Presentation by Smart ERP Solutions on Smart SoD, an add-on software solution providing effective Segregation of Duties for PeopleSoft applications. For webinar playback see also http://www.smarterp.com/media/Webinar-SoD.html
Segregation of duties in SAP @ ISACA Pune presentation on 18.4.2015 CA CISA Jayjit Biswas
This document discusses segregation of duties (SOD) in ERP systems like SAP. It defines SOD as separating authorization, custody, and record keeping among different users to prevent fraud. The document outlines the need to manage SOD through role-based authorization and tools like GRC 10 to detect and resolve conflicts. It provides examples of SOD conflicts and describes managing the SOD lifecycle through rule building, analysis, remediation, and continuous compliance monitoring.
This document provides information about DynaFlow, a company that provides software to help organizations manage governance, risk, and compliance (GRC). It discusses DynaFlow's profile, services, and how its software supports GRC/ERM activities like risk management, compliance, segregation of duties, and internal controls. The software includes pre-defined controls and risks libraries, automated control testing, dashboards for monitoring risks and controls, and integration with various enterprise applications.
This document discusses segregation of duties (SOD) and provides an example approach to establishing an SOD program. It explains that SOD is a key internal control that prevents any single person from having too much influence over business transactions. An effective SOD program requires establishing rules and policies, aligning organizational structure and processes, enforcing SOD through appropriate tools, implementing mitigating controls, and ongoing monitoring. The example approach outlines the components needed to define, implement, and manage SOD successfully. It also notes that technology solutions now exist to help companies automate SOD enforcement and monitoring.
Profiling for SAP - Compliance Management, Access Control and Segregation of ...TransWare AG
Complex ERP systems are potentially susceptible to segregation of duties (SoD) issues. By means of Profiling for SAP®, the desired responsibilities of SAP® users can be counterchecked against the real usage of SAP®
This document describes CheckAud, a software tool for auditing authorizations in SAP systems. It provides functions for authorization audits, segregation of duties checks, analysis of critical authorizations, user authorization reports, and simulation of authorization changes. The tool includes predefined analysis templates for SAP modules and helps ensure audits are comprehensive and efficient.
Automating PeopleSoft Segregation of Duties: Financials/HCM/Campus SolutionsSmart ERP Solutions, Inc.
This document summarizes a webinar about automating segregation of duties controls in PeopleSoft. It discusses security and fraud challenges, how auditors are focusing more on continuous monitoring, and examples of fraud cases where proper segregation of duties was not enforced. The webinar demonstrated a third party product called Smart SoD that creates and manages segregation of duties rules in PeopleSoft and provides dashboards and approvals to help enforce separation of duties.
Presentation from Alliance 11 conference from the University of Nebraska and Smart ERP Solutions. Covers Row Level Security and Segregation of Duties for PeopleSoft.
Segregation of duties in SAP @ ISACA Pune presentation on 18.4.2015 CA CISA Jayjit Biswas
This document discusses segregation of duties (SOD) in ERP systems like SAP. It defines SOD as separating authorization, custody, and record keeping among different users to prevent fraud. The document outlines the need to manage SOD through role-based authorization and tools like GRC 10 to detect and resolve conflicts. It provides examples of SOD conflicts and describes managing the SOD lifecycle through rule building, analysis, remediation, and continuous compliance monitoring.
This document provides information about DynaFlow, a company that provides software to help organizations manage governance, risk, and compliance (GRC). It discusses DynaFlow's profile, services, and how its software supports GRC/ERM activities like risk management, compliance, segregation of duties, and internal controls. The software includes pre-defined controls and risks libraries, automated control testing, dashboards for monitoring risks and controls, and integration with various enterprise applications.
This document discusses segregation of duties (SOD) and provides an example approach to establishing an SOD program. It explains that SOD is a key internal control that prevents any single person from having too much influence over business transactions. An effective SOD program requires establishing rules and policies, aligning organizational structure and processes, enforcing SOD through appropriate tools, implementing mitigating controls, and ongoing monitoring. The example approach outlines the components needed to define, implement, and manage SOD successfully. It also notes that technology solutions now exist to help companies automate SOD enforcement and monitoring.
Profiling for SAP - Compliance Management, Access Control and Segregation of ...TransWare AG
Complex ERP systems are potentially susceptible to segregation of duties (SoD) issues. By means of Profiling for SAP®, the desired responsibilities of SAP® users can be counterchecked against the real usage of SAP®
This document describes CheckAud, a software tool for auditing authorizations in SAP systems. It provides functions for authorization audits, segregation of duties checks, analysis of critical authorizations, user authorization reports, and simulation of authorization changes. The tool includes predefined analysis templates for SAP modules and helps ensure audits are comprehensive and efficient.
Automating PeopleSoft Segregation of Duties: Financials/HCM/Campus SolutionsSmart ERP Solutions, Inc.
This document summarizes a webinar about automating segregation of duties controls in PeopleSoft. It discusses security and fraud challenges, how auditors are focusing more on continuous monitoring, and examples of fraud cases where proper segregation of duties was not enforced. The webinar demonstrated a third party product called Smart SoD that creates and manages segregation of duties rules in PeopleSoft and provides dashboards and approvals to help enforce separation of duties.
Presentation from Alliance 11 conference from the University of Nebraska and Smart ERP Solutions. Covers Row Level Security and Segregation of Duties for PeopleSoft.
