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Transcript of IT Solutions for Detecting and Preventing Fraud and Error Presentation to FMI Sylvie Turcotte, SAP...
![Page 1: IT Solutions for Detecting and Preventing Fraud and Error Presentation to FMI Sylvie Turcotte, SAP Canada Inc. November 26, 2008.](https://reader035.fdocuments.net/reader035/viewer/2022081518/55204d7349795902118c6c5c/html5/thumbnails/1.jpg)
IT Solutions for Detecting and Preventing Fraud and Error
Presentation to FMI
Sylvie Turcotte, SAP Canada Inc.
November 26, 2008
![Page 2: IT Solutions for Detecting and Preventing Fraud and Error Presentation to FMI Sylvie Turcotte, SAP Canada Inc. November 26, 2008.](https://reader035.fdocuments.net/reader035/viewer/2022081518/55204d7349795902118c6c5c/html5/thumbnails/2.jpg)
© SAP 2008 / Page 2
1. Expectations
2. Specific Examples of IT Solutions
3. Key Benefits
Agenda
![Page 3: IT Solutions for Detecting and Preventing Fraud and Error Presentation to FMI Sylvie Turcotte, SAP Canada Inc. November 26, 2008.](https://reader035.fdocuments.net/reader035/viewer/2022081518/55204d7349795902118c6c5c/html5/thumbnails/3.jpg)
© SAP 2008 / Page 3
Fundamental Control Principles
Your Applications
Technology People
Inh
ere
nt
Contr
ols
Configura
ble
Contr
ols
Secu
rity
Contr
ols
Report
ing
Contr
ols
Manual &
Pro
ced
ura
lC
ontr
ols
Business Objectives (Control Objectives & Risk)
Co
ntr
ol
Fra
mew
ork
![Page 4: IT Solutions for Detecting and Preventing Fraud and Error Presentation to FMI Sylvie Turcotte, SAP Canada Inc. November 26, 2008.](https://reader035.fdocuments.net/reader035/viewer/2022081518/55204d7349795902118c6c5c/html5/thumbnails/4.jpg)
© SAP 2008 / Page 4
What should you expect from your IT solutions?
Accountability and Ownership
Centralized
Integrated
Automated
Auditable
![Page 5: IT Solutions for Detecting and Preventing Fraud and Error Presentation to FMI Sylvie Turcotte, SAP Canada Inc. November 26, 2008.](https://reader035.fdocuments.net/reader035/viewer/2022081518/55204d7349795902118c6c5c/html5/thumbnails/5.jpg)
© SAP 2008 / Page 5
1. Expectations
2. Specific Examples of IT Solutions
3. Key Benefits
Agenda
![Page 6: IT Solutions for Detecting and Preventing Fraud and Error Presentation to FMI Sylvie Turcotte, SAP Canada Inc. November 26, 2008.](https://reader035.fdocuments.net/reader035/viewer/2022081518/55204d7349795902118c6c5c/html5/thumbnails/6.jpg)
© SAP 2008 / Page 6
The Four Pillars of Internal Control
IT Infrastructure
Perform Assessments
TestAutomated Controls
Test Manual Controls
Sign Off
Remediate Issues
System of Internal Controls:Process-Control-Objective-Risk
Monitor Exceptions
Business Processes
…
Yes
No
S U R V E Y
Cer
tify
Mon
itor
Tes
tD
ocum
ent
![Page 7: IT Solutions for Detecting and Preventing Fraud and Error Presentation to FMI Sylvie Turcotte, SAP Canada Inc. November 26, 2008.](https://reader035.fdocuments.net/reader035/viewer/2022081518/55204d7349795902118c6c5c/html5/thumbnails/7.jpg)
© SAP 2008 / Page 7
Document your Controls
IT Infrastructure
Perform Assessments
TestAutomated Controls
Test Manual Controls
Sign Off
Remediate Issues
System of Internal Controls:Process-Control-Objective-Risk
Monitor Exceptions
Business Processes
…
Yes
No
S U R V E Y
Cer
tify
Mon
itor
Tes
tD
ocum
ent
![Page 8: IT Solutions for Detecting and Preventing Fraud and Error Presentation to FMI Sylvie Turcotte, SAP Canada Inc. November 26, 2008.](https://reader035.fdocuments.net/reader035/viewer/2022081518/55204d7349795902118c6c5c/html5/thumbnails/8.jpg)
© SAP 2008 / Page 8
Single Repository of Controls
![Page 9: IT Solutions for Detecting and Preventing Fraud and Error Presentation to FMI Sylvie Turcotte, SAP Canada Inc. November 26, 2008.](https://reader035.fdocuments.net/reader035/viewer/2022081518/55204d7349795902118c6c5c/html5/thumbnails/9.jpg)
© SAP 2008 / Page 9
Enhanced Accountability – Assignment
![Page 10: IT Solutions for Detecting and Preventing Fraud and Error Presentation to FMI Sylvie Turcotte, SAP Canada Inc. November 26, 2008.](https://reader035.fdocuments.net/reader035/viewer/2022081518/55204d7349795902118c6c5c/html5/thumbnails/10.jpg)
© SAP 2008 / Page 10
Enhanced Accountability – Who are the Process and Control Owners?
