Profiling for SAP® Compliance Management Access Control and Segregation of Duties Understand, Optimize and Control your Business and IT Understand Optimize Control

Agenda Page  2 Access Management and Segregation of Duties Project Support for SAP Blueprints 1 2 3 Optimization of Authorizations Profiling for SAP supporting Security Compliance for SAP® Profiling for SAP® Application 4

Profiling for SAP for Compliance and Access Control Page  3 “Profiling your SAP® Solution delivers our Clients all needed insights to understand, optimize and control their Business and complex SAP® Landscapes.” Heinz-Jürgen Scherer, CEO TransWare AG Understand Optimize Control

Profiling for SAP® featuring SAP Compliance Management Page  4 TransWare’s reengineering and optimization solution for SAP®, compliance and performance assessment and process analysis on any SAP® system or SAP® Industry Solution highlights process risks in a system review and will lead to minimized project times with corresponding cost reduction. The solution reveals the quality of the implementation by analyzing transaction logs, document types, user authorizations with roles and profiles, SAP® HR info types, SAP® customizing and object modifications and other configuration items. It shows the overall picture of customizing and utilization of the current SAP® system with business related KPIs. Complex ERP systems are potentially susceptible to segregation of duties (SoD) issues. By means of Profiling for SAP®, the desired responsibilities of SAP® users can be counterchecked against the real usage of SAP®. Reporting of the results can be done per job role, so you know what each role entails in terms of process activities, SAP® business blueprint process steps, SAP® roles and transactions. Technical, Functional and Processual Analysis and Optimization of SAP

Access Control and Segregation of Duty To-Be Transition Optimize Landscape As-Is Landscape Profiling for SAP® smartly supports the Transition Phase from As-Is into an optimized SAP® Landscape Page  5 Technical Analysis Functional Analysis Processual Analysis Business Reengineering  Understand Process Management  Optimize Compliance Management  Control ASAP Project Methodology Run SAP Process IT Support Run SAP Process IT Support Profiling for SAP® Compliance Management is based on the technical, functional and processual analysis tool components. Profiling for SAP® Compliance Management

access Management and Segregation of Duties Introduction of an cost efficient compliance management Page  6

Increased Focus on Security and Control Page  7 Corporate scandals and fraud (Enron, Barings Bank, WorldCom, ...) Security breaches (UCs, BC, Stanford, ...) Regulatory Compliance Sarbanes-Oxley (SOX, EuroSOX) Family Educational Rights and Privacy Act (FERPA) Federal Information Security Management Act of 2002 (FISMA) Gramm-Leach-Bliley Act (GLBA) Health Insurance Portability and Accountability Act (HIPAA) Joint Commission (TJC)

Security Risks, Security Compliance and Internal Controls Page  8 Access Control Do some users have too much access? Sufficient access restrictions to private information? Control for Segregation of Duties (SoD) Every time a user is added ensure his rights are not in conflict with SoD risk rules A user's profile is amended and the change must not cause any SoD conflict Review of the company SoD requirements on a periodic base “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) Who has access to sensitive transactions? Are there any SoD violations?

Profiling for SAP® Compliance Management Page  9 Reduce time and efforts when providing ongoing information to internal and external auditors Remove access or assign mitigating controls Used during implementation of new SAP modules and processes or optimizing SAP systems Monitoring transaction and data access based on SAP background job for 24/7 security and compliance control Optionally runs on central SAP Solution Manager to manage complex SAP landscapes as a non-invasive solution Web based BI solution based on a Business Warehouse for Compliance Management A Software Solution for SAP Project and Compliance Process Support

Profiling for SAP® Compliance Application Page  10 Useful during all phases of the deployment lifecycle Design – Identify roles, build composite roles based upon team requirements Implementation – Test and verify SoD compliance of roles Production – Ensure compliance of existing users and roles Tight integration within SAP to manage complex SAP Landscapes and to leverage SAP standards Applicable to SAP’s ERP, CRM, SCM and other ECC-based products Web based product, non-invasive, non-deployment solution regarding SAP production systems A solution for compliance management based on standard software Profiling is a configurable custom application with integration into SAP that ensures all user’s authorizations are compliant with the company’s compliance rules

