Getting SOX Compliant with Salesforce


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Getting SOX Compliant with Salesforce

  1. 1. Track: Getting SOX Complaint with Salesforce Lonnie Willis, Astadia Holly Faulkner, Choicepoint Chad Rycenga, Charter Communications
  2. 2. Safe Harbor Statement <ul><li>“ Safe harbor” statement under the Private Securities Litigation Reform Act of 1995: This presentation may contain forward-looking statements the achievement of which involves risks, uncertainties and assumptions. If any such risks or uncertainties materialize or if any of the assumptions proves incorrect, our results could differ materially from the results expressed or implied by the forward-looking statements we make.  All statements other than statements of historical fact could be deemed forward-looking, including any projections of subscriber growth, earnings, revenues, or other financial items and any statements regarding strategies or plans of management for future operations, statements of belief, any statements concerning new, planned, or upgraded services or technology developments and customer contracts or use of our services. </li></ul><ul><li>The risks and uncertainties referred to above include - but are not limited to - risks associated with the integration of Sendia Corporation’s technology, operations, infrastructure and personnel with ours; unexpected costs or delays incurred in integrating Sendia with, which could adversely affect our operating results and rate of growth; any unknown errors or limitations in the Sendia technology; any third party intellectual property claims arising from the Sendia technology; customer and partner acceptance and deployment of the AppExchange and AppExchange Mobile platforms; interruptions or delays in our service or our Web hosting; our new business model; breach of our security measures; possible fluctuations in our operating results and rate of growth; the emerging market in which we operate; our relatively limited operating history; our ability to hire, retain and motivate our employees and manage our growth; competition; our ability to continue to release and gain customer acceptance of new and improved versions of our CRM service; unanticipated changes in our effective tax rate; fluctuations in the number of shares outstanding; the price of such shares; foreign currency exchange rates and interest rates. </li></ul><ul><li>Further information on these and other factors that could affect our financial results is included in the reports on Forms 10-K, 10-Q and 8-K and in other filings we make with the Securities and Exchange Commission from time to time, including our Form 10-K for the fiscal year ended January 31, 2006. These documents are available on the SEC Filings section of the Investor Information section of our website at . </li></ul><ul><li>Any unreleased services or features referenced in this or other press releases or public statements are not currently available and may not be delivered on time or at all.  Customers who purchase our services should make purchase decisions based upon features that are currently available., inc. assumes no obligation and does not intend to update these forward-looking statements, except as required by law. </li></ul>
  3. 3. Lonnie M. Wills Chief Information Officer Holly Faulkner / Jason Conley Director, CRM Systems Ed Dischner Customer Success Moderated By: Chad Rycenga Director, IT CHARTER COMMUNICATIONS
  4. 4. Lonnie Wills Chief Technology Officer [email_address]
  5. 5. Astadia <ul><li>Astadia is a management consulting and technology solutions company that helps businesses become more productive in sales, marketing and customer service. </li></ul>INDUSTRY: EMPLOYEES: 100 GEOGRAPHY: Global PRODUCT(S) USED: SFA, Service & Support, 3 deployed applications on AppExchange # USERS: 100
  6. 6. SOX Case Study – Key Challenges <ul><li>Business Challenge </li></ul><ul><ul><li>Multiple Spreadsheets </li></ul></ul><ul><ul><li>Geographically dispersed </li></ul></ul><ul><ul><li>No central Reporting </li></ul></ul><ul><ul><li>Inconsistent Results </li></ul></ul><ul><li>Technology Challenge </li></ul><ul><ul><li>Purchase Standalone System </li></ul></ul><ul><ul><li>Integration required with multiple systems </li></ul></ul><ul><li>High Costs </li></ul><ul><li>Silo Application </li></ul><ul><li>Client / Server Application </li></ul>
