FulcrumWay - Planning to Implement, Upgrade or Deploy a New ERP System?

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A Leader in Risk Based Enterprise Controls Management Solutions
Copyright ©. Fulcrum Information Technology, Inc.Give me a lever long enough and a fulcrum on which to place it, and I shall move the world - Archimedes
Planning to implement, upgrade or deploy a new ERP release?
Learn to control project costs and risks with effective configuration controls management approach
Webinar – May 20th , 2014
Adil Khan
Managing Director

www.fulcrumway.comPage 2Copyright © FulcrumWay
Control ERP Project Costs and Risks
Introductions
Top ERP Project Challenges
Configuration Management Approach
Overview of Configuration Controls Governor
Case Study
Q&A
Agenda

A Leader in Risk Based Controls Management™
FulcrumWay: is the #1 End-to-End Provider of Risk Based Enterprise Controls Management
Solutions for Oracle EBS, PeopleSoft and JDE customers with over 200 Fortune-500 to Middle Market
clients. Since 2003, we have successfully assisted companies across all major industry segments.
Expertise: Risk Advisory Services. Advanced Controls Design for Enterprise Applications. Best
Practices for Risk Mitigation and Internal Controls Automation. Audit, Compliance, Financial,
Enterprise and Operational Risk Assessments. Risk Remediation Services.
Packaged Solutions: FulcrumWay is the #1 choice of Oracle customers for Oracle GRC Advanced
Controls, GRC Manager, and GRC Intelligence/OBIEE software implementation. Oracle has certified
us as the only partner with Accelerators for Oracle GRC. We also provide Managed Services
Software Services: Risk Assessment for ERP systems, Control Design and Management Tools,
Controls Catalog, Enterprise Risk Manager, Financial Reporting Manager, Audit Manager
USA Presence: Privately held Delaware Corporation with US offices in New York City, Dallas and San
Francisco
International Presence: in Auckland, Chennai, Johannesburg, London, Mexico City
FulcrumWay

FulcrumWay ClientsSuccessful
Track Record
Government Oil and Gas
Healthcare
Communications
Financial Services
Transportation Natural ResourcesManufacturing
Retail
High TechMedia/Entertainment Life Sciences

FulcrumWay™ Insight
Thought Leadership
Co-Authored GRC Book: First book on GRC for
Oracle Applications
SROAUG GRC Solution Lab - February 21st – Los
Angels: GRC Case Studies and Best Practices
Collaborate 14 – GRC Client Appreciation Dinner April
7th, 2014 Las Vegas
NEOAUG Spring Conference – June 9th – Worcester,
MA -GRC Case Studies and Best Practices
IIA/ISACA GRC Conference – August 19th, 2014 -
Presentations – Five New Ways to Assess the Risks
that Can Turn Results into Rewards
Webcasts – Every 3rd Tuesday of the Month – GRC
Best Practices, Trends and Expert Insight
Oracle Open World – Annual GRC Dinner on
September 29th, 2014 - San Francisco, CA
LinkedIn –FulcrumWay Risk, Compliance and Audit
Software Group
YouTube Podcasts – FulcrumWay Instant Insight in 10
min or less
Proven Expertise

Introductions
Case Study
Q&A
Agenda

Top Project Challenges
Had functionality work in Dev but not in Prod.
App customizations are lost or broken after upgrading to new
release.
App functionality works in version 11.5.10 but not in R12
App setups are changed without authorization.
Not able to validate setups to auditor or business.
App is no longer functioning properly and there’s no record of what
changed.
Had documentation (BR100) that was out of date
Applied a patch and not known full impact.
Had project overruns and production downtime.
Missed deployment milestones for rollouts and upgrades because of
manual effort.

Top Project Challenges
Security Access Risks.
Inconsistent Oracle configurations Risks
– Inconsistencies between instances / Ledgers / legal entities
– Inaccuracy of configurations in production.
– PROD issues discovered after go-live
ERP Roll-out Risks
– Longer Roll-out Time and Higher support issues (SRs)
– Ineffective Change Management for ERP configurations
– Actual Application Setups not the same as the documentation
Process and Policy Compliance Risk
– Approved Process Design and Policies not enabled in ERP Application
Go-Live Audit Risks
– Auditors Find Control Weakness in Review of ERP setups

Impact of Misconfigurations on project
Configuration
Management
You can control project risks and costs by monitoring configurations when
implementing an upgrade of ERP or a new application.
SolutionDefinition
Build
Build
UAT
Implement
GoLive
Project life cycleProject life cycle
DuringDuring
developmentdevelopment
PostPost imp.imp.
PrePre --
highhigh
finishfinishstartstart
lowlow
SolutionBlueprint
Test
Implement
GoLive
CostofConfigurationChanges
Project life cycleProject life cycle
DuringDuring
developmentdevelopment
PostPost imp.imp.
-
Pre-implementation
highhigh
finishfinishstartstart
lowlow
Design

Introductions
Case Study
Q&A
Agenda

Configuration
Management
Software Development Life Cycle (SDLC)

