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Overview of Dynaflow Solution
- 1. 1
- 4. Private company dual-HQ in Canada (AM) & Netherlands (EMEA)
- 5. Partners in France, India, Thailand and Australia
- 7. To enable global companies to become “Simply in Control” by proactively managing enterprise risks, demonstrating compliance and automating and optimizing business processes.
- 8. Dedicated to provide its clients a fast ROI through a short and structured implementation
- 11. Compliance & Audit Support
- 14. DynaFlow Solution OverviewDynamic KCI & Issues EscalationProcess Optimization & MonitoringDynamic KPI &BI AnalyticsManagementDashboardReportingProcess & Knowledge PublishingBusiness Controls ChecksAutomated Alerts &NotificationsEmployeeProcess DashboardProcess ModelingBusiness Controls DefinitionProcess AutomationModeler andAuditorDashboardBPMFinancial (Oracle, etc)TransactionSystemsERP (SAP, Baan, Mapics, etc)BaseOffice Apps (MS, Email, VPN, etc)
- 15. DynaFlow: Make it EZ...
- 16. AgendaEnterprise Risk Management (ERM/GRC)
- 18. Workflow & Process Automation
- 19. Business Processes & Knowledge ManagementRegulation - The Hot PotatoLoi sur La Sécurité Financière (LSF)Basel-IIJ-SOXSAS-70BilMoGSOXIFRSISO‘Euro-SOX’8th EU DirectiveCode LippensClinger Cohen21 CFR Part 11L262/626FDAHIPAACode Tabaksblat
- 20. GRC : Anti-cyclical MarketThe MarketsScandals = Additional Regulations, Need for Risk Management & GRC Automation
- 21. ComplianceRegulationCorporate & Executive Responsibility & LiabilityFear for Reputation DamageTightened Credit LinesPremium Insurance FeesPolicy InterpretationImplementation CostOverheadAudit Cost
- 22. Enterprise Risk Management (ERM/GRC)The key pains & challenges: Extra burden “on top” of running the company
- 23. Draining resources from critical projects
- 24. Absence of clear and documented guidelines
- 26. Cannot be postponed (scheduled audits)
- 27. Cost (with NO tangible ROI)The proposed approach & resolution:Leverage pre-defined knowledge via libraries
- 28. Avoid multiple partial systems (and integration burden)
- 29. Automate as much as possible tedious and large volume tasksFrom Regulation to ComplianceRegulations ImplementationFrameworkPolicy & ProcedureImplementationEvidenceCollectionBusiness RisksSOXERMCOSO-IICOBIT...Demonstratiopn of ComplianceDemonstratiopn of ComplianceBusiness Controls: Information delivery
- 30. Resource acces and use
- 31. Risk mitigation
- 32. ...Demonstration of ComplianceHIPAABASEL IIEtc.establishdocumenttestPeopleProcessesTechnologyFacilities DataAudit
- 33. DynaFlow simplificationRegulations ImplementationFrameworkPolicy & ProcedureImplementationEvidenceCollectionBusiness RisksBusiness Risk LibrariesSOXCOSO-IICOBIT......Demonstratiopn of ComplianceDemonstratiopn of ComplianceBusiness Controls: Information delivery
- 34. Resource acces and use
- 35. Risk mitigation
- 36. ...Business ControlLibrariesComplianceProgram Mgmt.Web PortalDemonstration of ComplianceHIPAAComplianceChange Mgmt.DocumentMgmt.BASEL IIComplianceIssue Mgmt.AuditTrailEtc.establishdocumenttestCross-ERP Integration&MappingComplianceAccess &SoD Mgmt.eBookGenerationPeopleProcessesTechnologyFacilities DataOperational Risk MonitoringAudit
- 37. GRC/ERM Support at all levelsLevels of GRC modelPolicy
- 38. Enterprise Risk Management (Strategic)
- 40. Consolidated Dashboards (Control Statements)StrategicalProcedures
- 41. Process Risk Analysis (Tactical)
- 42. Process & Internal Control Design & Maintenance
- 43. Review (workflow)ReviewTacticalMonitoring Efficiency of Internal Controls
- 44. Embedded testing & test evidence
- 47. Enterprise Risk Management (Strategic)
- 49. Consolidated Dashboards (Control Statements)WarehouseManagementSales &DistributionManufacturingPurchasingContinuous monitoring as part of normal business process
- 50. Live demo topics ERM13Business Risks & Business Controls Library
- 51. 2,500+ pre-defined Controls, Risks and relationships
- 52. Certified Best Practices / Benchmark
- 53. For all regional & industry specific regulations
- 54. (SOX, Basel-II, L262, FDA, HIPAA, IFSR, ISO, etc…)
- 55. To address all auditing/auditors requirements
- 56. Automated Business Control Execution
- 57. Testing Schedules with automated notification & testing
- 58. Real-time monitoring & alerts for testers and Mgmt
- 59. Evidence Collection & audit trail
- 60. Dynamic Risk and Business Control Monitoring
- 61. Key Performance & Risks Indicators Dashboard (+ mobile)
- 62. Audit Support
- 63. Combination of Solution, Libraries and ServicesEZ-Dashboard KPRI Monitoring14
- 64. Enterprise Risk Management (ERM/GRC)What you gain with DynaFlow:Full-featured GRC/ERM Platform
- 65. One solution for all the global corporate entities
- 66. Cross-ERP Integration (SAP, Oracle, Baan, Mapics, ...)