  7. 7. SOXForce – The Solution <ul><li>How did we address the challenges? </li></ul><ul><ul><li>Built Control Environment </li></ul></ul><ul><ul><li>Built Change Management Environment </li></ul></ul><ul><ul><li>Implemented SOXForce Dashboard </li></ul></ul><ul><ul><li>Trained entire auditing and accounting staff </li></ul></ul><ul><li>Over 900 controls </li></ul><ul><li>60 accounting and IT Users </li></ul><ul><li>250 Employees </li></ul><ul><li>Multiple countries World Wide </li></ul><ul><li>Training in EMEA, APAC & US </li></ul><ul><li>Version 2.x since go live </li></ul>DEPLOYMENT DETAILS
  8. 8. Case Study – Results <ul><li>What were the results? </li></ul><ul><ul><li>Streamlined Audit process </li></ul></ul><ul><ul><li>Improved documentation for each control </li></ul></ul><ul><ul><li>Increased visibility to a real-time dashboard </li></ul></ul><ul><ul><li>Created ability to respond more efficiently </li></ul></ul><ul><ul><li>External Audit Review Capability </li></ul></ul><ul><ul><li>Consolidate time line to complete audits </li></ul></ul><ul><ul><li>Cost Savings in infrastructure and silo apps. </li></ul></ul>
  9. 9. SOXForce <ul><li>Department: Accounting and IT </li></ul><ul><li># Users: 60 </li></ul><ul><li>Key Requirements </li></ul><ul><ul><li>Support internal audit team </li></ul></ul><ul><ul><li>Support external audit team </li></ul></ul><ul><ul><li>Executive visibility </li></ul></ul><ul><li>Key Benefits </li></ul><ul><ul><li>Eliminated spreadsheets </li></ul></ul><ul><ul><li>Centralize reporting </li></ul></ul><ul><ul><li>On-demand dashboard visibility World Wide </li></ul></ul>
  10. 10. Holly Faulkner Director CRM Applications ChoicePoint, Inc [email_address] Jason Conley Pricing Analyst/Auditor [email_address]
  11. 11. Position <ul><li>Largest provider of commercial background screening and drug testing services in U.S. </li></ul><ul><ul><li>More than 9 million background screens annually </li></ul></ul><ul><ul><li>More than 5 million drug screens annually </li></ul></ul>History <ul><li>Over 60 years experience </li></ul><ul><li>Continual growth through acquisitions </li></ul><ul><li>2005 revenue = $1.1 billion </li></ul><ul><li>15 percent increase over 2004 revenue </li></ul><ul><li>More than 20,000 clients </li></ul><ul><li>Over 50% of Fortune 100 companies </li></ul><ul><li>Strong vertical presence: </li></ul><ul><ul><li>Retail Staffing </li></ul></ul><ul><ul><li>Financial Gaming </li></ul></ul><ul><li>Increasing Major Market presence </li></ul>Customers Capability <ul><li>Integrated solutions: drug testing, background checks, online applications, assessments, etc. </li></ul><ul><li>Industry-specific solutions </li></ul><ul><li>Product superiority </li></ul><ul><ul><li>NCrF - National Criminal File </li></ul></ul><ul><li>Industry leader in data security and disaster recovery </li></ul><ul><li>Superior quality assurance </li></ul>WorkPlace Solutions at a Glance
  12. 12. Case Study– Key Challenges <ul><li>Business Challenge </li></ul><ul><ul><li>Accurate, Consistent Pricing </li></ul></ul><ul><ul><li>Auditable Results </li></ul></ul><ul><ul><li>Historical Tracking </li></ul></ul><ul><ul><li>Interdepartmental Usability & Visibility (workflow) </li></ul></ul><ul><li>Technology Challenge </li></ul><ul><ul><li>Integration between systems </li></ul></ul><ul><ul><li>Legacy architecture </li></ul></ul><ul><li>High Costs </li></ul><ul><li>Reduced revenue </li></ul><ul><li>Inefficiency </li></ul><ul><li>Low customer service </li></ul>
  13. 13. Case Study– The Solution <ul><li>How did we address the challenges? </li></ul><ul><ul><li>Needs Assessments with Internal Auditing </li></ul></ul><ul><ul><li>Roadmap Created “What do you need and where is it going?” </li></ul></ul><ul><ul><li>Test changes using the Price Control document from Internal Auditing </li></ul></ul><ul><ul><li>New feature/process training for all users. Maintain confirmation of training and understanding acknowledgement document. </li></ul></ul><ul><li>158 Users </li></ul><ul><li>Training </li></ul><ul><li>WorkPlace Solutions </li></ul>DEPLOYMENT DETAILS