Projects fail without SDLC Controls
Configuration
Management

Application Implementation Method
Configuration
Management

Application Implementation with SDLC
Configuration
Management
Phase Time J F M A M J J A S O N D
Requirements
Design
Configure Build
Test
Deploy
Discover Configurations
Document Configurations
Test Configurations
Compare Configurations

Fit/Gap
Analysis
Design
Workshops
(CRP)
Unit/
System
Test
Go-Live/
Production
Support
Discover
Configurations
Security
Master Data
Value Sets
Discover
Report
Interfaces
Customizations
Extensions
Configure/
Build/
Extend
User
Acceptance
Design / ImplementDiscover/Assess Deploy/Maintain
DataProbe Analytics
Configuration
Snapshots
Monitor SDLC
Test / Accept
Automated Configuration Management
Configuration
Management
Establish
Application
Baseline

Automate Configuration Management?
Configuration
Management
Automated Approach
Configuration management is integrated throughout
the implementation. Design decisions are
augmented with real-time analytics, configurations
are verified with a specific focus in testing and
training, and confirmed with post go-live reviews.
• Provides most effective configuration baseline
• Minimizes project team re-work
• Long-term cost is lower
• Leverages implementation momentum to make
SDLC control improvements
Manual Approach
The configuration errors are discovered and
corrected after the production system is live. A
SWAT team approach is employed to cover all of
the areas at once.
• Less impact to the project team and project
timeline
• Less up-front effort
• Review can be performed against some history
(i.e., has the risk area manifested?)
Time
$
“Manual”
Approach
“Automated”
Approach

Introductions
Case Study
Q&A
Agenda

Enterprise Controls PlatformAdvanced
Controls
Manage Data
Integrity
Enforce Change
Control
Monitor
Configuration
Changes
Document or
Compare
Configurations
Configuration Controls
Ensure Integrity of Critical Application Setups
• Tightly control change management to
accelerate development and test time
• Track complete audit trails for changes to
key configurations
• Achieve consistent application setup and
operating standards across multiple
instances
Define
Configuration
Controls
Detection Prevention
GRC Manager
SOD &
Access
Application
Configuration
Transaction
Monitoring
GRC Intelligence
Advanced Controls
Preventive Controls

Configuration ControlsAdvanced
Controls

Controls

Controls
Compare Configurations
Differences

Business application does not keep a record history of change
details nor does it alert users to changes.
Continuously Monitor Controls
When?
What?
Where?
Who?

Controls
Advanced Controls High-level Architecture
Advanced
Controls
Suite
APP
SERVER
TEST
(EBS R12)
ERP Agent
DEV
(EBS R12)
ERP Agent
PROD1
(EBS 11.5.10)
ERP Agent
PROD2
(EBS R12)
ERP Agent

Is Your ERP Leaking Cash?
Introductions
Top Procure to Pay challenges in ERP
Overview of Payable and Purchasing Controls
Advanced Controls Analytics
Case Study
Q&A
Agenda

Silicon ImageCase Study

Application Control Environment
ERP System Release 11.5.10 (Upgrading to R12)
Modules 30+
Total Roles/Responsibilities 423
Total Users 65
Access Controls Total Access Policies 18
Total Role level policies 8
Total BU’s supported in ERP 4
Total Privileged Users 6
Access Monitoring Detective Testing Frequency Monthly/quarterly
Preventive Testing Capability
Application Controls Configuration Controls 9
Transaction Controls NA
Other Change Controls NA
Total Waived Users
Application Monitoring Detective Testing Frequency NA
Preventive Testing Capability NA
Notification Optional would like to implement after business input
Case Study

FulcrumWay Oracle High level Plan for Oracle
Configuration Controls Governor
Control Design
Configuration
Test and Accept
Knowledge Transfer
Controls Analysis
Project Plan
Resource Plan with
Roles and
Responsibilities
Quality Assurance
Scope Configuration
Setup Application
Test Environment
Select, Add and
Manage Controls for
EBS Application
Instance
Setup Test
Environment
Finalize project plan
Define Compensating Controls
Scoping and Design for
Snapshots by Application
Owners
Scoping and Design for
Change Tracking by
Application Owners
Scoping of Alerts for Change
Tracking
Security for CCG
Setup Configuration Controls
Build Walk-through
Configuration and Testing of
Snapshots
Configuration and Testing of
Change Tracking
Setup Test Instance
Test Roles
Test Users
Assignments
Test Configuration
Controls
Setup Acceptance Test
Resolve Issues
Roll out new system
Deliver User and
Admin Training
6/18/12
6/25/12
7/2/12
7/16/12
Go Live
9/30/12
Case Study

Manual Configuration ManagementCase Study

Configuration ReportCase Study

Is Your ERP Leaking Cash?
Introductions
Top Procure to Pay challenges in ERP
Overview of Payable and Purchasing Controls
Advanced Controls Analytics
Case Study
Q&A
Agenda

www.fulcrumway.comCopyright © FulcrumWay
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