- 68. Libraries for several regulations (industry & country)
- 69. Pre-defined Business Controls ready-to-go
- 70. Fully automated Business Controls testing
- 72. Internationalized (interface and content)
- 73. Tightly integrated with Workflow AutomationSegregation of Duties (SoD)The key pains & challenges: Now a Critical Business Control for ALL organizations
- 74. Involves large volume of data(i.e. Typical = 200,000+ authorizations in Baan alone)Need to be done across Systems (ERP) and for ALL access types
- 75. Is a recurring process due to constant changesThe proposed approach & resolution:Automation,
- 76. automation
- 77. and automation!Cross-Applications ERM & SoD
- 78. Business Processes & Controls IntegrationCompliance MgmtBusinessRisksSoD MgmtBusinessControlsSoDConflictRulesDocumentsAccess MgmtSoDBusinessConflictsProcessDiagramEmployeesUserRolesApplicationsConflictResolutionDocumentsDocument Mgmt
- 79. EZ-Compliance SoD ScanMapicsCeridian…MapicsHyperionBPCS…Network AccessFacility AccessSecurity Badges…
- 81. Totaling 400+ SoD “zones” to be validated21
- 82. The Baan SoD Rules Library22Introduced in 2005
- 83. Required 2 years initial development, and is updated regularly
- 84. Content and design validated by CFO, Controllers, SOX Senior Consultants, Baan Specialists, etc...
- 85. Covers all Baan versions (Triton, Baan IV, ERP-5, LN)
- 86. Compliant to Baan Tools and DEM authorizations
- 87. Verify 22,000+ Baan session combinations for SoD violations (with violation rating) to validate 400+ SoD sensitive “zones”
- 88. Auditors such as E&Y, KPMG, D&T, PWC, Grant Thornton validated the Baan SoD Rules completeness and accuracy by successful certifying all EZ-Compliance clients to be SoD/SOX compliant.Self-generated matrix with SoD Health indicators23Click to view detailed business functions & conflicts found
- 89. EZ-Compliance Automated SoD Scan SoDLibrarySoDConflict RulesImportEmployeesOracleLDAPEmployee / ApplicationsAccess ListSOX – SoDConflictsList(1)(2)ConflictScanAccessScanRolesResolutionScanSoDResolutionRulesDEM(3)ImportBusinessControlsBusinessProcessesVisioMitigatedConflictsListMitigationControlsImportBusinessRisksCorp-wideApplicationsERP
- 90. Herman Miller metrics and performanceSoDLibrarySoDConflict RulesImportEmployeesOracleLDAPEmployee / ApplicationsAccess ListSOX – SoDConflictsList(1)(2)ConflictScanAccessScanRolesResolutionScanSoDResolutionRulesDEM(3)ImportBusinessControlsBusinessProcessesVisioMitigatedConflictsListMitigationControlsImportBusinessRisksCorp-wideApplicationsERP4,300+6 min15 min21,000+250,000+275+15 minAppr.600325+BaanMapicsHyperionLegacyOracleMaximoSAP14,000+ / 9 systems…
- 92. Cross-systems authorizations (who is accessing what?)
- 94. Detective validation (what accesses constitute risks?)
- 95. Preventive validation (what is the impact if we change …?)
