Security and Audit Report Sign-Off—Made Easy
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View this slideshow to learn how to get your security and audit report processes in line so that you’re ready when the auditors come calling. Watch the recorded webinar on HelpSystems.com: http://www.helpsystems.com/rjs/events/recorded-webinars/security-and-audit-report-approvals
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Security and Audit Report Sign-Off—Made Easy
- 1. All trademarks and registered trademarks are the property of their respective owners.© HelpSystems LLC. All rights reserved. Security and Audit Report Sign-Off—Made Easy Go Paperless by Automating Your Key Document Processes
- 2. Security and Audit Report Sign-Off—Made Easy Your Presenters Richard Schoen Director of Document Management Technologies Greg Schmidt Senior Technical Solutions Consultant
- 3. Security and Audit Report Sign-Off—Made Easy • HelpSystems overview • Common use cases for approval processing • Solution overview • Demo • Q&A Agenda
- 4. Security and Audit Report Sign-Off—Made Easy HelpSystems Family of Brands
- 5. Security and Audit Report Sign-Off—Made Easy Document Management Solution Overview
- 6. Security and Audit Report Sign-Off—Made Easy Document Management Solution Overview
- 7. Security and Audit Report Sign-Off—Made Easy Document Management Solution Overview
- 8. Security and Audit Report Sign-Off—Made Easy Forms Management Input Forms—Capturing Data (Webforms) • Turn any paper-based form into an online form • Validate data as it’s entered (no re-keying) • Capture signatures on forms • Merge data with fillable PDFs for pixel-perfect output • Store in Webdocs (if form needs to be preserved) Output Forms—Generating Business Output (iForms) • Eliminate pre-printed forms • Generate form document output as PDF, TIFF, Excel, and CSV • Use spool files, text files, XML, and database for source data • Create individual documents or document packets • Print, email, and file automatically to network folder, SharePoint, or Webdocs
- 9. Security and Audit Report Sign-Off—Made Easy Document Management Solution Overview
- 10. Security and Audit Report Sign-Off—Made Easy “I’m generating meaningful audit reports from Powertech already.” “We don’t want to reprint reports for handwritten approvals.” “We need to implement an electronic audit review process.” “We need a demonstrable audit review and approval process.” “Audit documents need to be kept for years.” “Where should we keep our audit documents?” “We don’t want to build an audit and review process from scratch.” Key Security Audit Report Management Issues
- 11. Security and Audit Report Sign-Off—Made Easy Problem: Our Security Documents Are Password-Protected • Security software generates audit reports—Good • Documents are in PDF format—Good • Documents cannot be changed—Good • Approvals cannot be added to files—Bad • How do we implement a sign-off process?
- 12. Security and Audit Report Sign-Off—Made Easy Problem: Approval Processes Are Not Easy to Articulate • Audit documents written to network or IFS • Audit documents emailed to recipients • Manual processes • Audit trails live in email messages • Many copies of documents float around • Where is the final approved document?
- 13. Security and Audit Report Sign-Off—Made Easy Problem: Where is the approved document? • Approval documents are printed • Documents are signed • Final paper version is filed • Document is re-scanned • Printed, signed, and re-filed again and again…
- 14. Security and Audit Report Sign-Off—Made Easy Webdocs Approval Management • Capture, archive, and manage security and audit reports • Access documents securely from any browser • Route documents for secure approvals • Generate system audit reports from sign-offs • Secure by department or user groups • Track document changes with version control • Use any PC file or document format: TIFF, PDF, Word, Excel, Powerpoint, Outlook emails, audio and video files
- 15. Security and Audit Report Sign-Off—Made Easy Benefits of Managing Audit Reports and Documents • Secure online document archive • Any type of audit document—IBM i or PC based • Secure approval routing processes • Permanent audit trail of approvals • Approval and notes stored with document • Provides a demonstrable audit and approval process
- 16. Security and Audit Report Sign-Off—Made Easy Document Approval Process • Documents enter workflow review process at capture • Approvers view document approval routing inbox • Perform approvals and add comments • Document moves to the next step of approval process • Audit approval comments stay with document forever • Auditors are happy
- 17. Security and Audit Report Sign-Off—Made Easy Capture, Review, and Approve Audit Reports Source Audit Reports and Documents • Spool file reports from IBM i • PDF documents from IFS on IBM i • PDF documents from network folders WebDocs
- 18. Security and Audit Report Sign-Off—Made Easy Integration Easily capture audit reports from HelpSystems and other products
- 20. UP NEXT... Questions and Answers Please enter your questions in the chat log
- 21. © HelpSystems. Company Confidential.6/29/2016 21
- 22. Security and Audit Report Sign-Off—Made Easy Thank You for Attending For More Information: Website: http://www.helpsystems.com/rjs Telephone: Sales: 800-328-1000 Support: +1 952-933-0609 Technical Experts: richard.schoen@helpsystems.com greg.schmidt@helpsystems.com
Editor's Notes
- Good Morning Everyone and welcome to our live webinar. Today is Thursday June 9th I’m Richard Schoen coming to you from our offices in Eden Prairie MN I’ll be the moderator today for our webinar titled: Security and Audit Report Sign-Off Made Easy This webinar will introduce you to the concept of quickly building rock solid approval processes around your audit, compliance and other operational reports and documents that need to have real, measurable signoff processes in place. We have lots of information to cover today so let’s get started. TODO: Demo report sample report to show auditing signoffs for auditors.