Set of Risk Rules based on SoD conflicts and critical actions Page  11 Set of Risk Rules for different business domains like FI-GL, MM, SAP Basis, CRM or etc. Define SoD rules and critical actions and add standard or custom transactions to the rule set Define rules on Functional, Transactional or the most detailed Authorization-Object level Define critical rules with high financial risks or potential security risks Modify predefined configuration with a set of rules for SoD best practice Risk Rules Set SoD Rule Critical Actions Function and Transaction Author.- Object Function Transaction Author.- Object Function Transaction Author.- Object

Procedure for the Definition of SoD Risk Rules on a Functional Level Page  12 Define SoD Functions (logical group of tasks) Example: Function A: – Process Sales Order Function B: – Maintain credits master data Assign Transactions to SoD Function Example: Function A – V-01, VA01, VA02, … Function B – FD24, FD32, FD37, … 3. Define and Characterize the SoD Functions with Risk Rules Define a conflict: Function A & Group B Characterize the conflict with financial risk indicators: High, Medium, Low Exclude Rules from predefined configuration as N/A for your organization with a description Define Functions Assign Transactions Define Conflicts and Risks

Examples for SoD Activities and Transaction Groups Page  13

SoD Conflict Matrix Page  14

Risk-Rules for Business-Domains defined in Excel Page  15

Generated Excel-Report of SoD Conflict Matrix Page  16 X=Financial Risk Exists, M = Medium Risk, H = High Risk

Critical Transactions and assigned Risks Page  17

Benefits Page  18 Using the same kind of tools used by chartered accountants reduces service costs for external audit and advisory Reduction of project efforts and establishment of SoD compliant authorizations from the start Fully automated SoD analysis reduces TCO for the ongoing security control process Auditors and IT security staff work on functional level even for complex authorization scenarios Avoidance of manual analysis and false positive assessments Flexible configuration includes custom “Z” transactions or external applications like Portals using BAPI or direct RFC calls Easy identification of users with access to sensitive data by internal security teams lowers costs of the compliance process

Optimization of Authorizations Slimline authorization management of complex SAP® landscapes Page  19

Profiling for SAP® and SAP® Authorizations Page  20 Profiling for SAP combines information from different data sources like SAP usage, user authorization and SoD configuration with BI based reporting for a comprehensive security analysis. Actions are subject to authorization checks that are performed before the start of a program or table maintenance and mandatory for the SAP applications : · Starting SAP transactions (authorization object S_TCODE) · Starting reports (authorization object S_PROGRAM) · Calling RFC function modules (authorization object S_RFC) · Table maintenance with generic tools (authorization object S_TABU_DIS)

Slimline your SAP® Authorization Management Page  21 Assigned Role not relevant for execution of the custom “Y” YXPROC transaction Identify needless access rights by SAP Modules, Accounts, Transactions, … Optimize your custom roles by identifying critical roles and access overlap Setup segregation of duties by best practice and company compliance Example Report:

Benefits Page  22 Efficient establishment of a tradeoff between Business Requirements and Company Compliance Substantial reduction of project efforts in company compliance initiatives Simplification of information access to complex SAP data for company auditors reduces costs for the compliance process Uniformed use of tools by chartered accountants reduces external audit and advisory services costs Allows the handling of complex SAP landscapes with automatic data retrieval and cross-SAP system analytics Automatic monitoring of changes of user authorizations given by organizational requirements lowers costs for audits and security control