- 97. Automated resolution/mitigation using pattern rules
- 98. SoD Conflicts Monitoring & Alerts
- 99. Self-generated SoD Matrix with dynamic alerts
- 100. Key Performance & Risks Indicators Dashboard (+ mobile)
- 101. -----
- 102. Enterprise Risk Management (ERM)
- 104. Business Controls automated testingThe automated SoD cycleERPImportAutomatedWeeklyorDailyAutomatedSemi-AutomatedAutomatedAutomatedResult: 90%+ reduction of effort & cost
- 105. Segregation of Duties (SoD)What you gain with DynaFlow:Cross-ERP Integration (SAP, Oracle, Baan, Mapics, ...)
- 107. Fully automated Segregation-of-Duties (SoD) Rules
- 108. Pre-Defined SoD Libraries available for Baan, SAP, Oracle, etc...
- 109. In line with external auditors to secure successful certification
- 110. Detective and also Preventative
- 111. Fully automated SoD validation
- 112. 90% reduction on implementation cost & effort
- 113. 50% reduction on auditing cost
- 114. 100% Successful SoD Audit
- 115. Simplified insight in all user authorizationsWorkflow & Process AutomationThe key pains & challenges: Most of the time made complex by IT configurations
- 116. Project lenght & complexity
- 117. Ad Hoc processes requires flexible workflow solutionThe proposed approach & resolution:Use a solution able to be configured and operated by the business owners of the processes to be automated
- 118. Phased-approach by targeted processes
- 119. Integrated with task documentation and application invocationWorkflow & Process AutomationTotal-GRC
- 120. eFormsEZ-Workflow ComponentsBusinessProcessDefinition(Process Model)ERPBusinessTransactionData(WF instance)Flow ControlEngineWorkflowRules &DeadlineDefinitionUsers &Work teamsDefinition(Organization Model)
- 121. 32BusinessApplications…Workflow RoutesWF Users/TeamsManagersExecutorsAuditorsWF ManagementEvent History& MonitoringEZ-Workflow Execution (1)WorkFlowEngineStep1Step2End
- 122. Transaction DataBusinessApplications…Task NotificationUserTask CompletionWork/RoleTeamTask NotificationWorkflowManagerTask Escalation33Workflow RoutesWF Users/TeamsManagersExecutorsAuditorsException ResolutionWF ManagementEvent History& MonitoringCompletionNotificationEZ-Workflow Execution (2)Step1WorkFlowEngineStep2EndProcess Owner
- 123. Business/ERP/Office ApplicationTask NotificationUserApproval/CompletionApproval/CompletionWork/RoleTeamTask NotificationEmail PO to VendorEZ-Workflow Execution (3)InitiationData IntegrationProcess ExecutionStep1WorkFlowEngineTransaction Data (Baan PO): Vendor Name, Address Items, Quantity, Cost Etc…Transaction Meta Data: > Attributes: Vendor Email to use to T&C form to use etc…Step2 > Documents & Links: Specifications Sheet Business Justification docTransaction Meta Data: > Attributes: Approver Signature Company Logo Etc …EndNotify Requester
- 124. EZ-Workflow Notification ModesTo Management:Monitor tasks execution
- 125. Receive Overdue alerts
- 126. Monitor KPIs and drill-down
- 127. Resolve escalations
- 128. Perform Ad Hoc re-routingE-mailSMSOfficePDAReal-time AlertsRemoteLocationsBusinessPartnersPagerTask NotificationsTo Executors:Inquire transaction details
- 129. Collaborate with others
- 130. Perform tasks
- 131. Monitor my transactions
- 132. View workflow historyPCNotebook
- 133. Workflow & Process AutomationWhat you gain with DynaFlow:Comprehensive Production & Ad-Hoc Workflow features
- 134. Rapid implementation capability (Less than 8 weeks)
- 135. Open architecture compliant to all ERPs (in addition to be compliant to Baan DEM)
- 136. Low cost of ownership made possible by the unlimited users licensing
- 137. Fully integrated with BPM, KM and ERM/GRC 37EZ-Workflow Benefits Summary ChartBenefitsManual approvalWith EZ-WorkflowBenefits:Quality / Speed / Cost
- 138. Business Process Mgmt (BPM/DEM)The key pains & challenges: Most of the time an isolated project
- 139. Integration of different BPM components difficult
- 140. Knowledge is not easily accessible
- 141. Not able to leverage investmentThe proposed approach & resolution:Leverage the BPM investment to deliver a comprehensive Knowledge Mgmt framework to ALL employees
- 142. Integrate Process deployment with ERP invocation
- 143. Intranet/Extranet deployment through only a browserBusiness Process & Control IntegrationCompliance MgmtBusinessRisksSoD MgmtBusinessControlsSoDConflictRulesDocumentsAccess MgmtSoDBusinessConflictsProcessDiagramEmployeesUserRolesApplicationsConflictResolutionDocumentsDocument Mgmt
- 144. Live demo topics40Access/Authorization Mgmt
- 145. Cross-systems authorizations (who is accessing what?)
