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SAP Security and Controls

Use of Security Compliance Tools to Detect and Prevent Security and

Controls Violations

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Agenda

• Increased Focus on Security & Controls• SAP R/3 Security Risks & Controls• Security Management• Security Compliance Tools• Questions

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Increased Focus on Security and Controls

• Fraud (Barings Bank,WorldCom, Enron,...)• Security Breaches (UCs, BC, Stanford...)• Regulatory Compliance

• Sarbanes-Oxley (SOX)• Family Educational Rights and Privacy Act

(FERPA)• Gramm-Leach-Bliley Act (GLBA)• Health Insurance Portability and Accountability

Act (HIPAA)

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Security Risks• Access Control

• Do some users have too much access?• Sufficient access restrictions to private

information?

• Segregation of Duties (SoD)

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Security Compliance Tools – Internal Controls

• “Internal Controls are processes designed by management to provide reasonable assurance that the Institute will achieve its objectives” (From MIT’s Guidelines For Financial Review and Control)

• Cost of implementing control should not exceed the expected benefit of the control

• “Security is a process not a product”

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Security Compliance Tools

Who has access to sensitive transactions?

Are there any SoD violations?

• Real-Time Monitoring• Remove access or assign mitigating controls• Reduce time and effort when providing

information to auditors• Used during implementation of new modules

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SoD Rules Matrix• Predefined SoD Rule Set

• Can Add Custom Transactions to Rule Set

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Virsa-Compliance Calibrator

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Virsa-Compliance Calibrator

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Virsa-Compliance Calibrator

• Resolve SoD Issues

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Security Compliance Software Vendors

• Virsa• Approva• Oversight Systems• Big 4 (E&Y, PwC, KPMG, Deloitte)

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Benefits of Security Compliance Tools - Summary

• Run with SAP R/3• Automate SoD analysis• Automate monitoring of critical

transactions• Quick assessment of authorization

compliance for business users, auditors, and IT security staff

• Used during development/project efforts• Avoid manual analysis and false positives

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Questions