The document discusses best practices for resolving segregation of duties (SOD) conflicts in ERP environments. It recommends a three phase process: 1) gather a list of applicable SOD conflicts, 2) analyze SOD output to identify conflicts, and 3) remediate conflicts by reallocating duties or implementing controls and monitoring going forward. It provides a detailed list of common conflicting duties that can enable fraud, such as maintaining bank data and processing payments. Regular SOD reviews and access reviews should help prevent fraud.
Rethinking Segregation of Duties: Where Is Your Business Most Exposed?SAPinsider Events
View this session from GRC 2015 in Las Vegas. Coming to Europe! www.GRC2015.com
Rethinking Segregation of Duties: Where Is Your Business Most Exposed? by Erin Hughes, SAP
Changes in technology and/or the structure of an organization can quickly cause segregation of duties (SoD) policies to become obsolete and dated, yet many companies fail to periodically reassess them as identifying where poor segregation of duties exist continues to be challenging. During this session, gain:
- Practical advice for staying on top of your current policies and segregation of duties rule set
- A clear understanding of the cost and impact of access control violations
- Tips to govern access across your entire landscape and understand financial exposure due to SoD violations using SAP Access Control and SAP Access Violation Management by Greenlight
- Guidance on how to centralize monitoring, investigation tracking, and resolution of access violations
The document is a checklist from BDO Consulting that provides examples of how to properly segregate duties to prevent fraud for various business processes, including cash receipts. It notes that the employee receiving cash payments should not record payments or reconcile bank accounts. For cash receipts, it recommends separating the duties of receiving payments, recording payments, reconciling bank accounts, and adjusting customer accounts. It also provides examples of compensating controls that can be implemented when full segregation of duties is not possible, such as using a lockbox system, having two employees receive and prepare deposits, and having an independent employee review accounts receivable balances.
A risk-based approach to segregation of duties (SoD) focuses on managing the greatest risks to the business from individuals having excessive access across business processes. The document outlines a five-phase approach: 1) Define sensitive business transactions and thresholds for SoD conflicts, 2) Map transactions to technical systems, 3) Test for SoD conflicts, 4) Remediate highest risks, and 5) Apply mitigating controls to remaining risks. This balanced approach manages but does not eliminate all risks of fraud or financial misstatement.
Sap security compliance tools_PennonSoftPennonSoft
The document discusses using security compliance tools to detect and prevent security and controls violations in SAP systems. It outlines increased regulatory focus on security, risks like access control and segregation of duties issues, and how tools can help with real-time monitoring, resolving segregation of duties issues, and providing automated analysis and monitoring to assess authorization compliance. The benefits of these tools are that they can run with SAP, automate separation of duties analysis and monitoring of critical transactions, and provide quick assessments to business users, auditors, and security staff while avoiding manual analysis and false positives.
Building Continuous Auditing Capabilities utilizing CAATs and Data Analytics technologies. Overview , CA, DA, ACL, Audit Guidelines, Technology, Audit Innovation,
Visual Risk Iq + Audimation Deck For Charlotte Iia For Pdf OnlyJoe Oringel
1. The document discusses moving up the maturity curve towards more continuous controls and continuous risk assessment. It outlines a basic maturity model with levels related to people, process, technology, and governance.
2. Implementing continuous auditing requires changes across people, processes, technology, and governance. Large steps are rarely possible, but small initial changes can help organizations progress.
3. Leading companies are using continual risk assessment, visualization, and customized monitoring platforms to improve controls and risk assessment. Regularly updating outlier dashboards can serve as a top-level report.
Nowadays, IT operations are required to run on a tight budget and under constant watch. Compliance, security and mobile innovation are making proper auditing of IT systems absolutely necessary. Knowing the most fundamental facts, like who changed what, when, and where, will save hours of troubleshooting, satisfy compliance needs, and secure the environment. This white paper shows a methodical approach to IT infrastructure auditing. That includes proper planning, estimation of time needed to implement an effective IT auditing solution, and critical resources.
Continuous auditing (CA) involves the collection of audit evidence on systems and transactions on a continuous basis. It can be used by both external and internal auditors. Continuous monitoring (CM) is a related process used by management to continuously monitor compliance, controls, and disclosures. CA has advantages over traditional auditing such as being more efficient and timely. Factors driving demand for CA include regulations like SOX, increasing business complexity, and data availability from ERP systems. Implementing CA requires establishing a business case, ensuring client prerequisites are met, developing an adoption strategy, planning the implementation approach, designing and executing the plan, and ongoing monitoring and communication of results. Barriers to adoption include cost constraints and difficulties demonstrating ROI
The document discusses computer system validation and change control. It outlines four common themes in regulations around management control of processes, system reliability, data integrity, and providing documented evidence. It notes the importance of computer systems to business processes and maintaining validated states as the environment changes. It proposes restarting IT steering meetings as a Change Control Board to approve change requests with documentation and signoff from relevant departments. Failing to properly manage validation and change control could lead to audit failures and loss of business.
Webinar: Simplify, Gain Insight, Strengthen with SAP GRC 10.1Anup Lakra
The document discusses SAP solutions for governance, risk, and compliance (GRC). It provides an overview of Wise Men's capabilities with SAP GRC, including implementation, upgrade, and support services. It also presents two customer case studies, including migrating from SAP GRC 5.3 to 10.1 and from VIRSA 4.0 to GRC 10.1. The document aims to help companies simplify GRC, gain insights to improve decision making, and strengthen their business through the right GRC solutions.
The document outlines the role of an auditor throughout the system development life cycle (SDLC) process. It discusses the auditor's involvement in each phase, including preliminary review, system requirements analysis, system design, development, testing, implementation, maintenance, and IT governance. The auditor helps set the project scope, assess business objectives, review requirements and design documents, evaluate test results, ensure correct implementation, and supervise maintenance. The overall process involves understanding needs, designing, building, testing, and implementing systems while maintaining governance, risk and compliance standards.
