The Software Management Experts How to Achieve SOX Compliance Faster Presented by Laurie LeBlanc SoftLanding Systems
The Software Management Experts Agenda SOX : Opportunity or Burden? IT Control Framework Software Tools –Change Management –Testing –Security Q & A
The Software Management Experts Opportunity or Burden? The Sarbanes - Oxley Act of 2002
The Software Management Experts An Annual Event Title IV Sect 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 also attest to the accuracy of these assertions
The Software Management Experts 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
The Software Management Experts Where Do I Begin?
The Software Management Experts COBIT, How Software Products Apply
The Software Management Experts 300+ specific COBIT objectives Of those, 164 pertain to SOX Of those, 64 can be met with SoftLanding tools COBIT and SOX
The Software Management Experts 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
The Software Management Experts 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
The Software Management Experts SLS Tools and COBIT Objectives
The Software Management Experts TurnOver Change Management
The Software Management Experts Reports
The Software Management Experts 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
The Software Management Experts TurnOver Change Management Repeatable process plus: Approval enforcement Authorities by application & development level Change history Standardized controls
The Software Management Experts TurnOver Workflow COBIT Section A14 – Develop & Maintain Procedures
The Software Management Experts Issue Tracking COBIT Section DS10 – Manage Problems and Incidents
The Software Management Experts Issue Tracking
The Software Management Experts Issue Tracking
The Software Management Experts Project Management COBIT Section PO10 – Manage Projects
The Software Management Experts Project Management Repeatable workflow & authorities: Save time Increase control Improve predictability
The Software Management Experts Project Management
The Software Management Experts Project Management
The Software Management Experts Development COBIT Sections A16 & DS9 – Manage Changes – Manage the Configuration
The Software Management Experts Development
The Software Management Experts Development
The Software Management Experts Development
The Software Management Experts Development TurnOver provides for: Object stamping and versioning Emergency changes –Pre-established criteria –Done within the system Audit trail of all program changes
The Software Management Experts Test & Deploy C OBIT Section A15 – Install & Accredit System
The Software Management Experts Test & Deploy TurnOver will: Create/maintain test environments Facilitate communication between dev, QA, users & project managers Enforce approval procedures Provide audit trail
The Software Management Experts Test & Deploy
The Software Management Experts Production C OBIT Objectives A15.12 & A16.8 – Promotion to Production – Distribution of Software
The Software Management Experts Production
The Software Management Experts Production
The Software Management Experts Summary
The Software Management Experts Testing Tools and COBIT Objectives
The Software Management Experts TestBench COBIT Sections A15 and PO10 - Install/Accredit Systems - Manage Projects
The Software Management Experts TestBench COBIT Objective A15.7 – Testing of Changes COBIT Objective A15.11 – Operational Test
The Software Management Experts TestBench COBIT Objectives: A12.15, A13.4, A15.6, 15.8 PO10.8-9, PO10.11
The Software Management Experts TestBench COBIT Objective A15.9 – Final Acceptance Test
The Software Management Experts SLS Tools and COBIT Objectives
The Software Management Experts Security Tools COBIT Section DS5 – Ensure Systems Security
The Software Management Experts PowerLock NetworkSecurity Covers COBIT Objectives: DS5.2, DS5.3, DS5.7, DS5.10 and DS5.11
The Software Management Experts Covers COBIT Objectives: DS5.1, DS5.2, DS5.4, DS5.5, DS5.9, DS5.10 PowerLock SecurityAudit
The Software Management Experts VISUAL Security Covers COBIT Objectives: DS5.6, DS5.7, DS5.10 and DS5.11
The Software Management Experts SoftMenu Covers COBIT Objectives: DS5.3, DS5.4, DS5.5 and DS5.9
The Software Management Experts Experience Counts "TurnOver and SoftMenu played a big part in our preparations 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.
The Software Management Experts Thank You! Contact SoftLanding to discuss how our products can help you achieve SOX compliance faster: (800) or (603) For questions related to this Presentation SoftLanding SOX Resources Page: