SOX-Week4-V1.3.ppt

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SOX-Week4-V1.3.ppt

  1. 1. SOA – Software Tools Parvathi Natarajan Saravanan Velrajan Daisy Mae Go Alan Phan ACC/539 – August 4, 2005
  2. 2. Overview <ul><li>SOA compliance </li></ul><ul><li>Different Controls </li></ul><ul><li>Different Software Tools </li></ul><ul><li>Survey on SOA Tools </li></ul><ul><li>SOA Tools – Strengths </li></ul><ul><li>SOA Tools – Limitations </li></ul><ul><li>SOA Tools – Solutions from SAP </li></ul>
  3. 3. SOA Compliance <ul><li>SOA Compliance </li></ul><ul><ul><li>Auditing </li></ul></ul><ul><ul><li>Financial Reporting </li></ul></ul><ul><ul><li>IT changes </li></ul></ul><ul><ul><li>Information Security </li></ul></ul><ul><li>Protecting Corporate network </li></ul>
  4. 4. Different Controls <ul><li>COSO Framework – Internal control evaluation </li></ul><ul><li>IT Control </li></ul><ul><ul><li>Top-Down approach </li></ul></ul><ul><li>General Control </li></ul><ul><li>Application Control </li></ul><ul><ul><li>Tools for controlling/monitoring Software </li></ul></ul>
  5. 5. Different Software Tools <ul><li>Project Management Tool </li></ul><ul><li>Enterprise Resource Planning </li></ul><ul><li>Storage </li></ul><ul><li>Content/Change Management </li></ul><ul><li>Security </li></ul><ul><li>Data and application Integration </li></ul><ul><li>Business Process automation </li></ul>
  6. 6. SOX Tools – Survey Results <ul><li>Paisley 9.0% </li></ul><ul><li>OpenPages 0.8% </li></ul><ul><li>Oracle 1.6% </li></ul><ul><li>SAP 1.2% </li></ul><ul><li>Deloitte 14.8% </li></ul><ul><li>KPMG 5.3% </li></ul><ul><li>No Tools 29.9% </li></ul><ul><li>Others 62.6% </li></ul>
  7. 7. SOX Tools - Strengths <ul><li>Integration with existing systems </li></ul><ul><li>Leverage existing investment </li></ul><ul><li>Reporting </li></ul><ul><li>Flexible framework </li></ul><ul><li>Ease of use </li></ul><ul><li>Web Based – for use by global operations </li></ul>
  8. 8. SOX Tools – Limitations <ul><li>Focus on financial controls rather than operational control </li></ul><ul><li>Lacks ability to import existing control documentation </li></ul><ul><li>Lacks document & version management </li></ul><ul><li>Doesn’t include Enterprise wide risk assessment </li></ul>
  9. 9. SOX Tools – Solutions from SAP <ul><li>Audit Information System (AIS) </li></ul><ul><li>Management of Internal Controls (MIC) </li></ul><ul><li>Schedule Manager </li></ul><ul><li>SEM Business Consolidation (BCS) </li></ul><ul><li>Management Cockpit </li></ul>
  10. 10. Summary <ul><li>SOA compliance </li></ul><ul><li>Different Controls </li></ul><ul><li>Different Software Tools </li></ul><ul><li>Survey on SOA Tools </li></ul><ul><li>SOA Tools – Strengths </li></ul><ul><li>SOA Tools – Limitations </li></ul><ul><li>SOA Tools – Solutions from SAP </li></ul>

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