The document provides information about the GRC2016 conference to be held March 14-18 in Las Vegas. It will focus on governance, risk and compliance solutions from SAP. The conference includes pre-conference workshops on March 14th, and the main conference from March 15-18 featuring keynotes, breakout sessions, case studies and panels on various GRC topics. Networking events are also scheduled each day.
The document discusses several methods for developing new accounting information systems (AIS), including purchasing prewritten software, developing software in-house, and outsourcing software development. It describes challenges companies face when developing an AIS internally and outlines guidelines for maintaining control when outsourcing development. The document also discusses end-user developed software and how end users are now meeting more of their own information needs.
Systems Audit is another area of Assurance for an Assurance professional. Auditing a Computer Environment is just as important as auditing the books of accounts.
Hence it is important for a Chartered Accountant to provide sufficient assurance to the stakeholders having interest, that the internal controls deployed in the IT Environment as well as in the Non IT Environment operate effectively.
This article gives an approach for conducting an IS Audit.
SAP Risk Management
www.auditbots.com
Organizations increasingly prefer their SAP operations to be assessed/audited during implementation as well as post-implementations to make sure all the business controls are in place and compliance with statutory/legal & other regulatory requirements such as Sarbanes-Oxley, etc. Auditbot offers SAP Risk Management (ERM) services to its customers to meet these needs.
AuditBOT has been successful in addressing the SAP Audit & Controls and Compliance issues. We have been involved in projects typically involving Basis Security Review, Program Change Control, SAP Basis Authorizations, Legacy System interface controls, IT Environment review, Functional Configuration & Business Process review, User-access and segregation of duties.
The document provides an overview of business continuity planning (BCP) by outlining key concepts such as objectives, approaches, dimensions of scope, and entry points. It discusses satisfying audit requirements, rebuilding infrastructure, resuming business activities, and ensuring customer service as potential objectives. The document also describes infrastructure, business, and business risk-based approaches and entry points. Finally, it provides examples of identifying business processes, information flows, infrastructure dependencies, and assessing risks.
This document discusses database auditing and security. It begins by stating that database auditing is key to ensuring data confidentiality, integrity and accessibility, and that database security is not effective without auditing. It then provides overviews of auditing, defining terms like audit logs, objectives, procedures and reports. It describes auditing activities, environments, processes and objectives. It outlines the components of a database auditing environment and classifications and types of audits, including internal, external, automatic, manual and hybrid audits.
IT Compliance: Shifting from Cost Center to Profit CenterGary Pennington
Top companies understand that a strong IT Governance and Compliance organization can actually accelerate business growth, increase competitive advantage, and be a catalyst for organizational change. This presentation provides insights, tools and guidance about structuring the IT Compliance organization as a growth accelerator. Learn the advantages of deploying an integrated framework to address multiple SOC1, SOC2, SOC3 and SSAE16 compliance requirements while mitigating risks and driving efficiencies. #SOC1, #SOC2, #SOC3, #SSAE16
This document discusses how to enable continuous delivery while maintaining proper segregation of duties for security and compliance. It begins by explaining continuous delivery and the need for segregation of duties. Typical enforcement of segregation of duties acts as a blocker to continuous delivery by restricting who can access or change environments. The document then recommends implementing segregation of duties in a continuous delivery friendly way through principles like involving security early, separating confidential and regular data, pre-approving standardized deployment bundles, and using multi-factor authentication and configuration management tools. This allows continuous delivery practices like frequent deployments and rapid troubleshooting while still preventing any single person from having end-to-end access or making unregulated changes.
The document discusses Sarbanes-Oxley (SOX) compliance and the role of IT in designing and implementing internal controls over financial reporting. It defines key terms like COSO, internal controls, and the five components of an internal control system. It then outlines an IT compliance roadmap and describes how to document entity-level controls, IT policies and procedures, control narratives, flowcharts, and completed questionnaires.
This document provides an overview of GRC 10 (Access Control) components and installation. It discusses the backend system requirements, including required SAP add-ons. It also discusses the frontend requirements, including a web browser and plugins. The main components of Access Control are then introduced: Access Risk Analysis identifies segregation of duties risks, Access Risk Management addresses identified risks, and Emergency Access Management allows temporary access overrides. Access Risk Analysis works by running rules against user, role, and profile definitions to identify non-compliant access combinations. Identified risks can then be remediated by changing access definitions or mitigated through manual controls if unavoidable.
The document discusses best practices for resolving segregation of duties (SOD) conflicts in ERP environments. It recommends a three phase process: 1) gather a list of applicable SOD conflicts, 2) analyze SOD output to identify conflicts, and 3) remediate conflicts by reallocating duties or implementing controls and monitoring going forward. It provides a detailed list of common conflicting duties that can enable fraud, such as maintaining bank data and processing payments. Regular SOD reviews and access reviews should help prevent fraud.
