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Increasing Internal Controls with Applimation Integra. Applimation Overview. Founded in 1998 230+ customers worldwide Headquartered in New York City Offices throughout North America and Europe

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applimation overview
Applimation Overview
  • Founded in 1998
  • 230+ customers worldwide
  • Headquartered in New York City
  • Offices throughout North America and Europe
  • Software solutions that manage data growth and ensure integrity throughout the application lifecycle
applimation lifecycle management
Applimation Lifecycle Management

Informia

Integra

Informia Archive

Informia Subset

Informia Reorg

Integra Transaction

Integra Access

Integra Apps

Integra Codebase

continuous monitoring in oracle applications6

ContinuousMonitoring

Key Controls& Transactions

Continuous Monitoring in Oracle Applications

transactions

Oracle Applications

environment

Integra Transaction

APPLIMATIONINTEGRA

security

Integra Access

setups

Integra Apps

code

Integra Codebase

sarbanes oxley cycles
Sarbanes-Oxley Cycles

Document Risks & Controls

Oracle ICM

(Repository of Controls)

Integra

(Continuous Monitoring)

Monitor

Changes & Test Controls

accounting systems

Income Statement

BalanceSheet

G/L

AP

AR

FA

INV

OM

Etc…

Accounting Systems
difficult questions to answer
Difficult Questions to Answer
  • How do you know key controls are operating effectively throughout year?
  • Can you report on ALL changes to key controls?
  • How do you search for segregation of duties or evaluate user access?
  • How do you know controls are same for each business unit?
  • How do you document key controls within systems?
integra apps codebase
Integra Apps

Automated Documentation

Setups and Configurations

Comparisons

Across Multiple Instances

Across Sets of Books and Operating Units

Across Multiple Versions

Change Tracking

Monitoring and Reporting

Data Migration (setups)

Integra Codebase

Automated Documentation

Forms, Reports and Code

Comparisons/Impact Analysis

Across Multiple Instances

Across Multiple Versions

Change Tracking

Monitoring and Reporting

Version Control

Code Promotion

Integra Apps & Codebase
examples of setup

Setup Data

Operational Data

Application Security

Document Approvals

Chart of Accounts

Profile Options

Users

Application Setups

MRP rules

Customers

Suppliers

Employees

Buyers

Items

Chart of Account Values

Category Codes

Examples of Setup
example of system controls
Example of System Controls
  • 3 way matching of PO, Invoice and Receipt
  • Document spending limits (authorization of PO)
  • Security rules/access to sensitive transactions
    • employee salaries
    • chart of account values
    • financial statement reports (FSG’s)
    • price lists
    • inventory attributes
  • Action for late delivery of goods
  • Inventory stocking rules
  • Rules to create tax on sales orders
  • Depreciation methods
examples of code

Files

Database Objects

Forms

Reports

Menus

Libraries

PL/SQL

Etc.

Schemas

Indexes

Grants

Db Links

Functions

Packages

Examples of Code
who is responsible for setup
System Administrators

Implementation Consultants

Super Users

Who is Responsible for Setup?

Maintenance across all

applications and overall

environment

Initial applications setup

Maintenance of specific

business applications

setups change more than you think
Setups Change More Than You Think
  • Intentional
    • Operational Changes
    • Growth of Company
    • Business Requirement Changes
    • New Functionality Introduced by Upgrades
  • Unintentional
    • Unknown Consequences
    • User Error
    • Unexpected Changes Caused by Patches
automated documentation snapshot
Automated Documentation: Snapshot
  • Point-in-time picture
  • Run on demand or scheduled
automated change tracking
Integra Apps - Change Tracking

Who?

What?

When?

Where?

Automated Change Tracking

Automatically captures a complete historical audit trail. Details of EVERY change.

change tracking
Change Tracking

When?

Where?

What?

