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How to Achieve SOX Compliance Faster

Presented by Laurie LeBlanc SoftLanding Systems. How to Achieve SOX Compliance Faster. Agenda. SOX : Opportunity or Burden? IT Control Framework Software Tools Change Management Testing Security Q & A. The Sarbanes - Oxley Act of 2002. Opportunity or Burden?. An Annual Event.

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How to Achieve SOX Compliance Faster

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  1. Presented by Laurie LeBlanc SoftLanding Systems How to Achieve SOX Compliance Faster

  2. Agenda • SOX : Opportunity or Burden? • IT Control Framework • Software Tools • Change Management • Testing • Security • Q & A

  3. The Sarbanes - Oxley Act of 2002 Opportunity or Burden?

  4. An Annual Event • Title IV Sect 404 - Each annual report must include an “internal control report” • The CEO/CFO are responsible for an adequate internal control system • Must identify internal control framework used • A certified assessment by the CEO/CFO of the control’s effectiveness • An external auditor must alsoattest to the accuracy of these assertions

  5. COBIT (Control Objectives for IT) COBIT - IT Governance Maturity Model 0. Non-Existent 1. Initial / Ad Hoc 2. Repeatable but Intuitive 3. Defined Process 4. Managed and Measurable 5. Optimized

  6. Where Do I Begin?

  7. COBIT, How Software Products Apply

  8. COBIT and SOX • 300+ specific COBIT objectives • Of those, 164 pertain to SOX • Of those, 64 can be met with SoftLanding tools

  9. For instance… • Job Change and Termination (P07.8) • Management should ensure that appropriate and timely actions are taken regarding job changes and terminations so that internal controls and security are not impaired by such occurrences. • Software tools do not apply

  10. However… • System Software Change Controls (A13.6) • Procedures should be implemented to ensure that system software changes are controlled in line with the organization’s change management procedures. • Change Management tools directly apply

  11. SLS Tools and COBIT Objectives

  12. TurnOver Change Management

  13. Reports

  14. Auditing Specific Changes • Easy to audit full lifecycle • Initial request • Task approval • Development work • Testing results • Change approvals • How & when changes went live • All from a single iSeries database

  15. TurnOver Change Management Repeatable process plus: • Approval enforcement • Authorities by application & development level • Change history • Standardized controls

  16. TurnOver Workflow COBIT Section A14 – Develop & Maintain Procedures

  17. Issue Tracking COBIT Section DS10 – Manage Problems and Incidents

  18. Issue Tracking

  19. Issue Tracking

  20. Project Management COBIT Section PO10 – Manage Projects

  21. Project Management Repeatable workflow & authorities: • Save time • Increase control • Improve predictability

  22. Project Management

  23. Project Management

  24. Development COBIT Sections A16 & DS9 – Manage Changes – Manage the Configuration

  25. Development

  26. Development

  27. Development

  28. Development TurnOver provides for: • Object stamping and versioning • Emergency changes • Pre-established criteria • Done within the system • Audit trail of all program changes

  29. Test & Deploy COBIT Section A15 – Install & Accredit System

  30. Test & Deploy TurnOver will: • Create/maintain test environments • Facilitate communication between dev, QA, users & project managers • Enforce approval procedures • Provide audit trail

  31. Test & Deploy

  32. Production COBIT Objectives A15.12 & A16.8 – Promotion to Production – Distribution of Software

  33. Production

  34. Production

  35. Summary

  36. Testing Tools and COBIT Objectives

  37. TestBench COBIT Sections A15 and PO10 - Install/Accredit Systems - Manage Projects

  38. TestBench COBIT Objective A15.7 – Testing of Changes COBIT Objective A15.11 – Operational Test

  39. TestBench COBIT Objectives: A12.15, A13.4, A15.6, 15.8 PO10.8-9, PO10.11

  40. TestBench COBIT Objective A15.9 – Final Acceptance Test

  41. SLS Tools and COBIT Objectives

  42. Security Tools COBIT Section DS5 –Ensure Systems Security

  43. PowerLock NetworkSecurity Covers COBIT Objectives: DS5.2, DS5.3, DS5.7, DS5.10 and DS5.11

  44. PowerLock SecurityAudit Covers COBIT Objectives: DS5.1, DS5.2, DS5.4, DS5.5, DS5.9, DS5.10

  45. VISUAL Security Covers COBIT Objectives: DS5.6, DS5.7, DS5.10 and DS5.11

  46. SoftMenu Covers COBIT Objectives: DS5.3, DS5.4, DS5.5 and DS5.9

  47. Experience Counts "TurnOver and SoftMenu played a big part in ourpreparations for Sarbanes-Oxley compliance.They're always very strong during audits – they're never challenged." — Jerry Bell Director of Systems Development Oshkosh B'Gosh Inc.

  48. Thank You! • Contact SoftLanding to discuss how our products can help you achieve SOX compliance faster: (800) 545-9485 or (603) 924-8818 • Email lauriel@softlanding.com: For questions related to this Presentation • SoftLanding SOX Resources Page: www.softlanding.com/sox

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