Rethinking Segregation of Duties: Where Is Your Business Most Exposed?SAPinsider Events
View this session from GRC 2015 in Las Vegas. Coming to Europe! www.GRC2015.com
Rethinking Segregation of Duties: Where Is Your Business Most Exposed? by Erin Hughes, SAP
Changes in technology and/or the structure of an organization can quickly cause segregation of duties (SoD) policies to become obsolete and dated, yet many companies fail to periodically reassess them as identifying where poor segregation of duties exist continues to be challenging. During this session, gain:
- Practical advice for staying on top of your current policies and segregation of duties rule set
- A clear understanding of the cost and impact of access control violations
- Tips to govern access across your entire landscape and understand financial exposure due to SoD violations using SAP Access Control and SAP Access Violation Management by Greenlight
- Guidance on how to centralize monitoring, investigation tracking, and resolution of access violations
The document is a checklist from BDO Consulting that provides examples of how to properly segregate duties to prevent fraud for various business processes, including cash receipts. It notes that the employee receiving cash payments should not record payments or reconcile bank accounts. For cash receipts, it recommends separating the duties of receiving payments, recording payments, reconciling bank accounts, and adjusting customer accounts. It also provides examples of compensating controls that can be implemented when full segregation of duties is not possible, such as using a lockbox system, having two employees receive and prepare deposits, and having an independent employee review accounts receivable balances.
A risk-based approach to segregation of duties (SoD) focuses on managing the greatest risks to the business from individuals having excessive access across business processes. The document outlines a five-phase approach: 1) Define sensitive business transactions and thresholds for SoD conflicts, 2) Map transactions to technical systems, 3) Test for SoD conflicts, 4) Remediate highest risks, and 5) Apply mitigating controls to remaining risks. This balanced approach manages but does not eliminate all risks of fraud or financial misstatement.
Sap security compliance tools_PennonSoftPennonSoft
The document discusses using security compliance tools to detect and prevent security and controls violations in SAP systems. It outlines increased regulatory focus on security, risks like access control and segregation of duties issues, and how tools can help with real-time monitoring, resolving segregation of duties issues, and providing automated analysis and monitoring to assess authorization compliance. The benefits of these tools are that they can run with SAP, automate separation of duties analysis and monitoring of critical transactions, and provide quick assessments to business users, auditors, and security staff while avoiding manual analysis and false positives.
Building Continuous Auditing Capabilities utilizing CAATs and Data Analytics technologies. Overview , CA, DA, ACL, Audit Guidelines, Technology, Audit Innovation,
Visual Risk Iq + Audimation Deck For Charlotte Iia For Pdf OnlyJoe Oringel
1. The document discusses moving up the maturity curve towards more continuous controls and continuous risk assessment. It outlines a basic maturity model with levels related to people, process, technology, and governance.
2. Implementing continuous auditing requires changes across people, processes, technology, and governance. Large steps are rarely possible, but small initial changes can help organizations progress.
3. Leading companies are using continual risk assessment, visualization, and customized monitoring platforms to improve controls and risk assessment. Regularly updating outlier dashboards can serve as a top-level report.
Nowadays, IT operations are required to run on a tight budget and under constant watch. Compliance, security and mobile innovation are making proper auditing of IT systems absolutely necessary. Knowing the most fundamental facts, like who changed what, when, and where, will save hours of troubleshooting, satisfy compliance needs, and secure the environment. This white paper shows a methodical approach to IT infrastructure auditing. That includes proper planning, estimation of time needed to implement an effective IT auditing solution, and critical resources.
Continuous auditing (CA) involves the collection of audit evidence on systems and transactions on a continuous basis. It can be used by both external and internal auditors. Continuous monitoring (CM) is a related process used by management to continuously monitor compliance, controls, and disclosures. CA has advantages over traditional auditing such as being more efficient and timely. Factors driving demand for CA include regulations like SOX, increasing business complexity, and data availability from ERP systems. Implementing CA requires establishing a business case, ensuring client prerequisites are met, developing an adoption strategy, planning the implementation approach, designing and executing the plan, and ongoing monitoring and communication of results. Barriers to adoption include cost constraints and difficulties demonstrating ROI
The document discusses computer system validation and change control. It outlines four common themes in regulations around management control of processes, system reliability, data integrity, and providing documented evidence. It notes the importance of computer systems to business processes and maintaining validated states as the environment changes. It proposes restarting IT steering meetings as a Change Control Board to approve change requests with documentation and signoff from relevant departments. Failing to properly manage validation and change control could lead to audit failures and loss of business.
Webinar: Simplify, Gain Insight, Strengthen with SAP GRC 10.1Anup Lakra
The document discusses SAP solutions for governance, risk, and compliance (GRC). It provides an overview of Wise Men's capabilities with SAP GRC, including implementation, upgrade, and support services. It also presents two customer case studies, including migrating from SAP GRC 5.3 to 10.1 and from VIRSA 4.0 to GRC 10.1. The document aims to help companies simplify GRC, gain insights to improve decision making, and strengthen their business through the right GRC solutions.
The document outlines the role of an auditor throughout the system development life cycle (SDLC) process. It discusses the auditor's involvement in each phase, including preliminary review, system requirements analysis, system design, development, testing, implementation, maintenance, and IT governance. The auditor helps set the project scope, assess business objectives, review requirements and design documents, evaluate test results, ensure correct implementation, and supervise maintenance. The overall process involves understanding needs, designing, building, testing, and implementing systems while maintaining governance, risk and compliance standards.
The document provides information about the GRC2016 conference to be held March 14-18 in Las Vegas. It will focus on governance, risk and compliance solutions from SAP. The conference includes pre-conference workshops on March 14th, and the main conference from March 15-18 featuring keynotes, breakout sessions, case studies and panels on various GRC topics. Networking events are also scheduled each day.
The document discusses several methods for developing new accounting information systems (AIS), including purchasing prewritten software, developing software in-house, and outsourcing software development. It describes challenges companies face when developing an AIS internally and outlines guidelines for maintaining control when outsourcing development. The document also discusses end-user developed software and how end users are now meeting more of their own information needs.
