Improvements

Internal Controls Management

• The Internal Controls Management application was standardized to remove inconsistent activities and views and report structure.
  • Configuration Details:
    • Removed views Open Issue Listing and Open Corrective Actions Listing from Issue & Actions activity.
    • Removed internal controls team role from Audit Committee Dashboard.
    • Removed internal controls team role from Management dashboard. 
    • Removed internal controls team and internal controls administrator from Internal Controls activity on Reports App.
  • Created new activity "Reports" and added views and gave access to Internal Controls team role:
    • Executive Dashboard
    • Management Dashboard
    • Internal Controls Status Report
    • Audit Committee Report
    • Design Effectiveness Summary- Processes, Controls, Document Requests
    • Control Effectiveness Summary
    • Issue Summary
    • Certification Summary
    • Financial Statement Account Scoping
    • Business Unit Testing Summary
    • Risk and Control Matrices (Data Grid)
    • Risk and Control Matrices (Export)
    • User Assignment Reports

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