  • Control - GRC - Report (Pallet)
  • Control - IA - Audit Client Overview
  • Control - IA - Document Requests (Pallet)
  • Control - IC - 2b - Document Requests (Pallet)
  • Control - IC - 3 - Control Owner Overview
  • Control - IC - 5 - External Auditor Overview
  • Control - IT Risk & Compliance - 2 - IT Control Owner Assignment
  • Issue - GRC - Overview
    • Corrective Action - GRC - Overview