- As I mentioned I am Richard Schoen, Director of Document Management Technologies at HelpSystems. I am part of the technical solutions group at HelpSystems bringing topics like this to our customers and prospective customers. I have over 27 years of background with IBMi, Windows and Linux platforms and managing and delivering forms and documents. My co-presenter today is Greg Schmidt. Good morning Greg……….why don’t you introduce your self and tell us a little about your role here at HelpSystems.
- Our agenda today will hopefully provide a good introduction to HelpSystems, RJS and our secure document approval processing solutions. We’ll provide a quick company overview of HelpSystems and its history. Then we’ll talk about the common problems companies encounter when the need arises to create approval processes Then we’ll provide an overview of our WebDocs document and approval processing software that can facilitate electronic signoffs. Then we will provide a short demo of the software in action. We will end with a few minutes of Q&A and a couple of polling questions. Feel free to enter your questions in the chat window as we go and I will address them towards the end of the webinar. Select “All Presenters” so the questions are directed to me. We’ll also plan to complete our session in 30-40 minutes so you have plenty of time to make your next important meeting. Also todays event will be recorded and you will receive a link after the webinar to share with anyone in your organization who couldn’t attend todays session.
- HelpSystems has been in business for over 32 years providing system management, business intelligence and security solutions for IBMi, Windows, Linux and AIX platforms. The RJS document management products joined the HelpSystems product brand portfolio in 2014. The RJS products focus on helping companies implement paperless process to capture, manage, deliver and secure their critical documents. Our WebDocs family of products help companies go paperless by providing several key document management components. ---------------------------------------------------- Our WebDocs family of products help companies go paperless by providing several key document management components such as: -Document scanning to capture paper documents such as AP invoices -Electronic Business Form Output generation software which can be used to generate documents such as invoices, purchase orders, statements, checks and more. -WebForms, our web based data capture software allows companies to capture data at the source of entry and eliminate re-keying of information. (Used often in AP, HR and other departments looking to turn paper forms into actionable data.) -SignHere Electronic Signature Capture – Capturing signatures on business documents such as invoices, receipts, proofs of delivery and bills of lading without printing. -DeliverNow Automated Report and Document Bursting and Delivery. If you’re planning to implement paperless process in any of your departments, chances are we have a solution.
- Our solution covers 3 core areas of a business Document Management Process Management Forms Management
- Document management – This focuses around capturing and managing scanned paper documents, electronic reports from IBMi and other systems, mfg drawings, email, inbound faxes and other electronic documents such as photos, videos and more. We can manage any document that can be created in a PC format.
- Forms management – Forms management covers two different but important areas. Input forms – We can take any paper based form and turn it into an online version where data can be captured. This is a great way to capture data right away without re-keying. Output forms – generating high quality business output documents such as invoices, purchase orders, statements, bills of lading, checks and more to reduce paper usage.
- Input forms – We can take any paper based form and turn it into an online version where data can be captured directly into a business system. This is a great way to capture form based data right away without re-keying. Output forms – generating high quality business output documents such as invoices, purchase orders, statements, bills of lading, checks and more to reduce paper usage. This is also the main topic of today’s webinar. If you’re interested in learning more about input forms and data capture, take a look at one of our recent webinars replays on capturing data without paper or feel free to reach out for a personalized presentation from me or one of our sales team members.
