Governance portal roadmap Updated April 2019

Table of Contents 03 About the Governance Portal Roadmap 04 Product Roadmap Methodology 05 Our Vision 06 Features Roadmap 07 Feature Details

About the governance Portal roadmap The Governance Portal (GP) roadmap outlines Protiviti’s development intentions with respect to future releases of the GP. To coincide with Protiviti’s release scoping, it provides detailed itemization of enhancements that have been scoped into the current release while providing high-level overviews of the larger scope areas of focus contemplated for subsequent releases. This document is purposed toward communicating with Protiviti’s Governance Portal customers regarding Protiviti’s contemplated road map so that customers may review, plan for and participate in the advancement of the GP. The enhancements identified herein are subject to change based on changing client and market demand. Enhancements identified within near-term releases have more certainty than enhancements identified for subsequent periods. Further, releases are based on Protiviti’s intended schedule, and are subject to change based on QA certification of individual releases. The Governance Portal Road Map contains the following sections: Release Schedule – Outlines the scheduled release dates for version updates (X.x.x), dot releases (X.x) and major releases (X). Features Road Map – Outlines contemplated features for future releases of the GP. The road map includes itemized descriptions of individual features. Technical Schedule – Outlines the current and targeted versions of hardware and software that are certified for running the GP (e.g. SQL 2019).

Product roadmap methodology Product Management reviews the product backlog with each release in order to prioritize features and enhancement requests for subsequent releases. Product updates are released monthly. Minor releases are released bi-annually (May and November). Major releases are typically delivered every three to four years.

Our Vision To improve our customers’ corporate governance through simplicity, connectivity and automation. To achieve this, our roadmap is focused on the following themes: Practitioner’s Toolkit Allow practitioner’s to efficiently do their work in the system through purpose-built screens, one-click access, and seamless document management that reduces time spent on data input and report aggregation. Enterprise Hub Provide an extensible framework to manage complex data models while integrating with enterprise software and reporting solutions to embed GRC information and processes in the day-to-day activities of both frequent and infrequent users. Business Process Improvement Incorporate digital technologies such as Robotics Process Automation (RPA) and machine learning to enhance corporate governance through process automation and advanced analytics.

Features roadmap Component V4.12 V4.13 (November 2019) V4.14 (May 2020) Next 12 Month Themes (5.0) eGRC Register Dependent Object - RCM Document Group Configurability Projects / Audits Document Type Work paper Project Workbench Replacement / Redesign Workflow & Survey Enterprise Workflow Reporting & Analysis Excel Power Pivot Support Custom Query Enterprise Reporting Integration Platform-Wide Extensibility Framework Configuration Form Framework Data Feed Updates Configuration Form Refactor MS Office Suite Integration Machine Learning

Feature details GRC Register Description Projects / Audits Dependent Object - RCM Allows dependent object linkage directly at the RCM level. Document Group Configurability Supports form configuration for the Document and Document Management pages. Projects / Audits Document Type Work paper 4.12 will add a new project work paper type, which allows the creation of a document request where users can upload documents to be reviewed for a particular project activities. Continued improvements will further enhance this functionality. Project Workbench Replacement or Redesign The Project Workbench was built using Microsoft Silverlight, which is a technology Microsoft no longer supports as a result of newer favored technologies. Using a phased approach, we have begun replacing other GP functionality that leveraged Silverlight (e.g. Multilingual, Scheduler, Time & Expense). We are currently evaluating market needs and existing client usage to determine if the best approach is to invest in a full Silverlight replacement or a redesign of the Workbench functionality.

Feature details Cont’d Workflow & Survey Description Enterprise Workflow Integration and Automation Integration The native GP workflow engine will be augmented for customers wishing to perform advanced workflow as well as support Robotics Process Automation (RPA) for process and controls automation. Potential integration partners will include Nintex for advanced workflow, and Blue Prism or UI Path for RPA. Confirmed integrations include Nintex followed by Microsoft Flow. Reporting & Analysis Custom Query The existing capability to develop custom queries within the ad hoc reporting engine will be updated to provide system administrators the ability to build new view definitions through the user interface. Its provides an ability to include extensible data model objects within ad hoc searches. Continued improvements will incorporate the ability to introduce calculated columns into custom queries. Excel Power Pivot Support This enables support for Power Pivot, which is an Excel add-in used to create more powerful data analysis and data models than when using standard Excel capabilities. Enterprise Reporting Integration The existing API that allows enterprise reporting solutions to call GP saved searches to easily extract data without requiring intimate DB knowledge will be enhanced to establish connectors with specific reporting solutions. The connectors will be purpose-built for a given reporting solution, and support end-user security trimming as well as report generation directly within the GP. Specifically, a connector with Power BI was introduced in v4.11 and will be optimized based on client feedback. Additional connectors for SQL Reporting Services and Tableau will be introduced in subsequent releases.

Feature details Cont’d Platform Wide Description Extensibility Framework The Extensibility Framework provides the ability for system administrators (i.e. non-developers) to model new entity and record types for rapid development of new or custom Governance Portal solutions. Updates to the framework will occur within dot releases leading into v5.0 and will include but not be limited to: Ability to associate a Dependent record directly to an RCM without requiring a sub-RCM record type that originates in the RCM. Creation of the ability to categorize entity and record types into specific “classes” that allow like record-types to inner-operate with one another for purposes of linking, instantiating and importing records within entities. This will improve the ability to create custom frameworks that contain definitional content while creating unique instances of framework elements for support of entity-specific data capture (e.g. assessments, applicability, etc.). Ongoing improvements based on client feedback. Configuration Form Framework The Configuration Form Framework provides the ability for system administrators (i.e. non-developers) to define field labelling, placement and additional characteristics on forms such as required, drop-down choices and other features. A new framework was introduced in V4.11 that supports configuration of extensible entity and record types without requiring developer intervention. In v4.12, a new C-form database architecture update will be implemented to support the upcoming ability for system administrators to utilize an intuitive UI to model new C-forms. Continued improvements will work towards implementing feature parity with the current C-form framework.. In v5.0, this feature parity will allow the existing OOB record types to be translated into the new configuration framework. Updates to the framework will occur within dot releases leading into v5.0and will include but not be limited to: Form sectioning Tab configuration Conditional layouts Configuration Form Refactor Refactor default system forms to utilize the new configuration form framework that will provide increased extensibility and configurability options as well as drive a new v5.0 user interface paradigm.

Feature details Cont’d Platform Wide Description MS Office Suite Integration Continued investments will be made in the dynamic synchronization of MS Office data (e.g. using Excel to refresh GP data). This builds upon the current capability to download dynamically refreshed data in MS Excel and Word with the ability to make live edits in MS Word and uploaded directly into the GP. Data Feed Updates The existing content utility will be updated to allow mapping of columns in identified data sources (e.g. Excel, csv, SQL DB) to GP fields rather than prescribe fixed data formats. This will allow for more flexible integration capabilities with source systems without requiring developer intervention. Machine Learning Leverage machine learning for greater data analysis to help our customers identify patterns and make decisions with minimal human intervention.