- 147. Detective validation (what accesses constitute risks?)
- 148. Preventive validation (what is the impact if we change …?)
- 150. Automated resolution/mitigation using pattern rules
- 151. SoD Conflicts Monitoring & Alerts
- 152. Self-generated SoD Matrix with dynamic alerts
- 153. Key Performance & Risks Indicators Dashboard (+ mobile)
- 154. -----
- 155. Enterprise Risk Management (ERM)
- 157. Business Controls automated testingIntegrates all BPM/ERM/WF disciplines
- 158. Business Process Mgmt (BPM/DEM)What you gain with DynaFlow:Ability to secure DEM investment when going to SAP
- 159. Process Knowledge deployed to unlimited Intranet employees and Extranet associates
- 160. Ability to invoke applications from web-enabled processes
- 161. Ability to merge into one single framework different process documentation formatsEnterprise Risk Management (ERM/GRC)Customer / Project Profile:World-wide provider of innovative tools and services to the clinical diagnostics and life science research markets
- 162. Serves 85,000+ research and industry customers worldwide
- 163. Founded in 1952, HQ in California
- 164. 6700 employees
- 165. $1.5 billion USD in 2007
- 166. External Auditors: Deloitte & Touche“In only 4 days, not only was EZ-Compliance installed and the training completed, all our Baan authorizations (>120,000 records) were loaded and scanned, resulting in the immediate identification of our SoD conflicts. A real eyes opener for us! In addition, several hundreds of our Bio-Rad Business Controls and Conflict Rules were also loaded within the same 4 days!... Impressive“ (Head of Internal Audit, Bio-Rad)
- 167. Workflow & Process AutomationCustomer / Project Profile: Leading provider of consumer-focused IT and communications solutions for the global marketplace.
- 168. Provider of hardware/software solutions and services for retail point of sale, specialized mobile computing and Web-enabled ATM/Kiosk applications. “The cost of ownership of EZ-Workflow was also significantly lower than other Workflow solutions that were investigated. This was made possible (a) through its rapid implementation capability, (b) the fact that the turn-key pricing approach offered by DynaFlow included the onsite installation & configuration, and (c) EZ-Workflow allows unlimited users to collaborate without extra cost to Fujitsu”.Purchasing Manager, Fujitsu FTXS
- 169. Business Process Mgmt (BPM/DEM)Customer / Project Profile:Market leader in design, manufacturing and distribution of furnishings, office furniture systems and related services
- 170. 4300 employees (HQ in Zeeland, MI)
- 171. Distributors in 40 countries worldwide
- 172. Baan IVc user
- 174. External Auditors: E&Y“We now have an enterprise-wide process documentation tool that we use to integrate DEM process definition, ISO instructions and training manuals, thus enabling Herman Miller to develop and deploy effectively process improvements across the organization. In addition, EZ-Publisher has enabled us to further expand our use of Baan DEM by documenting business processes for non-Baan departments/users.”Process Mgmt Manager, Herman Miller
- 175. Comcast Cable(www.comcast.com)Customer / Project Profile:Largest US broadband cable provider59,000 employees (Comcast Corporation)3.7 million customers (Atlantic Division only)“Our initial estimates showed that our traditional approval cycle time of 2-3 weeks would be significantly scaled down to a few days, and urgent approvals can be processed within a day. Not only has the removal of our paper-driven approval process achieved this key business objective, but the electronic approval made possible by EZ-Workflow also translated to important savings by eliminating daily inter-office couriers. Finally, capital expenditure initiators, buyers and management are able to track on a real-time basis the status and evolution of the approval process”.“The implementation of EZ-Workflow has proven to be a wise decision for the Atlantic Division of Comcast Cable, as all targeted operational objectives associated with our capital expenditure approval process are being met.”.(Steve Hughes, Sr. Director of Resource Management)
- 176. Segregation of Duties (SoD)Customer / Project Profile:Olympus Winter & Ibe stands for innovative products in medical technology since its foundation in 1954. Their endoscope systems are recognized and esteemed throughout the world.
