How to leverage Sarbanes and Fraud Detection to a Competitive Advantage. Know who has access to your critical data. Principles and Guidelines.

1. Sarbanes Oxley Advanced IT
Methodology. A Competitive
Advantage Strategy.
By
Robert L. Brown
Director Of Information

2. SARBANES ADVANTAGE 2
Information Technology Cycle,
System Overview

Application
Process
Name Description
Process
Supported. Eg.
Revenues
Developer
(Vendor Or
Custom)
Change
Management
Application
Mgt
Data
Management
Platform
OS Network Physical
MAPICS
EXTENDED
SYSTEMS
7.0
ENTERPRISE
ERP
MRP II, MPSP,
AR, AP, GL,
CUSTOMER
SERVICE,
ENGINEERING,
CRP,
INVENTORY
Vendor
Developed
Base Product
with some
custom mods.
Reports in
Cognos,
Visual Basic
6.0 and
Access 1997 Oracle 8i
Windows
2000
Server
Windows
2000-
2003
Terminal
Server:
Windows NT
Server 2000.
HP file
servers.

3. SARBANES ADVANTAGE 3
FIXED ASSET CONTROL
FDC SOFTWARE, CARLISLE CHOICE
MSACCESS TRACK COMPUTER
LABELS FOR COMPUTER
EQUIPMENT.
Application
Process Description
Process
Supported
Developer
Vendor or
Custom
Change
Management
Application
Management
Application
Admin
Data
Management Platform OS
Network
Physcial
FDC
FIXED
ASSET
SOFTWARE
FIXED
ASSETS VENDOR
BASE
PRODUCT EXCEL
MS
WINDOWS
PC
DESKTOP
LOCATED
ON PC
MS
ACCESS
FIXED
ASSET
TRACKING
FIXED,
COMPUT
ER
EQUIPME CUSTOM MIS ACCESS 97 MIS MIS WINDOWS
LOCATED
PC

4. SARBANES ADVANTAGE 4
MIS STRUCTURE
FORMAL MIS DEPARTMENT
MANAGEMENT INFORMATION
SYSTEMS.
MANUFACTURING INFORMATION
SYSTEMS
MAPICS EXTENDED SYSTEMS 7.0

5. SARBANES ADVANTAGE 5
MIS ORGANIZATION
MOTION CONTROL MIS
– 2004 STURCTURE
P I T T S B U R G H
K A N S A S
A L T E C
S T O C K T O N C A L I F O R N IA
A L T E C
M a r k V e lla
P r o g r a m m e r
O n t a r io , C a n a d a
A L T E C
L A N C A S T E , P A
M O T I O N C O N T R O L
S t o n e y S e a w e ll
N e t w o r k A d m in
C h a r lo t t e s v ille , V A
M O T I O N C O N T R O L
K e v in H a n e s
A p p lic a tio n S u p p o rt
S o u t h H ill, V a
M O T I O N C O N T R O L
T o m K e n d le
M I S S U P P O R T
F R E D R I C K S B U R G , V A
M O T I O N C O N T R O L
D ir o f I n f o r m a t io n S y s t e m s
C I B F A N D M O T I O N C O N T R O L
B o b B r o w n
B lo o m in g to n , I n d ia n a

6. SARBANES ADVANTAGE 6
MIS REPSONSIBILITES
 DIR OF MIS-BOB BROWN, MANAGERIAL CONTROL OF MIS DEPARTMENT.
 MARK VELLA , ALTEC, ONATRIO, CANADA, MAIN PROGRAMMER FOR MOTION
CONTROL AND ALTEC. EDI SUPPORT SPECIALIST.
 STONEY SEAWELL, NETWORK ADMINSITRATOR MOTION CONTROL AND ALETC.
VIRUS PROTECTION ,SECURITY, DATA CENTER SUPPORT.
 TOM KENDLE, MIS SUPPORT FREDRICKSBURG, VIRGINIA. MANUFACTURING
SUPPORT, SHOP FLOOR REPORTING, INFORMATION SPECIALIST FOR
MANUFACTURING
 KEVIN HANES, APPLICATION SUPPORT. MAIN SUPPORT ANALYST FOR THE MAPICS
EXETNDED SYSTEMS APPLICATION. MIS BUSINESS ANALYST.
 MARK VELLA, KEVIN HANES AND BOB BROWN ARE WELL VERSED IN THE MAPICS
PRODUCT.
 SUPPORT FOR ALL SITES IS DRIVEN TO THE PRIMARY SUPPORT PERSON THAT IS ON
SITE.
 MAPICS SUPPORT DESK IS ALSO PART OF THE SUPPORT LOGIC.