Systems Audit is another area of Assurance for an Assurance professional. Auditing a Computer Environment is just as important as auditing the books of accounts.
Hence it is important for a Chartered Accountant to provide sufficient assurance to the stakeholders having interest, that the internal controls deployed in the IT Environment as well as in the Non IT Environment operate effectively.
This article gives an approach for conducting an IS Audit.
SAP Risk Management
www.auditbots.com
Organizations increasingly prefer their SAP operations to be assessed/audited during implementation as well as post-implementations to make sure all the business controls are in place and compliance with statutory/legal & other regulatory requirements such as Sarbanes-Oxley, etc. Auditbot offers SAP Risk Management (ERM) services to its customers to meet these needs.
AuditBOT has been successful in addressing the SAP Audit & Controls and Compliance issues. We have been involved in projects typically involving Basis Security Review, Program Change Control, SAP Basis Authorizations, Legacy System interface controls, IT Environment review, Functional Configuration & Business Process review, User-access and segregation of duties.
The document provides an overview of business continuity planning (BCP) by outlining key concepts such as objectives, approaches, dimensions of scope, and entry points. It discusses satisfying audit requirements, rebuilding infrastructure, resuming business activities, and ensuring customer service as potential objectives. The document also describes infrastructure, business, and business risk-based approaches and entry points. Finally, it provides examples of identifying business processes, information flows, infrastructure dependencies, and assessing risks.
This document discusses database auditing and security. It begins by stating that database auditing is key to ensuring data confidentiality, integrity and accessibility, and that database security is not effective without auditing. It then provides overviews of auditing, defining terms like audit logs, objectives, procedures and reports. It describes auditing activities, environments, processes and objectives. It outlines the components of a database auditing environment and classifications and types of audits, including internal, external, automatic, manual and hybrid audits.
IT Compliance: Shifting from Cost Center to Profit CenterGary Pennington
Top companies understand that a strong IT Governance and Compliance organization can actually accelerate business growth, increase competitive advantage, and be a catalyst for organizational change. This presentation provides insights, tools and guidance about structuring the IT Compliance organization as a growth accelerator. Learn the advantages of deploying an integrated framework to address multiple SOC1, SOC2, SOC3 and SSAE16 compliance requirements while mitigating risks and driving efficiencies. #SOC1, #SOC2, #SOC3, #SSAE16
This document discusses how to enable continuous delivery while maintaining proper segregation of duties for security and compliance. It begins by explaining continuous delivery and the need for segregation of duties. Typical enforcement of segregation of duties acts as a blocker to continuous delivery by restricting who can access or change environments. The document then recommends implementing segregation of duties in a continuous delivery friendly way through principles like involving security early, separating confidential and regular data, pre-approving standardized deployment bundles, and using multi-factor authentication and configuration management tools. This allows continuous delivery practices like frequent deployments and rapid troubleshooting while still preventing any single person from having end-to-end access or making unregulated changes.
The document discusses Sarbanes-Oxley (SOX) compliance and the role of IT in designing and implementing internal controls over financial reporting. It defines key terms like COSO, internal controls, and the five components of an internal control system. It then outlines an IT compliance roadmap and describes how to document entity-level controls, IT policies and procedures, control narratives, flowcharts, and completed questionnaires.
This document provides an overview of GRC 10 (Access Control) components and installation. It discusses the backend system requirements, including required SAP add-ons. It also discusses the frontend requirements, including a web browser and plugins. The main components of Access Control are then introduced: Access Risk Analysis identifies segregation of duties risks, Access Risk Management addresses identified risks, and Emergency Access Management allows temporary access overrides. Access Risk Analysis works by running rules against user, role, and profile definitions to identify non-compliant access combinations. Identified risks can then be remediated by changing access definitions or mitigated through manual controls if unavoidable.
The document discusses the Sarbanes-Oxley Act (SOX) passed in 2002 in response to several major corporate accounting scandals. SOX aimed to restore confidence by requiring stricter financial disclosures, independent audits of internal controls, corporate fraud accountability, and protections for whistleblowers. Key aspects of SOX include CEO/CFO certification of financial reports, management assessment of internal controls, auditor oversight, and analysis of potential conflicts of interest for securities analysts.
Customer Identity Builds Digital Trust - London Identity SummitForgeRock
This document discusses how customer identity builds digital trust. It notes that 74% of CEOs see technology advances as a top trend transforming business expectations. There is 50% growth in organizations adopting IoT and 45% of companies cite omnichannel capabilities as a top initiative. The document advocates that superior customer experience drives revenue and ROI, with customer experience leaders outperforming laggards by 43%. It presents ForgeRock as a leading identity security platform to enable frictionless transactions across customers, devices, employees and things to deliver personalized, seamless experiences that build trust and brands.
The document discusses predictive analytics techniques including data preparation, modeling, and model monitoring. It describes preparing data through transformation, deriving behavioral variables, and quality checks. Modeling techniques covered include decision trees, regression, neural networks, and ensemble modeling in SAS Enterprise Miner or other software. Model monitoring compares actual and predicted values, analyzes variable distributions in scored data, and monitors model performance metrics.
The document discusses the Sarbanes-Oxley Act (SOX) from an IT perspective. It provides background on how major company frauds led to the creation of SOX. It describes the key points of SOX, including the requirements of section 404 for management to assess internal controls. While SOX compliance presents challenges and costs for companies, it can also streamline processes and reduce risks. The document addresses common questions about SOX's applicability and compliance requirements and concludes that maintaining strong IT controls is important for business efficiency beyond just financial reporting.