- Process management – Webdocs contains a built-in document routing system to provide the ability to electronically route documents to the right people for review and approval as well as electronic signature capture. Signatures can be captured via desktop software or web based forms that can be sent out via the web. Secure document signoffs and approvals will be the core area of focus for today’s webinar.
- These are some of the key issues companies face today when attempting to comply to audit requirements. Maybe you’re not generating any audit reports today. Or maybe you have implemented software such as Powertech, Policy Minder or one of our other security products, but we haven’t created an electronic approval process. We don’t want to re-print reports for handwritten approvals. We need to implement an electronic audit review process. We need a demonstrable audit review and approval process for our auditors. Audit documents need to be kept for years for compliance. Where should we keep our audit documents ? Without a manageable document archive, how can you adequately keep track of your security documents. We don’t want to build an audit and review process from scratch. Trying to build a secure document archive and audit process from scratch could take years.
- So we’re already generating security and audit reports so that’s a good start. Our documents also get generated in PDF format so they can’t be changed which is good. However this doesn’t really allow us to create a document approval and signoff process because the documents themselves cannot be signed or annotated. How do we put together a signoff process is we can’t sign or signed and protected documents ? Fortunately we will be demonstrating a way to create a secure signoff process for your documents today.
- So you may have already implemented audit or security software. You may even use one of our products such as Powertech, Policy Minder, Robot or other product to manage your operations and security processes. Or you might be generating security and audit reports from other software or processes. Often those documents are simply written to network folders or emailed to the security officer for review. Then copies of the reports get forwarded to the appropriate management team members for signoff or approval. Then the documents are mailed back to the security officer and so the process goes. While the process is somewhat paperless and automated it’s hard to figure out what the actual process is. What happens if the auditors start asking you to demonstrate your approval processes ? Red flags start popping up everywhere.
- This is how not to create a secure document signoff process. Approval documents printed Documents are signed Paper gets filed or document gets re-scanned Document then printed, signed and re-filed again and again….. With this type of process there are several document copies floating around and it’s hard to determine which is the reviewed version. If the audit report could get captured into a single secure location, links to the document can be sent around so there is only one master copy of the audit document.
- In our case we use different terminology to describe document management depending on the department where it will be used: Sometimes we talk about WebDocs as being an imaging or document management system used to capture and stored scanned image documents. While WebDocs is often used to manage scanned documents, the software can be utilized in many different ways. Especially when a business may already have a corporate approved standard product already in place for scanning documents or capturing reports. This is where WebDocs shines as a departmental of point solution to solve various business problems in the organization. We have helped implement WebDocs in many businesses where they may have an older imaging system such as Legato, Application Extender and others where we live alongside those applications solving a specific departmental need. Or WebDocs can become your corporate standard for managing system reports, forms and other documents in a single, secure repository. Accounts payable departments may think of WebDocs as a Smart AP invoice processing system by utilizing our scanning, OCR technology and smart routing to route documents around to various departments for GL coding and approvals, WebDocs manages the entire AP approval process from purchasing to payments. Our web forms technology can be coupled into the process to provide a lightweight purchasing approval process around non-PO based ordering when a company find that more than 50% of their purchases are made without approvals. HR departments can think of WebDocs as a place to hold all employee records, including electronic online applications, scanned paperwork and automatic system generated documents such as I9 and W4 and more. WebDocs offers a way to utilize the thousands of available PDF templates on government and other sites and automatically fill and extract live data from these forms. And our online form technology can capture employee applications and signatures. The goal is to capture the data once and then send it to the appropriate HR and employee systems such as timecard processing with Kronos and other applications and HR systems such as Oracle HCM, Taleo and other Human Capital Management systems. Manufacturing, engineering and distribution areas may utilize WebDocs to capture key customer orders, signed and unsigned shipping paperwork, proof of delivery, job information, work instructions, CAD drawings and more. Businesses may also think of WebDocs as a Report Management system to capture and manage all of their electronic reporting and business documents generated by their IBMi, Windows, Linux and AIX business systems. When capturing and routing documents for approvals, WebDocs can be thought of as an approval management system that captures, manages and routes documents for signoffs and approvals much like we mentioned when talking about managing security reporting and audit documents. WebDocs can also be thought of as a Forms Management system used to manage forms that get filled out online rather than via paper as they may today. HR applications, inspection reports, service orders, and expense reports are all candidates to be transformed from paper based forms to online actionable form processes. One thing to clarify about the WebDocs name is that even though we use the name WebDocs, the software can reside securely in your own data center on your own servers or in a cloud hosted data center if you desire.
