1 icetools – Process Management © Copyright CSP Group, Inc., 2005. All rights reserved. ™...

1icetools – Process Management

© Copyright CSP Group, Inc., 2005. All rights reserved.

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Information Management and IT Compliance

User Forum 2005

Presented to:



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Introductions

Computer Software Alliance, Inc. (CSA) is a national provider of technology services and business computing solutions directly to small, medium and enterprise class customers throughout the USA.



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Strategic Business AlliancesOur strategic alliances with trusted and reliable partners help CSA deliver the comprehensive solutions that our customers demand.



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Content

• Information Management and IT Compliance

• Structured Process Management Standards

• Automated Tools for Supporting Regulatory Documentation and Process Management

• Questions & Answers



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Information Management and IT Compliance



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Sarbanes-Oxley

The Sarbanes-Oxley Act of 2002 is the reform of public company accounting and investor protection guidelines imposed by the SEC. These rules require officers to certify that they are responsible for establishing, maintaining, and regularly evaluating the effectiveness of the issuer's internal controls and processes.



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COBIT and IT Governance

COBIT provides best practices for the management of IT processes. Developed by The Information Systems Audit and Control Foundation, IT Governance Institute and sponsoring organizations, the internationally accepted set of information technology control objectives support enterprise risk management of IT and associated processes.



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COBIT and Sarbanes-Oxley

The IT Governance Institute has combined COSO standards with the IT control standards to support Section 404 of SOX which requires the management of public companies to assess the effectiveness of the organization’s internal control over financial reporting and annually report the result of that assessment.



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A Business Process

A group of related activities that produce required business outputs...

• Designing a product• Processing general ledger• Producing financial reports• Manage Data• Acquire Technology



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Companies are structured in functional divisions. Key Processes tend to flow across division lines, causing ineffective management of the process.

Vice PresidentEngineering

V ice PresidentM anufacturing

V ice PresidentM arketing

V ice PresidentOperations

V ice PresidentFinance

President/C EOABC C o.

Produce New Product

Process Product Orders

Who is Responsible for the Processand where does it begin and end?



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Business Process Management

Process Management is the on-going documentation and support of business procedures. When processes change due to the implementation of new products, corporate initiatives, or government regulations, an organization must understand the impact to their underlying activities. Those that maintain up-to-date process documentation and models will not only be prepared to comply with regulatory requirements, they will be able to react to change more effectively.



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Organizations ability to maintain Compliance Documentation

• Was the first time viewed as just get it done?• Will any of this year’s documentation be

maintained for future reporting periods?• What does process and controls

documentation for SOX mean?• What method or approach to use?• Is there an easy way to Implement Process

Management?• The on-going challenge …



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Benefits of a Structured Process Management Program for all Activities

• Strategic Planning

• Requirements forProcess DrivenImprovement Projects

• System Conversions / Integrations

• Compliance Requirements

Vision

Mission

Goals

Objectives

Strategies

Employee Support

= SUCCESS



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What are the Keys?

• Understand your core processes, not just those that effect your financials

• Leverage the subject matter experts knowledge of the business and technology

• Build a reusable repository of business activities and controls

• Maintain the documentation for all types of process driven initiatives



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STRUCTURED PROCESS MANAGEMENT

STANDARDS(IDEF0/SADT) Process

Subprocess

Activities



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IDEF0. . . the methodology that gives standards to Process Management

IDEF0 and its predecessor SADT are the most complete and fully tested system of methods for the description and design of complex systems and enterprise processes.

SADT - (Structured Analysis and Design Technique)IDEF - (Information DEFinition Language)

• IDEF0 - used to document processes• IDEF1X - used to document information needs • IDEF3 - used to document workflow



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IDEF0 . . . the methodology• Has been used in the United States, Australia, Japan,

and Europe for 30 years• IDEF0 evolved as a subset of SADT for use by the

ICAM (Integrated Computer-Aided Manufacturing) Department of the Air Force for the aerospace program.