AIA SOX Conference May 2009 - CCM & Data Analyticsprosenzw69
Continuous control monitoring (CCM) is an integrated set of processes that uses technology to automate the monitoring of control environments, identify control exceptions based on predefined rules, and reduce risks. CCM deployments often focus on access and application controls but interest in transaction monitoring is increasing. CCM capabilities can optimize value by sufficiently covering end-to-end processes. Proper CCM roadmaps and exception management are key to ensure objectives are met and sustained over time.
The document discusses how the Microsoft Office System can help organizations address challenges in complying with the Sarbanes-Oxley Act. It outlines key capabilities like document management, process automation, communication and collaboration, and monitoring and reporting. It also describes partner opportunities for system integrators and independent software vendors to build compliance solutions on top of the Office System platform.
The document discusses the Sarbanes-Oxley Act and its implications for telecom companies. It requires executives to certify financial reports, establishes oversight of auditors, and aims to increase accuracy and reliability of corporate disclosures. For telecom companies, complying with SOX can help reduce revenue leakages, align data flows, and accelerate initiatives to plug leakage points.
The document discusses role conflict experienced by employees at Maggie's, a telephone service company. The employees felt torn between prioritizing customer service by spending unlimited time solving problems, versus meeting manager expectations to handle high call volumes. This role conflict led to issues like increased turnover and lower job satisfaction. While team members in other jobs also face balancing boss and peer expectations, Maggie's employees experience greater internal conflict due to the challenge of satisfying both customers and management without compromising service quality.
3 Way Match for Purchasing ProfessionalsBill Kohnen
Matching in the Purchasing process attempts to confirm that only legitimate payments are made to suppliers.The most common matching process is a 3 way match of: purchase order, goods receipt and supplier invoice. A good 3 way match process should drive efficiency and not require constant management oversight.
The document discusses SOX (Sarbanes-Oxley Act) compliance. It provides an overview of what SOX is, the penalties for noncompliance, and what prompted its passing. It then offers examples of controls and frameworks organizations can use to achieve compliance, emphasizing the importance of change management. It concludes by stating that SOX compliance is an ongoing effort that can help companies improve operations, consistency, and decision making.
Mahmoud Hussien received a Certificate of Achievement for successfully passing the foundational level certification for the Business Process Framework (eTOM) on October 27, 2016. The certificate was issued by Peter Sany, the Chairman and CEO.
Implementing security and controls in people soft best practices - may 2017Smart ERP Solutions, Inc.
Best Practices
Implementing Security and Controls in PeopleSoft
Why Security, Compliance and Segregation of Duties?
This webinar addresses the key features for security and controls in PeopleSoft. Without controls built around these features there is a high probability for error, poor performance or in extreme cases fraudulent transactions. SmartERP will guide you through the steps for best-practice techniques in securing your Application, and the Applications available to assist with this process.
This document describes WhiteOPSTM, an identity intelligence solution from Whitebox Security that provides comprehensive monitoring and analytics for SAP systems. It monitors user activity, roles, and compliance and helps answer questions about who has access to what resources, who is not complying with policies, and what risks the business. The main capabilities allow monitoring user identity and activity, analyzing user roles and access, ensuring compliance with segregation of duties policies and other security policies, and assessing risks to the business from security issues.
Smart Workflow for PeopleSoft from Smart ERP Solutions provides robust cross module workflow well beyond delivered PeopleSoft capabilities. Features include common in-box, attachments, ad-hoc approvers, approvals by email and smart phone (iPhone, Blackberry) and more.
SAP GRC online Training on Access Control , which includes all the four components Access Risk Analysis( ARA), Emergency Access Management ( EAM), Access Request Management(ARM), Business Role Management( BRM).
GRC 12 online training
SAP GRC 10 Online Training
Identity & Access Governance versus Process AgilityHorst Walther
How Governance tasks can be safely performed in a highly volatile business environment too.
Presented on the „IT-Security for Social, Mobile & Cloud, 2015 “, 2015-09-24, 09:30
Evolving the Product Management Process to Match Company GrowthSVPMA
The document discusses evolving a product management process to match company growth. It proposes combining elements of waterfall and agile methodologies. The hybrid approach emphasizes predictability from waterfall with adaptability from agile. It incorporates frequent customer feedback and testing. Project teams work in time boxes to incrementally deliver prioritized features through defined phases like concept, definition, design, development, certification and launch.
The document outlines an agenda for implementing a Skyward ERP system, including an overview of Skyward offerings, benefits of a typical implementation project, the proposed scope and methodology for the client's implementation, and the roles of the project team in carrying out key stages of preparation, blue printing, realization, and go-live support.
Overview of Identity and Access Management Product LineNovell
Attend the two-hour foundation session on the Identity and Access Management product line from Novell and start your BrainShare right! This session will deliver a high-level overview of the full Identity and Access Management product line. It will highlight how the products work together as an integrated solution, and the session has a modular format so you can attend the product overviews you are most interested in. The session will provide real life examples of integration-focused benefits, followed by a 25 minute overview and update on each of the products: Novell Identity Manager, Novell Access Manager and Novell SecureLogin.
Securing the Office of Finance in the Cloud -- Separating Fact from FictionWorkday
According to Forrester Research, the global cloud computing market is valued at an estimated $40.7 billion. In the future, this market is expected to grow exponentially, as companies accelerate their adoption of cloud computing.
It's clear that cloud computing is being widely adopted as a cost-effective strategy for deploying mission-critical applications within the enterprise. Yet, myths regarding privacy and security often cloud the decision-making process.