- 177. 3,200 employees
- 178. Revenue: $5.6b USD (2007)
- 179. Baan IV user
- 180. External Auditors: KPMG“We have selected EZ-Compliance because it is the only business solution available able to scan Baan authorizations and identify all related J-SOX Segregation of Duties (SoD) conflicts within the first day of implementation. Its ability to automate this scan daily/weekly without human intervention will not only help us secure our J-SOX audit certification, it will eliminate tedious manual effort and save Olympus significant SoD monitoring and J-SOX audit cost".(Head of IT, Olympus Winter & Ibe GmbH)
- 181. Customer / Project Profile:Largest provider of stored energy solutions for industrial applications in the world
- 182. 7,800 employees / 21 manufacturing and distribution facilities
- 183. Over 10,000 customers worldwide
- 185. Baan IV user
- 186. External Auditors: E&Y“We reduced our SoD validation time & effort by 90%, and increased user authorizations and SoD data accuracy by 100% compared with the manual approach of before”,“Without EZ-Compliance, we believe that passing our SOX/SoD audit would have been difficult, time consuming and not humanly possible in the time allotted”(Manager Business Applications, EnerSys)
- 187. Customer / Project Profile:Zebra Technologies delivers innovative and reliable specialty digital printing solutions for business improvement and security applications in 100 countries around the world.
- 188. 2,200 employees
- 190. Baan IV & Oracle user
- 191. External Auditors: E&Y“Significant time and effort was required to review and streamline the authorizations we give to our employees globally. We appreciate greatly the ability of EZ-Compliance to enable visibility of our authorizations via a simple to use Portal and to fully automate the tedious manual work to monitor current and new SoD conflicts. A true time and cost saving for us”. (Senior Internal Auditor for Zebra, Zebra Technologies)
- 192. Customer / Project Profile:Global in vitro diagnostics company specializing in the area of pre-transfusion diagnostics
- 193. Headquartered in Atlanta Georgia, USA
- 194. 610 employees
- 195. Revenue of $282M USD in 2008
- 196. External Auditors: Grant Thornton“Unlike many software solutions that usually leave me with a mixed feeling when assessing them, EZ-Compliance stood out as one that delivers impressive results with limited setup. The ability to scan in only minutes thousands of authorizations records, from Baan or other corporate applications across several Immucor business units, enables us to perform the SoD scan as often as desired. It is clear for us at Immucor that EZ-Compliance will save us time”. (Project Manager & Certified Six Sigma Black Belt, Immucor)
- 197. Customer / Project Profile:Founded in the Netherlands in 1979., HYVA is committed to the development, production, marketing and distribution of components for the commercial vehicle industry.
- 198. 1,000 employees
- 200. Baan ERP-5 & LN user“For HYVA, the SaaS lease model enables a flexible subscription with limited upfront investment while maximizing business value from day one. We confirmed our EZ-Compliance selection to DynaFlow and a few days later, we received the login info to connect to the EZ-Compliance SaaS server for us to directly start investigating and resolving the SoD conflicts identified. Exactly the efficiency we were looking for.” (Business Process Analyst, HYVA)
- 201. Customer / Project Profile:Manufacturer of ductile iron pressure pipe for potable water transmission and wastewater collection
- 202. Part of Amsted Industries
- 203. 9,200 employees
- 204. Revenue of $2.8bn in 2007.
- 205. External Auditors: PWC“The definition of the approval routes, the configuration of the routing rules and the training of the end-users (all able to be done by non-IT personnel) took less time than anticipated. This was made possible because approval patterns and related user notifications can be defined, changed or implemented in production within only minutes” (Purchasing Manager, Griffin Pipe)
Editor's Notes
- #11: People—Training, culture, awareness, and staff to accomplish business processes Application systems—Automated and manual procedures including systems and processes Technology—Operating systems, networks, hardware, software, database management systems, imaging, and printing systems Facilities—The physical operating environment consisting of buildings, supporting electrical and climate controls, and related safety and health equipment and structures Data—Electronic information and paper documents as stored and managed by the organization
- #12: People—Training, culture, awareness, and staff to accomplish business processes Application systems—Automated and manual procedures including systems and processes Technology—Operating systems, networks, hardware, software, database management systems, imaging, and printing systems Facilities—The physical operating environment consisting of buildings, supporting electrical and climate controls, and related safety and health equipment and structures Data—Electronic information and paper documents as stored and managed by the organization