7. SARBANES ADVANTAGE 7
SYSTEM ARCHITECTURE
To Gigabit Switch
HP 4108GL Switch
WIndows Load Balancing
Hub
DATASERV1
Windows 2000 Advanced Server SP2
HP LC2000R
Dual P3 933MHZ
2 GB SDRAM
(3) 9.1 GB SCSI DISK Operating System (3.5gb free)
Netraid 2M Ultra3 Controller
HP Gigabit Nic
Oracle/Pointman Database
Print Server
HP Rackstorage 12
(4) 18 GB SCSI DISK DRIVES (21gb free)
Point.Man databases
APPSERV1
Windows 2000 Advanced Server SP2
Terminal Services Application Mode
HP LC2000R
Dual P3 800 MHZ
2 Gb SDRAM
(3) 9.1 GB SCSI DISK (14gb free)
Netraid 3Si Ultra3 Controller
HP Gigabit Nic
Office2000
Access97
Pointman Client
Shopvue Client
APPSERV2
Windows 2000 Advanced Server SP2
Terminal Services Application Mode
HP LC2000R
Dual P3 800 MHZ
2 Gb SDRAM
(3) 9.1 GB SCSI DISK (13gb free)
Netraid 3Si Ultra3 Controller
HP Gigabit Nic
Office2000
Access97
Pointman Client
Shopvue Client
SVSERV1
SHOPVUE
Windows 2000 Server SP2
HP LP2000R
P3 1.4 GHZ
512 MB SDRAM
(3) 18.1 GB SCSI DISK Operating SystemApps (24gb free)
Netraid 3Si Ultra3 Controller
HP 10/100 Nic
RIDGWAY1
Windows 2000 Server SP2
HP LC2000R
Single P3 723MHZ
654 MB SDRAM
(3) 9.1 GB SCSI DISK Operating System (3.5gb free)
Netraid 2M Ultra3 Controller
HP Gigabit Nic
File Server
HP Rackstorage 12
(7) 9 GB SCSI DISK DRIVES (11gb free)
User Profiles/Home Directories
APPSERV4
Windows 2000 Advanced Server SP2
Terminal Services Application Mode
HP Proliant DL380 G3
Dual P4 2.4 GHZ
2.5 GB DDR
(3) 18.2 GB 15KRPM SCSI DISK (28gb free)
Smart Array 523 64MB SCSI Controller
Dual HP Gigabit Nic
Office2000
Access97
Pointman Client
Shopvue Client
APPSERV3
Windows 2000 Advanced Server SP2
Terminal Services Application Mode
HP Proliant DL380 G3
Dual P4 2.4 GHZ
2.5 GB DDR
(3) 18.2 GB 15KRPM SCSI DISK (28gb free)
Smart Array 523 64MB SCSI Controller
Dual HP Gigabit Nic
Office2000
Access97
Pointman Client
Shopvue Client
To
Switch

8. SARBANES ADVANTAGE 8
TEACHING SARBANES:
THE SOUND BUSINESS
METHOD
SOUND
SMART
ORGANIZTIONS
UTILIZE
NECESSARY
DOCUMENTATION

9. SARBANES ADVANTAGE 9
SOUND PRINCIPLES
 SARBANES
 OXLEY
 U=YOU
 NEED
 DOCUMENTATION
 SMART
 ORGANIZATIONS
 UTILIZE
 NECESSARY
 DOCUMENTATION

10. SARBANES ADVANTAGE 10
Why Sarbanes?
”The Goal” Creation of wealth.
 (POI) Protection of Information.
SARBANES.=(POW) Protection of Wealth.
To protect stock holder value.
To stop FRAUD.
FRAUD an ugly word.
Remember Fraud ends with a D.

11. SARBANES ADVANTAGE 11
5 D’S OF SARBANES
 DETECTION
 DETERENCE
 DEFENSE
 DOCUMENTATION
 DETERMINATION
 Auditing
 Policy and Guidelines
 MIS SECURITY
 MIS SARBANES.
 MIS ETHICAL
STANDARDS.

12. SARBANES ADVANTAGE 12
Key Issues
Near term
Security and Password changes.
Auditing of Information for Accuracy.
Long term
Continuing Improvement in Security
Continuing documentation of processes.