  14. 14. Acknowledgement Form for All Users <ul><li>Pricing Procedures Acknowledgement Form </li></ul><ul><li>I, _______________________, have received and read the pricing procedure instructions, and I have been trained on the process. My signature below acknowledges that I understand and will implement the process as outlined. I also understand that if I deviate from this process in any manner I will face disciplinary actions which could include immediate dismissal. </li></ul>
  15. 15. Demo <ul><li>Department: Sales Operations </li></ul><ul><li># Users: 62 </li></ul><ul><li>Key Requirements </li></ul><ul><ul><li>Provide visibility to Sales Opportunity activity </li></ul></ul><ul><ul><li>Clear Pricing Approval from VP of Pricing </li></ul></ul><ul><ul><li>Clear Audit Trail for External Auditors </li></ul></ul><ul><li>Key Benefits </li></ul><ul><ul><li>Eliminated pricing errors </li></ul></ul><ul><ul><li>Centralized Account Set Up Process </li></ul></ul><ul><ul><li>On-demand Pricing Approval visibility </li></ul></ul>
  16. 16. Process Flow
  17. 17. Case Study– Results <ul><li>What were the results? </li></ul><ul><ul><li>Visibility </li></ul></ul><ul><ul><li>Accuracy </li></ul></ul><ul><ul><li>Proactive Customer Service </li></ul></ul><ul><ul><li>Answered the Sarbanes – Oxley Compliancy challenge for ChoicePoint WorkPlace Solutions. </li></ul></ul>
  19. 19. Company Introduction <ul><li>3 rd largest US cable company </li></ul><ul><li>6.2m subscribers in 40 states </li></ul><ul><li>’ 05 revenue = $5.254 billion </li></ul>INDUSTRY: Telecommunications EMPLOYEES: 17,200 GEOGRAPHY: US PRODUCT(S) USED: Appexchange, Sandbox, PRM, Service & Sales, Agent Console # USERS: 573
  20. 20. Case Study – Key Challenges <ul><li>Business Challenge </li></ul><ul><ul><li>Commissions </li></ul></ul><ul><ul><li>Reconciliation </li></ul></ul><ul><ul><li>Data Integrity </li></ul></ul><ul><ul><li>Reporting accuracy </li></ul></ul><ul><ul><li>SOX Compliance </li></ul></ul><ul><li>Technology Challenge </li></ul><ul><ul><li>Integration between systems </li></ul></ul><ul><ul><li>Process/Requirement Definition </li></ul></ul><ul><li>Multisource Reporting </li></ul><ul><li>Inconsistency </li></ul><ul><li>Inefficiency </li></ul><ul><li>Abuse </li></ul>
  21. 21. Case Study – The Solution <ul><li>How did we address the challenges? </li></ul><ul><ul><li>Process Definition </li></ul></ul><ul><ul><li>Regulatory Participation / Buy-in </li></ul></ul><ul><ul><li>System Reconfiguration/Relaunch </li></ul></ul><ul><ul><li>Updated Commission Policy </li></ul></ul><ul><ul><li>Integration </li></ul></ul><ul><ul><li>MRR Timestamp </li></ul></ul><ul><li>Sandbox for SARBOX </li></ul><ul><li>573 Users Impacted </li></ul><ul><li>DTS/SSIS/DataMart </li></ul><ul><li>Training </li></ul><ul><li>Business Units affected </li></ul><ul><li>Ongoing improvements </li></ul>DEPLOYMENT DETAILS
  22. 22. Case Study– Results <ul><li>What were the results? </li></ul><ul><ul><li>% Improvements </li></ul></ul><ul><ul><ul><li>March 2005 (32% reconciliation) </li></ul></ul></ul><ul><ul><ul><li>March 2006 (91% reconciliation) </li></ul></ul></ul><ul><ul><li>Visibility </li></ul></ul><ul><ul><ul><li>Reporting for RunRate </li></ul></ul></ul><ul><ul><ul><li>Dashboards with meaning </li></ul></ul></ul><ul><ul><li>Culture shock </li></ul></ul><ul><ul><li>Carrots and Sticks to drive Adoption </li></ul></ul>
  23. 23. Demo <ul><li>Department: Sales Operations </li></ul><ul><li># Users: 500+ </li></ul><ul><li>Key Requirements </li></ul><ul><ul><li>Support SOX Compliance </li></ul></ul><ul><ul><li>Test, Test, Test (no margin for error) </li></ul></ul><ul><ul><li>Executive visibility </li></ul></ul><ul><li>Key Benefits </li></ul><ul><ul><li>Systemic Reconciliation </li></ul></ul><ul><ul><li>Compliance </li></ul></ul><ul><ul><li>Revenue Assurance </li></ul></ul><ul><ul><li>Windfall benefits (Customer Care) </li></ul></ul>
  24. 24. Lonnie M. Wills Chief Information Officer Holly Faulkner / Jason Conley Director, CRM Systems QUESTION & ANSWER SESSION Chad Rycenga DIRECTOR, IT CHARTER COMMUNICATIONS
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