1. www.softlanding.com The Software Management Experts How to Achieve SOX Compliance Faster Presented by Laurie LeBlanc SoftLanding Systems

2. www.softlanding.com The Software Management Experts Agenda SOX : Opportunity or Burden? IT Control Framework Software Tools –Change Management –Testing –Security Q & A

3. www.softlanding.com The Software Management Experts Opportunity or Burden? The Sarbanes - Oxley Act of 2002

4. www.softlanding.com The Software Management Experts 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 also attest to the accuracy of these assertions

5. www.softlanding.com 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

6. www.softlanding.com The Software Management Experts Where Do I Begin?

7. www.softlanding.com The Software Management Experts COBIT, How Software Products Apply

8. www.softlanding.com 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

9. www.softlanding.com 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

10. www.softlanding.com 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

11. www.softlanding.com The Software Management Experts SLS Tools and COBIT Objectives

12. www.softlanding.com The Software Management Experts TurnOver Change Management

13. www.softlanding.com The Software Management Experts Reports

14. www.softlanding.com 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

15. www.softlanding.com The Software Management Experts TurnOver Change Management Repeatable process plus: Approval enforcement Authorities by application & development level Change history Standardized controls

16. www.softlanding.com The Software Management Experts TurnOver Workflow COBIT Section A14 – Develop & Maintain Procedures

17. www.softlanding.com The Software Management Experts Issue Tracking COBIT Section DS10 – Manage Problems and Incidents

18. www.softlanding.com The Software Management Experts Issue Tracking

19. www.softlanding.com The Software Management Experts Issue Tracking

20. www.softlanding.com The Software Management Experts Project Management COBIT Section PO10 – Manage Projects

21. www.softlanding.com The Software Management Experts Project Management Repeatable workflow & authorities: Save time Increase control Improve predictability

22. www.softlanding.com The Software Management Experts Project Management

23. www.softlanding.com The Software Management Experts Project Management

24. www.softlanding.com The Software Management Experts Development COBIT Sections A16 & DS9 – Manage Changes – Manage the Configuration

25. www.softlanding.com The Software Management Experts Development

26. www.softlanding.com The Software Management Experts Development

27. www.softlanding.com The Software Management Experts Development

28. www.softlanding.com 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

29. www.softlanding.com The Software Management Experts Test & Deploy C OBIT Section A15 – Install & Accredit System

30. www.softlanding.com 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

31. www.softlanding.com The Software Management Experts Test & Deploy

32. www.softlanding.com The Software Management Experts Production C OBIT Objectives A15.12 & A16.8 – Promotion to Production – Distribution of Software

33. www.softlanding.com The Software Management Experts Production

34. www.softlanding.com The Software Management Experts Production

35. www.softlanding.com The Software Management Experts Summary

36. www.softlanding.com The Software Management Experts Testing Tools and COBIT Objectives

37. www.softlanding.com The Software Management Experts TestBench COBIT Sections A15 and PO10 - Install/Accredit Systems - Manage Projects

38. www.softlanding.com The Software Management Experts TestBench COBIT Objective A15.7 – Testing of Changes COBIT Objective A15.11 – Operational Test

39. www.softlanding.com The Software Management Experts TestBench COBIT Objectives: A12.15, A13.4, A15.6, 15.8 PO10.8-9, PO10.11

40. www.softlanding.com The Software Management Experts TestBench COBIT Objective A15.9 – Final Acceptance Test

41. www.softlanding.com The Software Management Experts SLS Tools and COBIT Objectives

42. www.softlanding.com The Software Management Experts Security Tools COBIT Section DS5 – Ensure Systems Security

43. www.softlanding.com The Software Management Experts PowerLock NetworkSecurity Covers COBIT Objectives: DS5.2, DS5.3, DS5.7, DS5.10 and DS5.11

44. www.softlanding.com The Software Management Experts Covers COBIT Objectives: DS5.1, DS5.2, DS5.4, DS5.5, DS5.9, DS5.10 PowerLock SecurityAudit

45. www.softlanding.com The Software Management Experts VISUAL Security Covers COBIT Objectives: DS5.6, DS5.7, DS5.10 and DS5.11

46. www.softlanding.com The Software Management Experts SoftMenu Covers COBIT Objectives: DS5.3, DS5.4, DS5.5 and DS5.9

47. www.softlanding.com 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.

48. www.softlanding.com The Software Management Experts 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