Requirement Management

Upon accessing, the "Requirements" option is loaded by default, which contains the structure of the compliance catalog requirements. The options available for the catalog are as follows:

• Associate - Associate Documentation: Allows associating one or more documents from the document manager to the compliance catalog requirements. To do this, select the desired row and click on the 'Associate Documentation' button, which opens the following screen:

The screen shows the document tree stored in the Document Manager (Sections/Document Manager). To associate the documentation, you must select the checkbox(es) of the desired documents and click the ‘Save Changes’ button.

If the user wants to reference one or more documents not stored in the Document Manager, the tool allows identifying the documents in the box located on the right side, so they are identified in the desired control.

If you want to remove an association, the user must access the document tree, uncheck the desired checkbox(es), and click on the ‘Save Changes’ button.

• Associate - Associate Control: Allows associating one or more controls, registered in the "Control Management" option, to the compliance catalog requirements. To do this, select the desired row and click on the 'Associate Control' button, which opens the following screen:

The screen shows the list of controls defined in the 'Analysis/Control Management' section. To associate one or more controls, you must select the checkbox(es) of the desired controls and click the ‘Associate Controls’ button.

If you want to remove an association, the user must access the control list, uncheck the desired checkbox(es), and click on the ‘Associate Controls’ button.

• Associate - Associate Non-Conformity: Allows associating one or more non-conformities to the compliance catalog requirements.

• Expand: Expands the list of all requirements/controls in the catalog.

• Collapse: Collapses the list of all requirements/controls in the catalog.

• Back: Allows returning to the initial compliance catalog list.

• End Date: Allows indicating the end date for catalog management.

• Download: Allows downloading the compliance catalog, available in two formats.

  • Docx Report.

  • CSV Report.

• Show Graphs: Allows visualizing different graphs that show the implementation status of the controls.

• Consolidate: Allows consolidating the results of the compliance surveys conducted.

The Compliance Survey Consolidation window mainly consists of two panels: one that allows global consolidation criteria for all catalog requirements or controls, and another that allows particularizing the consolidation criteria for each catalog requirement or control.

In the "Global Compliance Consolidation" section, it is possible to perform a consolidation with the same criteria for all requirements or controls. The following options are available in this type of consolidation:

• Surveys: Allows selecting the surveys to be consolidated.

• Global Consolidation Criteria Applicability: Allows defining the consolidation criteria considering the Applicability field of the controls or requirements in the compliance surveys. It is possible to consider only the controls that Apply, only those that Do Not Apply, or both with the "Do Not Consolidate" option.

• Global Consolidation Criteria States: Allows selecting the calculation of the final state of the consolidation by taking the minimum value of all surveys, the maximum value of all surveys, or calculating the average state across all surveys.

In the "Compliance Requirement Consolidation" section, it is possible to perform consolidation particularizing by requirement or control, instead of performing a global consolidation for all requirements. The following options are available in this type of consolidation:

• Controls: A table is displayed on the left side of this panel with the list of catalog controls as well as Applicability, State, and Justification. By clicking on any row in the table, it is possible to customize the type of consolidation to be performed on the selected control or requirement, showing the following information and options on the right side of this panel:

  • Summary: Displays complete information about the selected control.

  • Applicability: Allows defining the consolidation criteria for the "Applicability" field of the surveys for the selected control. The criteria are the same as in the global consolidation, but in this case, they will only apply to the selected control.

  • States: Allows defining the consolidation criteria for the "State" field of the surveys for the selected control. The criteria are the same as in the global consolidation, but in this case, they will only apply to the selected control.

Once the Global and/or customized criteria by Control are established, click on the "Consolidate" button to start the consolidation.

Additionally to the previous options, it is possible to edit the different columns of the table containing the compliance catalog. The function of each column is as follows:

• Applies: Allows identifying whether the requirement or control applies or does not apply within the organization. To set the value, double-click on the cell and select the desired option from the dropdown. The tool allows setting "Applies" or "Does Not Apply" to a group of requirements or controls, so that all requirements/controls at lower levels are set with the same value.

• Justification or Control: Allows indicating a justification for the applicability or non-applicability of the control. To do this, double-click on the cell, and a text box will appear where you can write.

• Current State: Allows indicating the implementation status of the requirement or control within the organization. Clicking on the cell will display the available options to define the state, based on the states configured for the compliance catalog. The tool offers a series of default states for the catalogs, but these states are configurable both in the "Compliance Catalogs" option in the Settings section and in the catalog itself in the top "States" option (see the next section).

• Date: Allows setting a date for the requirement or control. This date can be used, for example, to identify the evaluation date of the requirement or its implementation date (as desired).

• Documentation: Displays the documents associated with the requirement or control, allowing the documents to be downloaded by clicking directly on the link. To associate documents with a requirement, select the requirement and click on the "Associate Documentation" button available at the top.

• Observations: Allows including observations and relevant data to justify the state of the control.

• Grouped Controls: Displays the controls, from the "Control Management" option, associated with the requirement, allowing access to the control details by clicking directly on the link. To associate controls with a requirement, select the requirement and click on the "Associate Control" button available at the top.

Note: This column is hidden by default. To view the column, you must right-click on the table header, allowing you to add the column.

• Non-Conformities: Displays the non-conformities associated with the requirement, allowing access to the non-conformity details by clicking directly on the link. To associate non-conformities with a requirement, select the requirement and click on the "Associate Non-Conformity" button available at the top.

Note: This column is hidden by default. To view the column, you must right-click on the table header, allowing you to add the column.

Finally, at the top, it is possible to associate the compliance catalog with the organization's assets. By clicking on the "Related Assets" link, a table is displayed that allows associating the assets listed in the "Inventory" option.

By clicking on the "Add Assets" button, a window appears with the dependency tree defined in the "Inventory" option. This window allows adding all assets related to the compliance catalog, including registered services and processes.

Compliance AI Assistant

Main Features

• Summarize and analyze the requirements of a regulation, highlighting key controls or those with low performance levels.

• Evaluate the compliance percentage both generally and by category.

• Determine the applicability of the requirements, differentiating between mandatory and optional.

• Identify gaps by comparing the implementation level with applicability.

• List pending actions, including action plans and audit requirements.

• Compare with any other regulation to establish synergies and equivalent controls.

• Propose controls or evidence necessary to improve the compliance level.

• Review trends and compliance evolution with historical versions.

Automation of Proposals and Controls

Additionally, the Compliance AI Assistant allows automatically including proposals in actions and controls within GlobalSuite®.

• Display action proposals in table format, with the possibility of selecting them to include in a risk analysis, either as a treatment plan or as an implemented control.

• Associate the created controls directly to the regulation requirements.