• The IDEF0 system of methods provides standards for:– Information acquisition and structuring– Documentation– Consensus building– Model creation, maintenance and change control



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Arrows/ICOMs I = Input: resources consumed in the processC= Control: a constraint on the

operation of the processO= Output: something resulting from

the processM= Mechanism: something that performs the

process, but is not consumed

A Business Process Model (IDEF0)

Controls

Inputs Outputs

Mechanisms

Processor

Activity

A graphical and natural language representation of the interaction of business processes and the resources needed to produce outputs.



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• Activity Node Tree -each node represents a level of work andeach line depicts a decomposition relationship

• Context -defines the subject/processbeing modeled and itsrelationship to the enterprise

• Decomposition -shows the details of the parent diagram

IDEF0 DiagramsProcess

Subprocess

Activities



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IDEF0 Documentation

• Activity name and definition - activities are named with a Verb + Noun phrase and should be further defined to fully explain each activity.

• Purpose - defines the objective to maintain focus and should include: Why the process is being modeled?

What the model will show?What readers of the model can expect?

• Viewpoint - the activity model must be from a single, specific viewpoint, usually a job title (i.e. manager, clerk).

• Scope - defines the breadth and depth of the model and will determine the level of decomposition.



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Automated Tools for Supporting Regulatory Documentation and

Process Management



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Compliance Tools Must Provide

• Templates for the process and control structure

• A repository for documentation

• Links to business modeling tools

Microsoft VisioProcess Views

CA’s AllFusionProcess Modeler

Integration withIndustry Leading

Process Modelers

icetoolsProcess

Repository

ODBC Compliant Process Object

Repository

Integrated Process Management tools for

Microsoft Word



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Audience

Product

Process

Owner

Business

Analyst

Systems

Analyst

SOX

Analyst

icetools – Process Manager

icetools – Process Modeler

icetools – Repository



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Develop a WBS Document with the icetools – Process Manager

Activity WBS (Work Breakdown Structure) Document Process and Activity Details

Create a New Decomposition Insert Descriptions into the Process Decomposition Insert Process Details

Add ICOMs (Inputs, Controls, Outputs, Mechanisms) Provide the Source of the Activity Apply Unit Costs Add the Cost Center Determine the Frequency of the Activity Calculate the Duration of the Activity

Proof the Process Decomposition Export to Repository Update Document Properties Export to Modeling Tools

Maintain Process Decompositions

Process decompositions show the hierarchical parent-child breakdown of activities without showing their interrelationships (flow).



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Diagram the Business ActivitiesThe icetools – Process Modeler provides custom views of process details from the Process Repository to be used in the creation of Flowcharts and Business Diagrams. The add-in to Microsoft Visio allows for rapid creation of process and dataflow diagrams without retyping the details.

The Process View displays the outline of activities to be automatically loaded into the process/activity shapes in the model. The ICOM View displays the Inputs, Controls, Outputs, and Mechanisms to be automatically loaded to the connectors/arrows on the diagram.

Export To Modeling Tools from the icetools – Process Manager converts the process breakdown into text files for use in Computer Associates’ AllFusion Process Modeler.

Support for BPwin



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Analyze the Controls by Systemand Process in the Repository

• Update DocumentDetails

• Preview ICOMS byActivity

• Review Controls byActivity

• Identify Activitieswithout Controls for regulatory compliance



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Preview theicetools – Process Management

Toolkit



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Conclusion

By managing information according to its significance, and by protecting the accuracy, integrity, confidentiality, and reliability of their information assets, organizations can meet their compliance requirements as well as realize significant business benefits. Managing information properly might be a regulatory requirement, but it is also critical to business success.



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Computer Software Alliance, Inc.9212 Cliffmere

Dallas, TX 75238

(866)272-5351

www.csatech.net

© Copyright CSP Group, Inc., 2005. All rights reserved. Other product names are trademarks of their respective holders.

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