![Page 11: IT Solutions for Detecting and Preventing Fraud and Error Presentation to FMI Sylvie Turcotte, SAP Canada Inc. November 26, 2008.](https://reader035.fdocuments.net/reader035/viewer/2022081518/55204d7349795902118c6c5c/html5/thumbnails/11.jpg)
© SAP 2008 / Page 11
Test Your Controls
IT Infrastructure
Perform Assessments
TestAutomated Controls
Test Manual Controls
Sign Off
Remediate Issues
System of Internal Controls:Process-Control-Objective-Risk
Monitor Exceptions
Business Processes
…
Yes
No
S U R V E Y
Cer
tify
Mon
itor
Tes
tD
ocum
ent
![Page 12: IT Solutions for Detecting and Preventing Fraud and Error Presentation to FMI Sylvie Turcotte, SAP Canada Inc. November 26, 2008.](https://reader035.fdocuments.net/reader035/viewer/2022081518/55204d7349795902118c6c5c/html5/thumbnails/12.jpg)
© SAP 2008 / Page 12
Standardization – Documentation
![Page 13: IT Solutions for Detecting and Preventing Fraud and Error Presentation to FMI Sylvie Turcotte, SAP Canada Inc. November 26, 2008.](https://reader035.fdocuments.net/reader035/viewer/2022081518/55204d7349795902118c6c5c/html5/thumbnails/13.jpg)
© SAP 2008 / Page 13
Automated Testing
![Page 14: IT Solutions for Detecting and Preventing Fraud and Error Presentation to FMI Sylvie Turcotte, SAP Canada Inc. November 26, 2008.](https://reader035.fdocuments.net/reader035/viewer/2022081518/55204d7349795902118c6c5c/html5/thumbnails/14.jpg)
© SAP 2008 / Page 14
Monitor Your Test Results
IT Infrastructure
Perform Assessments
TestAutomated Controls
Test Manual Controls
Sign Off
Remediate Issues
System of Internal Controls:Process-Control-Objective-Risk
Monitor Exceptions
Business Processes
…
Yes
No
S U R V E Y
Cer
tify
Mon
itor
Tes
tD
ocum
ent
![Page 15: IT Solutions for Detecting and Preventing Fraud and Error Presentation to FMI Sylvie Turcotte, SAP Canada Inc. November 26, 2008.](https://reader035.fdocuments.net/reader035/viewer/2022081518/55204d7349795902118c6c5c/html5/thumbnails/15.jpg)
© SAP 2008 / Page 15
Scheduling and Process Tracking
![Page 16: IT Solutions for Detecting and Preventing Fraud and Error Presentation to FMI Sylvie Turcotte, SAP Canada Inc. November 26, 2008.](https://reader035.fdocuments.net/reader035/viewer/2022081518/55204d7349795902118c6c5c/html5/thumbnails/16.jpg)
© SAP 2008 / Page 16
Scheduling and Process Tracking – Issues
![Page 17: IT Solutions for Detecting and Preventing Fraud and Error Presentation to FMI Sylvie Turcotte, SAP Canada Inc. November 26, 2008.](https://reader035.fdocuments.net/reader035/viewer/2022081518/55204d7349795902118c6c5c/html5/thumbnails/17.jpg)
© SAP 2008 / Page 17
Segregation of Duties (SoD Compliance)
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© SAP 2008 / Page 18
System Security Controls
Compliant provisioning with dynamic workflow
Path workflow—based on request
type and user attributes
Escalation workflow
Exception workflow
Via e-mail
One-click preventive simulation
100% automated
HR event
Employeehired/retired
Request generate
d100% automated
Mgr approva
l
Risk analysis