Project Support for SAP Blueprints Being compliant from the beginning Page  23

Blueprinting with ASAP and SAP Solution Manager Page  24 SAP® Solution Manager (SSM) is the SAP® tool that supports the plan, build and run aspects of ERP solutions based on SAP® NetWeaver and covers all needs for ITIL-compliant application lifecycle management (ALM). SAP® describes ALM by the Run SAP® operational support methodology and the Accelerate SAP® (ASAP) project methodology. SSM serves as an interface between technology and business processes. For SAP solution development like upgrades or implementations, the SAP solution is consistently documented in SSM by the Blueprint that describes the business processes and the resulting system configuration. An important part of the SAP solution development is the configuration of organizational structures and optimized business and security compliance requirements. Profiling for SAP® supports this aspect of SAP ALM to lower development and maintenance costs and improve process and compliance quality

SAP Blueprint Procedure for Compliant Authorizations Page  25 Support ASAP methodology and SAP Solution Manager Projects Define your functional Task Groups in SAP Solution Manger as Jobs or Org.-Units as End-User-Roles Setup the Blueprint Process Structure by Business Process Management Methodology including organizational assignments to End-User-Roles Assign Transactions manually or use predefined Reference Models with T-Codes assigned like the SAP Business Process Repository (BPR ) Run Reports to analyze organizational Access Requirements Automatically identify standard SAP right roles or profiles supported Customize Roles (PCFG) and assign users Run analytic reports for SoD compliance and risk control Define Blueprint Analyze Access Requirements Define Roles and User Access

SAP Solution Manager for SAP Blueprints Page  26 Optimized user authorizations from project start-up Assign End-User-Roles to Process-Steps, Master-Data or Organizational-Unit Data SAP Blueprint with Masterdata, Org.-Unit Data, Scenarios, Processes, Process-Steps, Transactions and Documentation Process-Steps with Assigned Transactions

SAP Solution Manager for SAP Blueprints Page  27 Export the Blueprint structure for analytic reporting SAP Blueprint Structure (SAP Project) Assigned User, Jobs, Org.-Units Cross-Reference between Objects (T-Code, Forms, Reports etc) and End-User-Roles

Benefits Page  28 Support of SAP Solution Manager improves the SAP Blueprint business process definition in terms of Compliance and Risk Management Synchronize organizational structures, functional access requirements, business processes and access control for slimline, fine tuned and fully SoD compliant SAP authorizations Leverage SAP tools, methodologies and best practice by a tight SAP integration with a BI based solution that reduces SAP® project planning and implementation efforts Reduce SAP maintenance efforts by a consistent business process and security control documentation Ensure compliance through SAP improvements like ERP Enhancement Packages and organizational changes Define authorizations on functional level and support setup of technical roles and profiles.

Profiling for SAP application Standard application with tight SAP® integration, high automation and flexible configuration Page  29

SoD Analysis and the Process for Compliance Page  30 1. Extract 2. Define 3. Analyze Profiler BI DB Analyzer Reports Dashboards Authorizations Usage (Transactions, Reports, RFC Calls) Define Risk Rules Critical activity groups Activities conflict matrix Auditors, IT Security Analytic reports and dashboards Conflicts and potential conflicts of Accounts and/or Roles, Profiles Predefined set of Risk Rules

Profiling for SAP Product Components Page  31 Profiling for SAP application customizing for SoD (configuration) Definition of Task groups, specifies a set of tasks with identifiers Assignments of critical transactions to task groups Risk rules combining Task Groups with Financial Risk Values Includes best practice for configuration settings Analytic Reports (examples) Charts plotting risks and SoD issues per e.g. SAP module Role Compliance Check: Identifies roles that have SoD conflicts based upon the underlying transactions User Compliance Check: Identifies SoD conflicts in user’s profile SAP Solution Manager integration (optional)

Solutions by TransWare Page  32 TransWare Software Solutions AG Fritz-Wunderlich-Str. 49 66869 Kusel Germany Phone: +49-(0)6381-916-0 Email: info@transware.de Web: www.transware.de All product, service and company names mentioned herein are for identification purposes only and may be trademarks or registered trademarks of their respective owners