Improvements

Compliance Management

• Applied improvements to the Dashboards within the Compliance Management application, presenting trends, risks, and program status clearly and consistently. The following configuration details are applied:
  • RCM Executive Dashboard
    • Compliance Frameworks (library compliance framework ID)
    • Active Requirements (library requirement id) 
    • Total Controls (control id) 
    • Compliance Level by Compliance Framework with drill down table Compliance Framework, Requirement Name, Inherent Risk Score, Residual Risk Score, Compliance Level 
    • Control Effectiveness by Framework with drill down table compliance framework, requirement name, control effectiveness 
    • Open Issue Status with drill down table issue name, workflow state, business unit, compliance framework and compliance name 
    • Heatmap Inherent Risk vs Residual Risk on Requirements with drill down table compliance framework, requirement name, inherent risk score, residual risk score, compliance Level
  • RCM Management Dashboard
    • Compliance Assessment Progress with drill down table Compliance assessment name, business unit name, compliance framework name 
    • Requirement Status % by Business Unit with drill down table compliance assessment name, compliance framework name, requirement name, requirement workflow state 
    • Control Status % by Business Unit with drill down table compliance framework name, control name, control workflow state 
    • Open and Overdue Issues by Business Unit with drill down table issue name, workflow state, business unit, compliance framework and compliance name 
    • Compliance Level and Control Effectiveness by Requirements heatmap with drill down business unit, compliance framework name, requirement name, compliance level, control effectiveness 
    • Non-compliant requirement tables with columns business unit name, compliance framework name, requirement name with filter to show only non-compliant requirements. 
• The Requirement – CM – 2 – Risk Assessment and Requirement – CM – 1 – Library forms were reorganized, creating clean consistent sections, a defined hierarchy, and systematically placed collapsible to complete assessments faster. The following changes were applied to the forms:
  • Requirement – CM – 2 – Risk Assessment
    • Removed the following elements:
      • Theme Field
      • Date of Obligation Status Update
      • Regulator ID Field
      • Regulator Name
    • Removed comment and attachments field on inherent risk, control effectiveness and residual risk tabs. 
    • Requirement Description as collapsable section 
    • Added a separate tab for controls (only for assign) and requirement details and risk events
    • Added level of compliance as a tab next to issues
    • Requirement attributes as a separate tab. 
    • Risk ratings formulas card is also shown for "assess compliance wf state" 
    • Left side bar for assess compliance, compliance team review, remediation, monitoring, archived. 
  • Requirement – CM – 1 – Library
    • Removed the following elements:
      • Themes
      • Regulatory ID Field
      • Regulatory Name
      • Content Properties card
    • Added the following tabs:
      • Requirement, Requirement Details, and Controls
    • Moved Requirement Description to its own collapsible.
    • Matched attributes tab with the Requirement – CM – 2 – Risk Assessment form.
  • Requirement Detail – Library 
    • Removed themes, regulator ID, regulator name
    • Removed content properties card and all fields 
    • Matched attributes tab with Requirement - CM - 2 - Risk Assessment for Ascent and custom
  • Sub Topic – Library
    • Removed description from requirements relationship table

All GRC Applications

• The Control Recommendation AI-powered feature has been enabled across GRC applications. The feature will identify controls linked to a requirement or risk and present that information to the user, quickly identifying controls, improving consistency, and reduces control duplication.
  • Enabled Recommended Controls for CM, RM, BCM, ITRM, IA on the following forms:
    • Requirement - CM - 2 - Risk Assessment
    • Requirement - CM - 1 - Library
    • Requirement - CM - 1a - Library (New/Updated Requirement)
    • Risk - RM - 2 - Risk Triage
    • Risk - RM - 3 - Library
    • Risk - RM - 4 - Assign Risk Owners
    • Risk - RM - 5a - Assess Risk
    • Risk - RM - 5b - Assess Risk (Standard ERM)
    • Risk - RM - 5c - Assess Risk (Step by Step)
    • IT Risk - IT Risk Management - 2 - IT Risk Profiling
    • IT Risk - IT Risk Management - 3 - Library
    • IT Risk - IT Risk Management - 4 - Assign IT Risk Owner
    • IT Risk - IT Risk Management - 5 - Assess Risk
    • Risk - BCM - 2 - Risk Review
    • Risk - BCM - 3 - Library
    • Risk - BCM - 4 - Assign Risk Owners
    • Risk - BCM - 5 - Assess Risk
    • Risk - IA - Risk Overview
    • Risk - IA - Audit Client Overview