- This is an example of what a secure signoff process might look like. New report documents are uploaded or captured automatically from output queues or directories. Documents automatically enter workflow review processes at capture time. Approvers view document approval routing inbox. Perform approvals and add comments. Document moved to next step of approval process. Audit approval comments stay with document forever.
- Reports get generated on IBMi or Windows based software. You could be using any security product, audit software or any application that can generate a PDF or other PC formatted document for signoffs. Any documents that can be generated or captured electronically is a candidate for secure signoff processes. As documents get generated they get routed into the WebDocs Secure Document Archive and then they are added to workflow routing processes so that all the appropriate approvers have a chance to sign off on the security reports. As approvals are applied, commentary can also be added to each documents history so that audit reports can then be generated to articulate which documents were sign off on and what commentary may have been added to signoff documents.
- We would be remiss is we didn’t mention that WebDocs can be integrated with most of the existing HelpSystems products to capture reports and documents for archival and approval processing. SEQUEL or Showcase are used to generate queries, reports and documents. PDF, Excel and other document types can be generated and routed to WebDocs for archival or online access and approvals. PowerTech or Skyview and other system audit reports and canbe routed for secure electronic signatures and approvals. Robot, Halcyon, Bytware, CCSS and system generated reports from any of our IBM i or non-i scheduling and automation software can be integrated into the WebDocs document archive. These could be job checklists, job reports and any of the output generated as reports or IFS documents. AutoMate, our Windows process automation software can generate, burst and stage documents for capturing to WebDocs or Sharepoint for filing or electronic signing processes. iForms can be used to generate business forms and documents such as invoices, bills of lading, proofs of delivery and more for electronic archiving and distribution via WebDocs. Your ERP and other audit, security and business applications generate output that can be archived for Hopefully hearing about the many ways in which WebDocs can be integrated to your internal processes for report archival, auditing and secure signoffs has stimulated your thoughts and you’re imagining how your company can create secure, auditable approval processes with WebDocs. We look forward to hearing your requirements and talking about your approval process needs.
- Now we’re going to take a quick look at a sample security signoff sequence. Greg will provide us with a short demo.
- OK, now we’re going to take time for a little Q&A. I will also show a poll with a couple of questions we can share with the group. When entering questions, please remember to Select “All Presenters” so your questions are directed to me. We have software that is not form HelpSystems. Can our documents be captured for approval process ? Absolutely. The WebDocs software is not limited to capturing documents fro many specific applications. It supports documents generated from any IBMi, Windows, Linux, AIX or MAC-OS based systems. You mentioned signing of secure PDF documents. If I want to physically sign non-secure PDF documents can I do it with with your software ? For non-secure PDF documents which means they are not password protected against changes, you can use Adobe Acrobat or our SignHere signature capture software to capture physical signatures and annotations on your PDF documents. SignHere is a great product to use for capturing physical signatures on documents, especially in areas such as highvolume manufacturing and distribution environments where paperwork needs to be signed. Can we initiate the creation of secure audit reports from our existing applications ? Most applications can print directly to PDF documents today. Simply print and capture to a PDF document in a monitored folder and the documents get captured and the audit process begins. With IBMi applications you can generate spool file documents or IFS documents and those documents can also get automatically captured and routed into an approval process with minimal effort.
- Make sure to mark the date for our 2016 user conference titled: ShiftIT which will take place here in Minneapolis from June 20th – 23rd. Go to helpsystems.com/shiftit to register. We look forward to connecting with you face to face and talking with you about your automation issues in 2016.
- Thanks for attending our webinar today. We hope you learned some helpful information to allow your company to start thinking about putting real and auditable processes around your security document signoffs so that you’re never caught by the auditors without a secure signoff process in place. Again make sure to mark the date for our 2016 user conference titled: ShiftIT which will take place here in Minneapolis from June 20th – 23rd. Go to helpsystems.com/shiftit or reach out to your sales rep and they can provide registration info. We look forward to connecting with you face to face in 2016. And of course if you have any additional questions on security signoffs, our forms or other document management technology, feel free to reach out to our sales team, Greg Schmidt or me and we will be happy to address your questions or provide a more in-depth technical demo. You will also receive a link to this recording so you can share this webinar with those in your company who could not attend today’s session. Again thanks for attending todays webinar. Have a great day and enjoy the rest of your week. Pause for a moment. Stop screen sharing Save polling answers.