Who?

data migration

Edit

Data

File

Source

Database

Extract w/

FNDLOAD

Load w/

FNDLOAD

Extract and Load w/FNDLOAD

Target

Database

Data Migration
  • Utilizes FNDLOAD – 100% supported by Oracle
  • Automatically extracts/loads setups
  • Optionally edit/modify data
  • Select one row or many
data migration road map
Data Migration Road Map
  • Release I Sep 1st
    • System Administration
  • Release II Sep 30th
    • GL, AP, AR
  • Release III Dec 30th
    • PO, INV, BOM, OM

Available for 11.5.7 and higher

data migration road map26
System Administration Module

Attachments

Concurrent Programs

Custom Messages

Descriptive Flexfields

Flexfield Value Hierarchy (Rollup Groups)

Flexfield Value Security Rules

Forms

Functions

Key Flexfields

Data Migration Road Map
  • Lookup Types and Values
  • Menus
  • Profile Options and Values
  • Request Groups
  • Request Set
  • Responsibilities
  • Users
  • Value Set Values
  • Value Sets
examples of code28

Files

Database Objects

Forms

Reports

Menus

Libraries

PL/SQL

Etc.

Schemas

Indexes

Grants

Db Links

Functions

Packages

Examples of Code
documentation
Documentation

Automated Code Documentation

dependency impact analysis
Dependency/Impact Analysis

Stored Procedure searches where you can see blocks of code instead of a single line of code.

See potential impact of scheduled code changes before you make them.

continuous monitoring maintain versions
Continuous Monitoring - Maintain Versions

Automated environment monitoring

Schedule code promotion

Formal check-in/check-out

integra access

Integra Access

  • Evaluate User Access
  • Search for Segregation of Duties Issues
integra access34

Responsibility

Menu

Function

Form

Integra Access

User

  • Evaluate User Access
  • Search by User
  • Search by Form/Function
  • Search for Segregation of Duties
  • Identify incompatible Functions & Forms
integra transaction

Integra Transaction

  • Monitor transactions for anomalies
    • Identify thresholds
    • Alert notifications
continuous monitoring in oracle applications39

Continuously

Monitored

Key Controls

&

Transactions

Continuous Monitoring in Oracle Applications

transactions

Oracle Applications

environment

Integra Transaction

APPLIMATIONINTEGRA

security

Integra Access

setups

Integra Apps

code

Integra Codebase

for more information

www.applimation.com

Mark Nelson

Applimation, Inc.

Phone: (212) 560-7878

E-mail: mnelson@applimation.com

For More Information
slide41

High Efficiency

  • Reliance oncontinual monitoring& review of periodic testing
  • Use of dashboard for key indicators and controls
  • Reliance on certifications & acknowledgements
  • Management Time Commitment: Moderate

Change Tracking

Comparisons

  • Medium Efficiency
  • Some manual testing required for key activities
  • Some reliance on monitoring
  • Reliance on certifications & acknowledgements
  • Management Time Commitment: Significant

Efficiency

Snapshots

  • Low Efficiency
  • Substantialmanual efforts
  • Testing & validation required of activities
  • Management time commitment: Substantial

Internal Controls Maturity

  • Unreliable
  • Unpredictable environment where controlsare not designed or in place
  • Informal
  • Controls are designed and in place butare not adequately documented
  • Standardized
  • Controls are designed, in place, andare adequately documented
  • Monitored
  • Standardized controls withperiodic testingfor effective design and operation with reporting to management
  • Optimized
  • Integrated internal controls withreal-time monitoringby management and continuous improvement

Source: PriceWaterhouseCoopers white paper

on Sarbanes-Oxley Act of 2002

architecture
Architecture

Test

(11i)

Dev

(10.7)

Prod 1

(11)

Prod 2

(10.7)

Applimation

Home

Snapshots &

Comparisons

architecture43

Integra Apps

Integra Apps

Integra Apps

Integra Apps

SetupChanges

Architecture

Test

(11i)

Dev

(10.7)

Prod 1

(11.0.3)

Prod 2

(10.7)

Applimation

Home

Snapshots &

Comparisons