Automated provisionin
g
Compliant super user access
New session New session New session New session
SAP_ALL
• Pre-assigned firefighter IDs• Access restrictions• Validity dates• Field-level changes tracked in audit log
Superuser
Firecall ID …
Log
Firecall ID
FICO
Firecall ID
MM
Firecall ID
SD
LogLogLog
![Page 19: IT Solutions for Detecting and Preventing Fraud and Error Presentation to FMI Sylvie Turcotte, SAP Canada Inc. November 26, 2008.](https://reader035.fdocuments.net/reader035/viewer/2022081518/55204d7349795902118c6c5c/html5/thumbnails/19.jpg)
© SAP 2008 / Page 19
Reporting – Dashboard
![Page 20: IT Solutions for Detecting and Preventing Fraud and Error Presentation to FMI Sylvie Turcotte, SAP Canada Inc. November 26, 2008.](https://reader035.fdocuments.net/reader035/viewer/2022081518/55204d7349795902118c6c5c/html5/thumbnails/20.jpg)
© SAP 2008 / Page 20
Certify Your Compliance
IT Infrastructure
Perform Assessments
TestAutomated Controls
Test Manual Controls
Sign Off
Remediate Issues
System of Internal Controls:Process-Control-Objective-Risk
Monitor Exceptions
Business Processes
…
Yes
No
S U R V E Y
Cer
tify
Mon
itor
Tes
tD
ocum
ent
![Page 21: IT Solutions for Detecting and Preventing Fraud and Error Presentation to FMI Sylvie Turcotte, SAP Canada Inc. November 26, 2008.](https://reader035.fdocuments.net/reader035/viewer/2022081518/55204d7349795902118c6c5c/html5/thumbnails/21.jpg)
© SAP 2008 / Page 21
Certification Status
![Page 22: IT Solutions for Detecting and Preventing Fraud and Error Presentation to FMI Sylvie Turcotte, SAP Canada Inc. November 26, 2008.](https://reader035.fdocuments.net/reader035/viewer/2022081518/55204d7349795902118c6c5c/html5/thumbnails/22.jpg)
© SAP 2008 / Page 22
1. Expectations
2. Specific Examples of IT Solutions
3. Key Benefits
Agenda
![Page 23: IT Solutions for Detecting and Preventing Fraud and Error Presentation to FMI Sylvie Turcotte, SAP Canada Inc. November 26, 2008.](https://reader035.fdocuments.net/reader035/viewer/2022081518/55204d7349795902118c6c5c/html5/thumbnails/23.jpg)
© SAP 2008 / Page 23
Expected Benefits
Reduce RISKS, TIME, and COSTS
Effectively mitigate business risks12
6
9 3
12
11
45
8
10
7
Lower costs of internal control with centralized control management
Implement operational controls to improve business process management
![Page 24: IT Solutions for Detecting and Preventing Fraud and Error Presentation to FMI Sylvie Turcotte, SAP Canada Inc. November 26, 2008.](https://reader035.fdocuments.net/reader035/viewer/2022081518/55204d7349795902118c6c5c/html5/thumbnails/24.jpg)
© SAP 2008 / Page 24
Come See Us!
At our Booth
Lunch & Learn on SAP GRC Solutions When: December 10th, 12:00pm – 1:30pmWhere: SAP Office – 100 Murray Street, 2nd Floor
![Page 25: IT Solutions for Detecting and Preventing Fraud and Error Presentation to FMI Sylvie Turcotte, SAP Canada Inc. November 26, 2008.](https://reader035.fdocuments.net/reader035/viewer/2022081518/55204d7349795902118c6c5c/html5/thumbnails/25.jpg)
© SAP 2008 / Page 25
Thank you! Merci!