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Moderator: Russ Banham, Contributing Editor, CFO magazine
Dr. Lothar Determann, Partner, Baker & McKenzie LLP
John Hugo, Vice President and Corporate Controller, Life Time Fitness
Stan Swete, Chief Technology Officer, Workday
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The client needed to replace an outdated standalone system with an integrated trust banking system. ObjectFrontier developed a solution including an investment management system, corporate trust system, unit investment trust funds system, general ledger system, and loan management system. The new system provided a high degree of automation, integration between systems, and fine-grained administrative controls, resulting in a robust and scalable trust banking system.
VMworld 2013: Building the Management Stack for Your Software Defined Data Ce...VMworld
VMworld 2013
Bernd Harzog, The Virtualization Practice
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Flexible Models for Managed Services as an extension of your Internal Team
Ensuring Oracle License Compliance and Reducing risk through Role Management
Demonstrate significant risks with the use of Seeded and Hybrid roles
Automated processes and their impact on HR efficiency
Compliance assurance and risk management through enabling and evaluating audit logs
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We support:
Oracle Cloud | PeopleSoft | JD Edwards | E-Business Suite | NetSuite
WEBINAR
Best Practices for Maximizing and Modernizing your Oracle Applications
Oracle Cloud, PeopleSoft, JDE, EBS, and NetSuite
We will show some strategies to help you improve response times, leverage the latest functionality, and lower your total cost of ownership.
Benefits
> Discover creative ways to control support costs
> Reduce your total cost of ownership
> Regular updates to ensure compliance
> Keep pace with new features delivered and upcoming
> Make Oracle application maintenance easier
> Run health checks to receive a current status of your running environments
Takeaways
> Case Study from Root
> Case Study from HMS
> Discover creative ways to control support costs
> How to maximize ROI & Increase Automation with Managed Services
> How we can enable an extension of your team
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________________________________________
About The Presenter
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4. Organizational processes and structures that may inhibit effective AI adoption.
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Interested in deploying an integration with Salesforce for Bonterra Impact Management? Contact us at sales@sidekicksolutionsllc.com to discuss next steps.
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Digital Marketing Trends in 2024 | Guide for Staying Ahead
Effective Segregation of Duties for PeopleSoft 2011-02-23
1. Effective Segregation of Duties
for PeopleSoft
SmartERP: Doris Wong, CEO; Dan White, VP of Product Strategy
Q Software: Lewis Hopkins, Product Manager
February 23, 2011
Webinar Recordings available at smarterp.com/webinars
Our webinar will begin shortly. Please note all phone lines and computer microphones will
be placed on mute throughout the presentation. Please use the GoToWebinar QUESTION
feature to ask questions.
2. Welcome & Introductions
Doris Wong
CEO, Smart ERP Solutions, Inc.
Former Oracle Group VP and GM for PeopleSoft Enterprise
Over 15 Years Experience with PeopleSoft
Dan White
VP, Product Strategy, Smart ERP Solutions, Inc.
Former Oracle/PeopleSoft Functional Architect
Over 12 Years Experience with PeopleSoft
Lewis Hopkins
Product Manager, Q Software, Ltd.
Over 10 years experience in risk management, governance, and
security for compliance for ERP applications
3. Agenda
• “Effective” Segregation of Duties (SoD)
• About Smart ERP Solutions, Inc.
• Smart SoD™: Effective SoD for
PeopleSoft
• Demo
• Summary and Q & A
Please note all phone lines and computer microphones will be placed on mute throughout
the presentation. Please use the GoToWebinar QUESTION feature to ask questions.
7. Characteristics/Benefits of Effective SoD
• Built-in model enables SoD enforcement
– Violations checked BEFORE go-live
– Your decision to enforce rules or allow violations
• Saves time (= money)
– Easy set-up
– Easy testing for violations
– Quick and easy reporting
– Reduces number of compensating controls required
– Reduces auditing effort / costs
• Reduces risk
– Enforcing and reporting SoD violations reduces
opportunity for fraud
8. SoD – The Issues
• Nothing in PeopleSoft
– Any release
• Use a Spreadsheet?
• How do you…
– Ensure the actual access control mirrors the
spreadsheet?
– Right people access the right data?
– Manage change control problems?
– Assess impact of changes?
– Manage enforcement of SoD?
9. Proactive SoD
Aim:
Prevent SoD Violations occurring during security Assignment.
Ensure Security Policy is enforced long term.
10. ‘Proactive’ SoD
A/P “Super”
Voucher Clerk Role SoD
OK
1. AP Voucher clerk
Violations
2. Secondary role 2 Check
3. Secondary role 3
6
Violations
Segregate this task: From this task
Build Security
Change
Role assignment Sales Order Entry Purchase Order
Or Vendor Master Bank Payments
Security Sales Pricing Sales Order Entry
without Purchase Order Goods Receipt
affecting live security Customer Master Sales Order Entry
Sales Order Entry Credit limits
Credit Notes Invoicing (A/R)
Purchase Order Vendor Master
Purchase Order Invoice entry (A/P)
Vendor Master Purchase Order
Vendor Master Credit Notes
Invoice entry (A/P) Bank Payments
Extract from pre-populated,
model
11. Reactive SoD
Aim:
Accurately assess existing security for remediation.
Reduce Audit time and cost.
Build case for restructuring security.
12. ‘Reactive’ SoD
Roles
(High-Level)
Permission
List
(Process)
Components
(In-depth Audit)
Reporting directly on
existing security
13. Top 10 Rules
• Creating a journal entry and opening a closed accounting period
• Maintaining accounts receivable master data and posting receipts
• Depositing cash and reconciling bank statements
• Completing goods transfer and adjusting physical inventory counts
• Approving time cards and distributing paychecks
• Preparing an order and changing a billing document
• Changing an order and creating a delivery
• Creating a journal entry and opening a closed accounting period
• Creating general ledger accounts and posting journal entries
• Maintaining bank account information and posting payments
• Maintaining assets and creating a goods receipt
14. Creation of SoD Rules
• Role level
– Create matrix of all active system roles
– Identify all roles that should not be linked to the same user
• Such as purchasing and payments
• Permission List / Business Process level
– Include Application security & processing options
– Add to / modify as needed
• Component / Program level
– Add in any custom or modified processing
– If creating your own rules
• Start with most important controls & gradually add to them
15. SoD Logic
• AND/OR Logic
– Applied to rules at the component and permission list level.
– The user is either in conflict with all the items in a rule (AND
logic) or,
– The user is in conflict with at least two items in the rule (OR
logic)
Example – AND Logic: Example – OR Logic:
Rule 1: Rule 1:
Sales Order Entry Sales Order Entry
AND AND
Purchase Order Purchase Order
AND OR
Bank Payments Bank Payments
Result: Extreme Flexibility and Maximum Benefit to customers!
16. Mitigation – The Issues
• Current Economic Climate
– Many redundancies equates to less people doing more.
– Major requirement from Audit to allow remediation
where a user is considered a risk.
– SOX requires that during an audit all risks must at least
be visible and understood by the business.
– With this comes risk assessment and documentation.
• Seasonal Changes
– Staff holidays or time away from office requires other
users be able to perform these additional duties.
17. Mitigation Solutions
• Ability to mitigate users once a validation has
occurred.
• Details of mitigation, including notes get added to
a mitigation table.
• The user gets checked during the next validation
but is not added to the violations table.
• Ability to time out mitigations, i.e. allowing for staff
who are on holiday, etc.
19. Smart ERP Solutions, Inc.
Comprised of the best former developers, architects and
executives from PeopleSoft/Oracle
Providing cost-effective, robust and repeatable “Smart Solutions”
for PeopleSoft applications
Unique best practices and expertise in PeopleSoft strategic
planning, Smart implementation and upgrade services
KEY DIFFERENTIATOR−OUR SMARTADVANTAGE
Rather than assigning teams of consultants to projects we apply our
pre-built, proven solutions to efficiently address those efforts
common to any PeopleSoft project thus saving time, reducing
costs, minimizing risks and lowering total cost of ownership by
avoiding costly difficult-to-maintain customizations.
20. SmartERP: Our Philosophy
Solutions
• Enhance and Extend Standard PeopleSoft Functionality
to Meet Business Needs
– 3Cs : Common, Critical, Complementary
• Repeatable, Pre-Packaged, Highly-Configurable and
Innovative Solutions
• Release Independence
• Customer-Driven Requirements
• Architected and Designed as Add-On Solutions
• Lower Total Cost of Ownership
– Minimal to No Customizations
– Minimal Upgrade Impact
• Affordable and Cost-Effective
21. SmartERP: Our Solutions
Business Requirements Smart Solutions
Row level security on any data that requires limited or authorized access
Smart Security
Define , manage and enforce segregation of duties for various roles within
an organization to adhere to compliance requirements
Smart SoD
Robust workflow approval capabilities across any business transaction or
documents across your Enterprise
Smart Workflow
Streamlined and easy-to-use data entry pages configured to meet your
specific business process requirements, incl. industry reqmts; Easily add
Smart Docs including
features anywhere such as Save as Draft, Copy from Templates, ERP Gadget
Attachments, Configurable Print, Collaborative Comments, Workflow, User
Help, Business Process View
Configuring and tailoring business processes to meet your organization’s
specific processes, including defining step-by-step actions for each
Smart Enterprise BPM
process and managing your users through your organizations specific
business process.
One-stop visibility into the full business process lifecycle of a transaction
Smart Lifecycle Viewer
Addressing additional compliance requirements not in standard
PeopleSoft: I-9/W-4 Form, 1042 Foreign National Requirements
Smart Compliance
Manageable solutions for complex integration needs
Smart Integration Packs
Other Common, Critical and Complementary business requirements
Tell us, we’ll build it!
23. Smart SoD Summary
• Developed expressly for PeopleSoft
by SmartERP in cooperation with Q
Q Software
Software
• Uniquely integrated within your
SmartERP
current PeopleSoft
• Powerful Proactive, Reactive and
Mitigation features
• Built-in
Smart SoD™ Analytics/Reporting/Dashboards
• Use delivered SoD rules or easily
create your own
25. Smart SoD Demo Scenario
• SoD Model and Rules
• Reactive: Mass check for user violations
• Proactive: Validate new user profile against
established SoD rules
• Dashboard/Analytics
27. Value Statement
Segregation of Duties is an important element of your overall
PeopleSoft security and risk management
Key Features of Smart SoD can help you maintain legislative
compliance (SoX), meet audit requirements and reduce the
likelihood and impacts of fraud and errors
• Expressly designed for your current PeopleSoft
• Powerful Proactive, Reactive and Mitigation Features
• Automated Workflow Approvals
• Reporting/Dashboards facilitate audits and compliance
• Use pre-packaged built-in SoD rules or easily create your
own
• Add-on Architecture Lowers Total Cost of Ownership
– Seamless Integration
– Utilize Best Practices
– Maintenance and Upgrades